Vol. 85 Wednesday, No. 78 April 22, 2020

Pages 22343–22580

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 85, No. 78

Wednesday, April 22, 2020

Agriculture Department Department of Defense Military Family Readiness See Natural Resources Conservation Service Council, 22411–22412 NOTICES Non-Foreign Overseas Per Diem Rates, Revised, 22413– Agency Information Collection Activities; Proposals, 22416 Submissions, and Approvals, 22393 Economic Development Administration Alcohol, Tobacco, Firearms, and Explosives Bureau NOTICES NOTICES Trade Adjustment Assistance; Determinations, 22395–22396 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Special Agent Medical Preplacement, 22444–22445 Education Department NOTICES Centers for Disease Control and Prevention Applications for New Awards: NOTICES Migrant Education Program Consortium Incentive Grant Extension of Order Under Sections 362 and 365 of the Program; Extension of the Application Deadline Date, Public Health Service Act; Order Suspending 22416 Introduction of Certain Persons from Countries Where a Communicable Disease Exists, 22424–22427 Employment and Training Administration NOTICES Civil Rights Commission Trade Adjustment Assistance; Determinations, 22450–22458 NOTICES Worker Adjustment Assistance; Determinations, 22448– Meetings: 22450 Vermont Advisory Committee, 22395

Commerce Department Energy Department See Economic Development Administration See Federal Energy Regulatory Commission See International Trade Administration See National Oceanic and Atmospheric Administration Environmental Protection Agency RULES Copyright Office, Library of Congress Air Quality State Implementation Plans; Approvals and PROPOSED RULES Promulgations: Music Modernization Act: Washington; Puget Sound Clean Air Agency, Regulation Notices of License, Notices of Nonblanket Activity, Data I, 22355–22362 Collection and Delivery Efforts, and Reports of Usage Continuous Emission Monitoring: and Payment, 22518–22549 Quality-Assurance Requirements during the COVID–19 Reporting and Distribution of Royalties to Copyright National Emergency, 22362–22374 Owners by the Mechanical Licensing Collective, PROPOSED RULES 22549–22559 Air Quality State Implementation Plans; Approvals and Transparency of the Mechanical Licensing Collective and Promulgations: Its Database of Musical Works Information, 22568– California; Technical Amendments, 22384–22392 22579 Maryland; Interstate Transport Requirements for the 2010 Treatment of Confidential Information by the Mechanical 1-Hour Sulfur Dioxide National Ambient Air Quality Licensing Collective and Digital Licensee Coordinator, Standard, 22381–22384 22559–22568 Missouri; Removal of Control of Emissions from Bakery Ovens, 22378–22380 Defense Acquisition Regulations System Ohio; Technical Amendment, 22378 NOTICES Acquisition of Items for Which Federal Prison Industries Federal Aviation Administration Has a Significant Market Share, 22411 NOTICES Early Engagement Opportunity: Agency Information Collection Activities; Proposals, Implementation of the Coronavirus Aid, Relief, and Submissions, and Approvals: Economic Security Act, 22410–22411 Domestic and International Flight Plans, 22510–22511 Defense Department Noise Compatibility Program: See Defense Acquisition Regulations System Burlington International Airport, South Burlington, VT, NOTICES 22510 Charter Renewal: Federal Advisory Committees, 22412 Federal Emergency Management Agency Meetings: NOTICES Defense Advisory Committee on Investigation, Final Flood Hazard Determinations, 22438–22439 Prosecution, and Defense of Sexual Assault in the Flood Hazard Determinations; Changes, 22432–22434 Armed Forces, 22412–22413 Flood Hazard Determinations; Proposals, 22434–22438

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Federal Energy Regulatory Commission Internal Revenue Service NOTICES NOTICES Application: Agency Information Collection Activities; Proposals, Southern California Edison Co., 22417–22419 Submissions, and Approvals: Combined Filings, 22419–22424 Statements to Recipients of Dividend Payments, 22513– Initial Market-Based Rate Filings Including Requests for 22514 Blanket Section 204 Authorizations: Midlands Lessee, LLC, 22419 International Trade Administration Midlands Solar, LLC, 22421 NOTICES Petition for Declaratory Orders: Antidumping or Countervailing Duty Investigations, Orders, New England Ratepayers Association, 22416–22417 or Reviews: Staff Attendances, 22422–22423 Certain Non-Refillable Steel Cylinders from the People’s Transfer of Exemption: Republic of China, 22407–22410 Green Mountain Power Corp.; Sugar River Power, LLC, Certain Passenger Vehicle and Light Truck Tires from the 22422 People’s Republic of China, 22396–22399 Certain Steel Nails from the People’s Republic of China, Federal Highway Administration 22399–22402 NOTICES Determination of Sales at Less Than Fair Value: Federal Agency Actions: Certain Non-Refillable Steel Cylinders from the People’s Proposed Highway in California, 22511–22512 Republic of China, 22402–22407

Federal Railroad Administration International Trade Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Complaint: Submissions, and Approvals, 22512–22513 Certain Electronic Devices, Including Streaming Players, Televisions, Set Top Boxes, Remote Controllers, and Federal Reserve System Components Thereof, 22441–22442 Investigations; Determinations, Modifications, and Rulings, RULES etc.: Loans to Executive Officers, Directors, and Principal Certain Blood Cholesterol Testing Strips and Associated Shareholders of Member Banks, 22345–22349 Systems Containing the Same, 22443–22444 Certain Fish-Handling Pliers and Packaging Thereof, Food and Drug Administration 22442–22443 NOTICES Guidance: Justice Department Nonbinding Feedback After Certain Food and Drug See Alcohol, Tobacco, Firearms, and Explosives Bureau Administration Inspections of Device Establishments, See Foreign Claims Settlement Commission 22429–22430 NOTICES Technical Considerations for Demonstrating Reliability of Agency Information Collection Activities; Proposals, Emergency-Use Injectors Submitted under a Biologics Submissions, and Approvals, 22445–22448 License Application, New Drug Application, or Proposed Consent Decree: Abbreviated New Drug Application, 22427–22429 CERCLA, 22447

Foreign Claims Settlement Commission Labor Department NOTICES See Employment and Training Administration Meetings; Sunshine Act, 22445 NOTICES Agency Information Collection Activities; Proposals, Health and Human Services Department Submissions, and Approvals: See Centers for Disease Control and Prevention DOL-Only Performance Accountability, Information, and See Food and Drug Administration Reporting System, 22459 See National Institutes of Health Federal-State Unemployment Insurance Program Data Exchange Standardization, 22458–22459 Homeland Security Department See Federal Emergency Management Agency Land Management Bureau See U.S. Citizenship and Immigration Services NOTICES See U.S. Customs and Border Protection Requests for Nominations: RULES Bears Ears National Monument Advisory Committee, Temporary Travel Restrictions Applicable to Land Ports of 22440–22441 Entry and Ferries Service Between the United States and Canada, 22352–22353 Library of Congress Temporary Travel Restrictions Applicable to Land Ports of See Copyright Office, Library of Congress Entry and Ferries Service Between the United States and Mexico, 22353–22354 National Archives and Records Administration NOTICES Interior Department Agency Information Collection Activities; Proposals, See Land Management Bureau Submissions, and Approvals, 22459–22460

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National Institutes of Health State Department NOTICES NOTICES Meetings: Charter Renewal: Center for Scientific Review, 22430–22432 Advisory Committee on International Law Charter, 22509 National Institute of Diabetes and Digestive and Kidney Cultural Property Advisory Committee, 22509–22510 Diseases, 22431 National Institute of Neurological Disorders and Stroke, Transportation Department 22431 See Federal Aviation Administration National Institute on Aging, 22431 See Federal Highway Administration National Institute on Deafness and Other Communication See Federal Railroad Administration Disorders, 22432

National Oceanic and Atmospheric Administration Treasury Department See Internal Revenue Service RULES RULES Fisheries of the Northeastern United States: Temporary Postponement of the Time to Deposit Certain Northeast Multispecies Fishery; Northeast Multispecies Estimated Duties, Taxes, and Fees During the National Measures for Fishing Year 2020, 22374–22377 Emergency Concerning the Novel Coronavirus Disease Natural Resources Conservation Service (COVID–19) Outbreak, 22349–22352 NOTICES Environmental Assessments; Availability, etc.: U.S. Citizenship and Immigration Services Mississippi Trustee Implementation Group Draft NOTICES Restoration Plan II: Wetlands, Coastal, and Nearshore Agency Information Collection Activities; Proposals, Habitats and Oysters, 22393–22395 Submissions, and Approvals: Application for Employment Authorization, 22439–22440 Nuclear Regulatory Commission NOTICES U.S. Customs and Border Protection Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Temporary Postponement of the Time to Deposit Certain Licenses, Certifications, and Approvals for Nuclear Power Estimated Duties, Taxes, and Fees During the National Plants, 22463–22464 Emergency Concerning the Novel Coronavirus Disease License Amendment Application: (COVID–19) Outbreak, 22349–22352 Virginia Electric and Power Co.; Surry Power Station, Unit Nos. 1 and 2, 22460–22463 Veterans Affairs Department NOTICES Postal Regulatory Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Complaint: Certification of Affirmation of Enrollment Agreement Randall Ehrlich, 22465 Correspondence Course, 22514–22515 New Postal Product, 22464–22465 Delegation of Authority for VA, 22515–22516 Presidential Documents Meetings: ADMINISTRATIVE ORDERS Cooperative Studies Scientific Evaluation Committee, National Defense Authorization Act for Fiscal Year 2020; 22515 Delegation of Certain Functions and Authorities (Memorandum of March 31, 2020), 22343–22344 Separate Parts In This Issue Securities and Exchange Commission NOTICES Part II Applications: Library of Congress, Copyright Office, Library of Congress, American Century ETF Trust, et al., 22478–22479 22518–22579 KKR Credit Opportunities Portfolio and KKR Credit Advisors (US), LLC, 22475–22478 Self-Regulatory Organizations; Proposed Rule Changes: Cboe EDGA Exchange, Inc., 22465–22466 Reader Aids Cboe EDGX Exchange, Inc., 22474–22475 Consult the Reader Aids section at the end of this issue for Cboe Exchange, Inc., 22479–22482, 22507–22509 phone numbers, online resources, finding aids, and notice Nasdaq BX, Inc., 22493–22498 of recently enacted public laws. Nasdaq GEMX, LLC, 22489–22493 To subscribe to the Federal Register Table of Contents Nasdaq ISE, LLC, 22470–22474 electronic mailing list, go to https://public.govdelivery.com/ Nasdaq MRX, LLC, 22482–22489, 22498–22502 accounts/USGPOOFR/subscriber/new, enter your e-mail The Nasdaq Stock Market LLC, 22466–22470, 22502– address, then follow the instructions to join, leave, or 22507 manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.

3 CFR Administrative Orders: Memorandums: Memorandum of March 31, 2020 ...... 22343 12 CFR 215...... 22345 19 CFR Ch. I (2 documents)...... 22352, 22353 24...... 22349 37 CFR Proposed Rules: 210 (4 documents) ...... 22518, 22549, 22559, 22568 40 CFR 52...... 22355 75...... 22362 Proposed Rules: 52 (4 documents) ...... 22378, 22381, 22384 50 CFR 648...... 22374

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Federal Register Presidential Documents Vol. 85, No. 78

Wednesday, April 22, 2020

Title 3— Memorandum of March 31, 2020

The President Delegation of Certain Functions and Authorities Under the National Defense Authorization Act for Fiscal Year 2020

Memorandum for the Secretary of State[,] the Secretary of the Treasury[,] the Secretary of Defense[, and] the Director of National Drug Control Pol- icy

By the authority vested in me as President by the Constitution and the laws of the United States of America, including section 301 of title 3, United States Code, I hereby order as follows: Section 1. (a) I hereby delegate to the Secretary of State the functions and authorities vested in the President by section 7426 of the National Defense Authorization Act for Fiscal Year 2020 (Public Law 116–92) (the ‘‘Act’’). (b) I hereby delegate to the Secretary of State, in consultation with the Secretary of the Treasury, the functions and authorities vested in the Presi- dent by the following provisions of the Act: (i) section 7214; (ii) section 7413; (iii) section 7431; and (iv) section 7432. (c) I hereby delegate to the Secretary of State, in consultation with the Secretary of the Treasury and the Director of National Drug Control Policy, the functions and authorities vested in the President by section 7211(a)(1)(C) of the Act. (d) I hereby delegate to the Secretary of the Treasury, in consultation with the Secretary of State, the functions and authorities vested in the President by the following provisions of the Act: (i) section 7211(a)(1)(A)–(B); (ii) section 7211(a)(2)–(3); (iii) section 7211(b); (iv) section 7211(c); (v) section 7212; (vi) section 7213(a)(4)–(9); (vii) section 7213(d); (viii) section 7215(a); (ix) section 7233; (x) section 7412(a); and (xi) section 7412(b)(1)(A). (e) I hereby delegate to the Secretary of the Treasury the functions and authorities vested in the President by section 7433 of the Act. (f) I hereby delegate to the Secretary of State and the Secretary of Defense the functions and authorities vested in the President by section 7423 of the Act.

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Sec. 2. The delegations in this memorandum shall apply to any provisions of any future public laws that are the same or substantially the same as those provisions referenced in this memorandum. Sec. 3. The Secretary of State is authorized and directed to publish this memorandum in the Federal Register.

THE WHITE HOUSE, Washington, March 31, 2020

[FR Doc. 2020–08643 Filed 4–21–20; 8:45 am] Billing code 4710–10–P

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Rules and Regulations Federal Register Vol. 85, No. 78

Wednesday, April 22, 2020

This section of the FEDERAL REGISTER All public comments will be made and many other countries. In addition, contains regulatory documents having general available on the Board’s website at financial markets have experienced applicability and legal effect, most of which http://www.federalreserve.gov/ significant volatility. The magnitude are keyed to and codified in the Code of generalinfo/foia/ProposedRegs.cfm as and persistence of the overall effects on Federal Regulations, which is published under submitted, unless modified for technical the economy remain highly uncertain. 50 titles pursuant to 44 U.S.C. 1510. reasons or to remove personally In light of these developments, Congress The Code of Federal Regulations is sold by identifiable information at the passed the Coronavirus Aid, Relief, and the Superintendent of Documents. commenter’s request. Accordingly, Economic Security (CARES) Act which, comments will not be edited to remove among other things, created the any identifying or contact information. Paycheck Protection Program (PPP) to FEDERAL RESERVE SYSTEM Public comments also may be viewed facilitate lending to small businesses electronically or in paper form in Room affected by COVID–19. 12 CFR Part 215 146, 1709 New York Avenue NW, Under the PPP, qualified lenders, including many depository institutions [Regulation O; Docket No. 1714] Washington, DC 20006, between 9:00 a.m. and 5:00 p.m. on weekdays. subject to section 22(h) of the Federal FOR FURTHER INFORMATION CONTACT: Reserve Act and the Board’s Regulation RIN 7100–AF 88 1 Laurie Schaffer, Deputy General O, may make loans to small businesses Loans to Executive Officers, Directors, Counsel, (202) 452–2272, Alison Thro, for payroll-related and other purposes 2 and Principal Shareholders of Member Deputy Associate General Counsel, specified in the CARES Act. Loans that Banks (202) 452–3236, Benjamin McDonough, meet the requirements for the PPP (PPP Assistant General Counsel, (202) 452– loans) set forth by the Small Business AGENCY: Board of Governors of the 2036, Josh Strazanac, Senior Attorney, Administration (SBA) are guaranteed as Federal Reserve System (Board). (202) 452–2457, Jasmin Keskinen, Legal to the unpaid principal and accrued ACTION: Interim final rule with request Assistant, (202) 475–6650, Legal interest of the loan. The guarantee for for comments. Division; or Anna Lee Hewko, Associate PPP loans provided by the SBA is Director, (202) 530–6360, Constance backed by the full faith and credit of the SUMMARY: In light of recent disruptions Horsley, Deputy Associate Director, United States. Only loans made between in economic conditions caused by the (202) 452–5239, Kathryn Ballintine, February 15, 2020, and June 30, 2020, Coronavirus Disease 2019 and current 3 Manager, (202) 452–2555, Joe are eligible for the PPP. The SBA has strains in U.S. financial markets, the Maldonado, Senior Financial Policy issued several interim final rules to Board is issuing an interim final rule 4 Analyst, (202) 973–7341, Division of implement the PPP. that excepts certain loans that are Under the PPP, eligible borrowers Supervision and Regulation; Board of guaranteed under the Small Business generally include businesses with fewer Governors of the Federal Reserve Administration’s Paycheck Protection than 500 employees or that are System, 20th Street and Constitution Program from the requirements of otherwise considered by the SBA to be Avenue NW, Washington, DC 20551. section 22(h) of the Federal Reserve Act small, including individuals operating Users of Telecommunication Device for and the corresponding provisions of the sole proprietorships, entities that are Deaf (TDD) only, call (202) 263–4869. Board’s Regulation O. independent contractors of other SUPPLEMENTARY INFORMATION: DATES: This rule is effective April 22, businesses, certain franchisees, 2020. Comments on the interim final Table of Contents nonprofit corporations, veterans organizations, and Tribal businesses.5 rule must be received no later than June I. Background 8, 2020. A. The Paycheck Protection Program and The loan amount under the PPP is ADDRESSES: You may submit comments, Small Business Administration Lending limited to the lesser of $10 million and identified by Docket No. R–1714 and Restrictions 250 percent of a borrower’s average 6 RIN 7100 AF 88, by any of the following B. Insider Lending Restrictions in the monthly payroll costs. methods: Federal Reserve Act and Regulation O Under the PPP, a borrower may apply II. The Interim Final Rule • Agency Website: http:// to a PPP qualified lender for forgiveness III. Administrative Law Matters of the portion of a PPP loan that is used www.federalreserve.gov. Follow the A. Administrative Procedure Act instructions for submitting comments at B. Congressional Review Act 1 12 U.S.C. 375b; 12 CFR part 215. https://www.federalreserve.gov/ C. Paperwork Reducation Act 2 Public Law 116–136, 134 Stat. 281. CARES Act generalinfo/foia/ProposedRegs.cfm. D. Regulatory Flexibility Act section 1102(a)(2). • Email: regs.comments@ E. Riegle Community Development and 3 Id. federalreserve.gov. Include docket and Regulatory Improvement Act of 1994 4 Interim Final Rule: ‘‘Business Loan Program RIN numbers in the subject line of the F. Use of Plain Language Temporary Changes; Paycheck Protection Program’’ (April 2, 2020) (85 FR 20811); Interim Final Rule: message. I. Background • ‘‘Business Loan Program Temporary Changes; Fax: (202) 452–3819 or (202) 452– Paycheck Protection Program’’ (April 2, 2020) (85 3102. A. The Paycheck Protection Program FR 20817); Interim Final Rule: ‘‘Business Loan • Mail: Ann E. Misback, Secretary, and Small Business Administration Program Temporary Changes; Paycheck Protection Lending Restrictions Program—Additional Eligibility Criteria and Board of Governors of the Federal Requirements for Certain Pledges of Loans’’ (April Reserve System, 20th Street and The spread of the Coronavirus Disease 14, 2020) (85 FR 21747). Constitution Avenue NW, Washington, 2019 (COVID–19) has disrupted 5 Id. DC 20551. economic activity in the United States 6 Id.

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in the first eight weeks of the loan for B. Insider Lending Restrictions in the extends to 100 percent of the PPP loan payroll costs and certain mortgage, rent, Federal Reserve Act and Regulation O amount. PPP loans also are less and utility payments. The SBA will Among other things, section 22(h) and susceptible to insider abuse than other reimburse the PPP lender for the Regulation O impose requirements on a extensions of credit from a bank to an forgiven amount of any PPP loan.7 PPP bank regarding extensions of credit insider, other loans guaranteed by the loans will have a maturity of two years made to insiders 14 of the bank or its SBA, or other extensions of credit that and an interest rate of 100 basis points.8 affiliates. Loans to insiders are subject to the Board previously has determined PPP lenders may not alter these terms. quantitative limits, prior approval pose minimal risk.23 Unlike these other requirements by the bank’s board, and extensions of credit, PPP loans have PPP loans are subject to the same standard terms that do not allow for rules, conditions, and requirements as qualitative requirements concerning loan terms.15 Regulation O also requires variation between borrowers, so banks all other loans made under section 7(a) banks to keep certain records and make are unable to modify the terms of PPP of the Small Business Act, unless certain disclosures concerning loans to be more favorable for insiders otherwise specified by the SBA in its extensions of credit subject to the rule.16 than for borrowers that are not insiders. interim final rules administering the Under section 22(h), an ‘‘extension of Furthermore, like the PPP, which only 9 PPP. Normally, SBA regulations would credit’’ includes, among other things, applies to loans made between February prohibit a PPP lender from making a ‘‘making or renewing any loan, granting 15 and June 30, 2020, the exception in PPP loan to ‘‘[b]usinesses in which the a line of credit, or entering into any this interim final rule only applies to [PPP lender] or any of its Associates similar transaction as a result of which loans made during the same time owns an equity interest’’ (SBA lending the person becomes obligated (directly period. Excepting PPP loans from the restrictions).10 SBA regulations define or indirectly, or by any means definition of ‘‘extension of credit’’ in an ‘‘Associate’’ of a PPP lender to be whatsoever) to pay money or its section 22(h) and the corresponding ‘‘[a]n officer, director, key employee, or equivalent to the bank.’’ 17 Accordingly, provisions of Regulation O is holder of 20 percent or more of the PPP loans from a bank to an insider, appropriate in light of these value of the [PPP] [l]ender’s . . . stock including the insider’s related circumstances. or debt instruments’’ and any entity in interests,18 would be subject to the Accordingly, the Board has which one of these individuals or requirements of section 22(h) and determined that PPP loans pose certain relatives ‘‘own or controls at Regulation O. minimal risk. These PPP loans will not least 20 percent.’’ 11 The Housing and Community be subject to section 22(h) or the Development Act of 1992 (HCDA) 19 corresponding provisions of Regulation On April 14, 2020, the SBA issued an amended section 22(h) to authorize the O if they are not prohibited by the SBA interim final rule stating, among other Board to adopt, by regulation, lending restrictions. The exception will things, that SBA lending restrictions exceptions to the definition of help banks, particularly in smaller ‘‘shall not apply to prohibit an ‘‘extension of credit’’ in section 22(h) for communities, to give effect to the PPP’s otherwise eligible business owned (in transactions that ‘‘pose minimal risk.’’ purpose of helping small businesses to whole or part) by an outside director or Therefore, the Board may except PPP continue to operate under current holder of less than 30 percent equity loans from the restrictions imposed by economic conditions. The Board is interest in a PPP [l]ender from obtaining section 22(h) and the corresponding providing the temporary exclusion in a PPP loan from the PPP [l]ender on provisions of Regulation O if it the interim final rule to allow banking whose board the director serves or in determines that PPP loans pose minimal organizations to make PPP loans to a which the equity owner holders an risk.20 broad range of small businesses within interest, provided that the eligible II. The Interim Final Rule their communities, consistent with business owned by the director or applicable law and safe and sound equity holder follows the same process The legislative history of the HCDA banking practices. As noted, the SBA as similarly situated customer or states that a transaction poses minimal explicitly has prohibited a banking 12 risk when the risk is ‘‘minuscule organization from favoring in processing account holder of the [l]ender.’’ The 21 interim final rule also stated that SBA compared to that of other loans.’’ PPP time or prioritization a PPP application loans are guaranteed by the SBA, and lending restrictions would continue to of one of its directors or equity holders the guarantee is backed by the full faith apply to officers and key employees of and the Board will administer this and credit of the United States. Unlike a PPP lender, and that ‘‘[f]avoritism by interim final rule accordingly. other SBA loans authorized under SBA lending restrictions continue to [a PPP] [l]ender in processing time or 22 section 7(a) of the Small Business Act, apply to certain PPP loans that also prioritization of [a] director’s or equity the SBA’s guarantee for PPP loans holder’s PPP application is would be subject to section 22(h) and 13 the corresponding provisions of prohibited.’’ 14 Insider means an executive officer, director, or principal shareholder, and includes any related Regulation O. Excepting PPP loans that 7 CARES Act section 1106. interest of such a person. 12 CFR 215.2(h). would be prohibited by the SBA lending 8 Interim Final Rule: ‘‘Business Loan Program 15 See 12 CFR 215.4. restrictions from the requirements of Temporary Changes; Paycheck Protection Program’’ 16 See 12 CFR 215.8, 215.9, and 215.10. section 22(h) and the corresponding (April 2, 2020). 17 12 U.S.C. 375b(9)(D)(i)(I). provisions in Regulation O would not 9 Interim Final Rule: ‘‘Business Loan Program 18 Related interest of a person means a company achieve any meaningful regulatory Temporary Changes; Paycheck Protection Program’’ that is controlled by that person or a political or (April 2, 2020) at 85 FR 20816. campaign committee that is controlled by that purpose. Excepting these loans from one 10 13 CFR 120.110(o). person or the funds or services of which will benefit regime and not the other also may create 11 13 CFR 120.10. that person. 12 CFR 215.2(n). confusion because some lenders may 12 Interim Final Rule: ‘‘Business Loan Program 19 Public Law 102–550, section 955, 106 Stat. Temporary Changes; Paycheck Protection 3672 (1992). 23 The Board previously excepted certain Program—Additional Eligibility Criteria and 20 12 U.S.C. 375b(9)(D)(ii). transactions from the aggregate lending limit in Requirements for Certain Pledges of Loans’’ (April 21 See 138 Cong. Rec. S17, 914–15 (daily ed. § 215.4(d) of Regulation O based on a determination 14, 2020). October 8, 1992). that these transactions posed ‘‘minimal risk.’’ See 13 Id. at 85 FR 21750. 22 15 U.S.C. 636(a)(1)(A). 58 FR 26507 (May 4, 1993).

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mistakenly interpret an exception under cause.28 Because the rules relieve a of the rule would be contrary to the one regime to extend to both regimes. restriction by providing an exception to public interest. This determination does not impact the definition of ‘‘extension of credit’’ in As required by the Congressional the application of other restrictions that section 22(h) and Regulation O, the Review Act, the Board will submit the may apply to PPP loans, including interim final rule is exempt from the final rule and other appropriate reports section 22(g) of the Federal Reserve Act APA’s delayed effective date to Congress and the Government or § 215.5 of Regulation O.24 This requirement.29 Accountability Office for review. determination also does not affect the While the Board believes that there is C. Paperwork Reduction Act SBA lending restrictions. good cause to issue the rule without Question 1: What are the advantages advance notice and comment and with The Paperwork Reduction Act (44 and disadvantages of excepting PPP an immediate effective date, the Board U.S.C. 3501–3521) (PRA) states that no loans from the definition of ‘‘extension is interested in the views of the public agency may conduct or sponsor, nor is of credit’’ in section 22(h) and the and requests comment on all aspects of the respondent required to respond to, corresponding provisions of the Board’s the interim final rule. an information collection unless it Regulation O? displays a currently valid Office of Question 2: What are the most B. Congressional Review Act Management and Budget (OMB) control appropriate terms and conditions for number. On June 15, 1984, OMB this exception and why? For purposes of the Congressional delegated to the Board authority under Review Act, the Office of Management the PRA to approve and assign OMB III. Administrative Law Matters and Budget (OMB) makes a control numbers to collections of A. Administrative Procedure Act determination as to whether a final rule information conducted or sponsored by constitutes a ‘‘major’’ rule.30 If a rule is the Board, as well as the authority to The Board is issuing the interim final deemed a ‘‘major rule’’ by the OMB, the rule without prior notice and the temporarily approve a new collection of Congressional Review Act generally information without providing opportunity for public comment and the provides that the rule may not take delayed effective date ordinarily opportunity for public comment if the effect until at least 60 days following its Board determines that a change in an prescribed by the Administrative publication.31 Procedure Act (APA)).25 Pursuant to existing collection must be instituted section 553(b)(B) of the APA, general The Congressional Review Act defines quickly and that public participation in notice and the opportunity for public a ‘‘major rule’’ as any rule that the the approval process would defeat the comment are not required with respect Administrator of the Office of purpose of the collection or to a rulemaking when an ‘‘agency for Information and Regulatory Affairs of substantially interfere with the Board’s good cause finds (and incorporates the the OMB finds has resulted in or is ability to perform its statutory finding and a brief statement of reasons likely to result in (A) an annual effect obligation. therefor in the rules issued) that notice on the economy of $100,000,000 or This interim final rule does not and public procedure thereon are more; (B) a major increase in costs or contain any collections of information impracticable, unnecessary, or contrary prices for consumers, individual subject to the PRA. However, the to the public interest.’’ 26 industries, Federal, State, or local interim final rule does indirectly affect The Board believes that the public government agencies or geographic certain recordkeeping and disclosure interest is best served by implementing regions, or (C) significant adverse effects requirements in Regulation O that have the interim final rule immediately. As on competition, employment, not previously been cleared by the discussed above, the spread of COVID– investment, productivity, innovation, or Board under the PRA. In order to 19 has disrupted economic activity in on the ability of United States-based accurately account for these the United States and other countries. In enterprises to compete with foreign- requirements pursuant to the PRA, the addition, U.S. financial markets have based enterprises in domestic and Board has temporarily approved a new featured substantial levels of volatility. export markets.32 collection of information titled The magnitude and persistence of Recordkeeping and Disclosure For the same reasons set forth above, Requirements Associated with COVID–19 on the economy remain the Board is adopting the interim final uncertain. In light of the substantial Regulation O (FR O; OMB No. 7100– rule without the delayed effective date NEW). disruptions in the economy, and the generally prescribed under the The Board’s delegated authority likelihood that this interim final rule Congressional Review Act. The delayed requires that the Board, after would help ameliorate those disruptions effective date required by the temporarily approving a collection, by promoting lending to small Congressional Review Act does not solicit public comment to extend the businesses, the Board finds that there is apply to any rule for which an agency information collections for a period not good cause consistent with the public for good cause finds (and incorporates to exceed three years. Therefore, the interest to issue the rule without the finding and a brief statement of 27 Board is inviting comment to extend the advance notice and comment. reasons therefor in the rule issued) that FR O information collection for three The APA also requires a 30-day notice and public procedure thereon are years. delayed effective date, except for (1) impracticable, unnecessary, or contrary The Board invites public comment on substantive rules which grant or to the public interest.33 In light of the following information collection, recognize an exemption or relieve a current market uncertainty, the Board which is being reviewed under restriction; (2) interpretative rules and believes that delaying the effective date statements of policy; or (3) as otherwise authority delegated by the OMB under the PRA. Comments must be submitted provided by the agency for good 28 5 U.S.C. 553(d). on or before June 22, 2020. Comments 29 5 U.S.C. 553(d)(1). 24 12 U.S.C. 375a; 12 CFR 215.5. 30 5 U.S.C. 801 et seq. are invited on the following: 25 5 U.S.C. 553. 31 5 U.S.C. 801(a)(3). a. Whether the collection of 26 5 U.S.C. 553(b)(B). 32 5 U.S.C. 804(2). information is necessary for the proper 27 5 U.S.C. 553(b)(B); 553(d)(3). 33 5 U.S.C. 808. performance of the Board’s functions,

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including whether the information has to prevent the evasions of the sections. records may be disposed of after two practical utility; Accordingly, the Board has promulgated years from the date of the request. b. The accuracy of the Board’s the Board’s Regulation O to effectuate The recordkeeping and disclosure estimate of the burden of the Congress’ purpose of preventing insider requirements in §§ 215.8 and 215.9 of information collection, including the abuse in banks. Regulation O are required by section validity of the methodology and Regulation O contains certain 306(o) of Public Law 102–242, 105 Stat. assumptions used; recordkeeping and disclosure 2236 (1991) and authorized under 12 c. Ways to enhance the quality, requirements. Pursuant to § 215.8 of U.S.C. 1817(k). utility, and clarity of the information to Regulation O, respondents must Current actions: The Board has be collected; maintain records necessary for temporarily approved the collections of d. Ways to minimize the burden of compliance with the requirements of information contained within information collection on respondents, Regulation O.35 Any recordkeeping Regulation O. The Board has including through the use of automated method adopted by a respondent shall determined that this collection of collection techniques or other forms of identify, through an annual survey, all information must be instituted quickly information technology; and insiders of the respondent and maintain and that public participation in the e. Estimates of capital or startup costs records of all extensions of credit to approval process would defeat the and costs of operation, maintenance, insiders of the respondent, including purpose of the collection of information, and purchase of services to provide the amount and terms of each such as these collections of information are information. extension of credit. Additionally, any contained in an existing regulation, and At the end of the comment period, the recordkeeping method adopted by a the inability of the Board to enforce comments and recommendations respondent shall maintain records of these collection of information received will be analyzed to determine extensions of credit to insiders of the requirements due to noncompliance the extent to which the Board should respondent’s affiliates by using either with the PRA would interfere with the modify the collection. the survey method or borrower inquiry Board’s ability to perform its statutory Final Approval Under OMB Delegated method, as set forth in Regulation O, or duties. The Board also invites comment to Authority of the Temporary a different recordkeeping method if the extend the FR O information collection Implementation of, and Solicitation of appropriate Federal banking agency for three years. Comment To Extend for Three Years, determines that the respondent’s the Following Information Collection method is at least as effective as the D. Regulatory Flexibility Act listed methods. Collection title: Recordkeeping and Pursuant to § 215.9 of Regulation O, The Regulatory Flexibility Act 37 Disclosure Requirements Associated upon receipt of a written request from (RFA) requires an agency to consider with Regulation O. the public, a respondent must make whether the rules it proposes will have Agency form number: FR O. available the names of each of its a significant economic impact on a 38 OMB control number: 7100–NEW. executive officers and each of its substantial number of small entities. Effective Date: April 22, 2020. principal shareholders to whom, or to The RFA applies only to rules for which Frequency: Annual, event generated. whose related interests, the member an agency publishes a general notice of Respondents: Member banks of the bank had outstanding as of the end of proposed rulemaking pursuant to 5 Federal Reserve System, savings the latest previous quarter of the year, U.S.C. 553(b). As discussed previously, associations, and any subsidiary of such an extension of credit that, when consistent with section 553(b)(B) of the institutions. APA, the Board has determined for good Estimated number of respondents: aggregated with all other outstanding extensions of credit at such time from cause that general notice and Recordkeeping (§§ 215.8 and 215.9): opportunity for public comment are 1,570; disclosure (§ 215.9): 1,570. the member bank to such person and to all related interests of such person, unnecessary, and therefore the Board is Estimated average hours per response: not issuing a notice of proposed Recordkeeping (§§ 215.8 and 215.9): 4; equaled or exceeded 5 percent of the member bank’s capital and unimpaired rulemaking. Accordingly, the Board has disclosure (§ 215.9): 2. concluded that the RFA’s requirements Estimated annual burden hours: surplus or $500,000, whichever amount 36 relating to initial and final regulatory Recordkeeping (§§ 215.8 and 215.9): is less. Respondents are not required to disclose the specific amounts of flexibility analysis do not apply. 6,280; disclosure (§ 215.9): 3,140; total: Nevertheless, the Board seeks 9,420. individual extensions of credit. Additionally, each respondent must comment on whether, and the extent to General description of information which, the interim final rule would collection: maintain records of all requests for the information described above and the affect a significant number of small Sections 22(g) and (h) of the Federal entities. Reserve Act 34 retstrict certain disposition of such requests. These transactions between banks and their E. Riegle Community Development and insiders or insiders of their affiliates. 35 A respondent that is prohibited by law or by Regulatory Improvement Act of 1994 Insiders include executive officers, an express resolution of the board of directors of the respondent from making an extension of credit to Pursuant to section 302(a) of the directors, principal shareholders, and any company or other entity that is covered by Riegle Community Development and companies controlled by such persons. Regulation O as a company is not required to Regulatory Improvement Act Congress enacted sections 22(g) and (h) maintain any records of the related interests of the (RCDRIA),39 in determining the effective to prevent bank insiders from abusing insiders of the respondent or its affiliates or to inquire of borrowers whether they are related their positions to gain favorable interests of the insiders of the respondent or its 37 5 U.S.C. 601 et seq. treatment from their associated banks. affiliates. 12 CFR 215.8(d). 38 Under regulations issued by the SBA, a small Congress authorized the Board to 36 No such disclosure is required if the aggregate entity includes a depository institution, bank prescribe rules and regulations as amount of all extensions of credit outstanding at holding company, or savings and loan holding such time from the member bank to the executive company with total assets of $600 million or less necessary to effectuate the purposes and officer or principal shareholder of the respondent and trust companies with total assets of $41.5 and to all related interests of such a person does million or less. See 13 CFR 121.201. 34 12 U.S.C. 375a, 375b. not exceed $25,000. 39 12 U.S.C. 4802(a).

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date and administrative compliance List of Subjects in 12 CFR Part 215 DEPARTMENT OF HOMELAND requirements for new regulations that SECURITY impose additional reporting, disclosure, Credit, Penalties, Reporting and or other requirements on insured recordkeeping requirements. U.S. Customs and Border Protection depository institutions (IDIs), the Authority and Issuance Federal banking agencies must consider, DEPARTMENT OF THE TREASURY consistent with the principle of safety For the reasons stated in the and soundness and the public interest, preamble, the Board of Governors of the 19 CFR Part 24 any administrative burdens that such Federal Reserve System amends 12 CFR regulations would place on depository chapter II as follows: [USCBP–2020–0017; CBP Dec. 20–05] institutions, including small depository institutions, and customers of PART 215—LOANS TO EXECUTIVE RIN 1515–AE54 depository institutions, as well as the OFFICERS, DIRECTORS, AND Temporary Postponement of the Time benefits of such regulations. In addition, PRINCIPAL SHAREHOLDERS OF To Deposit Certain Estimated Duties, section 302(b) of RCDRIA requires new MEMBER BANKS (REGULATION O) Taxes, and Fees During the National regulations and amendments to Emergency Concerning the Novel regulations that impose additional ■ 1. The authority citation for part 215 Coronavirus Disease (COVID–19) reporting, disclosures, or other new is revised to read as follows: Outbreak requirements on IDIs generally to take effect on the first day of a calendar Authority: 12 U.S.C. 248(a), 375a(10), AGENCY: U.S. Customs and Border quarter that begins on or after the date 375b(9) and (10), 1468, 1817(k), 5412; Pub. L. Protection, Department of Homeland on which the regulations are published 102–242, 105 Stat. 2236 (1991) (12 U.S.C. Security; Department of the Treasury. 1811 note) and Pub. L. 116–136, 134 Stat. in final form, with certain exceptions, ACTION: Temporary final rule. including for good cause.40 For the 281. reasons described above, the Board ■ 2. In § 215.3: SUMMARY: In light of the President’s finds good cause exists under section Proclamation Declaring a National 302 of RCDRIA to publish this interim ■ a. In paragraph (b)(6), remove the Emergency Concerning the Novel final rule with an immediate effective words ‘‘of this part’’ and the word ‘‘or’’ Coronavirus Disease (COVID–19) date. at the end of the paragraph; (Presidential Proclamation 9994) under As such, the final rule will be ■ b. In paragraph (b)(7), remove the the National Emergencies Act on March effective immediately on publication. period at the end of the paragraph and 13, 2020, and the President’s Executive Nevertheless, the Board seeks comment add ‘‘; or’’ in its place; and Order entitled ‘‘National Emergency on RCDRIA. Authority to Temporarily Extend ■ c. Add paragraph (b)(8). F. Use of Plain Language Deadlines for Certain Estimated The addition reads as follows: Payments’’ authorizing the Secretary of Section 722 of the Gramm-Leach- the Treasury to exercise the authority § 215.3 Extension of credit. Bliley Act 41 requires the Federal under section 318(a) of the Tariff Act of banking agencies to use plain language * * * * * 1930, issued on April 18, 2020, the in all proposed and final rules (b) * * * Secretary of the Treasury, in published after January 1, 2000. The consultation with the designee of the Board has sought to present the interim (8) Except for purposes of § 215.5, a loan: Secretary of Homeland Security (U.S. final rule in a simple and Customs and Border Protection (CBP)), straightforward manner. The Board (i) In which the participation by the is amending the CBP regulations to invites comments on whether there are Small Business Administration on a temporarily postpone the deadline for additional steps it could take to make deferred basis is 100 percent pursuant to importers of record with a significant the rule easier to understand. For section 1102(a)(1) of Public Law 116– financial hardship to deposit certain example: 136 (to be codified at 15 U.S.C. • estimated duties, taxes, and fees that Have we organized the material to 636(a)(2)(F)); they would ordinarily be obligated to suit your needs? If not, how could this (ii) That is made during the period pay as of the date of entry, or material be better organized? withdrawal from warehouse, for • Are the requirements in the beginning on February 15, 2020, and ending on June 30, 2020; and consumption, for merchandise entered regulation clearly stated? If not, how in March or April 2020, for a period of could the regulation be more clearly (iii) That would not be prohibited by 90 days from the date that the deposit stated? 13 CFR 120.110(o) or rules or would otherwise have been due but for • Does the regulation contain interpretations thereof issued by the this emergency action. This temporary language or jargon that is not clear? If Small Business Administration. postponement does not permit return of so, which language requires any deposits of estimated duties, taxes, clarification? * * * * * and/or fees that have been paid. This • Would a different format (grouping Dated: April 17, 2020. temporary postponement also does not and order of sections, use of headings, By order of the Board of Governors of the paragraphing) make the regulation apply to entries, or withdrawals from Federal Reserve System. warehouse, subject to certain specified easier to understand? If so, what Ann Misback, changes to the format would make the trade remedies, and any entry summary regulation easier to understand? Secretary of the Board. that includes merchandise subject to • What else could we do to make the [FR Doc. 2020–08574 Filed 4–20–20; 11:15 am] those trade remedies is not eligible regulation easier to understand? BILLING CODE P under this rule. DATES: Effective date: April 20, 2020. 40 12 U.S.C. 4802. Comments must be received by May 20, 41 12 U.S.C. 4809. 2020.

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ADDRESSES: You may submit comments, U.S.C. 1601 et seq.) and found and binding precedent for future exercises of identified by docket number USCBP– proclaimed that the COVID–19 outbreak the authority granted by 19 U.S.C. 2020–0017, by one of the following in the United States constitutes a 1318(a), the Secretary of the Treasury, in methods: national emergency, beginning March 1, consultation with the designee of the • Federal eRulemaking Portal at 2020. On April 18, 2020, the President Secretary of Homeland Security (U.S. http://www.regulations.gov. Follow the issued the Executive Order entitled Customs and Border Protection (CBP)), instructions for submitting comments ‘‘National Emergency Authority to under 19 U.S.C. 1318(a) and as via Docket No. USCBP–2020–0017. Temporarily Extend Deadlines for authorized by the Postponement of • Mail: Trade and Commercial Certain Estimated Payments’’ Deposit E.O., is amending the CBP Regulations Branch, Regulations and (hereinafter ‘‘Postponement of Deposit regulations by adding a new section Rulings, Office of Trade, U.S. Customs E.O.’’) authorizing the Secretary of the 24.1a to title 19 of the Code of Federal and Border Protection, 90 K Street NE, Treasury to respond to the national Regulations (19 CFR 24.1a) to 10th Floor, Washington, DC 20229– emergency declared by Presidential temporarily postpone the deadline for 1177. Proclamation 9994, pursuant to the importers of record to deposit certain Instructions: All submissions received authority in section 318(a) of the Tariff estimated duties, taxes, and fees that must include the agency name and Act of 1930 (19 U.S.C. 1318(a)). Upon they would ordinarily be obligated to docket number for this rulemaking. All consultation by the Secretary of the pay as of the date of entry, or comments received will be posted Treasury with the designee of the withdrawal from warehouse, for without change to http:// Secretary of Homeland Security (U.S. consumption, for merchandise entered www.regulations.gov, including any Customs and Border Protection (CBP)), in March or April 2020, for a period of personal information provided. For and for the reasons set forth below, CBP 90 days from the date that the deposit detailed instructions on submitting is amending its regulations to respond would otherwise have been due but for comments and additional information to the ongoing national emergency. this emergency action. In addition, no on the rulemaking process, see the Due to the COVID–19 pandemic, interest that would otherwise accrue Public Participation heading of the local, state and national restrictions upon such estimated duties, taxes, and SUPPLEMENTARY INFORMATION section of have forced the closure of offices of the fees will accrue during the 90-day this document. importing community and those postponement period. Docket: For access to the docket to businesses have limited their operations This emergency action is being taken read background documents or and procedures. Many importers of in response to the extraordinary record will be receiving diminished or comments received, go to http:// challenges facing U.S. individuals and no revenue during this time while still www.regulations.gov. Due to the businesses during the COVID–19 incurring costs, including the duties, relevant COVID–19-related restrictions, national emergency (which significantly taxes, and fees associated with imported CBP has temporarily suspended its on- affects the trade community), and is merchandise for their clients and supply site public inspection of the public consistent with the Secretary of the chains. Aggravating matters, many comments. Treasury’s decision to postpone due major retail chains and other businesses dates for Federal income tax payments FOR FURTHER INFORMATION CONTACT: are closing for business—either under section 7508A(a) of the Internal Randy Mitchell, Director, Commercial voluntarily in response to the Revenue Code (available at https:// Operations Revenue Entry Division, President’s call or following state or Office of Trade, U.S. Customs and local government requirements. www.irs.gov/coronavirus). Border Protection, 202–325–6532 or by As a result, many importers of record This temporary postponement is email at [email protected]. are undergoing significant financial limited. This temporary postponement SUPPLEMENTARY INFORMATION: hardship with operations fully or does not permit return of any deposits partially suspended during March or of estimated duties, taxes, and/or fees I. Public Participation April 2020 due to orders from that have been paid. This temporary Interested persons are invited to competent governmental authorities postponement also does not apply to participate in this rulemaking by imposing limits on commerce, travel, or any entry, or withdrawal from submitting written data, views, or group meetings because of COVID–19. warehouse, for consumption, or any arguments on all aspects of this Many importers of record are also deposit of estimated duties, taxes, or temporary final rule. See ADDRESSES having difficulty authorizing payments fees for the entry, or withdrawal from above for information on how to submit for duties, taxes, and fees on imported warehouse, for consumption, where the comments. CBP also invites comments merchandise. Employees are having entry summary includes any that relate to the economic, difficulty getting to work or are having merchandise subject to one or more of environmental, or federalism effects that technical issues with working remotely, the following: Antidumping duties might result from this regulatory making it difficult to contact the (assessed pursuant to 19 U.S.C. 1673 et change. Comments that will provide the individuals responsible for the release seq.), countervailing duties (assessed most assistance to CBP will reference a of funds, which is leading to delays in pursuant to 19 U.S.C. 1671 et seq.), specific portion of the rule, explain the payments of duties, taxes, and fees. duties assessed pursuant to Section 232 reason for any recommended change, Under 19 U.S.C. 1318(a), whenever of the Trade Expansion Act of 1962 (19 and include data, information, or the President shall by proclamation U.S.C. 1862), duties assessed pursuant authority that support such declare an emergency to exist by reason to Section 201 of the Trade Act of 1974 recommended change. of a state of war, or otherwise, he may (19 U.S.C. 2251 et seq.), and duties authorize the Secretary of the Treasury assessed pursuant to Section 301 of the II. Background to extend during the continuance of Trade Act of 1974 (19 U.S.C. 2411 et On March 13, 2020, the President such emergency the time prescribed for seq.). Accordingly, CBP anticipates that issued Proclamation 9994, Declaring a the performance of any act. To address importers will file separate entries when National Emergency Concerning the the specific circumstances created by a shipment contains both merchandise Novel Coronavirus Disease (COVID–19), the COVID–19 pandemic, and without that is eligible for temporary under the National Emergencies Act (50 creating, for the avoidance of doubt, a postponement and merchandise that is

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ineligible (because of the above- prior notice and public comment Office of Management and Budget specified trade remedies). requirement and the delayed effective (OMB) has reviewed this regulation. To qualify for this temporary date requirements, when an agency for This regulation has been prepared under postponement, an importer must good cause finds that such procedures the emergency flexibilities provided demonstrate a significant financial are impracticable, unnecessary, or under section 6(a)(3)(D) of Executive hardship. An eligible importer’s contrary to the public interest. 5 U.S.C. Order 12866. The costs of this rule are operation must be fully or partially 553(b)(B), (d)(3). CBP finds that prior considered de minimis for purposes of suspended during March or April 2020 notice and comment are impracticable Executive Order 13771. See OMB’s due to orders from a competent and contrary to the public interest and Memorandum titled ‘‘Guidance governmental authority limiting that good cause exists to issue this rule Implementing Executive Order 13771, commerce, travel, or group meetings immediately. Titled ‘Reducing Regulation and because of COVID–19, and as a result of As noted above, the ongoing Controlling Regulatory Costs’ ’’ (April 5, such suspension, the gross receipts of unprecedented situation related to 2017). such importer for March 13–31, 2020 or COVID–19 is having a nationwide C. Regulatory Flexibility Act April 2020 are less than 60 percent of impact, as demonstrated by the the gross receipts for the comparable declaration of a national emergency by The Regulatory Flexibility Act (5 period in 2019. An eligible importer the President. The postponement of the U.S.C. 601 et seq.), as amended by the need not file additional documentation payment period for the deposit of Small Business Regulatory Enforcement with CBP to be eligible for this relief but certain estimated duties, taxes, and fees and Fairness Act of 1996, requires an must maintain documentation as part of as of the date of entry, or withdrawal agency to prepare and make available to its books and records establishing that it from warehouse, for consumption, of the public a regulatory flexibility meets the requirements for relief. merchandise imported into the United analysis that describes the effect of a This temporary postponement does States supports American workers and proposed rule on small entities (i.e., not apply to deadlines for the payment businesses who are currently affected by small businesses, small organizations, of other debts to CBP, including but not COVID–19. To protect our public and small governmental jurisdictions) limited to deadlines for the payment of interests during the ongoing national when the agency is required to publish bills for duties, taxes, fees, and interest emergency, the Secretary of the a general notice of proposed rulemaking determined to be due upon liquidation Treasury, in consultation with CBP, for a rule. Since a general notice of or reliquidation, deadlines for the concludes, pursuant to 5 U.S.C. proposed rulemaking is not necessary payment of fees authorized pursuant to 553(b)(B), that there is good cause to for this rule, CBP is not required to 19 U.S.C. 58c (except for merchandise dispense with prior public notice and prepare a regulatory flexibility analysis processing fees and dutiable mail fees), the opportunity to comment on this rule for this rule. or deadlines for the payment of any before finalizing this rule. For the same penalty or liquidated damages due to reasons, the Secretary of the Treasury, D. Paperwork Reduction Act in consultation with CBP, has CBP. This temporary final rule does not determined, consistent with section CBP notes that for some types of impose an additional information 553(d)(3) of the APA, that there is good entries, the time of entry is contingent collection burden under the Paperwork cause to make this temporary final rule (in part) upon the deposit of estimated Reduction Act of 1995 (44 U.S.C. 3507) effective immediately. duties, taxes, and fees. See, e.g., 19 CFR and does not involve any material 141.68(b). To ensure clarity in the B. Executive Orders 13563, 12866 and change to the existing approved application of the temporary 13771 information collection by OMB under postponement vis-a`-vis the time of Executive Orders 13563 and 12866 assigned OMB control number 1651– entry, this emergency action includes a direct agencies to assess the costs and 0078. An agency may not conduct or waiver of the regulatory requirement to benefits of available regulatory sponsor, and a person is not required to deposit estimated duties, taxes, and fees alternatives and, if regulation is respond to, a collection of information for the purpose of establishing the time necessary, to select regulatory unless the collection of information of entry in those instances where it approaches that maximize net benefits displays a valid control number would otherwise be required under 19 (including potential economic, assigned by OMB. CFR 141.68. The time of entry can thus environmental, public health and safety E. Signing Authority be established in the absence of the effects, distributive impacts, and deposit of estimated duties, taxes, and equity). Executive Order 13563 This document is being issued by CBP fees postponed in accordance with this emphasizes the importance of in accordance with § 0.1(a)(1) of the CBP emergency action. quantifying both costs and benefits, of Regulations (19 CFR 0.1(a)(1)) III. Statutory and Regulatory reducing costs, of harmonizing rules, pertaining to the authority of the Requirements and of promoting flexibility. Executive Secretary of the Treasury (or his/her Order 13771 directs agencies to reduce delegate) to approve regulations related A. Inapplicability of Notice and Delayed regulation and control regulatory costs to certain customs revenue functions. Effective Date and provides that ‘‘for every one new List of Subjects in 19 CFR Part 24 The Administrative Procedure Act regulation issued, at least two prior (APA) requirements in 5 U.S.C. 553 regulations be identified for elimination, Accounting, Claims, Harbors, govern agency rulemaking procedures. and that the cost of planned regulations Reporting and recordkeeping Section 553(b) of the APA generally be prudently managed and controlled requirements, Taxes. requires notice and public comment through a budgeting process.’’ Amendments to the Regulations before issuance of a final rule. In This temporary final rule is a addition, section 553(d) of the APA ‘‘significant regulatory action,’’ under For the reasons stated above, part 24 requires that a final rule have a 30-day section 3(f) of Executive Order 12866, of title 19 of the Code of Federal delayed effective date. The APA, but not an ‘‘economically significant Regulations (19 CFR part 24) is however, provides exceptions from the regulatory action.’’ Accordingly, the amended as set forth below:

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PART 24—CUSTOMS FINANCIAL AND (3) No penalty, liquidated damages travel will be limited to ‘‘essential ACCOUNTING PROCEDURE claim, or other sanction will be imposed travel,’’ as further defined in this for the delayed deposit of estimated document. ■ 1. The general authority citation for duties, taxes, and fees in accordance DATES: These restrictions go into effect part 24 continues and a new specific with a deadline postponed under this authority is added to read as follows: at 12 a.m. Eastern Daylight Time (EDT) section. on April 21, 2020 and will remain in (4) This temporary postponement Authority: 5 U.S.C. 301; 19 U.S.C. 58a– effect until 11:59 p.m. EDT on May 20, does not apply to any entry, or 58c, 66, 1202 (General Note 3(i), Harmonized 2020. Tariff Schedule of the United States), 1505, withdrawal from warehouse, for 1520, 1624; 26 U.S.C. 4461, 4462; 31 U.S.C. consumption, or any deposit of FOR FURTHER INFORMATION CONTACT: 3717, 9701; Pub. L. 107–296, 116 Stat. 2135 estimated duties, taxes, or fees for the Alyce Modesto, Office of Field (6 U.S.C. 1 et seq.). entry, or withdrawal from warehouse, Operations, U.S. Customs and Border * * * * * for consumption, where the entry Protection (CBP) at 202–344–3788. Section 24.1a also issued under 19 U.S.C. summary includes any merchandise SUPPLEMENTARY INFORMATION: 1318; subject to one or more of the following: Background * * * * * Antidumping duties (assessed pursuant ■ 2. Section 24.1a is added to read as to 19 U.S.C. 1673 et seq.), countervailing On March 24, 2020, DHS published follows: duties (assessed pursuant to 19 U.S.C. notice of the Secretary’s decision to 1671 et seq.), duties assessed pursuant temporarily limit the travel of § 24.1a Temporary Postponement of to Section 232 of the Trade Expansion individuals from Canada into the United Deadline to Deposit Certain Estimated Act of 1962 (19 U.S.C. 1862), duties States at land ports of entry along the Duties, Taxes, and Fees Because of the assessed pursuant to Section 201 of the United States-Canada border to COVID–19 National Emergency Trade Act of 1974 (19 U.S.C. 2251 et ‘‘essential travel,’’ as further defined in (a) General. Pursuant to the authority seq.), and duties assessed pursuant to that document.1 The document of 19 U.S.C. 1318(a), subject to the Section 301 of the Trade Act of 1974 (19 described the developing circumstances conditions in paragraphs (a)(1) through U.S.C. 2411 et seq.). regarding the COVID–19 pandemic and (4) of this section, the deadline for the (b) Time of entry. For entries eligible stated that, given the outbreak and deposit of estimated duties, taxes, and for the temporary postponement of continued transmission and spread of fees that an importer of record would deposits under paragraph (a) of this COVID–19 within the United States and ordinarily be obligated to pay as of the section, the requirement to deposit globally, the Secretary had determined date of entry, or withdrawal from estimated duties, taxes, and fees for the that the risk of continued transmission warehouse, for consumption, of purpose of establishing the time of entry and spread of COVID–19 between the imported merchandise into the United stated in 19 CFR 141.68 is waived. United States and Canada posed a States is postponed for a period of 90 ‘‘specific threat to human life or days from the date that the deposit Mark A. Morgan, national interests.’’ The Secretary’s would otherwise have been due. No Acting Commissioner, U.S. Customs and action is currently scheduled to expire interest will accrue for the delayed Border Protection. at 11:59 p.m. EDT on April 20, 2020. deposit of such estimated duties, taxes, Approved: April 19, 2020. The Secretary has continued to and fees during this 90-day temporary Timothy E. Skud, monitor and respond to the COVID–19 postponement. Deputy Assistant Secretary of the Treasury. pandemic. As of April 19, there are over (1) This temporary postponement [FR Doc. 2020–08618 Filed 4–20–20; 10:30 am] 2.2 million confirmed cases globally, applies only to entries, or withdrawals BILLING CODE 9111–14–P with over 152,000 confirmed deaths.2 from warehouse, for consumption, made There are over 720,000 confirmed cases on or after March 1, 2020, and no later within the United States,3 over 32,000 than April 30, 2020, by importers of DEPARTMENT OF HOMELAND in Canada,4 and over 6,800 in Mexico.5 record with a significant financial SECURITY hardship. This temporary postponement Notice of Action does not permit return of any deposits U.S. Customs and Border Protection Given the outbreak and continued of estimated duties, taxes, and/or fees transmission and spread of COVID–19 that have been paid. 19 CFR Chapter I within the United States and globally, I (2) An importer will be considered to Notification of Temporary Travel have determined that the risk of have a significant financial hardship if continued transmission and spread of the operation of such importer is fully Restrictions Applicable to Land Ports of Entry and Ferries Service Between or partially suspended during March or 1 85 FR 16548 (Mar. 24, 2020). That same day, April 2020 due to orders from a the United States and Canada DHS also published notice of the Secretary’s decision to temporarily limit the travel of competent governmental authority AGENCY : Office of the Secretary, U.S. individuals from Mexico into the United States at limiting commerce, travel, or group Department of Homeland Security; U.S. land ports of entry along the United States-Mexico meetings because of COVID–19, and as Customs and Border Protection, U.S. border to ‘‘essential travel,’’ as further defined in a result of such suspension, the gross Department of Homeland Security. that document. 85 FR 16547 (Mar. 24, 2020). 2 WHO, Coronavirus disease 2019 (COVID–19) receipts of such importer for March 13– ACTION: Notification of continuation of 31, 2020, or April 2020 are less than 60 Situation Report—90 (Apr. 19, 2020), available at temporary travel restrictions. https://www.who.int/docs/default-source/ percent of the gross receipts for the coronaviruse/situation-reports/20200419-sitrep-90- comparable period in 2019. An eligible SUMMARY: This document announces the covid-19.pdf?sfvrsn=551d47fd_4. importer need not file additional decision of the Secretary of Homeland 3 CDC, Cases of COVID–19 in the U.S. (last documentation with CBP to be eligible Security (Secretary) to continue to updated Apr. 19, 2020), available at https:// www.cdc.gov/coronavirus/2019-ncov/cases- for this relief but must maintain temporarily limit the travel of updates/cases-in-us.html. documentation as part of its books and individuals from Canada into the United 4 WHO, Coronavirus disease 2019 (COVID–19) records establishing that it meets the States at land ports of entry along the Situation Report—90 (Apr. 19, 2020). requirements for relief. United States-Canada border. Such 5 Id.

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COVID–19 between the United States through the land ports of entry and ferry individualized basis and for and Canada poses an ongoing ‘‘specific terminals along the United States- humanitarian reasons or for other threat to human life or national Canada border shall be limited to purposes in the national interest, permit interests.’’ ‘‘essential travel,’’ which includes, but the processing of travelers to the United U.S. and Canadian officials have is not limited to— States not engaged in ‘‘essential travel.’’ mutually determined that non-essential • U.S. citizens and lawful permanent The Acting Secretary of Homeland travel between the United States and residents returning to the United States; Security, Chad F. Wolf, having reviewed Canada poses additional risk of • Individuals traveling for medical and approved this document, is transmission and spread of COVID–19 purposes (e.g., to receive medical delegating the authority to electronically and places the populace of both nations treatment in the United States); sign this document to Chad R. Mizelle, at increased risk of contracting COVID– • Individuals traveling to attend who is the Senior Official Performing 19. Moreover, given the sustained educational institutions; the Duties of the General Counsel for • human-to-human transmission of the Individuals traveling to work in the DHS, for purposes of publication in the virus, returning to previous levels of United States (e.g., individuals working Federal Register. travel between the two nations places in the farming or agriculture industry the personnel staffing land ports of who must travel between the United Chad R. Mizelle, entry between the United States and States and Canada in furtherance of Senior Official Performing the Duties of the Canada, as well as the individuals such work); General Counsel, U.S. Department of traveling through these ports of entry, at • Individuals traveling for emergency Homeland Security. increased risk of exposure to COVID–19. response and public health purposes [FR Doc. 2020–08650 Filed 4–20–20; 2:00 pm] Accordingly, and consistent with the (e.g., government officials or emergency BILLING CODE 9112–FP–P authority granted in 19 U.S.C. responders entering the United States to 1318(b)(1)(C) and (b)(2),6 I have support federal, state, local, tribal, or determined that land ports of entry territorial government efforts to respond DEPARTMENT OF HOMELAND along the U.S.-Canada border will to COVID–19 or other emergencies); SECURITY continue to suspend normal operations • Individuals engaged in lawful cross- U.S. Customs and Border Protection and will only allow processing for entry border trade (e.g., truck drivers into the United States of those travelers supporting the movement of cargo 19 CFR Chapter I engaged in ‘‘essential travel,’’ as defined between the United States and Canada); • below. Given the definition of ‘‘essential Individuals engaged in official Notification of Temporary Travel travel’’ below, this temporary alteration government travel or diplomatic travel; Restrictions Applicable to Land Ports • Members of the U.S. Armed Forces, in land ports of entry operations should of Entry and Ferries Service Between and the spouses and children of not interrupt legitimate trade between the United States and Mexico the two nations or disrupt critical members of the U.S. Armed Forces, supply chains that ensure food, fuel, returning to the United States; and AGENCY: Office of the Secretary, U.S. medicine, and other critical materials • Individuals engaged in military- Department of Homeland Security; U.S. reach individuals on both sides of the related travel or operations. Customs and Border Protection, U.S. border. The following travel does not fall Department of Homeland Security. within the definition of ‘‘essential For purposes of the temporary ACTION: Notification of continuation of alteration in certain designated ports of travel’’ for purposes of this temporary travel restrictions. entry operations authorized under 19 Notification— • U.S.C. 1318(b)(1)(C) and (b)(2), travel Individuals traveling for tourism SUMMARY: This document announces the purposes (e.g., sightseeing, recreation, decision of the Secretary of Homeland 6 19 U.S.C. 1318(b)(1)(C) provides that gambling, or attending cultural events). Security (Secretary) to continue to ‘‘[n]otwithstanding any other provision of law, the At this time, this notification does not temporarily limit the travel of Secretary of the Treasury, when necessary to apply to air, freight rail, or sea travel respond to a national emergency declared under the individuals from Mexico into the United National Emergencies Act (50 U.S.C. 1601 et seq.) between the United States and Canada, States at land ports of entry along the or to a specific threat to human life or national but does apply to passenger rail and United States-Mexico border. Such interests,’’ is authorized to ‘‘take any . . . action ferry travel between the United States travel will be limited to ‘‘essential that may be necessary to respond directly to the and Canada. These restrictions are national emergency or specific threat.’’ On March travel,’’ as further defined in this 1, 2003, certain functions of the Secretary of the temporary in nature and shall remain in document. Treasury were transferred to the Secretary of effect until 11:59 p.m. EDT on May 20, Homeland Security. See 6 U.S.C. 202(2), 203(1). 2020. This notification may be amended DATES: These restrictions go into effect Under 6 U.S.C. 212(a)(1), authorities ‘‘related to or rescinded prior to that time, based on at 12 a.m. Eastern Daylight Time (EDT) Customs revenue functions’’ were reserved to the circumstances associated with the on April 21, 2020, and will remain in Secretary of the Treasury. To the extent that any effect until 11:59 p.m. EDT on May 20, authority under section 1318(b)(1) was reserved to specific threat. the Secretary of the Treasury, it has been delegated The Commissioner of U.S. Customs 2020. to the Secretary of Homeland Security. See Treas. and Border Protection (CBP) is hereby FOR FURTHER INFORMATION CONTACT: Dep’t Order No. 100–16 (May 15, 2003), 68 FR directed to prepare and distribute Alyce Modesto, Office of Field 28322 (May 23, 2003). Additionally, 19 U.S.C. 1318(b)(2) provides that ‘‘[n]otwithstanding any appropriate guidance to CBP personnel Operations, U.S. Customs and Border other provision of law, the Commissioner of U.S. on the continued implementation of the Protection (CBP) at 202–344–3788. Customs and Border Protection, when necessary to temporary measures set forth in this SUPPLEMENTARY INFORMATION: respond to a specific threat to human life or Notification. The CBP Commissioner national interests, is authorized to close temporarily Background any Customs office or port of entry or take any other may determine that other forms of lesser action that may be necessary to respond to travel, such as travel in furtherance of On March 24, 2020, DHS published the specific threat.’’ Congress has vested in the economic stability or social order, notice of the Secretary’s decision to Secretary of Homeland Security the ‘‘functions of constitute ‘‘essential travel’’ under this all officers, employees, and organizational units of temporarily limit the travel of the Department,’’ including the Commissioner of notification. Further, the CBP individuals from Mexico into the United CBP. 6 U.S.C. 112(a)(3). Commissioner may, on an States at land ports of entry along the

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United States-Mexico border to authority granted in 19 U.S.C. responders entering the United States to ‘‘essential travel,’’ as further defined in 1318(b)(1)(C) and (b)(2),6 I have support Federal, State, local, tribal, or that document.1 The document determined that land ports of entry territorial government efforts to respond described the developing circumstances along the U.S.-Mexico border will to COVID–19 or other emergencies); regarding the COVID–19 pandemic and continue to suspend normal operations • Individuals engaged in lawful cross- stated that, given the outbreak and and will only allow processing for entry border trade (e.g., truck drivers continued transmission and spread of into the United States of those travelers supporting the movement of cargo COVID–19 within the United States and engaged in ‘‘essential travel,’’ as defined between the United States and Mexico); globally, the Secretary had determined below. Given the definition of ‘‘essential • Individuals engaged in official that the risk of continued transmission travel’’ below, this temporary alteration government travel or diplomatic travel; and spread of COVID–19 between the in land ports of entry operations should • Members of the U.S. Armed Forces, United States and Mexico posed a not interrupt legitimate trade between and the spouses and children of ‘‘specific threat to human life or the two nations or disrupt critical members of the U.S. Armed Forces, national interests.’’ The Secretary’s supply chains that ensure food, fuel, returning to the United States; and action is currently scheduled to expire medicine, and other critical materials • Individuals engaged in military- at 11:59 p.m. EDT on April 20, 2020. reach individuals on both sides of the related travel or operations. The Secretary has continued to border. The following travel does not fall monitor and respond to the COVID–19 For purposes of the temporary within the definition of ‘‘essential pandemic. As of April 19, there are over alteration in certain designated ports of travel’’ for purposes of this 2.2 million confirmed cases globally, entry operations authorized under 19 Notification— with over 152,000 confirmed deaths.2 U.S.C. 1318(b)(1)(C) and (b)(2), travel • Individuals traveling for tourism There are over 720,000 confirmed cases through the land ports of entry and ferry purposes (e.g., sightseeing, recreation, within the United States,3 over 32,000 terminals along the United States- gambling, or attending cultural events). in Canada,4 and over 6,800 in Mexico.5 Mexico border shall be limited to At this time, this notification does not apply to air, freight rail, or sea travel Notice of Action ‘‘essential travel,’’ which includes, but is not limited to— between the United States and Mexico, Given the outbreak and continued • U.S. citizens and lawful permanent but does apply to passenger rail and transmission and spread of COVID–19 residents returning to the United States; ferry travel between the United States within the United States and globally, I • Individuals traveling for medical and Mexico. These restrictions are have determined that the risk of purposes (e.g., to receive medical temporary in nature and shall remain in continued transmission and spread of treatment in the United States); effect until 11:59 p.m. EDT on May 20, COVID–19 between the United States • Individuals traveling to attend 2020. This notification may be amended and Mexico poses an ongoing ‘‘specific educational institutions; or rescinded prior to that time, based on threat to human life or national • Individuals traveling to work in the circumstances associated with the interests.’’ United States (e.g., individuals working specific threat. U.S. and Mexican officials have in the farming or agriculture industry The Commissioner of U.S. Customs mutually determined that non-essential who must travel between the United and Border Protection (CBP) is hereby travel between the United States and States and Mexico in furtherance of directed to prepare and distribute Mexico poses additional risk of such work); appropriate guidance to CBP personnel transmission and spread of COVID–19 • Individuals traveling for emergency on the continued implementation of the and places the populace of both nations response and public health purposes temporary measures set forth in this at increased risk of contracting COVID– (e.g., government officials or emergency notification. The CBP Commissioner 19. Moreover, given the sustained may determine that other forms of human-to-human transmission of the 6 19 U.S.C. 1318(b)(1)(C) provides that travel, such as travel in furtherance of virus, returning to previous levels of ‘‘[n]otwithstanding any other provision of law, the Secretary of the Treasury, when necessary to economic stability or social order, travel between the two nations places respond to a national emergency declared under the constitute ‘‘essential travel’’ under this the personnel staffing land ports of National Emergencies Act (50 U.S.C. 1601 et seq.) notification. Further, the CBP entry between the United States and or to a specific threat to human life or national Commissioner may, on an Mexico, as well as the individuals interests,’’ is authorized to ‘‘take any . . . action that may be necessary to respond directly to the individualized basis and for traveling through these ports of entry, at national emergency or specific threat.’’ On March humanitarian reasons or for other increased risk of exposure to COVID–19. 1, 2003, certain functions of the Secretary of the purposes in the national interest, permit Accordingly, and consistent with the Treasury were transferred to the Secretary of the processing of travelers to the United Homeland Security. See 6 U.S.C. 202(2), 203(1). Under 6 U.S.C. 212(a)(1), authorities ‘‘related to States not engaged in ‘‘essential travel.’’ 1 85 FR 16547 (Mar. 24, 2020). That same day, Customs revenue functions’’ were reserved to the The Acting Secretary of Homeland DHS also published notice of the Secretary’s Secretary of the Treasury. To the extent that any decision to temporarily limit the travel of Security, Chad F. Wolf, having reviewed authority under section 1318(b)(1) was reserved to individuals from Canada into the United States at and approved this document, is the Secretary of the Treasury, it has been delegated land ports of entry along the United States-Canada to the Secretary of Homeland Security. See Treas. delegating the authority to electronically border to ‘‘essential travel,’’ as further defined in Dep’t Order No. 100–16 (May 15, 2003), 68 FR sign this document to Chad R. Mizelle, that document. 85 FR 16548 (Mar. 24, 2020). 28322 (May 23, 2003). Additionally, 19 U.S.C. who is the Senior Official Performing 2 WHO, Coronavirus disease 2019 (COVID–19) 1318(b)(2) provides that ‘‘[n]otwithstanding any the Duties of the General Counsel for Situation Report—90 (Apr. 19, 2020), available at other provision of law, the Commissioner of U.S. https://www.who.int/docs/default-source/ Customs and Border Protection, when necessary to DHS, for purposes of publication in the coronaviruse/situation-reports/20200419-sitrep-90- Federal Register. _ respond to a specific threat to human life or covid-19.pdf?sfvrsn=551d47fd 4. national interests, is authorized to close temporarily 3 CDC, Cases of COVID–19 in the U.S. (last any Customs office or port of entry or take any other Chad R. Mizelle, updated Apr. 19, 2020), available at https:// lesser action that may be necessary to respond to Senior Official Performing the Duties of the www.cdc.gov/coronavirus/2019-ncov/cases- the specific threat.’’ Congress has vested in the General Counsel, U.S. Department of updates/cases-in-us.html. Secretary of Homeland Security the ‘‘functions of Homeland Security. 4 WHO, Coronavirus disease 2019 (COVID–19) all officers, employees, and organizational units of Situation Report—90 (Apr. 19, 2020). the Department,’’ including the Commissioner of [FR Doc. 2020–08652 Filed 4–20–20; 2:00 pm] 5 Id. CBP. 6 U.S.C. 112(a)(3). BILLING CODE 9112–FP–P

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ENVIRONMENTAL PROTECTION approval were stated in the proposed • 173–400–030 (12/29/2012), 173– AGENCY rule and will not be re-stated here. 400–081 (04/01/2011), 173–400–110 (12/29/2012), 173–400–111 (07/01/ II. Response to Comments 40 CFR Part 52 2016), 173–400–112 (12/29/2012), 173– [EPA–R10–OAR–2019–0710, FRL–10007– The public comment period for our 400–113 (12/29/2012), 173–400–117 31–Region 10] proposed action ended on February 27, (12/29/2012), 173–400–171 (07/01/ 2020. We received two comments. Both 2016), 173–400–200 (02/10/2005), 173– Approval and Promulgation of comments are included in the docket for 400–560 (12/29/2012), 173–400–800 (4/ Implementation Plans; Washington; this action. The first comment focused 01/2011), 173–400–810 (07/01/2016), Puget Sound Clean Air Agency, on permitting requirements under the 173–400–820 (12/29/2012), 173–400– Regulation I Prevention of Significant Deterioration 830 (07/01/2016), 173–400–840 (07/01/ (PSD) program operated in Washington 2016), 173–400–850 (07/01/2016), and AGENCY: Environmental Protection State by Ecology and the Energy Facility 173–400–860 (4/01/2011). Agency (EPA). Site Evaluation Council (EFSEC). Lastly, for Chapter 173–400 WAC ACTION: Final rule. Saliently, the EPA did not propose any provisions not adopted by reference by SUMMARY: The Environmental Protection changes to the PSD regulations in PSCAA, we are approving the following Agency (EPA) is approving revisions to Washington Administrative Code updates to apply within PSCAA’s the Washington State Implementation (WAC) 173–400–700 through 173–400– jurisdiction (effective date): • Plan (SIP) that were submitted by the 750. Further, as discussed in the 173–400–020 (12/29/2012), 173– Washington Department of Ecology proposal for this action, PSCAA does 400–040 (09/16/2018), 173–400–091 (4/ (Ecology) in coordination with the Puget not issue PSD permits in Washington 1/2011), 173–400–105 (11/25/2018), Sound Clean Air Agency (PSCAA). This State. For the above reasons, we 173–400–118 (12/29/2012), 173–400– action updates certain PSCAA consider the first comment to be outside 131 (04/1/2011), 173–400–136 (12/29/ regulations currently in the SIP, the scope of this action. The second 2012), 173–400–151 (2/10/2005), and removes obsolete regulations, and comment was a generalized critique of 173–400–175 (2/10/2005). approves a subset of updated Ecology the EPA. We do not consider these Please see the amendatory text for regulations to apply in PSCAA’s comments to be germane or relevant to more detailed information about the jurisdiction. this action and therefore not adverse to provisions submitted and approved in this action. The comments lack the this action, including local agency DATES: This final rule is effective May required specificity to the proposed SIP corollaries which replace certain 22, 2020. revision and the relevant requirements Chapter 173–400 WAC provisions and ADDRESSES: The EPA has established a of Clean Air Act (CAA) section 110. exclusions to our approval. docket for this action under Docket ID Moreover, none of the comments No. EPA–R10–OAR–2019–0710. All address a specific regulation or B. Approved But Not Incorporated by documents in the docket are listed on provision in question or recommend a Reference Regulations the https://www.regulations.gov different action on the SIP submission In addition to the regulations website. Although listed in the index, from what the EPA proposed. Therefore, approved and incorporated by reference some information is not publicly we are finalizing our action as proposed. above, the EPA reviews and approves available, e.g., Confidential Business III. Final Action state and local clean air agency Information or other information the submissions to ensure they provide disclosure of which is restricted by A. Regulations Approved and adequate enforcement authority and statute. Certain other material, such as Incorporated by Reference Into the SIP other general authority to implement copyrighted material, is not placed on and enforce the SIP. However, the internet and will be publicly The EPA is approving and regulations describing such agency available only in hard copy form. incorporating by reference into the enforcement and other general authority Publicly available docket materials are Washington SIP at 40 CFR 52.2470(c)— are generally not incorporated by available at https://www.regulations.gov, Table 7—Additional Regulations reference so as to avoid potential or please contact the person listed in the Approved for the Puget Sound Clean Air conflict with the EPA’s independent FOR FURTHER INFORMATION CONTACT Agency (PSCAA) Jurisdiction, the authorities. On August 31, 2004, the section for additional availability following PSCAA Regulation I sections EPA reviewed and approved Regulation information. (effective date): I, sections 3.01, 3.05, 3.09, 3.13, 3.15, • FOR FURTHER INFORMATION CONTACT: Jeff 1.01 (11/01/1999), 1.07 (12/01/ 3.17, 3.19, and 3.21 as providing PSCAA Hunt, EPA Region 10, 1200 Sixth 2018), 3.03(f) (02/01/2012), 3.04 (07/01/ adequate enforcement and other general Avenue—Suite 155, Seattle, WA 98101, 2012), 3.25 (11/01/2019), 5.03 (11/01/ authority for purposes of implementing at (206) 553–0256, or [email protected]. 2016), 5.05 (02/01/2017), 6.01 (05/01/ and enforcing its SIP but did not SUPPLEMENTARY INFORMATION: 2013), 6.03 (11/01/2015), 6.09 (05/01/ incorporate these provisions by Throughout this document, wherever 2004), 6.10 (09/01/2001), 7.09 (02/01/ reference (69 FR 53007). While these ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, it means 2017), 9.03 (05/01/2004), 9.04 (05/01/ provisions remain unchanged since our the EPA. 2004), 9.07 (05/19/1994), 9.08 (05/01/ last review and approval, we are 2004), 9.09 (06/01/1998), 9.11(a) (04/17/ including these sections in 40 CFR I. Background 1999), 9.13 (06/09/1988), 9.15 (04/17/ 52.2470(e), EPA Approved On January 28, 2020, we proposed to 1999), 9.16 (12/02/2010), 9.18 (03/02/ Nonregulatory Provisions and Quasi- approve updates to certain PSCAA 2012), and 12.03 (11/01/2015). Regulatory Measures, as approved but regulations currently in the SIP, remove The EPA is also approving and not incorporated by reference regulatory obsolete regulations, and approve a incorporating by reference PSCAA’s provisions. Lastly, PSCAA updated subset of updated Ecology regulations to adoption by reference of the following Regulation 1, sections 3.07 and 3.11 apply in PSCAA’s jurisdiction (85 FR Chapter 173–400 WAC provisions which we are approving, but not 4921). The reasons for our proposed submitted for approval (effective date): incorporating by reference.

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C. Regulations To Remove From the SIP applies to implementation of the major merely approves state law as meeting As discussed in the proposal for this nonattainment NSR program in federal requirements and does not action, we are removing from the SIP PSCAA’s jurisdiction. impose additional requirements beyond Lastly, this SIP revision is not Regulation I, sections 5.02, 6.03(b)(10) those imposed by state law. For that approved to apply on any Indian [formerly 6.03(b)(17)], 6.04, 6.06, 6.07, reason, this action: reservation land in Washington except • and 6.08. We are also removing Is not a ‘‘significant regulatory as specifically noted below and is also outdated Chapter 173–400 WAC action’’ subject to review by the Office not approved to apply in any other area provisions and replacing them with the of Management and Budget under where the EPA or an Indian tribe has submitted PSCAA replacement Executive Orders 12866 (58 FR 51735, demonstrated that a tribe has corollaries, including PSCAA’s adoption October 4, 1993) and 13563 (76 FR 3821, jurisdiction. In those areas of Indian by reference of certain Chapter 173–400 January 21, 2011); country, the rule does not have tribal • Is not an Executive Order 13771 (82 WAC provisions, or the currently implications and will not impose FR 9339, February 2, 2017) regulatory approved updates to Chapter 173–400 substantial direct costs on tribal action because SIP approvals are WAC. Please see 85 FR 10301 (February governments or preempt tribal law as exempted under Executive Order 12866; 24, 2020) for our most recent approval specified by Executive Order 13175 (65 • Does not impose an information of Chapter 173–400 WAC. FR 67249, November 9, 2000). collection burden under the provisions D. Scope of Proposed Action Washington’s SIP is approved to apply of the Paperwork Reduction Act (44 on non-trust land within the exterior U.S.C. 3501 et seq.); This revision to the SIP applies boundaries of the Puyallup Indian • Is certified as not having a specifically to the PSCAA jurisdiction Reservation, also known as the 1873 significant economic impact on a incorporated into the SIP at 40 CFR Survey Area. Under the Puyallup Tribe substantial number of small entities 52.2470(c)—Table 7. As discussed in of Indians Settlement Act of 1989, 25 under the Regulatory Flexibility Act (5 our proposal, local air agency U.S.C. 1773, Congress explicitly U.S.C. 601 et seq.); jurisdiction in Washington is generally provided state and local agencies in • Does not contain any unfunded defined on a geographic basis; however, Washington authority over activities on mandate or significantly or uniquely there are exceptions. By statute, PSCAA non-trust lands within the 1873 Survey affect small governments, as described does not have authority for sources Area. in the Unfunded Mandates Reform Act under the jurisdiction of EFSEC. See of 1995 (Pub. L. 104–4); Revised Code of Washington Chapter IV. Incorporation by Reference • Does not have federalism 80.50. Under the applicability In this rule, the EPA is finalizing implications as specified in Executive provisions of WAC 173–405–012, 173– regulatory text that includes Order 13132 (64 FR 43255, August 10, 410–012, and 173–415–012, PSCAA also incorporation by reference. In 1999); does not have jurisdiction for kraft pulp accordance with requirements of 1 CFR • Is not an economically significant mills, sulfite pulping mills, and primary 51.5, we are finalizing the incorporation regulatory action based on health or aluminum plants. For these sources, by reference as described in the safety risks subject to Executive Order Ecology retains statewide, direct amendments to 40 CFR part 52 set forth 13045 (62 FR 19885, April 23, 1997); jurisdiction. Ecology and EFSEC also below. The EPA has made, and will • Is not a significant regulatory action retain statewide, direct jurisdiction for continue to make, these materials subject to Executive Order 13211 (66 FR issuing PSD permits. Therefore, the EPA generally available through https:// 28355, May 22, 2001); is not approving into 40 CFR www.regulations.gov and at the EPA • Is not subject to requirements of 52.2470(c)—Table 7 those provisions of Region 10 Office (please contact the section 12(d) of the National Chapter 173–400 WAC related to the person identified in the FOR FURTHER Technology Transfer and Advancement PSD program. Specifically, these INFORMATION CONTACT section of this Act of 1995 (15 U.S.C. 272 note) because provisions are WAC 173–400–116 and preamble for more information). it does not address technical standards; WAC 173–400–700 through 173–400– Therefore, these materials have been and 750, which the EPA has already approved by the EPA for inclusion in • Does not provide the EPA with the approved as applying state-wide under the SIP, have been incorporated by discretionary authority to address, as 40 CFR 52.2470(c)—Tables 2 and 3. reference by the EPA into that plan, are appropriate, disproportionate human Also, as described in our proposal for fully federally-enforceable under health or environmental effects, using this action, jurisdiction to implement sections 110 and 113 of the CAA as of practicable and legally permissible the visibility permitting program the effective date of the final rulemaking methods, under Executive Order 12898 contained in WAC 173–400–117 varies of the EPA’s approval, and will be (59 FR 7629, February 16, 1994). depending on the situation. Ecology and incorporated by reference in the next The SIP is not approved to apply on EFSEC retain authority to implement update to the SIP compilation.1 any Indian reservation land in WAC 173–400–117 as it relates to PSD Washington except as specifically noted permits. However, for facilities subject V. Statutory and Executive Order below and is also not approved to apply to major nonattainment new source Review in any other area where the EPA or an review (NSR) under the applicability Under the CAA, the Administrator is Indian tribe has demonstrated that a provisions of WAC 173–400–800, required to approve a SIP submission tribe has jurisdiction. In those areas of incorporated by reference in Regulation that complies with the provisions of the Indian country, the rule does not have I, we are approving PSCAA’s CAA and applicable federal regulations. tribal implications and will not impose implementation of those parts of WAC 42 U.S.C. 7410(k); 40 CFR 52.02(a). substantial direct costs on tribal 173–400–117 as they relate to major Thus, in reviewing SIP submissions, the governments or preempt tribal law as nonattainment NSR permits. Therefore, EPA’s role is to approve state choices, specified by Executive Order 13175 (65 we are modifying the visibility provided that they meet the criteria of FR 67249, November 9, 2000). protection Federal Implementation Plan the CAA. Accordingly, this action Washington’s SIP is approved to apply contained in 40 CFR 52.2498 to reflect on non-trust land within the exterior the approval of WAC 173–400–117 as it 1 62 FR 27968 (May 22, 1997). boundaries of the Puyallup Indian

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Reservation, also known as the 1873 Register. A major rule cannot take effect matter, Reporting and recordkeeping Survey Area. Under the Puyallup Tribe until 60 days after it is published in the requirements, Sulfur oxides, Volatile of Indians Settlement Act of 1989, 25 Federal Register. This action is not a organic compounds. U.S.C. 1773, Congress explicitly ‘‘major rule’’ as defined by 5 U.S.C. Dated: April 10, 2020. 804(2). provided State and local agencies in Christopher Hladick, Washington authority over activities on Under section 307(b)(1) of the CAA, Regional Administrator, Region 10. non-trust lands within the 1873 Survey petitions for judicial review of this Area. Consistent with EPA policy, the action must be filed in the United States For the reasons set forth in the EPA provided a consultation Court of Appeals for the appropriate preamble, 40 CFR part 52 is amended as opportunity to the Puyallup Tribe in a circuit by June 22, 2020. Filing a follows: letter dated March 21, 2018. petition for reconsideration by the Administrator of this final rule does not PART 52—APPROVAL AND The Congressional Review Act, 5 affect the finality of this action for the PROMULGATION OF U.S.C. 801 et seq., as added by the Small purposes of judicial review nor does it IMPLEMENTATION PLANS Business Regulatory Enforcement extend the time within which a petition Fairness Act of 1996, generally provides for judicial review may be filed, and ■ 1. The authority citation for part 52 that before a rule may take effect, the shall not postpone the effectiveness of continues to read as follows: agency promulgating the rule must such rule or action. This action may not Authority: 42 U.S.C. 7401 et seq. submit a rule report, which includes a be challenged later in proceedings to copy of the rule, to each House of the enforce its requirements. (See section Subpart WW—Washington Congress and to the Comptroller General 307(b)(2)). of the United States. The EPA will ■ 2. Amend § 52.2470 by revising Table submit a report containing this action List of Subjects in 40 CFR Part 52 7 of paragraph (c) and Table 1 of and other required information to the Environmental protection, Air paragraph (e), to read as follows: U.S. Senate, the U.S. House of pollution control, Carbon monoxide, Representatives, and the Comptroller Incorporation by reference, § 52.2470 Identification of plan. General of the United States prior to Intergovernmental relations, Lead, * * * * * publication of the rule in the Federal Nitrogen dioxide, Ozone, Particulate (c) * * *

TABLE 7—ADDITIONAL REGULATIONS APPROVED FOR THE PUGET SOUND CLEAN AIR AGENCY (PSCAA) JURISDICTION [Applicable in King, Kitsap, Pierce and Snohomish counties, excluding facilities subject to Energy Facilities Site Evaluation Council (EFSEC) juris- diction; facilities subject to the Washington Department of Ecology’s direct jurisdiction under Chapters 173–405, 173–410, and 173–415 Washington Administrative Code (WAC); Indian reservations (excluding non-trust land within the exterior boundaries of the Puyallup Indian Reservation); any other area where the EPA or an Indian tribe has demonstrated that a tribe has jurisdiction; and the Prevention of Signifi- cant Deterioration (PSD) permitting of facilities subject to the applicability sections of WAC 173–400–700.]

State/local State/local Title/subject effective EPA approval date Explanations citation date

Puget Sound Clean Air Agency Regulations

Regulation I—Article 1: Policy, Short Title, and Definitions

1.01 ...... Policy ...... 11/01/99 4/22/20, [Insert Federal Register Replaces WAC 173–400–010. citation]. 1.03 ...... Name of Agency ...... 11/01/99 8/31/04, 69 FR 53007. 1.05 ...... Short Title ...... 11/01/99 8/31/04, 69 FR 53007. 1.07 ...... Definitions ...... 12/01/18 4/22/20, [Insert Federal Register Except the definition ‘‘toxic air pol- citation]. lutant (TAP) or toxic air con- taminant.’’

Regulation I—Article 3: General Provisions

3.03(f) ...... General Regulatory Orders ...... 02/01/12 4/22/20, [Insert Federal Register citation]. 3.04 ...... Reasonably Available Control 07/01/12 4/22/20, [Insert Federal Register Except 3.04(e). Replaces WAC Technology. citation]. 173–400–040(1)(c). 3.06 ...... Credible Evidence ...... 11/14/98 8/31/04, 69 FR 53007. 3.25 ...... Federal Regulation Reference 11/01/19 4/22/20, [Insert Federal Register Replaces WAC 173–400–025. Date. citation].

Regulation I—Article 5: Registration

5.03 ...... Applicability of Registration Pro- 11/01/16 4/22/20, [Insert Federal Register Except 5.03(a)(8)(Q) and gram. citation]. 5.03(b)(5). 5.05 ...... Registration Requirements ...... 02/01/17 4/22/20, [Insert Federal Register Except 5.05(b)(1) and (2). citation].

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TABLE 7—ADDITIONAL REGULATIONS APPROVED FOR THE PUGET SOUND CLEAN AIR AGENCY (PSCAA) JURISDICTION— Continued [Applicable in King, Kitsap, Pierce and Snohomish counties, excluding facilities subject to Energy Facilities Site Evaluation Council (EFSEC) juris- diction; facilities subject to the Washington Department of Ecology’s direct jurisdiction under Chapters 173–405, 173–410, and 173–415 Washington Administrative Code (WAC); Indian reservations (excluding non-trust land within the exterior boundaries of the Puyallup Indian Reservation); any other area where the EPA or an Indian tribe has demonstrated that a tribe has jurisdiction; and the Prevention of Signifi- cant Deterioration (PSD) permitting of facilities subject to the applicability sections of WAC 173–400–700.]

State/local State/local Title/subject effective EPA approval date Explanations citation date

Regulation I—Article 6: New Source Review

6.01 ...... Components of New Source Re- 8/01/18 4/22/20, [Insert Federal Register Except the parenthetical in 6.01(b) view Program. citation]. which states ‘‘as delegated by agreement with the US Environ- mental Protection Agency, Re- gion 10.’’ See subheading below for revised Chapter 173– 400 WAC provisions incor- porated by reference. 6.03 ...... Notice of Construction ...... 11/01/15 4/22/20, [Insert Federal Register Except 6.03(b)(10). Section 6.03 citation]. replaces WAC 173–400–110, except WAC 173–400– 110(1)(c)(i) and (1)(d) which are incorporated by reference. 6.09 ...... Notice of Completion ...... 05/01/04 4/22/20, [Insert Federal Register citation]. 6.10 ...... Work Done without an Approval ... 09/01/01 4/22/20, [Insert Federal Register citation].

Regulation I—Article 7: Operating Permits

7.09 ...... General Reporting Requirements 02/01/17 4/22/20, [Insert Federal Register Excluding toxic air pollutants. for Operating Permits. citation].

Regulation I—Article 8: Outdoor Burning

8.04 ...... General Conditions for Outdoor 01/01/01 8/31/04, 69 FR 53007. Burning. 8.05 ...... Agricultural Burning ...... 01/01/01 8/31/04, 69 FR 53007. 8.06 ...... Outdoor Burning Ozone Contin- 01/23/03 8/05/04, 69 FR 47364. gency Measure. 8.09 ...... Description of King County No- 01/01/01 8/31/04, 69 FR 53007. Burn Area. 8.10 ...... Description of Pierce County No- 01/01/01 8/31/04, 69 FR 53007. Burn Area. 8.11 ...... Description of Snohomish County 01/01/01 8/31/04, 69 FR 53007. No-Burn Area. 8.12 ...... Description of Kitsap County No- 11/30/02 8/31/04, 69 FR 53007. Burn Area.

Regulation I—Article 9: Emission Standards

9.03 ...... Emission of Air Contaminant: Vis- 05/01/04 4/22/20, [Insert Federal Register Except 9.03(e). Replaces WAC ual Standard. citation]. 173–400–040(2). 9.04 ...... Opacity Standards for Equipment 05/01/04 4/22/20, [Insert Federal Register Except 9.04(d)(2) and 9.04(f). with Continuous Opacity Moni- citation]. toring Systems. 9.05 ...... Refuse Burning ...... 1/13/94 06/29/95, 60 FR 33734. 9.07 ...... Sulfur Dioxide Emission Standard 05/19/94 4/22/20, [Insert Federal Register Replaces WAC 173–400–040(7). citation]. 9.08 ...... Fuel Oil Standards ...... 05/01/04 4/22/20, [Insert Federal Register Approved only as it applies to the citation]. regulation of criteria pollutants. 9.09 ...... Particulate Matter Emission Stand- 06/01/98 4/22/20, [Insert Federal Register Replaces WAC 173–400– ards. citation]. 050(1)&(3) and 173–400–060. 9.11(a) ...... Emission of Air Contaminant: Det- 04/17/99 4/22/20, [Insert Federal Register Replaces WAC 173–400–040(6). riment to Person or Property. citation]. 9.13 ...... Emission of Air Contaminant: Con- 06/09/88 4/22/20, [Insert Federal Register Replaces WAC 173–400–040(8). cealment and Masking Re- citation]. stricted. 9.15 ...... Fugitive Dust Control Measures ... 04/17/99 4/22/20, [Insert Federal Register Replaces WAC 173–400– citation]. 040(9)(a). 9.16 ...... Spray-Coating Operations ...... 12/02/10 4/22/20, [Insert Federal Register citation].

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TABLE 7—ADDITIONAL REGULATIONS APPROVED FOR THE PUGET SOUND CLEAN AIR AGENCY (PSCAA) JURISDICTION— Continued [Applicable in King, Kitsap, Pierce and Snohomish counties, excluding facilities subject to Energy Facilities Site Evaluation Council (EFSEC) juris- diction; facilities subject to the Washington Department of Ecology’s direct jurisdiction under Chapters 173–405, 173–410, and 173–415 Washington Administrative Code (WAC); Indian reservations (excluding non-trust land within the exterior boundaries of the Puyallup Indian Reservation); any other area where the EPA or an Indian tribe has demonstrated that a tribe has jurisdiction; and the Prevention of Signifi- cant Deterioration (PSD) permitting of facilities subject to the applicability sections of WAC 173–400–700.]

State/local State/local Title/subject effective EPA approval date Explanations citation date

9.18 ...... Crushing Operations ...... 03/02/12 4/22/20, [Insert Federal Register citation]. 9.20 ...... Maintenance of Equipment ...... 6/9/88 08/29/94, 59 FR 44324.

Regulation I—Article 12: Standards of Performance for Continuous Emission Monitoring Systems

12.01 ...... Applicability ...... 06/01/98 8/31/04, 69 FR 53007. 12.03 ...... Continuous Emission Monitoring 11/01/15 4/22/20, [Insert Federal Register Replaces WAC 173–400–105(7). Systems. citation].

Regulation I—Article 13: Solid Fuel Burning Device Standards

13.01 ...... Policy and Purpose ...... 12/01/12 5/29/13, 78 FR 32131. 13.02 ...... Definitions ...... 12/01/12 5/29/13, 78 FR 32131. 13.03 ...... Opacity Standards ...... 12/01/12 5/29/13, 78 FR 32131. 13.04 ...... Prohibited Fuel Types ...... 12/01/12 5/29/13, 78 FR 32131. 13.05 ...... Curtailment ...... 12/01/12 5/29/13, 78 FR 32131. 13.06 ...... Emission Performance Standards 12/01/12 5/29/13, 78 FR 32131. 13.07 ...... Contingency Plan ...... 12/01/12 5/29/13, 78 FR 32131.

Regulation II—Article 1: Purpose, Policy, Short Title, and Definitions

1.01 ...... Purpose ...... 11/01/99 08/31/04, 69 FR 53007. 1.02 ...... Policy ...... 11/01/99 08/31/04, 69 FR 53007. 1.03 ...... Short Title ...... 11/01/99 08/31/04, 69 FR 53007. 1.04 ...... General Definitions ...... 12/11/80 02/28/83, 48 FR 8273. 1.05 ...... Special Definitions ...... 9/1/03 09/17/13, 78 FR 57073.

Regulation II—Article 2: Gasoline Marketing Emission Standards

2.01 ...... Definitions ...... 08/13/99 08/31/04, 69 FR 53007. 2.03 ...... Petroleum Refineries ...... 07/15/91 08/29/94, 59 FR 44324. 2.05 ...... Gasoline Loading Terminals ...... 01/13/94 06/29/95, 60 FR 33734. 2.06 ...... Bulk Gasoline Plants ...... 07/15/91 08/29/94, 59 FR 44324. 2.07 ...... Gasoline Stations ...... 01/10/00 08/31/04, 69 FR 53007. 2.08 ...... Gasoline Transport Tanks ...... 08/13/99 08/31/04, 69 FR 53007. 2.09 ...... Oxygenated Gasoline Carbon 01/23/03 08/05/04, 69 FR 47365. Monoxide Contingency Measure and Fee Schedule. 2.10 ...... Gasoline Station Ozone Contin- 01/23/03 08/05/04, 69 FR 47365. gency Measure.

Regulation II—Article 3: Miscellaneous Volatile Organic Compound Emission Standards

3.01 ...... Cutback Asphalt Paving ...... 7/15/91 08/29/94, 59 FR 44324. 3.02 ...... Volatile Organic Compound Stor- 8/13/99 08/31/04, 69 FR 53007. age Tanks. 3.03 ...... Can and Paper Coating Oper- 3/17/94 06/29/95, 60 FR 33734. ations. 3.04 ...... Motor Vehicle and Mobile Equip- 9/1/03 09/17/13, 78 FR 57073. ment Coating Operations. 3.05 ...... Graphic Arts Systems ...... 1/13/94 06/29/95, 60 FR 33734. 3.08 ...... Polyester, Vinylester, Gelcoat, and 1/13/94 06/29/95, 60 FR 33734. Resin Operations. 3.09 ...... Aerospace Component Coating 1/13/94 6/29/95, 60 FR 33734. Operations.

Washington Administrative Code, Chapter 173–400 Regulations Incorporated by Reference in Regulation I, Section 6.01

173–400–030 .... Definitions ...... 12/29/12 4/22/20, [Insert Federal Register Except: 173–400–030(91). citation]. 173–400–081 .... Startup and Shutdown ...... 04/01/11 4/22/20, [Insert Federal Register citation]. 173–400–110 .... New Source Review (NSR) for 12/29/12 4/22/20, [Insert Federal Register 173–400–110(1)(c)(i) and 173– Sources and Portable Sources. citation]. 400–110(1)(d) only.

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TABLE 7—ADDITIONAL REGULATIONS APPROVED FOR THE PUGET SOUND CLEAN AIR AGENCY (PSCAA) JURISDICTION— Continued [Applicable in King, Kitsap, Pierce and Snohomish counties, excluding facilities subject to Energy Facilities Site Evaluation Council (EFSEC) juris- diction; facilities subject to the Washington Department of Ecology’s direct jurisdiction under Chapters 173–405, 173–410, and 173–415 Washington Administrative Code (WAC); Indian reservations (excluding non-trust land within the exterior boundaries of the Puyallup Indian Reservation); any other area where the EPA or an Indian tribe has demonstrated that a tribe has jurisdiction; and the Prevention of Signifi- cant Deterioration (PSD) permitting of facilities subject to the applicability sections of WAC 173–400–700.]

State/local State/local Title/subject effective EPA approval date Explanations citation date

173–400–111 .... Processing Notice of Construction 07/01/16 4/22/20, [Insert Federal Register Except: 173–400–111(3)(h);—The Applications for Sources, Sta- citation]. part of 173–400–111(8)(a)(v) tionary Sources and Portable that says, ‘‘and 173–460–040,’’; Sources. 173–400–111(9). 173–400–112 .... Requirements for New Sources in 12/29/12 4/22/20, [Insert Federal Register Nonattainment Areas. citation]. 173–400–113 .... Requirements for New Sources in 12/29/12 4/22/20, [Insert Federal Register Except: 173–400–113(3), second Attainment or Unclassifiable citation]. sentence. Areas. 173–400–117 .... Special Protection Requirements 12/29/12 4/22/20, [Insert Federal Register for Federal Class I Areas. citation]. 173–400–171 .... Public Notice and Opportunity for 07/01/16 4/22/20, [Insert Federal Register Except: —The part of 173–400– Public Comment. citation]. 171(3)(b) that says, ‘‘or any in- crease in emissions of a toxic air pollutant above the accept- able source impact level for that toxic air pollutant as regulated under chapter 173–460 WAC’’; 173–400–171(12). 173–400–200 .... Creditable Stack Height and Dis- 02/10/05 4/22/20, [Insert Federal Register persion Techniques. citation]. 173–400–560 .... General Order of Approval ...... 12/29/12 4/22/20, [Insert Federal Register Except: — The part of 173–400– citation]. 560(1)(f) that says, ‘‘173–460 WAC’’. 173–400–800 .... Major Stationary Source and 4/01/11 4/22/20, [Insert Federal Register EPA did not review WAC 173– Major Modification in a Non- citation]. 400–800 through 860 for con- attainment Area. sistency with the August 24, 2016 PM2.5 implementation rule (81 FR 58010); nor does PSCAA have an obligation to submit rule revisions to address the 2016 PM2.5 implementation rule at this time. 173–400–810 .... Major Stationary Source and 07/01/16 4/22/20, [Insert Federal Register Major Modification Definitions. citation]. 173–400–820 .... Determining if a New Stationary 12/29/12 4/22/20, [Insert Federal Register Source or Modification to a Sta- citation]. tionary Source is Subject to these Requirements. 173–400–830 .... Permitting Requirements ...... 07/01/16 4/22/20, [Insert Federal Register citation]. 173–400–840 .... Emission Offset Requirements ..... 07/01/16 4/22/20, [Insert Federal Register citation]. 173–400–850 .... Actual Emissions Plantwide Appli- 07/01/16 4/22/20, [Insert Federal Register cability Limitation (PAL). citation]. 173–400–860 .... Public Involvement Procedures .... 4/01/11 4/22/20, [Insert Federal Register citation].

Washington Department of Ecology Regulations

Washington Administrative Code, Chapter 173–400—General Regulations for Air Pollution Sources

173–400–020 .... Applicability ...... 12/29/12 4/22/20, [Insert Federal Register citation]. 173–400–040 .... General Standards for Maximum 09/16/18 4/22/20, [Insert Federal Register 173–400–040(1)(a) & (b), 173– Emissions. citation]. 400–040(4); and 173–400– 040(9)(b) only. 173–400–070 .... Emission Standards for Certain 03/22/91 06/02/95, 60 FR 28726 ...... Except (7). Source Categories.

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TABLE 7—ADDITIONAL REGULATIONS APPROVED FOR THE PUGET SOUND CLEAN AIR AGENCY (PSCAA) JURISDICTION— Continued [Applicable in King, Kitsap, Pierce and Snohomish counties, excluding facilities subject to Energy Facilities Site Evaluation Council (EFSEC) juris- diction; facilities subject to the Washington Department of Ecology’s direct jurisdiction under Chapters 173–405, 173–410, and 173–415 Washington Administrative Code (WAC); Indian reservations (excluding non-trust land within the exterior boundaries of the Puyallup Indian Reservation); any other area where the EPA or an Indian tribe has demonstrated that a tribe has jurisdiction; and the Prevention of Signifi- cant Deterioration (PSD) permitting of facilities subject to the applicability sections of WAC 173–400–700.]

State/local State/local Title/subject effective EPA approval date Explanations citation date

173–400–091 .... Voluntary Limits on Emissions ...... 4/1/11 4/22/20, [Insert Federal Register 9/20/93 version continues to be citation]. approved under the authority of CAA Section 112(l) with respect to Section 112 hazardous air pollutants. See 60 FR 28726 (June 2, 1995). 173–400–105 .... Records, Monitoring and Report- 11/25/18 4/22/20, [Insert Federal Register Except: 173–400–105(7). ing. citation]. 173–400–107 .... Excess Emissions ...... 09/20/93 06/02/95, 60 FR 28726. 173–400–118 .... Designation of Class I, II, and III 12/29/12 4/22/20, [Insert Federal Register Areas. citation]. 173–400–131 .... Issuance of Emission Reduction 04/1/11 4/22/20, [Insert Federal Register Credits. citation]. 173–400–136 .... Use of Emission Reduction Cred- 12/29/12 4/22/20, [Insert Federal Register its (ERC). citation]. 173–400–151 .... Retrofit Requirements for Visibility 2/10/05 4/22/20, [Insert Federal Register Protection. citation]. 173–400–161 .... Compliance Schedules ...... 3/22/91 06/02/95, 60 FR 28726. 173–400–175 .... Public Information ...... 2/10/05 4/22/20, [Insert Federal Register citation]. 173–400–190 .... Requirements for Nonattainment 3/22/91 06/02/95, 60 FR 28726. Areas. 173–400–205 .... Adjustment for Atmospheric Con- 3/22/91 06/02/95, 60 FR 28726. ditions. 173–400–210 .... Emission Requirements of Prior 3/22/91 06/02/95, 60 FR 28726. Jurisdictions.

* * * * * (e) ** *

TABLE 1—APPROVED BUT NOT INCORPORATED BY REFERENCE REGULATIONS

State/local State/local citation Title/subject effective date EPA approval date Explanations

Washington Department of Ecology Regulations

173–400–220 .... Requirements for Board Members 3/22/91 06/02/95, 60 FR 28726. 173–400–230 .... Regulatory Actions ...... 3/20/93 06/02/95, 60 FR 28726. 173–400–240 .... Criminal Penalties ...... 3/22/91 06/02/95, 60 FR 28726. 173–400–250 .... Appeals ...... 9/20/93 06/02/95, 60 FR 28726. 173–400–260 .... Conflict of Interest ...... 07/01/16 10/06/16, 81 FR 69385. 173–433–200 .... Regulatory Actions and Penalties 10/18/90 01/15/93, 58 FR 4578.

Energy Facility Site Evaluation Council Regulations

463–78–135 ...... Criminal Penalties ...... 11/11/04 05/30/17, 82 FR 24533. 463–78–140 ...... Appeals Procedure ...... 3/26/06 05/30/17, 82 FR 24533 ...... Except (3) and (4). 463–78–170 ...... Conflict of Interest ...... 11/11/04 05/30/17, 82 FR 24533. 463–78–230 ...... Regulatory Actions ...... 11/11/04 05/30/17, 82 FR 24533.

Benton Clean Air Agency Regulations

2.01 ...... Powers and Duties of the Benton 12/11/14 11/17/15, 80 FR 71695. Clean Air Agency (BCAA). 2.02 ...... Requirements for Board of Direc- 12/11/14 11/17/15, 80 FR 71695 ...... Replaces WAC 173–400–220. tors Members. 2.03 ...... Powers and Duties of the Board of 12/11/14 11/17/15, 80 FR 71695. Directors. 2.04 ...... Powers and Duties of the Control 12/11/14 11/17/15, 80 FR 71695. Officer. 2.05 ...... Severability ...... 12/11/14 11/17/15, 80 FR 71695.

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TABLE 1—APPROVED BUT NOT INCORPORATED BY REFERENCE REGULATIONS—Continued

State/local State/local citation Title/subject effective date EPA approval date Explanations

2.06 ...... Confidentiality of Records and In- 12/11/14 11/17/15, 80 FR 71695. formation.

Olympic Region Clean Air Agency Regulations

8.1.6 ...... Penalties ...... 05/22/10 10/03/13, 78 FR 61188.

Puget Sound Clean Air Agency Regulations

3.01 ...... Duties and Powers of the Control 11/01/99 4/22/20, [Insert Federal Register Officer. citation]. 3.05 ...... Investigations by the Control Offi- 03/17/94 4/22/20, [Insert Federal Register cer. citation]. 3.07 ...... Compliance Tests ...... 05/01/06 4/22/20, [Insert Federal Register citation]. 3.09 ...... Violations—Notice ...... 09/12/91 4/22/20, [Insert Federal Register citation]. 3.11 ...... Civil Penalties ...... 11/01/19 4/22/20, [Insert Federal Register citation]. 3.13 ...... Criminal Penalties ...... 09/12/91 4/22/20, [Insert Federal Register citation]. 3.15 ...... Additional Enforcement ...... 09/12/91 4/22/20, [Insert Federal Register citation]. 3.17 ...... Appeal of Orders ...... 11/14/98 4/22/20, [Insert Federal Register citation]. 3.19 ...... Confidential Information ...... 09/12/91 4/22/20, [Insert Federal Register citation]. 3.21 ...... Separability ...... 09/12/91 4/22/20, [Insert Federal Register citation].

Southwest Clean Air Agency Regulations

400–220 ...... Requirements for Board Members 3/18/01 04/10/17, 82 FR 17136. 400–230 ...... Regulatory Actions and Civil Pen- 10/9/16 04/10/17, 82 FR 17136. alties. 400–240 ...... Criminal Penalties ...... 3/18/01 04/10/17, 82 FR 17136. 400–250 ...... Appeals ...... 11/9/03 04/10/17, 82 FR 17136. 400–260 ...... Conflict of Interest ...... 3/18/01 04/10/17, 82 FR 17136. 400–270 ...... Confidentiality of Records and In- 11/9/03 04/10/17, 82 FR 17136. formation. 400–280 ...... Powers of Agency ...... 3/18/01 04/10/17, 82 FR 17136.

Spokane Regional Clean Air Agency Regulations

8.11 ...... Regulatory Actions and Penalties 09/02/14 09/28/15, 80 FR 58216.

* * * * * ENVIRONMENTAL PROTECTION applicable to sources that monitor and AGENCY report emissions under the Acid Rain ■ 3. Amend § 52.2498 by revising Program, the Cross-State Air Pollution paragraph (a)(1) to read as follows: 40 CFR Part 75 Rule (CSAPR), and/or the NOX SIP Call. § 52.2498 Visibility protection. [EPA–HQ–OAR–2020–0211; FRL–10008–51– The amendments provide that if an OAR] affected unit fails to complete a required (a) * * * quality-assurance, certification or (1) Sources subject to the jurisdiction RIN 2060–AU85 recertification, fuel analysis, or emission of local air authorities (except Benton rate test by the applicable deadline Continuous Emission Monitoring; Clean Air Agency, Puget Sound Clean under the regulations because of travel, Quality-Assurance Requirements Air Agency, and Southwest Clean Air plant access, or other safety restrictions During the COVID–19 National implemented to address the current Agency); Emergency * * * * * COVID–19 national emergency and if [FR Doc. 2020–08124 Filed 4–21–20; 8:45 am] AGENCY: Environmental Protection the unit’s actual monitored data would be considered valid if not for the BILLING CODE 6560–50–P Agency (EPA). ACTION: Interim final rule; request for delayed test, the unit may temporarily comments. continue to report actual monitored data instead of substitute data. Sources must SUMMARY: The Environmental Protection maintain documentation, notify EPA Agency (EPA) is amending the when a test is delayed and later emissions reporting regulations completed, and certify to EPA that they

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meet the criteria for using the amended should include discussion of all points H. Executive Order 13045: Protection of reporting procedures. Substitute data you wish to make. EPA generally will Children From Environmental Health must be reported if those criteria are not not consider comments or comment and Safety Risks met or if monitored data are missing or I. Executive Order 13211: Actions That contents located outside of the primary Significantly Affect Energy Supply, are invalid for any non-emergency- submission (i.e., on the web, cloud, or Distribution, or Use related reason. Units are required to other file sharing system). For J. National Technology Transfer complete any delayed tests as soon as additional submission methods, the full Advancement Act practicable after relevant emergency- EPA public comment policy, K. Executive Order 12898: Federal Actions related restrictions no longer apply, and information about CBI or multimedia To Address Environmental Justice in the emergency period for which a unit submissions, and general guidance on Minority Populations and Low-Income can report valid data under the making effective comments, please visit Populations L. Congressional Review Act amendments is limited to the duration https://epa.gov/dockets/commenting- M. Determination Under CAA Section of the COVID–19 national emergency epa-dockets. Additional materials 307(b) plus a grace period of 60 days to related to this action, including complete delayed tests, but no later than submitted comments, can be viewed I. Overview the date of expiration of the online at regulations.gov under Docket A. Summary of the Action amendments. This action is necessary No. EPA–HQ–OAR–2020–0211. While The emissions monitoring, during the COVID–19 national the EPA Docket Center Reading Room in recordkeeping, and reporting emergency to protect on-site power Washington, DC is currently closed to regulations at 40 CFR part 75 (referred plant operators and other essential public visitors in order to reduce the to here as the ‘‘part 75 regulations’’ or personnel from unnecessary risk of risk of COVID–19 transmission, ‘‘part 75 requirements’’) require affected exposure to the coronavirus. The materials related to this action may also sources not only to continuously amendments do not suspend emissions be viewed in person at the Reading monitor emissions and other data for monitoring or reporting requirements or Room at such time as it reopens. every operating hour in a control period, alter emissions standards under any Information on the location and hours of but also to conduct a variety of periodic program, and EPA expects the the Reading Room is available at https:// or event-driven tests to ensure high amendments not to cause any change in www.epa.gov/dockets. Please call or quality of the reported data. Part 75 also emissions levels. The rule therefore will email the contact listed in FOR FURTHER requires sources to report substitute data not result in any harm to public health INFORMATION CONTACT if you need instead of actual monitored data for or the environment that might occur alternative access to material indexed operating hours when a required test from increased emissions, and to the but not electronically available in the has not been completed in a timely extent that the amendments facilitate docket at regulations.gov. manner. The sources must continue plant operators’ efforts to comply with FOR FURTHER INFORMATION CONTACT: reporting substitute data until the travel and plant access restrictions David Lifland, U.S. Environmental delayed test is successfully completed. imposed to protect public health during Protection Agency, Clean Air Markets The substitute data are intentionally the COVID–19 emergency, the Division, Mail Code 6204M, 1200 conservative (i.e., high-biased), causing amendments will have a positive impact Pennsylvania Avenue NW, Washington, the emissions reported for the source to on public health by assisting efforts to DC 20460; 202–343–9151; be higher than if the delayed test had slow the spread of the disease. EPA [email protected]. been completed on time. The data finds good cause to promulgate this rule become increasingly high-biased over without prior notice or opportunity for SUPPLEMENTARY INFORMATION: time and ultimately may be as high as public comment and to make the rule Table of Contents a unit’s maximum potential emissions. effective immediately upon publication Most sources subject to part 75 in the Federal Register. The I. Overview participate in EPA trading programs that amendments promulgated in this rule A. Summary of the Action require surrender of sulfur dioxide (SO2) will expire in 180 days. EPA is also B. Potentially Affected Entities or nitrogen oxides (NOX) emission requesting comment on this rule. C. Statutory Authority II. Amendments to Quality-Assurance allowances for each ton of reported DATES: This rule is effective April 22, Requirements During the COVID–19 emissions, so the increase in reported 2020. EPA will consider comments on National Emergency emissions following a missed test this rule received on or before May 22, A. Background and Rationale deadline results in an increase in the 2020. B. Description of Amendments quantity of allowances that must be ADDRESSES: Submit your comments, C. Expected Impacts surrendered, with a corresponding identified by Docket No. EPA–HQ– III. Rulemaking Procedures and Findings of increase in the source’s allowance costs. OAR–2020–0211, at https:// Good Cause IV. Request for Comment In ordinary circumstances, this regulations.gov. Follow the online V. Statutory and Executive Order Reviews regulatory approach appropriately instructions for submitting comments. A. Executive Order 12866: Regulatory provides operators with a strong Once submitted, comments cannot be Planning and Review, and Executive incentive to conduct all required tests edited or removed from regulations.gov. Order 13563: Improving Regulation and by the applicable deadlines. EPA may publish any comment received Regulatory Review While affected sources typically to its public docket. Do not submit B. Executive Order 13771: Reducing perform part 75 continuous monitoring electronically any information you Regulations and Controlling Regulatory activities using highly automated consider to be Confidential Business Costs monitoring systems overseen by plant Information (CBI) or other information C. Paperwork Reduction Act staff, most sources conduct certain D. Regulatory Flexibility Act whose disclosure is restricted by statute. E. Unfunded Mandates Reform Act required part 75 tests using outside Multimedia submissions (audio, video, F. Executive Order 13132: Federalism contractor personnel. Some tests also etc.) must be accompanied by a written G. Executive Order 13175: Consultation require calibration gases to be obtained comment. The written comment is and Coordination With Indian Tribal from outside facilities or require fuel considered the official comment and Governments samples to be analyzed at outside

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laboratories. Consequently, current delayed test. As a condition of applying NAICS * code Industries with potentially travel, plant access, and other safety the amended procedures, sources must affected sources restrictions related to the novel document the reasons for delaying any coronavirus disease (COVID–19) required test and notify EPA when a test 221112 ...... Fossil fuel-fired electric emergency, as well as shutdowns of power generation. is delayed and when the delayed test is 3112 ...... Grain and oilseed milling. external facilities that provide necessary later completed. The notifications must 3221 ...... Pulp, paper, and paper- supplies or services, may make include certifications that the source board mills. compliance with part 75 testing meets the criteria for using the amended 3241 ...... Petroleum and coal prod- requirements difficult for some sources. procedures. EPA will post summaries of ucts manufacturing. Moreover, because of uncertainty these notifications on a publicly 3251 ...... Basic chemical manufac- regarding the duration of the restrictions turing. accessible website. The amended 3311 ...... Iron and steel mills and and because tests requiring outside requirements apply until the required contractor personnel often must be ferroalloy manufacturing. test can be completed, but no longer 6113 ...... Colleges, universities, and scheduled months in advance, operators than the duration of the COVID–19 professional schools. missing test deadlines now face national emergency plus a grace period * North American Industry Classification considerable uncertainty as to when of 60 days to complete delayed tests, they will be able to reschedule and System. and no later than the date of expiration complete any delayed tests. However, of the amendments. This action does not C. Statutory Authority the existing part 75 regulations require suspend the existing part 75 Statutory authority to issue the sources to report substitute data requirements to continuously monitor amendments promulgated in this action following all missed test deadlines until is provided by Clean Air Act (CAA) the tests are successfully completed, and report emissions for every operating hour in a control period and does not section 412, 42 U.S.C. 7651k, which also regardless of the reason for missing the provided authority for the initial test and the possible inability to alter any emissions limitations under any program. The amendments and promulgation of 40 CFR part 75, and reschedule the test for multiple months CAA section 301, 42 U.S.C. 7601, which because of restrictions related to the EPA’s rationale are described in greater detail in section II of this document. authorizes the Administrator to emergency. Based on the reported dates ‘‘promulgate such regulations as are of previous tests, EPA believes that from This is a final rule. The amendments necessary to carry out his functions April to June of this year, approximately are effective immediately upon under [the CAA].’’ Statutory authority 1,000 units will face deadlines for part publication in the Federal Register and for the rulemaking procedures followed 75 tests that typically require outside will expire after 180 days. EPA’s in this action is provided by contractor personnel. In light of the findings of good cause for issuing the Administrative Procedure Act (APA) current COVID–19 national emergency, rule without prior notice and section 553, 5 U.S.C. 553. EPA has decided that a temporary opportunity for comment and for alternative is needed to the part 75 data making the rule effective immediately II. Amendments to Quality-Assurance substitution requirements following upon publication are contained in Requirements During the COVID–19 tests that are not completed in a timely section III of this document. In section National Emergency manner because of travel, plant access, IV of this document, EPA requests A. Background and Rationale or other safety restrictions related to the comment on all aspects of the rule. The part 75 regulations were emergency. EPA believes that Section V of this document addresses establishment of a temporary alternative originally promulgated to establish the required statutory and executive order emissions monitoring, recordkeeping, is necessary to reduce risks to power reviews. plant operators and other essential and reporting requirements under the personnel from exposure to COVID–19 B. Potentially Affected Entities Acid Rain Program, which covers over and is consistent with similar social 3300 electricity generating units (EGUs) distancing efforts being taken at this This action applies to any source that in the contiguous United States.1 time by all levels of government and the reports emissions to EPA under 40 CFR Subsequent rules including the Cross- private sector while ensuring that part 75. Generally, the types of sources State Air Pollution Rule (CSAPR) 2 and mission-essential functions can be that could be affected are fossil fuel- the CSAPR Update,3 as well as state performed. fired boilers and stationary combustion implementation plans adopted to meet the requirements of CSAPR, the CSAPR In this action, EPA is amending the turbines serving electricity generators Update, and the NO SIP Call,4 require part 75 data substitution requirements with capacities over 25 megawatts in the X over 600 additional EGUs and to establish a limited, temporary contiguous 48 states as well as other approximately 300 large non-EGU exception that applies only under fossil fuel-fired boilers and stationary boilers and combustion turbines in qualifying conditions related to the combustion turbines with heat input eastern states to comply with the part 75 current COVID–19 national emergency. capacities over 250 million British regulations. Affected units must follow Specifically, in place of the existing thermal units per hour located in specified procedures for determining requirements to report substitute data Alabama, Connecticut, Delaware, and reporting hourly data for mass following any failure to complete a Illinois, Indiana, Kentucky, Maryland, emissions of SO , NO , and carbon required test, the amendments instead Massachusetts, Michigan, Missouri, 2 X dioxide (CO ), NO emission rate, and/ allow actual monitored data to be New Jersey, New York, North Carolina, 2 X or heat input using either continuous reported after certain missed test Ohio, Pennsylvania, Rhode Island, emission monitoring systems (CEMS) or, deadlines, as long as the failure to South Carolina, Tennessee, Virginia, complete the test is caused by travel, West Virginia, and the District of 1 CAA title IV, 42 U.S.C. 7651–7651o; 40 CFR plant access, or other safety restrictions Columbia. Sources meeting these parts 72–78. implemented to address the COVID–19 criteria operate in a variety of 2 76 FR 48208 (August 8, 2011). emergency and the monitored data industries, including but not limited to 3 81 FR 74504 (October 26, 2016). would be considered valid if not for the the following: 4 63 FR 57356 (October 27, 1998).

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for qualifying units, several other affected units under part 75 participate include either flowmeter accuracy tests monitoring methodologies. in one or more EPA trading programs for which must be performed every four The part 75 regulations require SO2 and/or NOX emissions that require calendar quarters or else less frequent sources to report substitute data for their the units to surrender emission accuracy tests combined with certain hourly emissions instead of actual allowances equal to the amounts of their otherwise optional tests performed on a monitored data in two general reported emissions, reporting higher- quarterly basis.13 In addition, the situations, only one of which may merit than-actual emissions causes the units appendix D methodology requires potentially different treatment during to incur correspondingly increased costs periodic laboratory analyses of fuel unusual circumstances such as the for allowances under the trading samples to determine fuel sulfur current COVID–19 emergency. The first programs. The additional allowance content, density, and/or gross calorific general situation, which EPA sees no costs resulting from an extended period value.14 Under the regulations, a unit’s reason to address differently in of missing data appropriately provide failure to conduct and pass any required emergency versus non-emergency operators with incentives to maintain CEMS or fuel flowmeter quality- circumstances, occurs when no data are high availability of their emissions assurance test by the applicable obtained from a monitoring system (or monitoring systems at all times when a deadline (or within a specified grace when the data obtained are suspect). unit is operating (including during period) causes the monitoring system to Because the part 75 regulations are periods of emergency).10 be considered ‘‘out of control’’ just as an designed to ensure a continuous record The second general situation when a equipment failure would. Data obtained of each affected unit’s hourly mass source must report substitute data from such a monitoring system are emissions (and other relevant data), the instead of actual monitored data, which considered invalid and the unit must regulations require affected units to EPA believes might be appropriate to report substitute data until the required report substitute data for each operating address differently in certain emergency test is conducted and passed.15 The hour when monitored data are missing.5 circumstances than in non-emergency unit’s operator must then bear the To give operators a strong incentive to circumstances, occurs when quality- correspondingly higher allowance costs maintain high availability of their assurance requirements are not met. The that are caused by the higher reported monitoring systems, the data part 75 regulations are designed to emissions. substitution provisions of the achieve not only high availability of In ordinary circumstances, requiring regulations require units to report monitored data, but also high quality of operators to report substitute data when increasingly conservative (i.e., high- those data. Accordingly, the regulations quality-assurance testing deadlines are biased) data as a missing data period require various kinds of quality- missed appropriately provides operators grows longer.6 For example, when a assurance testing. Of particular with a strong incentive to conduct the CEMS fails to provide data for only a relevance here, the regulations also required tests in a timely manner, just few hours—for example, because of a require substitute data to be reported if as they are provided with a strong problem that is discovered and repaired the quality-assurance tests are not incentive to maintain high availability promptly—substitute data are generally completed by applicable deadlines, of their monitoring equipment. determined from the data for nearby following the same procedures However, in circumstances where an hours.7 If a missing data period extends described above for periods when data operator may be unable to meet test beyond a few hours, the unit must from a monitoring system are missing. deadlines because of the COVID–19 report data first approaching and then The specific testing requirements outbreak, and where it may not be equaling the highest values recorded by depend on which of the permissible part possible to complete the delayed test for the CEMS during a specified lookback 75 monitoring methodologies is being an extended period for reasons outside period.8 Eventually, when a missing used and on the type of fuel or the operator’s control, requiring data data period extends long enough to monitoring equipment. For units using substitution cannot induce more timely cause the CEMS to lack valid data for 20 gas concentration CEMS, the required compliance with quality-assurance percent of the unit’s previous 8760 quality-assurance tests include relative requirements. Indeed, to the extent the operating hours, the unit must report accuracy test audits (RATAs), which desire to avoid an extended period of substitute data reflecting the unit’s involve stack testing and generally must data substitution requirements maximum potential value for the be performed every two or four calendar incentivizes the operator to proceed monitored variable.9 Thus, if a CEMS quarters, as well as quarterly linearity with testing instead of more rigorously for a baseload unit had no previous checks and daily calibration error complying with travel, plant access, and missing data periods, after a single tests.11 For units using stack gas flow other safety restrictions imposed to missing data period of about five weeks rate CEMS, the required tests include address the current COVID–19 the unit would be required to report for RATAs, which again involve stack emergency, the data substitution every operating hour the highest hourly testing and generally must be performed requirements may put plant operators value recorded by the CEMS during the every two or four calendar quarters, as and other personnel at risk and be in lookback period, and after a single well as quarterly leak checks or other tension with immediate public health missing data period of about ten weeks tests that depend on the particular imperatives. the unit would be required to report for technology employed.12 For gas- and Conducting quality-assurance tests every operating hour the maximum oil-fired units using fuel sampling and often requires resources from outside potential value for the parameter fuel flowmeters under appendix D to the plant being tested. RATAs and other monitored by the CEMS. Because most part 75, the required tests generally stack tests are generally performed by contractor personnel who travel from 5 See generally 40 CFR part 75, subpart D. 10 In this action, EPA is not amending the existing plant to plant rather than by on-site 6 See § 75.32(a)(2). requirements to report substitute data for operating 7 See § 75.33(b)(1)(i), (b)(2)(i), (c)(1)(i), (c)(2)(i). hours when monitored data are missing or when 13 See 40 CFR part 75, appendix D, sections 8 See, e.g., § 75.33(b)(1)(ii), (b)(2)(ii), (b)(3), data are invalid for reasons other than an 2.1.6.3 and 2.1.6.4(b). (c)(1)(ii), (c)(2)(ii), (c)(3). The relevant lookback emergency-related delay of quality-assurance 14 See 40 CFR part 75 appendix D, sections 2.2 period is 720 operating hours for some reported activities. and 2.3. variables and 2160 operating hours for others. 11 See 40 CFR part 75, appendix B, section 2. 15 See, e.g., 40 CFR part 75, appendix B, section 9 See, e.g., § 75.33(b)(4), (c)(4). 12 See id. 2.3.1.1, and appendix D, sections 2.1.6 and 2.1.7.

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plant personnel. State regulatory staff the document entitled ‘‘Stakeholder amendments promulgated in this action often attend as observers. Under Communications Regarding the COVID– will ensure that the regulations do not emergency conditions when travel or 19 Emergency’’ in the docket for this inappropriately penalize plant plant access is restricted, it may be action.18 operators. difficult or impossible for these outside EPA believes the current national The need to address the incentive personnel to perform or observe testing emergency related to COVID–19 has features of the existing regulations is at the previously scheduled times. revealed a need for limited, temporary urgent in light of the actions being taken Further, such tests are often scheduled revisions to the quality-assurance to address the current national months in advance, and if a large requirements in the part 75 regulations. emergency and the large number of number of units are delaying tests As discussed above, the regulations treat units facing decisions in the near term simultaneously, the average time until a missed quality-assurance test as on whether to proceed with tests the tests can be rescheduled will be equivalent to the failure of a monitoring scheduled for April and May. With each even longer than usual. Moreover, system to provide any data at all, an upcoming test, plant operators subject to RATAs, linearity checks, and calibration approach that in ordinary circumstances restrictions because of the emergency error tests of gas concentration CEMS all appropriately provides operators with a must decide how to balance the require calibration gases that are strong incentive to conduct required potential regulatory consequences of delivered from specialized producers, quality-assurance and certification tests delaying the test with the actions being and appendix D fuel sample analyses in a timely manner, just as they are implemented to protect the health of are often performed at outside provided with a strong incentive to key plant and other personnel and laboratories. Travel, plant access, and maintain high availability of their public health under the emergency. The other safety restrictions, such as monitoring equipment. However, the consequences to a source of missing a emergency-related shutdowns of rationale for treating these two different quality-assurance test are small initially, external facilities, may make it difficult sorts of failures as equivalent is no but grow rapidly as the period past the for affected sources to restock their longer compelling in the circumstances missed test deadline lengthens. Given calibration gases if on-site supplies run of this declared national emergency uncertainty about the duration of the out or to obtain analyses of fuel related to COVID–19 that makes it emergency-related restrictions, samples. difficult or impossible for some, or operators currently face uncertainty According to data reported to EPA, many, plant operators to conduct about when they might next be able to part 75 RATAs were performed at 1,033 required quality-assurance tests on a reschedule a delayed test, which leads monitoring locations in the second timely basis for reasons outside their to uncertainty regarding the magnitude quarter of 2019.16 Given the typical control and where efforts to conduct the of the automatic regulatory penalties four-quarter interval between required tests may conflict with efforts to address that they risk incurring by deferring RATAs, EPA therefore believes that the emergency and put plant operators each test. As noted above, in April approximately 1,000 units will have and other essential personnel at risk. through June 2020, as many as 1,000 deadlines to perform RATAs in April, Travel, plant access, and other safety units will face decisions on whether or May, and June of 2020.17 Since the restrictions put in place to protect not to defer scheduled annual or semi- beginning of March 2020, EPA has been public health in light of the COVID–19 annual RATAs. EPA believes operators contacted by nine power plant owners outbreak are highly likely to interfere should have clear information now (who collectively operate over 300 units with operators’ ability to conduct some about the consequences of decisions subject to part 75 requirements), an tests, both by limiting the availability of regarding plant testing so that they can emissions data acquisition and handling outside contractor personnel and state make the best immediate decisions system (DAHS) vendor, two consulting regulatory observers and by limiting about how to address the public health companies, and two state regulatory plants’ ability to restock depleted emergency and not put their employees agencies indicating that stack testing calibration gas supplies. Under the at risk because of potential adverse requirements will be difficult or existing part 75 regulations, missing a regulatory consequences that can be impossible to meet on a timely basis in test deadline could lead to an extended avoided through a temporary rule locations where plant access has been period for which an affected unit could amendment. limited or where local or state be required to report increasingly The primary set of part 75 tests giving governments have imposed shelter-in- conservative substitute data, with rise to the concerns that EPA is place or other restrictions for all but adverse cost consequences. Where the addressing in this action comprises the essential activities. More information on reason for missing a test is caused by the quality-assurance tests discussed above, these communications is provided in COVID–19 outbreak, EPA does not because of the very large number of believe it is appropriate to impose this those tests that under normal 16 See ‘‘Part 75 RATAs Reported for 2019 automatic consequence. The circumstances would be conducted in Q2.xlsx,’’ available in the docket for this action. April and May 2020 and whose timing Over 1500 RATAs were performed at the 1033 18 See also, e.g., ‘‘Sequestered in power plants or is therefore very much affected by the monitoring locations. See id. EPA notes that the at-home call centers: Consumers Energy in the age current COVID–19 national emergency. number of monitoring locations is not identical to of COVID–19,’’ dailyenergyinsider.com (April 9, However, certain other types of part 75 the number of affected units, because some 2020); ‘‘PJM ramps up preparations as COVID–19 monitoring locations are at common stacks serving hotspots emerge in its footprint,’’ testing requirements raise analogous multiple units, and emissions of some units are www.powermag.com (April 8, 2020); ‘‘Power concerns for smaller numbers of units, monitored at multiple monitoring locations. industry pleads for priority COVID–19 testing, PPE and because of the similarity of the 17 The normal four-quarter interval can be for mission-essential workers,’’ issues, this action addresses the extended if a unit does not operate in a given www.powermag.com (April 7, 2020); ‘‘NYISO quarter. See 40 CFR part 75, appendix B, section workers now living at grid control centers,’’ additional tests as well. First, initial 2.3.1.1. Thus, deadlines for some of the www.powermag.com (March 30, 2020); ‘‘Utilities certification of a monitoring system approximately 1,000 units that conducted RATAs plan to keep key staff housed at power plants,’’ under the part 75 regulations likewise in the second quarter of 2019 will be extended www.powermag.com (March 20, 2020); ‘‘Utility requires a variety of tests to be passed beyond the second quarter of 2020, while other workers prepare to sleep at work to keep the power units whose most recent previous RATA was before flowing,’’ www.salon.com (March 20, 2020); ‘‘How by specified deadlines before the the second quarter of 2019 will have an extended power companies are keeping your lights on during monitoring system can be used to report RATA deadline in the second quarter of 2020. the pandemic,’’ www.latimes.com (March 19, 2020). valid data. Some of the same tests may

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also be required in instances where a Other non-CEMS based section is not well suited to addressing monitoring system needs to be methodologies under part 75 require emergency situations that cause a recertified following an equipment periodic NOX emission rate testing. particular regulatory requirement to change. The required certification tests Under appendix E to part 75, a have unintended consequences for a include RATAs for both gas qualifying unit calculates reported large number of affected units. Even if concentration CEMS and stack gas flow hourly NOX mass emissions from its EPA ultimately were to grant some or rate CEMS, linearity checks and monitored hourly fuel usage in even most of the petitions relating to the calibration error tests for gas combination with unit-specific emergency, an owner or operator facing concentration CEMS, and accuracy tests historical test data correlating the unit’s an immediate decision on whether to 19 for fuel flowmeters. If certification hourly NOX emission rate to the unit’s defer a test in light of public health testing for a monitoring system is not hourly fuel usage. The appendix E concerns related to the COVID–19 successfully completed by the regulations require the unit-specific emergency would be unable to predict applicable deadline, the unit must correlations to be updated based on new that outcome at the time when the report substitute data in place of the stack testing at least every twenty immediate decision must be made. data obtained from that monitoring calendar quarters, and if updated B. Description of Amendments system until all required tests have been appendix E tests are not completed by passed.20 In these instances, substitute the deadline, the unit must report The amendments being finalized in data are generally based on the substitute data based on the unit’s this action are carefully targeted to address the regulatory provisions maximum potential values for the maximum potential NOX emission monitoring system starting in the first rate.22 Similarly, under the low mass discussed in section II.A of this operating hour after the applicable test emissions (LME) methodology in document while leaving other features deadline. The regulations include § 75.19, a qualifying unit may calculate of the regulations unchanged. provisions allowing a unit to report its NO mass emissions using a fuel- Specifically, the amendments allow X sources to continue to report monitored ‘‘conditionally valid’’ data following and-unit-specific NOX emission rate completion of the first required based on historical test data instead of data as valid instead of requiring the certification or recertification test until using the default emission rates sources to report substitute data in the timely and successful completion of published in the regulations, and the instances where data from a monitoring system would otherwise be considered the last required test. However, if all fuel-and-unit-specific NOX emission tests are not successfully completed by rate data must be updated based on new invalid solely because of failure to complete a required test by the the applicable deadlines, the data that stack testing at least every twenty applicable deadline and where the were previously considered calendar quarters.23 While the interval failure to complete the test is conditionally valid are invalidated, and between required tests is long, for any attributable to travel, plant access, and the unit must instead report substitute unit for which the end of the interval— other safety restrictions implemented to data for all operating hours until all and therefore the unit’s scheduled address the COVID–19 national required tests have been successfully testing—falls in the emergency period, 21 emergency. The amendments cover each completed. For any unit whose the considerations over whether to of the types of testing requirements certification testing schedule calls for perform or defer the required NO X described in section II.A of this testing during the current emergency emission rate testing are again the same situation, the considerations over how document—quality-assurance tests, as for a unit facing a near-term decision certification and recertification tests, to balance the regulatory consequences on a required quality-assurance test. of deferring the test with the public appendix D fuel analyses, and appendix Finally, EPA notes that since its E and LME emission rate tests. Affected health emergency are the same as for an initial promulgation, part 75 has existing unit facing a near-term decision units will continue to be required to contained provisions at § 75.66 allowing report emissions data for every on a required quality-assurance test. EPA to make exceptions to individual Second, units using part 75 operating hour of a control period, and regulatory requirements in appropriate monitoring methodologies other than no changes are made to any existing circumstances. This authority is broad CEMS-based methodologies may also be emissions limitations. Sources are but requires exceptions to be made on required to meet periodic fuel analysis required to complete any delayed tests a case-by-case basis: The designated or emission rate testing requirements. as soon as practicable after relevant representative for a unit (or group of For example, under appendix D to part emergency-related restrictions no longer units) must submit a petition to EPA for 75, a qualifying unit calculates reported apply. The emergency period for which an alternative to a given regulatory hourly SO mass emissions and heat a source can report valid data under the 2 requirement, describing the facts and input from its monitored hourly fuel amended provisions is limited to the the requested alternative, after which usage in combination with unit-specific duration of the COVID–19 national EPA considers the petition and provides data on fuel sulfur content, density, emergency plus a grace period of 60 a written response granting or denying and/or gross calorific value. In general, days to complete delayed tests, but no the request.24 the data on fuel characteristics must be Importantly, § 75.66 does later than the date of expiration of the regularly updated through laboratory not authorize EPA to grant exceptions to amendments (i.e., 180 days from analyses of fuel samples. When fuel a given requirement or set of publication in the Federal Register). analyses are not updated in a timely requirements for all affected units (or all As discussed in section V.B of this manner, as could happen if outside affected units meeting specified document, the Office of Management laboratories close in an emergency, the conditions) simultaneously, even on a and Budget (OMB) has approved an unit must report substitute data that temporary basis, and for this reason the emergency information collection eventually reflect default maximum request (ICR) establishing certain new 22 values for each fuel type. See 40 CFR part 75, appendix E, sections 2.2 recordkeeping and reporting provisions and 2.5. that will apply to any use of the 23 See § 75.19(c)(1)(iv)(D). 19 See § 75.20(c) and (g). 24 EPA’s responses are posted at https:// amended emissions data reporting 20 See § 75.4(j). www.epa.gov/airmarkets/part-75-petition- requirements promulgated in this 21 See § 75.20(b)(3). responses. action. Sources will be required to

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document the reasons for delaying any report additional documentation tests to be completed as soon as required test and to submit notifications demonstrating that the reason for any practicable after the relevant emergency- to EPA when a test is delayed and when failure to complete a required test by the related restrictions are lifted but no later the delayed test is later completed. (In applicable deadline was in fact caused than 60 days after the end of the the case of tests that recur more often by restrictions implemented to address COVID–19 national emergency (and no than quarterly, such as CEMS daily COVID–19 national emergency later than the date of expiration of these calibration error tests and certain conditions. amendments), requires reporting of appendix D fuel analyses, sources may The amended provisions are located substitute data if the delayed tests are treat a series of recurring tests as a in new section 40 CFR 75.68 entitled not completed by these new deadlines, single test for purposes of the required ‘‘Temporary modifications to otherwise and provides that the completed tests notifications.) Each notification of a applicable quality-assurance are considered timely for purposes of requirements during the COVID–19 delayed test must identify the affected identifying the deadlines for the next national emergency.’’ The introductory unit, the test being delayed, the periodically scheduled tests. Paragraph text of paragraph (a) provides that the otherwise applicable deadline, and the (a)(7) sets out the new recordkeeping emergency-related reasons why the test provisions of the new section apply during the defined emergency period and reporting requirements that apply to could not be completed by the deadline. use of the amended procedures. Each notification of completion of a notwithstanding any other provisions of delayed test must identify the affected part 75. Paragraph (a)(1) defines the The amendments are being unit, the completed test, the date as of emergency period for purposes of the promulgated as a final action and are which emergency-related restrictions new section as the period of the COVID– effective immediately upon publication that formerly impaired testing for that 19 national emergency with an in the Federal Register. The unit no longer applied, and the date of additional 60 days for completion of amendments will expire after 180 days. test completion. In addition, both delayed tests (but not beyond the Paragraph (b) of new § 75.68 provides notifications must include certifications expiration of the amendments), keying the effective date and expiration date of that the unit meets the criteria for using the start and end dates of the national the amendments. emergency to actions taken by the the amended procedures. Notifications C. Expected Impacts may not contain Confidential Business President and Congress in accordance with the National Emergencies Act, 50 Information (CBI) and must be The amendments finalized in this U.S.C. 1601–1651. The start date of the submitted by email to camdpetitions@ action do not suspend any existing emergency is therefore March 13, 2020, epa.gov, generally within five business requirements for any affected unit to the date on which the President days after the applicable test deadline or report emissions for any hour of completion date. Notifications may be declared the national emergency related 25 operation and do not alter any existing submitted by the designated to the COVID–19 outbreak. Paragraph (a)(2) identifies the quality-assurance emissions limitations under any representative or an agent with program. EPA consequently has no delegated authority to submit quality- tests, certification or recertification tests, appendix D fuel analyses, and reason to expect the rule’s amendments assurance test data. EPA will prepare to the part 75 quality-assurance summaries of the submitted appendix E and LME NOX emission rate tests with respect to which the requirements to cause any change in notifications identifying the units, the affected units’ emissions behavior. The delayed tests and test deadlines, and the temporary procedures apply. Paragraph (a)(3) permits sources to report data rule therefore will not result in any completed tests and completion dates from monitoring systems as valid during harm to public health or the and will post the summaries on a emergency periods despite failure to environment that might occur from publicly accessible website. complete required quality-assurance increased emissions. To the extent that In addition to the new recordkeeping tests by the applicable deadlines, the amendments facilitate plant and reporting requirements described provided that (i) the data are otherwise operators’ efforts to comply with travel, above, EPA notes that under the existing valid; (ii) the failure to complete the plant access, and other safety part 75 regulations, reporting monitored tests is attributable to travel, plant restrictions imposed to protect public data as valid following failure to access, or other safety restrictions health during the COVID–19 emergency, complete a required test will require implemented to address the COVID–19 the amendments will have a positive sources to assign a different method of national emergency; and (iii) the impact on public health by assisting determination code (MODC) to the data applicable recordkeeping and reporting efforts to slow the spread of the disease. in an affected unit’s data acquisition requirements are met. Paragraph (a)(4) The actual monitored emissions data and handling system (DAHS), and addresses failures to complete required that will be reported under the further notes that the existing certification or recertification tests in amendments promulgated in this action regulations at § 75.53 require sources to the same manner, except that the data will be the same data that would have keep their monitoring plans up to date may be reported as conditionally valid with respect to any change in a DAHS. rather than valid, pending successful been reported if the required part 75 In addition, the existing compliance completion of the delayed certification tests were successfully completed by the certification requirements at § 75.64(c) tests. Paragraph (a)(5) addresses failures applicable deadlines. There is of course require an affected unit’s designated to complete required appendix D fuel a possibility that if the tests had been representative to ‘‘indicate whether the analyses or appendix E or LME emission completed on schedule at all units, the monitoring data submitted were rate tests in the same manner and tests would not have been passed at recorded in accordance with the provides that the sources may continue some units, leading to adjustments to applicable requirements of this part to use the results of the most recent those units’ monitoring systems, a . . .’’ which now include the provisions previously approved analyses or tests to further round of testing, and promulgated in these amendments. EPA determine reported emissions. improvements to the reported data. also notes that nothing in these Paragraph (a)(6) requires any delayed While the data reported in emergency amendments prevents a state from situations under the amendments will requiring sources to record and/or 25 See 85 FR 15337 (March 18, 2020). lack these improvements, failures of

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RATAs are rare,26 which EPA considers attempted to estimate the magnitude of plant access restrictions imposed to evidence that operators treat the the impacts on either reported emission protect public health in light of the obligation to maintain their monitoring levels or allowance costs. COVID–19 outbreak.31 Personnel who systems seriously, due at least in part to would not be on-site for normal plant III. Rulemaking Procedures and the periodic RATA requirements. Thus, operations are often required to conduct Findings of Good Cause there is no reason to expect the absence these quality-assurance tests. In light of of the data improvements to cause a bias EPA is promulgating this rule as a the current health emergency, many toward understatement of emissions, final action without prior notice or plant operators have restricted plant and given the need to balance data opportunity for public comment access to reduce the risk to plant quality considerations with public because the good cause exception under essential personnel as well as the health and other considerations, EPA APA section 553(b)(B), 5 U.S.C. general public. In addition, travel has believes it is reasonable to treat the 553(b)(B), applies here. If APA section been severely restricted. Compliance by resulting data as adequate for purposes 553(b)(B) did not apply, this rule would plant operators and others with these of an emergency period. be subject to the rulemaking procedures efforts to address the COVID–19 In the case of units that decide to in CAA section 307(d).28 However, CAA emergency are in tension with the defer quality-assurance tests that in the section 307(d) does not apply ‘‘in the existing regulatory provisions that absence of the amendments they would case of any rule or circumstance referred automatically penalize plant operators have performed as scheduled, EPA to in [APA section 553(b)(B)]’’ 29—i.e., for failing to complete required tests generally does not expect a significant the good cause exception noted above— even when completing the tests requires impact on the units’ quality-assurance making this rule subject to the travel or plant access that would costs because the primary effect on their rulemaking procedures in APA section otherwise be restricted because of the testing costs would simply be to delay 553 instead, other than subsection emergency. It is a matter of urgency for the costs for some portion of the 553(b).30 APA section 553(b)(B) allows EPA to address this issue now so that COVID–19 emergency period.27 EPA an agency to promulgate a rule without plant operators can make informed notes that, because the amendments are providing prior notice and opportunity decisions regarding plant access and limited to circumstances where failure for public comment ‘‘when the agency determine whether to perform or delay to complete a quality-assurance test is for good cause finds (and incorporates tests scheduled in April and May 2020. attributable to the COVID–19 national the finding and a brief statement of If EPA were to delay action, the emergency, and there is no suspension reasons therefor in the rule issued) that potential consequences of failing to of data substitution requirements when notice and public procedure thereon are timely conduct quality assurance tests data are missing or are invalid for a non- impracticable, unnecessary, or contrary would either lead to a weakening of emergency-related reason, there would to the public interest.’’ steps taken to address the COVID–19 be no diminishment of operators’ EPA finds that there is good cause for emergency or penalize plant operators existing incentives to maintain their promulgating this final rule without for enforcing travel and plant access monitoring systems. providing prior notice and an restrictions. As explained in this By allowing operators to report opportunity for public comment document, EPA has determined that monitored data instead of substitute because providing such notice and targeted, narrow revisions to the data, the amendments will also cause opportunity for comment, with respect regulations to give plant operators reported emissions levels, both at to the amendments promulgated in this additional flexibility regarding the individual facilities and in aggregate, to action, is impracticable and contrary to timing of quality assurance tests can track actual monitored emissions levels the public interest for the reasons address this urgent problem without more closely than would be the case if further explained in this section. There adversely impacting air quality or units had to report the higher, is an urgent need for EPA to revise the public health. intentionally conservative data required part 75 regulations to adjust the near- EPA has determined that there is good by the data substitution provisions for term and cascading impacts on sources cause to forgo a public notice and extended periods of time. The expected not meeting certain regulatory comment process because such public consequence of this impact on reported requirements during national process is impracticable, since notice emissions levels is that plant operators emergencies, such that sources are and comment rulemaking would impair will need to surrender fewer emission better able to abide by the public health the agency’s ability to timely address an allowances to cover their reported restrictions put in place to address the urgent situation under our current emissions and will therefore incur lower current national emergency concerning regulations that has the potential to total costs for emissions allowances. the COVID–19 outbreak. As noted threaten public health and safety. In EPA estimates that up to 1,000 units above, EPA has been contacted by plant sum, the current regulations result in may use the amended regulations to owners who collectively operate over automatic penalties if certain report actual monitored data instead of 300 affected units, as well as stack- requirements are not met but meeting substitute data for some portion of the testing companies and state air agencies, those requirements could require current emergency period, but has not regarding near-term problems in sources to take actions contradictory to completing required part 75 quality- restrictions in place to address the 26 For example, none of the 1500 RATAs reported assurance tests because of travel and COVID–19 emergency. Specifically, the for the second quarter of 2019 were failed. flexibilities provided through this rule 27 This expectation applies with respect to 28 See CAA section 307(d)(1)(G), (T); 42 U.S.C. potentially impact over 1,000 units with delayed RATAs, which typically account for the 7607(d)(1)(G), (T). See also CAA section 307(d)(3); majority of quality-assurance and certification 42 U.S.C. 7607(d)(3) (requiring publication of a upcoming test deadlines in April, May, testing costs, and to delayed quarterly tests that can proposed rule with an opportunity for public and June of this year. Providing public be rescheduled in the same quarter following the comment). notice and comment is impracticable, end of emergency-related restrictions. With respect 29 See CAA section 307(d)(1); 42 U.S.C. because plant operators must make to daily tests or other quarterly tests missed for 7607(d)(1). reasons related to the national emergency, testing 30 APA section 553(b) generally requires notice- decisions regarding whether to conduct on normal schedules generally would resume and-comment rulemaking procedures unless, as without any rescheduling of tests missed because of here, an exception applies under section 553(b)(A) 31 See ‘‘Stakeholder Communications Regarding the emergency. or (B). 5 U.S.C. 553(b). the COVID–19 Emergency,’’ available in the docket.

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tests in April and May 2020. Because of would also require time to evaluate and The amendments promulgated in this the limited amount of time between the respond to all significant comments final rule will expire in 180 days. In declaration of the COVID–19 national received) frequently take much longer deciding that the amendments should emergency and the applicable testing than ten weeks. expire in 180 days, EPA considered the deadlines, there was insufficient time to EPA has also determined that there is importance of providing regulatory seek comment on the rule. good cause to forgo a public notice and certainty to the regulated community Taking the additional time required to comment process for this rule because discussed above and the time-frame allow for submission of comments and such public process is contrary to the needed to conduct a full notice-and- development of a response to comments public interest. The delay associated comment rulemaking. Given the current is impracticable because, in this time of with undertaking ordinary notice and uncertainty concerning the spread of emergency, it would delay finalization comment procedures would, in fact, COVID–19, EPA believes it is reasonable of amendments needed to assure source harm the public interest here. Such a to provide regulatory certainty to operators that efforts to address the delay would keep in place EPA sources that the amendments in this COVID–19 national emergency will not regulations that incentivize actions action will be in effect for at least 180 result in automatic adverse counter to the restrictions necessary to days. At the same time, given the consequences for the many sources protect public health and to address the narrow scope of the amendments, some likely to be impacted. Although the COVID–19 emergency. Approximately stakeholders might challenge the costs to sources of reporting substitute 1,000 sources with upcoming test reasonableness of keeping the data may be small initially, the costs deadlines in April, May, and June of amendments in effect on a temporary grow substantially over time, and the this year are potentially impacted by the basis for longer than 180 days on the operators need to make decisions in the automatic provisions in the part 75 grounds that the Agency might have near-term on whether to defer testing monitoring regulations and must make been able to make the temporary while facing considerable uncertainty as personnel and other decisions regarding amendments effective beyond 180 days to when it will next be possible for them operation of the sources before their through notice-and-comment to conduct the testing (and, therefore, respective test deadlines, including rulemaking within such a time period. how large the costs may eventually decisions regarding access to perform For these reasons, EPA is providing that become). It is therefore a matter of quality-assurance tests and certification the amendments will expire in 180 urgency to promulgate these tests. It is imperative that EPA provide days. amendments to address the tension immediate assurance that adverse EPA is also making this final rule between the existing regulations and consequences (in the form of impacts effective immediately upon publication travel and plant access restrictions that flow from not meeting certain in the Federal Register. As discussed in imposed to address the public health required testing deadlines that affect the first paragraph of this section, if the emergency and protect essential plant allowance holding requirements for 32 good cause exception in APA section and other personnel. EPA has reasons not anticipated when 553(b)(B) did not apply, this rule would concluded that an immediate establishing the current requirements) be subject to the rulemaking procedures response—promulgating these final will not flow from measures taken to in CAA section 307(d). Instead, because amendments—is needed to ensure that comply with directives to protect public CAA section 307(d) does not apply, the part 75 regulatory requirements do not health, and to better ensure that the rule is subject to the rulemaking impose unnecessary adverse existing requirements would not result procedures in APA section 553 other consequences on affected sources due to in actions being taken during the than subsection 553(b).35 APA section travel restrictions and other limitations national emergency that would run 553(d), which therefore applies to this on movement and plant access in place counter to the efforts and restrictions in rule, generally requires that actions to respond to the COVID–19 national place to address the public health in covered by the section become effective emergency. Issuance of the amendments light of the COVID–19 outbreak.34 At the not less than 30 days after publication is needed to assure operators now that same time, the amendments are but also provides several exceptions. they will not, in fact, be penalized for carefully targeted to avoid collateral Under APA section 553(d)(1), deciding now to defer testing when adverse impacts. Specifically, the rulemaking actions may become proceeding with tests as scheduled amendments stop the automatic effective less than 30 days after would not be in accordance with such penalties discussed above in national publication if the rule ‘‘grants or restrictions. As noted in section II.A of emergency circumstances but not in recognizes an exemption or relieves a this document, by approximately five non-national emergency circumstances, restriction.’’ The purpose of this weeks after a missed quality-assurance they leave other monitoring-related provision is to ‘‘give affected parties a test deadline, a baseload unit must requirements and reporting reasonable time to adjust their behavior report substitute data in all operating requirements in place, and they do not before the final rule takes effect.’’ 36 hours based on its highest hourly data alter any emissions limitations. In However, when the agency grants or value from a lookback period, and by addition, the regulatory revisions recognizes an exemption or relieves a approximately ten weeks after a missed promulgated in this document will restriction, affected parties do not need test deadline, such a unit must report its expire in 180 days absent further action a reasonable time to adjust because the maximum potential values. Notice-and- by EPA. effect is not adverse. EPA has comment rulemakings (which in the Thus, EPA finds good cause under determined that this rule grants or case of this action, under CAA section APA section 553(b)(B) to take this final recognizes an exemption or relieves a 307(d), would involve providing an action without prior notice or restriction because the nature of the rule opportunity for a public hearing 33 opportunity for comment both because and change being approved is to allow a comment period extending at least 30 providing notice and an opportunity for days following the public hearing, and comment would be impracticable and because it would be contrary to the 35 See supra note 30. 36 Omnipoint Corp. v. FCC, 78 F.3d 620, 630 (D.C. 32 See supra note 18. public interest. Cir. 1996); see also United States v. Gavrilovic, 551 33 Adequate prior notice must be provided for any F.2d 1099, 1104 (8th Cir. 1977) (quoting legislative such hearing. 34 See supra note 18. history).

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sources to report their actual monitored IV. Request for Comment restrictions put in place to address the data values instead of being required to As explained above, EPA finds good COVID–19 national emergency. Sources report substitute data values—a change cause to take this final action without are also required to submit notifications which is virtually always advantageous prior notice or opportunity for public to EPA following the delay or to the source—in circumstances where comment and to make this action completion of a test for which the the source fails to complete a required effective immediately upon publication amended procedures are used. The test by the applicable deadline for in the Federal Register. However, EPA notification for a delayed test includes reasons caused by this COVID–19 is also implementing this action on a information identifying the unit and national emergency. temporary basis only and is providing test, the applicable deadline, and the Additionally, APA section 553(d)(3) notice and an opportunity for comment emergency-related reasons why the test allows an effective date less than 30 on the content of the temporary could not be completed by the deadline. days after publication ‘‘as otherwise amendments. EPA requests comment on The notification for a completed test provided by the agency for good cause all aspects of this rule. EPA is not includes information identifying the found and published with the rule.’’ As reopening for comment any provisions unit and test, the date when restrictions noted above, the purpose of the 30-day of 40 CFR part 75 other than the specific related to the COVID–19 national waiting period generally prescribed in provisions added by this rule. emergency ceased to apply for that unit, section 553(d) is to give affected parties and the test completion date. Each a reasonable time to adjust their V. Statutory and Executive Order notification must include a certification Reviews behavior before the final rule takes of accuracy in order to ensure that the effect. Thus, in determining whether Additional information about these unit qualifies to use the amended good cause exists to waive the 30-day statutes and executive orders can be procedures. To provide transparency delay, an agency should ‘‘balance the found at https://www.epa.gov/laws- regarding the use of the amended necessity for immediate implementation regulations/laws-and-executive-orders. procedures, EPA will prepare against principles of fundamental A. Executive Order 12866: Regulatory summaries of the units and states, the fairness which require that all affected Planning and Review, and Executive delayed tests and test deadlines, and the persons be afforded a reasonable Order 13563: Improving Regulation and completed tests and completion dates amount of time to prepare for the Regulatory Review and will post the summaries on a effective date of its ruling.’’ 37 In the publicly accessible website. case of this rule, EPA has determined This action is a significant regulatory OMB has approved an emergency ICR that there is good cause for making this action that was submitted to OMB for that will be in effect for 180 days while final rule effective immediately. review because it may raise novel legal these temporary amendments are in Regarding urgency, EPA finds the that or policy issues. Any changes made in effect. the reasons supporting EPA’s finding of response to OMB recommendations Respondents/affected entities: good cause under APA section 553(b)(B) have been documented in the docket. Approximately 4,300 units that monitor for making this action final without B. Executive Order 13771: Reducing and report emissions under 40 CFR part prior notice or opportunity for comment Regulations and Controlling Regulatory 75 to meet requirements of the Acid also support an immediate effective Costs Rain Program, a CSAPR trading date. Primarily, it is urgent for EPA to program, or the NOX SIP Call. This action is not expected to be Respondents’ obligation to respond: revise the part 75 regulations to adjust subject to Executive Order 13771 the near-term and cascading impacts of Required to obtain a benefit (40 CFR because it is not expected to result in 75.68). sources not meeting certain regulatory more than de minimus costs on net. requirements during national Frequency of response: Occasional. emergencies, such that sources are C. Paperwork Reduction Act Total estimated burden: 3,000 hours (per year). Burden is defined at 5 CFR better able to abide with restrictions in The information collection activities place to address the current national 1320.3(b). in this rule have been submitted for Total estimated cost: $273,300 (per emergency concerning the COVID–19 approval to OMB under the PRA as an year); includes $0 annualized capital or outbreak without facing unintended emergency information collection operation & maintenance costs. adverse regulatory consequences. request (ICR). You can find a copy of the An agency may not conduct or Further, this rule raises no material ICR document in the docket for this rule sponsor, and a person is not required to concerns regarding the fairness of at regulations.gov (Docket No. EPA– respond to, a collection of information imposing new requirements without HQ–OAR–2020–0211), and it is briefly unless it displays a currently valid OMB additional notice because it does not summarized here. control number. create any new regulatory requirements The collection of information is such that affected parties would need necessary in order to ensure that the D. Regulatory Flexibility Act time to prepare before the rule takes amended procedures that allow sources This action is not subject to the effect. Rather, this action simply allows to report actual monitored data instead Regulatory Flexibility Act (RFA), 5 sources to report actual monitored data of substitute data when a test cannot be U.S.C. 601–612. The RFA applies only values instead of substitute data values completed by the applicable deadline to rules subject to notice-and-comment in specified circumstances, which is because of travel, plant access, and rulemaking requirements under the both advantageous to the sources and other safety restrictions implemented to APA or any other statute. This rule is readily accomplished using their address the COVID–19 national not subject to notice-and-comment existing monitoring equipment and emergency are used only in accordance requirements because the Agency has reporting software. For these reasons, with the regulations. Sources are invoked the APA ‘‘good cause’’ EPA finds good cause exists for this required to maintain records exemption under 5 U.S.C. 553(b). action to become effective on the date of demonstrating that the reasons they publication in the Federal Register. were unable to complete delayed tests E. Unfunded Mandates Reform Act by the applicable deadlines were related This action does not contain any 37 Gavrilovic, 551 F.2d at 1105. to travel, plant access, or other safety unfunded mandate as described in the

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Unfunded Mandates Reform Act, 2 specified circumstances related to the Administrator,’’ or (ii) the action is U.S.C. 1531–1538, and does not COVID–19 national emergency. locally or regionally applicable, but significantly or uniquely affect small ‘‘such action is based on a I. Executive Order 13211: Actions That governments. The action imposes no determination of nationwide scope or Significantly Affect Energy Supply, enforceable duty on any state, local, or effect and if in taking such action the Distribution, or Use tribal governments or the private sector. Administrator finds and publishes that This action simply allows some sources This action is not a ‘‘significant such action is based on such a to report actual monitored data values energy action’’ because it is not likely to determination.’’ This action amends instead of substitute data values for have a significant adverse effect on the existing regulations that apply to certain required information in supply, distribution, or use of energy. sources in 48 states and the District of specified circumstances related to the This action simply allows some sources Columbia, and thus the action applies to COVID–19 national emergency. to report actual monitored data values sources in the same jurisdictions. For instead of substitute data values for F. Executive Order 13132: Federalism this reason, the Administrator certain required information in determines that this final action is This action does not have federalism specified circumstances related to the nationally applicable or, in the implications. It will not have substantial COVID–19 national emergency. alternative, is based on a determination direct effects on the states, on the of nationwide scope and effect for relationship between the national J. National Technology Transfer Advancement Act purposes of section 307(b)(1). Thus, government and the states, or on the pursuant to section 307(b), any petitions distribution of power and This rulemaking does not involve for review of this final action must be responsibilities among the various technical standards. filed in the D.C. Circuit within 60 days levels of government. This action K. Executive Order 12898: Federal from the date this final action is simply allows some sources to report published in the Federal Register. actual monitored data values instead of Actions To Address Environmental substitute data values for certain Justice in Minority Populations and List of Subjects in 40 CFR Part 75 Low-Income Populations required information in specified Environmental protection, Acid rain, circumstances related to the COVID–19 EPA believes that this action is not Administrative practice and procedure, national emergency. subject to Executive Order 12898 Air pollution control, Carbon dioxide, because it does not establish an G. Executive Order 13175: Consultation Continuous emission monitoring, environmental health or safety standard. Nitrogen oxides, Ozone, Particulate and Coordination With Indian Tribal This action simply allows some sources Governments matter, Reporting and recordkeeping to report actual monitored data values requirements, Sulfur dioxide. This action does not have tribal instead of substitute data values for implications as specified in Executive certain required information in Andrew Wheeler, Order 13175. It will not have substantial specified circumstances related to the Administrator. direct effects on tribal governments, on COVID–19 national emergency. the relationship between the federal For the reasons stated in the government and Indian tribes, or on the L. Congressional Review Act preamble, part 75 of chapter I of title 40 distribution of power and This action is subject to the of the Code of Federal Regulations is responsibilities between the federal Congressional Review Act (CRA), and amended as follows: government and Indian tribes. This EPA will submit a rule report to each action simply allows some sources to House of the Congress and to the PART 75—CONTINUOUS EMISSION report actual monitored data values Comptroller General of the United MONITORING instead of substitute data values for States. The CRA allows the issuing ■ 1. The authority citation for part 75 certain required information in agency to make a rule effective sooner continues to read as follows: specified circumstances related to the than otherwise provided by the CRA if COVID–19 national emergency. Thus, the agency makes a good cause finding Authority: 42 U.S.C. 7601 and 7651K, and Executive Order 13175 does not apply that notice-and-comment rulemaking 7651K note. to this action. procedures are impracticable, Subpart G—Reporting Requirements unnecessary, or contrary to the public H. Executive Order 13045: Protection of interest (5 U.S.C. 808(2)). EPA has made Children From Environmental Health ■ 2. Add § 75.68 to read as follows: a good cause finding for this rule as and Safety Risks discussed in section III of this § 75.68 Temporary modifications to EPA interprets Executive Order 13045 document, including the basis for that otherwise applicable quality-assurance as applying only to those regulatory finding. requirements during the COVID–19 national actions that concern environmental emergency. health or safety risks that EPA has M. Determination Under CAA Section (a) Notwithstanding any other reason to believe may 307(b) provision of this part, during and disproportionately affect children, per CAA section 307(b)(1), 42 U.S.C. following the emergency period defined the definition of ‘‘covered regulatory 7607(b)(1), indicates which United in paragraph (a)(1) of this section, the action’’ in section 2–202 of the States Courts of Appeals have venue for provisions of this section shall apply for Executive Order. This action is not petitions of review of final actions by purposes of reporting the data that are subject to Executive Order 13045 EPA. This section provides, in part, that required to be reported under this part because it does not concern an petitions for review must be filed in the and completing the tests that are environmental health risk or safety risk. U.S. Court of Appeals for the District of required to be completed under this This action simply allows some sources Columbia Circuit (D.C. Circuit) if (i) the part. to report actual monitored data values Agency action consists of ‘‘nationally (1) For purposes of this section, the instead of substitute data values for applicable regulations promulgated, or emergency period begins on March 13, certain required information in final action taken, by the 2020, the date of the declaration of a

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national emergency concerning the valid, provided that the following the owner or operator of an affected unit novel coronavirus disease (COVID–19) conditions are met: using the methodology in appendix D outbreak by the President of the United (i) But for the failure to complete the may continue to report data determined States in accordance with 50 U.S.C. quality-assurance test or tests, the data using the fuel characteristics authorized 1621, and concludes 60 days after the obtained from the monitoring system for use under the regulations following date of termination of the national would be considered valid without the the most recent previous analysis for emergency by Congress or the President benefit of the provisions of this section; that fuel, the owner or operator of an in accordance with 50 U.S.C. 1622, (ii) The reason for failure to complete affected unit using the methodology in provided that the emergency period each such quality-assurance test is appendix E may continue to report data under this section shall not extend past travel, plant access, or other safety determined using the correlation curve the expiration of the effectiveness of this restrictions implemented to address the developed from the most recent section. COVID–19 national emergency; and previous appendix E NOX emission rate (2) The provisions of this section shall (iii) The owner or operator creates and testing, and the owner or operator of an apply with respect to the following tests maintains the records specified in affected unit using a fuel-and-unit- that are required to be completed under paragraph (a)(7)(i) of this section and specific emission rate under the LME this part: the designated representative submits methodology in § 75.19(c)(1)(iv) may (i) Any quality-assurance test of a the notifications required under continue to report data determined continuous emission monitoring system paragraphs (a)(7)(ii) and (iii) of this using the fuel-and-unit-specific required under appendix B to this part section. emission rate developed from the most or § 75.74(c). (4) Following a failure to complete by recent previous LME NOX emission rate (ii) Any quality-assurance test of a the applicable deadline any required testing, provided that the following fuel flowmeter required under section certification or recertification test or conditions are met: 2.1.6 of appendix D to this part or tests described in paragraph (a)(2)(iii) or (i) But for the failure to complete the § 75.74(c). (iv) of this section for any continuous appendix D fuel analysis or the (iii) Any certification or recertification emission monitoring system or fuel appendix E or LME NOX emission rate test of a continuous emission flowmeter under this part, for any testing, the data obtained from the monitoring system required under subsequent operating hour in an appendix D, appendix E, or LME § 75.20 or § 75.70(d). emergency period prior to completion of monitoring methodology would be (iv) Any certification test of a fuel the test or tests in accordance with considered valid without the benefit of flowmeter required under section 2.1.5 paragraph (a)(6)(i) of this section, the the provisions of this section; of appendix D to this part or § 75.70(d). owner or operator of an affected unit (ii) The reason for failure to complete (v) Any periodic analysis of fuel may continue to report data determined each such appendix D fuel analysis or sulfur content, density, or gross calorific using measurements obtained from the appendix E or LME NOX emission rate value required under section 2.2 or 2.3 continuous emission monitoring system test is travel, plant access, or other of appendix D to this part, provided that or fuel flowmeter as conditionally valid safety restrictions implemented to there have been no changes in the fuel provided that the following conditions address the COVID–19 national supply since the most recent previous are met: emergency; and fuel analysis that would reasonably be (i) But for the failure to complete the (iii) The owner or operator creates and expected to cause a change in such fuel certification or recertification test or maintains the records specified in characteristics. tests, the data obtained from the paragraph (a)(7)(i) of this section and (vi) Any periodic retest of NOX monitoring system would be considered the designated representative submits emission rates required under section conditionally valid without the benefit the notifications required under 2.2 of appendix E to this part. of the provisions of this section; paragraphs (a)(7)(ii) and (iii) of this (vii) Any periodic retest of fuel-and- (ii) The reason for failure to complete section. unit-specific NOX emission rates each such certification or recertification (6)(i) Each quality-assurance test, required under § 75.19(c)(4)(i)(D) that is test is travel, plant access, or other certification or recertification test, required only because of the passage of safety restrictions implemented to appendix D fuel analysis, and appendix time and not because of changes in the address the COVID–19 national E or LME NOX emission rate test fuel supply, physical changes to the emergency; and required under this part that was not unit, changes in the manner of unit (iii) The owner or operator creates and completed for a unit by the applicable operation, or changes to the emission maintains the records specified in deadline (or by the end of any grace controls. paragraph (a)(7)(i) of this section and period following the deadline) must be (3) Following a failure to complete by the designated representative submits completed as soon as practicable the applicable deadline (or by the end the notifications required under following the end of travel, plant access, of any grace period following the paragraphs (a)(7)(ii) and (iii) of this or other safety restrictions implemented deadline) any required quality- section. to address the COVID–19 national assurance test or tests described in (5) Following a failure to complete by emergency that affect that unit or the paragraph (a)(2)(i) or (ii) of this section the applicable deadline any required personnel or supplies required to for any continuous emission monitoring periodic analysis of fuel characteristics complete the analysis or testing for that system or fuel flowmeter under this under appendix D to this part described unit, but in no event later than the part, for any subsequent operating hour in paragraph (a)(2)(v) of this section or conclusion of the emergency period as in the emergency period prior to any required periodic NOX emission defined in paragraph (a)(1) of this completion of the test or tests in rate testing under appendix E to this section. accordance with paragraph (a)(6)(i) of part or § 75.19 described in paragraph (ii) If a test or analysis for which a this section, the owner or operator of an (a)(2)(vi) or (vii) of this section, for any deadline is established under paragraph affected unit may continue to report subsequent operating hour during the (a)(6)(i) of this section is not completed data determined using measurements emergency period prior to completion of by that deadline, the test or analysis obtained from the continuous emission the analysis or testing in accordance shall be completed as soon as monitoring system or fuel flowmeter as with paragraph (a)(6)(i) of this section, practicable thereafter, and for each

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operating hour following that deadline (E) Identification of the applicable monitoring location, provided that each until completion of the test or analysis, deadline for the test or analysis under item of information required to be the owner or operator shall report part 75 (not including any applicable included in such notification pursuant substitute data as if the originally grace period); to paragraphs (a)(7)(ii)(D) through (F) of applicable deadline for the test or (F) A detailed explanation of the this section or paragraphs (a)(7)(iii)(D) analysis were the deadline under reason for failure to complete the test or through (F) of this section is provided paragraph (a)(6)(i) of this section. analysis by the applicable deadline separately for each required test (iii) For purposes of determining the under part 75, including an explanation included in the notification. applicable deadline for the next quality- of how such failure is caused by travel, (vi) No claim of confidentiality may assurance test, appendix D fuel analysis, plant access, or other safety restrictions be asserted with respect to any or appendix E or LME NOX emission implemented to address the COVID–19 information included in a notification rate test required under this part after a national emergency; submitted under paragraph (a)(7)(ii) or delayed quality-assurance test, (G) The certification statements in (iii) of this section. appendix D fuel analysis, or appendix E § 72.21(b)(1) and (2) of this chapter. (vii) Notwithstanding the deadlines or LME NOX emission rate test is (iii) By five business days after the for submission of notifications in completed or due to be completed in completion in accordance with paragraphs (a)(7)(ii), (iii), and (iv) of this accordance with paragraph (a)(6)(i) of paragraph (a)(6)(i) or (ii) of this section section, no such notification from any this section, the delayed test or analysis of a delayed test or analysis referenced owner or operator shall be due less than shall be considered to have been in paragraph (a)(3), (4), or (5) of this 30 days after the effective date of this completed in a timely manner as of the section, the designated representative section. date on which such delayed test or shall submit to the Administrator, by (b) The requirements of this section analysis was actually completed or, if email transmitted to camdpetitions@ are effective from April 22, 2020 and, earlier, the deadline for completion of epa.gov, a notification containing the except for those in paragraphs (a)(6)(ii) the delayed test or analysis under following information: and (iii) and (a)(7)(i) of this section, paragraph (a)(6)(i) of this section. (A) Facility ID (ORIS); shall cease to have effect October 19, (7) The following recordkeeping and (B) Facility name; 2020. reporting requirements shall apply to (C) Monitoring location ID and/or unit [FR Doc. 2020–08581 Filed 4–21–20; 8:45 am] any use of the procedures under ID; BILLING CODE 6560–50–P paragraphs (a)(3) through (6) of this (D) Identification of the quality- section: assurance test, certification or (i) The owner or operator of an recertification test, appendix D fuel DEPARTMENT OF COMMERCE affected unit reporting data under analysis, or appendix E or LME NOX paragraph (a)(3), (4), or (5) of this emission rate test for which the National Oceanic and Atmospheric section shall maintain records notification is being submitted; Administration documenting the reasons for failure to (E) Identification of the date as of complete by the applicable deadline which travel, plant access, or other 50 CFR Part 648 each test or analysis referenced in such safety restrictions previously impairing the ability to complete the delayed test [Docket No. 181203999–9503–02; RTID paragraph and demonstrating that such 0648–XX050] failure is caused by travel, plant access, or analysis for the unit no longer or other safety restrictions implemented applied; Fisheries of the Northeastern United to address the COVID–19 national (F) Identification of the date as of States; Northeast Multispecies emergency. The owner or operator shall which the test or analysis was Fishery; Northeast Multispecies also maintain records documenting completed in accordance with Measures for Fishing Year 2020 when any such travel, plant access, or paragraph (a)(6)(i) or (ii) of this section; other safety restrictions impairing the and AGENCY: National Marine Fisheries ability to complete testing or analyses (G) The certification statements in Service (NMFS), National Oceanic and for that unit ceased to apply. The § 72.21(b)(1) and (2) of this chapter. Atmospheric Administration (NOAA), records shall be maintained on site at (iv) With respect to any test or Commerce. the source in a form suitable for analysis of a type that is required to be ACTION: Temporary rule; possession and inspection for a period of three years performed more frequently than once trip limit implementation. from the date of each record. per unit operating quarter, a series of SUMMARY: (ii) By five business days after the such required tests or analyses may be This action implements applicable deadline for a test or analysis treated as a single test or analysis for measures for the Northeast multispecies referenced in paragraph (a)(3), (4), or (5) purposes of a notification submitted fishery for the 2020 fishing year. This of this section, the designated under paragraph (a)(7)(ii) or (iii) of this action is necessary to ensure that the representative shall submit to the section, with the notification under Northeast multispecies common pool Administrator, by email transmitted to paragraph (a)(7)(ii) to be submitted by fishery may achieve the optimum yield [email protected], a notification five business days after the first failure for the relevant stocks, while controlling containing the following information: to perform such a test or analysis by the catch to help prevent inseason closures (A) Facility ID (ORIS); applicable deadline and the notification or quota overages. These measures (B) Facility name; under paragraph (a)(7)(iii) to be include possession and trip limits, the (C) Monitoring location ID and/or unit submitted by five business days after the allocation of zero trips into the Closed ID; first completion of such a test or Area II Yellowtail Flounder/Haddock (D) Identification of the quality- analysis in accordance with paragraph Special Access Program for common assurance test, certification or (a)(6)(i) or (ii) of this section. pool vessels to target yellowtail recertification test, appendix D fuel (v) A notification submitted under flounder, and the closure of the Regular analysis, or appendix E or LME NOX paragraph (a)(7)(ii) or (iii) of this section B Days-at-Sea Program. emission rate test for which the may include information for more than DATES: Effective at 0001 hours on May notification is being submitted; one required test for a given unit or 1, 2020, through April 30, 2021.

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FOR FURTHER INFORMATION CONTACT: Northeast Multispecies FMP that will be B possession and trip limits for GB and Spencer Talmage, Fishery Management in effect on May 1, 2020. We also GOM cod are as listed below in Table Specialist, 978–281–9232. considered preliminary 2020 sector 2. SUPPLEMENTARY INFORMATION: The rosters, expected common pool Vessels with a Small Vessel category participation, and common pool fishing Northeast Multispecies Fishery permit can possess up to 300 lb (136 kg) activity in previous fishing years. Based Management Plan (FMP) regulations of cod, haddock, and yellowtail give the Regional Administrator the on that information, we project that flounder, combined, per trip. authority to implement certain types of these adjustments will facilitate Additionally, for these vessels, the trip management measures for the common optimized harvest of the common pool pool fishery, the U.S. Canada quotas, while preventing early trimester limit for all stocks is equal to the Management Area, and Special closures, and preventing catch from landing limits per DAS applicable to Management Programs. This action exceeding the 2020 fishing year sub- multispecies DAS vessels. This is implements a number of these ACLs. necessary to ensure that the trip limit management measures for the 2020 For Handgear A and Handgear B applicable to the Small Vessel category fishing year, effective May 1, 2020. vessels, possession and trip limits for permit is consistent with the trip limits Georges Bank (GB) and Gulf of Maine for other common pool vessels, as Common Pool Trip Limits (GOM) cod are tied to the possession described above. The regulations at § 648.86(o) give the and trip limits for groundfish DAS Weekly quota monitoring reports for Regional Administrator the authority to vessels. The default cod trip limit is 300 the common pool fishery can be found implement or adjust a per-Day-at-Sea lb (136 kg) for Handgear A vessels and on our website at: https:// (DAS) possession limit and/or a 75 lb (34 kg) for Handgear B vessels. If maximum trip limit in order to prevent the GOM or GB cod limit for vessels www.greateratlantic.fisheries.noaa.gov/ exceeding the common pool sub-Annual fishing on a groundfish DAS drops ro/fso/reports/h/nemultispecies.html. Catch Limit (sub-ACL) in that fishing below 300 lb (136 kg), then the We will continue to monitor common year. The possession and trip limits respective Handgear A cod trip limit pool catch through vessel trip reports, implemented for the start of the 2020 must be reduced to the same limit. dealer-reported landings, vessel fishing year are included in Tables 1 Similarly, the Handgear B trip limit monitoring system catch reports, and and 2 below. These possession and trip must be adjusted proportionally to the other available information and, if limits were developed based on the DAS limit (rounded up to the nearest 25 necessary, we will make additional common pool sub-ACLs set by lb (11 kg)). In accordance with this adjustments to common pool Framework Adjustment 58 to the process, the Handgear A and Handgear management measures.

TABLE 1—2020 FISHING YEAR COMMON POOL POSSESSION AND TRIP LIMITS

Stock 2020 trip limit *

GB Cod (outside Eastern U.S./Canada Area) ...... 250 lb (113 kg) per DAS, up to 500 lb (227 kg) per trip. GB Cod (inside Eastern U.S./Canada Area). GB Cod [Closed Area II Yellowtail Flounder/Haddock SAP (for targeting 500 lb (227 kg) per trip. haddock)]. GOM Cod ...... 50 lb (23 kg) per DAS, up to 100 lb (45 kg) per trip. GB Haddock ...... 100,000 lb (45,359 kg) per trip. GOM Haddock ...... 1,000 lb (454 kg) per DAS, up to 2,000 lb (907 kg) per trip. GB Yellowtail Flounder ...... 100 lb (45 kg) per trip. Southern New England (SNE)/Mid-Atlantic (MA) Yellowtail Flounder ..... 100 lb (45 kg) per DAS, up to 200 lb (91 kg) per trip. Cape Cod (CC)/GOM Yellowtail Flounder ...... 1,000 lb (340 kg) per DAS, up to 2,000 lb (680 kg) per trip. American Plaice ...... 1,000 lb (340 kg) per DAS, up to 2,000 lb (680 kg) per trip. Witch Flounder ...... 750 lb (272 kg) per trip. GB Winter Flounder ...... 250 lb (113 kg) per trip. GOM Winter Flounder ...... 1,000 lb (454 kg) per trip. SNE/MA Winter Flounder ...... 2,000 lb (907 kg) per DAS, up to 4,000 lb (1,814 kg) per trip. Redfish ...... Unlimited. White Hake ...... 1,500 lb (680 kg) per trip. Pollock ...... Unlimited. Atlantic Halibut ...... 1 fish per trip. Windowpane Flounder ...... Possession Prohibited. Ocean Pout. Atlantic Wolffish. * Minimum fish sizes apply for many groundfish species, but are not included in this rule. Please see 50 CFR 648.83 for applicable minimum fish sizes.

TABLE 2—2020 FISHING YEAR COD TRIP LIMITS FOR HANDGEAR A, HANDGEAR B, AND SMALL VESSEL CATEGORY PERMITS

Permit Initial 2020 trip limit

Handgear A GOM Cod ...... 50 lb (23 kg) per trip. Handgear A GB Cod ...... 250 lb (113 kg) per trip. Handgear B GOM Cod ...... 25 lb (11 kg) per trip. Handgear B GB Cod ...... 25 lb (11 kg) per trip.

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TABLE 2—2020 FISHING YEAR COD TRIP LIMITS FOR HANDGEAR A, HANDGEAR B, AND SMALL VESSEL CATEGORY PERMITS—Continued

Permit Initial 2020 trip limit

Small Vessel Category ...... 300 lb (136 kg) of cod, haddock, and yellowtail flounder combined; ad- ditionally, vessels are limited to the common pool DAS limit for all stocks.

Table 3 includes the initial common that the sector and common pool catch request comment on updated 2020 pool trimester Total Allowable Catches limits, including the trimester TACs, specifications as recommended by the (TACs) for fishing year 2020. These may change due to changes in sector New England Fishery Management trimester TACs are based on preliminary rosters. If changes to sector rosters Council in Framework Adjustment 59 to sector rosters. However, individual occur, updated catch limits and/or the Northeast Multispecies FMP. If permit holders have until the end of the possession and trip limits will be approved, that rule would make 2019 fishing year (April 30, 2020) to announced as soon as possible in the additional changes to common pool sub- drop out of a sector and fish in the 2020 fishing year to reflect the final ACLs. There could be additional common pool fishery for the 2020 sector rosters as of May 1, 2020. We are changes to common pool possession and fishing year. Therefore, it is possible working to publish a proposed rule to trip limits as a result.

TABLE 3—INITIAL COMMON POOL TRIMESTER TOTAL ALLOWABLE CATCHES FOR FISHING YEAR 2020 [mt, live weight]

Trimester total allowable catches Stock (mt) Trimester 1 Trimester 2 Trimester 3

GB Cod ...... 18.9 22.9 25.6 GOM Cod ...... 5.5 3.7 2.0 GB Haddock ...... 286.8 350.5 424.9 GOM Haddock ...... 21.2 20.4 36.8 GB Yellowtail Flounder ...... 0.7 1.1 1.9 SNE/MA Yellowtail Flounder ...... 1.3 1.7 3.2 CC/GOM Yellowtail Flounder ...... 12.2 5.6 3.6 American Plaice ...... 21.6 2.3 5.2 Witch Flounder ...... 12.7 4.6 5.8 GB Winter Flounder ...... 2.5 7.6 21.6 GOM Winter Flounder ...... 6.7 6.9 4.5 Redfish ...... 14.5 18.0 25.5 White Hake ...... 8.0 6.6 6.6 Pollock ...... 69.5 86.8 91.8

Closed Area II Yellowtail Flounder/ Area II Yellowtail Flounder/Haddock adequate to fully harvest the 2020 GB Haddock Special Access Program SAP based on several criteria, including yellowtail flounder allocation. The regulations at § 648.85(b)(3)(vii) the GB yellowtail flounder catch limit We are working to publish a proposed provide the Regional Administrator and the amount of GB yellowtail rule to request comments on Framework with authority to determine the total flounder caught outside of the SAP. 59 measures. If approved, Framework 59 number of common pool trips that may Allocating trips to target yellowtail would implement a 2020 GB yellowtail be declared into the Closed Area II flounder in the Closed Area II flounder sub-ACL that is reduced Yellowtail Flounder/Haddock Special Yellowtail Flounder/Haddock SAP is compared to the Framework 58 sub- Access Program (SAP) to target discretionary if the available GB ACL. A reduction in the GB yellowtail yellowtail flounder. This action yellowtail flounder catch is insufficient flounder sub-ACL would reduce the allocates zero trips for common pool to support at least 150 trips with a number of potential trips in the Closed vessels to target yellowtail flounder 15,000-lb (6,804-kg) trip limit, for a total Area II yellowtail Flounder/Haddock within the Closed Area II Yellowtail catch of 2,250,000 lb (1,020,600 kg). SAP. As a result, we do not expect that Flounder/Haddock SAP for fishing year This calculation considers projected the final rule implementing Framework 2020. As a result, this SAP is only open catch from all vessels from the area 59 would allocate trips to the SAP to to target haddock, from August 1, 2020, outside the SAP. Based on the fishing target yellowtail flounder. through January 31, 2021. Northeast year 2020 GB yellowtail flounder Regular B DAS Program multispecies vessels fishing in the SAP groundfish sub-ACL implemented by The regulations at § 648.85(b)(6)(vi) must fish with a haddock separator Framework Adjustment 58 of 295,419 lb authorize the Regional Administrator to trawl, a Ruhle trawl, or hook gear. (134,000 kg), there is insufficient GB Vessels may not fish in this SAP using close the Regular B DAS program by yellowtail flounder to allocate any trips flounder trawl nets. prohibiting the use of Regular B DAS The Regional Administrator has the to the SAP. Further, given the low GB when the continuation of the program authority to determine the allocation of yellowtail flounder catch limit, catch would undermine the achievement of the total number of trips into the Closed rates outside of this SAP are more than the objectives of the Northeast

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Multispecies FMP or the Regular B DAS pursuant to 5 U.S.C. 553(b)(B) and 5 be declared into the Closed Area II Program. One reason for terminating the U.S.C. 553(d)(3) to waive prior notice Yellowtail Flounder/Haddock SAP on program is an inability to constrain and the opportunity for public comment or about June 1. We have included the common pool catches to the Incidental and the 30-day delayed effectiveness announcement in this inseason action to Catch TACs. period because it would be contrary to meet this regulatory requirement. Doing Framework Adjustment 58 to the the public interest. so ensures that the fishing industry has Northeast Multispecies FMP (84 FR The regulations at § 648.86(o) sufficient notice in order to plan their 34799, July 19, 2019) implemented authorize the Regional Administrator to activities in the new fishing year. This Common Pool Incidental Catch TACs adjust the Northeast multispecies action is formulaic and is expected by for the Regular B DAS Program for the possession and trip limits for common industry. Given the low quota for GB 2020 fishing year (Table 1). These TACs pool vessels in order to prevent the yellowtail flounder in recent years, no are further divided into Quarterly overharvest or underharvest of the trips have been allocated to this SAP Incidental Catch TACs to be monitored pertinent common pool quotas. This from fishing year 2010 to fishing year and managed during each calendar action sets the initial common pool 2019. possession and trip limits on May 1, quarter. The regulations at § 648.85(b)(6)(vi) Given that the Incidental Catch TACs 2020, for the 2020 fishing year. The authorize the Regional Administrator to allocated to the Regular B DAS Program possession and trip limits implemented close the Regular B DAS program by for several stocks are very small, through this action help to ensure that prohibiting the use of Regular B DAS inseason management of the Regular B the Northeast multispecies common when the continuation of the program DAS Program is likely to be extremely pool fishery may achieve the optimum would undermine the achievement of difficult and impractical. yield for the relevant stocks, while the objectives of the Northeast Implementation of an inseason action to controlling catch to help prevent Multispecies FMP or the Regular B DAS close the Regular B DAS Program once inseason closures or quota overages. Program. The Regular B DAS program a Quarterly Incidental Catch TAC for a Delay of this action would leave the closure implemented through this stock has been reached would not be common pool fishery with the action will prevent an overage of the possible to complete quickly enough to possession and trip limits found in Incidental Catch TACs. Delay of this prevent further catch of that stock. § 648.86, which are too high to control action would provide vessel owners an As a result, it is unlikely that we can catch. This would likely lead to early opportunity to participate in the Regular effectively limit catch to the Incidental closure of a trimester and quota B DAS Program, but participation and Catch TACs during fishing year 2020, overages. Any overage of the quota for catch in the program may cause the and project that continuation of the either of the first two trimesters must be allocation to be exceeded. program would undermine the deducted from the Trimester 3 quota, achievement of the objectives of the which could substantially disrupt the For the reasons above, delay of this Northeast Multispecies FMP and the trimester structure and intent to action for prior notice and the Regular B DAS Program. The Regular B distribute the fishery across the entire opportunity for public comment and the DAS Program will be closed and use of fishing year. An overage reduction in 30-day delayed effectiveness period Regular B DAS is prohibited for the Trimester 3 would further reduce would undermine management 2020 fishing year, through April 30, fishing opportunities for common pool objectives of the FMP and cause 2021. This applies to all vessels issued vessels and likely result in early closure unnecessary negative economic impacts a limited access Northeast multispecies of Trimester 3. Additionally, any to the common pool fishery. permit. overage of the annual quota would be Authority: 16 U.S.C. 1801 et seq. deducted from common pool’s quota for Classification the next fishing year, to the detriment of Dated: April 16, 2020. This action is authorized by 50 CFR this stock. He´le`ne M.N. Scalliet, part 648 and is exempt from review The regulations at § 648.85(b)(3)(vii) Acting Director, Office of Sustainable under Executive Order 12866. require that the Regional Administrator Fisheries, National Marine Fisheries Service. The Assistant Administrator for announce the total number of allowed [FR Doc. 2020–08510 Filed 4–21–20; 8:45 am] Fisheries, NOAA, finds good cause trips by common pool vessels that may BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 85, No. 78

Wednesday, April 22, 2020

This section of the FEDERAL REGISTER Dated: April 14, 2020. telephone number (913) 551–7714; contains notices to the public of the proposed Kurt Thiede, email address [email protected]. issuance of rules and regulations. The Regional Administrator, Region 5. SUPPLEMENTARY INFORMATION: purpose of these notices is to give interested Throughout this document ‘‘we,’’ ‘‘us,’’ persons an opportunity to participate in the [FR Doc. 2020–08148 Filed 4–21–20; 8:45 am] rule making prior to the adoption of the final BILLING CODE 6560–50–P and ‘‘our’’ refer to the EPA. rules. Table of Contents ENVIRONMENTAL PROTECTION I. Written Comments ENVIRONMENTAL PROTECTION AGENCY II. What is being addressed in this document? AGENCY III. Background 40 CFR Part 52 IV. What is the EPA’s analysis of Missouri’s SIP revision request? 40 CFR PART 52 V. Have the requirements for approval of a [EPA–R07–OAR–2019–0400; FRL–10007– SIP revision been met? [EPA–R05–OAR–2020–0055; FRL–10008– 36–Region 7] VI. What action is the EPA taking? 28–Region 5] VII. Incorporation by Reference Air Plan Approval; Missouri; Removal VIII. Statutory and Executive Order Reviews Air Plan Approval; Ohio; Technical of Control of Emissions From Bakery Amendment Ovens I. Written Comments AGENCY: Environmental Protection Submit your comments, identified by AGENCY: Environmental Protection Agency (EPA). Docket ID No. EPA–R07–OAR–2019– Agency (EPA). 0400 at https://www.regulations.gov. ACTION: Proposed rule. Once submitted, comments cannot be ACTION: Proposed rule; extension of public comment period. SUMMARY: The Environmental Protection edited or removed from Regulations.gov. Agency (EPA) is proposing approval of The EPA may publish any comment a State Implementation Plan (SIP) received to its public docket. Do not SUMMARY: The Environmental Protection revision submitted by the State of submit electronically any information Agency (EPA) is extending the comment Missouri on December 3, 2018, and you consider to be Confidential period for a proposed rule published supplemented by letter on May 22, Business Information (CBI) or other March 23, 2020. On March 23, 2020, 2019. Missouri requests that the EPA information whose disclosure is EPA proposed to remove the air remove from its SIP a rule related to restricted by statute. Multimedia pollution nuisance rule from the Ohio control of emissions from bakery ovens submissions (audio, video, etc.) must be State Implementation Plan using the in the Kansas City, Missouri area. This accompanied by a written comment. Clean Air Act error correction provision. rescission does not have an adverse The written comment is considered the In response to a request from a member effect on air quality. The EPA’s official comment and should include of the public, EPA is extending the proposed approval of this rule revision discussion of all points you wish to comment period for 30 days. is in accordance with the requirements make. The EPA will generally not DATES: The comment period is extended of the Clean Air Act (CAA). consider comments or comment to May 22, 2020. DATES: Comments must be received on contents located outside of the primary or before May 22, 2020. submission (i.e., on the web, cloud, or ADDRESSES: Submit comments, other file sharing system). For ADDRESSES: You may send comments, identified by Docket ID No. EPA–R05– additional submission methods, the full identified by Docket ID No. EPA–R07– OAR–2020–0055, to: Douglas Aburano, EPA public comment policy, OAR–2019–0400 to https:// Chief, Attainment Planning and information about CBI or multimedia www.regulations.gov. Follow the online Maintenance Section, Air Programs submissions, and general guidance on instructions for submitting comments. Branch (AR–18J), U.S. Environmental making effective comments, please visit Instructions: All submissions received Protection Agency, Region 5, 77 West https://www.epa.gov/dockets/ must include the Docket ID No. for this Jackson Boulevard, Chicago, Illinois commenting-epa-dockets. 60604, [email protected]. rulemaking. Comments received will be posted without change to https:// II. What is being addressed in this Additional instructions to comment can www.regulations.gov/, including any document? be found in the notice of proposed personal information provided. For rulemaking published March 23, 2020 The EPA is proposing to approve the detailed instructions on sending (85 FR 16309). removal of 10 Code of State Regulation comments and additional information (CSR) 10–2.360, Control of Emissions FOR FURTHER INFORMATION CONTACT: on the rulemaking process, see the from Bakery Ovens, from the Missouri Rachel Rineheart, Environmental ‘‘Written Comments’’ heading of the SIP. Engineer, Air Planning and SUPPLEMENTARY INFORMATION section of According to the May 22, 2019, letter Maintenance Section, Air Programs this document. from the Missouri Department of Branch (AR–18J), U.S. Environmental FOR FURTHER INFORMATION CONTACT: Natural Resources, available in the Protection Agency, Region 5, 77 West William Stone, Environmental docket for this proposed action, Jackson Boulevard, Chicago, Illinois Protection Agency, Region 7 Office, Air Missouri rescinded 10 CSR 10–2.360, 60604, (312) 886–7017, Quality Planning Branch, 11201 Renner Control of Emissions from Bakery Ovens [email protected]. Boulevard, Lenexa, Kansas 66219; because the only source subject to the

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rule ceased operations in 2001. The flexibility to select control strategies. 10 decommissioned. The EPA has state asserts in their submission to the Code of State Regulation (CSR) 10– confirmed that the facility was Agency that this rule is no longer 2.360, Control of Emissions from Bakery completely dismantled and is no longer necessary for attainment and Ovens was proposed June 6, 1995, and operating. maintenance of the 1979, 1997, or 2008 became effective in Missouri on As stated above, Missouri clarified National Ambient Air Quality Standards November 30, 1995. The State submitted that 10 CSR 10–2.360 may be removed (NAAQS) for Ozone. the rule as a SIP revision March 6, 1996. from the SIP because section 172(c)(1) of III. Background The EPA proposed to approve the SIP the CAA requires RACT for existing revision. 61 FR 40591 (August 5, 1996). The EPA established a 1-hour ozone sources, and because 10 CSR 10–2.360 As required by CAA section 172(b)(2), was applicable to a single source that NAAQS in 1971. 36 FR 8186 (April 30, the rule was approved into the Missouri 1971). On March 3, 1978, the EPA has permanently ceased operations and SIP. 63 FR 38755 (July 20, 1998). therefore the rule no longer reduces designated Clay, Platte and Jackson As noted, 10 CSR 10–2.360, Control of VOC emissions. Because the Wonder counties (hereinafter referred to in this Emissions from Bakery Ovens, was Bread factory in Kansas City, Missouri document as the ‘‘Kansas City Area’’) in approved into the Missouri SIP as a was the only source that was subject to nonattainment of the 1971 1-hour ozone RACT rule on July 20, 1998. 63 FR 1 the rule, and because the facility has NAAQS, as required by the CAA 38755 (July 20, 1998). At the time that Amendments of 1977. 43 FR 8962 the rule was approved into the SIP, 10 been shut-down and dismantled and (March 3, 1978). On February 8, 1979, CSR 10–2.360 applied to new or since 2001 no new bakery oven facilities the EPA revised the 1-hour ozone modified or existing commercial have commenced operation in the area NAAQS, referred to as the 1979 ozone bakeries whose potential emissions of since Missouri developed this rule, the NAAQS. 44 FR 8202 (February 8, 1979). VOCs are greater than one hundred EPA is proposing to find that the rule no On February 20, 1985, the EPA notified (100) tons per year (tpy) in Clay, Jackson longer provides an emission reduction Missouri that the SIP was substantially and Platte Counties in Missouri. benefit to the Kansas City Area and is inadequate (hereinafter referred to as the By letter dated December 3, 2018, proposing to remove it from the SIP. ‘‘SIP Call’’) to attain the 1-hour ozone Missouri requested that the EPA remove Missouri’s May 22, 2019 letter states NAAQS in the Kansas City Area. See 50 10 CSR 10–2.360 from the SIP. Section that any new sources or major FR 26198 (July 25, 1985). 110(l) of the CAA prohibits EPA from modifications of existing sources are To address the SIP Call, Missouri approving a SIP revision that interferes subject to new source review (NSR) submitted an attainment demonstration with any applicable requirement permitting. Under NSR, a new major on May 21, 1986, and volatile organic concerning attainment and reasonable source or major modification of an compound (VOC) control regulations on further progress (RFP), or any other existing source with a (potential to emit) December 18, 1987. See 54 FR 10322 applicable requirement of the CAA. On PTE of 250 tons per year (tpy) or more (March 13, 1989) and 54 FR 46232 May 22, 2019, the state supplemented of any NAAQS pollutant is required to (November 2, 1989). The EPA its SIP revision with a letter in order to obtain a Prevention of Significant subsequently approved the revised address the requirements of section Deterioration (PSD) permit when the control strategy for the Kansas City 110(l) of the CAA. Area. Id. The EPA redesignated the area is in attainment or unclassifiable, Kansas City Area to attainment of the IV. What is the EPA’s analysis of which requires an analysis of Best 1979 1-hour ozone standard on July 23, Missouri’s SIP revision request? Available Control Technology (BACT) 1992. 57 FR 27939 (June 23, 1992). in addition to an air quality analysis and In its May 22, 2019 letter, Missouri an additional impacts analysis. Sources Pursuant to section 175A of the CAA, states that it intended its RACT rules, the first 10-year maintenance period for with a PTE greater than 100 tpy, but less such as 10 CSR 10–2.360, to solely than 250 tpy, are required to obtain a the 1-hour ozone standard began on July apply to existing sources in accordance 23, 1992, the effective date of the 3 minor permit in accordance with with section 172(c)(1) of the CAA . Missouri’s New Source Review redesignation approval. Missouri clarified that although the Following the 1992 redesignation, a permitting program, which is approved applicability section of 10 CSR 10–2.360 into the SIP.5 The EPA agrees with this large uncontrolled commercial bakery states that the rule applies to new and analysis. located in Kansas City was identified by existing installations (located within the the state of Missouri. Since bakery Clay, Jackson and Platte Counties), the Missouri’s May 22, 2019, letter also operations emit significant amounts of rule applied to a single existing source, includes information concerning ozone ethanol, which is a VOC, Missouri the Wonder Bread factory in Kansas air quality in the Kansas City area from developed a regulation based on EPA’s City, Missouri. This assertion is 1996 through 2018 that indicates a Alternative Control Technology (ACT) 2 confirmed in the State Implementation downward trend in monitored ozone document which is designed to provide Plan record in which the EPA approved design values. Missouri states that states with background information to this rule into the SIP in 1998.4 despite promulgation of more stringent assist them in developing RACT rules Missouri, in its May 22, 2019 letter, ozone NAAQS in 1997, 2008 and 2015, for this source category. Unlike a control indicates that the Wonder Bread factory the Kansas City area continues to technique guideline (CTG) document, in Kansas City, Missouri ceased monitor attainment. The EPA has however, the Bakery Oven ACT does not operations in 2001 and the emitting confirmed that certified ambient air identify a presumptive norm for RACT. equipment was subsequently quality data for Kansas City Area as An achievable control level is monitored at the Rocky Creek, Clay identified, and states are given the 3 The EPA agrees with Missouri’s interpretation of County State and local air monitoring CAA Section 172(c)(1) in regards to whether RACT station is compliant with the most 1 Missouri’s May 22, 2019 letter incorrectly states is required for existing sources, but also notes that that the Kansas City area was designated as a the State regulation establishing RACT may apply recent ozone standard—the 2015 ozone nonattainment area for the 1979 ozone NAAQS in to new sources as well, dependent upon the State 1978. regulation’s language. 5 EPA’s latest approval of Missouri’s NSR 2 https://www3.epa.gov/airquality/ctg_act/ 4 https://www.govinfo.gov/content/pkg/FR-1998- permitting program rule was published in the 199212_voc_epa453_r-92-017_bakery_ovens.pdf. 07-20/html/98-19134.htm. Federal Register on October 11, 2016. 81 FR 70025.

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NAAQS.6 The 2016–2018 design value area continues to monitor attainment of • Is not an economically significant for that monitor is 70 parts per million.7 the 2015 Ozone NAAQS. We are regulatory action based on health or Because Missouri has demonstrated processing this as a proposed action safety risks subject to Executive Order that removal of 10 CSR 10–2.360 will because we are soliciting comments on 13045 (62 FR 19885, April 23, 1997); not interfere with attainment of the this proposed action. Final rulemaking • Is not a significant regulatory action NAAQS, Reasonable Further Progress will occur after consideration of any subject to Executive Order 13211 (66 FR (RRF) 8 or any other applicable comments. 28355, May 22, 2001); requirement of the CAA because the • VII. Incorporation by Reference Is not subject to requirements of the single source subject to the rule has National Technology Transfer and permanently ceased operations and In this document, the EPA is Advancement Act (NTTA) because this removal of the rule will not cause VOC proposing to amend regulatory text that rulemaking does not involve technical emissions to increase, and any new includes incorporation by reference. As standards; and source would be required to go through described in the proposed amendments • Does not provide EPA with the the appropriate permitting process that to 40 CFR part 52 set forth below, the discretionary authority to address, as is protective of the NAAQS, the EPA EPA is proposing to remove provisions appropriate, disproportionate human proposes to approve removal of 10 CSR of the EPA-Approved Missouri health or environmental effects, using 10–2.360 from the SIP. Regulations from the Missouri State practicable and legally permissible Implementation Plan, which is methods, under Executive Order 12898 V. Have the requirements for approval incorporated by reference in accordance (59 FR 7629, February 16, 1994). of a SIP revision been met? with the requirements of 1 CFR part 51. The State submission has met the The SIP is not approved to apply on VIII. Statutory and Executive Order public notice requirements for SIP any Indian reservation land or in any Reviews submissions in accordance with 40 CFR other area where EPA or an Indian tribe 51.102. The submission also satisfied Under the CAA, the Administrator is has demonstrated that a tribe has the completeness criteria of 40 CFR part required to approve a SIP submission jurisdiction. In those areas of Indian 51, appendix V. The State provided that complies with the provisions of the country, the rule does not have tribal public notice on this SIP revision from Act and applicable Federal regulations. implications and will not impose February 28, 2018, to April 5, 2018 and 42 U.S.C. 7410(k); 40 CFR 52.02(a). substantial direct costs on tribal held a public hearing on March 29, Thus, in reviewing SIP submissions, the governments or preempt tribal law as 2018. Missouri received five comments EPA’s role is to approve state choices, specified by Executive Order 13175 (65 from the EPA that related to Missouri’s provided that they meet the criteria of FR 67249, November 9, 2000). lack of an adequate demonstration that the CAA. Accordingly, this action List of Subjects in 40 CFR Part 52 the rule could be removed from the SIP merely approves state law as meeting in accordance with section 110(l) of the Federal requirements and does not Environmental protection, Air CAA. Missouri’s May 22, 2019 letter impose additional requirements beyond pollution control, Incorporation by addressed the EPA’s comments. In those imposed by state law. For that reference, Reporting and recordkeeping addition, the revision meets the reason, this action: requirements, Volatile organic substantive SIP requirements of the • Is not a significant regulatory action compounds. CAA, including section 110 and subject to review by the Office of Dated: April 3, 2020. implementing regulations. Management and Budget under Edward Chu, Executive Orders 12866 (58 FR 51735, Acting Regional Administrator, Region 7. VI. What action is the EPA taking? October 4, 1993) and 13563 (76 FR 3821, The EPA is proposing to approve January 21, 2011); For the reasons stated in the Missouri’s request to rescind 10 CSR • Is not an Executive Order 13771 (82 preamble, the EPA proposes to amend 2.360 from the SIP because the rule FR 9339, February 2, 2017) regulatory 40 CFR part 52 as set forth below: applied to a single source that has action because SIP approvals are permanently ceased operations. Any exempted under Executive Order 12866. PART 52—APPROVAL AND new sources or major modifications of • Does not impose an information PROMULGATION OF existing sources in the Kansas City Area collection burden under the provisions IMPLEMENTATION PLANS are subject to NSR permitting. of the Paperwork Reduction Act (44 ■ Additionally, the maintenance period U.S.C. 3501 et seq.); 1. The authority citation for part 52 for the 1979 ozone NAAQS for the • Is certified as not having a continues to read as follows: Kansas City Area ended in 2014 and the significant economic impact on a Authority: 42 U.S.C. 7401, et seq. substantial number of small entities 6 In accordance 40 CFR part 50.19(b), the 2015 8- under the Regulatory Flexibility Act (5 Subpart AA—Missouri hour primary O3 NAAQS is met at an ambient air U.S.C. 601 et seq.); § 52.1320 [Amended] quality monitoring site when 3-year average of the • Does not contain any unfunded annual fourth-highest daily maximum 8-hour ■ 2. In § 52.1320, the table in paragraph average O3 concentration is less than or equal to mandate or significantly or uniquely 0.070 ppm, as determined in accordance with affect small governments, as described (c) is amended by removing the entry appendix U to 40 CFR part 50. in the Unfunded Mandates Reform Act ‘‘10–2.360’’ under the heading ‘‘Chapter 7 The monitoring data was reported, quality of 1995 (Pub. L. 104–4); 2-Air Quality Standards and Air assured, and certified in accordance with the • Does not have Federalism Pollution Control Regulations for the requirements set forth in 40 CFR part 58. Kansas City Metropolitan Area’’. 8 RFP is not applicable to the Kansas City Area implications as specified in Executive because the area is in attainment of all applicable Order 13132 (64 FR 43255, August 10, [FR Doc. 2020–07474 Filed 4–21–20; 8:45 am] ozone standards. 1999); BILLING CODE 6560–50–P

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ENVIRONMENTAL PROTECTION https://www.epa.gov/dockets/ result in localized pollutant impacts AGENCY commenting-epa-dockets. very near the emissions source. FOR FURTHER INFORMATION CONTACT: However, ambient concentrations of SO2 40 CFR Part 52 Megan Goold, Planning & do not decrease as quickly with distance [EPA–R03–OAR–2018–0042; FRL–10007– Implementation Branch (3AD30), Air & from the source as Pb because of the 90–Region 3] Radiation Division, U.S. Environmental physical properties and typical release Protection Agency, Region III, 1650 heights of SO2. Emissions of SO2 travel Air Plan Disapproval; Maryland; Arch Street, Philadelphia, Pennsylvania farther and have wider ranging impacts Interstate Transport Requirements for 19103. The telephone number is (215) than emissions of Pb but do not travel the 2010 1-Hour Sulfur Dioxide 814–2027. Ms. Goold can also be far enough to be treated in a manner National Ambient Air Quality Standard reached via electronic mail at similar to ozone or PM2.5. The approaches that the EPA has adopted for AGENCY: [email protected]. Environmental Protection ozone or PM transport are too SUPPLEMENTARY INFORMATION: 2.5 Agency (EPA). regionally focused and the approach for ACTION: Proposed rule. I. Background Pb transport is too tightly circumscribed to the source to serve as a model for SO SUMMARY: The Environmental Protection On June 22, 2010 (75 FR 35520), EPA 2 transport. SO transport is therefore a Agency (EPA) is proposing to promulgated a revised primary NAAQS 2 unique case and requires a different disapprove part of a Maryland state for SO at a level of 75 parts per billion 2 approach. implementation plan (SIP) submission (ppb), based on a 3-year average of the as inadequate to meet certain Clean Air In this proposed rulemaking, as in annual 99th percentile of 1-hour daily prior SO transport analyses, EPA Act (CAA) interstate transport maximum concentrations. Pursuant to 2 requirements for the 2010 primary focuses on a 50 kilometer-wide zone section 110(a)(1), states must submit sulfur dioxide National Ambient Air around large stationary sources of SO2 ‘‘within 3 years (or such shorter period Quality Standard (SO NAAQS). because the physical properties of SO2 2 as the Administrator may prescribe) result in relatively localized pollutant Specifically, EPA proposes to find that after the promulgation of a national the Maryland SIP submission does not impacts near an emissions source that primary ambient air quality standard (or diminish with distance. Given the contain adequate provisions prohibiting any revision thereof),’’ a plan that emissions from Maryland sources which physical properties of SO2, EPA selected provides for the ‘‘implementation, the ‘‘urban scale’’—a spatial scale with will contribute significantly to maintenance, and enforcement’’ of such nonattainment or interfere with dimensions from 4 to 50 kilometers (km) NAAQS. This SIP submission is from point sources—given the maintenance of the 2010 SO2 NAAQS in generally referred to as an any other state. usefulness of that range in assessing ‘‘infrastructure SIP.’’ The statute trends in both area-wide air quality and DATES: Written comments must be directly imposes on states the duty to the effectiveness of large-scale pollution received on or before May 22, 2020. make these SIP submissions, and the control strategies at such point sources.1 ADDRESSES: Submit your comments, requirement to make the submissions is As such, EPA utilized an assessment up identified by Docket ID No. EPA–R03– not conditioned upon EPA’s taking any to 50 km from point sources in order to OAR–2018–0042 at https:// action other than promulgating a new or assess trends in area-wide air quality www.regulations.gov, or via email to revised NAAQS. Section 110(a)(2) that might impact downwind states. [email protected]. For includes a list of specific elements that comments submitted at Regulations.gov, ‘‘[e]ach such plan’’ submission must III. Summary of State SIP Revision follow the online instructions for address to meet the infrastructure On August 17, 2016, Maryland, submitting comments. Once submitted, requirements. Among the section through the Maryland Department of the comments cannot be edited or removed 110(a)(2) requirements are the Environment (MDE), submitted a SIP from Regulations.gov. For either manner requirements under section revision, consistent with EPA guidance, of submission, EPA may publish any 110(a)(2)(D)(i)(I) for states to include to satisfy most of the infrastructure comment received to its public docket. adequate provisions in their SIPs that requirements of CAA section 110(a)(2) 2 Do not submit electronically any prohibit emissions within the state for the 2010 SO2 NAAQS. information you consider to be which will contribute significantly to On May 8, 2019 (84 FR 20070), EPA confidential business information (CBI) nonattainment in, or interfere with proposed approval of Maryland’s or other information whose disclosure is maintenance by, any other state with infrastructure SIP submittal for the 2010 restricted by statute. Multimedia respect to a NAAQS. This infrastructure 1 submissions (audio, video, etc.) must be element related to interstate transport of For the definition of spatial scales for SO2, see 40 CFR part 58, appendix D, section 4.4 (‘‘Sulfur accompanied by a written comment. SO2 is the subject of this proposed Dioxide (SO2) Design Criteria’’). For further The written comment is considered the rulemaking action. discussion on how EPA is applying these official comment and should include definitions with respect to interstate transport of II. Relevant Factors To Evaluate 2010 discussion of all points you wish to SO2, see EPA’s proposal on Connecticut’s SO2 make. EPA will generally not consider SO2 Interstate Transport SIPs transport SIP. 82 FR 21351, 21352, 21354 (May 8, 2017). comments or comment contents located Although SO2 is emitted from a 2 Consistent with ‘‘Guidance on Infrastructure SIP outside of the primary submission (i.e., similar universe of point and nonpoint Elements under Clean Air Act Sections 110(a)(1) on the web, cloud, or other file sharing sources, interstate transport of SO2 is and 110(a)(2),’’ Memorandum from Stephen D. system). For additional submission unlike the transport of fine particulate Page, September 13, 2013. The Maryland SIP submission addressed all of the infrastructure methods, please contact the person matter (PM2.5) or ozone, in that SO2 is requirements of section 110(a)(2) except for identified in the FOR FURTHER not a regional pollutant and does not requirements concerning nonattainment new source INFORMATION CONTACT section. For the commonly contribute to widespread review permit programs under 110(a)(2)(C) and the full EPA public comment policy, nonattainment over a large (and often nonattainment planning requirements under part D, title I of the CAA found at 110(a)(2)(I). These information about CBI or multimedia multi-state) area. The transport of SO2 is elements are not subject to the same three-year submissions, and general guidance on more analogous to the transport of lead deadline for adoption as the other 110(a)(2) making effective comments, please visit (Pb) because its physical properties requirements.

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1-hour SO2 NAAQS for all of the determined that the distance from the remaining undesignated areas that submitted applicable elements of Maryland state borders to the existing must be completed by December 31, section 110(a)(2) with the exception of nonattainment areas or to the potential 2020 (‘‘round 4’’), as well as for other 110(a)(2)(D)(i)(I), which are the nonattainment area was beyond the CAA programs. New source-oriented interstate transport elements. In that range of concern for transported SO2 monitors were required to be action, EPA stated that it would act on emissions.3 Likewise, Maryland operational by January 1, 2017. the interstate transport elements in a considered a potential nonattainment Luke, in Allegany County, Maryland, future action. This proposed rulemaking area in the State that had not yet been is a source of SO2 emissions located on action addresses those interstate characterized and determined that the the West Virginia state border. Luke transport elements. distance (39 miles or approximately 63 emitted greater than 2,000 tons of SO2 In Maryland’s August 17, 2016 SIP km) from the large SO2 sources in that in 2014 and was therefore required to be submittal, MDE discusses various State uncharacterized area to a neighboring characterized pursuant to the DRR. and Federal measures which it asserts state was also beyond the range of Maryland elected to install new source- prohibit Maryland sources from concern for SO2 transport. oriented monitors to capture the emitting SO2 at levels which would maximum impacts from Luke.4 Two contribute significantly to IV. EPA’s Analysis of Maryland’s Submittal monitors were installed in Allegany nonattainment or interfere with County, Maryland, and one monitor was The EPA generally agrees that the maintenance of the SO2 NAAQS in installed in Mineral County, West another state, including: (1) The Healthy Federally enforceable measures Virginia. These three monitors were Air Act (HAA), which was enacted in described in Maryland’s August 17, installed in accordance with EPA’s 2006, as well as its implementing 2016 SIP submittal have contributed to Source-Oriented Monitoring Technical regulations at Code of Maryland reductions of SO2 emissions at specific Assistance Document 5 as described in Regulations (COMAR) 26.11.27 (adopted sources throughout the State. However, Maryland’s Annual Monitoring Network into the SIP in 2017 (73 FR 51599)), the submittal does not address SO 2 Plan (AMNP) for Calendar Year 2017 which require reductions in total emissions from the Luke Paper Mill and the accompanying Addendum, emissions of SO from electric (Luke) that current ambient monitoring 2 which were both approved by EPA on generating units (EGUs); (2) a July 11, data demonstrate as contributing November 10, 2016.6 2013 consent decree between Holcim, significantly to nonattainment of the The three source-oriented monitors Incorporated and the U.S. government 2010 SO2 NAAQS in West Virginia. which requires Holcim to replace units On August 21, 2015 (80 FR 51052), around the Luke facility began operating at its Hagerstown, Maryland facility and EPA promulgated air quality after this SIP was submitted in 2016. The two Maryland monitors began install controls with significant SO2 characterization requirements for the reductions; and (3) the State’s Regional 2010 1-hour SO2 NAAQS in the Data operating on January 11, 2017 and the Haze SIP, approved by EPA on July 6, Requirements Rule (DRR). The DRR West Virginia monitor began operating on February 24, 2017. 2012 (77 FR 39938), which reduces SO2 requires state and local air agencies to from Maryland sources subject to Best characterize air quality, through air Table 1 shows the certified 99th Available Retrofit Technology (BART) dispersion modeling or monitoring, in percentile of daily maximum 1-hour requirements. areas associated with sources that concentrations at the three new Maryland also considered four emitted 2,000 tons per year (tpy) or monitors for 2017 and 2018, as well as existing SO2 nonattainment areas in more of SO2, or that have otherwise the preliminary 99th percentile Pennsylvania, West Virginia, and Ohio, been listed under the DRR by EPA or concentration for 2019.7 The 2019 data as well as one area in Ohio that was not state air agencies. EPA expected that the is preliminary because it has not yet yet characterized at the time of information generated by been quality assured and certified. Maryland’s August 17, 2016 submittal implementation of the DRR would help Maryland is required to certify the 2019 but that Maryland considered a inform designations for the 2010 1-hour data for all three monitors by May 1, potential nonattainment area. Maryland SO2 NAAQS, including designations of 2020.

8 TABLE 1—MONITORED SO2 CONCENTRATIONS, IN ppb, AROUND LUKE

Preliminary 2017 99th 2018 99th Preliminary 2017–19 County, state Monitor ID percentile percentile 2019 99th average percentile (design value)

Mineral, WV ...... 54–057–8883 186.8 203.3 134.9 175 Allegany, MD ...... 24–001–8881 88.8 105.7 71.7 89 Allegany, MD ...... 24–001–8882 152.3 172.5 144 156

3 The distance from Maryland’s nearest border to 4 Maryland’s 2016 Annual Monitoring Network AMNPs for calendar years 2017–2019 are provided the Allegheny County, Pennsylvania SO2 Plan details the modeling used to site the three new in the docket for this rulemaking. EPA’s approval nonattainment area is 49 miles (approximately 79 monitors around the Luke Paper facility. Through of each AMNP is included in the subsequent year’s km), to the Indiana, Pennsylvania SO2 that plan, EPA approved the new monitor locations. AMNP in the docket. nonattainment area is 59 miles (approximately 95 5 See EPA’s SO NAAQS Designations Source- 7 km), to the Marshall, West Virginia SO 2 To certify monitoring data, state or local air 2 Oriented Monitoring Technical Assistance nonattainment area is 69 miles (approximately 111 agencies upload their data to the EPA Air Quality km) and to the Weirton-Steubenville, Ohio-West Document (TAD), February 2016, at https:// System (AQS) for the year, review their data, correct www3.epa.gov/airquality/so2implementation/SO2 Virginia SO2 nonattainment area is 78 miles it as needed, and ‘‘certify’’ their data in the system. MonitoringTAD.pdf. (approximately 126 km). The distance from 8 Data source: EPA AQS, https://www.epa.gov/ 6 As required by 40 CFR 58.10, Maryland submits Maryland’s state border to Ohio’s potential aqs. nonattainment area is 142 miles (approximately 229 an AMNP annually to EPA that details any km). modifications to the monitoring network. The

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A monitoring site in an area is as of June 2019, however, as of the date Unfunded Mandates Reform Act determined to be meeting the 2010 of this action, Luke has not surrendered Because this rule proposes to primary 1-hour SO2 NAAQS when the its permit(s) and there are no Federally disapprove pre-existing requirements 99th percentile of the daily maximum 1- enforceable measures in Maryland’s SIP under state law and does not impose hour average concentrations, averaged to prevent Luke from restarting any additional enforceable duty beyond over three years, does not exceed 75 ppb operations and emitting SO2 at levels that required by state law, it does not (40 CFR 50.17(b)). Two years of certified that contribute significantly to contain any unfunded mandate or data shows the 2017 and 2018 99th nonattainment or interfere with the significantly or uniquely affect small percentile concentrations at the Mineral maintenance of the 2010 SO2 NAAQS in governments, as described in the County, West Virginia monitor as 186.8 West Virginia. Unfunded Mandates Reform Act of 1995 ppb and 203.3 ppb, respectively. The (Pub. L. 104–4). preliminary 2019 99th percentile 1-hour V. Proposed Action maximum concentration and the Executive Order 13132: Federalism EPA is proposing to determine that projected design value using the the portion of the August 17, 2016 This action also does not have preliminary 2019 99th percentile 1-hour Maryland SO infrastructure SIP Federalism implications because it does maximum concentration are also shown 2 not have substantial direct effects on the in the table. The preliminary 2017–2019 submittal addressing CAA section 110(a)(2)(D)(i)(I) (the interstate transport states, on the relationship between the design value at the Mineral County, national government and the states, or West Virginia monitor is 175 ppb, using of pollution) is not approvable because it does not include measures addressing on the distribution of power and certified 2017–2018 data and responsibilities among the various preliminary 2019 data. This monitor the SO2 emissions from the Luke Paper Mill in Maryland that, based on the levels of government, as specified in would not show levels meeting the Executive Order 13132 (64 FR 43255, standard regardless of the certified 99th available information described herein, EPA believes will contribute August 10, 1999). This action merely percentile value for 2019 because even proposes to disapprove a state if the 99th percentile value for 2019 was significantly to the projected nonattainment in West Virginia or will requirement and does not alter the zero, the 3-year design value would still relationship or the distribution of power violate the NAAQS ((186.8 ppb + 203.3 interfere with maintenance of the 2010 SO NAAQS. and responsibilities established in the ppb + 0 ppb)/3 = 130.03 ppb). This 2 CAA. means it is mathematically impossible VI. Statutory and Executive Order Executive Order 13175: Consultation for this monitor to show attainment Reviews with the 2010 SO2 NAAQS. and Coordination With Indian Tribal Luke is the only source 9 that emits Executive Orders 12866 and 13563: Governments greater than 100 tpy of SO2 in the area Regulatory Planning and Review In addition, the SIP is not approved near the Mineral County, West Virginia to apply on any Indian reservation land 10 Under Executive Orders 12866 (58 FR monitor. Based on the information or in any other area where EPA or an 51735, October 4, 1993) and 13563 (76 contained in this notice, EPA proposes Indian tribe has demonstrated that a FR 3821, January 21, 2011), this action to conclude that Luke is impacting a tribe has jurisdiction. In those areas of is not a ‘‘significant regulatory action’’ violation of the NAAQS in the Indian country, the rule does not have and, therefore, is not subject to review neighboring state of West Virginia. tribal implications and will not impose by the Office of Management and Therefore, EPA proposes that Luke substantial direct costs on tribal Budget. significantly contributes to projected governments or preempt tribal law as nonattainment in West Virginia. EPA is Executive Order 13771: Reducing specified by Executive Order 13175 (65 aware that Luke has ceased operations Regulations and Controlling Regulatory FR 67249, November 9, 2000). Costs 9 While there are other SO2 emissions sources Executive Order 13045: Protection of near the primary Luke facility and its associated This action is not an Executive Order Children From Environmental Health source-oriented monitors, these smaller sources are and Safety Risks either also owned by Luke, have low SO2 emissions 13771 regulatory action because this compared to the primary Luke facility, or are action is not significant under Executive This rule also is not subject to located a far enough distance away that they are Order 12866. Executive Order 13045 ‘‘Protection of likely not significant contributors to the violating Children from Environmental Health monitors given the nature of SO2 dispersion Paperwork Reduction Act described in section II. Risks and Safety Risks’’ (62 FR 19885, 10 There is a SO2 source about 35 km away in This rule does not impose an April 23, 1997), because it proposes to neighboring Grant County, West Virginia, that was disapprove a state rule. required to be characterized pursuant the DRR. In information collection burden under the Round 3 of SO2 designations, EPA designated the provisions of the Paperwork Reduction Executive Order 13211: Actions That area around Dominion Resources, Mt. Storm Power Act of 1995 (44 U.S.C. 3501 et seq.). Significantly Affect Energy Supply, Station as Attainment/Unclassifiable based on modeling performed by the State of West Virginia. Regulatory Flexibility Act Distribution, or Use This modeling projected the peak impacts from the Because it is not a ‘‘significant Mt. Storm plant to be south of the facility, away This action merely proposes to from the area around the Luke facility. See regulatory action’’ under Executive ‘‘Technical Support Document: Chapter 43 disapprove state requirements as not Order 12866 or a ‘‘significant energy Intended Round 3 Area Designations for the 2010 meeting Federal requirements and action,’’ this action is also not subject to 1-Hour SO2 Primary National Ambient Air Quality imposes no additional requirements Executive Order 13211. (66 FR 28355, Standard for West Virginia’’ at https:// beyond those imposed by state law. www.epa.gov/sites/production/files/2017-08/ May 22, 2001). documents/43_wv_so2_rd3-final.pdf. See also Accordingly, the Administrator certifies ‘‘Technical Support Document: Chapter 43 Final that this rule will not have a significant National Technology Transfer Round 3 Area Designations for the 2010 1-Hour SO2 economic impact on a substantial Advancement Act Primary National Ambient Air Quality Standard for number of small entities under the In reviewing state submissions, EPA’s West Virginia’’ at https://www.epa.gov/sites/ production/files/2017-12/documents/43-wv-so2- Regulatory Flexibility Act (5 U.S.C. 601 role is to approve state choices, rd3-final.pdf. et seq.). provided that they meet the criteria of

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the CAA. In this context, in the absence ENVIRONMENTAL PROTECTION additional submission methods, please of a prior existing requirement for the AGENCY contact the person identified in the FOR state to use voluntary consensus FURTHER INFORMATION CONTACT section. standards (VCS), EPA has no authority 40 CFR Part 52 For the full EPA public comment policy, to disapprove a state submission for [EPA–R09–OAR–2020–0088; FRL–10007– information about CBI or multimedia failure to use VCS. It would thus be 55–Region 9] submissions, and general guidance on inconsistent with applicable law for making effective comments, please visit EPA, when it reviews a state Air Plan Revisions; California; http://www.epa.gov/dockets/ submission, to use VCS in place of a Technical Amendments commenting-epa-dockets. FOR FURTHER INFORMATION CONTACT: state submission that otherwise satisfies AGENCY: Environmental Protection Kevin Gong, Rules Office (AIR–3–2), the provisions of the CAA. Thus, the Agency (EPA). requirements of section 12(d) of the EPA Region IX, 75 Hawthorne Street, ACTION: Proposed rule. National Technology Transfer and San Francisco, CA 94105, (415) 972– Advancement Act of 1995 (15 U.S.C. SUMMARY: The Environmental Protection 3073, or by email at gong.kevin@ 272 note) do not apply. Agency (EPA) is proposing to delete epa.gov. various local rules from the California SUPPLEMENTARY INFORMATION: Executive Order 12898: Federal Actions State Implementation Plan (SIP) that Throughout this document, ‘‘we,’’ ‘‘us’’ To Address Environmental Justice in were approved in error. These rules and ‘‘our’’ refer to the EPA. Minority Populations and Low-Income include general nuisance provisions, Table of Contents Populations Federal New Source Performance Standards (NSPS) or National Emission I. Background Executive Order 12898 (59 FR 7629 II. Why is the EPA proposing to correct the (February 16, 1994)) establishes Federal Standards for Hazardous Air Pollutants (NESHAP) requirements, hearing board SIP? executive policy on environmental procedures, variance provisions, and III. What is the EPA’s authority to correct justice. Its main provision directs errors in SIP rulemakings? local fee provisions. The EPA has Federal agencies, to the greatest extent IV. Which rules are proposed for deletion? determined that the continued presence V. What other corrections is the EPA practicable and permitted by law, to of these rules in the SIP is inappropriate make environmental justice part of their proposing to make? and potentially confusing and thus VI. Proposed Action and Request for Public mission by identifying and addressing, problematic for affected sources, the Comment as appropriate, disproportionately high state, local agencies, and the EPA. The VII. Incorporation by Reference and adverse human health or intended effect of this proposal is to VIII. Statutory and Executive Order Reviews environmental effects of their programs, delete these rules to make the SIP I. Background policies, and activities on minority consistent with the Clean Air Act (CAA populations and low-income or ‘‘Act’’). The EPA is also proposing to In this rulemaking, we address certain populations in the United States. make certain other corrections to errors made over the years in connection with EPA actions on SIP EPA lacks the discretionary authority address errors made in previous actions revisions for the various air pollution to address environmental justice in this taken by the EPA on California SIP revisions. control districts in California. In the first action. In reviewing SIP submissions, rule, published at 84 FR 45422 (August EPA’s role is to approve or disapprove DATE: Comments must be received on or 29, 2019), we addressed errors state choices, based on the criteria of the before May 22, 2020. associated with EPA actions on SIP CAA. Accordingly, this action merely ADDRESSES: Submit your comments, revisions for the districts with names disapproves certain state requirements identified by Docket ID No. EPA–R09– beginning with the letter A through the for inclusion into the SIP under section OAR–2020–0088 at http:// letter O. This proposed action follows 110 of the CAA and will not in-and-of www.regulations.gov, or via email to the first action and addresses errors itself create any new requirements. Kevin Gong, at [email protected]. For associated with EPA actions for the rest Accordingly, it does not provide EPA comments submitted at Regulations.gov, of the districts, i.e., those with names with the discretionary authority to follow the online instructions for beginning with the letter P through the address, as appropriate, submitting comments. Once submitted, letter Z. disproportionate human health or comments cannot be removed or edited from Regulations.gov. For either manner II. Why is the EPA proposing to correct environmental effects, using practicable the SIP? and legally permissible methods, under of submission, the EPA may publish any Executive Order 12898. comment received to its public docket. The Clean Air Act was first enacted in Do not submit electronically any 1970. In the 1970s and early 1980s, List of Subjects in 40 CFR Part 52 information you consider to be thousands of state and local agency Confidential Business Information (CBI) regulations were submitted to the EPA Environmental protection, Air or other information whose disclosure is for incorporation into the SIP to fulfill pollution control, Incorporation by restricted by statute. Multimedia the new Federal requirements. In many reference, Sulfur oxides. submissions (audio, video, etc.) must be cases, states submitted entire regulatory Dated: April 13, 2020. accompanied by a written comment. air pollution programs, including many Cosmo Servidio, The written comment is considered the elements not required by the Act. Due Regional Administrator, Region III. official comment and should include to time and resource constraints, the discussion of all points you wish to EPA’s review of these submittals [FR Doc. 2020–08240 Filed 4–21–20; 8:45 am] make. The EPA will generally not focused primarily on the new BILLING CODE 6560–50–P consider comments or comment substantive requirements, and we contents located outside of the primary approved many other elements into the submission (i.e., on the web, cloud, or SIP with minimal review. We now other file sharing system). For recognize that many of these elements

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were not appropriate for approval into issuing an ‘‘order, suspension, plan revision (or part thereof), area the SIP. In general, these elements are revision or other action modifying any designation, redesignation, appropriate for state and local agencies requirement of an applicable classification or reclassification was in to adopt and implement, but it is not implementation plan’’ without a plan error, the EPA may in the same manner necessary or appropriate to make them promulgation or revision. The EPA and as the approval, disapproval, or federally enforceable by incorporating California have long recognized that a promulgation revise such action as them into the applicable SIP. These state-issued variance, though binding as appropriate without requiring any include: a matter of state law, does not prevent further submission from the state. Such A. Rules that prohibit emissions the EPA from enforcing the underlying determination and the basis thereof causing general nuisance or annoyance SIP provisions unless and until the EPA must be provided to the state and the in the community.1 Such rules address approves that variance as a SIP revision. public. We interpret this provision to local issues but have essentially no The variance provisions included in authorize the EPA to make corrections connection to the purposes for which today’s action are deficient for various to a promulgated regulation when it is SIPs are developed and approved, reasons, including their failure to shown to our satisfaction (or we namely the implementation, address the fact that a state- or district- discover) that (1) we clearly erred by maintenance, and enforcement of the issued variance has no effect on federal failing to consider or by inappropriately national ambient air quality standards enforceability unless the variance is considering information made available (NAAQS). See CAA section 110(a)(1). submitted to and approved by the EPA to the EPA at the time of the B. Local adoption of federal NSPS or as a SIP revision. Therefore, their promulgation, or the information made NESHAP requirements either by inclusion in the SIP is inconsistent with available at the time of promulgation is reference or by adopting text identical to the Act and may be confusing to subsequently demonstrated to have been or modified from the requirements regulated industry and the general clearly inadequate, and (2) other found in 40 CFR part 60 (‘‘Standards of public. Moreover, because state-issued information persuasively supports a Performances for New Stationary variances require independent EPA change in the regulation. See 57 FR Sources’’) or 61 (‘‘National Emission approval to modify the substantive 56762, at 56763 (November 30, 1992) Standards for Hazardous Air requirements of a SIP, removal of these (correcting designations, boundaries, Pollutants’’). Because the EPA has variance provisions from the SIP will and classifications of ozone, carbon independent authority to implement 40 have no effect on regulated entities. See monoxide, particulate matter and lead CFR parts 60 and 61, it is not Industrial Environmental Association v. areas). appropriate to make parallel local Browner, No. 97–71117 (9th Cir., May IV. Which rules are proposed for authorities federally enforceable by 26, 2000). deletion? approving them into the applicable SIP. E. Local fee provisions that are not C. Rules that govern local hearing economic incentive programs and are The EPA has determined that the board procedures and other not designed to replace or relax a SIP rules listed in table 1 below are administrative requirements such as emission limit. While it is appropriate inappropriate for inclusion in the SIP, fees, frequency of meetings, salaries for local agencies to implement fee but were previously approved into the paid to board members, and procedures provisions, for example, to recover costs SIP in error. Dates that these rules were for petitioning for a local hearing. for issuing permits, it is generally not submitted by the state and approved by D. Variance provisions that provide appropriate to make local fee collection the EPA are provided. We are proposing for modification of the requirements of federally enforceable. deletion of these rules and any earlier the applicable SIP. State- or district- versions of these rules from the issued variances provide an applicant III. What is the EPA’s authority to individual air pollution control district with a mechanism to obtain relief from correct erors in SIP rulemakings? portions of the California SIP under state enforcement of a state or local rule Section 110(k)(6) of the CAA, as CAA section 110(k)(6) as inconsistent under certain conditions. Pursuant to amended in 1990, provides that, with the requirements of CAA section Federal law, specifically section 110(i) whenever the EPA determines that the 110.2 A brief discussion of the proposed of the CAA, 42 U.S.C. 7410(i), neither EPA’s action approving, disapproving, deletions is provided in the following the EPA nor a state may revise a SIP by or promulgating any plan or plan paragraphs.

TABLE 1—LOCAL AIR DISTRICT RULES PROPOSED FOR DELETION

Rule or regulation Title Submittal date EPA approval

Placer County Air Pollution Control District (APCD)

Section 51 ...... Nuisance ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972).

Sacramento Metropolitan Air Quality Management District (AQMD)

Rule 112 ...... New Source Performance Stand- November 3, 1975 ...... 42 FR 28122 (June 2, 1977); cor- ards. rected at 42 FR 42219 (August 22, 1977).

1 An example of such a rule is as follows: A comfort, repose, health or safety of any such appropriate for deletion from the California SIP. person shall not discharge from any source persons or the public or which cause or have a CARB has agreed that the deletion of the rules in whatsoever such quantities of air contaminants or natural tendency to cause injury or damage to table 1 pursuant to CAA section 110(k)(6) is other material which cause injury, detriment, business or property. appropriate. See letter from Richard W. Corey, nuisance or annoyance to any considerable number 2 The EPA has coordinated with the California Air Executive Officer, CARB, to Mike Stoker, Regional of persons or to the public or which endanger the Resources Board (CARB) to identify district rules Administrator, EPA Region IX, January 31, 2020.

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TABLE 1—LOCAL AIR DISTRICT RULES PROPOSED FOR DELETION—Continued

Rule or regulation Title Submittal date EPA approval

Rule 113 ...... National Emission Standards for November 3, 1975 ...... 42 FR 28122 (June 2, 1977); cor- Hazardous Air Pollutants. rected at 42 FR 42219 (August 22, 1977).

San Diego County APCD

Rule 51 ...... Nuisance ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972).

San Joaquin Valley Unified APCD

Fresno County APCD Rule 111 .... Arrests and Notices to Appear ..... October 23, 1974 ...... 42 FR 42219 (August 22, 1977). Fresno County APCD Rule 418 .... Nuisance ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Fresno County APCD Rule 419 .... Exception ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Kings County APCD Rule 419 ...... Nuisance ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Kings County APCD Rule 420 ...... Exception ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Madera County APCD Rule 418 ... Nuisance ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Madera County APCD Rule 419 ... Exception ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Madera County APCD Rule 511 ... Notice of Hearing ...... October 15, 1979 ...... 46 FR 60202 (December 9, 1981). Merced County APCD Rule 418 .... Nuisance ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Merced County APCD Rule 419 .... Exception ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Merced County APCD Rule 511 .... Notice of Hearing ...... August 2, 1976 ...... 43 FR 25689 (June 14, 1978). San Joaquin County APCD Rule Nuisance ...... June 30, 1972...... 37 FR 19812 (September 22, 418. 1972). San Joaquin County APCD Rule Exception ...... June 30, 1972...... 37 FR 19812 (September 22, 419. 1972). Stanislaus County APCD Rule 418 Emissions in General ...... July 19, 1974 ...... 42 FR 25501 (May 18, 1977); cor- rected at 42 FR 42219 (August 22, 1977). Stanislaus County APCD Rule 419 Exception ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Stanislaus County APCD Rule 505 Petitions for Variances ...... July 19, 1974 ...... 42 FR 25501 (May 18, 1977); cor- rected at 42 FR 42219 (August 22, 1977). Tulare County APCD Section 419 Nuisance ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972). Tulare County APCD Section 420 Exception ...... October 23, 1974 ...... 42 FR 42219 (August 22, 1977). Tulare County APCD Section 507 Supplemental Information ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972). Tulare County APCD Section 508 Matters Initiated by Control Officer February 21, 1972 ...... 37 FR 10842 (May 31, 1972). or Hearing Board. Tulare County APCD Section 515 Record of Proceedings ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972).

San Luis Obispo County APCD

Rule 111 ...... Nuisance ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972).

Santa Barbara County APCD

Rule 17 ...... Nuisance ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972).

Shasta County AQMD

Rule 4:2 ...... General ...... November 21, 1986 ...... 54 FR 14648 (April 12, 1989).

Siskiyou County APCD

Rule 4.2 ...... Nuisance ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972). Rule 4.2–1 ...... Exceptions ...... March 23, 1988 ...... 54 FR 43174 (October 23, 1989).

South Coast AQMD

Orange County APCD Rule 45 ...... Permit Fees—Open Burning ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972).

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TABLE 1—LOCAL AIR DISTRICT RULES PROPOSED FOR DELETION—Continued

Rule or regulation Title Submittal date EPA approval

San Bernardino County APCD Fees ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972). Rule 120.

Tehama County APCD

Rule 4:4 ...... Nuisance ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972).

Tuolumne County APCD

Rule 205 ...... Nuisance ...... July 22, 1975 ...... 42 FR 42219 (August 22, 1977). Rule 703 ...... Contents of Petitions ...... October 23, 1981 ...... 47 FR 23159 (May 27, 1982). Rule 710 ...... Notice of Public Hearing ...... October 23, 1981 ...... 47 FR 23159 (May 27, 1982).

Ventura County APCD

Rule 51 ...... Nuisance ...... June 30, 1972 ...... 37 FR 19812 (September 22, 1972).

Yolo-Solano AQMD

Rule 2.5 ...... Nuisance ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972). Rule 2.6 ...... Additional Exception ...... February 21, 1972 ...... 37 FR 10842 (May 31, 1972). Rule 5.1 ...... Applicable Articles of the Health June 22, 1978 ...... 44 FR 5662 (January 29, 1979). and Safety Code.

Placer County Air Pollution Control delete Rule 51 from the San Diego ACPD Rule 419 (Exception), Merced District (APCD) County APCD portion of the California County APCD Rule 419 (Exception), San Placer County APCD Section 51 SIP. Joaquin County APCD Rule 419 (Exception), Stanislaus County APCD (Nuisance) is a general-nuisance type of San Joaquin Valley Unified APCD prohibitory rule. As such, Section 51 Rule 419 (Exception) and Tulare County was inappropriate for inclusion in the Established in 1991, the San Joaquin APCD Section 420 (Exception). SIP, and thus, was approved by the EPA Valley Unified APCD unified Fresno In addition, Madera County APCD in error. In this action, we are proposing County APCD, Kern County APCD (San Rule 511 (Notice of Hearing), Merced to delete Section 51 from the Placer Joaquin Valley portion of Kern County), County APCD Rule 511 (Notice of County APCD portion of the California Kings County APCD, Madera County Hearing), Stanislaus County APCD Rule SIP. APCD, Merced County APCD, San 505 (Petitions for Variances) and Tulare Joaquin County APCD, Stanislaus County APCD Sections 507 Sacramento Metropolitan Air Quality County APCD, and Tulare County APCD (Supplemental Information), 508 Management District (AQMD) into a single unified APCD. The San (Matters Initiated by Control Officer or Sacramento Metropolitan AQMD Joaquin Valley Unified APCD portion of Hearing Board) and 515 (Record of Rules 112 (New Source Performance the applicable California SIP continues Proceedings) relate to hearing board Standards) and 113 (National Emission to include certain rules originally procedures, and as such, were Standards for Hazardous Air Pollutants) adopted by the individual county inappropriate for inclusion in the SIP require sources to comply with the APCDs and approved by the EPA prior and were thus approved by the EPA in applicable provisions of the NSPS and to the establishment of the unified error. In this action, we are proposing to NESHAPS promulgated in 40 CFR parts APCD. The following individual county delete the above county rules from the 60 and 61. Because the EPA has rules are general-nuisance type of San Joaquin Valley Unified APCD independent authority to implement 40 prohibitory rules, and were portion of the California SIP. CFR parts 60 and 61, it was not inappropriate for inclusion in the SIP Lastly, at 66 FR 47603, at 47608– appropriate to make parallel local and, thus, were approved by the EPA in 47609 (September 13, 2001), the EPA authorities federally enforceable by error: Fresno County APCD Rule 418 proposed to delete Fresno County APCD approving Rules 112 and 113 into the (Nuisance), Kings County APCD Rule Rule 111 (Arrests and Notices to Sacramento Metropolitan AQMD 419 (Nuisance), Madera County ACPD Appear), submitted on June 4, 1986, portion of the California SIP. In this Rule 418 (Nuisance), Merced County along with all the other county rules action, we are proposing to delete Rules APCD Rule 418 (Nuisance), San Joaquin titled ‘‘Arrests and Notices to Appear.’’ 112 and 113 from the Sacramento County APCD Rule 418 (Nuisance), At 67 FR 2573 (January 18, 2002), the Metropolitan AQMD portion of the Stanislaus County APCD Rule 418 EPA finalized the deletion of the other California SIP. (Emissions in General) and Tulare county rules titled ‘‘Arrests and Notices County APCD Section 419 (Nuisance). to Appear’’ but did not finalize the San Diego County APCD The following individual county rules deletion of Fresno County Rule 111 San Diego County APCD Rule 51 provide an exception to the general because we realized that the June 4, (Nuisance) is a general-nuisance type of nuisance rules cited above, and should 1986 version of Rule 111 was not prohibitory rule. As such, Rule 51 was be deleted if the general nuisance rules approved into the SIP. See 67 FR 2573, inappropriate for inclusion in the SIP, are deleted: Fresno County APCD Rule at 2575 (January 18, 2002). In this and thus, was approved by the EPA in 419 (Exception), Kings County APCD action, we are proposing to delete the error. In this action, we are proposing to Rule 420 (Exception), Madera County version of Fresno County Rule 111

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(Arrests and Notices to Appear) that is within their respective counties. On July were inappropriate for inclusion in the part of the applicable California SIP, i.e., 16, 1975, the Los Angeles County APCD, SIP and were thus approved by the EPA the version of Fresno County APCD Orange County APCD, Riverside County in error. In this action, we are proposing Rule 111 that was submitted on October APCD, and San Bernardino County to delete Rules 205, 703 and 710 from 23, 1974, and approved at 42 FR 42219 APCD were unified into the Southern the Tuolumne County APCD portion of (August 22, 1977), to be consistent with California APCD. On February 1, 1977, the California SIP. our action on the other corresponding the State of California split the Southern Ventura County APCD county rules. California APCD into the South Coast AQMD in the western coastal area Ventura County APCD Rule 51 San Luis Obispo County APCD (including Orange County, and the non- (Nuisance) is a general-nuisance type of San Luis Obispo County APCD Rule desert portions of Los Angeles, prohibitory rule. As such, Rule 51 was 111 (Nuisance) is a general-nuisance Riverside, and San Bernardino Counties, inappropriate for inclusion in the SIP, type of prohibitory rule. As such, Rule referred to as the ‘‘South Coast Air and thus, was approved by the EPA in 111 was inappropriate for inclusion in Basin’’) and three separate APCDs (i.e., error. In this action, we are proposing to the SIP, and thus, was approved by the Los Angeles County APCD, San delete Rule 51 from the Ventura County EPA in error. In this action, we are Bernardino County APCD, and APCD portion of the California SIP. proposing to delete Rule 111 from the Riverside County APCD, included Yolo-Solano AQMD San Luis Obispo County APCD portion within the ‘‘Southeast Desert Air of the California SIP. Basin’’), formed out of the remaining Yolo Solano AQMD Rule 2.5 parts of three counties in the eastern (Nuisance) is a general-nuisance type of Santa Barbara County APCD desert area. See 43 FR 25684 (June 14, prohibitory rule. As such, Rule 2.5 was Santa Barbara County APCD Rule 17 1978). The Southeast Desert portion of inappropriate for inclusion in the SIP, (Nuisance) is a general-nuisance type of Riverside County was added to the and thus, was approved by the EPA in prohibitory rule. As such, Rule 17 was South Coast AQMD on December 1, error. Yolo-Solano AQMD Rule 2.6 inappropriate for inclusion in the SIP, 1977. On July 1, 1994, the Palo Verde (Additional Exception) provides an and thus, was approved by the EPA in Valley area of Riverside County left the exception to Rule 2.5 and should be error. In this action, we are proposing to South Coast AQMD and joined the deleted if Rule 2.5 is deleted. Yolo- delete Rule 17 from the Santa Barbara Mojave Desert AQMD. Solano AQMD Rule 5.1 (Applicable County APCD portion of the California Certain rules adopted by the original Articles of the Health and Safety Code) SIP. county-based APCDs remain part of the relates to hearing board procedures, and applicable SIP for the South Coast as such, was inappropriate for inclusion Shasta County AQMD AQMD (i.e., have not been deleted or in the SIP and was thus approved by the Shasta County AQMD Rule 4:2 superseded by EPA-approved rules EPA in error. In this action, we are (General) relates to hearing board adopted by the Southern California proposing to delete Rules 2.5, 2.6 and procedures, and as such, was APCD or South Coast AQMD), including 5.1 from the Yolo-Solano AQMD portion inappropriate for inclusion in the SIP Orange County APCD Rule 45 (Permit of the California SIP. and was thus approved by the EPA in Fees—Open Burning) and San error. In this action, we are proposing to Bernardino County APCD Rule 120 V. What other corrections is the EPA delete Rule 4:2 from the Shasta County (Fees). Orange County APCD Rule 45 proposing to make? AQMD portion of the California SIP. and San Bernardino County APCD Rule The EPA is also proposing certain error corrections not because the rules Siskiyou County APCD 120 are local fee provisions that were not appropriate for inclusion in the SIP, were originally approved into the SIP in Siskiyou County APCD Rule 4.2 and thus, were approved by the EPA in error but because of other types of errors (Nuisance) is a general-nuisance type of error. In this action, we are proposing to made in the course of the SIP prohibitory rule. As such, Rule 4.2 was delete Orange County APCD Rule 45 rulemaking action. Each such proposal inappropriate for inclusion in the SIP, and San Bernardino County APCD Rule is described in the following and thus, was approved by the EPA in 120 from the South Coast AQMD paragraphs. error. Siskiyou County APCD Rule 4.2– portion of the California SIP. 1 (Exceptions) provides an exception to Placer County APCD Rule 4.2 and should be deleted if Rule Tehama County APCD Publisher’s Error in Connection with 4.2 is deleted. In this action, we are Tehama County APCD Rule 4:4 Approval of Rule 243 (Polyester Resin proposing to delete Rules 4.2 and 4.2– (Nuisance) is a general-nuisance type of Operations): On October 3, 2011 (76 FR 1 from the Siskiyou County APCD prohibitory rule. As such, Rule 4:4 was 61057), the EPA approved Placer portion of the California SIP. inappropriate for inclusion in the SIP, County Rule 243 (Polyester Resin and thus, was approved by the EPA in Operations), as submitted on December South Coast AQMD error. In this action, we are proposing to 7, 2010, and the amendatory The South Coast AQMD includes all delete Rule 4:4 from the Tehama County instructions listed the approval of Rule of Orange County, the non-desert APCD portion of the California SIP. 243 correctly at 40 CFR portions of Los Angeles and San 52.220(c)(389)(i)(B)(1). However, due to Tuolumne County APCD Bernardino counties, and all of a publisher’s error, the approval of Riverside County (except for the Palo Tuolumne County APCD Rule 205 Placer County APCD Rule 243 is listed Verde Valley in far eastern Riverside (Nuisance) is a general-nuisance type of at 40 CFR 52.220(c)(390)(i)(B)(1). We are County). In 1972, when the original prohibitory rule. As such, Rule 205 was proposing to correct this error by California SIP was submitted and inappropriate for inclusion in the SIP, amending the two paragraphs in 40 CFR approved by EPA, the Los Angeles and thus, was approved by the EPA in 52.220(c) accordingly. County APCD, Orange County APCD, error. Tuolumne County APCD Rules Riverside County APCD and San 703 (Contents of Petitions) and 710 San Diego County APCD Bernardino County APCD each had (Notice of Public Hearing) relate to Erroneous Listing of Certain Rules as jurisdiction over stationary sources hearing board procedures, and as such, San Diego County APCD Rules: On June

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2, 1977 (42 FR 28122), the EPA took superseded in the applicable California (Refinery Vacuum Producing Devices) final action to approve Rules 112 and SIP, we propose to re-instate 40 CFR and 413.3 (Refinery Process Unit 113 adopted by the Sacramento 52.220(c)(184)(i)(D)(1) to maintain an Turnaround) in the existing SIP. The Metropolitan AQMD and codified the accurate accounting of the version of codification of the supersession of San approval at 40 CFR 52.220(c)(29)(v)(B). Rule 67.0 that applied for federal Joaquin County APCD Rules 413.2 and On August 22, 1977 (42 FR 42219), the enforcement purposes at different times 413.3 was intended to be published at EPA redesignated the paragraph listing in the past. paragraph 40 CFR 52.220(c)(52)(vii), the approval of Sacramento Erroneous Codification of Approval of which lists San Joaquin County APCD Metropolitan AQMD Rules 112 and 113 San Diego County APCD Rule 67.11: On rules, but, due to a publisher’s error, it to 40 CFR 52.220(c)(29)(ii)(B) but failed April 11, 2013 (78 FR 21537), the EPA was published instead at paragraph 40 to delete 40 CFR 52.220(c)(29)(v)(B). See took final action to approve San Diego CFR 52.220(c)(52)(vi), which lists rules 42 FR 42219, at 42225 (August 22, County APCD Rule 67.11 (Wood adopted by Merced County APCD. In 1977). Paragraph 40 CFR Products Coating Operations), submitted this action, we propose to redesignate 52.220(c)(29)(v) lists EPA-approved on September 21, 2012. We erroneously paragraph 40 CFR 52.220(c)(52)(vi)(D) as rules adopted by the San Diego County codified the approval of Rule 67.11 at 40 paragraph 40 CFR 52.220(c)(52)(vii)(D) APCD, and the failure to delete 40 CFR CFR 52.220(c)(307), which lists to correct this error. 52.220(c)(29)(v)(B) makes it appear that approved rules submitted on November Erroneous Amendatory Instruction Rules 112 and 113 are part of the San 19, 2002. We propose to redesignate the Related to Approval of San Joaquin Diego County APCD portion of the paragraph listing the approval of Rule County APCD Rules 409.7 and 409.8: applicable SIP but, as explained herein, 67.11 from 40 CFR 52.220(c)(307) to 40 On June 18, 1982 (47 FR 26384), the they are not. Today, we are proposing to CFR 52.220(c)(423), which lists EPA took final action to approve certain delete 40 CFR 52.220(c)(29)(v)(B). approved rules submitted on September regulations adopted by the San Joaquin Failure to Codify Approval of 21, 2012. County APCD, including Rules 409.7 Amendments to San Diego County (Graphic Arts) and 409.8 San Joaquin Valley Unified APCD APCD Rule 20.1: On July 6, 1982 (47 FR (Perchloroethylene Dry Cleaning 29231), the EPA took final action to Failure to Include Introductory Text Systems), submitted on July 14, 1981. approve certain rules adopted by the for Approval of Rules Submitted on May Due to erroneous amendatory San Diego County APCD, including 13, 1980, including Fresno County instructions, the approval of San amendments to Rule 20.1 (Definitions, APCD Rules 410, 411.1 and 416.1: On Joaquin County APCD Rules 409.7 and Emission Calculations, Emission Offsets May 13, 1980, the California Air 409.8 was published as subparagraph and Banking, Exemptions, and Other Resources Board (CARB) submitted (B) under paragraph 40 CFR Requirements), submitted on January certain amended rules to the EPA as a 52.220(c)(102)(ii), which lists rules 28, 1981. However, we failed to codify revision to the California SIP, including adopted by the Stanislaus County the approval of Rule 20.1 at 40 CFR Fresno County Rules 410 (Storage of APCD, instead of subparagraph (B) 52.220(c)(98)(xi), the subsection listing Organic Liquids), 411.1 (Transfer of under paragraph 40 CFR San Diego County APCD rules Gasoline into Vehicle Fuel Tanks— 52.220(c)(102)(i), which lists rules submitted on January 28, 1981 and Phase II) and 416.1 (Agricultural adopted by the San Joaquin County approved by the EPA. We propose to do Burning). We codified our approval of APCD. In this action, we propose to so in today’s action. We note that the the rules submitted on May 13, 1980, at redesignate paragraph 40 CFR amendments to Rule 20.1 that were 40 CFR 52.220(c)(83), see, e.g., 47 FR 52.220(c)(102)(ii)(B) as 40 CFR approved on July 6, 1982, were recently 29668 (July 8, 1982) (Approval of Fresno 52.220(c)(102)(i)(B) to correct this error. superseded in the applicable San Diego County APCD Rule 410) and 46 FR Santa Barbara County APCD County APCD portion of the California 60202 (December 9, 1981) (Approval of SIP by approval of a further amended Fresno County APCD Rules 411.1 and Erroneous Codification of Approval of version of Rule 20.1 (New Source 416.1), but inadvertently failed to Santa Barbara County APCD Rule 337: Review—General Provisions) at 83 FR identify the submittal date and, in two On April 11, 2013 (78 FR 21537), the 50007 (October 4, 2018). instances, failed to identify the EPA took final action to approve Santa Publisher’s Error Deleting applicable air pollution control district Barbara County APCD Rule 337 (Surface Codification of Approval of San Diego for the approved rules as the Bay Area Coating of Aerospace Vehicles and County APCD Rule 67.0: On June 30, AQMD and the Fresno County APCD, Components), submitted on September 1993 (58 FR 34904), the EPA took final respectively. In this action, we propose 21, 2012. We erroneously codified the action to approve San Diego County to add introductory text to 40 CFR approval of Rule 337 at 40 CFR Rule 67.0 (Architectural Coatings), 52.220(c)(83) specifying a submittal date 52.220(c)(214), which lists approved adopted on December 4, 1990, as a of May 13, 1980, and to properly rules submitted on January 24, 1995. We revision to the California SIP. We designate subparagraph (i) as the Bay propose to redesignate the paragraph codified the approval at 40 CFR Area AQMD and subparagraph (iii) as listing the approval of Rule 337 from 40 52.220(c)(184)(i)(D)(1) but failed to the Fresno County APCD. CFR 52.220(c)(214) to 40 CFR include introductory text identifying the Publisher’s Error in Connection with 52.220(c)(423), which lists approved San Diego County APCD as the relevant Supersession of San Joaquin County rules submitted on September 21, 2012. air pollution control agency associated APCD Rules 413.2 and 413.3: On Inadvertent Failure to Add with Rule 67.0. On August 4, 2000 (65 September 23, 2010 (75 FR 57862), the Introductory Text in Connection with FR 47862), we added introductory text EPA approved San Joaquin Valley Approval of Santa Barbara County identifying San Diego County APCD at Unified APCD Rules 4453 (Refinery APCD Rule 316: On August 30, 1993 (58 40 CFR 52.220(c)(184)(i)(D) but, due to Vacuum Producing Devices or Systems) FR 45442), the EPA took final action to a publisher’s error, the regulatory text and 4454 (Refinery Process Unit approve Santa Barbara County APCD listing the approval of Rule 67.0 was Turnaround) and codified the Rule 316 (Storage and Transfer of erroneously deleted. While the supersession of the relevant county- Gasoline), submitted on April 5, 1991, December 4, 1990 version of San Diego level APCD SIP rules, including San and codified the approval at 40 CFR County APCD Rule 67.0 has since been Joaquin County APCD Rules 413.2 52.220(c)(183)(i)(E)(2) but inadvertently

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failed to add introductory text 123 (Class I Heaters Designated— corresponding regulatory text was identifying Santa Barbara County APCD Permits), Rule 124 (Class II Heaters published at 40 CFR as the applicable air district for Designated—Permits), Rule 126 52.220(c)(21)(vii)(B), which sets forth approved rules listed under paragraph (Identification of Heaters), Rule 127 regulatory text for Tehama County (E). In this action, we propose to revise (Maintenance of Heaters), Rule 128 APCD rules. On March 23, 1999 (64 FR 40 CFR 52.220(c)(i)(E) to add ‘‘Santa (Classification of Undesignated Heaters) 13916), the missing paragraph (40 CFR Barbara County Air Pollution Control and Rule 130 (Prohibitions). California 52.220(c)(21)(vi)(B)) was added but the District’’ to clarify the applicability of submitted Orange County APCD erroneous publication at 40 CFR Rule 316 listed in subparagraph (E)(2). Regulation VI on February 21, 1972, and 52.220(c)(21)(vii)(B) was left in place. In the EPA approved the regulation on this action, we propose to remove 40 Shasta County AQMD May 31, 1972 (37 FR 10842). On June CFR 52.220(c)(21)(vii)(B) from the CFR. Typographical Error in Connection 30, 1972, California submitted an Tuolumne County APCD with Deletion of Shasta County AQMD amended definition in Rule 100 and Rule 2:19: On January 22, 2004 (69 FR submitted amended versions of Rules Reinstatement of Tuolumne County 3045, at 3053), the EPA proposed to 101 and 102, and the EPA approved the APCD Rule 516 (Excluding Paragraph delete various local rules from the amendments on September 22, 1972 (37 (C)): On June 27, 1997 (62 FR 34641), California SIP, including a Shasta FR 19812). Rule 120 was deleted the EPA took final action to correct County AQMD rule titled ‘‘Change in without replacement at 67 FR 2573 certain errors in previous actions on Multi-Component System.’’ However, (January 18, 2002), but the other SIPs and SIP revisions by deleting due to a typographical error, the rule Regulation VI rules remain in the SIP. without replacement the affected local titled ‘‘Change in Multi-Component In an action affecting the South Coast rules. With respect to a rule that was System’’ was identified as Rule 2:22. AQMD published at 43 FR 25684 (June adopted by the Tuolumne County The correct rule number is Rule 2:19. 14, 1978), the EPA indicated: ‘‘The APCD, submitted by California on On November 16, 2004 (69 FR 67062), changes to Regulation VI, Orchard October 23, 1981, and approved by the the EPA took final action to delete the Grove Heaters, contained in the above EPA on May 27, 1982 (47 FR 23159), we rule and carried forward the mentioned submittals and being acted added a paragraph, i.e., (c)(103)(xvii)(B), typographical error in regulatory text upon by this notice include total to 40 CFR 52.220 (Identification of plan) found at 40 CFR 52.220(c)(6)(xxiii)(A). replacement of county rules by that states: ‘‘Previously approved on We are proposing in this action to California Health and Safety Code May 27, 1982 and now deleted without correct the regulatory text at 40 CFR sections covering Orchard Heaters.’’ 43 replacement Rule 516.’’ 62 FR at 34647. 52.220(c)(6)(xxiii)(A) to indicate that FR at 25685. However, the regulatory However, in our proposed error Shasta County AQMD Rule 2:19, rather text deleting Regulation VI without correction, 61 FR 38664, at 38680 (July than Rule 2:22, has been deleted replacement was not included in the 25, 1996), we indicated that the rule we without replacement. final rule, and thus, Orange County intended to delete was Rule 516 (‘‘Emergency Variance Procedures’’), but Siskiyou County APCD APCD Regulation VI remains part of the applicable SIP.3 In this action, we are the correct title of Rule 516 is ‘‘Upset Typographical Error in Connection proposing to add regulatory text and Breakdown Conditions,’’ and with Approval of Siskiyou County APCD deleting Orange County Regulation VI, ‘‘Emergency Variance Procedures’’ is the Rules Submitted on March 18, 1987: On as approved on May 31, 1972 and title of one of the paragraphs, i.e., April 12, 1989 (54 FR 14648), the EPA September 22, 1972, consistent with our paragraph (C), of Rule 516. Thus, we took final action to approve certain action as described in the preamble to intended to delete only paragraph (C) of Siskiyou County APCD rules submitted the June 14, 1978 final rule. Rule 516 but erroneously indicated in on March 18, 1987. We codified the the final rule that we were deleting approval at 40 CFR 52.220(c)(172) but, Tehama County APCD without replacement the entire rule. due to a typographical error, listed the Publisher’s Error in Connection with Accordingly, we propose to amend submittal date as ‘‘March 11, 1987,’’ Deletion without Replacement of San paragraph (c)(103)(xvii)(B) to refer only instead of the correct date of March 18, Diego County APCD Rule 41: On June to paragraph (C) of Rule 516. 1987. We are proposing in this action to 27, 1997 (62 FR 34641), the EPA took Ventura County APCD correct the regulatory text at 40 CFR final action to delete without Erroneous Regulatory Text for 52.220(c)(172) to identify ‘‘March 18, replacement certain district rules that Approval of Rescission of Ventura 1987’’ as the submittal date for the rules had been approved in error, including County APCD Rule 18: On December 7, listed under that paragraph. San Diego County APCD Rule 41 2000 (65 FR 76567), the EPA took final (Annual Permit Renewal Fees), which South Coast AQMD action approving certain rules and rule was submitted on July 25, 1973 and Rescission of Orange County APCD rescissions adopted by the Ventura approved on May 11, 1977. The Regulation VI (Orchard or Citrus Grove County APCD establishing procedures amendatory instructions in the June 27, Heaters): Orange County APCD and criteria for issuing permits to new 1997 final rule called for publishing the Regulation VI includes the following or modified stationary sources, corresponding regulatory text at 40 CFR rules: Rule 100 (Definitions), Rule 101 including the rescission of Rule 18 52.220(c)(21)(vi)(B), which relates to (Use and Sale of Orchard Heaters), Rule (Permit to Operate—Application San Diego County APCD rules; however, 102 (Permit Required), Rule 103 Required for Existing Equipment). The due to a publisher’s error, the (Transfer of Permits), Rule 105 specific version of Rule 18 for which we (Application for Permits), Rule 106 3 In contrast, in a September 8, 1978 final rule, approved rescission was submitted on (Action on Applications), Rule 107 the EPA included similar preamble text concerning June 30, 1972 and approved on (Standards for Granting Permits), Rule an analogous Regulation VI adopted by Los Angeles September 22, 1972 (37 FR 19812); 108 (Conditional Approval), Rule 109 County APCD and Riverside County APCD, but however, we erroneously added the added specific regulatory text to delete Regulation (Denial of Applications), Rule 110 VI in the Southeast Desert portions of Los Angeles corresponding regulatory text to 40 CFR (Appeals), Rule 120 (Fees), Rule 122 County and Riverside County. See 43 FR 40011, at 52.220(b), which lists rules submitted (Classification of Orchard Heaters), Rule 40012 and 40014 (September 8, 1978). on February 21, 1972 and approved on

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May 31, 1972 (37 FR 10842). The degreasers operating in Ventura County. Fresno County APCD portion of the regulatory text belongs under 40 CFR 70 FR 61561, at 61562. However, we California SIP that had been submitted 52.220(c)(6)(xxiv). In this action, we inadvertently failed to codify the on October 15, 1979, including Rules propose to redesignate the regulatory rescission of Rule 74.6.3 in the 301 (Permit Fees), 302 (Permit Fee text accordingly. regulatory portion of the final rule. In Schedules) and 305 (Hearing Board Inadvertent Failure to Include this action, we are proposing to add Fees). We codified the approval of these Introductory Text for Approval of regulatory text to codify our approval of Fresno County APCD rules at 40 CFR Ventura County APCD Rule 74.6: On the rescission of Rule 74.6.3 by adding 52.220(c)(52)(xv)(B). However, due to a July 1, 1982 (47 FR 28617), the EPA took a paragraph to that effect at 40 CFR publisher’s error, the codification of the final action to approve Ventura County 52.220(c)(241)(i)(C). approval of the three rules was repeated APCD Rule 74.6 (Surface Cleaning and at 40 CFR 52.220(c)(52)(xix)(B) as if they Yolo-Solano AQMD Degreasing). In our final rule, we were rules adopted by the Yolo-Solano codified our approval of Rule 74.6 at 40 Publisher’s Error in Connection with AQMD. We are proposing to delete the CFR 52.220(c)(82)(i)(A) but Approval of Yolo-Solano AQMD Rules erroneous regulatory text now found at inadvertently failed to add introductory Submitted on February 25, 1980: On 40 CFR 52.220(c)(52)(xix)(B). text specifying the date of submittal. In June 18, 1982 (47 FR 26379), the EPA this action, we propose to add took direct final action to approve VI. Proposed Action and Request for introductory text to 40 CFR certain revisions to the Yolo-Solano Public Comment 52.220(c)(82) specifying a submittal date AQMD portion of the California SIP. In The EPA has reviewed the rules listed of May 1, 1980. the direct final rule, we approved Yolo- in table 1 above and determined that Inadvertent Failure to Remove Listing Solano AQMD Rules 3.4.1 (Standards they were previously approved into the of Sacramento Metropolitan AQMD for Granting Applications), 3.4.2 applicable California SIP in error. Rules 70, 73, 96 and 111 from (Conditional Approval), and 3.13 Deletion of these rules will not relax the Paragraph Listing Ventura County (Public Review and Comment for applicable SIP and is consistent with APCD Rules: Rules 70, 73, 96 and 111 Application for Authority to Construct) the Act. Therefore, under section are among a set of Sacramento and codified the approval at 40 CFR 110(k)(6) of the CAA, the EPA is Metropolitan AQMD rules that were 52.220(c)(54)(iv)(C). However, due to a proposing to delete the rules listed in approved at 42 FR 28122 (June 2, 1977); publisher’s error, the codification of the table 1 above and any earlier versions of corrected at 42 FR 42219 (August 22, approval of the three rules was repeated these rules from the individual air 1977). In the June 2, 1977 action, the at 40 CFR 52.220(c)(54)(v)(C) as if they pollution control district portions of the EPA codified the Sacramento were rules adopted by the Sacramento California SIP. These rules include Metropolitan AQMD rules on which the Metropolitan AQMD. We are proposing general nuisance provisions, Federal Agency was taking action at 40 CFR to delete the erroneous regulatory text NSPS or NESHAP requirements, hearing 52.220(c)(24)(x)(A)–(E). The August 22, now found at 40 CFR board procedures, variance provisions, 1977 action corrected the list of 52.220(c)(54)(v)(C). and local fee provisions. We are also Sacramento Metropolitan AQMD rules Inadvertent Failure to Codify proposing to make certain other for which the EPA had taken action and Approval of Yolo-Solano AQMD Rules corrections to fix errors in previous recodified the action at 40 CFR 3.4.1 and 3.4.2: On June 18, 1982 (47 FR rulemakings on California SIP revisions 52.220(c)(24)(viii)(A). The August 22, 26379), the EPA took direct final action as described in section V above. We will 1977 inadvertently failed to delete the to approve certain revisions to the Yolo- accept comments from the public on original codification of the action on the Solano AQMD portion of the California this proposal until May 22, 2020. Sacramento Metropolitan AQMD rules SIP. In the direct final rule, we at 40 CFR 52.220(c)(24)(x). Since then, approved Yolo-Solano AQMD Rules VII. Incorporation by Reference the EPA has taken action on certain 3.4.1 (Standards for Granting In this action, for the most part, the Ventura County APCD rules and Applications), 3.4.2 (Conditional EPA is proposing to delete rules that codified those actions at 40 CFR Approval), and 3.13 (Public Review and were previously incorporated by 52.220(c)(24)(x)(A) and (B), but Comment for Application for Authority reference from the applicable California subparagraphs (C)–(E) remain in the to Construct) and codified the approval SIP. However, we are also proposing to CFR and now appear as if they are at 40 CFR 52.220(c)(54)(iv)(C). However, include in a final EPA rule regulatory Ventura County APCD rules. In this in response to the direct final rule, we text that includes incorporation by action, we are proposing to remove and received adverse comment concerning reference of rules not previously reserve subparagraphs (C)–(E) under 40 our approval of Rules 3.4.1 and 3.4.2, incorporated. In accordance with CFR 52.220(c)(24)(x). and on June 24, 1983 (48 FR 28988), we requirements of 1 CFR 51.5, the EPA is Inadvertent Failure to Codify withdrew their approval. Later than proposing to incorporate by reference Approval of Rescission of Ventura year, we took final action to approve certain San Diego County APCD and County APCD Rule 74.6.3: The EPA Rules 3.4.1 and 3.4.2 after consideration Yolo-Solano AQMD rules, as described approved certain rules adopted by the of public comment, 48 FR 52712 in section V of this preamble. The EPA Ventura County APCD, including Rule (November 22, 1983), but failed to add has made, and will continue to make, 74.6.3 (Conveyorized Degreasers) at 65 corresponding regulatory text in 40 CFR these documents generally available FR 45294 (July 21, 2000). We codified 52.220(c)(54)(iv). In this action, we electronically through our approval of these rules at 40 CFR propose to add a new paragraph, 40 CFR www.regulations.gov and/or in hard 52.220(c)(241)(i)(C). On October 25, 52.220(c)(54)(iv)(E), codifying our 1983 copy at the appropriate EPA office (see 2005 (70 FR 61561), we approved approval of Yolo-Solano AQMD Rules the ADDRESSES section of this preamble revisions to certain Ventura County 3.4.1 and 3.4.2. for more information). APCD rules, including the rescission of Publisher’s Error in Connection with Rule 74.6.3. In the October 25, 2005 Yolo-Solano AQMD Rules Submitted on VIII. Statutory and Executive Order direct final rule, we explained that Rule October 15, 1979: On December 9, 1981 Reviews 74.6.3 was being rescinded because (46 FR 60202), the EPA took final action Under the Clean Air Act, the there are currently no conveyorized to approve certain revisions to the Administrator is required to approve a

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SIP submission that complies with the under the Regulatory Flexibility Act (5 methods under Executive Order 12898 provisions of the Act and applicable U.S.C. 601 et seq.); (59 FR 7629, February 16, 1994). Federal regulations. 42 U.S.C. 7410(k); • Does not contain any unfunded In addition, the SIP is not approved 40 CFR 52.02(a). Thus, in reviewing SIP mandate or significantly or uniquely to apply on any Indian reservation land submissions, the EPA’s role is to affect small governments, as described or in any other area where the EPA or approve state choices, provided that in the Unfunded Mandates Reform Act an Indian tribe has demonstrated that a they meet the criteria of the Clean Air of 1995 (Pub. L. 104–4); tribe has jurisdiction. In those areas of Act. Accordingly, this proposed action • Does not have federalism Indian country, the proposed rule does merely corrects errors in previous implications as specified in Executive not have tribal implications and will not rulemakings and does not impose Order 13132 (64 FR 43255, August 10, impose substantial direct costs on tribal additional requirements beyond those 1999); governments or preempt tribal law as imposed by state law. For that reason, • Is not an economically significant specified by Executive Order 13175 (65 this proposed action: regulatory action based on health or FR 67249, November 9, 2000). • Is not a ‘‘significant regulatory safety risks subject to Executive Order List of Subjects in 40 CFR Part 52 action’’ subject to review by the Office 13045 (62 FR 19885, April 23, 1997); of Management and Budget under • Is not a significant regulatory action Environmental protection, Air Executive Orders 12866 (58 FR 51735, subject to Executive Order 13211 (66 FR pollution control, Carbon monoxide, October 4, 1993) and 13563 (76 FR 3821, 28355, May 22, 2001); Incorporation by reference, January 21, 2011); • Is not subject to requirements of Intergovernmental relations, Nitrogen • Is not an Executive Order 13771 (82 Section 12(d) of the National dioxide, Ozone, Particulate matter, FR 9339, February 2, 2017) regulatory Technology Transfer and Advancement Reporting and recordkeeping action because SIP approvals are Act of 1995 (15 U.S.C. 272 note) because requirements, Volatile organic exempted under Executive Order 12866; application of those requirements would compounds. • Does not impose an information be inconsistent with the Clean Air Act; Authority: 42 U.S.C. 7401 et seq. collection burden under the provisions and of the Paperwork Reduction Act (44 • Does not provide the EPA with the Dated: March 30, 2020. U.S.C. 3501 et seq.); discretionary authority to address John Busterud, • Is certified as not having a disproportionate human health or Regional Administrator, Region IX. significant economic impact on a environmental effects with practical, [FR Doc. 2020–07531 Filed 4–21–20; 8:45 am] substantial number of small entities appropriate, and legally permissible BILLING CODE 6560–50–P

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Notices Federal Register Vol. 85, No. 78

Wednesday, April 22, 2020

This section of the FEDERAL REGISTER displays a currently valid OMB control coherent, and unambiguous questions in contains documents other than rules or number. surveys and related data collection proposed rules that are applicable to the instruments that ask for data compatible Forest Service public. Notices of hearings and investigations, with respondents’ memory and/or committee meetings, agency decisions and Title: Generic Information Collection current reporting and record keeping rulings, delegations of authority, filing of to Conduct Survey Improvement practices. The purpose of the survey petitions and applications and agency Projects. statements of organization and functions are improvement projects will be to ensure OMB Control Number: 0596–NEW. that Forest Service surveys continuously examples of documents appearing in this Summary of Collection: The primary section. attempt to meet these standards of function of the USDA Forest Service is excellence. Without adequate testing, to manage the national forests and data collected may be of poor quality, DEPARTMENT OF AGRICULTURE grasslands, and to provide assistance resulting in additional resources and science-based information to land required to process data or negative Submission for OMB Review; managers across the urban to rural to impacts on survey estimates. Comment Request wilderness continuum. Forests and Description of Respondents: natural areas provide a wide range of April 16, 2020. Individuals or households; Business or benefits and services to all Americans. other for-profit; Not-for-profit The Department of Agriculture has Understanding these many issues is institutions; State, Local or Tribal submitted the following information critical to managing forests and other Government. collection requirement(s) to OMB for natural areas to meet the needs of Number of Respondents: 7,500. review and clearance under the Americans and to achieving the mission Paperwork Reduction Act of 1995, Frequency of Responses: On occasion. of the USDA Forest Service ‘‘to sustain Total Burden Hours: 2,700. Public Law 104–13. Comments are the health, diversity, and productivity of requested regarding: Whether the the Nation’s forests and grasslands to Ruth Brown, collection of information is necessary meet the needs of present and future Departmental Information Collection for the proper performance of the generations.’’ In the last decade, state-of- Clearance Officer. functions of the agency, including the art techniques have been instituted [FR Doc. 2020–08450 Filed 4–21–20; 8:45 am] whether the information will have by the FS and other Federal agencies BILLING CODE 3410–15–P practical utility; the accuracy of the and are now routinely used to improve agency’s estimate of burden including the quality and timeliness of surveys the validity of the methodology and and related methods of data collection DEPARTMENT OF AGRICULTURE assumptions used; ways to enhance the and analyses, while simultaneously quality, utility and clarity of the reducing respondents’ cognitive Natural Resources Conservation information to be collected; and ways to workload and burden. The purpose of Service minimize the burden of the collection of this generic clearance is to allow the FS [Docket No. NRCS–2020–0005] information on those who are to to evaluate, adopt, and use these state- respond, including through the use of of-the art techniques to improve current Notice of Availability of the Mississippi appropriate automated, electronic, data collection efforts of forest and for Trustee Implementation Group Draft mechanical, or other technological natural land management practices. Restoration Plan II Environmental collection techniques and other forms of Collection of data to support the Assessment: Wetlands, Coastal, and information technology. broad-ranging mission of the USDA Nearshore Habitats and Oysters Comments regarding this information Forest Service is supported by a number collection received by May 22, 2020 will of federal laws, regulations, and AGENCY: Natural Resources be considered. Written comments and executive orders. The Multiple-Use Conservation Service (NRCS), U.S. recommendations for the proposed Sustained-Yield Act of 1960, the Forest Department of Agriculture (USDA). information collection should be and Rangeland Renewable Resources ACTION: Notice of availability; request submitted within 30 days of the Planning Act (RPA) of 1974 and 1978, for comments. publication of this notice on the and the 2012 Planning Rule all following website www.reginfo.gov/ specifically require or support the lines SUMMARY: In accordance with the Oil public/do/PRAMain. Find this of research proposed in this information Pollution Act of 1990 (OPA), the particular information collection by collection. National Environmental Policy Act selecting ‘‘Currently under 30-day Need and Use of the Information: The (NEPA), the Deepwater Horizon Oil Review—Open for Public Comments’’ or information obtained from these efforts Spill Final Programmatic Damage by using the search function. will be used to develop new Forest Assessment and Restoration Plan and An agency may not conduct or Service surveys and related data Final Programmatic Environmental sponsor a collection of information collection protocols and improve Impact Statement (Final PDARP PEIS), unless the collection of information current ones. Specifically, the Record of Decision, and Consent Decree, displays a currently valid OMB control information will be used to reduce the Federal and State natural resource number and the agency informs respondent burden while trustee agencies for the Mississippi potential persons who are to respond to simultaneously improving the quality of Trustee Implementation Group the collection of information that such the data collected in these surveys. (Mississippi TIG) have prepared a Draft persons are not required to respond to These objectives are met when Restoration Plan II Environmental the collection of information unless it respondents are presented with plain, Assessment: Wetlands, Coastal, and

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Nearshore Habitats and Oysters (Draft The Deepwater Horizon State and Consent Decree, restoration projects in RP II EA). MS TIG identified two Federal natural resource trustees (DWH the Mississippi Restoration Area are Restoration Types—Wetlands, Coastal, Trustees) conducted the natural now chosen and managed by the MS and Nearshore Habitats (WCNH) and resource damage assessment (NRDA) for TIG. Oysters—that it considered appropriate the Deepwater Horizon oil spill under The MS TIG is composed of the for the Draft RP II EA. The purpose of the Oil Pollution Act 1990 (OPA; 33 following Trustees: this notice is to inform the public of the U.S.C. 2701–2720) and the • Mississippi Department of availability of the Draft RP II EA and to implementing NRDA regulations (15 Environmental Quality; request public comments on the CFR part 990). In accordance with OPA, • U.S. Department of the Interior document. Federal and State agencies act as (DOI), as represented by the National Park Service (NPS), U.S. Fish and DATES: We will consider comments that trustees on behalf of the public to assess Wildlife Service (FWS), and Bureau of we receive by May 22, 2020. natural resource injuries and losses and to determine the actions required to Land Management (BLM); ADDRESSES: We invite you to submit • National Oceanic and Atmospheric comments on this notice. In your compensate the public for those injuries and losses. OPA further instructs the Administration (NOAA), on behalf of comments, include the volume, date, the U.S. Department of Commerce and page number of this issue of the designated trustees to develop and to implement a plan for the restoration, (DOC); Federal Register. Comments may be • U.S. Department of Agriculture submitted by any of the following rehabilitation, replacement, or acquisition of the equivalent of the (USDA); and methods: • U.S. Environmental Protection • injured natural resources under their The web: https://www.gulfspill Agency (EPA). restoration.noaa.gov/restoration-areas/ trusteeship, including the loss of use and services from those resources from The restoration planning activity is mississippi; or proceeding in accordance with the • Mail: U.S. Fish and Wildlife the time of injury until the time of restoration to baseline (the resource Deepwater Horizon Oil Spill: Final Service, P.O. Box 29649, Atlanta, Programmatic Damage Assessment and Georgia 30345. Please note that mailed quality and conditions that would exist if the spill had not occurred) is Restoration Plan (PDARP) and Final comments must be postmarked on or Programmatic Environmental Impact before the comment deadline of May 22, complete. The DWH Trustees are: Statement (PEIS). Information on the 2020 to be considered. • restoration types being considered in MS TIG will host a public webinar on U.S. Department of the Interior (DOI), as represented by the National the Draft RP II EA, as well as a general May 13, 2020, at 2:00 p.m. CDT. The overview of the OPA criteria against public may register for the webinar at: Park Service (NPS), U.S. Fish and Wildlife Service (FWS), and Bureau of which project ideas are being evaluated, https://attendee.gotowebinar.com/ can be found in the Final PDARP/PEIS register/548768858601614861. Land Management (BLM); • National Oceanic and Atmospheric (http://www.gulfspill Comments will be accepted during the restoration.noaa.gov/restoration- public webinar. Administration (NOAA), on behalf of the U.S. Department of Commerce planning/gulf-plan) and in the After registering, participants will Overview section of the PDARP PEIS receive a confirmation email with (DOC); • (http://www.gulfspill instructions for joining the webinar. U.S. Department of Agriculture (USDA); restoration.noaa.gov/restoration- FOR FURTHER INFORMATION CONTACT: Ron • U.S. Environmental Protection planning/gulf-plan). Howard, Senior Technical Advisor, Agency (EPA); MS TIG posted a Notice of Natural Resource Specialist, at • State of Louisiana Coastal Solicitation calling for project ideas on [email protected]; and Valerie 2 Protection and Restoration Authority, June 11, 2018 (June 11, 2018, Notice). Alley, NRDA Coordinator, at Oil Spill Coordinator’s Office, Project ideas requested included the [email protected]. Department of Environmental Quality, following restoration types: Wetlands, SUPPLEMENTARY INFORMATION: Department of Wildlife and Fisheries, Coastal, and Nearshore Habitats Background and Department of Natural Resources; (WCNH); Nutrient Reduction; Oysters; • State of Mississippi Department of Sea Turtles; and Marine Mammals. MS On April 20, 2010, the mobile Environmental Quality; TIG notified the public that it would offshore drilling unit Deepwater • State of Alabama Department of consider new, revised, and previously Horizon, which was being used to drill Conservation and Natural Resources and submitted project ideas received by a well for BP Exploration and Geological Survey of Alabama; August 10, 2018. On October 10, 2018, Production Inc. (BP), in the Macondo • State of Florida Department of MS TIG published a notice of Initiation prospect (Mississippi Canyon 252– Environmental Protection and Fish and of Restoration Planning in Mississippi.3 MC252), exploded, caught fire, and Wildlife Conservation Commission; and During the planning process MS TIG subsequently sank in the Gulf of • For the State of Texas, Texas Parks decided to focus only on WCNH and Mexico, resulting in an unprecedented and Wildlife Department, Texas General Oyster Restoration Types in RP II. volume of oil and other discharges from Land Office, and Texas Commission on In developing the Draft RP II EA, MS the rig and from the wellhead on the Environmental Quality. TIG considered projects previously seabed. The Deepwater Horizon oil spill Upon completion of NRDA, the DWH submitted to the MDEQ Restoration is the largest maritime oil spill in U.S. Trustees reached and finalized a Project Idea portal 4 and the Trustee history, discharging millions of barrels settlement of their natural resource of oil over a period of 87 days. In damage claims with BP in a Consent 2 https://www.gulfspillrestoration.noaa.gov/2018/ addition, well over one million gallons Decree 1 approved by the United States 06/mississippi-trustee-implementation-group- of dispersants were applied to the District Court for the Eastern District of welcomes-publics-project-ideas. waters of the spill area to disperse the 3 https://www.gulfspillrestoration.noaa.gov/2018/ Louisiana. In accordance with that 10/notice-initiation-restoration-planning- spilled oil. An undetermined amount of mississippi. natural gas was also released to the 1 https://www.justice.gov/enrd/file/838066/ 4 https://www.mdeq.ms.gov/restoration/project- environment as a result of the spill. download. portal/.

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Council Project Submission Portal,5 as for the Mississippi Restoration Area will Members of the public are invited to well as those proposed in response to continue. make statements during the open the June 11, 2018, Notice. comment period of the meeting or Matthew Lohr, In total, MS TIG evaluated seven submit written comments. The Chief, Natural Resources Conservation comments must be received in the alternatives and a No Action Alternative Service. for WCNH and for Oysters. The regional office approximately 30 days [FR Doc. 2020–08419 Filed 4–21–20; 8:45 am] proposed action of the Draft RP II EA is after each scheduled meeting. Written the selection of four alternatives BILLING CODE 3410–16–P comments may be mailed to the Eastern (projects) for implementation: Regional Office, U.S. Commission on (1) Wolf River Coastal Preserve Civil Rights, 1331 Pennsylvania Habitat Management—Dupont and COMMISSION ON CIVIL RIGHTS Avenue, Suite 1150, Washington, DC Bell’s Ferry Tracts—WCNH; 20425 or emailed to Evelyn Bohor at Notice of Public Meeting of the [email protected]. Persons who desire (2) Hancock County Coastal Preserve Vermont Advisory Committee additional information may contact the Habitat Management—Wachovia Eastern Regional Office at (202) 376– Tract—WCNH; AGENCY: Commission on Civil Rights. 7533. (3) Oyster Spawning Reefs in ACTION: Announcement of meeting. Records and documents discussed Mississippi—Oysters; and during the meeting will be available for (4) Mississippi Oyster Gardening SUMMARY: Notice is hereby given, public viewing as they become available Program—Oysters. pursuant to the provisions of the rules at https://www.facadatabase.gov/FACA/ and regulations of the U.S. Commission The proposed action is consistent FACAPublicViewCommitteeDetails?id= on Civil Rights (Commission), and the with the restoration alternatives selected a10t0000001gzmXAAQ, click the Federal Advisory Committee Act in the Final PDARP PEIS and would be ‘‘Meeting Details’’ and ‘‘Documents’’ (FACA), that a meeting of the Vermont funded by $4,887,500 from the WCNH links.Records generated from this Advisory Committee to the Commission Restoration Type and $10,500,000 from meeting may also be inspected and will convene by conference call at 11:00 the Oysters Restoration Type. reproduced at the Eastern Regional a.m. (EDT) on Tuesday, April 28, 2020. Office, as they become available, both Overview of the Draft RP II EA The purpose of the meeting is to discuss before and after the meetings. Persons next steps regarding the release of its The Draft RP II EA is being released interested in the work of this advisory report on school discipline. The committee are advised to go to the in accordance with the OPA NRDA Committee will also consider other regulations in 15 CFR part 990, NEPA Commission’s website, www.usccr.gov, possible work products to conclude its or to contact the Eastern Regional Office (42 U.S.C. 4321–4347), and 40 CFR appointment term, which ends in June 1500. at the above phone numbers, email or 2020. street address. For the Draft RP II EA, MS TIG DATES: Tuesday, April 28, 2020, at 11:00 proposes moving forward with the four Agenda: Tuesday, April 28, 2020 at a.m. (EDT). 11:00 a.m. (EDT). preferred alternatives: Public Call-In Information: • • Rollcall Wolf River Coastal Preserve Habitat Conference call-in number: 1–888–208– • Management—Dupont and Bell’s Ferry Next Steps for Report Release 1711 and conference call 5689268. • Other Business Tracts (WCNH); FOR FURTHER INFORMATION CONTACT: • • Open Comment Hancock County Coastal Preserve Evelyn Bohor at [email protected] or by • Adjourn Habitat Management—Wachovia Tract phone at 202–376–7533. (WCNH); Dated: April 16, 2020. SUPPLEMENTARY INFORMATION: Interested • David Mussatt, Oyster Spawning Reefs in members of the public may listen to the Supervisory Chief, Regional Programs Unit. Mississippi (Oysters), and discussion by calling the following toll- • Mississippi Oyster Gardening free conference call-in number: 1–888– [FR Doc. 2020–08436 Filed 4–21–20; 8:45 am] Program (Oysters). 208–1711 and conference call 5689268. BILLING CODE P The total cost of the four preferred Please be advised that before placing alternatives is approximately $15 them into the conference call, the million. conference call operator will ask callers DEPARTMENT OF COMMERCE to provide their names, their The MS TIG has examined and Economic Development Administration assessed the extent of injury and the organizational affiliations (if any), and restoration alternatives. In the Draft RP email addresses (so that callers may be Notice of Petitions by Firms for II EA, MS TIG presents to the public its notified of future meetings). Callers can Determination of Eligibility To Apply draft plan for providing partial expect to incur charges for calls they for Trade Adjustment Assistance compensation to the public for injured initiate over wireless lines, and the natural resources and ecological Commission will not refund any AGENCY: Economic Development services in the Mississippi Restoration incurred charges. Callers will incur no Administration, U.S. Department of Area. The proposed alternatives are charge for calls they initiate over land- Commerce. intended to continue the process of line connections to the toll-free ACTION: Notice and opportunity for restoring natural resources and conference call-in number. public comment. ecological services injured or lost as a Persons with hearing impairments result of the Deepwater Horizon oil may also follow the discussion by first SUMMARY: The Economic Development spill. Additional restoration planning calling the Federal Relay Service at 1– Administration (EDA) has received 800–977–8339 and providing the petitions for certification of eligibility to 5 http://www.gulfspillrestoration.noaa.gov/ operator with the toll-free conference apply for Trade Adjustment Assistance restoration/give-us-your-ideas/suggest-a- call-in number: 1–888–208–1711 and from the firms listed below. restoration-project/. conference call 5689268. Accordingly, EDA has initiated

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investigations to determine whether firms contributed importantly to the decrease in sales or production of each increased imports into the United States total or partial separation of the firms’ petitioning firm. of articles like or directly competitive workers, or threat thereof, and to a SUPPLEMENTARY INFORMATION: with those produced by each of the

LIST OF PETITIONS RECEIVED BY EDA FOR CERTIFICATION OF ELIGIBILITY TO APPLY FOR TRADE ADJUSTMENT ASSISTANCE [4/8/2020 through 4/14/2020]

Date accepted Firm name Firm address for investigation Product(s)

Technology For Humankind, LLC d/b/a 3913 North Rushwood Street, Wichita, 4/10/2020 The firm manufactures lamps. Filimin. KS 67226. Zip Products, Inc...... 565 Blossom Road, Rochester, NY 4/10/2020 The firm manufactures metal parts. 14610. International Cordage East, Ltd ...... 226 Upton Road, Colchester, CT 06415 4/14/2020 The firm manufactures nets and rope.

Any party having a substantial (POR) August 1, 2017 through July 31, A complete summary of the events interest in these proceedings may 2018. that occurred since publication of the request a public hearing on the matter. DATES: Applicable April 22, 2020. Preliminary Results, as well as a full A written request for a hearing must be FOR FURTHER INFORMATION CONTACT: Toni discussion of the issues raised by parties submitted to the Trade Adjustment Page, AD/CVD Operations, Office VII, for these final results, may be found in Assistance Division, Room 71030, Enforcement and Compliance, the Issues and Decision Memorandum.3 Economic Development Administration, International Trade Administration, The Issues and Decision Memorandum U.S. Department of Commerce, U.S. Department of Commerce, 1401 is a public document and is available Washington, DC 20230, no later than ten Constitution Avenue NW, Washington, electronically via Enforcement and (10) calendar days following publication DC 20230; telephone: (202) 482–1398. Compliance’s Antidumping and of this notice. These petitions are SUPPLEMENTARY INFORMATION: Countervailing Duty Centralized received pursuant to section 251 of the Electronic Service System (ACCESS). Trade Act of 1974, as amended. Background ACCESS is available to registered users Please follow the requirements set On October 18, 2019, the Department at http://access.trade.gov. In addition, a forth in EDA’s regulations at 13 CFR of Commerce (Commerce) published its complete version of the Issues and 315.9 for procedures to request a public Preliminary Results of the Decision Memorandum can be accessed hearing. The Catalog of Federal administrative review of the at http://enforcement.trade.gov/frn/. Domestic Assistance official number antidumping duty order on passenger The signed and electronic versions of and title for the program under which tires from the China.1 The petitioners in the Issues and Decision Memorandum these petitions are submitted is 11.313, this case are United Steel, Paper and are identical in content. Trade Adjustment Assistance for Firms. Forestry, Rubber, Manufacturing, Scope of the Order Energy, Allied Industrial and Service Irette Patterson, Workers International Union, AFL–CIO, Program Analyst. The products covered by the order are CLC (collectively, the petitioners). The certain passenger vehicle and light truck [FR Doc. 2020–08514 Filed 4–21–20; 8:45 am] mandatory respondents in this tires from China. A full description of BILLING CODE 3510–WH–P administrative review are Shandong New Continent Tire Co., Ltd. (New Co., Ltd.’s Case Brief, ‘‘Shandong New Continent Continent) and Qingdao Odyking Tyre Tire Co., Ltd. Case Brief in the Third Administrative DEPARTMENT OF COMMERCE Co., Ltd. (Odyking). Review of Antidumping Duty Order on Passenger We invited interested parties to Vehicle and Light Truck Tires from the People’s International Trade Administration comment on the Preliminary Results. Republic of China,’’ dated December 2, 2019; Pirelli Tyre Co., Ltd. and Pirelli’s Case Brief, ‘‘Pirelli’s [A–570–016] Subsequent to the Preliminary Results, Case Brief Certain Passenger Vehicle and Light the petitioners; New Continent Truck Tires from China,’’ dated December 3, 2019; Certain Passenger Vehicle and Light (mandatory respondent); and various Petitioners’ Rebuttal Brief, ‘‘Rebuttal Brief Truck Tires From the People’s separate rate entities submitted case and Submitted on Behalf of the United Steel, Paper and 2 Forestry, Rubber, Manufacturing, Energy, Allied Republic of China: Final Results of rebuttal briefs. Industrial and Service Workers International Union, Antidumping Duty Administrative AFL–CIO, CLC,’’ dated December 9, 2019; New Review; 2017–2018 1 See Certain Passenger Vehicle and Light Truck Continent’s Rebuttal Brief, ‘‘Shandong New Tires from the People’s Republic of China: Continent Tire Co., Ltd. Rebuttal Brief in the Third AGENCY: Enforcement and Compliance, Preliminary Results of Antidumping Duty Administrative Review of Antidumping Duty Order Administrative Review and Rescission, in Part; on Passenger Vehicle and Light Truck Tires from International Trade Administration, 2017–2018, 84 FR 55909 (October 18, 2019), and the People’s Republic of China,’’ dated December 9, Department of Commerce. accompanying Preliminary Decision Memorandum 2019; and Haohua’s Comments in Lieu of Rebuttal SUMMARY: The Department of Commerce (Preliminary Results). Brief, ‘‘Passenger Vehicle and Light Truck Tires 2 See Shandong Hengyu’s Letter, ‘‘Certain from China- Comments in Lieu of Rebuttal Case (Commerce) finds that certain producers Passenger Vehicle and Light Truck Tires from the Brief,’’ dated December 9, 2019. and exporters of passenger vehicle and People’s Republic of China—Ministerial Error,’’ 3 See Memorandum, ‘‘Decision Memorandum for light truck tires (passenger tires) from dated October 16, 2019; Petitioners’ Case Brief, the Final Results of the Antidumping Duty the People’s Republic of China (China) ‘‘Case Brief Submitted on Behalf of the United Administrative Review of Certain Passenger Vehicle Steel, Paper and Forestry, Rubber, Manufacturing, and Light Truck Tires from the People’s Republic did not make sales of subject Energy, Allied Industrial and Service Workers of China and Rescission, in part; 2017 2018,’’ issued merchandise at prices below normal International Union, AFL–CIO, CLC,’’ dated concurrently with, and hereby adopted by, this value (NV) during the period of review December 2, 2019); Shandong New Continent Tire notice (Issues and Decision Memorandum).

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the scope of the order is contained in determine that it demonstrated the Decision Memorandum, which is hereby the Issues and Decision Memorandum.4 absence of both de jure and de facto adopted by this notice. A list of the control over its operations by the issues that parties raised and to which Separate Rates government and/or governmental we responded in the Issues and In the Preliminary Results, we found agencies of China. Decision Memorandum follows as an that evidence provided by New Therefore, for the final results, we appendix to this notice. Continent and other separate rate continue to find that New Continent and candidates supported finding an the other exporters listed below under Adjustments for Export Subsidies absence of both de jure and de facto ‘‘Final Results of Review’’ are eligible Commerce continues to adjust New government control, and, therefore, we for separate rates. Continent’s U.S. price for export preliminarily granted a separate rate to In addition, Commerce continues to subsidies, pursuant to 772(c)(1)(C) of the each of these companies.5 We received find that certain companies have not Act for the final results. no information since the issuance of the demonstrated their entitlement to Preliminary Results that provides a basis separate rate status because: (1) They Changes Since the Preliminary Results for reconsidering these determinations withdrew their participation from the with respect to New Continent and to administrative review; (2) they did not Based on a review of the record and the other separate rate candidates. rebut the presumption of de jure or de comments received from interested Subsequent to the Preliminary facto government control of their parties regarding our Preliminary Results, Shandong Hengyu Science & operations; or (3) did not timely file Results, we made certain changes for Technology Co., Ltd. (Shandong their separate rate application and/or these final results. Specifically, we have Hengyu), informed Commerce that it did certification.6 See Appendix II of this made adjustments to the calculation of not withdraw its request for self- Federal Register notice for a complete the antidumping margin for New 7 examination during the instant list of companies not receiving a Continent, and granted separate rate 8 administrative review. Therefore, for separate rate. status to Shandong Hengyu. these final results, we will not rescind Final Results of Review the administrative review with respect Analysis of Comments Received to Shandong Hengyu. In addition, based All issues raised in the case and Commerce finds that the following on our examination of Shandong rebuttal briefs filed by parties in this weighted-average dumping margins Hengyu’s Separate Rate Certification, we review are addressed in the Issues and exist for the POR:

Weighted- average Exporter dumping margin (percent)

Shandong New Continent Tire Co., Ltd ...... 0.00 Anhui Jichi Tire Co., Ltd ...... 0.00 Crown International Corporation ...... 0.00 Hankook Tire China Co., Ltd ...... 0.00 Jingsu Hankook Tire Co., Ltd ...... 0.00 Kenda Rubber (China) Co., Ltd ...... 0.00 Kinforest Tyre Co., Ltd ...... 0.00 Mayrun Tyre (Hong Kong) Limited ...... 0.00 Qingdao Fullrun Tyre Corp., Ltd ...... 0.00 Qingdao Sunfulcess Tyre Co., Ltd ...... 0.00 Qingdao Transamerica Tire Industrial Co., Ltd ...... 0.00 Shandong Anchi Tyres Co., Ltd ...... 0.00 Shandong Duratti Rubber Corporation Co., Ltd ...... 0.00 Shandong Haohua Tire Co., Ltd ...... 0.00 Shandong Hengyu Science & Technology Co., Ltd ...... 0.00 Shandong Hongsheng Rubber Technology Co., Ltd ...... 0.00 Shandong Longyue Rubber Co., Ltd ...... 0.00 Shandong Province Sanli Tire Manufactured Co., Ltd ...... 0.00 Winrun Tyre Co., Ltd ...... 0.00

4 See Issues and Decision Memorandum at of China: Final Separate Rate Status,’’ dated Republic of China: Final Analysis Memorandum for ‘‘Scope of the Order.’’ concurrently with the instant notice. Shandong New Continent Tire Co., Ltd.,’’ dated 5 See Preliminary Results 84 FR 55909 at 55911. 7 See Issues and Decision Memorandum at concurrently with the instant memorandum. 6 See Memorandum, ‘‘Antidumping Duty comments 1 and 5; and Memorandum, 8 See Issues and Decision Memorandum at Administrative Review of Certain Passenger Vehicle ‘‘Administrative Review of Certain Passenger comment 9. and Light Truck Tires from the People’s Republic Vehicle and Light Truck Tires from the People’s

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Assessment Rates will be liquidated at the rate for the Notification to Importers China-wide entity. Pursuant to section 751(a)(2)(C) of the This notice also serves as a reminder Act, and 19 CFR 351.212(b), Commerce For the companies for which this to importers of their responsibility has determined, and U.S. Customs and review is rescinded, antidumping duties under 19 CFR 351.402(f)(2) to file a Border Protection (CBP) shall assess, will be assessed at rates equal to the certificate regarding the reimbursement antidumping duties on all appropriate cash deposit of estimated antidumping of antidumping duties and/or entries of subject merchandise in duties required at the time of entry, or countervailing duties prior to accordance with the final results of this withdrawal from warehouse, for liquidation of the relevant entries review. Commerce intends to issue consumption, in accordance with 19 during this POR. Failure to comply with assessment instructions to CBP 15 days CFR 351.212(c)(l)(i). Commerce will this requirement could result in after the publication date of the final issue appropriate assessment Commerce’s presumption that results of this review. instructions with respect to the reimbursement of antidumping duties For each individually examined companies for which this review is respondent in this review whose and/or countervailing duties has rescinded to CBP 15 days after the occurred, and the subsequent weighted-average dumping margin in publication of this notice. the final results of review is not zero or assessment of double antidumping de minimis (i.e., less than 0.5 percent), In accordance with section duties and/or an increase in the amount Commerce intends to calculate 751(a)(2)(C) of the Act, the final results of antidumping duties by the amount of importer-specific assessment rates, in of this review shall be the basis for the the countervailing duties. accordance with 19 CFR 351.212(b)(1).9 assessment of antidumping duties on Notification to Interested Parties Where the respondent reported reliable POR entries, and for future deposits of entered values, Commerce intends to estimated antidumping duties, where This notice serves as the only calculate importer-specific ad valorem applicable. reminder to parties subject to administrative protective order (APO) of assessment rates by aggregating the Cash Deposit Requirements amount of dumping calculated for all their responsibility concerning the U.S. sales to the importer, and dividing Commerce will instruct CBP to disposition of proprietary information this amount by the total entered value require a cash deposit for antidumping disclosed under APO in accordance of the sales to the importer.10 Where the duties equal to the weighted-average with 19 CFR 351.305(a)(3). Timely importer did not report entered values, amount by which NV exceeds U.S. written notification of return or Commerce intends to calculate an price. The following cash deposit destruction of APO materials, or importer-specific assessment rate by requirements will be effective upon conversion to judicial protective order, dividing the amount of dumping for publication of the final results of this is hereby requested. Failure to comply reviewed sales to the importer by the administrative review for shipments of with the regulations and the terms of an total sales quantity associated with the subject merchandise from China APO is a sanctionable violation. those transactions. Where an importer- entered, or withdrawn from warehouse, We are issuing and publishing these specific ad valorem assessment rate is for consumption on or after the results in accordance with sections not zero or de minimis, Commerce will publication date of this notice, as 751(a)(1) and 777(i)(1) of the Act. instruct CBP to collect the appropriate provided by section 751(a)(2)(C) of the Dated: April 15, 2020. duties at the time of liquidation. Where Act: (1) For the exporters listed above, Jeffrey I. Kessler, either the respondent’s weighted the cash deposit rate will be equal to the average dumping margin is zero or de weighted-average dumping margin Assistant Secretary for Enforcement and Compliance. minimis, or an importer-specific ad established in the final results of this valorem assessment rate is zero or de review (except that, if the rate is de Appendix I minimis, Commerce will instruct CBP to minimis (i.e., less than 0.5 percent), then List of Topics Discussed in the Issues and liquidate appropriate entries without the cash deposit rate will be zero for Decision Memorandum regard to antidumping duties.11 that exporter); (2) for previously I. Summary Pursuant to Commerce practice, for investigated or reviewed China and non- entries that were not reported in the II. Background China exporters not listed above that III. Scope of the Order U.S. sales database submitted by an have separate rates, the cash deposit rate IV. Discussion of the Issues exporter individually examined during will continue to be the exporter-specific Comment 1: Whether Russia Should be the this review, Commerce will instruct rate published for the most recently Primary Surrogate Country CBP to liquidate such entries at the rate completed segment of this proceeding; Comment 2: Whether to Grant a Separate for the China-wide entity.12 (3) for all China exporters of subject Rate to Haohua Additionally, if Commerce determines merchandise which have not been Comment 3: Whether to Grant Pirelli China that an exporter under review had no found to be entitled to a separate rate, a Separate Rate Comment 4: Whether Commerce has the shipments of the subject merchandise, the cash deposit rate will be the rate for any suspended entries that entered Authority to Establish a China-Wide the China-wide entity (i.e., 76.46 Entity Rate under that exporter’s CBP case number percent); 13 and (4) for all non-China Comment 5: Whether to Correct Alleged exporters of subject merchandise that Errors in New Continent’s Margin 9 See Antidumping Proceedings: Calculation of have not received their own rate, the Calculations the Weighted Average Dumping Margin and cash deposit rate will be the rate Comment 6: Whether to Correct Certain Assessment Rate in Certain Antidumping ‘‘Importer or Customer’’ names in New Proceedings: Final Modification, 77 FR 8101 applicable to the China exporter that (February 14, 2012) (Final Modification). supplied that non-China exporter. These Continent’s Draft Liquidation 10 See 19 CFR 351.212(b)(1). deposit requirements, when imposed, Instructions 11 See Final Modification, 77 FR at 8103. Comment 7: Whether to Continue to shall remain in effect until further Deduct Irrecoverable VAT from New 12 See Non-Market Economy Antidumping notice. Proceedings: Assessment of Antidumping Duties, 76 Continent’s Gross Unit Price FR 65694 (October 24, 2011), for a full discussion Comment 8: Whether to Grant a Double of this practice. 13 See AD Order, 80 FR at 47904. Remedy Adjustment to New Continent

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Comment 9: Whether to Rescind the International Aust. Pty. Ltd., and S-Mart Antidumping and Countervailing Duty Administrative Review of Shandong (Tianjin) Technology Development Co., Centralized Electronic Service System Hengyu Science & Technology Co., Ltd. Ltd. (collectively, Pioneer et al.),2 Mid (ACCESS). ACCESS is available to V. Recommendation Continent Steel & Wire, Inc. (the registered users at http:// Appendix II petitioner),3 The Stanley Works access.trade.gov. In addition, a complete (Langfang) Fastening Systems Co., Ltd. version of the Issues and Decision List of Companies Not Receiving Separate and Stanley Black & Decker, Inc. Rate Status Memorandum can be accessed directly (Stanley B&D) (collectively, Stanley),4 1. Pirelli Tyre Co., Ltd. on the internet at http:// and Building Material Distributors, Inc., enforcement.trade.gov/frn/index.html. 2. Qingdao Odyking Tyre Co., Ltd. Qingdao D&L Group Ltd., Shandong 3. Tianjin Wanda Tyre Group Co., Ltd. The signed Issues and Decision Qingyun Hongyi Hardware Products [FR Doc. 2020–08540 Filed 4–21–20; 8:45 am] Memorandum and the electronic Co., Ltd., Dezhou Hualude Hardware versions of the Issues and Decision BILLING CODE 3510–DS–P Products Co., Ltd., and Mingguang Memorandum are identical in content. Ruifeng Hardware Products Co., Ltd. (collectively Building Material Changes Since the Preliminary Results DEPARTMENT OF COMMERCE Distributors et al.),5 submitted timely- Based on a review of the record and International Trade Administration filed case briefs. On December 9, 2019, Pioneer,6 the petitioner,7 and Stanley,8 comments received from interested [A–570–909] submitted timely-filed rebuttal briefs. parties, and for the reasons explained in the Issues and Decision Memorandum, Scope of the Order Certain Steel Nails From the People’s we are revising the margin calculations Republic of China: Final Results of The merchandise covered by the order for Stanley and Pioneer. Accordingly, Antidumping Duty Administrative is nails from China. For a complete for these final results, Commerce Review and Final Determination of No description of the scope of this order, updated the rate assigned to the non- Shipments; 2017–2018 see the Issues and Decision selected companies, which is based on Memorandum.9 AGENCY: Enforcement and Compliance, an average of the rates for the three International Trade Administration, Analysis of Comments Received mandatory respondents, Stanley, Department of Commerce. We addressed all issues raised in the Pioneer, and Tianjin Universal SUMMARY: The Department of Commerce case and rebuttal briefs filed by Machinery Imp. & Exp. Corporation (Commerce) determines that certain interested parties in the Issues and (Universal), as discussed in the Issues steel nails (nails) from the People’s Decision Memorandum. Attached to this and Decision Memorandum. For a Republic of China (China) were sold in notice, in Appendix II, is a list of the discussion of these changes, see the the United States at less than normal issues which parties raised. The Issues ‘‘Changes Since the Preliminary value (NV) during the period of review and Decision Memorandum is a public Results’’ section of the Issues and (POR) August 1, 2017 through July 31, document and is on file in the Central Decision Memorandum. 2018. Records Unit (CRU), Room B8024 of the Final Determination of No Shipments DATES: Applicable April 22, 2020. main Department of Commerce FOR FURTHER INFORMATION CONTACT: building, as well as electronically via In the Preliminary Results, Commerce Annathea Cook or Benito Ballesteros, Enforcement and Compliance’s preliminarily determined that eleven AD/CVD Operations, Office V, companies did not have any reviewable Enforcement and Compliance, 2 See Pioneer et al.’s Letter, ‘‘Certain Steel Nails transactions during the POR: Astrotech from the People’s Republic of China: Case Brief,’’ International Trade Administration, dated November 25, 2019. Steels Pvt. Ltd.; Geeky Wires Limited; U.S. Department of Commerce, 1401 3 See Petitioner’s Letter, ‘‘Certain Steel Nails from Hebei Minmetals Co., Ltd.; Jinhai Constitution Avenue NW, Washington, the People’s Republic of China: Case Brief, dated Hardware Co., Ltd.; Nanjing Yuechang DC 20230; telephone: (202) 482–0250 or November 25, 2019. 4 Hardware Co., Ltd.; Region Industries (202) 482–7425, respectively. See Stanley’s Letter, ‘‘Certain Steel Nails from the People’s Republic of China; Tenth Co., Ltd.; Region System Sdn. Bhd.; SUPPLEMENTARY INFORMATION: Administrative Review; Case Brief of The Stanley Shandong Oriental Cherry Hardware Works (Langfang) Fastening Systems Co., Ltd and Group Co., Ltd.; Shandong Oriental Background Stanley Black & Decker, Inc.,’’ dated November 25, Cherry Hardware Import & Export Co., On October 18, 2019, Commerce 2019 . 5 See Building Material Distributors et al.’s Letter, Ltd.; Shanghai Jade Shuttle Hardware published in the Federal Register the ‘‘Certain Steel Nails from the People’s Republic of Tools Co., Ltd.; and Zhangjiagang Preliminary Results of the China, 10th Administrative Review; Administrative Lianfeng Metals Products Co., Ltd. administrative review of the Case Brief,’’ dated November 25, 2019. 6 See Pioneer’s Letter, ‘‘Certain Steel Nails from Following the publication of the antidumping duty order on nails from Preliminary Results, we received no China.1 the People’s Republic of China: Rebuttal Case Brief,’’ dated December 9, 2019 (Pioneer Rebuttal). comments from interested parties In accordance with 19 CFR 351.309, 7 See Petitioner’s Letter, ‘‘Certain Steel Nails from regarding these companies, nor has any we invited parties to comment on our the People’s Republic of China: Rebuttal Brief,’’ party submitted record evidence which Preliminary Results. On November 25, dated December 9, 2019 (Petitioner Rebuttal). 2019, Shanxi Pioneer Hardware 8 See Stanley’s Letter, ‘‘Certain Steel Nails from would call our preliminary Industrial Co., Ltd. (Pioneer), Shanxi the People’s Republic of China; Tenth determination into question. Therefore, Administrative Review; Rebuttal Brief of The Hairui Trade Co., Ltd., SDC for these final results, we continue to Stanley Works (Langfang) Fastening Systems Co., find that these eleven companies did Ltd and Stanley Black & Decker, Inc.,’’ dated 1 See Certain Steel Nails from the People’s December 9, 2019 (Stanley Rebuttal). not have any reviewable transactions Republic of China: Preliminary Results of the 9 See Memorandum, ‘‘Certain Steel Nails from the during the POR. Consistent with our Antidumping Duty Administrative Review and People’s Republic of China: Issues and Decision practice, we will issue appropriate Preliminary Determination of No Shipments; 2017– Memorandum for the Final Results of the 2017–18 instructions to U.S. Customs and Border 2018, 84 FR 55906 (October 18, 2019) (Preliminary Antidumping Duty Administrative Review,’’ dated Results) and accompanying Preliminary Decision April 15, 2020 (Issues and Decision Memorandum) Protection (CBP) based on our final Memorandum. which is hereby adopted by this notice. results.

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Separate Rates mandatory respondents have changed exception discussed in the Issues and In the Preliminary Results, we from the Preliminary Results. Decision Memorandum (related to determined that 20 companies, Accordingly, for the final results, Stanley B&D),11 we have not received including the three mandatory Commerce has updated the rate any information since the issuance of respondents, met the criteria for assigned to the non-selected companies, the Preliminary Results that provides a separate rate status. We have not which is based on an average of the basis for reconsidering this preliminary received any information since the rates of the three mandatory determination. Therefore, Commerce issuance of the Preliminary Results that respondents, as discussed in the Issues continues to find that these companies provides a basis for reconsidering this and Decision Memorandum. are part of the China-wide entity.12 preliminary determination. Therefore, China-Wide Entity Commerce continues to find that these Final Results of Administrative Review In the Preliminary Results, we found companies meet the criteria for a The weighted-average dumping separate rate for the final results. that 182 companies for which a review was requested had not established margins for the administrative review Rate for Non-Selected Companies eligibility for a separate rate and, thus, are as follows: As noted above, for the final results, we considered them to be part of the the dumping margins for two of the China-wide entity.10 With one

Weighted- average Exporter/producer dumping margin

Shanxi Pioneer Hardware Industrial Co., Ltd ...... 118.04 The Stanley Works (Langfang) Fastening Systems Co., Ltd. and Stanley Black & Decker, Inc ...... 2.11 Tianjin Universal Machinery Imp. & Exp. Corporation ...... 118.04 Dezhou Hualude Hardware Products Co., Ltd ...... 41.75 Hebei Cangzhou New Century Foreign Trade Co., Ltd ...... 41.75 Mingguang Ruifeng Hardware Products Co., Ltd ...... 41.75 Nanjing Caiqing Hardware Co., Ltd ...... 41.75 Qingdao D&L Group Ltd ...... 41.75 SDC International Aust. Pty. Ltd ...... 41.75 Shandong Qingyun Hongyi Hardware Products Co., Ltd ...... 41.75 Shanghai Curvet Hardware Products Co., Ltd ...... 41.75 Shanghai Yueda Nails Industry Co., Ltd. a.k.a Shanghai Yueda Nails Co., Ltd ...... 41.75 Shanxi Hairui Trade Co., Ltd ...... 41.75 Shanxi Tianli Industries Co., Ltd ...... 41.75 S-Mart (Tianjin) Technology Development Co., Ltd ...... 41.75 Suntec Industries Co., Ltd ...... 41.75 Tianjin Jinchi Metal Products Co., Ltd ...... 41.75 Tianjin Jinghai County Hongli Industry & Business Co., Ltd ...... 41.75 Tianjin Zhonglian Metals Ware Co., Ltd ...... 41.75 Xi’an Metals and Minerals Import & Export Co., Ltd ...... 41.75

Assessment Rates or de minimis, Commerce will issue review, Commerce will instruct CBP to Pursuant to section 751(a)(2)(A) of the instructions directly to CBP to assess liquidate such entries at the China-wide Tariff Act of 1930, as amended (the Act), antidumping duties on appropriate entity rate. Additionally, if Commerce and 19 CFR 351.212(b), Commerce has entries. Where an importer-specific determines that an exporter had no determined, and CBP shall assess, assessment rate is zero or de minimis, shipments of the subject merchandise, antidumping duties on all appropriate we will instruct CBP to liquidate the any suspended entries that entered entries of subject merchandise in appropriate entries without regard to under that exporter’s case number (i.e., accordance with the final results of this antidumping duties. at that exporter’s rate) will be liquidated review. Commerce intends to issue For Pioneer, Universal, and the non- at the China-wide entity rate.13 appropriate assessment instructions examined companies granted separate Cash Deposit Requirements directly to CBP 15 days after publication rates, the ad valorem assessment rate of the final results of this administrative will be equal to cash deposit rate The following cash deposit review. assigned above in the final results of requirements will be effective upon Stanley reported the entered value of administrative review. We intend to publication of the final results of this its U.S. sales such that we calculated instruct CBP to liquidate entries administrative review for all shipments importer-specific ad valorem duty containing subject merchandise of the subject merchandise entered, or assessment rates based on the ratio of exported by the China-wide entity at the withdrawn from warehouse, for the total amount of dumping calculated China-wide rate. consumption on or after the publication for the importer’s examined sales to the Pursuant to Commerce’s assessment date, as provided for by section total entered value of those same sales. practice, for entries that were not 751(a)(2)(C) of the Act: (1) For the If an importer-specific assessment rate reported in the U.S. sales databases exporters listed above, the cash deposit calculated in the final results is not zero submitted by Stanley during this rate will be the rate established in the

10 See Preliminary Results at Appendix I. 12 See Appendix I. 13 See Non-Market Economy Antidumping 11 See Issues and Decision Memorandum at Proceedings: Assessment of Antidumping Duties, 76 Comment 6. FR 65694 (October 24, 2011).

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final results of review; (2) for previously Dated: April 15, 2020. 60. Jiangsu Huaiyin Guex Tools. investigated or reviewed China and non- Joseph Laroski, 61. Jiangsu Inter-China Group Corp. 62. Jiangu Soho Honry Imp. and Exp. Co. Ltd. China exporters not listed above that Deputy Assistant Secretary for Policy and 63. Jiaxing TSR Hardware Inc. Negotiations. have separate rates, the cash deposit rate 64. Jinsco International Corp. will continue to be the exporter-specific Appendix I 65. Jinsheung Steel Corporation. rate published for the most recent 66. Koram Inc. period; (3) for all China exporters of China-Wide Entity 67. Korea Wire Co. Ltd. subject merchandise which have not 1. Air It on Inc. 68. Liang’s Ind. Corp. been found to be entitled to a separate 2. A-Jax Enterprises Ltd. 69. Liaocheng Minghui Hardware Products. rate, the cash deposit rate will be the 3. A-Jax International Co. Ltd. 70. Linyi FlyingArrow Imp. & Exp. Co Ltd. 4. Anhui Amigo Imp.& Exp. Co. Ltd. 71. M&M Industries Co., Ltd. China-Wide rate of 118.04 percent; and 5. Anhui Tea Imp. & Exp. Co. Ltd. 72. Maanshan Lilai International Trade Co. (4) for all non-China exporters of subject 6. Asiahan Industrial Trading Ltd. Ltd. merchandise which have not received 7. Baoding Jieboshun Trading Co., Ltd. 73. Max Co., Ltd. their own rate, the cash deposit rate will 8. Beijing Catic Industry Ltd. 74. Milkway Chemical Supply Chain Service be the rate applicable to the China 9. Beijing Jinheung Co., Ltd. Co., Ltd. exporters that supplied that non-China 10. Beijing Qin-Li Jeff Trading Co., Ltd. 75. Mingguang Abundant Hardware Products exporter. The deposit requirements, 11. Beijing Qin-Li Metal Industries Co., Ltd. Co. Ltd. 12. Bodi Corporation. 76. Modern Factory For Metal Products. when imposed, shall remain in effect 13. Cana (Rizhou) Hardward Co. Ltd. 77. Nailtech Co. Ltd. until further notice. 14. Cangzhou Nandagang Guotai Hardware 78. Nanjing Nuochun Hardware Co. Ltd. Disclosure Products Co., Ltd. 79. Nanjing Tianxingtong Electronic 15. Cangzhou Xinqiao Int’l Trade Co. Ltd. Technology Co. Ltd. We intend to disclose the calculations 16. Certified Products Taiwan Inc. 80. Nanjing Tianyu International Co. Ltd. 17. Changzhou Kya Trading Co. Ltd. 81. Nanjing Toua Hardware & Tools Co. Ltd. performed regarding these final results 18. Chanse Mechatronics Scientech 82. Nanjing Zeejoe International Trade. within five days of the date of Development (Jiangsu) Inc. 83. Nantong Intlevel Trade Co., Ltd. publication of this notice to parties in 19. Chia Pao Metal Co. Ltd. 84. Natuzzi China Limited. this proceeding in accordance with 19 20. China Dinghao Co. Ltd. 85. Nielsen Bainbridge LLC. CFR 351.224(b). 21. China Staple Enterprise Co. Ltd. 86. Ningbo Adv. Tools Co. Ltd. 22. Chinapack Ningbo Imp. & Exp. Co. Ltd. 87. Ningbo Angelar Trading Co., Ltd. Notification to Importers 23. Chite Enterprise Co. Ltd. 88. Ningbo Fine Hardware Production Co. 24. Chonyi International Co. Ltd. Ltd. This notice also serves as a final 25. Crelux Int’l Co. Ltd. 89. Ningbo Freewill Imp. & Exp Co., Ltd. reminder to importers of their 26. Daejin Steel Co. Ltd. 90. Ningbo Langyi Metal Products Co., Ltd. responsibility under 19 CFR 351.402(f) 27. Dingzhou Baota Metal Products Co. Ltd. 91. Ningbo Sunrise International Ltd. to file a certificate regarding the 28. Dong E Fuqiang Metal Products Co. Ltd. 92. Ningbo WePartner Imp. & Exp. Co., Ltd. reimbursement of antidumping duties 29. Dream Rising Co., Ltd. 93. Overseas Distribution Services Inc. prior to liquidation of the relevant 30. Eco-Friendly Floor Ltd. 94. Overseas International Steel Industry. 31. Ejen Brother Limited. 95. Paslode Fasteners Co. Ltd. entries during this POR. Failure to 32. Everglow Inc. 96. Patek Tool Co. Ltd. comply with this requirement could 33. Everleading International Inc. 97. President Industrial Inc. result in Commerce’s presumption that 34. Faithful Engineering Products Co. Ltd. 98. Promising Way (Hong Kong) Ltd. reimbursement of antidumping duties 35. Fastening Care. 99. Qingda Jisco Co. Ltd. occurred and the subsequent assessment 36. Fastgrow International Co. Inc. 100. Qingdao Ant Hardware Manufacturing of doubled antidumping duties. 37. Foshan Hosontool Development Co. Ltd. Hardware Co. Ltd. 101. Qingdao D&L Hardware Co. Ltd. Administrative Protective Orders 38. GD CP International Ltd. 102. Qingdao Gold Dragon Co. Ltd. 39. GDCP International Co., Ltd. 103. Qingdao Hongyuan Nail Industry Co. This notice also serves as a reminder 40. Glori-Industry Hong Kong Inc. Ltd. to parties subject to administrative 41. Guangdong Meite Mechanical Co. Ltd. 104. Qingdao JCD Machinery Co., Ltd. protective order (APO) of their 42. Guangdong TC Meite Intelligent Tools 105. Qingdao Meijialucky Industry and Co. responsibility concerning the return or Co., Ltd. 106. Qingdao MST Industry and Commerce destruction of proprietary information 43. Hangzhou Orient Industry Co., Ltd. Co. Ltd. 44. Hebei Jindun Trade Co., Ltd. 107. Qingdao Powerful Machinery Co., Ltd. disclosed under APO in accordance 45. Hebei Minghao Imp. & Exp. Co. Ltd. 108. Qingdao Top Metal Industrial Co., Ltd. with 19 CFR 351.305(a)(3), which 46. Hengtuo Metal Products Co. Ltd. 109. Qingdao Top Steel Industrial Co. Ltd. continues to govern business 47. Home Value Co., Ltd. 110. Qingdao Uni-Trend International. proprietary information in this segment 48. Hongkong Shengshi Metal Products Co., 111. Quzhou Monsoon Hardware Co. Ltd. of the proceeding. Timely written Ltd. 112. Rise Time Industrial Ltd. notification of the return or destruction 49. Hongyi (HK) Hardware Products Co. Ltd. 113. Romp Coil Nail Industries Inc. of APO materials, or conversion to 50. Huaiyang County Yinfeng Plastic Factory. 114. R-Time Group Inc. judicial protective order, is hereby 51. Hualude International Development Co. 115. Ruifeng Hardware Products Co., Ltd. Ltd. 116. Senco Asia Manufacturing Ltd. requested. Failure to comply with the 52. Huanghua Haixin Hardware Products Co., 117. Shandong Dinglong Imp. & Exp. Co., regulations and terms of an APO is a Ltd. Ltd. violation which is subject to sanction. 53. Huanghua Yingjin Hardware Products. 118. Shandong Liaocheng Minghua Metal 54. Inmax Industries Sdn. Bhd. Pvt. Ltd. Notification to Interested Parties 55. ITW Construction Products. 119. Shanghai Cedargreen Imp. & Exp. Co., We are issuing and publishing these 56. Jade Shuttle Enterprise Co. Ltd. Ltd. 57. Jiang Men City Yu Xing Furniture 120. Shanghai Curvet Hardware, Co., Ltd. final results of administrative review in Limited Company. 121. Shanghai Haoray International Trade Co. accordance with sections 751(a)(1) and 58. Jiangsu General Science Technology Co. Ltd. 777(i) of the Act, and 19 CFR Ltd. 122. Shanghai Seti Enterprise Int’l Co. Ltd. 351.221(b)(5). 59. Jiangsu Holly Corporation. 123. Shanghai Sutek Industries Co., Ltd.

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124. Shanghai Yiren Machinery Co., Ltd. Appendix II duty (CVD) petition concerning imports 125. Shanghai Yueda Fasteners Co., Ltd. of non-refillable cylinders from China. 126. Shanghai Yueda Nails Co. Ltd. List of Topics Discussed in the Issues and Decision Memorandum On March 31, 2020, Commerce 127. Shanghai Zoonlion Industrial Co., Ltd. requested supplemental information 128. Shanxi Easyfix Trade Co. Ltd. I. Summary pertaining to certain aspects of the 129. Shanxi Xinjintai Hardware Co., Ltd. II. Background 2 III. Scope of the Order Petition, to which the petitioner filed 130. Shaoxing Chengye Metal Producing Co. its response on April 3, 2020.3 On April Ltd. IV. Discussion of the Issues 7, 2020, Commerce held a phone call 131. Shenzhen Xinjintai Hardware Co. Ltd. Comment 1: Sample Rate Calculation 132. Sueyi International Ltd. Methodology with the petitioner concerning the scope 4 133. Sumec Machinery and Electric Co., Ltd. Comment 2: Surrogate Financial Ratio of the investigations. Calculations 134. Suzhou Xingya Nail Co. Ltd. In accordance with section 732(b) of Comment 3: U.S. Selling Price and 135. Taizhou Dajiang Ind. Co. Ltd. the Tariff Act of 1930, as amended (the ‘‘Irrecoverable’’ Value Added Taxes 136. Test-Rite International Co., Ltd. Act), the petitioner alleges that imports Comment 4: Stanley’s Factors of of non-refillable cylinders from China 137. Theps International. Production (FOP) Database Error 138. Tianji Hweschun Fasteners Comment 5: Whether to Adjust Certain are being, or are likely to be, sold in the Manufacturing Co. Ltd. Movement Expenses United States at less than fair value 139. Tianjin Baisheng Metal Products Co. Comment 6: Whether Stanley B&D is Part (LTFV) within the meaning of section Ltd. of the China-Wide Entity 731 of the Act, and that such imports 140. Tianjin Bluekin Indusries Ltd. Comment 7: Application of Facts Available are materially injuring, or threatening 141. Tianjin Coways Metal Products Co. Ltd. with Adverse Inferences material injury to, the domestic industry 142. Tianjin Dagang Jingang Nail Factory. V. Recommendation producing non-refillable cylinders in 143. Tianjin Evangel Imp. & Exp. Co. Ltd. [FR Doc. 2020–08526 Filed 4–21–20; 8:45 a.m.] the United States. Consistent with 144. Tianjin Fulida Supply Co. Ltd. BILLING CODE 3510–DS–P section 732(b)(1) of the Act, the Petition 145. Tianjin Huixingshangmao Co. Ltd. is accompanied by information 146. Tianjin Jin Xin Sheng Long Metal reasonably available to the petitioner Products Co. Ltd. DEPARTMENT OF COMMERCE 147. Tianjin Jinghai Yicheng Metal Pvt. supporting its allegations. Commerce finds that the petitioner 148. Tianjin Jinlin Pharmaceutical Factory. International Trade Administration 149. Tianjin Jinmao Imp. & Exp. Corp. Ltd. filed the Petition on behalf of the 150. Tianjin Lianda Group Co. Ltd. domestic industry because the 151. Tianjin Liweitian Metal Technology [A–570–126] petitioner is an interested party as 152. Tianjin Tianhua Environmental Plastics defined in section 771(9)(C) of the Act. Co. Ltd. Certain Non-Refillable Steel Cylinders Commerce also finds that the petitioner 153. Tianjin Yong Sheng Towel Mill. From the People’s Republic of China: demonstrated sufficient industry 154. Tianjin Yongye Furniture Co. Ltd. Initiation of Less-Than-Fair-Value support with respect to the initiation of 155. Tianjin Zhonglian Times Technology. Investigation the requested AD investigation.5 156. Tianjin Zhongsheng Garment Co. Ltd. 157. Tinjin Tiaolai Import & Export Company AGENCY: Enforcement and Compliance, Period of Investigation Ltd. International Trade Administration, Because China is a non-market 158. Tsugaru Enterprise Co., Ltd. Department of Commerce. economy (NME) country, pursuant to 19 159. Unicorn Fasteners Co. Ltd. DATES: Applicable April 16, 2020. CFR 351.204(b)(1), and because the 160. Verko Incorporated. Petition was filed on March 27, 2020, 161. Win Fasteners Manufactory (Thailand) FOR FURTHER INFORMATION CONTACT: Kate the period of investigation (POI) is July Co. Ltd. Sliney or Peter Zukowski, AD/CVD 1, 2019 through December 31, 2019. 162. Wire Products Manufacturing Co., Ltd. Operations, Office III, Enforcement and 163. Wulian Zhanpeng Metals Co. Ltd. Compliance, International Trade 2 See Commerce’s Letter, ‘‘Petition for the 164. Xiamen Zhaotai Industrial Corp. Administration, U.S. Department of 165. Yongchang Metal Product Co. Imposition of Antidumping Duties on imports of Commerce, 1401 Constitution Avenue Certain Non-Refillable Steel Cylinders from the 166. Youngwoo Fasteners Co., Ltd. NW, Washington, DC 20230; telephone: People’s Republic of China: Supplemental 167. Yuyao Dingfeng Engineering Co. Ltd. (202) 482–2437 or (202) 482–0189, Questions Concerning Volume II,’’ dated March 31, 168. Zhanghaiding Hardware Co., Ltd. 2020; see also Commerce’s Letter, ‘‘Petitions for the 169. Zhangjiagang Longxiang Industries Co. respectively. Imposition of Antidumping and Countervailing Duties on Imports of Non-Refillable Steel Cylinders Ltd. SUPPLEMENTARY INFORMATION: 170. Zhaoqing Harvest Nails Co. Ltd. from the People’s Republic of China: Supplemental Questions,’’ dated March 31, 2020 (Supplemental 171. Zhejiang Best Nail Industry Co. Ltd. The Petition General Issues Questionnaire). 172. Zhejiang Jihengkang (JHK) Door Ind. Co. 3 On March 27, 2020, the U.S. See Petitioner’s Letter, ‘‘Certain Non-Refillable Ltd. Steel Cylinders from the People’s Republic of 173. Zhejiang Saiteng New Building Department of Commerce (Commerce) China: Petitioner’s Amendment to Volume II Materials Co., Ltd. received an antidumping duty (AD) Relating to the People’s Republic of China 174. Zhejiang Yiwu Yongzhou Imp. & Exp. petition concerning imports of certain Antidumping Duties,’’ dated April 3, 2020 (AD Co. Ltd. non-refillable steel cylinders (non- Supplement); see also Petitioner’s Letter, ‘‘Certain Non-Refillable Steel Cylinders from the People’s 175. Zhong Shan Daheng Metal Products Co. refillable cylinders) from the People’s Republic of China: Petitioner’s Amendment to Ltd. Republic of China (China), filed in Volume I Relating to General and Injury 176. Zhong Shan Shen Neng Metals Products proper form on behalf of Worthington Information,’’ dated April 3, 2020,’’ dated January Co. Ltd. Industries (the petitioner).1 The Petition 22, 2020 (General Issues Supplement). 4 177. Zhucheng Jinming Metal Products Co. was accompanied by a countervailing See Memorandum, ‘‘Certain Non-Refillable Steel Ltd. Cylinders from the People’s Republic of China— 178. Zhucheng Runfang Paper Co. Ltd. Petitions for the Imposition of Antidumping and 1 See Petitioner’s Letter, ‘‘Petition for the Countervailing Duties: Phone Call Regarding Scope 179. Beijing Camzone Industry & Trading Co., Imposition of Antidumping and Countervailing of the Petitions,’’ dated April 10, 2020 (Scope Ltd. Duties on Certain Non-Refillable Steel Cylinders Phone Call Memo). 180. Qingdao YuanYuan Metal Products LLC from the People’s Republic of China,’’ dated March 5 See ‘‘Determination of Industry Support for the 181. Shanxi Fastener & Hardware Products 27, 2020 (the Petition). Petition’’ section, infra.

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Scope of the Investigation such other orders control. In the case of non- applies.11 An electronically filed refillable steel cylinders entering the United document must be received successfully The merchandise covered by this States filled with merchandise not covered investigation is non-refillable cylinders in its entirety by the time and date it is by the scope of any other antidumping and/ due. from China. For a full description of the or countervailing duty order, the scope of scope of this investigation, see the this investigation controls. Comments on Product Characteristics appendix to this notice. Commerce has not adopted these for AD Questionnaires Comments on Scope of the Investigation provisions for purposes of initiation. We Commerce is providing interested During our review of the Petition, are interested, however, in further parties an opportunity to comment on Commerce issued questions to, and comment on this issue from parties to the appropriate physical characteristics 7 received responses from, the petitioner this proceeding. Consequently, of non-refillable cylinders to be reported pertaining to the proposed scope to Commerce is initiating this investigation in response to Commerce’s AD ensure that the scope language in the with respect to unfilled non-refillable questionnaire. This information will be Petition would be an accurate reflection cylinders only, subject to further used to identify the key physical of the products for which the domestic clarification, as warranted. characteristics of the subject industry is seeking relief.6 Specifically, As discussed in the Preamble to merchandise in order to report the the petitioner’s proposed scope Commerce’s regulations, we are setting relevant factors of production (FOPs) included both unfilled/empty and filled aside a period for interested parties to accurately, as well as to develop raise issues regarding product coverage appropriate product-comparison cylinders. Filled cylinders are properly 8 classified under the Harmonized Tariff (i.e., scope). Commerce will consider criteria. Schedule of the United States (HTSUS) all comments received from interested Interested parties may provide any subheading for the contents of the parties and, if necessary, will consult information or comments that they cylinder, not the HTSUS subheading for with interested parties prior to the believe are relevant to the development the cylinder itself. This could create issuance of the preliminary of an accurate list of physical determination. If scope comments characteristics. In order to consider the challenges related to administrability 9 because: (1) There are many substances include factual information, all such suggestions of interested parties in these cylinders can contain; (2) the factual information should be limited to developing and issuing the AD cylinders could be filled in a third public information. To facilitate questionnaire, all comments must be country before being exported to the preparation of its questionnaires, filed by 5:00 p.m. ET on May 6, 2020, United States, thereby complicating the Commerce requests that all interested which is 20 calendar days from the identification of the country of origin for parties submit scope comments by 5:00 signature date of this notice. Any these cylinders; and (3) it could be p.m. Eastern Time (ET) on May 6, 2020, rebuttal comments, which may include difficult, without time-consuming which is 20 calendar days from the factual information, must be filed by physical examination, to determine signature date of this notice. Any 5:00 p.m. ET on May 18, 2020, which whether filled cylinders are subject to rebuttal comments, which may include is 10 calendar days from the initial 12 duties. In addition, there are legal issues factual information, must be filed by comment deadline. All comments and surrounding the inclusion of imports of 5:00 p.m. ET on May 18, 2020, which submissions to Commerce must be filed is 10 calendar days from the initial electronically using ACCESS, as filled cylinders given that such 10 cylinders are non-refillable. For these comment deadline. explained above, on the record of this reasons, Commerce is removing the Commerce requests that any factual AD investigation. information the parties consider following substantive provisions which Determination of Industry Support for relevant to the scope of the investigation were in the scope the petitioner the Petition provided: be submitted during this time period. However, if a party subsequently finds Section 732(b)(1) of the Act requires . . . may be filled or . . . that additional factual information that a petition be filed on behalf of the Also excluded from the scope of this pertaining to the scope of the domestic industry. Section 732(c)(4)(A) investigation are non-refillable steel of the Act provides that a petition meets cylinders filled at the time of importation investigation may be relevant, the party whose content is subject to another may contact Commerce and request this requirement if the domestic antidumping and/or countervailing duty permission to submit the additional producers or workers who support the order. At the time of filing this petition, there information. All such comments must petition account for: (i) At least 25 are existing antidumping duty orders on also be filed on the record of the percent of the total production of the Hydrofluorocarbon Blends from the People’s concurrent CVD investigation. domestic like product; and (ii) more Republic of China and 1,1,1,2- than 50 percent of the production of the Tetrafluoroethane (R–134A) from the Filing Requirements domestic like product produced by that People’s Republic of China. See Hydrofluorocarbon Blends from the People’s All submissions to Commerce must be portion of the industry expressing Republic of China: Antidumping Duty Order, filed electronically using Enforcement support for, or opposition to, the 81 FR 55436 (August 19, 2016); 1,1,1,2 and Compliance’s (E&C’s) Antidumping petition. Moreover, section 732(c)(4)(D) Tetrafluoroethane (R–134a) from the People’s Duty and Countervailing Duty Republic of China: Antidumping Duty Order, Centralized Electronic Service System 11 See Antidumping and Countervailing Duty 82 FR 18422 (April 19, 2017). In the case of (ACCESS), unless an exception Proceedings: Electronic Filing Procedures; non-refillable steel cylinders entering the Administrative Protective Order Procedures, 76 FR United States filled with merchandise 39263 (July 6, 2011); see also Enforcement and 7 Commerce is responsible for clarifying, where Compliance; Change of Electronic Filing System covered by the scope of these investigations necessary, the scope of an order. See Diversified or future antidumping and/or countervailing Name, 79 FR 69046 (November 20, 2014) for details Products Corp. v. United States, 572 F. Supp. 883, of Commerce’s electronic filing requirements, duty orders covering the gas or material 887 (CIT 1983). effective August 5, 2011. Information on using content of the non-refillable steel cylinders, 8 See Antidumping Duties; Countervailing Duties, ACCESS can be found at https://access.trade.gov/ 62 FR 27296, 27323 (May 19, 1997) (Preamble). help.aspx and a handbook can be found at https:// 6 See Supplemental General Issues Questionnaire 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual access.trade.gov/help/Handbook_on_Electronic_ and General Issues Supplement; see also Scope information’’). Filing_Procedures.pdf. Phone Call Memo. 10 See 19 CFR 351.303(b). 12 See 19 CFR 351.303(b).

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of the Act provides that, if the petition support in terms of that domestic like the Petition.23 Accordingly, Commerce does not establish support of domestic product.16 determines that the Petition was filed on producers or workers accounting for In determining whether the petitioner behalf of the domestic industry within more than 50 percent of the total has standing under section 732(c)(4)(A) the meaning of section 732(b)(1) of the production of the domestic like product, of the Act, we considered the industry Act.24 Commerce shall: (i) Poll the industry or support data contained in the Petition with reference to the domestic like Allegations and Evidence of Material rely on other information in order to Injury and Causation determine if there is support for the product as defined in the ‘‘Scope of the petition, as required by subparagraph Investigation,’’ in the appendix to this The petitioner alleges that the U.S. industry producing the domestic like (A); or (ii) determine industry support notice. To establish industry support, product is being materially injured, or is using a statistically valid sampling the petitioner provided its own threatened with material injury, by method to poll the ‘‘industry.’’ production of the domestic like product in 2019.17 The petitioner states that reason of the imports of the subject Section 771(4)(A) of the Act defines there are no other known producers of merchandise sold at LTFV. In addition, the ‘‘industry’’ as the producers as a non-refillable cylinders in the United the petitioner alleges that subject whole of a domestic like product. Thus, States; therefore, the Petition is imports exceed the negligibility to determine whether a petition has the supported by 100 percent of the U.S. threshold provided for under section requisite industry support, the statute industry.18 We relied on data provided 771(24)(A) of the Act.25 directs Commerce to look to producers by the petitioner for purposes of The petitioner contends that the and workers who produce the domestic measuring industry support.19 industry’s injured condition is like product. The International Trade Our review of the data provided in the illustrated by a significant and Commission (ITC), which is responsible Petition, the General Issues Supplement, increasing volume of subject imports; for determining whether ‘‘the domestic and other information readily available reduced market share; underselling and industry’’ has been injured, must also to Commerce indicates that the price depression or suppression; lost determine what constitutes a domestic petitioner has established industry sales and revenues; decreased U.S. like product in order to define the support for the Petition.20 First, the production and capacity utilization industry. While both Commerce and the Petition established support from rates; and a decline in the domestic ITC must apply the same statutory domestic producers (or workers) industry’s financial performance and 26 definition regarding the domestic like accounting for more than 50 percent of profitability. We have assessed the product,13 they do so for different the total production of the domestic like allegations and supporting evidence regarding material injury, threat of purposes and pursuant to a separate and product and, as such, Commerce is not material injury, causation, as well as distinct authority. In addition, required to take further action in order negligibility, and we have determined Commerce’s determination is subject to to evaluate industry support (e.g., 21 that these allegations are properly limitations of time and information. polling). Second, the domestic producers (or workers) have met the supported by adequate evidence, and Although this may result in different statutory criteria for industry support meet the statutory requirements for definitions of the like product, such under section 732(c)(4)(A)(i) of the Act initiation.27 differences do not render the decision of because the domestic producers (or either agency contrary to law.14 Allegations of Sales at Less Than Fair workers) who support the Petition Value Section 771(10) of the Act defines the account for at least 25 percent of the domestic like product as ‘‘a product total production of the domestic like The following is a description of the which is like, or in the absence of like, product.22 Finally, the domestic allegation of sales at LTFV upon which most similar in characteristics and uses producers (or workers) have met the Commerce based its decision to initiate with, the article subject to an statutory criteria for industry support an AD investigation of non-refillable investigation under this title.’’ Thus, the under section 732(c)(4)(A)(ii) of the Act cylinders from China. The sources of reference point from which the because the domestic producers (or data for the deductions and adjustments domestic like product analysis begins is workers) who support the Petition relating to U.S. price and normal value ‘‘the article subject to an investigation’’ account for more than 50 percent of the (NV) are discussed in greater detail in (i.e., the class or kind of merchandise to production of the domestic like product the AD Initiation Checklist. be investigated, which normally will be produced by that portion of the industry Export Price expressing support for, or opposition to, the scope as defined in the petition). The petitioner based export price (EP) With regard to the domestic like on sales offers to customers in the 16 For a discussion of the domestic like product product, the petitioner does not offer a analysis as applied to this case and information United States for the sale of non- definition of the domestic like product regarding industry support, see Antidumping Duty refillable cylinders produced in and distinct from the scope of the Investigation Initiation Checklist: Certain Non- exported from China.28 In order to 15 Refillable Steel Cylinders from the People’s investigation. Based on our analysis of Republic of China (AD Initiation Checklist) at the information submitted on the 23 Id. Attachment II, Analysis of Industry Support for the 24 record, we have determined that non- Antidumping and Countervailing Duty Petitions Id. 25 See Volume I of the Petition, at 16–17. refillable cylinders, as defined in the Covering Certain Non-Refillable Steel Cylinders from the People’s Republic of China (Attachment 26 See Volume I of the Petition, at 17–26 and scope, constitute a single domestic like II), dated concurrently with this notice and on file Exhibits GEN–8 and GEN–10 through GEN–13; see product, and we have analyzed industry electronically via ACCESS. also GEN–SUPP–3 and GEN–SUPP–5. 27 17 See Volume I of the Petition at 2–3 and Exhibit See AD Initiation Checklist, at Attachment III, GEN–2. Analysis of Allegations and Evidence of Material 13 See section 771(10) of the Act. Injury and Causation for the Antidumping and 18 Id. 14 See USEC, Inc. v. United States, 132 F. Supp. Countervailing Duty Petitions Covering Non- 19 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. Id. Refillable Steel Cylinders from the People’s v. United States, 688 F. Supp. 639, 644 (CIT 1988), 20 See AD Initiation Checklist at Attachment II. Republic of China (Attachment III). aff’d 865 F. 2d 240 (Fed. Cir. 1989)). 21 See section 732(c)(4)(D) of the Act; see also AD 28 See Volume II of the Petition at 3 and Exhibit 15 See Volume I of the Petition at 12–15; see also Initiation Checklist at Attachment II. AD–1; see also AD Supplement at Exhibit AD– General Issues Supplement at 8. 22 See AD Initiation Checklist at Attachment II. SUPP–8.

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calculate ex-factory U.S. prices, where and, pursuant to 19 CFR producers and exporters. In addition, appropriate, the petitioner made 351.301(c)(3)(i), will be provided an Commerce will post the Q&V deductions from U.S. prices for foreign opportunity to submit publicly available questionnaire along with filing inland freight, foreign brokerage and information to value FOPs, within 30 instructions on E&C’s website at http:// handling, international freight and days before the scheduled date of the www.trade.gov/enforcement/news.asp. insurance, U.S. entry fees, U.S. preliminary determination. In accordance with our standard brokerage and handling, U.S. inland practice for respondent selection in AD freight, and unrebated value added tax Factors of Production investigations involving NME countries, expenses.29 Because information regarding the in the event we determine that volume of inputs consumed by Chinese respondent selection is warranted, we Normal Value producers/exporters were not intend to base respondent selection on Commerce considers China to be an reasonably available, the petitioner the responses to the Q&V questionnaires NME country.30 In accordance with relied on its own experience to estimate that we receive. section 771(18)(C)(i) of the Act, any the factor usage rates for Chinese Producers/exporters of non-refillable determination that a foreign country is producers.35 The petitioner valued the cylinders from China that do not receive an NME country shall remain in effect estimated FOPs using surrogate values Q&V questionnaires by mail may still until revoked by Commerce. Therefore, from Mexico.36 The petitioner submit a response to the Q&V we continue to treat China as an NME calculated factory overhead, selling, questionnaire and can obtain a copy country for purposes of the initiation of general and administrative expenses, from E&C’s website, as provided above. this investigation. Accordingly, NV in and profit based on the experience of a Responses to the Q&V questionnaire China is appropriately based on FOPs Mexican producer of comparable must be submitted by the relevant valued in a surrogate market economy merchandise (i.e., a producer of auto Chinese producers/exporters no later country, in accordance with section parts, construction equipment, and than 5:00 p.m. ET on May 4, 2020. All 773(c) of the Act.31 home products).37 Q&V responses must be filed The petitioner claims that Mexico is electronically via ACCESS. An an appropriate surrogate country for Fair Value Comparisons electronically filed document must be China, because it is a market economy Based on the data provided in the received successfully, in its entirety, by country that is at a level of economic Petition, there is reason to believe that ACCESS no later than 5:00 p.m. ET on development comparable to that of imports of non-refillable cylinders from the deadline noted above. Commerce China and it is a significant producer of China are being, or are likely to be, sold intends to finalize its decisions comparable merchandise.32 The in the United States at LTFV. Based on regarding respondent selection within petitioner valued direct material inputs, comparisons of EP to NV, in accordance 20 days of publication of this notice. packing materials, natural gas, and with sections 772 and 773 of the Act, Separate Rates argon by using data from the Global the estimated dumping margin for non- Trade Atlas; data from the National refillable cylinders from China is 53.76 In order to obtain separate-rate status Water Commission of Mexico to value percent.38 in an NME investigation, producers/ water usage; the electricity rate for exporters must submit a separate-rate businesses in Mexico, as reported by the Initiation of LTFV Investigation application.40 The specific requirements World Bank’s Doing Business 2020: Based upon our examination of the for submitting a separate-rate Mexico; and data from the National Petition on non-refillable cylinders from application in a China investigation are Institute of Statistics, Geography, and China and supplemental responses, we outlined in detail in the application Informatics Labor Organization, an find that the Petition meets the itself, which is available on E&C’s agency of the Mexican government, to requirements of section 732 of the Act. website at http://enforcement.trade.gov/ value labor.33 Based on the information Therefore, we are initiating an AD nme/nme-sep-rate.html. The separate- provided by the petitioner, we investigation to determine whether rate application will be due 30 days determine that it is appropriate to use imports of non-refillable cylinders from after publication of this initiation 41 Mexico as a surrogate country for China are being, or are likely to be, sold notice. Producers/exporters who purposes of initiation.34 in the United States at LTFV. In submit a separate-rate application and Interested parties will have the accordance with section 733(b)(1)(A) of have been selected as mandatory opportunity to submit comments the Act and 19 CFR 351.205(b)(1), respondents will be eligible for regarding surrogate country selection unless postponed, we will make our consideration for separate-rate status preliminary determination no later than only if they respond to all parts of 29 See Volume II of the Petition at 3–4 and Exhibit 140 days after the date of this initiation. Commerce’s AD questionnaire as AD–1; see also AD Supplement at Exhibit AD- mandatory respondents. Commerce SUPP–8. Respondent Selection requires that companies from China 30 See Antidumping Duty Investigation of Certain submit a response to both the Q&V Aluminum Foil from the People’s Republic of The petitioner named 15 companies China: Affirmative Preliminary Determination of in China as producers/exporters of non- questionnaire and the separate-rate Sales at Less-Than-Fair Value and Postponement of refillable cylinders.39 Commerce will application by the respective deadlines Final Determination, 82 FR 50858, 50861 issue quantity and value (Q&V) in order to receive consideration for (November 2, 2017), and accompanying Preliminary questionnaires to all 15 identified Decision Memorandum at ‘‘China’s Status as a Non- 40 See Policy Bulletin 05.1: Separate-Rates Market Economy,’’ unchanged in Certain Practice and Application of Combination Rates in 35 Aluminum Foil from the People’s Republic of See Volume II of the Petition at 6. Antidumping Investigation involving Non-Market China: Final Determination of Sales at Less Than 36 Id. at 6–7 and Exhibit AD–3. Economy Countries (April 5, 2005), available at Fair Value, 83 FR 9282 (March 5, 2018). 37 See Volume II of the Petition at 7 Exhibit AD– http://enforcement.trade.gov/policy/bull05-1.pdf 31 See AD Initiation Checklist. 3 Attachment 9; see also AD Supplement at 5–7 and (Policy Bulletin 05.1). 32 See Volume II of the Petition at 4–7 and Exhibit Exhibits AD–SUPP–5 to AD–SUPP–8. 41 Although in past investigations this deadline AD–3. 38 See AD supplement at Exhibit AD–SUPP–8; see was 60 days, consistent with 19 CFR 351.301(a), 33 Id.; see also AD Supplement at Exhibit AD– also AD Initiation Checklist. which states that ‘‘the Secretary may request any SUPP–8. 39 See Volume I of the Petition at Exhibit GEN– person to submit factual information at any time 34 See AD Initiation Checklist. 7. during a proceeding,’’ this deadline is now 30 days.

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separate-rate status. Companies not Submission of Factual Information 22853.htm, prior to submitting filing a timely Q&V questionnaire Factual information is defined in 19 extension requests or factual response will not receive separate rate CFR 351.102(b)(21) as: (i) Evidence information in this investigation. consideration. submitted in response to questionnaires; Certification Requirements (ii) evidence submitted in support of Use of Combination Rates Any party submitting factual allegations; (iii) publicly available information in an AD or CVD Commerce will calculate combination information to value factors under 19 proceeding must certify to the accuracy rates for certain respondents that are CFR 351.408(c) or to measure the and completeness of that information.48 eligible for a separate rate in an NME adequacy of remuneration under 19 CFR investigation. The Separate Rates and 351.511(a)(2); (iv) evidence placed on Parties must use the certification Combination Rates Bulletin states: the record by Commerce; and (v) formats provided in 19 CFR 351.303(g).49 Commerce intends to {w}hile continuing the practice of assigning evidence other than factual information reject factual submissions if the separate rates only to exporters, all separate described in (i)–(iv). Any party, when rates that Commerce will now assign in its submitting factual information, must submitting party does not comply with NME Investigation will be specific to those specify under which subsection of 19 the applicable certification producers that supplied the exporter during CFR 351.102(b)(21) the information is requirements. the period of investigation. Note, however, being submitted 45 and, if the Notification to Interested Parties that one rate is calculated for the exporter information is submitted to rebut, and all of the producers which supplied Interested parties must submit subject merchandise to it during the period clarify, or correct factual information applications for disclosure under already on the record, to provide an of investigation. This practice applies both to administrative protective order (APO) in explanation identifying the information mandatory respondents receiving an accordance with 19 CFR 351.305. already on the record that the factual individually calculated separate rate as well Instructions for filing such applications as the pool of non-investigated firms information seeks to rebut, clarify, or may be found on E&C’s website at receiving the weighted-average of the correct.46 Time limits for the individually calculated rates. This practice is http://enforcement.trade.gov/apo. submission of factual information are On January 22, 2008, Commerce referred to as the application of ‘‘combination addressed in 19 CFR 351.301, which rates’’ because such rates apply to specific published Antidumping and provides specific time limits based on Countervailing Duty Proceedings: combinations of exporters and one or more the type of factual information being producers. The cash-deposit rate assigned to Documents Submission Procedures; submitted. Please review the regulations an exporter will apply only to merchandise APO Procedures, 73 FR 3634 (January prior to submitting factual information both exported by the firm in question and 22, 2008). Parties wishing to participate in this investigation. produced by a firm that supplied the exporter in this investigation should ensure that 42 during the period of investigation. Extensions of Time Limits they meet the requirements of these Distribution of Copies of the Petition Parties may request an extension of procedures (e.g., the filing of letters of appearance as discussed in 19 CFR In accordance with section time limits before the expiration of a time limit established under 19 CFR 351.103(d)). Note that Commerce has 732(b)(3)(A) of the Act and 19 CFR temporarily modified certain of its 351.202(f), a copy of the public version 351.301, or as otherwise specified by Commerce. In general, an extension requirements for serving documents of the Petition has been provided to the containing business proprietary Government of China via ACCESS. request will be considered untimely if it is filed after the expiration of the time information, until May 19, 2020, unless Furthermore, to the extent practicable, 50 limit established under 19 CFR extended. Commerce will attempt to provide a 351.301.47 For submissions that are due This notice is issued and published copy of the public version of the from multiple parties simultaneously, pursuant to sections 732(c)(2) and 777(i) Petition to each exporter named in the an extension request will be considered of the Act, and 19 CFR 351.203(c). Petition, as provided under 19 CFR untimely if it is filed after 10:00 a.m. ET Dated: April 16, 2020. 351.203(c)(2). on the due date. Under certain Jeffrey I. Kessler, ITC Notification circumstances, Commerce may elect to Assistant Secretary for Enforcement and specify a different time limit by which Compliance. Commerce will notify the ITC of its extension requests will be considered initiation, as required by section 732(d) untimely for submissions which are due Appendix of the Act. from multiple parties simultaneously. In Scope of the Investigation Preliminary Determinations by the ITC such a case, Commerce will inform The merchandise covered by this parties in a letter or memorandum of the investigation is certain seamed (welded or The ITC will preliminarily determine, deadline (including a specified time) by brazed), non-refillable steel cylinders within 45 days after the date on which which extension requests must be filed meeting the requirements of, or produced to the Petition was filed, whether there is to be considered timely. An extension meet the requirements of, U.S. Department of a reasonable indication that imports of request must be made in a separate, Transportation (USDOT) Specification 39, non-refillable cylinders from China are standalone submission; under limited TransportCanada Specification 39M, or United Nations pressure receptacle standard materially injuring, or threatening circumstances Commerce will grant material injury to, a U.S. industry.43 A untimely filed requests for the extension negative ITC determination will result 48 See section 782(b) of the Act. of time limits. Parties should review 49 44 See Certification of Factual Information to in the investigation being terminated. Extension of Time Limits; Final Rule, 78 Import Administration During Antidumping and Otherwise, this investigation will FR 57790 (September 20, 2013), Countervailing Duty Proceedings, 78 FR 42678 (July proceed according to statutory and available at http://www.gpo.gov/fdsys/ 17, 2013) (Final Rule). Answers to frequently asked regulatory time limits. questions regarding the Final Rule are available at pkg/FR-2013-09-20/html/2013- http://enforcement.trade.gov/tlei/notices/factual_ info_final_rule_FAQ_07172013.pdf. 42 See Policy Bulletin 05.1 at 6 (emphasis added). 45 See 19 CFR 351.301(b). 50 See Temporary Rule Modifying AD/CVD 43 See section 733(a) of the Act. 46 See 19 CFR 351.301(b)(2). Service Requirements Due to COVID–19, 85 FR 44 Id. 47 See 19 CFR 351.302. 17006 (March 26, 2020).

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ISO 11118 and otherwise meeting the pertaining to certain aspects of the Scope of the Investigation description provided below (non-refillable 2 Petition, to which the petitioner filed The merchandise covered by this steel cylinders). The subject non-refillable responses on April 3, 2020.3 On April 7, steel cylinders are portable and range from investigation is non-refillable cylinders 300-cubic inch (4.9 liter) water capacity to 2020, Commerce held a phone call with from China. For a full description of the 1,526-cubic inch (25 liter) water capacity. the petitioner concerning the scope of scope of this investigation, see the Subject non-refillable steel cylinders may be the investigations.4 appendix to this notice. imported with or without a valve and/or In accordance with section 702(b)(1) pressure release device and unfilled at the Comments on Scope of the Investigation time of importation. of the Tariff Act of 1930, as amended (the Act), the petitioner alleges that the During our review of the Petition, Specifically excluded are seamless non- Commerce issued questions to, and refillable steel cylinders. Government of China (GOC) is received responses from, the petitioner The merchandise subject to this providing countervailable subsidies, pertaining to the proposed scope to investigation is properly classified under within the meaning of sections 701 and ensure that the scope language in the statistical reporting numbers 7311.00.0060 771(5) of the Act, to producers of non- Petition would be an accurate reflection and 7311.00.0090 of the Harmonized Tariff refillable cylinders in China, and that Schedule of the United States (HTSUS). The of the products for which the domestic such imports are materially injuring, or merchandise may also enter under HTSUS industry is seeking relief.7 Specifically, statistical reporting numbers 7310.29.0025 threatening material injury to, the the petitioner’s proposed scope and 7310.29.0050. Although the HTSUS domestic industry producing non- included both unfilled/empty and filled statistical reporting numbers are provided for refillable cylinders in the United States. cylinders. Filled cylinders are properly convenience and customs purposes, the Consistent with section 702(b)(1) of the written description of the merchandise is classified under the Harmonized Tariff Act and 19 CFR 351.202(b), for those Schedule of the United States (HTSUS) dispositive. alleged programs on which we are [FR Doc. 2020–08539 Filed 4–21–20; 8:45 am] subheading for the contents of the initiating a CVD investigation, the cylinder, not the HTSUS subheading for BILLING CODE 3510–DS–P Petition is accompanied by information the cylinder itself. This could create reasonably available to the petitioner challenges related to administrability supporting its allegations. DEPARTMENT OF COMMERCE because: (1) There are many substances Commerce finds that the petitioner these cylinders can contain; (2) the International Trade Administration filed the Petition on behalf of the cylinders could be filled in a third country before being exported to the [C–570–127] domestic industry because the petitioner is an interested party as United States, thereby complicating the Certain Non-Refillable Steel Cylinders defined in section 771(9)(C) of the Act. identification of the country of origin for From the People’s Republic of China: Commerce also finds that the petitioner these cylinders; and (3) it could be Initiation of Countervailing Duty demonstrated sufficient industry difficult, without time-consuming Investigation support with respect to the initiation of physical examination, to determine the requested CVD investigation.5 whether filled cylinders are subject to AGENCY: Enforcement and Compliance, duties. In addition, there are legal issues International Trade Administration, Period of Investigation surrounding the inclusion of imports of Department of Commerce. filled cylinders given that such Because the Petition was filed on DATES: Applicable April 16, 2020. cylinders are non-refillable. For these March 27, 2020, the period of FOR FURTHER INFORMATION CONTACT: reasons, Commerce is removing the investigation (POI) is January 1, 2019 Stephanie Moore, AD/CVD Operations, following substantive provisions which through December 31, 2019.6 Office III, Enforcement and Compliance, were in the scope the petitioner International Trade Administration, provided: 2 See Commerce’s Letters, ‘‘Petitions for the U.S. Department of Commerce, 1401 Imposition of Antidumping and Countervailing . . . may be filled or . . . Constitution Avenue NW, Washington, Duties on Imports of Non-Refillable Steel Cylinders Also excluded from the scope of this DC 20230; telephone: (202) 482–3692. from the People’s Republic of China: Supplemental investigation are non-refillable steel SUPPLEMENTARY INFORMATION: Questions,’’ and, ‘‘Petition for the Imposition of cylinders filled at the time of importation Countervailing Duties on Imports of Certain Non- whose content is subject to another The Petition Refillable Steel Cylinders from the People’s antidumping and/or countervailing duty Republic of China: Supplemental Questions On March 27, 2020, the U.S. order. At the time of filing this petition, there Concerning Volume III,’’ both dated March 31, are existing antidumping duty orders on 2020. Department of Commerce (Commerce) Hydrofluorocarbon Blends from the People’s received a countervailing duty (CVD) 3 See Petitioner’s Letter, ‘‘Certain Non-Refillable Steel Cylinders from the People’s Republic of Republic of China and 1,1,1,2- petition concerning imports of certain China—Petitioner’s Amendment to Volume I Tetrafluoroethane (R–134A) from the non-refillable steel cylinders (non- Relating to General and Injury Information,’’ dated People’s Republic of China. See refillable cylinders) from the People’s April 3, 2020 (General Issues Supplement); see also Hydrofluorocarbon Blends from the People’s Republic of China (China) filed in Petitioner’s Letter, ‘‘Certain Non-Refillable Steel Republic of China: Antidumping Duty Order, Cylinders from the People’s Republic of China— 81 FR 55436 (August 19, 2016); 1,1,1,2 proper form on behalf of Worthington Petitioner’s Amendment to Volume III Relating to 1 Tetrafluoroethane (R–134a) from the People’s Industries (the petitioner). The Petition the People’s Republic of China Countervailing Republic of China: Antidumping Duty Order, was accompanied by an antidumping Duties,’’ dated April 3, 2020. 82 FR 18422 (April 19, 2017). In the case of duty (AD) petition concerning imports 4 See Memorandum, ‘‘Certain Non-Refillable Steel non-refillable steel cylinders entering the of non-refillable cylinders from China. Cylinders from the People’s Republic of China— United States filled with merchandise Petitions for the Imposition of Antidumping and covered by the scope of these investigations On March 31, 2020, Commerce Countervailing Duties: Phone Call Regarding Scope requested supplemental information of the Petitions,’’ dated April 10, 2020 (Scope or future antidumping and/or countervailing Phone Call Memo). duty orders covering the gas or material 1 See Petitioner’s Letter, ‘‘Certain Non-Refillable 5 See Countervailing Duty Investigation Initiation content of the non-refillable steel cylinders, Steel Cylinders from the People’s Republic of Checklist: Certain Non-Refillable Steel Cylinders China—Petition for the Imposition of Antidumping (CVD Initiation Checklist), dated concurrently with 7 See Supplemental General Issues Questionnaire and Countervailing Duties,’’ dated March 27, 2020 this notice and on file electronically via ACCESS. and General Issues Supplement; see also Scope (the Petition). 6 See 19 CFR 351.204(b)(2). Phone Call Memo.

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such other orders control. In the case of non- applies.12 An electronically filed industry. While both Commerce and the refillable steel cylinders entering the United document must be received successfully ITC must apply the same statutory States filled with merchandise not covered in its entirety by the time and date it is definition regarding the domestic like by the scope of any other antidumping and/ due. product,14 they do so for different or countervailing duty order, the scope of purposes and pursuant to a separate and this investigation controls. Consultations distinct authority. In addition, Commerce has not adopted these Pursuant to sections 702(b)(4)(A)(i) Commerce’s determination is subject to provisions for purposes of initiation. We and (ii) of the Act, Commerce notified limitations of time and information. are interested, however, in further the GOC of the receipt of the Petition Although this may result in different comment on this issue from parties to and provided it the opportunity for definitions of the like product, such this proceeding.8 Consequently, consultations with respect to the CVD differences do not render the decision of Commerce is initiating this investigation Petition.13 The GOC did not request either agency contrary to law.15 with respect to unfilled non-refillable consultations. Section 771(10) of the Act defines the cylinders only, subject to further Determination of Industry Support for domestic like product as ‘‘a product clarification, as warranted. the Petition which is like, or in the absence of like, As discussed in the Preamble to most similar in characteristics and uses Section 702(b)(1) of the Act requires Commerce’s regulations, we are setting with, the article subject to an that a petition be filed on behalf of the aside a period for interested parties to investigation under this title.’’ Thus, the domestic industry. Section 702(c)(4)(A) raise issues regarding product coverage reference point from which the 9 of the Act provides that a petition meets (i.e., scope). Commerce will consider domestic like product analysis begins is this requirement if the domestic all comments received from interested ‘‘the article subject to an investigation’’ parties and, if necessary, will consult producers or workers who support the petition account for: (i) At least 25 (i.e., the class or kind of merchandise to with interested parties prior to the be investigated, which normally will be issuance of the preliminary percent of the total production of the domestic like product; and (ii) more the scope as defined in the petition). determination. If scope comments With regard to the domestic like include factual information,10 all such than 50 percent of the production of the domestic like product produced by that product, the petitioner does not offer a factual information should be limited to definition of the domestic like product public information. To facilitate portion of the industry expressing support for, or opposition to, the distinct from the scope of the preparation of its questionnaires, 16 petition. Moreover, section 702(c)(4)(D) investigation. Based on our analysis of Commerce requests that all interested the information submitted on the parties submit scope comments by 5:00 of the Act provides that, if the petition does not establish support of domestic record, we have determined that non- p.m. Eastern Time (ET) on May 6, 2020, refillable cylinders, as defined in the which is 20 calendar days from the producers or workers accounting for more than 50 percent of the total scope, constitute a single domestic like signature date of this notice. Any product, and we have analyzed industry rebuttal comments, which may include production of the domestic like product, Commerce shall: (i) Poll the industry or support in terms of that domestic like factual information, must be filed by 17 rely on other information in order to product. 5:00 p.m. ET on May 18, 2020, which In determining whether the petitioner is 10 calendar days from the initial determine if there is support for the petition, as required by subparagraph has standing under section 702(c)(4)(A) comment deadline.11 of the Act, we considered the industry Commerce requests that any factual (A); or (ii) determine industry support using a statistically valid sampling support data contained in the Petition information the parties consider with reference to the domestic like relevant to the scope of the investigation method to poll the ‘‘industry.’’ Section 771(4)(A) of the Act defines product as defined in the ‘‘Scope of the be submitted during this time period. the ‘‘industry’’ as the producers as a Investigation,’’ in the appendix to this However, if a party subsequently finds whole of a domestic like product. Thus, notice. To establish industry support, that additional factual information to determine whether a petition has the the petitioner provided its own pertaining to the scope of the requisite industry support, the statute production of the domestic like product investigation may be relevant, the party directs Commerce to look to producers in 2019.18 The petitioner states that may contact Commerce and request and workers who produce the domestic there are no other known producers of permission to submit the additional like product. The International Trade non-refillable cylinders in the United information. All such comments must Commission (ITC), which is responsible States; therefore, the Petition is also be filed on the record of the for determining whether ‘‘the domestic supported by 100 percent of the U.S. concurrent AD investigation. industry’’ has been injured, must also industry.19 We relied on data provided Filing Requirements determine what constitutes a domestic 14 All submissions to Commerce must be like product in order to define the See section 771(10) of the Act. 15 See USEC, Inc. v. United States, 132 F. Supp. filed electronically using Enforcement 12 See Antidumping and Countervailing Duty 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. and Compliance’s (E&C’s) Antidumping Proceedings: Electronic Filing Procedures; v. United States, 688 F. Supp. 639, 644 (CIT 1988), Duty and Countervailing Duty Administrative Protective Order Procedures, 76 FR aff’d 865 F. 2d 240 (Fed. Cir. 1989)). Centralized Electronic Service System 39263 (July 6, 2011); see also Enforcement and 16 See Volume I of the Petition at 12–15; see also (ACCESS), unless an exception Compliance; Change of Electronic Filing System General Issues Supplement at 8. Name, 79 FR 69046 (November 20, 2014), for details 17 For a discussion of the domestic like product of Commerce’s electronic filing requirements, analysis as applied to this case and information 8 Commerce is responsible for clarifying, where effective August 5, 2011. Information on using regarding industry support, see CVD Initiation necessary, the scope of an order. See Diversified ACCESS can be found at https://access.trade.gov/ Checklist at Attachment II, Analysis of Industry Products Corp. v. United States, 572 F. Supp. 883, help.aspx and a handbook can be found at https:// Support for the Antidumping and Countervailing 887 (CIT 1983). access.trade.gov/help/Handbook_on_Electronic_ Duty Petitions Covering Certain Non-Refillable 9 See Antidumping Duties; Countervailing Duties, Filing_Procedures.pdf. Steel Cylinders from the People’s Republic of China 62 FR 27296, 27323 (May 19, 1997) (Preamble). 13 See Commerce’s Letter, ‘‘Certain Non-Refillable (Attachment II). 10 See 19 CFR 351.102(b)(21) (defining ‘‘factual Steel Cylinders the People’s Republic of China: 18 See Volume I of the Petition at 2–3 and Exhibit information’’). Invitation for Consultation to Discuss the GEN–2. 11 See 19 CFR 351.303(b). Countervailing Duty Petition,’’ dated April 2, 2020. 19 Id.

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by the petitioner for purposes of threshold provided for under section to select mandatory respondents based measuring industry support.20 771(24)(A) of the Act.26 on quantity and value (Q&V) Our review of the data provided in the The petitioner contends that the questionnaires issued to the potential Petition, the General Issues Supplement, industry’s injured condition is respondents. Commerce normally and other information readily available illustrated by a significant and selects mandatory respondents in CVD to Commerce indicates that the increasing volume of subject imports; investigations using U.S. Customs and petitioner has established industry reduced market share; underselling and Border Protection (CBP) entry data for support for the Petition.21 First, the price depression or suppression; lost U.S. imports under the appropriate Petition established support from sales and revenues; decreased U.S. Harmonized Tariff Schedule of the domestic producers (or workers) production and capacity utilization United States (HTSUS) numbers listed accounting for more than 50 percent of rates; and a decline in the domestic in the scope of the investigation. the total production of the domestic like industry’s financial performance and However, for this investigation, the product and, as such, Commerce is not profitability.27 We have assessed the HTSUS numbers under which the required to take further action in order allegations and supporting evidence subject merchandise would enter (i.e., to evaluate industry support (e.g., regarding material injury, threat of 7311.00.0060 and 7311.00.0090, polling).22 Second, the domestic material injury, causation, as well as 7310.29.0025 and 7310.29.0050) are producers (or workers) have met the cumulation, and we have determined basket categories under which non- statutory criteria for industry support that these allegations are properly subject merchandise may enter. under section 702(c)(4)(A)(i) of the Act supported by adequate evidence, and Therefore, we cannot rely on CBP entry because the domestic producers (or meet the statutory requirements for data in selecting respondents. We workers) who support the Petition initiation.28 intend instead to issue Q&V account for at least 25 percent of the Initiation of CVD Investigation questionnaires to each potential total production of the domestic like respondent for which the petitioner has Based upon our examination of the product.23 Finally, the domestic provided a complete address. Petition on non-refillable cylinders from producers (or workers) have met the Producers/exporters of non-refillable China and supplemental responses, we statutory criteria for industry support cylinders from China that do not receive find that the Petition meets the under section 702(c)(4)(A)(ii) of the Act Q&V questionnaires by mail may still requirements of section 702 of the Act. because the domestic producers (or submit a response to the Q&V Therefore, we are initiating a CVD workers) who support the Petition questionnaire and can obtain the Q&V investigation to determine whether account for more than 50 percent of the questionnaire from E&C’s website at imports of non-refillable cylinders from production of the domestic like product http://trade.gov/enforcement/news.asp. China benefit from countervailable produced by that portion of the industry Responses to the Q&V questionnaire subsidies conferred by the GOC. Based expressing support for, or opposition to, must be submitted by the relevant on our review of the Petition, we find the Petition.24 Accordingly, Commerce Chinese producers/exporters no later that there is sufficient information to determines that the Petition was filed on than 5:00 p.m. ET on May 4, 2020. All initiate a CVD investigation on all the behalf of the domestic industry within Q&V responses must be filed alleged programs. For a full discussion the meaning of section 702(b)(1) of the electronically via ACCESS. An of the basis for our decision to initiate Act.25 electronically filed document must be on each program, see CVD Initiation received successfully, in its entirety, by Injury Test Checklist. A public version of the ACCESS no later than 5:00 p.m. ET on Because China is a ‘‘Subsidies initiation checklist for this investigation the deadline noted above. Commerce Agreement Country’’ within the is available on ACCESS. In accordance intends to finalize its decisions meaning of section 701(b) of the Act, with section 703(b)(1) of the Act and 19 regarding respondent selection within section 701(a)(2) of the Act applies to CFR 351.205(b)(1), unless postponed, 20 days of publication of this notice. this investigation. Accordingly, the ITC we will make our preliminary Distribution of Copies of the Petition must determine whether imports of the determination no later than 65 days subject merchandise from China after the date of this initiation. In accordance with section materially injure, or threaten material Respondent Selection 702(b)(4)(A) of the Act and 19 CFR injury to, a U.S. industry. 351.202(f), a copy of the public version The petitioner named 15 companies of the Petition has been provided to the Allegations and Evidence of Material in China as producers/exporters of non- GOC via ACCESS. Injury and Causation refillable cylinders.29 Commerce Furthermore, to the extent practicable, intends to follow its standard practice in The petitioner alleges that the U.S. Commerce will attempt to provide a CVD investigations and calculate industry producing the domestic like copy of the public version of the company-specific subsidy rates in this product is being materially injured, or is Petition to each exporter named in the investigation. In the event Commerce threatened with material injury, by Petition, as provided under 19 CFR determines that the number of reason of the imports of the subject 351.203(c)(2). companies is large and it cannot merchandise that are benefitting from individually examine each company ITC Notification countervailable subsidies. In addition, based upon Commerce’s resources, the petitioner alleges that subject Commerce will notify the ITC of its where appropriate, Commerce intends imports exceed the negligibility initiation, as required by section 702(d) of the Act. 26 See Volume I of the Petition at 16–17. 20 Id. 27 See Volume I of the Petition at 17–26 and Preliminary Determination by the ITC 21 See CVD Initiation Checklist at Attachment II. Exhibits GEN–8, and GEN–10 through GEN–13; see The ITC will preliminarily determine, 22 See section 702(c)(4)(D) of the Act; see also also General Issues Supplement at Exhibits GEN– CVD Initiation Checklist at Attachment II. SUPP–3 and GEN–SUPP–5. within 45 days after the date on which 23 See CVD Initiation Checklist at Attachment II. 28 See CVD Initiation Checklist at Attachment III. the Petition was filed, whether there is 24 Id. 29 See Volume I of the Petition at Exhibit GEN– a reasonable indication that imports of 25 Id. 7. non-refillable cylinders from China are

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materially injuring, or threatening standalone submission; under limited Dated: April 16, 2020. material injury to, a U.S. industry.30 A circumstances Commerce will grant Jeffrey I. Kessler, negative ITC determination will result untimely filed requests for the extension Assistant Secretary for Enforcement and in the investigation being terminated.31 of time limits. Parties should review Compliance. Otherwise, this investigation will Extension of Time Limits; Final Rule, 78 Appendix proceed according to statutory and FR 57790 (September 20, 2013), regulatory time limits. available at http://www.gpo.gov/fdsys/ Scope of the Investigation Submission of Factual Information pkg/FR-2013-09-20/html/2013- The merchandise covered by this 22853.htm, prior to submitting investigation is certain seamed (welded or Factual information is defined in 19 extension requests or factual brazed), non-refillable steel cylinders CFR 351.102(b)(21) as: (i) Evidence meeting the requirements of, or produced to submitted in response to questionnaires; information in this investigation. meet the requirements of, U.S. Department of (ii) evidence submitted in support of Certification Requirements Transportation (USDOT) Specification 39, allegations; (iii) information to measure TransportCanada Specification 39M, or the adequacy of remuneration under 19 Any party submitting factual United Nations pressure receptacle standard information in an AD or CVD ISO 11118 and otherwise meeting the CFR 351.511(a)(2); (iv) evidence placed description provided below (non-refillable on the record by Commerce; and (v) proceeding must certify to the accuracy steel cylinders). The subject non-refillable evidence other than factual information and completeness of that information.35 steel cylinders are portable and range from described in (i)–(iv). Any party, when Parties must use the certification 300-cubic inch (4.9 liter) water capacity to submitting factual information, must formats provided in 19 CFR 1,526-cubic inch (25 liter) water capacity. specify under which subsection of 19 351.303(g).36 Commerce intends to Subject non-refillable steel cylinders may be CFR 351.102(b)(21) the information is reject factual submissions if the imported with or without a valve and/or pressure release device and unfilled at the being submitted 32 and, if the submitting party does not comply with information is submitted to rebut, time of importation. the applicable certification Specifically excluded are seamless non- clarify, or correct factual information requirements. refillable steel cylinders. already on the record, to provide an The merchandise subject to this explanation identifying the information Notification to Interested Parties investigation is properly classified under already on the record that the factual statistical reporting numbers 7311.00.0060 information seeks to rebut, clarify, or Interested parties must submit and 7311.00.0090 of the Harmonized Tariff correct.33 Time limits for the applications for disclosure under Schedule of the United States (HTSUS). The submission of factual information are administrative protective order (APO) in merchandise may also enter under HTSUS addressed in 19 CFR 351.301, which accordance with 19 CFR 351.305. statistical reporting numbers 7310.29.0025 provides specific time limits based on Instructions for filing such applications and 7310.29.0050. Although the HTSUS statistical reporting numbers are provided for the type of factual information being may be found on E&C’s website at http://enforcement.trade.gov/apo. convenience and customs purposes, the submitted. Please review the regulations written description of the merchandise is prior to submitting factual information On January 22, 2008, Commerce dispositive. in this investigation. published Antidumping and [FR Doc. 2020–08538 Filed 4–21–20; 8:45 am] Extensions of Time Limits Countervailing Duty Proceedings: BILLING CODE 3510–DS–P Documents Submission Procedures; Parties may request an extension of APO Procedures, 73 FR 3634 (January time limits before the expiration of a 22, 2008). Parties wishing to participate time limit established under 19 CFR DEPARTMENT OF DEFENSE 351.301, or as otherwise specified by in this investigation should ensure that Commerce. In general, an extension they meet the requirements of these Defense Acquisition Regulations request will be considered untimely if it procedures (e.g., the filing of letters of System is filed after the expiration of the time appearance as discussed at 19 CFR limit established under 19 CFR 351.103(d)). Note that Commerce has Early Engagement Opportunity: 351.301.34 For submissions that are due temporarily modified certain of its Implementation of the Coronavirus from multiple parties simultaneously, requirements for serving documents Aid, Relief, and Economic Security an extension request will be considered containing business proprietary (CARES) Act untimely if it is filed after 10:00 a.m. ET information, until May 19, 2020, unless AGENCY: Defense Acquisition 37 on the due date. Under certain extended. Regulations System, Department of circumstances, Commerce may elect to This notice is issued and published Defense (DoD). specify a different time limit by which pursuant to sections 702 and 777(i) of ACTION: Notice. extension requests will be considered the Act, and 19 CFR 351.203(c). untimely for submissions which are due SUMMARY: DoD announces an early from multiple parties simultaneously. In engagement opportunity regarding such a case, Commerce will inform implementation of the Coronavirus Aid, parties in a letter or memorandum of the 35 Relief, and Economic Security Act deadline (including a specified time) by See section 782(b) of the Act. 36 within the acquisition regulations. which extension requests must be filed See Certification of Factual Information to Import Administration During Antidumping and DATES: Early inputs should be submitted to be considered timely. An extension Countervailing Duty Proceedings, 78 FR 42678 (July in writing via the Defense Acquisition request must be made in a separate, 17, 2013) (Final Rule); see also frequently asked Regulations System (DARS) website questions regarding the Final Rule, available at shown in the ADDRESSES section. The 30 _ See section 703(a)(1) of the Act. http://enforcement.trade.gov/tlei/notices/factual website will be updated when early 31 Id. info_final_rule_FAQ_07172013.pdf. inputs will no longer be accepted. 32 See 19 CFR 351.301(b). 37 See Temporary Rule Modifying AD/CVD 33 See 19 CFR 351.301(b)(2). Service Requirements Due to COVID–19, 85 FR ADDRESSES: Submit early inputs via the 34 See 19 CFR 351.302. 17006 (March 26, 2020). DARS website at https://

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www.acq.osd.mil/dpap/dars/early_ 827 changed DoD competition DEPARTMENT OF DEFENSE engagement.html. requirements for purchases from Federal Office of the Secretary FOR FURTHER INFORMATION CONTACT: Prison Industries, Inc. (FPI) by requiring DoD to publish an annual list of product Send early inputs via email to Department of Defense Military Family [email protected] and reference ‘‘Early categories for which FPI’s share of the DoD market was greater than five Readiness Council; Notice of Federal Engagement Opportunity: CARES Act’’ Advisory Committee Meeting in the subject line. For further percent, based on the most recent fiscal information contact Ms. Carrie Moore at year data available. Product categories AGENCY: Under Secretary of Defense for (703) 717–3483. on the current list, and the products Personnel and Readiness, Department of within each identified product category, Defense. SUPPLEMENTARY INFORMATION: DoD is must be procured using competitive or providing an opportunity for the public ACTION: Notice of Federal Advisory fair opportunity procedures in Committee meeting. to provide early inputs on accordance with DFARS 208.602–70. implementation of Coronavirus Aid, The Acting Principal Director, SUMMARY: The Department of Defense Relief, and Economic Security (CARES) Defense Pricing and Contracting (DPC), (DoD) is publishing this notice to Act (Pub. L. 116–136) within the issued a memorandum dated March 11, announce that the following Federal acquisition regulations. The public is 2020, that provided the current list of Advisory Committee meeting of the DoD invited to submit early inputs on product categories for which FPI’s share Military Family Readiness Council sections of the CARES Act via the DARS of the DoD market is greater than five (MFRC) will take place. website at https://www.acq.osd.mil/ _ percent based on fiscal year 2019 data DATES: Open to the public Wednesday, dpap/dars/early engagement.html. The from the Federal Procurement Data April 29, 2020, from 10:00 a.m. to 12:00 website will be updated when early System. The product categories to be p.m. inputs will no longer be accepted. competed effective April 10, 2020, are ADDRESSES: The address of this open Please note, this venue does not replace the following: meeting will be online. The phone or circumvent the rulemaking process; • 7110 (Office Furniture) number for the remote access is 800– DARS will engage in formal rulemaking, • 7125 (Cabinets, Lockers, Bins, and 309–1256, and the participant code is in accordance with 41 U.S.C. 1707, Shelving) 305538. This information will also be when it has been determined that • 7210 (Household Furnishings) posted on the DoD MFRC website at: rulemaking is required to implement a • 8405 (Outerwear, Men’s) http://www.militaryonesource.mil/ section of the CARES Act within the • 8415 (Clothing, Special Purpose) those-who-support-mfrc. acquisition regulations. • 8420 (Underwear and Nightwear, Mend’s) FOR FURTHER INFORMATION CONTACT: Jennifer Lee Hawes, William Story, (571) 372–5345 (Voice), Regulatory Control Officer, Defense The DPC memorandum with the (571) 372–0884 (Facsimile), OSD Acquisition Regulations System. current list of product categories for Pentagon OUSD P–R Mailbox Family which FPI has a significant market share [FR Doc. 2020–08056 Filed 4–21–20; 8:45 am] Readiness Council, osd.pentagon.ousd- is posted at: https://www.acq.osd.mil/ BILLING CODE 5001–06–P p-r.mbx.family-readiness-council@ dpap/cpic/cp/specific_policy_ _ mail.mil (Email). Mailing address is areas.html#federal prison. Office of the Deputy Assistant Secretary The statute, as implemented, also DEPARTMENT OF DEFENSE of Defense (Military Community & requires DoD to— Family Policy), Office of Family (1) Include FPI in the solicitation Defense Acquisition Regulations Readiness Policy, 4800 Mark Center process for these items. A timely offer System Drive, Alexandria, VA 22350–2300, from FPI must be considered and award Room 3G15. Website: http:// [Docket No. DARS–2020–0011] procedures must be followed in www.militaryonesource.mil/those-who- accordance with existing policy at Acquisition of Items for Which Federal support-mfrc. The most up-to-date Federal Acquisition Regulation (FAR) Prison Industries Has a Significant changes to the meeting agenda can be 8.602(a)(4)(ii) through (v); Market Share (2) Continue to conduct acquisitions, found on the website. SUPPLEMENTARY INFORMATION: Due to AGENCY: Department of Defense (DoD). in accordance with FAR subpart 8.6, for circumstances beyond the control of the ACTION: Notice. items from product categories for which FPI does not have a significant market Department of Defense and the SUMMARY: DoD is publishing the share. FAR 8.602 requires agencies to Designated Federal Officer, the updated annual list of product conduct market research and make a Department of Defense Military Family categories for which the Federal Prison written comparability determination, at Readiness Council was unable to Industries’ share of the DoD market is the discretion of the contracting officer. provide public notification required by greater than five percent. Competitive (or fair opportunity) 41 CFR 102–3.150(a) concerning the meeting for April 29, 2020. Accordingly, DATES: April 10, 2020. procedures are appropriate if the FPI product is not comparable in terms of the Advisory Committee Management FOR FURTHER INFORMATION CONTACT: price, quality, or time of delivery; and Officer for the Department of Defense, Sonji A. Epps, telephone 703–695–9774. (3) Modify the published list if DoD pursuant to 41 CFR 102–3.150(b), SUPPLEMENTARY INFORMATION: subsequently determines that new data waives the 15-calendar day notification On November 19, 2009, a final rule requires adding or omitting a product requirement. was published in the Federal Register at category from the list. This meeting is being held under the 74 FR 59914, which amended the provisions of the Federal Advisory Defense Federal Acquisition Regulation Jennifer Lee Hawes, Committee Act (FACA) of 1972 (5 Supplement (DFARS) subpart 208.6 to Regulatory Control Officer, Defense U.S.C., Appendix, as amended), the implement Section 827 of the National Acquisition Regulations System. Government in the Sunshine Act of Defense Authorization Act for Fiscal [FR Doc. 2020–08061 Filed 4–21–20; 8:45 am] 1976 (5 U.S.C. 552b, as amended), and Year 2008 (Pub. L. 110–181). Section BILLING CODE 6820–EP–P 41 CFR 102–3.140 and 102–3.150.

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Purpose of the Meeting: This is the FOR FURTHER INFORMATION CONTACT: Jim of planned meeting of the Panel. All first meeting of the Council for Fiscal Freeman, Advisory Committee written statements shall be submitted to Year 2020 (FY2020). During this Management Officer for the Department the DFO for the Panel, and this meeting the Director, Defense Health of Defense, 703–692–5952. individual will ensure that the written Agency, will present information to the SUPPLEMENTARY INFORMATION: The statements are provided to the Council including changes in dependent Panel’s charter is being renewed in membership for their consideration. health care systems and implications for accordance with the Federal Advisory Dated: April 17, 2020. military family readiness. Committee Act (FACA) (5 U.S.C., Aaron T. Siegel, Agenda: Opening Remarks; Appendix) and 41 CFR 102–3.50(a). The Alternate OSD Federal Register Liaison Administrative Items; Review of Written charter and contact information for the Officer, Department of Defense. Submissions; Ethics Briefing; Focus Panel’s Designated Federal Officer [FR Doc. 2020–08555 Filed 4–21–20; 8:45 am] Area Presentation: The Transformation (DFO) are found at https:// BILLING CODE 5001–06–P of the Military Health System: www.facadatabase.gov/FACA/apex/ Readiness, Reform, and the Priorities of FACAPublicAgencyNavigation. The the Defense Health Agency; Questions Panel shall provide the Secretary of DEPARTMENT OF DEFENSE and Answers; Council Discussion; Defense and the Deputy Secretary of Closing Remarks. Note: Exact order may Defense, through the Secretary of the Office of the Secretary vary. Navy, with independent advice and Meeting Accessibility: Members of the recommendations on matters relating to Defense Advisory Committee on public who are interested in hearing the national oceanographic data Investigation, Prosecution, and MFRC meeting may call in using the requirements. The Panel shall: (a) Defense of Sexual Assault in the remote access number 800–309–1256 Provide advice on policies and Armed Forces; Notice of Federal and participant code 305538. procedures to implement the National Advisory Committee Meeting Written Statements: Persons Oceanographic Partnership Program; (b) AGENCY: General Counsel of the interested in providing a written provide advice on selection of Department of Defense, Department of statement for review and consideration partnership projects and allocation of Defense (DoD). funds for partnership projects for by Council members attending the April ACTION: Notice of Federal Advisory implementation under the program; (c) 29 meeting must do so no later than Committee meeting. close of business Wednesday, April 22, provide advice on matters relating to 2020, through the Council mailbox national oceanographic data SUMMARY: The DoD is publishing this (osd.pentagon.ousd-p-r.mbx.family- requirements and fulfill any additional notice to announce that the following [email protected]). Written responsibilities that the Committee Federal Advisory Committee meeting of statements received after this date will considers appropriate. the Defense Advisory Committee on be provided to Council members in The Panel shall be composed of no Investigation, Prosecution, and Defense preparation for the next MFRC meeting. more than 18 members appointed in of Sexual Assault in the Armed Forces The Designated Federal Officer (DFO) accordance with DoD policies and will take place. will review all submitted written procedures, who are eminent authorities DATES: Open to the public, Friday, May statements and provide copies to all in the fields of science, engineering, 15, 2020 from 11:00 a.m. to 3:00 p.m. MFRC members. Written statements medicine, leadership, or academia. EST. should not include personally Panel members who are not full-time identifiable information such as names or permanent part-time Federal civilian ADDRESSES: This public meeting will be of adults and children, phone numbers, officers, employees, or active duty held via teleconference. To access the addresses, social security numbers, and members of the Armed Forces will be teleconference dial: 410–874–6300, other contact information within the appointed as experts or consultants, Conference Pin: 450506218. body of the written statement. pursuant to 5 U.S.C. 3109, to serve as FOR FURTHER INFORMATION CONTACT: special government employee members. Dwight Sullivan, 703–695–1055 (Voice), Dated: April 17, 2020. Panel members who are full-time or [email protected] (Email). Aaron T. Siegel, permanent part-time Federal civilian Mailing address is DACIPAD, One Alternate OSD Federal Register Liaison officers, employees, or active duty Liberty Center, 875 N Randolph Street, Officer, Department of Defense. members of the Armed Forces will be Suite 150, Arlington, Virginia 22203. [FR Doc. 2020–08550 Filed 4–21–20; 8:45 am] appointed pursuant to 41 CFR 102– Website: http://dacipad.whs.mil/. The BILLING CODE 5001–06–P 3.130(a), to serve as regular government most up-to-date changes to the meeting employee members. agenda can be found on the website. All members of the Panel are SUPPLEMENTARY INFORMATION: This DEPARTMENT OF DEFENSE appointed to provide advice on the basis meeting is being held under the Office of the Secretary of their best judgment without provisions of the Federal Advisory representing any particular point of Committee Act (FACA) of 1972 (5 Charter Renewal of Department of view and in a manner that is free from U.S.C., Appendix, as amended), the Defense Federal Advisory Committees conflict of interest. Except for Government in the Sunshine Act of reimbursement of official Panel-related 1976 (5 U.S.C. 552b, as amended), and AGENCY: Department of Defense (DoD). travel and per diem, members serve 41 CFR 102–3.140 and 102–3.150. ACTION: Renewal of Federal Advisory without compensation. Purpose of the Meeting: In section 546 Committee. The public or interested organizations of the National Defense Authorization may submit written statements to the Act for Fiscal Year 2015 (Pub. L. 113– SUMMARY: The DoD is publishing this Panel membership about the Panel’s 291), as modified by section 537 of the notice to announce that it is renewing mission and functions. Written National Defense Authorization Act for the charter for the Ocean Research statements may be submitted at any Fiscal Year 2016 (Pub. L. 114–92), Advisory Panel (‘‘the Panel’’). time or in response to the stated agenda Congress tasked the DAC–IPAD to

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advise the Secretary of Defense on the to the public. This public meeting will ACTION: Notice of revised per diem rates investigation, prosecution, and defense be held via teleconference. To access the in non-foreign Areas outside the of allegations of rape, forcible sodomy, teleconference dial: 410–874–6300, Continental U.S. sexual assault, and other sexual Conference Pin: 450506218. Please misconduct involving members of the consult the website for any changes to SUMMARY: Defense Human Resources Armed Forces. This will be the the public meeting date or time. Activity publishes this Civilian seventeenth public meeting held by the Written Statements: Pursuant to 41 Personnel Per Diem Bulletin Number DAC–IPAD. At this meeting the CFR 102–3.140 and section 10(a)(3) of 312. Bulletin Number 312 lists current Committee will deliberate and vote on the Federal Advisory Committee Act of per diem rates prescribed for the draft DAC–IPAD Report on the 1972, the public or interested reimbursement of subsistence expenses Feasibility and Advisability of organizations may submit written while on official Government travel to Establishing a Process Under Which a comments to the Committee about its Alaska, Hawaii, the Commonwealth of Guardian Ad Litem May Be Appointed mission and topics pertaining to this Puerto Rico, and the possessions of the to Represent the Interest of a Victim of public session. Written comments must United States. The Fiscal Year (FY) 2020 an Alleged Sex-Related Offense Who be received by the DAC–IPAD at least per diem rate review for the U.S. Virgin Has Not Attained the Age of 18 Years. five (5) business days prior to the Islands resulted in lodging and meal Next, the Committee will deliberate and meeting date so that they may be made rate changes in certain locations. vote on the DAC–IPAD response to the available to the Committee members for DATES: The updated rates take effect Department of Defense Report on their consideration prior to the meeting. May 1, 2020. Preservation of Restricted Report Option Written comments should be submitted via email to the DAC–IPAD at FOR FURTHER INFORMATION CONTACT: Ms. for Adult Sexual Assault Victims. Shelly Greendyk, 571–372–1249. Finally, the Committee will receive whs.pentagon.em.mbx.dacipad@ updates from the DAC–IPAD Case mail.mil in the following formats: SUPPLEMENTARY INFORMATION: This Review, Policy and Data Working Adobe Acrobat or Microsoft Word. document notifies the public of Groups. Please note that since the DAC–IPAD revisions in per diem rates prescribed Agenda: 11:00 a.m.–11:10 a.m. Public operates under the provisions of the by the Per Diem, Travel and Meeting Begins—Welcome and Federal Advisory Committee Act, as Transportation Allowance Committee Introduction; 11:10 a.m.–12:30 p.m. amended, all written comments will be for travel to non-foreign areas outside DAC–IPAD Staff Presentation to treated as public documents and will be the continental United States. The FY Committee, Committee Deliberations, made available for public inspection. 2020 per diem rate review for the U.S. and Committee Vote on the draft DAC– Oral statements from the public will be Virgin Islands resulted in meal and IPAD Report on the Feasibility and permitted, though the number and incidental rate changes. Lodging rates Advisability of Establishing a Process length of such oral statements may be remained the same. Bulletin Number Under Which a Guardian Ad Litem may limited based on the time available and 312 is published in the Federal Register be Appointed to Represent the Interest the number of such requests. Oral to ensure that Government travelers of a Victim of an Alleged Sex-Related presentations by members of the public outside the Department of Defense are Offense Who Has Not attained the Age will be permitted from 2:45 p.m. to 3:00 notified of revisions to the current of 18 Years; 12:30 p.m.–1:00 p.m. Lunch p.m. on May 15, 2020. reimbursement rates. Break; 1:00 p.m.–2:00 p.m. Committee Dated: April 17, 2020. If you believe the lodging, meal or Deliberation and Vote on the DAC–IPAD Aaron T. Siegel, incidental allowance rate for a locality listed in the following table is Response to the Department of Defense Alternate OSD Federal Register Liaison Report on Preservation of Restricted Officer, Department of Defense. insufficient, you may request a rate review for that location. For more Report Option for Adult Sexual Assault [FR Doc. 2020–08551 Filed 4–21–20; 8:45 am] information about how to request a Victims; 2:00 p.m.–2:15 p.m. Case BILLING CODE 5001–06–P Review Working Group Update; 2:15 review, please see the Defense Travel p.m.–2:30 p.m. Policy Working Group Management Office’s Per Diem Rate Update; 2:30 p.m.–2:45 p.m. Data DEPARTMENT OF DEFENSE Review Frequently Asked Questions Working Group Update; 2:45 p.m.–3:00 (FAQ) page at https:// p.m. Meeting Wrap-Up and Public Office of the Secretary www.defensetravel.dod.mil/site/ Comment; 3:00 p.m. Public Meeting faqraterev.cfm. Revised Non-Foreign Overseas Per Adjourn. Dated: April 17, 2020. Diem Rates Meeting Accessibility: Pursuant to 5 Aaron T. Siegel, U.S.C. 552b and 41 CFR 102–3.140 AGENCY: Defense Human Resources Alternate OSD Federal Register Liaison through 102–3.165, this meeting is open Activity, Department of Defense. Officer, Department of Defense.

Season Season Total Effective State or territory Locality start end Lodging M&IE per diem date

ALASKA ...... [OTHER] ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... ADAK ...... 01/01 12/31 161 117 278 06/01/2019 ALASKA ...... ANCHORAGE [INCL NAV RES] ...... 05/01 08/31 229 125 354 06/01/2019 ALASKA ...... ANCHORAGE [INCL NAV RES] ...... 09/01 04/30 199 125 324 06/01/2019 ALASKA ...... BARROW ...... 05/15 09/14 320 129 449 06/01/2019 ALASKA ...... BARROW ...... 09/15 05/14 265 129 394 06/01/2019 ALASKA ...... BARTER ISLAND LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... BETHEL ...... 01/01 12/31 219 101 320 06/01/2019 ALASKA ...... BETTLES ...... 01/01 12/31 161 113 *274 06/01/2019 ALASKA ...... CAPE LISBURNE LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... CAPE NEWENHAM LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... CAPE ROMANZOF LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... CLEAR AB ...... 01/01 12/31 161 113 274 06/01/2019

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Season Season Total Effective State or territory Locality start end Lodging M&IE per diem date

ALASKA ...... COLD BAY ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... COLD BAY LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... COLDFOOT ...... 01/01 12/31 161 93 254 06/01/2019 ALASKA ...... COPPER CENTER ...... 01/01 12/31 161 115 276 06/01/2019 ALASKA ...... CORDOVA ...... 01/01 12/31 140 106 246 06/01/2019 ALASKA ...... CRAIG ...... 05/01 09/30 139 94 233 06/01/2019 ALASKA ...... CRAIG ...... 10/01 04/30 109 94 203 06/01/2019 ALASKA ...... DEADHORSE ...... 01/01 12/31 120 113 *233 06/01/2019 ALASKA ...... DELTA JUNCTION...... 01/01 12/31 161 101 262 06/01/2019 ALASKA ...... DENALI NATIONAL PARK ...... 05/17 09/17 189 98 287 06/01/2019 ALASKA ...... DENALI NATIONAL PARK ...... 09/18 05/16 139 98 237 06/01/2019 ALASKA ...... DILLINGHAM ...... 05/01 09/30 275 113 388 06/01/2019 ALASKA ...... DILLINGHAM ...... 10/01 04/30 230 113 343 06/01/2019 ALASKA ...... DUTCH HARBOR-UNALASKA ...... 01/01 12/31 161 129 290 06/01/2019 ALASKA ...... EARECKSON AIR STATION ...... 01/01 12/31 146 74 220 06/01/2019 ALASKA ...... EIELSON AFB ...... 05/16 09/15 154 100 254 06/01/2019 ALASKA ...... EIELSON AFB ...... 09/16 05/15 75 100 175 06/01/2019 ALASKA ...... ELFIN COVE ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... ELMENDORF AFB...... 05/01 08/31 229 125 354 06/01/2019 ALASKA ...... ELMENDORF AFB...... 09/01 04/30 199 125 324 06/01/2019 ALASKA ...... FAIRBANKS ...... 05/16 09/15 154 100 254 06/01/2019 ALASKA ...... FAIRBANKS ...... 09/16 05/15 75 100 175 06/01/2019 ALASKA ...... FORT YUKON LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... FT. GREELY ...... 01/01 12/31 161 101 262 06/01/2019 ALASKA ...... FT. RICHARDSON ...... 05/01 08/31 229 125 354 06/01/2019 ALASKA ...... FT. RICHARDSON ...... 09/01 04/30 199 125 324 06/01/2019 ALASKA ...... FT. WAINWRIGHT...... 05/16 09/15 154 100 254 06/01/2019 ALASKA ...... FT. WAINWRIGHT ...... 09/16 05/15 75 100 175 06/01/2019 ALASKA ...... GAMBELL ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... GLENNALLEN ...... 01/01 12/31 161 115 276 06/01/2019 ALASKA ...... HAINES ...... 01/01 12/31 107 113 220 06/01/2019 ALASKA ...... HEALY ...... 06/01 08/31 189 98 287 06/01/2019 ALASKA ...... HEALY ...... 09/01 05/31 139 98 237 06/01/2019 ALASKA ...... HOMER ...... 05/01 09/30 189 124 313 06/01/2019 ALASKA ...... HOMER ...... 10/01 04/30 129 124 253 06/01/2019 ALASKA ...... JB ELMENDORF-RICHARDSON ..... 05/01 08/31 229 125 354 06/01/2019 ALASKA ...... JB ELMENDORF-RICHARDSON ..... 09/01 04/30 199 125 324 06/01/2019 ALASKA ...... JUNEAU ...... 04/16 09/15 189 118 307 06/01/2019 ALASKA ...... JUNEAU ...... 09/16 04/15 169 118 287 06/01/2019 ALASKA ...... KAKTOVIK ...... 01/01 12/31 161 129 *290 06/01/2019 ALASKA ...... KAVIK CAMP ...... 01/01 12/31 161 113 *274 06/01/2019 ALASKA ...... KENAI-SOLDOTNA ...... 05/01 09/30 159 113 272 06/01/2019 ALASKA ...... KENAI-SOLDOTNA ...... 10/01 04/30 89 113 202 06/01/2019 ALASKA ...... KENNICOTT ...... 01/01 12/31 161 85 246 06/01/2019 ALASKA ...... KETCHIKAN ...... 04/01 10/01 250 118 368 06/01/2019 ALASKA ...... KETCHIKAN ...... 10/02 03/31 160 118 278 06/01/2019 ALASKA ...... KING SALMON ...... 01/01 12/31 161 89 250 06/01/2019 ALASKA ...... KING SALMON LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... KLAWOCK ...... 05/01 09/30 139 94 233 06/01/2019 ALASKA ...... KLAWOCK ...... 10/01 04/30 109 94 203 06/01/2019 ALASKA ...... KODIAK ...... 05/01 09/30 194 109 303 06/01/2019 ALASKA ...... KODIAK ...... 10/01 04/30 136 109 245 06/01/2019 ALASKA ...... KOTZEBUE ...... 01/01 12/31 161 121 282 06/01/2019 ALASKA ...... KULIS AGS ...... 05/01 08/31 229 125 354 06/01/2019 ALASKA ...... KULIS AGS ...... 09/01 04/30 199 125 324 06/01/2019 ALASKA ...... MCCARTHY ...... 01/01 12/31 161 85 246 06/01/2019 ALASKA ...... MCGRATH ...... 01/01 12/31 161 113 *274 06/01/2019 ALASKA ...... MURPHY DOME ...... 05/16 09/15 154 100 254 06/01/2019 ALASKA ...... MURPHY DOME ...... 09/16 05/15 75 100 175 06/01/2019 ALASKA ...... NOME ...... 01/01 12/31 185 118 303 06/01/2019 ALASKA ...... NOSC ANCHORAGE ...... 05/01 08/31 229 125 354 06/01/2019 ALASKA ...... NOSC ANCHORAGE ...... 09/01 04/30 199 125 324 06/01/2019 ALASKA ...... NUIQSUT ...... 01/01 12/31 161 113 *274 06/01/2019 ALASKA ...... OLIKTOK LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... PALMER ...... 01/01 12/31 155 117 272 06/01/2019 ALASKA ...... PETERSBURG ...... 01/01 12/31 130 108 238 06/01/2019 ALASKA ...... POINT BARROW LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... POINT HOPE ...... 01/01 12/31 161 113 *274 06/01/2019 ALASKA ...... POINT LONELY LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... PORT ALEXANDER ...... 01/01 12/31 161 113 *274 06/01/2019 ALASKA ...... PORT ALSWORTH ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... PRUDHOE BAY ...... 01/01 12/31 120 113 *233 06/01/2019 ALASKA ...... SELDOVIA ...... 05/01 09/30 189 124 313 06/01/2019 ALASKA ...... SELDOVIA ...... 10/01 04/30 129 124 253 06/01/2019 ALASKA ...... SEWARD ...... 04/02 09/30 309 146 455 06/01/2019 ALASKA ...... SEWARD ...... 10/01 04/01 80 146 226 06/01/2019 ALASKA ...... SITKA-MT. EDGECUMBE ...... 04/01 09/30 245 116 361 06/01/2019 ALASKA ...... SITKA-MT. EDGECUMBE ...... 10/01 03/31 200 116 316 06/01/2019 ALASKA ...... SKAGWAY ...... 04/01 10/01 250 118 368 06/01/2019 ALASKA ...... SKAGWAY ...... 10/02 03/31 160 118 278 06/01/2019 ALASKA ...... SLANA ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... SPARREVOHN LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... SPRUCE CAPE ...... 05/01 09/30 194 109 303 06/01/2019

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Season Season Total Effective State or territory Locality start end Lodging M&IE per diem date

ALASKA ...... SPRUCE CAPE ...... 10/01 04/30 136 109 245 06/01/2019 ALASKA ...... ST. GEORGE...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... TALKEETNA ...... 01/01 12/31 161 120 281 06/01/2019 ALASKA ...... TANANA ...... 01/01 12/31 185 118 303 06/01/2019 ALASKA ...... TATALINA LRRS...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... TIN CITY LRRS ...... 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... TOK ...... 04/01 09/30 105 113 218 06/01/2019 ALASKA ...... TOK ...... 10/01 03/31 99 113 212 06/01/2019 ALASKA ...... VALDEZ ...... 05/16 09/15 197 110 307 06/01/2019 ALASKA ...... VALDEZ ...... 09/16 05/15 179 110 289 06/01/2019 ALASKA ...... WAINWRIGHT ...... 01/01 12/31 275 77 352 06/01/2019 ALASKA ...... WAKE ISLAND DIVERT AIRFIELD .. 01/01 12/31 161 113 274 06/01/2019 ALASKA ...... WASILLA ...... 05/01 09/29 162 94 256 06/01/2019 ALASKA ...... WASILLA ...... 09/30 04/30 98 94 192 06/01/2019 ALASKA ...... WRANGELL ...... 04/01 10/01 250 118 368 06/01/2019 ALASKA ...... WRANGELL ...... 10/02 03/31 160 118 278 06/01/2019 ALASKA ...... YAKUTAT ...... 01/01 12/31 150 111 261 06/01/2019 AMERICAN SAMOA ...... AMERICAN SAMOA ...... 01/01 12/31 139 86 225 07/01/2019 AMERICAN SAMOA ...... PAGO PAGO ...... 01/01 12/31 139 86 225 07/01/2019 GUAM ...... GUAM (INCL ALL MIL INSTAL) ...... 01/01 12/31 159 96 255 09/01/2019 GUAM ...... JOINT REGION MARIANAS (AN- 01/01 12/31 159 96 255 09/01/2019 DERSEN). GUAM ...... JOINT REGION MARIANAS 01/01 12/31 159 96 255 09/01/2019 (NAVAL BASE). GUAM ...... TAMUNING ...... 01/01 12/31 159 96 255 09/01/2019 HAWAII ...... [OTHER] ...... 01/01 12/31 218 149 367 07/01/2019 HAWAII ...... CAMP HM SMITH ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... EASTPAC NAVAL COMP TELE 01/01 12/31 177 149 326 07/01/2019 AREA. HAWAII ...... FT. DERUSSEY...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... FT. SHAFTER...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... HICKAM AFB ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... HILO ...... 01/01 12/31 199 120 319 07/01/2019 HAWAII ...... HONOLULU ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... ISLE OF HAWAII: HILO ...... 01/01 12/31 199 120 319 07/01/2019 HAWAII ...... ISLE OF HAWAII: OTHER ...... 01/01 12/31 218 156 374 07/01/2019 HAWAII ...... ISLE OF KAUAI ...... 01/01 12/31 325 141 466 07/01/2019 HAWAII ...... ISLE OF MAUI ...... 01/01 12/31 304 150 454 07/01/2019 HAWAII ...... ISLE OF OAHU ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... JB PEARL HARBOR-HICKAM ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... KAPOLEI ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... KEKAHA PACIFIC MISSILE RANGE 01/01 12/31 325 141 466 07/01/2019 FAC. HAWAII ...... KILAUEA MILITARY CAMP ...... 01/01 12/31 199 120 319 07/01/2019 HAWAII ...... LANAI ...... 01/01 12/31 218 134 352 07/01/2019 HAWAII ...... LIHUE ...... 01/01 12/31 325 141 466 07/01/2019 HAWAII ...... LUALUALEI NAVAL MAGAZINE ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... MCB HAWAII...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... MOLOKAI ...... 01/01 12/31 218 106 324 07/01/2019 HAWAII ...... NOSC PEARL HARBOR ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... PEARL HARBOR ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... PMRF BARKING SANDS ...... 01/01 12/31 325 141 466 07/01/2019 HAWAII ...... SCHOFIELD BARRACKS...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... TRIPLER ARMY MEDICAL CEN- 01/01 12/31 177 149 326 07/01/2019 TER. HAWAII ...... WAHIAWA NCTAMS PAC ...... 01/01 12/31 177 149 326 07/01/2019 HAWAII ...... WHEELER ARMY AIRFIELD ...... 01/01 12/31 177 149 326 07/01/2019 MIDWAY ISLANDS ...... MIDWAY ISLANDS ...... 01/01 12/31 125 81 206 07/01/2019 NORTHERN MARIANA ISLANDS .... [OTHER] ...... 01/01 12/31 69 113 182 09/01/2019 NORTHERN MARIANA ISLANDS .... ROTA ...... 01/01 12/31 130 114 244 09/01/2019 NORTHERN MARIANA ISLANDS .... SAIPAN ...... 01/01 12/31 161 113 274 09/01/2019 NORTHERN MARIANA ISLANDS .... TINIAN ...... 01/01 12/31 69 93 162 09/01/2019 PUERTO RICO...... [OTHER] ...... 01/01 12/31 109 112 221 06/01/2012 PUERTO RICO ...... AGUADILLA ...... 01/01 12/31 171 84 255 11/01/2015 PUERTO RICO ...... BAYAMON ...... 12/01 05/31 195 88 283 12/01/2015 PUERTO RICO ...... BAYAMON ...... 06/01 11/30 167 88 255 12/01/2015 PUERTO RICO ...... CAROLINA ...... 12/01 05/31 195 88 283 12/01/2015 PUERTO RICO ...... CAROLINA ...... 06/01 11/30 167 88 255 12/01/2015 PUERTO RICO ...... CEIBA ...... 01/01 12/31 139 92 231 10/01/2012 PUERTO RICO ...... CULEBRA ...... 01/01 12/31 150 98 248 03/01/2012 PUERTO RICO ...... FAJARDO [INCL ROOSEVELT RDS 01/01 12/31 139 92 231 10/01/2012 NAVSTAT]. PUERTO RICO...... FT. BUCHANAN [INCL GSA SVC 12/01 05/31 195 88 283 12/01/2015 CTR, GUAYNABO]. PUERTO RICO...... FT. BUCHANAN [INCL GSA SVC 06/01 11/30 167 88 255 12/01/2015 CTR, GUAYNABO]. PUERTO RICO ...... HUMACAO ...... 01/01 12/31 139 92 231 10/01/2012 PUERTO RICO ...... LUIS MUNOZ MARIN IAP AGS ...... 12/01 05/31 195 88 283 12/01/2015 PUERTO RICO ...... LUIS MUNOZ MARIN IAP AGS ...... 06/01 11/30 167 88 255 12/01/2015 PUERTO RICO ...... LUQUILLO ...... 01/01 12/31 139 92 231 10/01/2012 PUERTO RICO ...... MAYAGUEZ ...... 01/01 12/31 109 112 221 09/01/2010 PUERTO RICO ...... PONCE ...... 01/01 12/31 149 89 238 09/01/2012 PUERTO RICO ...... RIO GRANDE ...... 01/01 12/31 169 123 292 06/01/2012

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Season Season Total Effective State or territory Locality start end Lodging M&IE per diem date

PUERTO RICO...... SABANA SECA [INCL ALL MILI- 12/01 05/31 195 88 283 12/01/2015 TARY]. PUERTO RICO...... SABANA SECA [INCL ALL MILI- 06/01 11/30 167 88 255 12/01/2015 TARY]. PUERTO RICO ...... SAN JUAN & NAV RES STA ...... 06/01 11/30 167 88 255 12/01/2015 PUERTO RICO ...... SAN JUAN & NAV RES STA ...... 12/01 05/31 195 88 283 12/01/2015 PUERTO RICO ...... VIEQUES ...... 01/01 12/31 175 95 270 03/01/2012 VIRGIN ISLANDS (U.S.) ...... ST. CROIX ...... 12/15 04/14 299 120 419 05/01/2020 VIRGIN ISLANDS (U.S.) ...... ST. CROIX ...... 04/15 12/14 247 120 367 05/01/2020 VIRGIN ISLANDS (U.S.) ...... ST. JOHN ...... 12/04 04/30 230 123 353 05/01/2020 VIRGIN ISLANDS (U.S.) ...... ST. JOHN ...... 05/01 12/03 170 123 293 05/01/2020 VIRGIN ISLANDS (U.S.) ...... ST. THOMAS ...... 04/15 12/15 249 118 367 05/01/2020 VIRGIN ISLANDS (U.S.) ...... ST. THOMAS ...... 12/16 04/14 339 118 457 05/01/2020 WAKE ISLAND ...... WAKE ISLAND ...... 01/01 12/31 129 70 199 09/01/2019 * Where meals are included in the lodging rate, a traveler is only allowed a meal rate on the first and last day of travel.

[FR Doc. 2020–08536 Filed 4–21–20; 8:45 am] NIA for the FY 2020 Migrant Education documents of this Department BILLING CODE 5001–06–P Program CIG Program competition in published in the Federal Register, in the Federal Register (85 FR 10660).1 text or Portable Document Format Due to the national emergency declared (PDF). To use PDF you must have DEPARTMENT OF EDUCATION under the Robert T. Stafford Disaster Adobe Acrobat Reader, which is Relief and Emergency Assistance Act, available free at the site. Extension of the Application Deadline resulting in school and organization You may also access documents of the Date; Applications for New Awards; closures, the Department recognizes that Department published in the Federal Migrant Education Program additional time is necessary for State Register by using the article search Consortium Incentive Grant Program educational agency applicants to feature at: www.federalregister.gov. coordinate and complete their Specifically, through the advanced AGENCY: Office of Elementary and applications. We are extending the Secondary Education, Department of search feature at this site, you can limit deadline date for transmittal of Education. your search to documents published by applications in order to allow the Department. ACTION: Notice. consortium applicants more time to Frank T. Brogan, SUMMARY: On February 25, 2020, the prepare and submit their applications. Applicants that have already timely Assistant Secretary for Elementary and Department of Education (Department Secondary Education. or we) published in the Federal Register submitted applications under the FY [FR Doc. 2020–08541 Filed 4–21–20; 8:45 am] (85 FR 10660) a notice inviting 2020 Migrant Education Program CIG applications (NIA) for the fiscal year competition may resubmit applications, BILLING CODE 4000–01–P (FY) 2020 Migrant Education Program but are not required to do so. If a new Consortium Incentive Grant (CIG) application is not submitted, the Program competition, Catalog of Federal Department will use the application that DEPARTMENT OF ENERGY Domestic Assistance (CFDA) number was submitted by the original deadline. If a new application is submitted, the Federal Energy Regulatory 84.144F. The NIA established a deadline Department will consider the Commission date of April 27, 2020, for the application that is last submitted and transmittal of applications. This notice [Docket No. EL20–42–000] timely received. extends the deadline date for transmittal of applications until May 27, 2020 at Note: All information in the NIA for this New England Ratepayers Association; 11:59 p.m. and extends the date of competition remains the same, except for the Notice of Petition for Declaratory Order intergovernmental review until July 27, deadline for the transmittal of applications and the deadline for intergovernmental Take notice that on April 14, 2020, 2020. review. pursuant to Rule 207 of the Federal DATES: Energy Regulatory Commission’s Deadline for Transmittal of Program Authority: 20 U.S.C. 6398(d). Accessible Format: Individuals with (Commission) Rules of Practice and Applications: May 27, 2020. disabilities can obtain this document Procedure, 18 CFR 385.207, New Deadline for Intergovernmental England Ratepayers Association Review: July 27, 2020. and a copy of the application package in an accessible format (e.g., braille, large (Petitioner), filed a petition for a FOR FURTHER INFORMATION CONTACT: print, audiotape, or compact disc) on declaratory order requesting that the Patricia Meyertholen, U.S. Department request to the program contact person Commission (1) declare that there is of Education, 400 Maryland Avenue listed under FOR FURTHER INFORMATION exclusive federal jurisdiction over SW, Room 3E315, Washington, DC CONTACT. wholesale energy sales from generation 20202–6135. Telephone: (202) 260– Electronic Access to This Document: sources located on the customer side of 1394. Email: Patricia.Meyertholen@ The official version of this document is the retail meter, and (2) order that the ed.gov. the document published in the Federal rates for such sales be priced in If you use a telecommunications Register. You may access the official accordance with the Public Utility device for the deaf (TDD) or a text edition of the Federal Register and the Regulatory Policies Act of 1978 or the telephone (TTY), call the Federal Relay Code of Federal Regulations at Federal Power Act, as more fully Service (FRS), toll free, at 1–800–877– www.govinfo.gov. At this site you can explained in the petition. 8339. view this document, as well as all other Any person desiring to intervene or to SUPPLEMENTARY INFORMATION: On protest this filing must file in February 25, 2020, we published the 1 https://www.federalregister.gov/d/2020-03763. accordance with Rules 211 and 214 of

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the Commission’s Rules of Practice and DEPARTMENT OF ENERGY www.ferc.gov/docs-filing/ Procedure (18 CFR 385.211, 385.214). ecomment.asp. You must include your Protests will be considered by the Federal Energy Regulatory name and contact information at the end Commission in determining the Commission of your comments. For assistance, appropriate action to be taken, but will [Project No. 298–081] please contact FERC Online Support at not serve to make protestants parties to [email protected], (866) the proceeding. Any person wishing to Southern California Edison Company; 208–3676 (toll free), or (202) 502–8659 become a party must file a notice of Notice of Application Accepted for (TTY). In lieu of electronic filing, please intervention or motion to intervene, as Filing, Soliciting Motions To Intervene send a paper copy to: Secretary, Federal appropriate. Such notices, motions, or and Protests, Ready for Environmental Energy Regulatory Commission, 888 protests must be filed on or before the Analysis, and Soliciting Comments, First Street NE, Washington, DC 20426. comment date. Anyone filing a motion Recommendations, Preliminary Terms The first page of any filing should include docket number P–298–081. to intervene or protest must serve a copy and Conditions, and Preliminary of that document on the Petitioner. Fishway Prescriptions The Commission’s Rules of Practice require all intervenors filing documents Take notice that the following The Commission strongly encourages with the Commission to serve a copy of hydroelectric application has been filed electronic filings of comments, protests that document on each person on the with the Commission and is available and interventions in lieu of paper using official service list for the project. the ‘‘eFiling’’ link at http:// for public inspection. a. Type of Application: New Major Further, if an intervenor files comments www.ferc.gov. Persons unable to file or documents with the Commission electronically may mail similar License. b. Project No.: 298–081. relating to the merits of an issue that pleadings to the Federal Energy c. Date Filed: December 23, 2019. may affect the responsibilities of a Regulatory Commission, 888 First Street d. Applicant: Southern California particular resource agency, they must NE, Washington, DC 20426. Hand Edison Company. also serve a copy of the document on delivered submissions in docketed e. Name of Project: Kaweah that resource agency. proceedings should be delivered to Hydroelectric Project. k. This application has been accepted Health and Human Services, 12225 f. Location: The existing project is for filing and is now ready for Wilkins Avenue, Rockville, Maryland located on the Kaweah River and East environmental analysis. 20852. Fork Kaweah River in Tulare County, l. The Kaweah Project has three In addition to publishing the full text California. The project occupies 176.26 developments. acres of public lands administered by of this document in the Federal Kaweah No. 1 Register, the Commission provides all the Bureau of Land Management. The interested persons an opportunity to project incorporates non-project This development consists of: (1) A facilities (diversion structures and water view and/or print the contents of this 20-foot-long and 6-foot-high concrete conveyance facilities) located within document via the internet through the diversion dam on the East Fork Kaweah Sequoia National Park, which are Commission’s Home Page (http:// River, (2) a 30,723-foot-long steel flume, authorized by a National Park Service ferc.gov) using the ‘‘eLibrary’’ link. (3) a forebay tank, (4) a 3,340-foot-long special use permit. penstock, and (4) a powerhouse with an Enter the docket number excluding the g. Filed Pursuant to: Federal Power last three digits in the docket number impulse turbine rated at 2.25 megawatts Act, 16 U.S.C. 791 (a)–825(r). (MW). field to access the document. At this h. Applicant Contact: Wayne P. Allen, time, the Commission has suspended Principle Manager, Hydro Licensing and Kaweah No. 2 access to the Commission’s Public Implementation, Southern California Reference Room, due to the Edison Company, 1515 Walnut Grove This development consists of: (1) A proclamation declaring a National Avenue, Rosemead, CA 91770, (626) 161-foot-long and 7-foot-high masonry Emergency concerning the Novel 302–9741 or email at wayne.allen@ diversion dam on the Kaweah River, (2) a 16,738-foot-long concrete-lined ditch, Coronavirus Disease (COVID–19), issued sce.com. (3) a 3,822-foot-long steel flume, (4) a by the President on March 13, 2020. For i. FERC Contact: Jim Hastreiter, (503) 1,047-foot-long steel pipe, (5) a forebay, assistance, contact FERC at 552–2760 or [email protected]. (6) a 1,012-foot-long buried penstock, [email protected], or call j. Deadline for filing motions to intervene and protests, comments, and (7) a powerhouse with a Francis toll-free, (886) 208–3676 or TYY, (202) turbine rated at 1.8 MW. 502–8659. recommendations, preliminary terms and conditions, and preliminary Kaweah No. 3 Comment Date: 5:00 p.m. Eastern time prescriptions: 60 days from the issuance on May 14, 2020. date of this notice; reply comments are This development consists of: (1) A Dated: April 15, 2020. due 105 days from the issuance date of 2,580-foot-long concrete-lined flume, (2) an embankment forebay, (3) a 3,151- Kimberly D. Bose, this notice. The Commission strongly foot-long penstock, and (4) a Secretary. encourages electronic filing. Please file motions to intervene, protests, powerhouse with two impulse turbines [FR Doc. 2020–08446 Filed 4–21–20; 8:45 am] comments, recommendations, rated at a combined 4.8 MW. BILLING CODE 6717–01–P preliminary terms and conditions, and The project has a primary 4.09-mile- preliminary fishway prescriptions using long transmission line extending from the Commission’s eFiling system at the Kaweah No. 3 powerhouse to a http://www.ferc.gov/docs-filing/ substation, and two tap lines (120-foot- efiling.asp. Commenters can submit long and 0.4-mile-long) connecting brief comments up to 6,000 characters, Kaweah No. 1 and No. 2 powerhouses, without prior registration, using the respectively, to the primary line, and eComment system at http:// appurtenant facilities.

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Non-Project Facilities • Kaweah No. 2 Flowline Access m. The Commission provides all The project makes use of several non- Road—Canal 2 Brushout Grid interested persons an opportunity to project facilities located in Sequoia (portion) (Map G–1c) view and/or print the license application via the internet through the National Park. These facilities comprise Boundary Decreases portions of Kaweah No. 1 and No. 3 Commission’s Home Page (http:// developments: (1) Two diversion The project boundary will be www.ferc.gov) using the ‘‘eLibrary’’ link. structures on the Middle Fork and decreased to remove communication Enter the docket number excluding the Marble Fork Kaweah Rivers, (2) a line and road corridors that are no last three digits in the docket number 21,000-foot-long steel flume that is the longer necessary for operation and field to access the document. At this initial section of flowline which maintenance of the project. time, the Commission has suspended access to Commission’s Public conveys water to the Kaweah No. 3 Kaweah No. 1 Development powerhouse, and (3) four small Reference Room, due to the • Communication line corridor along reservoirs on the East Fork Kaweah proclamation declaring a National Kaweah No. 1 Flowline in the vicinity River. These facilities are operated Emergency concerning the Novel of Kaweah No. 1 Diversion Dam (Map under a special use permit (Permit No. Coronavirus Disease (COVID–19), issued PWR–SEKI–6000–2016–015) issued to G–1h) by the President on March 13, 2020. For • Communication line corridor along SCE by the National Park Service, which assistance, please contact FERC Online Kaweah No. 1 Flowline in the vicinity expires on September 8, 2026. Support at FERCOnlineSupport@ of Kaweah No. 1 Forebay Tank (Map ferc.gov, (866) 208–3676 (toll free), or Project Boundary G–1f) (202) 502–8659 (TTY). A copy is also • SCE is proposing the following Communication line corridor between available for inspection and modifications to the existing project Kaweah No. 1 Powerhouse and reproduction at the address in item (h) boundary to include all lands necessary Kaweah No. 2 Flowline (Map G–1b) above. Register online at http:// for operation and maintenance of the Kaweah No. 2 Development www.ferc.gov/docs-filing/ project, remove lands no longer • necessary for operation and Communication line corridor along esubscription.asp to be notified via maintenance of the project, and correct the Kaweah No. 2 Flowline in the email of new filings and issuances known errors in the current Exhibit G vicinity of Flume 9/Flume 10 (Map related to this or other pending projects. for the project. G–1b) For assistance, contact FERC Online • Communication line corridor along Support. Boundary Increases the Kaweah No. 2 Flowline in the n. Anyone may submit comments, a The project boundary will be vicinity of Canal 9 (Map G–1b) protest, or a motion to intervene in increased to include the following • Communication line corridor along accordance with the requirements of existing project facilities that are the Kaweah No. 2 Flowline in the Rules of Practice and Procedure, 18 CFR currently outside the boundary. vicinity of Canal 6 (Map G–1c) 385.210, .211, and .214. In determining • Communication line corridor along the appropriate action to take, the Kaweah No. 1 Development the Kaweah No. 2 Flowline in the Commission will consider all protests or • Kaweah No. 1 Gaging Cableway (Map vicinity of Flume 5 (Map G–1c) other comments filed, but only those G–1h) • Communication line corridor along who file a motion to intervene in • Kaweah No. 1 Diversion Solar Panel the Kaweah No. 2 Flowline in the accordance with the Commission’s (Map G–1h) vicinity of Flume 2 (Map G–1c) Rules may become a party to the • Kaweah No. 1 Solar Yard Satellite The following road corridors will be proceeding. Any comments, protests, or Repeater (Map G–1h) motions to intervene must be received • removed as they are remnants of the Kaweah No. 1 Flowline Access original project which have been on or before the specified comment date Road—Unnamed (portion) (Map G– removed and are no longer in existence. for the particular application. 1h) All filings must (1) bear in all capital • Kaweah No. 1 Flowline Access Kaweah No. 2 Development letters the title ‘‘PROTEST’’, ‘‘MOTION Road—Bear Canyon (portion) (Map • Road corridor along the Kaweah No. TO INTERVENE’’, ‘‘COMMENTS,’’ G–1h) 2 Flowline in the vicinity of Canal 9 ‘‘REPLY COMMENTS,’’ • Kaweah No. 1 Flowline Access (Map G–1b) ‘‘RECOMMENDATIONS,’’ Road—Slick Rock (portion) (Map G– • Road corridor from Kaweah No. 2 ‘‘PRELIMINARY TERMS AND 1h) Flowline—East Access Road to CONDITIONS,’’ or ‘‘PRELIMINARY Kaweah No. 2 Development Kaweah No. 2 Flowline (Map G–1c) FISHWAY PRESCRIPTIONS;’’ (2) set forth in the heading the name of the • Kaweah No. 2 Gaging Cableway (Map Kaweah No. 3 Development applicant and the project number of the G–1d) • • Kaweah No. 2 Flowline—West Access Road corridor from Kaweah No. 3 application to which the filing responds; (3) furnish the name, address, Road (portion) (Map G–1b) Forebay Road to Kaweah No. 3 • Kaweah No. 2 Flowline—Center Penstock (Map G–1d) and telephone number of the person protesting or intervening; and (4) Access Road (portion) (Map G–1b) Boundary Corrections • Kaweah No. 2 Flowline Access otherwise comply with the requirements Road—Canal 6 West (Map G–1c) The project boundary will be further of 18 CFR 385.2001 through 385.2005. • Kaweah No. 2 Flowline Access modified because a review of the All comments, recommendations, terms Road—Canal 6 East (Map G–1c) existing boundary against the latest data and conditions or prescriptions must set • Kaweah No. 2 Flowline Access sources available for the project resulted forth their evidentiary basis and Road—Canal 5 (portion) (Map G–1c) in some corrections to the project otherwise comply with the requirements • Kaweah No. 2 Flowline Access boundary currently approved by the of 18 CFR 4.34(b). Agencies may obtain Road—Canal 4 West (Map G–1c) Commission. These specific instances of copies of the application directly from • Kaweah No. 2 Flowline Access boundary corrections will be included the applicant. A copy of any protest or Road—Canal 4 East (Map G–1c) in the revised Exhibit G. motion to intervene must be served

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upon each representative of the persons listed in the service list o. Procedural Schedule: The applicant specified in the particular prepared by the Commission in this application will be processed according application. A copy of all other filings proceeding, in accordance with 18 CFR to the following schedule. Revisions to in reference to this application must be 4.34(b) and 385.2010. the schedule will be made as accompanied by proof of service on all appropriate.

Milestone Target date

Filing of recommendations, preliminary terms and conditions, and preliminary fishway prescriptions ...... June 2020. Commission issues Draft EA or EIS ...... February 2021. Comments on Draft EA or EIS ...... March 2021. Modified Terms and Conditions ...... May 2021. Commission Issues Final EA or EIS ...... August 2021.

p. Final amendments to the to the applicant’s request for blanket DEPARTMENT OF ENERGY application must be filed with the authorization, under 18 CFR part 34, of Commission no later than 30 days from future issuances of securities and Federal Energy Regulatory the issuance date of this notice. assumptions of liability, is May 5, 2020. Commission q. A license applicant must file no In addition to publishing the full text later than 60 days following the date of Combined Notice of Filings #2 of this document in the Federal issuance of the notice of acceptance and Take notice that the Commission ready for environmental analysis Register, the Commission provides all interested persons an opportunity to received the following electric rate provided for in 5.22: (1) A copy of the filings: water quality certification; (2) a copy of view and/or print the contents of this the request for certification, including document via the internet through the Docket Numbers: ER10–2331–073. proof of the date on which the certifying Commission’s Home Page (http:// Applicants: J.P. Morgan Ventures agency received the request; or (3) ferc.gov) using the ‘‘eLibrary’’ link. Energy Corporation. Description: Notice of Change in evidence of waiver of water quality Enter the docket number excluding the Status of the J.P. Morgan Ventures certification. last three digits in the docket number field to access the document. At this Energy Corporation. Dated: April 15, 2020. Filed Date: 4/15/20. time, the Commission has suspended Kimberly D. Bose, Accession Number: 20200415–5145. access to the Commission’s Public Secretary. Comments Due: 5 p.m. ET 5/6/20. Reference Room, due to the [FR Doc. 2020–08447 Filed 4–21–20; 8:45 am] Docket Numbers: ER20–1106–001. proclamation declaring a National BILLING CODE 6717–01–P Applicants: Missisquoi, LLC. Emergency concerning the Novel Description: Tariff Amendment: Coronavirus Disease (COVID–19), issued Missisquoi Change In Status—Revised DEPARTMENT OF ENERGY by the President on March 13, 2020. For to be effective 2/28/2020. assistance, contact the Federal Energy Filed Date: 4/15/20. Federal Energy Regulatory Regulatory Commission at Accession Number: 20200415–5068. Commission [email protected] or call Comments Due: 5 p.m. ET 5/6/20. [Docket No. ER20–1563–000] toll-free, (886) 208–3676 or TYY, (202) Docket Numbers: ER20–1567–000. 502–8659. Applicants: ISO New England Inc. Midlands Lessee LLC; Supplemental The Commission strongly encourages Description: Compliance filing: ISO Notice That Initial Market-Based Rate electronic filings of comments, protests New England Inc.; Compliance Filing of Filing Includes Request for Blanket and interventions in lieu of paper using Energy Security Improvements to be Section 204 Authorization the ‘‘eFiling’’ link at http:// effective 11/1/2020. This is a supplemental notice in the www.ferc.gov. Persons unable to file Filed Date: 4/15/20. above-referenced Midlands Lessee LLC’s electronically may mail similar Accession Number: 20200415–5058. application for market-based rate pleadings to the Federal Energy Comments Due: 5 p.m. ET 5/6/20. authority, with an accompanying rate Regulatory Commission, 888 First Street Docket Numbers: ER20–1568–000. tariff, noting that such application NE, Washington, DC 20426. Hand Applicants: Duke Energy Florida, includes a request for blanket delivered submissions in docketed LLC. authorization, under 18 CFR part 34, of proceedings should be delivered to Description: § 205(d) Rate Filing: DEF future issuances of securities and Health and Human Services, 12225 2020 Annual Update of Real Power Loss Factors to be effective 5/1/2020. assumptions of liability. Wilkins Avenue, Rockville, Maryland Filed Date: 4/15/20. Any person desiring to intervene or to 20852. protest should file with the Federal Accession Number: 20200415–5060. Energy Regulatory Commission, 888 Dated: April 15, 2020. Comments Due: 5 p.m. ET 5/6/20. First Street NE, Washington, DC 20426, Nathaniel J. Davis, Sr., Docket Numbers: ER20–1569–000. in accordance with Rules 211 and 214 Deputy Secretary. Applicants: ITC Midwest LLC. of the Commission’s Rules of Practice [FR Doc. 2020–08440 Filed 4–21–20; 8:45 am] Description: § 205(d) Rate Filing: and Procedure (18 CFR 385.211 and Concurrence IPL Amended Exhibits and BILLING CODE 6717–01–P 385.214). Anyone filing a motion to Attachments (2020) to be effective 6/15/ intervene or protest must serve a copy 2020. of that document on the Applicant. Filed Date: 4/15/20. Notice is hereby given that the Accession Number: 20200415–5061. deadline for filing protests with regard Comments Due: 5 p.m. ET 5/6/20.

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Docket Numbers: ER20–1570–000. DEPARTMENT OF ENERGY Los Medanos Energy Center, LLC, Applicants: AEP Texas Inc. Metcalf Energy Center, LLC, Morgan Federal Energy Regulatory Energy Center, LLC, Nissequogue Cogen Description: § 205(d) Rate Filing: Commission AEPTX-El Algodon Alto Wind Farm Partners, Calpine King City Cogen, LLC, CCFC Sutter Energy, LLC, North Interconnection Agreement to be Combined Notice of Filings #1 effective 4/2/2020. American Power and Gas, LLC, Otay Mesa Energy Center, LLC, Pastoria Filed Date: 4/15/20. Take notice that the Commission received the following exempt Energy Facility L.L.C., Russell City Accession Number: 20200415–5077. wholesale generator filings: Energy Company, LLC, Pine Bluff Comments Due: 5 p.m. ET 5/6/20. Docket Numbers: EG20–115–000. Energy, LLC, TBG Cogen Partners, South Point Energy Center, LLC, O.L.S. Docket Numbers: ER20–1571–000. Applicants: Briar Creek Solar 1, LLC. Description: Briar Creek Solar 1, Energy-Agnews, Inc., North American Applicants: Entergy Arkansas, LLC. LLC—Notice of Self-Certification of Power Business, LLC, Power Contract Description: § 205(d) Rate Filing: EAL- EWG Status. Financing, L.L.C., Westbrook Energy Chicot Solar, LLC, LBA Agreement to be Filed Date: 4/16/20. Center, LLC, Zion Energy LLC. effective 6/14/2020. Accession Number: 20200416–5092. Description: Notification of Change in Filed Date: 4/15/20. Comments Due: 5 p.m. ET 5/7/20. Status of the Calpine MBR Sellers, et al. Accession Number: 20200415–5135. Take notice that the Commission Filed Date: 4/15/20. Accession Number: 20200415–5159. Comments Due: 5 p.m. ET 5/6/20. received the following electric rate filings: Comments Due: 5 p.m. ET 5/6/20. Docket Numbers: ER20–1572–000. Docket Numbers: ER10–2042–034; Docket Numbers: ER17–2059–007. Applicants: Turquoise Nevada LLC. ER10–1944–007; ER10–2051–009; Applicants: Puget Sound Energy, Inc. Description: § 205(d) Rate Filing: ER10–1942–026; ER17–696–014;ER14– Description: Notice of Non-Material Turquoise Nevada LLC First 2931–007; ER10–1941–012; ER19–1127– Change in Status, et al. of Puget Sound Amendment to Shared Facilities 002; ER10–2043–009; ER10–2029–011; Energy, Inc. Agreement to be effective 2/22/2020. ER10–2041–009; ER18–1321–002; Filed Date: 4/15/20. ER10–2040–009; ER10–1938–029; Accession Number: 20200415–5219. Filed Date: 4/15/20. ER10–2036–010; ER13–1407–009; Comments Due: 5 p.m. ET 5/6/20. Accession Number: 20200415–5149. ER10–1934–028; ER10–1893–028; Docket Numbers: ER19–1282–001. Comments Due: 5 p.m. ET 5/6/20. ER10–3051–033; ER10–2985–032; Applicants: Paulding Wind Farm IV Docket Numbers: ER20–1573–000. ER10–3049–033; ER10–1889–007; LLC. ER10–1888–012; ER10–1885–012; Applicants: DesertLink, LLC. Description: Notice of Non-Material ER10–1884–012; ER10–1883–012; Change in Status of Paulding Wind Description: Compliance filing: ER10–1878–012; ER10–3260–009; Farm IV LLC. DesertLinks Order No. 864 Compliance ER10–1877–007; ER10–1895–007; Filed Date: 4/15/20. Filing to be effective 1/27/2020. ER10–1876–012; ER10–1875–012; Accession Number: 20200415–5152. Filed Date: 4/15/20. ER10–1873–012; ER10–1871–008; Comments Due: 5 p.m. ET 5/6/20. Accession Number: 20200415–5157. ER10–1870–007; ER11–4369–013; Docket Numbers: ER19–1495–001. ER16–2218–013; ER12–1987–010; Comments Due: 5 p.m. ET 5/6/20. Applicants: Virginia Electric and ER10–1947–012; ER12–2645–005; Power Company. The filings are accessible in the ER10–1863–007; ER10–1862–028; Description: Report Filing: VEPCO Commission’s eLibrary system by ER12–2261–011; ER10–1865–012; Settlement Refund Report to be effective clicking on the links or querying the ER10–1858–007; ER13–1401–007; N/A. docket number. ER10–2044–009. Filed Date: 4/16/20. Any person desiring to intervene or Applicants: Calpine Energy Services, Accession Number: 20200416–5059. protest in any of the above proceedings L.P., Bethpage Energy Center 3, LLC, Comments Due: 5 p.m. ET 5/7/20. must file in accordance with Rules 211 Calpine Bethlehem, LLC, Calpine Docket Numbers: ER20–1574–000. and 214 of the Commission’s Construction Finance Company, LP, Applicants: Midcontinent Regulations (18 CFR 385.211 and Calpine Energy Solutions, LLC, Calpine Independent System Operator, Inc. 385.214) on or before 5:00 p.m. Eastern Fore River Energy Center, LLC, Calpine Description: § 205(d) Rate Filing: time on the specified comment date. Gilroy Cogen, L.P., Calpine Mid-Atlantic 2020–04–16_SA 3473 Ameren IL- Protests may be considered, but Generation, LLC, Calpine Mid-Atlantic Hickory Point Solar Energy Center GIA intervention is necessary to become a Marketing, LLC, Calpine Mid Merit, (J815) to be effective 4/2/2020. party to the proceeding. LLC, Calpine Mid-Merit II, LLC, Calpine Filed Date: 4/16/20. eFiling is encouraged. More detailed New Jersey Generation, LLC, Calpine Power America—CA, LLC, Calpine Accession Number: 20200416–5028. information relating to filing Comments Due: 5 p.m. ET 5/7/20. requirements, interventions, protests, Vineland Solar, LLC, CES Marketing IX, Docket Numbers: ER20–1576–000. service, and qualifying facilities filings LLC,CES Marketing X, LLC, Champion Applicants: Southern California can be found at: http://www.ferc.gov/ Energy, LLC, Champion Energy Edison Company. docs-filing/efiling/filing-req.pdf. For Marketing LLC, Champion Energy Description: § 205(d) Rate Filing: other information, call (866) 208–3676 Services, LLC, CPN Bethpage 3rd Amend GIA and Distribution Service (toll free). For TTY, call (202) 502–8659. Turbine, Inc., Creed Energy Center, LLC, Delta Energy Center, LLC, Geysers Agmt Tehachapi Plains Wind SA No. Dated: April 15, 2020. Power Company, LLC, Gilroy Energy 651–652 to be effective 4/17/2020. Nathaniel J. Davis, Sr., Center, LLC, Goose Haven Energy Filed Date: 4/16/20. Deputy Secretary. Center, LLC, Granite Ridge Energy, LLC, Accession Number: 20200416–5077. [FR Doc. 2020–08449 Filed 4–21–20; 8:45 am] Hermiston Power, LLC, KIAC Partners, Comments Due: 5 p.m. ET 5/7/20. BILLING CODE 6717–01–P Los Esteros Critical Energy Facility LLC, Docket Numbers: ER20–1577–000.

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Applicants: Duke Energy Carolinas, clicking on the links or querying the document via the internet through the LLC. docket number. Commission’s Home Page (http:// Description: § 205(d) Rate Filing: DEC Any person desiring to intervene or ferc.gov) using the ‘‘eLibrary’’ link. Updated Nuclear Decommissioning protest in any of the above proceedings Enter the docket number excluding the Expense to be effective 6/16/2020. must file in accordance with Rules 211 last three digits in the docket number Filed Date: 4/16/20. and 214 of the Commission’s field to access the document. At this Accession Number: 20200416–5078. Regulations (18 CFR 385.211 and time, the Commission has suspended Comments Due: 5 p.m. ET 5/7/20. 385.214) on or before 5:00 p.m. Eastern access to the Commission’s Public Docket Numbers: ER20–1578–000. time on the specified comment date. Reference Room, due to the Applicants: PacifiCorp. Protests may be considered, but proclamation declaring a National Description: § 205(d) Rate Filing: intervention is necessary to become a Emergency concerning the Novel Cedar Springs Wind NC–LGIA (Rev 2) to party to the proceeding. Coronavirus Disease (COVID–19), issued be effective 6/16/2020. eFiling is encouraged. More detailed by the President on March 13, 2020. For Filed Date: 4/16/20. information relating to filing assistance, contact the Federal Energy Accession Number: 20200416–5083. requirements, interventions, protests, Regulatory Commission at Comments Due: 5 p.m. ET 5/7/20. service, and qualifying facilities filings [email protected] or call Docket Numbers: ER20–1579–000. can be found at: http://www.ferc.gov/ toll-free, (886) 208–3676 or TYY, (202) Applicants: Midcontinent docs-filing/efiling/filing-req.pdf. For 502–8659. Independent System Operator, Inc. other information, call (866) 208–3676 The Commission strongly encourages Description: § 205(d) Rate Filing: (toll free). For TTY, call (202) 502–8659. electronic filings of comments, protests _ 2020–04–16 SA 3474 ATXI-Pana Solar Dated: April 16, 2020. and interventions in lieu of paper using GIA (J912) to be effective 4/2/2020. the ‘‘eFiling’’ link at http:// Nathaniel J. Davis, Sr., Filed Date: 4/16/20. www.ferc.gov. Persons unable to file Accession Number: 20200416–5096. Deputy Secretary. electronically may mail similar Comments Due: 5 p.m. ET 5/7/20. [FR Doc. 2020–08512 Filed 4–21–20; 8:45 am] pleadings to the Federal Energy Docket Numbers: ER20–1580–000. BILLING CODE 6717–01–P Regulatory Commission, 888 First Street Applicants: Alcoa Power Generating NE, Washington, DC 20426. Hand Inc. delivered submissions in docketed Description: Requests for DEPARTMENT OF ENERGY proceedings should be delivered to Reinstatement of Open Access Federal Energy Regulatory Health and Human Services, 12225 Transmission Tariff Waivers, et al. of Commission Wilkins Avenue, Rockville, Maryland Alcoa Power Generating Inc. 20852. [Docket No. ER20–1562–000] Filed Date: 4/16/20. Dated: April 15, 2020. Accession Number: 20200416–5098. Comments Due: 5 p.m. ET 5/7/20. Midlands Solar LLC; Supplemental Nathaniel J. Davis, Sr., Docket Numbers: ER20–1581–000. Notice That Initial Market-Based Rate Deputy Secretary. Applicants: Midcontinent Filing Includes Request for Blanket [FR Doc. 2020–08448 Filed 4–21–20; 8:45 am] Independent System Operator, Inc., Section 204 Authorization BILLING CODE 6717–01–P Republic Transmission, LLC. This is a supplemental notice in the Description: Compliance filing: 2020– _ above-referenced Midlands Solar LLC’s DEPARTMENT OF ENERGY 04–16 Republic Attachment O application for market-based rate Compliance to be effective 12/31/9998. authority, with an accompanying rate Federal Energy Regulatory Filed Date: 4/16/20. tariff, noting that such application Commission Accession Number: 20200416–5103. includes a request for blanket Comments Due: 5 p.m. ET 5/7/20. Combined Notice of Filings Take notice that the Commission authorization, under 18 CFR part 34, of received the following electric securities future issuances of securities and Take notice that the Commission has filings: assumptions of liability. received the following Natural Gas Docket Numbers: ES20–25–000. Any person desiring to intervene or to Pipeline Rate and Refund Report filings: protest should file with the Federal Applicants: DTE Electric Company. Docket Numbers: RP20–783–000. Description: Application Under Energy Regulatory Commission, 888 Applicants: Columbia Gas Section 204 of the Federal Power Act for First Street NE, Washington, DC 20426, Transmission, LLC. Authorization to Issue Securities of DTE in accordance with Rules 211 and 214 Description: Compliance filing X–103 Electric Company. of the Commission’s Rules of Practice Abandonment to be effective 3/31/2020. Filed Date: 4/15/20. and Procedure (18 CFR 385.211 and Filed Date: 4/14/20. Accession Number: 20200415–5197. 385.214). Anyone filing a motion to Accession Number: 20200414–5002. Comments Due: 5 p.m. ET 5/6/20. intervene or protest must serve a copy Comments Due: 5 p.m. ET 4/27/20. Take notice that the Commission of that document on the Applicant. Docket Numbers: RP20–784–000. received the following public utility Notice is hereby given that the Applicants: Maritimes & Northeast holding company filings: deadline for filing protests with regard Pipeline, L.L.C. Docket Numbers: PH20–9–000. to the applicant’s request for blanket Description: § 4(d) Rate Filing: MNUS Applicants: ENMAX Corporation. authorization, under 18 CFR part 34, of Cleanup Filing—Remove NC Agrmt Description: ENMAX Corporation future issuances of securities and K9003 to be effective 5/14/2020. submits FERC 65–B Waiver Notification. assumptions of liability, is May 5, 2020. Filed Date: 4/14/20. Filed Date: 4/15/20. In addition to publishing the full text Accession Number: 20200414–5003. Accession Number: 20200415–5192. of this document in the Federal Comments Due: 5 p.m. ET 4/27/20. Comments Due: 5 p.m. ET 5/6/20. Register, the Commission provides all Docket Numbers: RP20–785–000. The filings are accessible in the interested persons an opportunity to Applicants: Kern River Gas Commission’s eLibrary system by view and/or print the contents of this Transmission Company.

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Description: § 4(d) Rate Filing: 2020 DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY Expiring Negotiated Rate Agreements to be effective 5/1/2020. Federal Energy Regulatory Federal Energy Regulatory Filed Date: 4/15/20. Commission Commission Accession Number: 20200415–5036. [Project No. 6756–011] Comments Due: 5 p.m. ET 4/27/20. Combined Notice of Filings Docket Numbers: RP20–786–000. Green Mountain Power Corporation; Take notice that the Commission has Applicants: Gas Transmission Sugar River Power LLC; Notice of received the following Natural Gas Northwest LLC. Transfer of Exemption Description: § 4(d) Rate Filing: GTN Pipeline Rate and Refund Report filings: 2020 Housekeeping Filing to be effective Docket Numbers: RP20–417–001. 1. On March 20, 2020, Green Mountain Power Corporation, exemptee 5/15/2020. Applicants: Spire STL Pipeline LLC. for the Lower Valley Hydroelectric Filed Date: 4/15/20. Description: Compliance filing Spire Accession Number: 20200415–5074. Project No. 6756, filed a letter notifying STL NAESB Compliance Filing to be Comments Due: 5 p.m. ET 4/27/20. the Commission that the project was effective 11/18/2019. Docket Numbers: RP20–787–000. transferred from Green Mountain Power Applicants: Bison Pipeline LLC. Filed Date: 4/13/20. Corporation to Sugar River Power LLC. Description: § 4(d) Rate Filing: 2020 Accession Number: 20200413–5144. The exemption from licensing was 1 Bison Housekeeping Filing to be Comments Due: 5 p.m. ET 4/27/20. originally issued on November 9, 1982. effective 5/15/2020. The project is located on the Sugar River Docket Numbers: RP20–781–000. Filed Date: 4/15/20. in Sullivan County, New Hampshire. Accession Number: 20200415–5076. Applicants: Discovery Gas The transfer of an exemption does not Comments Due: 5 p.m. ET 4/27/20. Transmission LLC. require Commission approval. Docket Numbers: RP20–788–000. Description: Imbalance Cash-out 2. Sugar River Power LLC is now the Applicants: Kinetica Energy Express, Report for 2019 Activity for Discovery exemptee of the Lower Valley LLC. Gas Transmission LLC under RP20–781. Hydroelectric Project No. 6756. All correspondence must be forwarded to: Description: Compliance filing Filed Date: 4/13/20. Sugar River Power LLC, c/o Mr. Robert Petition for Approval of Settlement. Accession Number: 20200413–5140. Filed Date: 4/15/20. E. King, 42 Hurricane Road, Keene, NH Accession Number: 20200415–5137. Comments Due: 5 p.m. ET 4/27/20. 03431, Email: [email protected]. Comments Due: 5 p.m. ET 4/27/20. Docket Numbers: RP20–782–000. Dated: April 15, 2020. Docket Numbers: RP20–789–000. Applicants: Rover Pipeline LLC. Kimberly D. Bose, Applicants: Enable Mississippi River Description: § 4(d) Rate Filing: Secretary. Transmission, LLC. Revised Summary of Negotiated Rate [FR Doc. 2020–08443 Filed 4–21–20; 8:45 am] Description: § 4(d) Rate Filing: Capacity Release Agreements on 4–13– BILLING CODE 6717–01–P Negotiated Rate Filing—CES 5801 2020 to be effective 4/1/2020. RP18–923 & RP20–131 Settlement to be effective 1/1/2019. Filed Date: 4/13/20. DEPARTMENT OF ENERGY Filed Date: 4/15/20. Accession Number: 20200413–5169. Accession Number: 20200415–5166. Comments Due: 5 p.m. ET 4/27/20. Federal Energy Regulatory Comments Due: 5 p.m. ET 4/27/20. Commission The filings are accessible in the The filings are accessible in the Commission’s eLibrary system by Commission’s eLibrary system by Notice of Attendance at PJM clicking on the links or querying the clicking on the links or querying the Interconnection, L.L.C. Meetings docket number. docket number. The Federal Energy Regulatory Any person desiring to intervene or Any person desiring to intervene or Commission (Commission) hereby gives protest in any of the above proceedings protest in any of the above proceedings notice that members of the Commission must file in accordance with Rules 211 must file in accordance with Rules 211 and Commission staff may attend and 214 of the Commission’s and 214 of the Commission’s upcoming PJM Interconnection, L.L.C. Regulations (18 CFR 385.211 and Regulations (18 CFR 385.211 and (PJM) Members Committee and Markets 385.214) on or before 5:00 p.m. Eastern 385.214) on or before 5:00 p.m. Eastern and Reliability Committee meetings, as time on the specified date(s). Protests time on the specified date(s). Protests well as other PJM committee, may be considered, but intervention is may be considered, but intervention is subcommittee or task force meetings.1 necessary to become a party to the necessary to become a party to the The Commission and Commission staff proceeding. proceeding. may attend the following meetings: eFiling is encouraged. More detailed eFiling is encouraged. More detailed information relating to filing information relating to filing PJM Members Committee requirements, interventions, protests, requirements, interventions, protests, • May 4, 2020 (Conference Call) service, and qualifying facilities filings service, and qualifying facilities filings can be found at: http://www.ferc.gov/ can be found at: http://www.ferc.gov/ 1 Claremont Hydro Associates, 21 FERC ¶ 62,216 docs-filing/efiling/filing-req.pdf. For docs-filing/efiling/filing-req.pdf. For (1982). The project was transferred to Green other information, call (866) 208–3676 Mountain Power Corporation on August 15, 2017. other information, call (866) 208–3676 1 For example, PJM subcommittees and task (toll free). For TTY, call (202) 502–8659. (toll free). For TTY, call (202) 502–8659. forces of the standing committees (Operating, Dated: April 16, 2020. Dated: April 15, 2020. Planning and Market Implementation) and senior standing committees (Members and Markets and Nathaniel J. Davis, Sr., Nathaniel J. Davis, Sr., Reliability) meet on a variety of different topics; Deputy Secretary. Deputy Secretary. they convene and dissolve on an as-needed basis. Therefore, the Commission and Commission staff [FR Doc. 2020–08513 Filed 4–21–20; 8:45 am] [FR Doc. 2020–08445 Filed 4–21–20; 8:45 am] may monitor the various meetings posted on the BILLING CODE 6717–01–P BILLING CODE 6717–01–P PJM website.

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• May 28, 2020 (Audubon, PA) Docket No. EL17–65, Renewable Energy Docket Nos. EL19–90, EL19–91, EL19– • June 18, 2020 (Audubon, PA) Systems America v. PJM 92, ISO New England Inc., PJM • July 23, 2020 (Audubon, PA) Interconnection, L.L.C. Interconnection, L.L.C., Southwest • September 17, 2020 (Audubon, PA) Docket No. EL17–68, Linden VFT, LLC Power Pool, Inc., Order Instituting • October 29, 2020 (Audubon, PA) v. PJM Interconnection, L.L.C. • Section 206 Proceedings November 19, 2020 (Audubon, PA) Docket No. ER17–725, PJM • Docket No. ER19–100, PJM December 17, 2020 (Audubon, PA) Interconnection, L.L.C. Interconnection, L.L.C. PJM Markets and Reliability Committee Docket No. ER17–950, PJM Docket No. ER19–105, PJM • Interconnection, L.L.C. Interconnection, L.L.C. April 30, 2020 (Conference Call) Docket No. ER17–1138, PJM Docket No. ER19–469, PJM • May 28, 2020 (Audubon, PA) • Interconnection, L.L.C. Interconnection, L.L.C. June 18, 2020 (Audubon, PA) Docket No. ER17–1420, PJM Docket No. ER19–1958, PJM • July 23, 2020 (Audubon, PA) Interconnection, L.L.C. • August 20, 2020 (Audubon, PA) Interconnection, L.L.C. Docket No. ER17–1433, PJM • September 17, 2020 (Audubon, PA) Docket No. ER19–2722, PJM • October 29, 2020 (Audubon, PA) Interconnection, L.L.C. Interconnection, L.L.C. • November 19, 2020 (Audubon, PA) Docket No. EL18–7, American Electric Docket No. ER19–2915, PJM • December 17, 2020 (Audubon, PA) Power Service Corporation v. Interconnection, L.L.C. Midcontinent Independent System Docket No. EL20–10, Anabric PJM Market Implementation Committee Operator, Inc. Development Partners, LLC v. PJM • April 15, 2020 (Conference Call) Docket No. EL18–26, EDF Renewable Interconnection, L.L.C. • May 13, 2020 (Audubon, PA) Energy, Inc. v. Midcontinent Docket No. ER20–457, PJM • June 3, 2020 (Audubon, PA) Independent System Operator, Inc., Interconnection, L.L.C. • July 8, 2020 (Audubon, PA) Southwest Power Pool, Inc. and PJM Docket No. ER20–584, PJM • August 5, 2020 (Audubon, PA) Interconnection, L.L.C. Interconnection, L.L.C. • September 2, 2020 (Audubon, PA) Docket No. EL18–34, PJM Docket No. ER20–939, PJM • October 7, 2020 (Audubon, PA) Interconnection, L.L.C. Interconnection, L.L.C. • November 5, 2020 (Audubon, PA) Docket No. EL18–54, New Jersey Board Docket No. ER20–955, PJM • December 2, 2020 (Audubon, PA) of Public Utilities v. PJM Interconnection, L.L.C. The discussions at each of the Interconnection, L.L.C., New York Docket No. ER20–1258, PJM meetings described above may address Independent System Operator, Inc., Interconnection, L.L.C. matters at issue in pending proceedings Consolidated Edison Company of New Docket No. ER20–1392, PJM before the Commission, including the York, Inc., Linden VFT, LLC, Hudson Interconnection, L.L.C. following currently pending Transmission Partners, LLC and New Docket No. ER20–1414, PJM proceedings: York Power Authority Interconnection, L.L.C. Docket No. ER12–2708, Potomac- Docket No. EL18–61, Public Citizen, Inc. Docket No. ER20–1416, PJM Appalachian Transmission Highline, v. PJM Interconnection, L.L.C. Interconnection, L.L.C. LLC. et. al. Docket No. EL18–145, Tilton Energy Docket No. ER20–1451, PJM Docket No. EL14–37, PJM L.L.C. v PJM Interconnection, L.L.C. Interconnection, L.L.C. Interconnection, L.L.C. Docket No. EL18–178, PJM For additional meeting information, Docket No. ER14–972, PJM Interconnection, L.L.C. see: http://www.pjm.com/committees- Interconnection, L.L.C. Docket No. EL18–170, DC Energy, LLC v. and-groups.aspx and http:// Docket Nos. EL14–48, ER18–988, PJM PJM Interconnection, L.L.C. www.pjm.com/Calendar.aspx. Interconnection, L.L.C. Docket No. EL18–183, Radford’s Run The meetings are open to Docket No. EL15–18, Consolidated Wind Farm, L.L.C. v. PJM stakeholders. For more information, Edison Company of New York, Inc. v. Interconnection, L.L.C. contact Valerie Martin, Office of Energy PJM Interconnection, L.L.C. Docket No. ER18–87, PJM Market Regulation, Federal Energy Docket No. EL15–67, Linden VFT, LLC Interconnection, L.L.C. Regulatory Commission at (202) 502– v. PJM Interconnection, L.L.C. Docket No. ER18–579, PJM 6139 or [email protected]. Docket No. EL15–95, Maryland and Interconnection, L.L.C. Dated: April 15, 2020. Delaware State Commissions v. PJM Docket No. ER18–680, PJM Kimberly D. Bose, Interconnection, L.L.C. Interconnection, L.L.C. Docket No. ER15–1387, PJM Docket No. ER18–1314, PJM Secretary. Interconnection, L.L.C Interconnection, L.L.C. [FR Doc. 2020–08444 Filed 4–21–20; 8:45 am] Docket Nos. ER15–2562, ER15–2563, Docket No. ER18–2102, PJM BILLING CODE 6717–01–P PJM Interconnection, L.L.C. Interconnection, L.L.C. Docket No. EL16–49, Calpine Docket No. EL19–34, Brookfield Energy Corporation, et. al., v. PJM Marketing LP v. PJM Interconnection, DEPARTMENT OF ENERGY Interconnection, L.L.C. L.L.C. Federal Energy Regulatory Docket No. EL17–31, Northern Illinois Docket No. EL19–47, Independent Commission Municipal Power Agency v. PJM Market Monitor for PJM Interconnection, L.L.C. Interconnection, L.L.C. v. PJM Combined Notice of Filings #1 Docket No. EL17–37, American Interconnection, L.L.C. Municipal Power, Inc. v. PJM Docket No. EL19–51, Cube Yadkin Take notice that the Commission Interconnection, L.L.C. Generation, L.L.C. v. PJM received the following electric corporate Docket No. EL17–62, Potomac Interconnection, L.L.C. filings: Economics, Ltd. v. PJM Docket No. EL19–58, ER19–1486, PJM Docket Numbers: EC19–120–001. Interconnection, L.L.C. Interconnection, L.L.C. Applicants: Sun Jupiter Holdings Docket No. EL17–64, Energy Storage Docket No. EL19–63, Joint Consumer LLC, El Paso Electric Company. Association v. PJM Interconnection, Advocates v. PJM Interconnection, Description: Proposed Mitigation L.L.C. L.L.C. Options for Alternative Analysis

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Scenario of El Paso Electric Company, et Applicants: Northern Colorado Wind eFiling is encouraged. More detailed al. Energy Center, LLC. information relating to filing Filed Date: 4/15/20. Description: Baseline eTariff Filing: requirements, interventions, protests, Accession Number: 20200415–5052. Northern Colorado Wind Energy Center, service, and qualifying facilities filings Comments Due: 5 p.m. ET 5/6/20. LLC Application for MBR Authority to can be found at: http://www.ferc.gov/ Take notice that the Commission be effective 6/14/2020. docs-filing/efiling/filing-req.pdf. For received the following exempt Filed Date: 4/14/20. other information, call (866) 208–3676 wholesale generator filings: Accession Number: 20200414–5132. (toll free). For TTY, call (202) 502–8659. Docket Numbers: EG20–113–000. Comments Due: 5 p.m. ET 5/5/20. Dated: April 15, 2020. Applicants: Midlands Solar LLC. Docket Numbers: ER20–1565–000. Nathaniel J. Davis, Sr., Description: Self-Certification of EWG Applicants: Southwest Power Pool, Deputy Secretary. Inc. Status of Midlands Solar LLC. [FR Doc. 2020–08442 Filed 4–21–20; 8:45 am] Description: § 205(d) Rate Filing: Filed Date: 4/14/20. BILLING CODE 6717–01–P Accession Number: 20200414–5155. 3244R1 City of Malden ? Board of Public Comments Due: 5 p.m. ET 5/5/20. Works NITSA NOA to be effective 4/1/ Docket Numbers: EG20–114–000. 2020. Applicants: Midlands Lessee LLC. Filed Date: 4/15/20. DEPARTMENT OF HEALTH AND Description: Self-Certification of EWG Accession Number: 20200415–5014. HUMAN SERVICES status of Midlands Lessee LLC. Comments Due: 5 p.m. ET 5/6/20. Filed Date: 4/14/20. Docket Numbers: ER20–1566–000. Centers for Disease Control and Accession Number: 20200414–5156. Applicants: ITC Midwest LLC, Prevention Comments Due: 5 p.m. ET 5/5/20. Interstate Power and Light Company. Take notice that the Commission Description: § 205(d) Rate Filing: Extension of Order Under Sections 362 received the following electric rate Update to O&T Agreement Exhibits and and 365 of the Public Health Service filings: Appendices to be effective 6/15/2020. Act; Order Suspending Introduction of Certain Persons From Countries Docket Numbers: ER10–3285–003; Filed Date: 4/15/20. Where a Communicable Disease Exists ER10–3181–004; ER17–177–002; ER17– Accession Number: 20200415–5015. 991–008. Comments Due: 5 p.m. ET 5/6/20. AGENCY: Centers for Disease Control and Applicants: UGI Utilities Inc., UGI Take notice that the Commission Prevention (CDC), Department of Health Development Company, UGI Energy received the following electric securities and Human Services (HHS). Services, LLC, Hunlock Energy, LLC. filings: Description: Supplement to December Docket Numbers: ES20–24–000. ACTION: Notice. 2, 2019 Updated Triennial Market Applicants: Orange and Rockland Power Analysis for the Northeast Region Utilities, Inc. SUMMARY: The Centers for Disease and Notice of Non-Material Change in Description: Application Under Control and Prevention (CDC), a Status of the UGI MBR Companies, et al. Section 204 of the Federal Power Act for component of the Department of Health Filed Date: 3/25/20. Authorization to Issue Securities of and Human Services (HHS), announces Accession Number: 20200325–5128. Orange and Rockland Utilities, Inc. an extension of an Order issued March Comments Due: 5 p.m. ET 4/27/20. Filed Date: 4/14/20. 20, 2020, under Sections 362 and 365 of Docket Numbers: ER20–1214–000. Accession Number: 20200414–5148. the Public Health Service Act, and Applicants: CHPE, LLC. Comments Due: 5 p.m. ET 5/5/20. associated implementing regulations, Description: Supplement to March 9, Take notice that the Commission that suspends the introduction of 2020 Application for Authority to Sell received the following public utility certain persons from countries where an Transmission Rights at Negotiated Rates holding company filings: outbreak of a communicable disease of CHPE, LLC. Docket Numbers: PH20–8–000. exists. The Order was issued on April Filed Date: 4/15/20. Applicants: Canada Pension Plan 20, 2020 and shall remain in effect until Accession Number: 20200415–5012. Investment Board. 11:59 p.m. EDT on May 20, 2020. This Comments Due: 5 p.m. ET 4/20/20. Description: FERC 65B Notice of Non- Order may be amended or rescinded Docket Numbers: ER20–1023–001. Material Change in Facts of Canada prior to that time at the discretion of the Applicants: Mankato Energy Center, Pension Plan Investment Board. Director. LLC. Filed Date: 4/15/20. DATES: This action took effect April 20, Description: Tariff Amendment: Accession Number: 20200415–5011. 2020. Amendment to Revised Market-Based Comments Due: 5 p.m. ET 5/6/20. FOR FURTHER INFORMATION CONTACT: Kyle Rate Tariff to be effective 1/17/2020. The filings are accessible in the Filed Date: 4/14/20. McGowan, Office of the Chief of Staff, Commission’s eLibrary system by Centers for Disease Control and Accession Number: 20200414–5149. clicking on the links or querying the Comments Due: 5 p.m. ET 5/5/20. Prevention, 1600 Clifton Road NE, MS docket number. V18–2, Atlanta, GA 30329. Phone: 404– Docket Numbers: ER20–1024–001. Any person desiring to intervene or 639–7000. Email: cdcregulations@ Applicants: Mankato Energy Center II, protest in any of the above proceedings cdc.gov. LLC. must file in accordance with Rules 211 Description: Tariff Amendment: and 214 of the Commission’s SUPPLEMENTARY INFORMATION: On March Amendment to Revised Market-Based Regulations (18 CFR 385.211 and 20, 2020, the Director of the Centers for Rate Tariff to be effective 1/17/2020. 385.214) on or before 5:00 p.m. Eastern Disease Control and Prevention issued Filed Date: 4/14/20. time on the specified comment date. an Order prohibiting the introduction of Accession Number: 20200414–5150. Protests may be considered, but certain persons from countries where an Comments Due: 5 p.m. ET 5/5/20. intervention is necessary to become a outbreak of a communicable disease Docket Numbers: ER20–1564–000. party to the proceeding. exists (85 FR 17060; March 26, 2020).

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The Order was scheduled to expire I issued the March 20, 2020 Order • But for a suspension-of-entry order April 20, 2020.1 pursuant to §§ 362 and 365 of the Public under 42 U.S.C. 265, covered aliens Unfortunately, COVID–19 has Health Service (PHS) Act, 42 U.S.C. 265, would be subject to immigration continued to spread since the March 20 268, and the Act’s implementing processing at the land POEs and Border Order. Canada and Mexico continue to regulations, which authorize the Patrol stations, and during that see large numbers of COVID–19 Director of the Centers for Disease processing many of them (typically infections and deaths. In addition, the Control and Prevention (CDC) to aliens who lack valid travel documents United States has seen many states enter suspend the introduction of persons and are therefore inadmissible) would the acceleration phase of the COVID–19 into the United States when the Director be held in the common areas of the pandemic, which has strained the determines that the existence of a facilities, in close proximity to one healthcare system and prompted communicable disease in a foreign another, for hours or days; and • dramatic public health responses at the country or place creates a serious danger Such introduction into congregate local, state, and Federal levels. Millions of the introduction of such disease into settings of persons from Canada or of Americans are now complying with the United States, and the danger is so Mexico would increase the already local and state stay-at-home orders, increased by the introduction of persons serious danger to the public health to engaging in social distancing, and taking from the foreign country or place that a the point of requiring a temporary other precautions calculated to slow the temporary suspension of such suspension of the introduction of spread of, and protect others from, introduction is necessary to protect the covered aliens into the United States. COVID–19 has continued to spread COVID–19. At the Federal level, HHS public health. since the March 20, 2020 Order. Canada and the Department of Homeland The March 20, 2020 Order suspended and Mexico continue to see increasing Security (DHS) are working with public introduction of certain ‘‘covered aliens’’ numbers of COVID–19 infections and and private stakeholders to rapidly into the United States for a period of 30 deaths. In addition, the United States procure, distribute, and increase the days. The March 20, 2020 Order defined has seen many states experience supply of scarce medical and healthcare ‘‘covered aliens’’ as follows: exponential growth in the number of resources such as personal protective Persons traveling from Canada or Mexico confirmed COVID–19 cases, which has equipment (PPE), ventilators, and (regardless of their country of origin) who strained the healthcare system and therapeutics for the American public. would otherwise be introduced into a congregate setting in a land Port of Entry prompted dramatic public health The entire country has mobilized to responses at the local, state, and Federal save lives by limiting face-to-face (‘‘POE’’) or Border Patrol station at or near the United States border with Canada or levels. Millions of Americans are now contact and reserving medical and complying with local and state stay-at- healthcare resources for those who need Mexico, subject to exceptions. This order does not apply to U.S. citizens, lawful home orders, engaging in social them most. The determinations made in permanent residents, and their spouses and distancing, and taking other precautions support of the March 20 Order remain children; members of the armed forces of the calculated to slow the spread of, and correct and should continue in place United States, and associated personnel, and protect others from, COVID–19. At the until 11:59 p.m. EDT on May 20. their spouses and children; persons from Federal level, the U.S. Departments of A copy of the order is provided below foreign countries who hold valid travel Health and Human Services (HHS) and documents and arrive at a POE; or persons and a copy of the signed order can be Homeland Security (DHS) are working found at https://www.cdc.gov/ from foreign countries in the visa waiver program who are not otherwise subject to with public and private stakeholders to quarantine/aboutlawsregulations travel restrictions and arrive at a POE. rapidly procure, distribute, and increase quarantineisolation.html. the supply of scarce medical and In addition, the March 20, 2020 Order U.S. Department of Health and Human healthcare resources such as personal did not apply to ‘‘persons whom protective equipment (PPE), ventilators, Services Centers for Disease Control customs officers of DHS determine, with and Prevention (CDC) and therapeutics for the American approval from a supervisor, should be public. The entire country has Order Under Sections 362 & 365 of the excepted based on the totality of the mobilized to save lives by limiting face- Public Health Service Act circumstances, including consideration to-face contact and reserving medical of significant law enforcement, officer (42 U.S.C. 265, 268): and healthcare resources for those who and public safety, humanitarian, and need them most. At a time when these Extension of Order Suspending public health interests.’’ domestic efforts are ongoing and Introduction of Certain Persons From The March 20, 2020 Order was based effective, it would be counterproductive Countries Where a Communicable on the following determinations: and dangerous to undermine those Disease Exists • COVID–19 is a communicable efforts by permitting the introduction of I am extending the Order Suspending disease that poses a danger to the public persons from outside the United States Introduction of Certain Persons from health; who pose a risk of transmission of • Countries Where a Communicable COVID–19 is present in numerous COVID–19 within DHS facilities or the Disease Exists issued on March 20, 2020 foreign countries, including Canada and U.S. interior. until 11:59 p.m. EDT on May 20 or until Mexico; Further, the determinations made in • I determine that the danger of further There is a serious danger of the support of the March 20, 2020 Order introduction of COVID–19 into the introduction of COVID–19 into the land remain correct. If anything, they have United Sates has ceased to be a serious POEs and Border Patrol stations at or become more compelling. I therefore danger to the public health, whichever near the United States borders with conclude that the March 20, 2020 Order is sooner. I may further amend or extend Canada and Mexico, and into the should remain in effect until 11:59 p.m. the March 20, 2020 Order as needed to interior of the country as a whole, EDT on May 20. protect the public health. because COVID–19 exists in Canada, Mexico, and the other countries of COVID–19 Is Continuing To Spread in Canada, Mexico, and the United States 1 See 1 CFR 18.17. When a date falls on a origin of persons who migrate to the weekend or holiday, the next Federal business day United States across the land borders Since the March 20, 2020 Order, the is used. with Canada and Mexico; number of COVID–19 cases globally,

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including in Canada, Mexico, and the anticipated to seek medical care.7 face coverings when out in public.14 United States, has continued to Among people seeking medical care, it CDC expects widespread transmission increase. is projected that 80% (140,367) will be of COVID–19 in the United States will ambulatory patients, 14% (25,564) will occur and, in the coming months, most Canada need to be hospitalized without of the U.S. will be exposed to COVID– As of April 13, 2020, Canada has intensive care, and 6% (10,528) will 19.15 Nevertheless, not all areas of the reported 24,804 confirmed cases of require intensive care.8 United States are currently experiencing COVID–19, and a total of 734 deaths. On March 30, 2020, Mexico’s General high rates of infection or numbers of Canada has tested 422,200 people for Health Council declared a ‘‘State of confirmed cases. Generally speaking, COVID–19.2 The Public Health Agency Health Emergency’’ and suspended all COVID–19 is currently concentrated of Canada estimates that 72% of non-essential activities in the public along the East, West, and Gulf Coasts infections are the result of community and private sectors until April 30, and in the Great Lakes region; there are transmission. Canadian modeling 2020.9 The order granted full authority significantly fewer cases in the interior indicates that, with the use of strong to the Secretariat of Health to take of the United States.16 Limiting the epidemic controls resulting in a 2.5% action to address the pandemic across spread of COVID–19 in these less infection rate, Canada could see 940,000 Mexico. The central guidance of the affected areas is a critical component of people with infections, 73,000 Mexican health authorities is to the overall U.S. strategy to ‘‘flatten the hospitalizations, and 23,000 people maximize social distancing and that curve,’’ which requires limiting the requiring intensive care over the course people should only leave their homes number of foci, or infected individuals, of the COVID–19 pandemic.3 for essential activities, such as to who may enter these areas. Canada has implemented and procure food or medical care.10 State Joint Efforts maintained robust public health and local authorities in several Mexican measures to slow the spread of COVID– states also are enforcing non-essential On March 20, 2020, the United States 19, including closures of public schools business closures and self-quarantine and Canada jointly decided to restrict and cancelation of public events.4 Non- measures. all non-essential travel across the U.S.- essential businesses have been closed United States Canadian border for 30 days, with across the country. limited exceptions for U.S. citizens and As of April 13, 2020, the United others entering Canada for essential Mexico States has reported 554,849 confirmed business, provided these individuals cases of COVID–19 across the United As of April 12, 2020, Mexico has 11 have not been outside Canada or the reported 3,844 confirmed cases of States and 21,942 deaths. Community United States in the 14 days prior to transmission of COVID–19 is occurring COVID–19 and 233 deaths.5 requesting entry into Canada. Foreign in many locations across the United Nevertheless, based on public health nationals, excluding those arriving from States. Several cities and states have surveillance, Mexico estimates that its the U.S., will not be allowed into experienced widespread, sustained current case count is 26,519. Mexico’s Canada, subject to certain exceptions.17 community transmission to the extent modeling, based on World Health The Canadian government is requiring that their healthcare and public health Organization (WHO) reporting from individuals returning home to Canada to systems are at risk of being China, assumes a 0.2% infection rate self-isolate for 14 days upon their overwhelmed. This includes parts of with 250,656 infected people during the return.18 Individuals exhibiting states and territories at or near borders acceleration phase of the pandemic.6 Of symptoms of COVID–19 are not of the United States which are reporting those people, 70% (175,459) are permitted to enter Canada, except for large increases in new COVID–19 cases 12 Canadian citizens or permanent since the March 20, 2020 Order. 19 2 Government of Canada, Coronavirus disease In addition to practicing rigorous residents. (COVID–19): Outbreak Update (Apr. 13, 2020), Similarly, on March 20, 2020, the https://www.canada.ca/en/public-health/services/ hygiene and social distancing and 13 United States and Mexico announced a diseases/2019-novel-coronavirus- limiting non-essential travel, CDC’s infection.html?topic=tilelink#a2. guidance to the general public has joint initiative temporarily restricting all 3 Public Health Agency of Canada, COVID–19 in expanded to include the non-essential travel across their border Canada: Using Data and Modeling to Inform Public recommendation that individuals wear in an effort to combat the spread of Health Action (Apr. 9, 2020), available at https:// COVID–19.20 www.canada.ca/content/dam/phac-aspc/ documents/services/diseases/2019-novel- 7 Id. 14 coronavirus-infection/using-data-modelling-inform- 8 Id. CDC, COVID–19: How to Wear a Cloth Face eng.pdf. 9 U.S. Department of State, U.S. Embassy and Covering (last reviewed Apr. 9, 2020), https:// www.cdc.gov/coronavirus/2019-ncov/prevent- 4 See generally Kristin Rushowy, The Star, Consulates in Mexico, Health Alert—Mexico getting-sick/diy-cloth-face-coverings.html. Ontario Schools Will Remain Closed Until at Least COVID–19 Update (Apr. 10, 2020), https:// 15 May 4. But Kids Can Expect Marks (Mar. 31, 2020), mx.usembassy.gov/health-alert-mexico-covid-19- CDC, Testing for COVID–19 (Mar. 21, 2020), https://www.thestar.com/politics/provincial/2020/ update-04-10-2020/. https://www.cdc.gov/coronavirus/2019-ncov/ 03/31/ontario-schools-wont-open-until-at-least- 10 Id. symptoms-testing/testing.html. 16 may.html; Ryan Rocca, Global News, Coronavirus: 11 CDC, Cases in U.S. (updated Apr. 13, 2020), See Johns Hopkins University, COVID–19 City of Toronto Cancels Events Through June 30, https://www.cdc.gov/coronavirus/2019-ncov/cases- United States Cases by County, https:// including Pride Parade (updated Apr. 1, 2020), updates/cases-in-us.html. coronavirus.jhu.edu/us-map. 17 https://globalnews.ca/news/6758350/coronavirus- 12 The New York Times, Coronavirus in the U.S.: See Notification of Temporary Travel toronto-cancels-events-pride-parade/. Latest Map and Case Count (Apr. 13, 2020), https:// Restrictions Applicable to Land Ports of Entry and 5 World Health Organization, Coronavirus Disease www.nytimes.com/interactive/2020/us/coronavirus- Ferries Service Between the United States and 2019 (COVID–19) Situation Report—83 (Apr. 12, us-cases.html#states; see also CDC, Coronavirus Canada, 85 FR 16548 (Mar. 24, 2020). 2020), https://www.who.int/docs/default-source/ Disease 2019 (COVID–19): Cases in U.S.: States 18 Government of Canada, Coronavirus disease coronaviruse/situation-reports/20200412-sitrep-83- Reporting Cases of COVID–19 to CDC (Apr. 14, (COVID–19): Canada’s Response, https:// covid-19.pdf?sfvrsn= 697ce98d_4. 2020), https://www.cdc.gov/coronavirus/2019-ncov/ www.canada.ca/en/public-health/services/diseases/ 6 Secretaria De Salud, COVID–19: Comunicado cases-updates/cases-in-us.html#cumulative. 2019-novel-coronavirus-infection/canadas- Tecnico Diario (Mar. 17, 2020), available at https:// 13 CDC, COVID–19: How to Protect Yourself and reponse.html?topic=tilelink. www.gob.mx/cms/uploads/attachment/file/541879/ Others (last reviewed Apr. 8, 2020), https:// 19 Id. COVID-19_-_Presentacion_Comunicado_Tecnico_ www.cdc.gov/coronavirus/2019-ncov/prevent- 20 U.S. Department of Homeland Security, Joint Diario_2020.03.17.pdf.pdf. getting-sick/prevention.html. Statement on U.S.-Mexico Joint Initiative to Combat

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Availability of Rapid COVID–19 Testing near our borders with Canada and opportunity to comment on this order 23 Since the March 20, 2020 Order, rapid Mexico that have not yet experienced and a delay in effective date. Given testing for COVID–19 has been widespread community transmission. the public health emergency caused by developed that can provide results in The on-going COVID–19 pandemic, COVID–19, it would be impracticable approximately 15 minutes and including in Canada and Mexico, and contrary to the public health—and, manufacturers are currently ramping up remains a serious danger to such by extension, the public interest—to production and distribution of rapid locations. delay the issuing and effective date of COVID–19 testing.21 Although rapid In the March 20, 2020 Order, I found this order. In addition, because this COVID–19 testing could ameliorate the risks troubling partly because order concerns ongoing discussions some of the public health concerns outbreaks of COVID–19 in POEs or with Canada and Mexico on how to best associated with congregate detention in Border Patrol stations would lead U.S. control COVID–19 transmission over DHS border facilities, rapid COVID–19 Customs and Border Protection to our shared borders, it directly testing is not yet widely available, and transfer persons with acute ‘‘involve[s] . . . a . . . foreign affairs demand outstrips supply. Moreover, presentations of illness to local or function of the United States.’’ 5 U.S.C. once it is available, rapid COVID–19 regional healthcare providers for 553(a)(1). Notice and comment and a testing should be prioritized to certain treatment, which would exhaust the delay in effective date would not be key locations, such as hospitals treating local or regional healthcare resources or required for that reason as well. high numbers of COVID–19 patients, at least reduce the availability of such * * * * * where the ability to quickly determine resources to the domestic population, The March 20, 2020 Order shall whether doctors and nurses have been and further expose local or regional remain in effect until 11:59 p.m. EDT on infected with COVID–19 could increase healthcare workers to COVID–19. May 20, 2020. Millions of Americans are complying the availability of care providers by Authority eliminating the need for these with local and state stay-at-home orders, individuals to self-isolate while engaging in social distancing, and taking The authority for these orders is awaiting test results. other precautions calculated to slow the Sections 362 and 365 of the Public spread, protect others, and relieve the Health Service Act (42 U.S.C. 265, 268) Determination and Implementation strain on the healthcare system. Their and 42 CFR 71.40. Based on the foregoing, I find that the efforts would be significantly Dated: April 19, 2020. global presence of COVID–19, including undermined if outbreaks of COVID–19 Robert K. McGowan, in Canada, Mexico, still presents a in land POEs or Border Patrol stations Chief of Staff, Centers for Disease Control danger of further introduction of crippled the DHS workforce and local or and Prevention. COVID–19 into the United States. This regional healthcare systems. [FR Doc. 2020–08605 Filed 4–20–20; 9:00 am] is true notwithstanding the community I consulted with DHS before issuing BILLING CODE 4163–18–P transmission of COVID–19 in many this Order and requested that DHS locations across the United States. There continue to implement the March 20, are many locations in the United States 2020 Order because CDC does not have DEPARTMENT OF HEALTH AND the capability, resources, or personnel HUMAN SERVICES the COVID–19 Pandemic (Mar. 20, 2020), available needed to alternatively issue quarantine at https://www.dhs.gov/news/2020/03/20/joint- or isolation orders.22 Food and Drug Administration statement-us-mexico-joint-initiative-combat-covid- The March 20, 2020 Order shall 19-pandemic. [Docket No. FDA–2019–D–5573] 21 For instance, on March 27, 2020, Abbott remain in effect until 11:59 p.m. EDT on received emergency use authorization from the U.S. May 20, or until I determine that the Technical Considerations for Food and Drug Administration (‘‘FDA’’) for the danger of further introduction of Demonstrating Reliability of fastest available point-of-care test for COVID–19. COVID–19 into the United Sates has Abbott, ‘‘Detect COVID–19 in as Little as 5 Emergency-Use Injectors Submitted Minutes’’ (Mar. 27, 2020), https://www.abbott.com/ ceased to be a serious danger to the Under a Biologics License Application, corpnewsroom/product-and-innovation/detect- public health, whichever is sooner. I New Drug Application, or Abbreviated covid-19-in-as-little-as-5-minutes.html; see may further amend or extend the March New Drug Application; Draft Guidance generally U.S. Food and Drug Administration, 20, 2020 Order as needed to protect the Emergency Use Authorizations, https:// for Industry and Food and Drug www.fda.gov/medical-devices/emergency- public health. Administration; Availability situations-medical-devices/emergency-use- This Order is not a rule subject to authorizations#covid19ivd. Rapid COVID–19 notice and comment under the AGENCY: Food and Drug Administration, testing will significantly reduce the time needed to Administrative Procedure Act (APA). In HHS. confirm a suspected diagnosis of COVID–19, which ACTION: currently may take as long as three to four days. See the event this order qualifies as a rule Notice of availability. CDC, Order Suspending Introduction of Certain subject to notice and comment, a delay SUMMARY: Persons from Countries where a Communicable in effective date are not required The Food and Drug Disease Exists (Mar. 20, 2020), available at https:// because there is good cause to dispense Administration (FDA or Agency) is www.cdc.gov/quarantine/pdf/CDC-Order- with prior public notice and the announcing the availability of a draft Prohibiting-Introduction-of-Persons_Final_3-20-20_ guidance for industry and FDA entitled 3-p.pdf; see also CDC, Interim Guidelines for Collecting, Handling, and Testing Clinical 22 As previously discussed in the March 20, 2020 ‘‘Technical Considerations for Specimens from Persons for Coronavirus Disease Order, CDC relies on the Department of Defense, Demonstrating Reliability of Emergency- 2019 (COVID–19) (updated Apr. 8, 2020), https:// other federal agencies, and state and local Use Injectors Submitted under a BLA, www.cdc.gov/coronavirus/2019-nCoV/lab/ governments to provide both logistical support and NDA or ANDA.’’ For injectable drug or guidelines-clinical-specimens.html. When a case of facilities for federal quarantines. See 42 U.S.C. COVID–19 is suspected, the sooner that 268(b) (requiring customs officers to aid in the biological products that are intended to confirmatory test results are available, the more enforcement of quarantine regulations). CDC lacks treat emergent, life-threatening quickly treatment and isolation and quarantine the resources, staffing, and facilities to quarantine conditions, it is essential to ensure that measures can be implemented, lowering the risk of covered aliens. Similarly, DHS has informed CDC the emergency-use injector will reliably infecting others. See CDC, Evaluating and Testing that in the near term, it is not financially or Persons for Coronavirus Disease 2019 (COVID–19) logistically practicable for DHS to build additional deliver the drug or biological product as (updated Mar. 24, 2020), https://www.cdc.gov/ facilities at POEs and Border Patrol stations for coronavirus/2019-nCoV/hcp/clinical-criteria.html. purposes of quarantine or isolation. 23 See 5 U.S.C. 553(b)(B) and (d)(3).

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intended. This is particularly critical for 2019–D–5573 for ‘‘Technical 4th Floor, Silver Spring, MD 20993– drugs when failure of the injector may Considerations for Demonstrating 0002. Send one self-addressed adhesive prevent adequate delivery of a life- Reliability of Emergency-Use Injectors label to assist that office in processing saving drug to a patient. The draft Submitted under a BLA, NDA or ANDA: your requests. See the SUPPLEMENTARY guidance describes the technical Guidance for Industry and FDA.’’ INFORMATION section for electronic considerations for demonstrating Received comments will be placed in access to the draft guidance document. reliability of emergency-use injectors the docket and, except for those FOR FURTHER INFORMATION CONTACT: under a biologics license application submitted as ‘‘Confidential Patricia Love, Office of Combination (BLA), new drug application (NDA), or Submissions,’’ publicly viewable at Products, Food and Drug abbreviated new drug application https://www.regulations.gov or at the Administration, 10903 New Hampshire (ANDA). Dockets Management Staff between 9 Ave., Bldg. 32, Rm. 5129, Silver Spring, DATES: Submit either electronic or a.m. and 4 p.m., Monday through MD 20993, 301–796–8930, Friday. written comments on the draft guidance • [email protected] or by June 22, 2020 to ensure that the Confidential Submissions—To [email protected]. submit a comment with confidential Agency considers your comment on this SUPPLEMENTARY INFORMATION: draft guidance before it begins work on information that you do not wish to be the final version of the guidance. made publicly available, submit your I. Background comments only as a written/paper ADDRESSES: You may submit comments FDA is announcing the availability of submission. You should submit two on any guidance at any time as follows: a draft guidance for industry and FDA copies total. One copy will include the entitled ‘‘Technical Considerations for Electronic Submissions information you claim to be confidential Demonstrating Reliability of Emergency- with a heading or cover note that states Submit electronic comments in the Use Injectors Submitted under a BLA, ‘‘THIS DOCUMENT CONTAINS following way: NDA or ANDA.’’ For injectable drug or • CONFIDENTIAL INFORMATION.’’ The Federal eRulemaking Portal: biological products that are intended to https://www.regulations.gov. Follow the Agency will review this copy, including the claimed confidential information, in treat emergent, life-threatening instructions for submitting comments. conditions, it is essential to ensure that Comments submitted electronically, its consideration of comments. The second copy, which will have the the injector will reliably deliver the including attachments, to https:// drug or biological product as intended. www.regulations.gov will be posted to claimed confidential information redacted/blacked out, will be available This is particularly critical for drugs the docket unchanged. Because your when failure of the emergency-use comment will be made public, you are for public viewing and posted on https://www.regulations.gov. Submit injector may prevent adequate delivery solely responsible for ensuring that your of a life-saving drug to a patient. This comment does not include any both copies to the Dockets Management Staff. If you do not wish your name and guidance’s focus is emergency-use confidential information that you or a injectors marketed with the emergency- third party may not wish to be posted, contact information to be made publicly available, you can provide this use drug/biological product as a such as medical information, your or prefilled single entity combination anyone else’s Social Security number, or information on the cover sheet and not in the body of your comments and you product or as a co-packaged confidential business information, such combination product assigned to the as a manufacturing process. Please note must identify this information as ‘‘confidential.’’ Any information marked Center for Drug Evaluation and Research that if you include your name, contact or the Center for Biologics Evaluation information, or other information that as ‘‘confidential’’ will not be disclosed except in accordance with 21 CFR 10.20 and Research with market authorization identifies you in the body of your under an approved NDA, ANDA, or comments, that information will be and other applicable disclosure law. For more information about FDA’s posting BLA. posted on https://www.regulations.gov. The draft guidance describes the • If you want to submit a comment of comments to public dockets, see 80 technical considerations for with confidential information that you FR 56469, September 18, 2015, or access demonstrating reliability of emergency- do not wish to be made available to the the information at: https:// use injectors under an NDA, ANDA, or public, submit the comment as a www.govinfo.gov/content/pkg/FR-2015- BLA. For purposes of the draft guidance, written/paper submission and in the 09-18/pdf/2015-23389.pdf. manner detailed (see ‘‘Written/Paper Docket: For access to the docket to reliability is defined as the probability Submissions’’ and ‘‘Instructions’’). read background documents or the that the injector will perform as electronic and written/paper comments intended, without failure, for a given Written/Paper Submissions received, go to https:// time interval under specified Submit written/paper submissions as www.regulations.gov and insert the conditions. The document describes follows: docket number, found in brackets in the information and data that FDA • Mail/Hand Delivery/Courier (for heading of this document, into the recommends be included in marketing written/paper submissions): Dockets ‘‘Search’’ box and follow the prompts applications to demonstrate that an Management Staff (HFA–305), Food and and/or go to the Dockets Management emergency-use injector is reliable, Drug Administration, 5630 Fishers Staff, 5630 Fishers Lane, Rm. 1061, including the details of an example of Lane, Rm. 1061, Rockville, MD 20852. Rockville, MD 20852. an acceptable approach for the • For written/paper comments You may submit comments on any mathematical model, statistics, fault tree submitted to the Dockets Management guidance at any time (see 21 CFR analysis, and use of certain current good Staff, FDA will post your comment, as 10.115(g)(5)). manufacturing practice requirements for well as any attachments, except for Submit written requests for single combination products (21 CFR information submitted, marked and copies of the draft guidance to the 4.4(b)(1)(ii) and (iv)) to establish identified, as confidential, if submitted Division of Drug Information, Center for reliability of the emergency-use injector. as detailed in ‘‘Instructions.’’ Drug Evaluation and Research, Food This draft guidance is being issued Instructions: All submissions received and Drug Administration, 10001 New consistent with FDA’s good guidance must include the Docket No. FDA– Hampshire Ave., Hillandale Building, practices regulation (21 CFR 10.115).

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The draft guidance, when finalized, will DEPARTMENT OF HEALTH AND manner detailed (see ‘‘Written/Paper represent the current thinking of FDA HUMAN SERVICES Submissions’’ and ‘‘Instructions’’). on ‘‘Technical Considerations for Written/Paper Submissions Demonstrating Reliability of Emergency- Food and Drug Administration Submit written/paper submissions as Use Injectors Submitted under a BLA, [Docket No. FDA–2018–D–4711] follows: NDA or ANDA.’’ It does not establish • Nonbinding Feedback After Certain Mail/Hand Delivery/Courier (for any rights for any person and is not written/paper submissions): Dockets binding on FDA or the public. You can Food and Drug Administration Inspections of Device Establishments; Management Staff (HFA–305), Food and use an alternative approach if it satisfies Drug Administration, 5630 Fishers the requirements of the applicable Guidance for Industry and Food and Drug Administration Staff; Availability Lane, Rm. 1061, Rockville, MD 20852. statutes and regulations. • For written/paper comments AGENCY: II. Paperwork Reduction Act of 1995 Food and Drug Administration, submitted to the Dockets Management HHS. Staff, FDA will post your comment, as This draft guidance refers to currently ACTION: Notice of availability. well as any attachments, except for approved FDA collections of information submitted, marked and SUMMARY: The Food and Drug information. These collections of identified, as confidential, if submitted Administration (FDA or Agency) is information are subject to review by the as detailed in ‘‘Instructions.’’ announcing the availability of a final Office of Management and Budget Instructions: All submissions received guidance entitled ‘‘Nonbinding must include the Docket No. FDA– (OMB) under the Paperwork Reduction Feedback After Certain FDA Inspections 2018–D–4711 for ‘‘Nonbinding Act of 1995 (44 U.S.C. 3501–3521). The of Device Establishments.’’ FDA is Feedback After Certain FDA Inspections collections of information in 21 CFR issuing this guidance to comply with of Device Establishments.’’ Received part 314 for NDAs have been approved the FDA Reauthorization Act of 2017 comments will be placed in the docket under OMB control number 0910–0001. (FDARA), which amended the Federal and, except for those submitted as The collections of information in 21 Food, Drug, and Cosmetic Act (FD&C ‘‘Confidential Submissions,’’ publicly CFR part 601 for BLAs have been Act). This guidance identifies a viewable at https://www.regulations.gov approved under OMB control number standardized method for or at the Dockets Management Staff 0910–0338. The collections of communicating and submitting requests between 9 a.m. and 4 p.m., Monday information in 21 CFR part 814, subpart for nonbinding feedback and describes through Friday. B, for premarket approval applications how FDA evaluates and responds to • Confidential Submissions—To have been approved under OMB control such requests. submit a comment with confidential number 0910–0231. The collections of DATES: The announcement of the information that you do not wish to be information section 510(k) of the guidance is published in the Federal made publicly available, submit your Federal Food, Drug, and Cosmetic Act Register on April 22, 2020. comments only as a written/paper (21 U.S.C. 360(k)), subpart E for 510(k) ADDRESSES: You may submit either submission. You should submit two notifications, have been approved under electronic or written comments on copies total. One copy will include the OMB control number 0910–0120. The Agency guidances at any time as information you claim to be confidential collections of information in the follows: with a heading or cover note that states ‘‘THIS DOCUMENT CONTAINS guidance for industry and FDA staff Electronic Submissions entitled ‘‘De Novo Classification Process CONFIDENTIAL INFORMATION.’’ The Agency will review this copy, including (Evaluation of Automatic Class III Submit electronic comments in the the claimed confidential information, in Designation)’’ have been approved following way: • Federal eRulemaking Portal: its consideration of comments. The under OMB control number 0910–0844. https://www.regulations.gov. Follow the second copy, which will have the The collections of information in 21 instructions for submitting comments. claimed confidential information CFR part 820 have been approved under Comments submitted electronically, redacted/blacked out, will be available OMB control number 0910–0073. including attachments, to https:// for public viewing and posted on III. Electronic Access www.regulations.gov will be posted to https://www.regulations.gov. Submit the docket unchanged. Because your both copies to the Dockets Management Persons with access to the internet comment will be made public, you are Staff. If you do not wish your name and may obtain the draft guidance at either solely responsible for ensuring that your contact information to be made publicly https://www.fda.gov/regulatory- comment does not include any available, you can provide this information/search-fda-guidance- confidential information that you or a information on the cover sheet and not documents/combination-products- third party may not wish to be posted, in the body of your comments and you guidance-documents or https:// such as medical information, your or must identify this information as www.regulations.gov. anyone else’s Social Security number, or ‘‘confidential.’’ Any information marked confidential business information, such as ‘‘confidential’’ will not be disclosed Dated: April 16, 2020. as a manufacturing process. Please note except in accordance with 21 CFR 10.20 Lowell J. Schiller, that if you include your name, contact and other applicable disclosure law. For Principal Associate Commissioner for Policy. information, or other information that more information about FDA’s posting [FR Doc. 2020–08466 Filed 4–21–20; 8:45 am] identifies you in the body of your of comments to public dockets, see 80 BILLING CODE 4164–01–P comments, that information will be FR 56469, September 18, 2015, or access posted on https://www.regulations.gov. the information at: https:// • If you want to submit a comment www.govinfo.gov/content/pkg/FR-2015- with confidential information that you 09-18/pdf/2015-23389.pdf. do not wish to be made available to the Docket: For access to the docket to public, submit the comment as a read background documents or the written/paper submission and in the electronic and written/paper comments

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received, go to https:// I. Background of Device Establishments.’’ It does not www.regulations.gov and insert the FDA is issuing this guidance to establish any rights for any person and docket number, found in brackets in the comply with section 702 of FDARA is not binding on FDA or the public. heading of this document, into the (Pub. L. 115–52), which amended You can use an alternative approach if ‘‘Search’’ box and follow the prompts section 704 of the FD&C Act (21 U.S.C. it satisfies the requirements of the and/or go to the Dockets Management 374). The purpose of this guidance is to applicable statutes and regulations. Staff, 5630 Fishers Lane, Rm. 1061, explain how the owner, operator, or III. Electronic Access Rockville, MD 20852. agent in charge of a device You may submit comments on any establishment may submit a request for Persons interested in obtaining a copy guidance at any time (see 21 CFR nonbinding feedback to FDA regarding of the guidance may do so by 10.115(g)(5)). actions the firm has proposed to take to downloading an electronic copy from An electronic copy of the guidance address certain kinds of inspectional the internet. A search capability for all document is available for download observations that have been Center for Devices and Radiological from the internet. See the documented on an FDA Inspectional Health guidance documents is available SUPPLEMENTARY INFORMATION section for Observations Form (Form FDA 483) and at https://www.fda.gov/MedicalDevices/ information on electronic access to the issued to the firm upon completion of DeviceRegulationandGuidance/ guidance. Submit written requests for a an inspection of the firm’s GuidanceDocuments/default.htm. This single hard copy of the guidance establishment. This guidance identifies guidance document is also available at document entitled ‘‘Nonbinding a standardized method for https://www.regulations.gov or https:// Feedback After Certain FDA Inspections communicating and submitting requests www.fda.gov/vaccines-blood-biologics/ of Device Establishments’’ to the Office for nonbinding feedback and describes guidance-compliance-regulatory- of Policy, Guidance and Policy how FDA evaluates and responds to information-biologics/biologics- Development, Center for Devices and such requests. guidances. Persons unable to download Radiological Health, Food and Drug FDA considered comments received an electronic copy of ‘‘Nonbinding Administration, 10903 New Hampshire on the draft guidance that appeared in Feedback After Certain FDA Inspections Ave., Bldg. 66, Rm. 5431, Silver Spring, the Federal Register of February 19, of Device Establishments’’ may send an MD 20993–0002. Send one self- 2019 (84 FR 4823). FDA revised the email request to CDRH-Guidance@ addressed adhesive label to assist that guidance as appropriate in response to fda.hhs.gov to receive an electronic office in processing your request. the comments, including clarifying that copy of the document. Please use the document number 17047 to identify the FOR FURTHER INFORMATION CONTACT: if a request for nonbinding feedback guidance you are requesting. Patrick Weixel, Center for Devices and does not meet the statutory criteria, FDA Radiological Health, Food and Drug may choose to respond to these requests IV. Paperwork Reduction Act of 1995 Administration, 10903 New Hampshire through an alternate mechanism (e.g., This guidance refers to previously Ave., Bldg. 66, Rm. 1535, Silver Spring, written correspondence, teleconference, approved collections of information. MD 20993–0002, 301–796–5537 or face-to-face meeting) at its discretion. These collections of information are Stephen Ripley, Center for Biologics II. Significance of Guidance subject to review by the Office of Evaluation and Research, Food and This guidance is being issued Management and Budget (OMB) under Drug Administration, 10903 New consistent with FDA’s good guidance the Paperwork Reduction Act of 1995 Hampshire Ave., Bldg. 71, Rm. 7301, practices regulation (21 CFR 10.115). (44 U.S.C. 3501–3521). The collections Silver Spring, MD 20993, 240–402– The guidance represents the current of information in the following FDA 7911. thinking of FDA on ‘‘Nonbinding guidance have been approved by OMB SUPPLEMENTARY INFORMATION: Feedback After Certain FDA Inspections as listed in the following table:

OMB 21 CFR guidance Topic control No.

‘‘Nonbinding Feedback After Certain FDA Inspections of Device Establishments’’ ...... Nonbinding Feedback ...... 0910–0886

Dated: April 16, 2020. The meetings will be closed to the Time: 11:00 a.m. to 6:00 p.m. Lowell J. Schiller, public in accordance with the Agenda: To review and evaluate grant Principal Associate Commissioner for Policy. provisions set forth in sections applications. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: National Institutes of Health, [FR Doc. 2020–08461 Filed 4–21–20; 8:45 am] Rockledge II, 6701 Rockledge Dr., Bethesda, BILLING CODE 4164–01–P as amended. The grant applications and MD 20892 (Virtual Meeting). the discussions could disclose Contact Person: Svetlana Kotliarova, Ph.D., confidential trade secrets or commercial Scientific Review Officer, Center for DEPARTMENT OF HEALTH AND property such as patentable material, Scientific Review, National Institutes of HUMAN SERVICES and personal information concerning Health, 6701 Rockledge Drive, Room 6214, individuals associated with the grant Bethesda, MD 20892, 301–594–7945, National Institutes of Health applications, the disclosure of which [email protected]. would constitute a clearly unwarranted Name of Committee: Center for Scientific Center for Scientific Review; Notice of invasion of personal privacy. Review Special Emphasis Panel; Closed Meetings Bioengineering Sciences and Technologies: Name of Committee: Center for Scientific AREA/REAP Review. Pursuant to section 10(d) of the Review Special Emphasis Panel; NIH Date: May 28, 2020. Federal Advisory Committee Act, as Research Enhancement Award (R15) in Time: 9:00 a.m. to 6:00 p.m. amended, notice is hereby given of the Oncological Sciences. Agenda: To review and evaluate grant following meetings. Date: May 27, 2020. applications.

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Place: National Institutes of Health, Bethesda, MD 20892 which was Related to Neurological Disorders; 93.854, Rockledge II, 6701 Rockledge Dr., Bethesda, published in the Federal Register on Biological Basis Research in the MD 20892 (Virtual Meeting). January 29, 2020, 85 FR 5218. Neurosciences, National Institutes of Health, Contact Person: David Filpula, Ph.D., This notice is being amended to HHS) Scientific Review Officer, Center for Scientific Review, National Institutes of change the meeting date, time and Dated: April 16, 2020. location from May 12–13, 2020, 8:30 Health, 6701 Rockledge Drive, Room 6181, Tyeshia M. Roberson, MSC 7892, Bethesda, MD 20892, 301–435– a.m. to 3:45 p.m., Porter Neuroscience Program Analyst, Office of Federal Advisory 2902, [email protected]. Research Center, Building 35A, Convent Committee Policy. Name of Committee: Cell Biology Drive, Bethesda, MD 20892 to May 12, [FR Doc. 2020–08549 Filed 4–21–20; 8:45 am] Integrated Review Group; Cellular Signaling 2020, 11:30 a.m. to 3:45 p.m., as a and Regulatory Systems Study Section. virtual meeting. Any member of the BILLING CODE 4140–01–P Date: May 28–29, 2020. public may submit written comments no Time: 10:00 a.m. to 5:00 p.m. later than 15 days after the meeting. Agenda: To review and evaluate grant DEPARTMENT OF HEALTH AND applications. Dated: April 16, 2020. HUMAN SERVICES Place: National Institutes of Health, Miguelina Perez, Rockledge II, 6701 Rockledge Dr., Bethesda, Program Analyst, Office of Federal Advisory National Institutes of Health MD 20892 (Virtual Meeting). Committee Policy. Contact Person: David Balasundaram, [FR Doc. 2020–08471 Filed 4–21–20; 8:45 am] National Institute on Aging; Notice of Ph.D., Scientific Review Officer, Center for Closed Meeting Scientific Review, National Institutes of BILLING CODE 4140–01–P Health, 6701 Rockledge Drive, Room 5189, MSC 7840, Bethesda, MD 20892, 301–435– Pursuant to section 10(d) of the 1022, [email protected]. DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as Name of Committee: Center for Scientific HUMAN SERVICES amended, notice is hereby given of the Review Special Emphasis Panel; Early Phase following meeting. National Institutes of Health Clinical Trials in Imaging and Image-Guided The meeting will be closed to the Interventions (R01 Clinical Trial Required). public in accordance with the Date: May 28, 2020. National Institute of Neurological Time: 12:30 p.m. to 3:30 p.m. Disorders and Stroke; Notice of Closed provisions set forth in sections Agenda: To review and evaluate grant Meeting 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications. as amended. The grant applications and Place: National Institutes of Health, Pursuant to section 10(d) of the the discussions could disclose Rockledge II, 6701 Rockledge Dr., Bethesda, Federal Advisory Committee Act, as confidential trade secrets or commercial MD 20892 (Telephone Conference Call). amended, notice is hereby given of the property such as patentable material, following meeting. Contact Person: Ileana Hancu, Ph.D., and personal information concerning Scientific Review Officer, Center for The meeting will be closed to the individuals associated with the grant Scientific Review, National Institutes of public in accordance with the applications, the disclosure of which Health, 6701 Rockledge Drive, Room 5116, provisions set forth in sections would constitute a clearly unwarranted Bethesda, MD 20817, 3014023911, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., invasion of personal privacy. [email protected]. as amended. The grant applications and (Catalogue of Federal Domestic Assistance the discussions could disclose Name of Committee: National Institute on Program Nos. 93.306, Comparative Medicine; confidential trade secrets or commercial Aging Special Emphasis Panel; Advancing 93.333, Clinical Research, 93.306, 93.333, and Examinng Diversity Training in Aging 93.337, 93.393–93.396, 93.837–93.844, property such as patentable material, Research (R24/R25). 93.846–93.878, 93.892, 93.893, National and personal information concerning Institutes of Health, HHS) individuals associated with the grant Date: May 14, 2020. applications, the disclosure of which Time: 1:00 p.m. to 4:30 p.m. Dated: April 16, 2020. would constitute a clearly unwarranted Agenda: To review and evaluate grant Ronald J. Livingston, Jr., invasion of personal privacy. applications. Program Analyst, Office of Federal Advisory Place: National Institute on Aging, Name of Committee: National Institute of Committee Policy. Gateway Building, 7201 Wisconsin Avenue, Neurological Disorders and Stroke Special [FR Doc. 2020–08468 Filed 4–21–20; 8:45 am] Emphasis Panel R13 review. Bethesda, MD 20892 (Telephone Conference BILLING CODE 4140–01–P Date: April 23, 2020. Call). Time: 1:00 p.m. to 2:00 p.m. Contact Person: Carmen Moten, Ph.D., Agenda: To review and evaluate grant MPH, Scientific Review Officer, Scientific DEPARTMENT OF HEALTH AND applications. Review Branch, National Institute on Aging, HUMAN SERVICES Place: National Institutes of Health, 6101 National Institutes of Health, Gateway Bldg., Executive Boulevard, Rockville, MD 20852 2C212, 7201 Wisconsin Avenue Bethesda, National Institutes of Health (Telephone Conference Call). MD 20814, (301) 402–7703, cmoten@ Contact Person: Li Jia, Ph.D., Scientific mail.nih.gov. National Institute of Diabetes and Review Officer, Scientific Review Branch, Digestive and Kidney Diseases; Division of Extramural Research, NINDS/ (Catalogue of Federal Domestic Assistance Amended Notice of Meeting NIH, 6001 Executive Boulevard, Room Program Nos. 93.866, Aging Research, 3208D, Rockville, MD 20852, 301 451–2854, National Institutes of Health, HHS) Notice is hereby given of a change in [email protected]. Dated: April 16, 2020. the meeting of the National Diabetes and This notice is being published less than 15 Digestive and Kidney Diseases Advisory days prior to the meeting due to the timing Miguelina Perez, Council, May 12, 2020, 11:30 a.m. to limitations imposed by the review and Program Analyst, Office of Federal Advisory May 12, 2020, 3:45 p.m., National funding cycle. Committee Policy. Institutes of Health, Two Democracy (Catalogue of Federal Domestic Assistance [FR Doc. 2020–08469 Filed 4–21–20; 8:45 am] Plaza, 6707 Democracy Boulevard, Program Nos. 93.853, Clinical Research BILLING CODE 4140–01–P

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DEPARTMENT OF HEALTH AND Drive, Bethesda, MD 20892 which was in effect prior to this determination for HUMAN SERVICES published in the Federal Register on the listed communities. December 03, 2019, 84 FR 66211. From the date of the second National Institutes of Health This notice is being amended to publication of notification of these change the meeting location from (in- changes in a newspaper of local Center for Scientific Review; Notice of person location) to a virtual meeting. circulation, any person has 90 days in Closed Meeting The url link to this meeting is: https:// which to request through the Pursuant to section 10(d) of the www.nidcd.nih.gov/about/advisory- community that the Deputy Associate Federal Advisory Committee Act, as council/upcoming-meetings. The Administrator for Insurance and amended, notice is hereby given of the meeting is partially Closed to the public. Mitigation reconsider the changes. The flood hazard determination information following meeting. Dated: April 16, 2020. The meeting will be closed to the may be changed during the 90-day Miguelina Perez, period. public in accordance with the Program Analyst, Office of Federal Advisory provisions set forth in sections Committee Policy. ADDRESSES: The affected communities 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., [FR Doc. 2020–08470 Filed 4–21–20; 8:45 am] are listed in the table below. Revised flood hazard information for each as amended. The grant applications and BILLING CODE 4140–01–P the discussions could disclose community is available for inspection at confidential trade secrets or commercial both the online location and the property such as patentable material, respective community map repository and personal information concerning DEPARTMENT OF HOMELAND address listed in the table below. individuals associated with the grant SECURITY Additionally, the current effective FIRM applications, the disclosure of which and FIS report for each community are would constitute a clearly unwarranted Federal Emergency Management accessible online through the FEMA invasion of personal privacy. Agency Map Service Center at https:// Name of Committee: Center for Scientific [Docket ID FEMA–2020–0002; Internal msc.fema.gov for comparison. Review Special Emphasis Panel; Special Agency Docket No. FEMA–B–2024] Submit comments and/or appeals to Topics: Vision Imaging, Bioengineering and the Chief Executive Officer of the Low Vision Technology Development. Changes in Flood Hazard community as listed in the table below. Date: May 20–21, 2020. Determinations FOR FURTHER INFORMATION CONTACT: Rick Time: 8:00 a.m. to 5:00 p.m. Sacbibit, Chief, Engineering Services Agenda: To review and evaluate grant AGENCY: Federal Emergency Branch, Federal Insurance and applications. Management Agency, DHS. Mitigation Administration, FEMA, 400 Place: National Institutes of Health, ACTION: Notice. Rockledge II, 6701 Rockledge Dr. Bethesda, C Street SW, Washington, DC 20472, MD 20892 (Virtual Meeting). (202) 646–7659, or (email) SUMMARY: This notice lists communities [email protected]; or visit Contact Person: Susan Gillmor, Ph.D., where the addition or modification of Scientific Review Officer, National Institutes the FEMA Mapping and Insurance of Health, Center for Scientific Review, 6701 Base Flood Elevations (BFEs), base flood eXchange (FMIX) online at https:// Rockledge Drive, Bethesda, MD 20892, 240– depths, Special Flood Hazard Area www.floodmaps.fema.gov/fhm/fmx_ 762–3076, [email protected]. (SFHA) boundaries or zone main.html. (Catalogue of Federal Domestic Assistance designations, or the regulatory floodway SUPPLEMENTARY INFORMATION: The Program Nos. 93.306, Comparative Medicine; (hereinafter referred to as flood hazard 93.333, Clinical Research, 93.306, 93.333, determinations), as shown on the Flood specific flood hazard determinations are 93.337, 93.393–93.396, 93.837–93.844, Insurance Rate Maps (FIRMs), and not described for each community in 93.846–93.878, 93.892, 93.893, National where applicable, in the supporting this notice. However, the online Institutes of Health, HHS) Flood Insurance Study (FIS) reports, location and local community map Dated: April 16, 2020. prepared by the Federal Emergency repository address where the flood hazard determination information is Ronald J. Livingston, Jr., Management Agency (FEMA) for each available for inspection is provided. Program Analyst, Office of Federal Advisory community, is appropriate because of new scientific or technical data. The Any request for reconsideration of Committee Policy. flood hazard determinations must be [FR Doc. 2020–08467 Filed 4–21–20; 8:45 am] FIRM, and where applicable, portions of the FIS report, have been revised to submitted to the Chief Executive Officer BILLING CODE 4140–01–P reflect these flood hazard of the community as listed in the table determinations through issuance of a below. Letter of Map Revision (LOMR), in The modifications are made pursuant DEPARTMENT OF HEALTH AND to section 201 of the Flood Disaster HUMAN SERVICES accordance with Federal Regulations. The LOMR will be used by insurance Protection Act of 1973, 42 U.S.C. 4105, National Institutes of Health agents and others to calculate and are in accordance with the National appropriate flood insurance premium Flood Insurance Act of 1968, 42 U.S.C. National Institute on Deafness and rates for new buildings and the contents 4001 et seq., and with 44 CFR part 65. The FIRM and FIS report are the basis Other Communication Disorders; of those buildings. For rating purposes, of the floodplain management measures Amended Notice of Meeting the currently effective community that the community is required either to number is shown in the table below and Notice is hereby given of a change in adopt or to show evidence of having in must be used for all new policies and the meeting of the National Deafness effect in order to qualify or remain renewals. and Other Communication Disorders qualified for participation in the Advisory Council, May 29, 2020, 09:00 DATES: These flood hazard National Flood Insurance Program a.m. to May 29, 2020, 12:20 p.m., determinations will be finalized on the (NFIP). PORTER NEUROSCIENCE RESEARCH dates listed in the table below and These flood hazard determinations, CENTER, building 35A, 35 Convent revise the FIRM panels and FIS report together with the floodplain

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management criteria required by 44 CFR flood hazard determinations are in accessible online through the FEMA 60.3, are the minimum that are required. accordance with 44 CFR 65.4. Map Service Center at https:// They should not be construed to mean The affected communities are listed in msc.fema.gov for comparison. that the community must change any the following table. Flood hazard (Catalog of Federal Domestic Assistance No. existing ordinances that are more determination information for each 97.022, ‘‘Flood Insurance.’’) stringent in their floodplain community is available for inspection at management requirements. The both the online location and the Michael M. Grimm, community may at any time enact respective community map repository Assistant Administrator for Risk stricter requirements of its own or address listed in the table below. Management, Department of Homeland pursuant to policies established by other Additionally, the current effective FIRM Security, Federal Emergency Management Federal, State, or regional entities. The and FIS report for each community are Agency.

Location and Chief executive Community map Online location of Date of Community State and county case No. officer of community repository letter of map revision modification No.

Alaska: City and City and Borough The Honorable Gary Sitka United States Post https://msc.fema.gov/port, al/ Jun. 4, 2020 ...... 020006 Borough of Sitka. of Sitka, (20– Paxton, Mayor, City and Office and Court advanceSearch. 10–0299P). Borough of Sitka, 100 House, 100 Lincoln Lincoln Street, Sitka, Street, Sitka, AK 99835. AK 99835. Arizona: Cochise ...... City of Sierra The Honorable Rick Community Development https://msc.fema.gov/port, al/ Jun. 5, 2020 ...... 040017 Vista, (18–09– Mueller, Mayor, City of Department, 1011 North advanceSearch. 2056P). Sierra Vista, 1011 North Coronado Drive, Sierra Coronado Drive, Sierra Vista, AZ 85635. Vista, AZ 85635. Maricopa ...... City of Peoria, The Honorable Cathy City Hall, 8401 West Mon- https://msc.fema.gov/port, al/ Jul. 10, 2020 ...... 040050 (20–09–0216P). Carlat, Mayor, City of roe Street, Peoria, AZ advanceSearch. Peoria, 8401 West 85345. Monroe Street, Peoria, AZ 85345. Maricopa ...... Unincorporated The Honorable Clint L Flood Control District of https://msc.fema.gov/port, al/ Jul. 10, 2020 ...... 040037 Areas of Mari- Hickman, Chairman, Maricopa County, 2801 advanceSearch. copa County, Board of Supervisors, West Durango Street, (19–09–1002P). Maricopa County, 301 Phoenix, AZ 85009. West Jefferson Street, 10th Floor, Phoenix, AZ 85003. California: Riverside ...... City of Indio, The Honorable Glenn A. Engineering Services Divi- https://msc.fema.gov/port, al/ Jun. 26, 2020 ..... 060255 (19–09–1450P). Miller, Mayor, City of sion, 100 Civic Center advanceSearch. Indio, City Hall, 100 Mall, Indio, CA 92202. Civic Center Mall, Indio, CA 92201. Riverside ...... Unincorporated The Honorable V Manuel Riverside County Flood https://msc.fema.gov/port, al/ Jun. 26, 2020 ..... 060245 Areas of River- Perez, Chairman, Board Control and Water Con- advanceSearch. side County, of Supervisors, River- servation District, 1995 (19–09–1450P). side County, 4080 Market Street, River- Lemon Street, 5th side, CA 92501. Floor, Riverside, CA 92501. Ventura ...... City of Simi Val- The Honorable Keith L City Hall, 2929 Tapo Can- https://msc.fema.gov/port, al/ Jul. 1, 2020 ...... 060421 ley, (19–09– Mashburn, Mayor, City yon Road, Simi Valley, advanceSearch. 1889P). of Simi Valley, 2929 CA 93063. Tapo Canyon Road, Simi Valley, CA 93063. Illinois: Will ...... City of The Honorable Steve City Hall, 400 South https://msc.fema.gov/port, al/ Jul. 6, 2020 ...... 170213 Naperville, Chirico, Mayor, City of Eagle Street, advanceSearch. (20–05–0194P). Naperville, City Hall, Naperville, IL 60540. 400 South Eagle Street, Naperville, IL 60540. Williamson ...... City of Marion, The Honorable Mike City Hall, 1102 Tower https://msc.fema.gov/port, al/ Jul. 10, 2020 ...... 170719 (20–05–1350P). Absher, Mayor, City of Square Plaza, Marion, advanceSearch. Marion, 1102 Tower IL 62959. Square Plaza, Marion, IL 62959. Michigan: Oakland Township of Mr. Leo Savoie, Township Bloomfield Township https://msc.fema.gov/port, al/ Jun. 29, 2020 ..... 260169 Bloomfield, of Bloomfield Super- Clerk’s Office, 4200 advanceSearch. (19–05–2978P). visor, P.O. Box 489, Telegraph Road, Bloomfield Hills, MI Bloomfield Hills, MI 48303. 48303. Nevada: Clark ...... Unincorporated The Honorable Marilyn Clark County, Office of https://msc.fema.gov/port, al/ Jul. 3, 2020 ...... 320003 Areas of Clark Kirkpatrick, Chair, the Director of Public advanceSearch. County, (19– Board of Commis- Works, 500 South 09–1371P). sioners, Clark County, Grand Central Parkway, 500 South Grand Cen- 2nd Floor, Las Vegas, tral Parkway, 6th Floor, NV 89155. Las Vegas, NV 89106. New York:

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Location and Chief executive Community map Online location of Date of Community State and county case No. officer of community repository letter of map revision modification No.

Nassau ...... Village of Kings The Honorable Michael C. Village Hall, 32 Stepping https://msc.fema.gov/port, al/ Aug. 5, 2020 ...... 360473 Point, (19–02– Kalnick, Mayor, Village Stone Lane, Kings advanceSearch. 0330P). of Kings Point, Village Point, NY 11024. Hall, 32 Stepping Stone Lane, Kings Point, NY 11024. Westchester ... City of New Ro- The Honorable Noam City Hall/Department of https://msc.fema.gov/port, al/ Sep. 4, 2020 ...... 360922 chelle, (19–02– Bramson, Mayor, City Public Works, 515 advanceSearch. 1191P). of New Rochelle, 515 North Avenue, New Ro- North Avenue, New Ro- chelle, NY 10801. chelle, NY 10801.

[FR Doc. 2020–08460 Filed 4–21–20; 8:45 am] ADDRESSES: The Preliminary FIRM, and management requirements of the NFIP BILLING CODE 9110–12–P where applicable, the FIS report for and are used to calculate the each community are available for appropriate flood insurance premium inspection at both the online location rates for new buildings built after the DEPARTMENT OF HOMELAND https://www.fema.gov/preliminaryflood FIRM and FIS report become effective. SECURITY hazarddata and the respective Community Map Repository address The communities affected by the Federal Emergency Management listed in the tables below. Additionally, flood hazard determinations are Agency the current effective FIRM and FIS provided in the tables below. Any report for each community are request for reconsideration of the [Docket ID FEMA–2020–0002; Internal accessible online through the FEMA revised flood hazard information shown Agency Docket No. FEMA–B–2025] Map Service Center at https:// on the Preliminary FIRM and FIS report msc.fema.gov for comparison. that satisfies the data requirements Proposed Flood Hazard You may submit comments, identified outlined in 44 CFR 67.6(b) is considered Determinations by Docket No. FEMA–B–2025, to Rick an appeal. Comments unrelated to the Sacbibit, Chief, Engineering Services flood hazard determinations also will be AGENCY: Federal Emergency Branch, Federal Insurance and considered before the FIRM and FIS Management Agency, DHS. Mitigation Administration, FEMA, 400 report become effective. ACTION: Notice. C Street SW, Washington, DC 20472, (202) 646–7659, or (email) Use of a Scientific Resolution Panel SUMMARY: Comments are requested on [email protected]. (SRP) is available to communities in support of the appeal resolution proposed flood hazard determinations, FOR FURTHER INFORMATION CONTACT: Rick process. SRPs are independent panels of which may include additions or Sacbibit, Chief, Engineering Services modifications of any Base Flood Branch, Federal Insurance and experts in hydrology, hydraulics, and Elevation (BFE), base flood depth, Mitigation Administration, FEMA, 400 other pertinent sciences established to Special Flood Hazard Area (SFHA) C Street SW, Washington, DC 20472, review conflicting scientific and boundary or zone designation, or (202) 646–7659, or (email) technical data and provide regulatory floodway on the Flood [email protected]; or visit recommendations for resolution. Use of Insurance Rate Maps (FIRMs), and the FEMA Mapping and Insurance the SRP only may be exercised after where applicable, in the supporting eXchange (FMIX) online at https:// FEMA and local communities have been Flood Insurance Study (FIS) reports for www.floodmaps.fema.gov/fhm/fmx_ engaged in a collaborative consultation the communities listed in the table main.html. process for at least 60 days without a below. The purpose of this notice is to mutually acceptable resolution of an seek general information and comment SUPPLEMENTARY INFORMATION: FEMA proposes to make flood hazard appeal. Additional information regarding the preliminary FIRM, and regarding the SRP process can be found where applicable, the FIS report that the determinations for each community listed below, in accordance with section online at https://www.floodsrp.org/pdfs/ Federal Emergency Management Agency srp_overview.pdf. (FEMA) has provided to the affected 110 of the Flood Disaster Protection Act communities. The FIRM and FIS report of 1973, 42 U.S.C. 4104, and 44 CFR The watersheds and/or communities are the basis of the floodplain 67.4(a). affected are listed in the tables below. management measures that the These proposed flood hazard The Preliminary FIRM, and where community is required either to adopt determinations, together with the applicable, FIS report for each or to show evidence of having in effect floodplain management criteria required community are available for inspection by 44 CFR 60.3, are the minimum that in order to qualify or remain qualified at both the online location https:// are required. They should not be for participation in the National Flood www.fema.gov/preliminaryfloodhazard construed to mean that the community Insurance Program (NFIP). In addition, must change any existing ordinances data and the respective Community the FIRM and FIS report, once effective, that are more stringent in their Map Repository address listed in the will be used by insurance agents and floodplain management requirements. tables. For communities with multiple others to calculate appropriate flood The community may at any time enact ongoing Preliminary studies, the studies insurance premium rates for new stricter requirements of its own or can be identified by the unique project buildings and the contents of those pursuant to policies established by other number and Preliminary FIRM date buildings. Federal, State, or regional entities. listed in the tables. Additionally, the DATES: Comments are to be submitted These flood hazard determinations are current effective FIRM and FIS report on or before July 21, 2020. used to meet the floodplain for each community are accessible

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online through the FEMA Map Service (Catalog of Federal Domestic Assistance No. Center at https://msc.fema.gov for 97.022, ‘‘Flood Insurance.’’) comparison. Michael M. Grimm, Assistant Administrator for Risk Management, Department of Homeland Security, Federal Emergency Management Agency.

Community Community map repository address

Yavapai County, Arizona and Incorporated Areas Project: 18–09–0020S Preliminary Date: August 29, 2019

City of Prescott ...... Public Works Building, 433 North Virginia Street, Prescott, AZ 86303. Town of Chino Valley ...... Public Works Development Services, 1982 Voss Drive, Chino Valley, AZ 86323. Town of Dewey-Humboldt ...... Dewey-Humboldt Town Hall, 2735 South Highway 69, Humboldt, AZ 86329. Town of Prescott Valley ...... Engineering Division, 7501 East Skoog Boulevard, Prescott Valley, AZ 86314. Unincorporated Areas of Yavapai County ...... Yavapai County Flood Control District, 1120 Commerce Drive, Pres- cott, AZ 86305.

LaPorte County, Indiana and Incorporated Areas Project: 13–05–4232S Preliminary Date: June 28, 2019

City of Michigan City ...... City Hall, Planning and Redevelopment Department, 100 East Michi- gan Boulevard, Michigan City, IN 46360. Town of Long Beach ...... Town Hall, 2400 Oriole Trail, Long Beach, IN 46360. Town of Michiana Shores ...... Town Hall, 601 El Portal Drive, Michiana Shores, IN 46360. Town of Pottawattamie Park ...... Town Office, 100 Jack Pine Drive, Pottawattamie Park, IN 46360. Town of Trail Creek ...... Town Hall, 211 Rainbow Trail, Trail Creek, IN 46360. Unincorporated Areas of LaPorte County ...... County Government Complex, LaPorte County Plan Commission, 809 State Street, Suite 503A, LaPorte, IN 46350.

Sac County, Iowa and Incorporated Areas Project: 17–07–0044S Preliminary Date: July 6, 2019

City of Auburn ...... City Hall, 209 Pine Street, Auburn, IA 51433. City of Early ...... City Hall, 107 Main Street, Early, IA 50535. City of Lake View ...... City Hall, 305 Main Street, Lake View, IA 51450. City of Odebolt ...... City Hall, 205 West 2nd Street, Odebolt, IA 51458. City of Sac City ...... City Hall, 302 East Main Street, Sac City, IA 50583. City of Schaller ...... City Hall, 101 South Main Street, Schaller, IA 51053. City of Wall Lake ...... City Hall, 108 Boyer Street, Wall Lake, IA 51466. Unincorporated Areas of Sac County ...... Sac County Courthouse, 100 Northwest State Street, Sac City, IA 50583.

[FR Doc. 2020–08459 Filed 4–21–20; 8:45 am] Special Flood Hazard Area (SFHA) others to calculate appropriate flood BILLING CODE 9110–12–P boundary or zone designation, or insurance premium rates for new regulatory floodway on the Flood buildings and the contents of those Insurance Rate Maps (FIRMs), and buildings. DEPARTMENT OF HOMELAND where applicable, in the supporting DATES: Comments are to be submitted SECURITY Flood Insurance Study (FIS) reports for on or before July 21, 2020. the communities listed in the table Federal Emergency Management below. The purpose of this notice is to ADDRESSES: The Preliminary FIRM, and Agency seek general information and comment where applicable, the FIS report for [Docket ID FEMA–2020–0002; Internal regarding the preliminary FIRM, and each community are available for Agency Docket No. FEMA–B–2022] where applicable, the FIS report that the inspection at both the online location Federal Emergency Management Agency https://www.fema.gov/preliminary Proposed Flood Hazard (FEMA) has provided to the affected floodhazarddata and the respective Determinations communities. The FIRM and FIS report Community Map Repository address AGENCY: Federal Emergency are the basis of the floodplain listed in the tables below. Additionally, Management Agency, DHS. management measures that the the current effective FIRM and FIS report for each community are ACTION: Notice. community is required either to adopt or to show evidence of having in effect accessible online through the FEMA SUMMARY: Comments are requested on in order to qualify or remain qualified Map Service Center at https:// proposed flood hazard determinations, for participation in the National Flood msc.fema.gov for comparison. which may include additions or Insurance Program (NFIP). In addition, You may submit comments, identified modifications of any Base Flood the FIRM and FIS report, once effective, by Docket No. FEMA–B–2022, to Rick Elevation (BFE), base flood depth, will be used by insurance agents and Sacbibit, Chief, Engineering Services

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Branch, Federal Insurance and stricter requirements of its own or process for at least 60 days without a Mitigation Administration, FEMA, 400 pursuant to policies established by other mutually acceptable resolution of an C Street SW, Washington, DC 20472, Federal, State, or regional entities. appeal. Additional information (202) 646–7659, or (email) These flood hazard determinations are regarding the SRP process can be found [email protected]. used to meet the floodplain online at https://www.floodsrp.org/pdfs/ FOR FURTHER INFORMATION CONTACT: Rick management requirements of the NFIP srp_overview.pdf. and are used to calculate the Sacbibit, Chief, Engineering Services The watersheds and/or communities appropriate flood insurance premium Branch, Federal Insurance and affected are listed in the tables below. rates for new buildings built after the Mitigation Administration, FEMA, 400 The Preliminary FIRM, and where C Street SW, Washington, DC 20472, FIRM and FIS report become effective. The communities affected by the applicable, FIS report for each (202) 646–7659, or (email) community are available for inspection [email protected]; or visit flood hazard determinations are provided in the tables below. Any at both the online location https:// the FEMA Mapping and Insurance www.fema.gov/preliminaryfloodhazard eXchange (FMIX) online at https:// request for reconsideration of the _ revised flood hazard information shown data and the respective Community www.floodmaps.fema.gov/fhm/fmx Map Repository address listed in the main.html. on the Preliminary FIRM and FIS report that satisfies the data requirements tables. For communities with multiple SUPPLEMENTARY INFORMATION: FEMA outlined in 44 CFR 67.6(b) is considered ongoing Preliminary studies, the studies proposes to make flood hazard an appeal. Comments unrelated to the can be identified by the unique project determinations for each community flood hazard determinations also will be number and Preliminary FIRM date listed below, in accordance with section considered before the FIRM and FIS listed in the tables. Additionally, the 110 of the Flood Disaster Protection Act report become effective. current effective FIRM and FIS report of 1973, 42 U.S.C. 4104, and 44 CFR Use of a Scientific Resolution Panel for each community are accessible 67.4(a). (SRP) is available to communities in online through the FEMA Map Service These proposed flood hazard support of the appeal resolution Center at https://msc.fema.gov for determinations, together with the process. SRPs are independent panels of comparison. floodplain management criteria required experts in hydrology, hydraulics, and by 44 CFR 60.3, are the minimum that other pertinent sciences established to (Catalog of Federal Domestic Assistance No. 97.022, ‘‘Flood Insurance.’’) are required. They should not be review conflicting scientific and construed to mean that the community technical data and provide Michael M. Grimm, must change any existing ordinances recommendations for resolution. Use of Assistant Administrator for Risk that are more stringent in their the SRP only may be exercised after Management, Department of Homeland floodplain management requirements. FEMA and local communities have been Security, Federal Emergency Management The community may at any time enact engaged in a collaborative consultation Agency.

Community Community map repository address

Santa Rosa County, Florida and Incorporated Areas Project: 11–04–1991S Preliminary Date: July 18, 2016 and July 29, 2019

City of Gulf Breeze ...... Department of Community Services, 1070 Shoreline Drive, Gulf Breeze, FL 32561. City of Milton ...... Department of Planning and Zoning, 6738 Dixon Street, Milton, FL 32572. Town of Jay ...... Town Hall, 3695 Highway 4, Jay, FL 32565. Unincorporated Areas of Santa Rosa County ...... Santa Rosa County Public Services Department, 6051 Old Bagdad Highway, Milton, FL 32583.

[FR Doc. 2020–08458 Filed 4–21–20; 8:45 am] which may include additions or or to show evidence of having in effect BILLING CODE 9110–12–P modifications of any Base Flood in order to qualify or remain qualified Elevation (BFE), base flood depth, for participation in the National Flood Special Flood Hazard Area (SFHA) Insurance Program (NFIP). In addition, DEPARTMENT OF HOMELAND boundary or zone designation, or the FIRM and FIS report, once effective, SECURITY regulatory floodway on the Flood will be used by insurance agents and Insurance Rate Maps (FIRMs), and others to calculate appropriate flood Federal Emergency Management insurance premium rates for new Agency where applicable, in the supporting Flood Insurance Study (FIS) reports for buildings and the contents of those [Docket ID FEMA–2020–0002; Internal the communities listed in the table buildings. Agency Docket No. FEMA–B–2019] below. The purpose of this notice is to DATES: Comments are to be submitted seek general information and comment on or before July 21, 2020. Proposed Flood Hazard regarding the preliminary FIRM, and ADDRESSES: Determinations The Preliminary FIRM, and where applicable, the FIS report that the where applicable, the FIS report for AGENCY: Federal Emergency Federal Emergency Management Agency each community are available for Management Agency, DHS. (FEMA) has provided to the affected inspection at both the online location ACTION: Notice. communities. The FIRM and FIS report https://www.fema.gov/preliminary are the basis of the floodplain floodhazarddata and the respective SUMMARY: Comments are requested on management measures that the Community Map Repository address proposed flood hazard determinations, community is required either to adopt listed in the tables below. Additionally,

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the current effective FIRM and FIS construed to mean that the community the SRP only may be exercised after report for each community are must change any existing ordinances FEMA and local communities have been accessible online through the FEMA that are more stringent in their engaged in a collaborative consultation Map Service Center at https:// floodplain management requirements. process for at least 60 days without a msc.fema.gov for comparison. The community may at any time enact mutually acceptable resolution of an You may submit comments, identified stricter requirements of its own or appeal. Additional information by Docket No. FEMA–B–2019, to Rick pursuant to policies established by other regarding the SRP process can be found Sacbibit, Chief, Engineering Services Federal, State, or regional entities. online at https://www.floodsrp.org/pdfs/ Branch, Federal Insurance and These flood hazard determinations are srp_overview.pdf. Mitigation Administration, FEMA, 400 used to meet the floodplain The watersheds and/or communities C Street SW, Washington, DC 20472, management requirements of the NFIP affected are listed in the tables below. (202) 646–7659, or (email) and are used to calculate the The Preliminary FIRM, and where [email protected]. appropriate flood insurance premium applicable, FIS report for each FOR FURTHER INFORMATION CONTACT: Rick rates for new buildings built after the community are available for inspection Sacbibit, Chief, Engineering Services FIRM and FIS report become effective. at both the online location https:// Branch, Federal Insurance and The communities affected by the www.fema.gov/preliminaryfloodhazard Mitigation Administration, FEMA, 400 flood hazard determinations are data and the respective Community C Street SW, Washington, DC 20472, provided in the tables below. Any Map Repository address listed in the (202) 646–7659, or (email) request for reconsideration of the tables. For communities with multiple [email protected]; or visit revised flood hazard information shown ongoing Preliminary studies, the studies the FEMA Mapping and Insurance on the Preliminary FIRM and FIS report can be identified by the unique project eXchange (FMIX) online at https:// that satisfies the data requirements number and Preliminary FIRM date www.floodmaps.fema.gov/fhm/fmx_ outlined in 44 CFR 67.6(b) is considered listed in the tables. Additionally, the main.html. an appeal. Comments unrelated to the current effective FIRM and FIS report SUPPLEMENTARY INFORMATION: FEMA flood hazard determinations also will be for each community are accessible proposes to make flood hazard considered before the FIRM and FIS online through the FEMA Map Service determinations for each community report become effective. Center at https://msc.fema.gov for listed below, in accordance with section Use of a Scientific Resolution Panel comparison. 110 of the Flood Disaster Protection Act (SRP) is available to communities in of 1973, 42 U.S.C. 4104, and 44 CFR support of the appeal resolution (Catalog of Federal Domestic Assistance No. 97.022, ‘‘Flood Insurance.’’) 67.4(a). process. SRPs are independent panels of These proposed flood hazard experts in hydrology, hydraulics, and Michael M. Grimm, determinations, together with the other pertinent sciences established to Assistant Administrator for Risk floodplain management criteria required review conflicting scientific and Management, Department of Homeland by 44 CFR 60.3, are the minimum that technical data and provide Security, Federal Emergency Management are required. They should not be recommendations for resolution. Use of Agency.

Community Community map repository address

Cook County, Illinois and Incorporated Areas Project: 13–05–4215S Preliminary Dates: June 26, 2019 and November 22, 2019

City of Chicago ...... Department of Buildings Stormwater Management, 121 North LaSalle Street, Room 906, Chicago, IL 60602. City of Evanston ...... Engineer’s Office, 2100 Ridge Avenue, Evanston, IL 60201. Unincorporated Areas of Cook County ...... Cook County Building and Zoning Department, 69 West Washington, 21st Floor, Chicago, IL 60602. Village of Glencoe ...... Engineering Department, 675 Village Court, Glencoe, IL 60022. Village of Kenilworth ...... Public Works Department, 347 Ivy Court, Kenilworth, IL 60043. Village of Wilmette ...... Village Hall, Community Development Department, 1200 Wilmette Ave- nue, Wilmette, IL 60091. Village of Winnetka ...... Public Works Department, 1390 Willow Road, Winnetka, IL 60093.

Porter County, Indiana and Incorporated Areas Project: 13–05–4233S Preliminary Date: June 28, 2019

City of Portage ...... City Hall, 6070 Central Avenue, Portage, IN 46368. Town of Beverly Shores ...... Administration Building, 500 South Broadway, Beverly Shores, IN 46301. Town of Burns Harbor ...... Town Hall, 1240 North Boo Road, Burns Harbor, IN 46304. Town of Dune Acres ...... Administrative Office, Building Department, 1 East Road, Dune Acres, IN 46304. Town of Ogden Dunes ...... Town Hall, 115 Hillcrest Road, Ogden Dunes, IN 46368. Town of Porter ...... Town Hall, Building & Development Department, 303 Franklin Street, Porter, IN 46304. Unincorporated Areas of Porter County ...... Porter County, 155 Indiana Avenue, Suite 311, Valparaiso, IN 46383.

Emmet County, Iowa and Incorporated Areas Project: 16–07–2224S Preliminary Date: July 25, 2019

City of Armstrong ...... City Hall, 519 6th Street, Armstrong, IA 50514. City of Estherville ...... City Hall, 2 North 7th Street, Estherville, IA 51334.

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Community Community map repository address

City of Wallingford ...... City Hall, 101 St. James Avenue, Wallingford, IA 51365. Unincorporated Areas of Emmet County ...... Emmet County Courthouse, 609 1st Avenue North, Estherville, IA 51334.

Ottawa County, Michigan and Incorporated Areas Project: 13–05–4246S Preliminary Date: September 27, 2019

Charter Township of Grand Haven ...... Charter Township Administrative Offices, 13300 168th Avenue, Grand Haven, MI 49417. Charter Township of Holland ...... Charter Township Office, 353 North 120th Avenue, Holland, MI 49424. City of Ferrysburg ...... City Hall, 17290 Roosevelt Road, Ferrysburg, MI 49409. City of Grand Haven ...... City Hall, 519 Washington Avenue, Grand Haven, MI 49417. City of Holland ...... City Hall, 270 South River Avenue, Holland, MI 49423. Township of Olive ...... Olive Township Office, 6480 136th Avenue, Holland, MI 49424. Township of Park ...... Park Township Office, 52 152nd Avenue, Holland, MI 49424. Township of Port Sheldon ...... Port Sheldon Township Hall, 16201 Port Sheldon Street, West Olive, MI 49460. Township of Spring Lake ...... Township Hall, 106 South Buchanan Street, Spring Lake, MI 49456. Village of Spring Lake ...... Village Hall, 102 West Savidge Street, Spring Lake, MI 49456.

Cottonwood County, Minnesota and Incorporated Areas Project: 17–05–1799S Preliminary Date: June 25, 2019

City of Mountain Lake ...... City Hall, 930 3rd Avenue, Mountain Lake, MN 56159. City of Windom ...... City Hall, 444 9th Street, Windom, MN 56101. Unincorporated Areas of Cottonwood County ...... Environmental Office, 339 9th Street, Windom, MN 56101.

Washington County, Wisconsin and Incorporated Areas Project: 18–05–0010S Preliminary Date: October 9, 2019

City of West Bend ...... City Hall, 1115 South Main Street, West Bend, WI 53095. Unincorporated Areas of Washington County ...... Washington County Government Center, 432 East Washington Street, Suite 3029, West Bend, WI 53095. Village of Germantown ...... Village Hall, N112 W17001 Mequon Road, Germantown, WI 53022. Village of Jackson ...... Village Hall, N168 W20733 Main Street, Jackson, WI 53037. Village of Richfield ...... Richfield Village Hall, 4128 Hubertus Road, Hubertus, WI 53033.

[FR Doc. 2020–08457 Filed 4–21–20; 8:45 am] effect in order to qualify or remain (202) 646–7659, or (email) BILLING CODE 9110–12–P qualified for participation in the Federal [email protected]; or visit Emergency Management Agency’s the FEMA Mapping and Insurance (FEMA’s) National Flood Insurance eXchange (FMIX) online at https:// DEPARTMENT OF HOMELAND Program (NFIP). In addition, the FIRM www.floodmaps.fema.gov/fhm/fmx_ SECURITY and FIS report are used by insurance main.html. agents and others to calculate SUPPLEMENTARY INFORMATION: The Federal Emergency Management appropriate flood insurance premium Federal Emergency Management Agency Agency rates for buildings and the contents of (FEMA) makes the final determinations those buildings. [Docket ID FEMA–2020–0002] listed below for the new or modified DATES: The date of September 4, 2020 flood hazard information for each Final Flood Hazard Determinations has been established for the FIRM and, community listed. Notification of these where applicable, the supporting FIS changes has been published in AGENCY: Federal Emergency report showing the new or modified Management Agency, DHS. newspapers of local circulation and 90 flood hazard information for each days have elapsed since that ACTION: Notice. community. publication. The Deputy Associate SUMMARY: Flood hazard determinations, ADDRESSES: The FIRM, and if Administrator for Insurance and which may include additions or applicable, the FIS report containing the Mitigation has resolved any appeals modifications of Base Flood Elevations final flood hazard information for each resulting from this notification. (BFEs), base flood depths, Special Flood community is available for inspection at This final notice is issued in Hazard Area (SFHA) boundaries or zone the respective Community Map accordance with section 110 of the designations, or regulatory floodways on Repository address listed in the tables Flood Disaster Protection Act of 1973, the Flood Insurance Rate Maps (FIRMs) below and will be available online 42 U.S.C. 4104, and 44 CFR part 67. and where applicable, in the supporting through the FEMA Map Service Center FEMA has developed criteria for Flood Insurance Study (FIS) reports at https://msc.fema.gov by the date floodplain management in floodprone have been made final for the indicated above. areas in accordance with 44 CFR part communities listed in the table below. FOR FURTHER INFORMATION CONTACT: Rick 60. The FIRM and FIS report are the basis Sacbibit, Chief, Engineering Services Interested lessees and owners of real of the floodplain management measures Branch, Federal Insurance and property are encouraged to review the that a community is required either to Mitigation Administration, FEMA, 400 new or revised FIRM and FIS report adopt or to show evidence of having in C Street SW, Washington, DC 20472, available at the address cited below for

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each community or online through the (Catalog of Federal Domestic Assistance No. FEMA Map Service Center at https:// 97.022, ‘‘Flood Insurance.’’) msc.fema.gov. Michael M. Grimm, The flood hazard determinations are Assistant Administrator for Risk made final in the watersheds and/or Management, Department of Homeland communities listed in the table below. Security, Federal Emergency Management Agency.

Community Community map repository address

Arapahoe County, Colorado and Incorporated Areas Docket No.: FEMA–B–1709

City of Aurora ...... Public Works Department, 15151 East Alameda Parkway, Suite 3200, Aurora, CO 80012. City of Centennial ...... Southeast Metro Stormwater Authority, 7437 South Fairplay Street, Centennial, CO 80112. City of Glendale ...... Glendale Municipal Offices, 950 South Birch Street, Glendale, CO 80246. City of Littleton ...... Public Works Department, 2255 West Berry Avenue, Littleton, CO 80120. Unincorporated Areas of Arapahoe County ...... Arapahoe County Department of Public Works and Development, 6924 South Lima Street, Centennial, CO 80112.

City and County of Denver, Colorado Docket No.: FEMA–B–1709

City and County of Denver ...... Department of Transportation and Infrastructure, 201 West Colfax Ave- nue, Department 608, Denver, CO 80202.

Douglas County, Colorado and Incorporated Areas Docket No.: FEMA–B–1709

City of Lone Tree ...... Public Works Department, 9220 Kimmer Drive, Suite 100, Lone Tree, CO 80124. Town of Parker ...... Town Hall, 20120 East Mainstreet, Parker, CO 80138. Unincorporated Areas of Douglas County ...... Douglas County Department of Public Works Engineering, 100 3rd Street, Castle Rock, CO 80104.

Hamilton County, Florida and Incorporated Areas Docket No.: FEMA–B–1905

Unincorporated Areas of Hamilton County ...... Hamilton County Building Department, 204 Northeast 1st Street, Jas- per, FL 32052.

Madison County, Florida and Incorporated Areas Docket No.: FEMA–B–1905

City of Madison ...... City Hall, 321 Southwest Rutledge Street, Madison, FL 32340. Town of Lee ...... Town Hall, 286 Northeast County Road 255, Lee, FL 32059. Unincorporated Areas of Madison County ...... Madison County Courthouse Annex, 229 Southwest Pinckney Street, Madison, FL 32340.

[FR Doc. 2020–08456 Filed 4–21–20; 8:45 am] ACTION: 30-Day notice. ADDRESSES: Written comments and/or BILLING CODE 9110–12–P suggestions regarding the item(s) SUMMARY: The Department of Homeland contained in this notice, especially Security (DHS), U.S. Citizenship and regarding the estimated public burden DEPARTMENT OF HOMELAND Immigration Services (USCIS) will be and associated response time, must be SECURITY submitting the following information submitted via the Federal eRulemaking collection request to the Office of Portal website at http:// U.S. Citizenship and Immigration Management and Budget (OMB) for www.regulations.gov under e-Docket ID Services review and clearance in accordance number USCIS–2005–0035. All [OMB Control Number 1615–0040] with the Paperwork Reduction Act of submissions received must include the 1995. The purpose of this notice is to OMB Control Number 1615–0040 in the Agency Information Collection allow an additional 30 days for public body of the letter, the agency name and Activities; Revision of a Currently comments. Docket ID USCIS–2005–0035. Approved Collection: Application for Employment Authorization DATES: The purpose of this notice is to FOR FURTHER INFORMATION CONTACT: allow an additional 30 days for public USCIS, Office of Policy and Strategy, AGENCY: U.S. Citizenship and comments. Comments are encouraged Regulatory Coordination Division, Immigration Services, Department of and will be accepted until May 22, Samantha Deshommes, Chief, Homeland Security. 2020. Telephone number (202) 272–8377

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(This is not a toll-free number; (4) Minimize the burden of the respondents for the information comments are not accepted via collection of information on those who collection Passport-Style Photographs is telephone message.). Please note contact are to respond, including through the 2,286,000 and the estimated hour information provided here is solely for use of appropriate automated, burden per response is .50 hours. questions regarding this notice. It is not electronic, mechanical, or other (6) An estimate of the total public for individual case status inquiries. technological collection techniques or burden (in hours) associated with the Applicants seeking information about other forms of information technology, collection: The total estimated annual the status of their individual cases can e.g., permitting electronic submission of hour burden associated with this check Case Status Online, available at responses. collection is 11,934,966 hours. the USCIS website at http:// (7) An estimate of the total public Overview of This Information www.uscis.gov, or call the USCIS burden (in cost) associated with the Collection Contact Center at (800) 375–5283; TTY collection: The estimated total annual (800) 767–1833. (1) Type of Information Collection cost burden associated with this SUPPLEMENTARY INFORMATION: Request: Revision of a Currently collection of information is Approved Collection. $400,895,820. Comments (2) Title of the Form/Collection: Dated: April 15, 2020. The information collection notice was Application for Employment Samantha L. Deshommes, previously published in the Federal Authorization. Register on January 16, 2020, at 85 FR (3) Agency form number, if any, and Chief, Regulatory Coordination Division, 2755, allowing for a 60-day public the applicable component of the DHS Office of Policy and Strategy, U.S. Citizenship sponsoring the collection: I–765; I– and Immigration Services, Department of comment period. USCIS did receive 4 Homeland Security. comments in connection with the 60- 765WS; USCIS. [FR Doc. 2020–08483 Filed 4–21–20; 8:45 am] day notice. (4) Affected public who will be asked You may access the information or required to respond, as well as a brief BILLING CODE 9111–97–P collection instrument with instructions, abstract: Primary: Form I–765 collects or additional information by visiting the information needed to determine if an Federal eRulemaking Portal site at alien is eligible for an initial EAD, a DEPARTMENT OF THE INTERIOR http://www.regulations.gov and enter replacement EAD, or a subsequent EAD Bureau of Land Management USCIS–2005–0035 in the search box. upon the expiration of a previous EAD The comments submitted to USCIS via under the same eligibility category. [20X L1109AF LLUTY02000 this method are visible to the Office of Aliens in many immigration statuses are L17110000.PN0000 241A] Management and Budget and comply required to possess an EAD as evidence with the requirements of 5 CFR of work authorization. To be authorized Call for Nominations for the Bears Ears 1320.12(c). All submissions will be for employment, an alien must be National Monument Advisory posted, without change, to the Federal lawfully admitted for permanent Committee eRulemaking Portal at http:// residence or authorized to be so employed by the Immigration and AGENCY: Bureau of Land Management, www.regulations.gov, and will include Interior. any personal information you provide. Nationality Act (INA) or under ACTION: Notice. Therefore, submitting this information regulations issued by DHS. Pursuant to statutory or regulatory authorization, makes it public. You may wish to SUMMARY: The purpose of this notice is consider limiting the amount of certain classes of aliens are authorized to request public nominations for five personal information that you provide to be employed in the United States members to the Bears Ears National in any voluntary submission you make without restrictions as to location or Monument Advisory Committee to DHS. DHS may withhold information type of employment as a condition of (BENM–MAC). The BENM–MAC provided in comments from public their admission or subsequent change to provides information and advice viewing that it determines may impact one of the indicated classes. USCIS may regarding development of the the privacy of an individual or is determine the validity period assigned management plan and, as appropriate, offensive. For additional information, to any document issued evidencing an management of the Monument. The please read the Privacy Act notice that alien’s authorization to work in the Monticello Field Office will accept is available via the link in the footer of United States. These classes of aliens public nominations for 30 days from the http://www.regulations.gov. authorized to accept employment are date this Notice is posted. Committee Written comments and suggestions listed in 8 CFR 274a.12. duties and responsibilities are solely (5) An estimate of the total number of from the public and affected agencies advisory in nature. should address one or more of the respondents and the amount of time estimated for an average respondent to DATES: A completed nomination form following four points: and accompanying nomination/ (1) Evaluate whether the proposed respond: The estimated total number of recommendation letters must be collection of information is necessary respondents for the information received by May 22, 2020. for the proper performance of the collection I–765 is 2,286,000 and the functions of the agency, including estimated hour burden per response is ADDRESSES: Send nominations to the whether the information will have 4.5 hours; the estimated total number of Monticello Field Office, 365 North practical utility; respondents for the information Main, Monticello, UT 84535, Attention: (2) Evaluate the accuracy of the collection Biometric Processing is BENM–MAC Nominations, or jepalma@ agency’s estimate of the burden of the 302,535 and the estimated hour burden blm.gov with the subject line BENM– proposed collection of information, per response is 1.17 hours; the MAC Nominations. including the validity of the estimated total number of respondents FOR FURTHER INFORMATION CONTACT: Jake methodology and assumptions used; for the information collection Form I– Palma, Bears Ears National Monument (3) Enhance the quality, utility, and 765WS is 302,000 and the estimated Manager, Monticello Field Office, 365 clarity of the information to be hour burden per response is .50 hours; North Main, Monticello, UT 84535; collected; and the estimated total number of phone (435) 587–1539, or email:

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[email protected]. Persons who use a annually, and at such other times as obtained by contacting the telecommunications device for the deaf designated by the DFO. Commission’s TDD terminal on (202) (TDD) may call the Federal Relay Public Disclosure of Comments: 205–1810. Service (FRS) at 1–800–877–8339 to Before including your address, phone SUPPLEMENTARY INFORMATION: The contact the above individual during number, email address, or other Commission has received a complaint normal business hours. The FRS is personal identifying information in your and a submission pursuant to § 210.8(b) available 24 hours a day, seven days a comment, you should be aware that of the Commission’s Rules of Practice week, to leave a message or question your entire comment—including your and Procedure filed on behalf of with the above individual. You will personal identifying information—may Universal Electronics, Inc. on April 16, receive a reply during normal business be publicly available at any time. While 2020. The complaint alleges violations hours. you can ask us in your comment to of section 337 of the Tariff Act of 1930 SUPPLEMENTARY INFORMATION: The withhold your personal identifying (19 U.S.C. 1337) in the importation into Federal Land Policy and Management information from public review, we the United States, the sale for Act (FLPMA) directs the Secretary of the cannot guarantee that we will be able to importation, and the sale within the Interior to involve the public in do so. United States after importation of planning and issues related to (Authority: 43 CFR 1784.4–1) certain electronic devices, including management of lands administered by Anita Bilbao, streaming players, televisions, set top the BLM. Section 309 of FLPMA directs boxes, remote controllers, and Acting State Director. the Secretary of the Interior to establish components thereof. The complaint 10- to 15-member citizen-based advisory [FR Doc. 2020–08463 Filed 4–21–20; 8:45 am] names as respondents: Roku Inc., Los councils that are consistent with the BILLING CODE 4310–DQ–P Gatos, CA; TCL Electronics Holdings Federal Advisory Committee Act. The Limited, f/k/a TCL Multimedia Holdings rules governing advisory committees are Limited, Hong Kong; Shenzhen TCL found at 43 CFR subpart 1784. INTERNATIONAL TRADE New Technology Company Limited, The BENM–MAC has vacancies in the COMMISSION China; TCL King Electrical Appliances following categories: (Huizhou) Company Limited, China; Notice of Receipt of Complaint; (1) A representative with TTE Technology Inc. d/b/a/TCL USA Solicitation of Comments; Relating to paleontological expertise; and TCL North America, Corona, CA; the Public Interest (2) A representative of the TCL Corp., China; TCL Moka, Int’l Ltd., conservation community; AGENCY: U.S. International Trade Hong Kong; TCL Overseas Marketing (3) A representative of private Commission. Ltd., Hong Kong; TCL Industries landowners; Holdings Co., Ltd., Hong Kong; TCL (4) A representative of local business ACTION: Notice. Smart Device (Vietnam) Company, Ltd., owners; and SUMMARY: Notice is hereby given that Vietnam; Hisense Co. Ltd., China; (5) A representative of the public at the U.S. International Trade large, including, for example, sportsmen Hisense Electronics Manufacturing Commission has received a complaint Company of America Corporation d/b/a and sportswomen communities. entitled Certain Electronic Devices, Members will be appointed to 3-year Hisense USA, Suwanee, GA; Hisense Including Streaming Players, Import & Export Co. Ltd., China; terms. Televisions, Set Top Boxes, Remote Nominating Potential Members: Qingdao Hisense Electric Co., Ltd., Controllers, and Components Thereof, Nomination forms may be obtained from China; Hisense International (HK) Co., DN3450 the Commission is soliciting the Monticello Field Office, (address Ltd., Hong Kong; Funai Electric Co., comments on any public interest issues listed above) or https://www.blm.gov/ Ltd., Japan; Funai Corporation Inc., raised by the complaint or get-involved/rac-near-you/utah/benm- Rutherford, NJ; and Funai (Thailand) complainant’s filing pursuant to the mac. All nominations must include a Co., Ltd., Thailand. The complainant Commission’s Rules of Practice and completed Resource Advisory Council requests that the Commission issue a Procedure. application (OMB Control No. 1004– limited exclusion order and cease and 0204), letters of reference from the FOR FURTHER INFORMATION CONTACT: Lisa desist orders. represented interests or organizations, R. Barton, Secretary to the Commission, Proposed respondents, other and any other information that speaks to U.S. International Trade Commission, interested parties, and members of the the nominee’s qualifications. 500 E Street SW, Washington, DC public are invited to file comments on The specific category the nominee 20436, telephone (202) 205–2000. The any public interest issues raised by the would be representing should be public version of the complaint can be complaint or § 210.8(b) filing. identified in the letter of nomination accessed on the Commission’s Comments should address whether and in the application form. Electronic Document Information issuance of the relief specifically Members of the BENM–MAC serve System (EDIS) at https://edis.usitc.gov. requested by the complainant in this without compensation. However, while For help accessing EDIS, please email investigation would affect the public away from their homes or regular places [email protected]. health and welfare in the United States, of business, BENM–MAC and General information concerning the competitive conditions in the United subcommittee members engaged in Commission may also be obtained by States economy, the production of like BENM–MAC or subcommittee business accessing its internet server at United or directly competitive articles in the may be allowed travel expenses, States International Trade Commission United States, or United States including per diem in lieu of (USITC) at https://www.usitc.gov. The consumers. subsistence, as authorized by 5 U.S.C. public record for this investigation may In particular, the Commission is 5703, in the same manner as persons be viewed on the Commission’s interested in comments that: employed intermittently in Federal Electronic Document Information (i) Explain how the articles Government service. System (EDIS) at https://edis.usitc.gov. potentially subject to the requested The BENM–MAC will meet Hearing-impaired persons are advised remedial orders are used in the United approximately two to four times that information on this matter can be States;

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(ii) identify any public health, safety, Commission should grant such only. Parties are to file public interest or welfare concerns in the United States treatment. See 19 CFR 201.6. Documents submissions pursuant to 19 CFR relating to the requested remedial for which confidential treatment by the 210.50(a)(4). Commission is properly sought will be orders; FOR FURTHER INFORMATION CONTACT: (iii) identify like or directly treated accordingly. All information, Robert Needham, Office of the General competitive articles that complainant, including confidential business Counsel, U.S. International Trade its licensees, or third parties make in the information and documents for which Commission, 500 E Street SW, United States which could replace the confidential treatment is properly Washington, DC 20436, telephone (202) subject articles if they were to be sought, submitted to the Commission for 708–5468. Copies of non-confidential excluded; purposes of this Investigation may be documents filed in connection with this (iv) indicate whether complainant, disclosed to and used: (i) By the investigation may be viewed on the complainant’s licensees, and/or third Commission, its employees and Offices, Commission’s electronic docket (EDIS) party suppliers have the capacity to and contract personnel (a) for at https://edis.usitc.gov. For help replace the volume of articles developing or maintaining the records accessing EDIS, please email potentially subject to the requested of this or a related proceeding, or (b) in [email protected]. General exclusion order and/or a cease and internal investigations, audits, reviews, information concerning the Commission desist order within a commercially and evaluations relating to the may also be obtained by accessing its reasonable time; and programs, personnel, and operations of (v) explain how the requested the Commission including under 5 internet server at https://www.usitc.gov. remedial orders would impact United U.S.C. Appendix 3; or (ii) by U.S. Hearing-impaired persons are advised States consumers. government employees and contract that information on this matter can be Written submissions on the public personnel,2 solely for cybersecurity obtained by contacting the interest must be filed no later than by purposes. All nonconfidential written Commission’s TDD terminal on (202) close of business, eight calendar days submissions will be available for public 205–1810. after the date of publication of this inspection at the Office of the Secretary SUPPLEMENTARY INFORMATION: Section notice in the Federal Register. There and on EDIS.3 337 of the Tariff Act of 1930 provides will be further opportunities for This action is taken under the that, if the Commission finds a comment on the public interest after the authority of section 337 of the Tariff Act violation, it shall exclude the articles issuance of any final initial of 1930, as amended (19 U.S.C. 1337), concerned from the United States: determination in this investigation. Any and of §§ 201.10 and 210.8(c) of the unless, after considering the effect of such written submissions on other issues Commission’s Rules of Practice and exclusion upon the public health and must also be filed by no later than the Procedure (19 CFR 201.10, 210.8(c)). welfare, competitive conditions in the United close of business, eight calendar days By order of the Commission. States economy, the production of like or directly competitive articles in the United after publication of this notice in the Issued: April 17, 2020. Federal Register. Complainant may file States, and United States consumers, it finds Lisa Barton, replies to any written submissions no that such articles should not be excluded from entry. later than three calendar days after the Secretary to the Commission. date on which any initial submissions [FR Doc. 2020–08517 Filed 4–21–20; 8:45 am] 19 U.S.C. 1337(g)(1)(E). were due. Any submissions and replies BILLING CODE 7020–02–P The Commission is interested in filed in response to this Notice are further development of the record on limited to five (5) pages in length, the public interest in this investigation. INTERNATIONAL TRADE inclusive of attachments. Accordingly, members of the public are Persons filing written submissions COMMISSION invited to file submissions of no more must file the original document [Investigation No. 337–TA–1169] than five (5) pages, inclusive of electronically on or before the deadlines attachments, concerning the public stated above and submit 8 true paper Certain Fish-Handling Pliers and interest in light of the administrative copies to the Office of the Secretary by Packaging Thereof; Notice of Request law judge’s recommended noon the next day pursuant to § 210.4(f) for Submissions on the Public Interest determination on remedy and bonding issued in this investigation on April 10, of the Commission’s Rules of Practice AGENCY: U.S. International Trade and Procedure (19 CFR 210.4(f)). Commission. 2020. Comments should address Submissions should refer to the docket whether issuance of the recommended ACTION: Notice. number (‘‘Docket No. 3450’’) in a general exclusion order in this prominent place on the cover page and/ SUMMARY: Notice is hereby given that investigation would affect the public or the first page. (See Handbook for the presiding administrative law judge health and welfare in the United States, Electronic Filing Procedures, Electronic (‘‘ALJ’’) has issued a recommended competitive conditions in the United Filing Procedures).1 Persons with determination on remedy and bonding States economy, the production of like questions regarding filing should should a violation be found in the or directly competitive articles in the contact the Secretary (202–205–2000). above-captioned investigation. The United States, or United States Any person desiring to submit a Commission is soliciting submissions consumers. document to the Commission in on public interest issues raised by the In particular, the Commission is confidence must request confidential recommended general exclusion order interested in comments that: treatment. All such requests should be against certain fish-handling pliers and (i) Explain how the articles potentially directed to the Secretary to the packaging thereof. This notice is subject to the recommended general Commission and must include a full soliciting comments from the public exclusion order are used in the United States; statement of the reasons why the (ii) identify any public health, safety, or 2 All contract personnel will sign appropriate welfare concerns in the United States relating 1 Handbook for Electronic Filing Procedures: nondisclosure agreements. to the recommended general exclusion order; https://www.usitc.gov/documents/handbook_on_ 3 Electronic Document Information System (iii) identify like or directly competitive filing_procedures.pdf. (EDIS): https://edis.usitc.gov. articles that complainant, its licensees, or

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third parties make in the United States which Issued: April 16, 2020. patent’’); 7,625,721 (‘‘the ’721 patent’’); could replace the subject articles if they were Lisa Barton, and 7,494,818 (‘‘the ’818 patent’’). Id. at to be excluded; Secretary to the Commission. 26087. The notice of investigation (iv) indicate whether complainant, [FR Doc. 2020–08479 Filed 4–21–20; 8:45 am] named as respondents ACON complainant’s licensees, and/or third-party BILLING CODE 7020–02–P Laboratories, Inc. of San Diego, suppliers have the capacity to replace the California (‘‘ACON Labs’’), and ACON volume of articles potentially subject to the Biotech (Hangzhou) Co., Ltd. of recommended general exclusion order within INTERNATIONAL TRADE Hangzhou, China (‘‘ACON Bio’’) a commercially reasonable time; and COMMISSION (collectively, ‘‘ACON’’). The Office of (v) explain how the recommended general Unfair Import Investigations is not a exclusion order would impact consumers in [Investigation No. 337–TA–1116] party to the investigation. Id. at 26088. the United States. The Commission subsequently Certain Blood Cholesterol Testing terminated the investigation with Strips and Associated Systems Written submissions must be filed no respect to claims 10, 13, 14, and 20 of Containing the Same; Commission’s later than by close of business on May the ’397 patent based on PTS’s 8, 2020. Final Determination Finding a Violation withdrawal of those allegations. See of Section 337; Issuance of a Limited Persons filing written submissions Order. No. 7 (Sept. 10, 2018), not Exclusion Order; Termination of must file the original document reviewed, Notice (Sept. 25, 2018); Order Investigation electronically on or before the deadlines No. 10 (Jan. 31, 2019), not reviewed, stated above. The Commission’s paper AGENCY: U.S. International Trade Notice (Feb. 21, 2019). The Commission filing requirements in 19 CFR 210.4(f) Commission. also terminated the investigation for infringement purposes with respect to are currently waived. 85 FR 15798 ACTION: Notice. (March 19, 2020). claim 17 of the ’397 patent; claims 2, 3, SUMMARY: Notice is hereby given that 13, and 14 of the ’721 patent; and claim Any person desiring to submit a the U.S. International Trade 10 of the ’818 patent based on PTS’s document to the Commission in Commission has found a violation of withdrawal of allegations. Order No. 14 confidence must request confidential section 337 of the Tariff Act of 1930, as (Feb. 14, 2019), not reviewed, Notice treatment. All such requests should be amended, by ACON Biotech (Hangzhou) (Mar. 5, 2019). Finally, the Commission directed to the Secretary to the Co., Ltd. of Hangzhou, China, and terminated the investigation with Commission and must include a full ACON Laboratories, Inc., of San Diego, respect to claims 1–3, 5, and 18 of the statement of the reasons why the California, and has determined to issue ’397 patent and claims 5, 7, and 9 of the Commission should grant such a limited exclusion order. The ’721 patent based on PTS’s withdrawal treatment. See 19 CFR 201.6. Documents investigation is terminated. of allegations. Order No. 15 (Mar. 12, for which confidential treatment by the FOR FURTHER INFORMATION CONTACT: 2019), not reviewed, Notice (April 9, Commission is properly sought will be Robert Needham, Office of the General 2019). Accordingly, at the time of the treated accordingly. All information, Counsel, U.S. International Trade Final ID, PTS asserted for infringement claim 19 of the ’397 patent; claims 1, 4, including confidential business Commission, 500 E Street SW, 6, 8, and 15 of the ’721 patent; and information and documents for which Washington, DC 20436, telephone (202) claims 8, 9, and 11 of the ’818 patent. confidential treatment is properly 708–5468. Copies of non-confidential sought, submitted to the Commission for Final ID at 43. documents filed in connection with this On February 13, 2019, the presiding purposes of this Investigation may be investigation may be viewed on the administrative law judge (‘‘ALJ’’) issued disclosed to and used: (i) By the Commission’s electronic docket (EDIS) an initial determination (‘‘ID’’) granting Commission, its employees and Offices, at https://edis.usitc.gov. For help a summary determination that PTS and contract personnel (a) for accessing EDIS, please email satisfied the economic prong of the developing or maintaining the records [email protected]. General domestic industry requirement for each of this or a related proceeding, or (b) in information concerning the Commission of three asserted patents under section internal investigations, audits, reviews, may also be obtained by accessing its 337(a)(3)(A), (B), and (C). Order No. 13 and evaluations relating to the internet server (https://www.usitc.gov). (Feb. 13, 2019). No party petitioned for programs, personnel, and operations of Hearing-impaired persons are advised review of the ID, and the Commission the Commission including under 5 that information on this matter can be declined to review the ID. Notice (Mar. U.S.C. Appendix 3; or (ii) by U.S. obtained by contacting the 12, 2019). government employees and contract Commission’s TDD terminal, telephone On June 4, 2019, the ALJ issued a personnel,1 solely for cybersecurity (202) 205–1810. final ID finding a violation of section purposes. All nonconfidential written SUPPLEMENTARY INFORMATION: The 337 with respect to the ’397 and ’721 submissions will be available for public Commission instituted this investigation patents, and no violation with respect to inspection at the Office of the Secretary on June 5, 2018, based on a complaint the ’818 patent. The ALJ found that and on EDIS. filed by Polymer Technology Systems, ACON infringed claim 19 of the ’397 Inc. of Indianapolis, Indiana (‘‘PTS’’). 83 patent and claims 1, 4, 6, 7, and 15 of This action is taken under the FR 26087–88. The complaint alleges the ’721 patent, but did not infringe authority of section 337 of the Tariff Act violations of section 337 in the claims 8, 9, and 11 of the ’818 patent. of 1930, as amended (19 U.S.C. 1337), importation into the United States, the The ALJ also found that PTS satisfies and in part 210 of the Commission’s sale for importation, and the sale after the domestic industry requirement with Rules of Practice and Procedure (19 CFR importation within the United States respect to all three asserted patents, and part 210). after importation of certain blood that no asserted claims were shown to By order of the Commission. cholesterol testing strips and associated be invalid by clear and convincing systems containing the same by reason evidence. 1 All contract personnel will sign appropriate of infringement of one or more claims of On June 17, 2019, ACON petitioned nondisclosure agreements. U.S. Patent Nos. 7,087,397 (‘‘the ’397 for review of the final ID with respect

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to the ’397 and ’721 patents, and the same that are covered by one or recommendations for the proposed contingently petitioned for review of the more of claim 19 of the ’397 patent and information collection should be sent final ID with respect to the ’818 patent. claims 1, 4, 6, 8, and 15 of the ’721 within 30 days of publication of this PTS did not file a petition for review, patent. The Commission has further notice to www.reginfo.gov/public/do/ and, on June 25, 2019, PTS filed a determined that the public interest PRAMain. Find this particular response to ACON’s petition. factors enumerated in subsection information collection by selecting On August 13, 2019, the Commission 337(d)(1) (19 U.S.C. 1337(d)(1)) do not ‘‘Currently under 30-day Review—Open determined to review the Final ID in preclude the issuance of the limited for Public Comments’’ or by using the part. Specifically, the Commission exclusion order. Finally, the search function. determined to review the following Commission has determined that the SUPPLEMENTARY INFORMATION: Written issues: (1) Whether ACON Labs’ use of bond for importation during the period comments and suggestions from the the accused products in the United of Presidential review shall be in the public and affected agencies concerning States constitutes a violation of 19 amount of zero percent of the entered the proposed collection of information U.S.C. 1337(a)(1)(B)(i); (2) the final ID’s value of such articles. are encouraged. Your comments should construction of ‘‘reacting HDL . . . The Commission’s notice, order, and address one or more of the following without precipitating said one or more opinion were delivered to the President four points: non-selected analytes’’ in the ’721 and to the United States Trade —Evaluate whether the proposed patent, as well as related findings on Representative on the day of their collection of information is necessary infringement, the domestic industry, issuance. The Commission has also for the proper performance of the and invalidity; and (3) the final ID’s notified the Secretary of the Treasury functions of the agency, including finding that all of the asserted claims of and Customs and Border Protection of whether the information will have the ’721 patent are not shown to be the order. The investigation is hereby practical utility; invalid for a lack of enablement. The terminated. —Evaluate the accuracy of the agency’s Commission did not review any other The authority for the Commission’s estimate of the burden of the findings presented in the final ID. determination is contained in section proposed collection of information, The Commission also sought briefing 337 of the Tariff Act of 1930, as including the validity of the from the parties on four issues and on amended (19 U.S.C. 1337), and in part methodology and assumptions used; remedy, bonding, and public interest. 210 of the Commission’s Rules of —Evaluate whether and if so how the On August 27, 2019, PTS and ACON Practice and Procedure (19 CFR part quality, utility, and clarity of the filed their initial submissions in 210). response to the Commission’s request information to be collected can be for briefing. On September 3, 2019, PTS By order of the Commission. enhanced; and and ACON filed their reply submissions Issued: April 16, 2020. —Minimize the burden of the collection in response to the Commission’s request Lisa Barton, of information on those who are to for briefing. No third-party submissions Secretary to the Commission. respond, including through the use of on remedy, bonding, or the public [FR Doc. 2020–08480 Filed 4–21–20; 8:45 am] appropriate automated, electronic, interest were received. BILLING CODE 7020–02–P mechanical, or other technological Having examined the record of this collection techniques or other forms investigation, including the Final ID, the of information technology, e.g., petition, response, and other DEPARTMENT OF JUSTICE permitting electronic submission of submissions from the parties, the responses. Commission has determined that PTS Bureau of Alcohol, Tobacco, Firearms Overview of This Information has shown a violation of section 337 by and Explosives Collection ACON Bio and ACON Labs with respect [OMB Number 1140–0056] to the ’397 and ’721 patents. The (1) Type of Information Collection: Commission has also determined to Agency Information Collection Revision of a currently approved construe the term ‘‘precipitating’’ to Activities; Proposed eCollection collection. mean ‘‘separating a solid substance or eComments Requested; Special Agent (2) The Title of the Form/Collection: material from a solution by a chemical Medical Preplacement—ATF Form Special Agent Medical Preplacement. reaction,’’ and finds that, under this 2300.10 (3) The agency form number, if any, construction, PTS established and the applicable component of the infringement and the domestic industry AGENCY: Bureau of Alcohol, Tobacco, Department sponsoring the collection: requirement with respect to claims 1, 4, Firearms and Explosives, Department of Form number: ATF Form 2300.10. 6, 8, and 15 of the ’721 patent, and that Justice. Component: Bureau of Alcohol, ACON failed to show that any claim is ACTION: 30-Day notice. Tobacco, Firearms and Explosives, U.S. invalid by clear and convincing Department of Justice. evidence. The Commission’s SUMMARY: The Department of Justice (4) Affected public who will be asked determinations are explained more fully (DOJ), Bureau of Alcohol, Tobacco, or required to respond, as well as a brief in the accompanying Opinion. All other Firearms and Explosives (ATF), will abstract: findings in the ID under review that are submit the following information Primary: Individuals or households. consistent with the Commission’s collection request to the Office of Other: Federal Government. determinations are affirmed. Management and Budget (OMB) for Abstract: The Special Agent Medical The Commission has determined that review and approval in accordance with Preplacement Form—ATF Form 2300.10 the appropriate form of relief in this the Paperwork Reduction Act of 1995. is used to collect specific personally investigation is a limited exclusion DATES: Comments are encouraged and identifiable information (PII), including order with respect to ACON Bio and will be accepted for an additional 30 the name, address, telephone, social ACON Labs prohibiting the importation days until May 22, 2020. security number and certain medical of imported blood cholesterol testing FOR FURTHER INFORMATION CONTACT: data. The collected medical data is used strips and associated systems containing Written comments and to determine if a candidate is medically

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qualified for and can be hired to serve M. Hall, Foreign Claims Settlement (1) Evaluate whether the proposed as a criminal investigator (special agent) Commission, Tele: (202) 616–6975, two collection of information is necessary or an explosives enforcement officer. business days in advance of the for the proper performance of the (5) An estimate of the total number of meeting. Individuals will be given call- functions of the agency, including respondents and the amount of time in information upon notice of whether the information will have estimated for an average respondent to attendance to the Commission. practical utility; respond: An estimated 288 respondents MATTERS TO BE CONSIDERED: 10:00 (2) Evaluate the accuracy of the will utilize the form annually, and it a.m.—Issuance of Proposed Decisions agency’s estimate of the burden of the will each respondents approximately 45 under the Guam World War II Loyalty proposed collection of information, minutes for all respondents to prepare Recognition Act, Title XVII, Public Law including the validity of the their responses. 114–328. methodology and assumptions used; (6) An estimate of the total public (3) Enhance the quality, utility, and CONTACT PERSON FOR MORE INFORMATION: burden (in hours) associated with the clarity of the information to be Requests for information, advance collected; and collection: The estimated annual public notices of intention to observe an open burden associated with this collection is (4) Minimize the burden of the meeting, and requests for teleconference collection of information on those who 216 hours, which is equal to 288 (# of dial-in information may be directed to: respondents) * 1 (number or responses are to respond, including through the Patricia M. Hall, Foreign Claims use of appropriate automated, per respondents) * .75 (45 minutes). Settlement Commission, 441 G St. NW, (7) An Explanation of the Change in electronic, mechanical, or other Room 6234, Washington, DC 20579. Estimates: The adjustments associated technological collection techniques or Telephone: (202) 616–6975. with this collection include an increase other forms of information technology, in both the number of respondents and Brian M. Simkin, e.g., permitting electronic submission of total burden hours by 168 and 126 hours Chief Counsel. responses. respectively, since the last renewal in [FR Doc. 2020–08585 Filed 4–20–20; 11:15 am] Overview of This Information 2017. Due to more respondents and an BILLING CODE 4410–BA–P Collection increase in the postal rate, the public cost has also increased by $2,160, since (1) Type of Information Collection: Extension of a currently approved 2017. DEPARTMENT OF JUSTICE If additional information is required collection. contact: Melody Braswell, Department [OMB Number 1122–0003] (2) Title of the Form/Collection: Annual Progress Report for the STOP Clearance Officer, United States Agency Information Collection Department of Justice, Justice Formula Grants Program. Activities; Proposed eCollection (3) Agency form number, if any, and Management Division, Policy and eComments Requested; Extension of a the applicable component of the Planning Staff, Two Constitution Currently Approved Collection Department of Justice sponsoring the Square, 145 N Street NE, 3E.405A, collection: Form Number: 1122–0003. Washington, DC 20530. AGENCY: Office on Violence Against U.S. Department of Justice, Office on Women, Department of Justice. Dated: April 17, 2020. Violence Against Women. Melody Braswell, ACTION: 30-Day notice. (4) Affected public who will be asked or required to respond, as well as a brief Department Clearance Officer for PRA, U.S. SUMMARY: The Department of Justice, Department of Justice. abstract: The affected public includes Office on Violence Against Women the 56 STOP state administrators (from [FR Doc. 2020–08509 Filed 4–21–20; 8:45 am] (OVW) will be submitting the following 50 states, the District of Columbia and BILLING CODE 4410–14–P information collection request to the five territories and commonwealths Office of Management and Budget (Guam, Puerto Rico, American Samoa, (OMB) for review and approval in DEPARTMENT OF JUSTICE Virgin Islands, Northern Mariana accordance with the Paperwork Islands)) and their subgrantees. The Reduction Act of 1995. Foreign Claims Settlement STOP Violence Against Women Commission DATES: Comments are encouraged and Formula Grants Program was authorized will be accepted for 30 days until May through the Violence Against Women [F.C.S.C. Meeting and Hearing Notice No. 22, 2020. 03–20] Act of 1994 (VAWA) and reauthorized FOR FURTHER INFORMATION CONTACT: and amended by the Violence Against Sunshine Act Meeting Written comments and Women Act of 2000 (VAWA 2000) and recommendations for the proposed by the Violence Against Women Act of The Foreign Claims Settlement information collection should be sent 2005 (VAWA 2005). Its purpose is to Commission, pursuant to its regulations within 30 days of publication of this promote a coordinated, multi- (45 CFR part 503.25) and the notice to www.reginfo.gov/public/do/ disciplinary approach to improving the Government in the Sunshine Act (5 PRAMain. Find this particular criminal justice system’s response to U.S.C. 552b), hereby gives notice in information collection by selecting violence against women. The STOP regard to the scheduling of open ‘‘Currently under 30-day Review—Open Formula Grants Program envisions a meetings as follows: for Public Comments’’ or by using the partnership among law enforcement, TIME AND DATE: Thursday, April 30, search function. prosecution, courts, and victim 2020, at 10:00 a.m. SUPPLEMENTARY INFORMATION: Written advocacy organizations to enhance PLACE: This meeting will be held by comments and suggestions from the victim safety and hold offenders teleconference. There will be no public and affected agencies concerning accountable for their crimes of violence physical meeting place. the proposed collection of information against women. OVW administers the STATUS: Open. Members of the public are encouraged. Your comments should STOP Formula Grants Program. The who wish to observe the meeting via address one or more of the following grant funds must be distributed by teleconference should contact Patricia four points: STOP state administrators to

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subgrantees according to a statutory DATES: Comments are encouraged and 2005 and the Violence Against Women formula (as amended by VAWA 2000 will be accepted for 30 days until May Act of 2013. The purpose of the STOP and by VAWA 2005). 22, 2020. Formula Grant Program is to promote a (5) An estimate of the total number of FOR FURTHER INFORMATION CONTACT: coordinated, multi-disciplinary respondents and the amount of time Written comments and approach to improving the criminal estimated for an average respondent to recommendations for the proposed justice system’s response to violence respond/reply: It is estimated that it will information collection should be sent against women. It envisions a take the 56 respondents (STOP within 30 days of publication of this partnership among law enforcement, administrators) approximately one hour notice to www.reginfo.gov/public/do/ prosecution, courts, and victim to complete an annual progress report. PRAMain. Find this particular advocacy organizations to enhance It is estimated that it will take information collection by selecting victim safety and hold offenders approximately one hour for roughly ‘‘Currently under 30-day Review—Open accountable for their crimes of violence 2500 subgrantees 1 to complete the for Public Comments’’ or by using the against women. The Department of relevant portion of the annual progress search function. Justice’s Office on Violence Against report. The Annual Progress Report for SUPPLEMENTARY INFORMATION: Written Women (OVW) administers the STOP the STOP Formula Grants Program is comments and suggestions from the Formula Grant Program funds which are divided into sections that pertain to the public and affected agencies concerning awarded to states and territories to different types of activities that the proposed collection of information enhance the capacity of local subgrantees may engage in and the are encouraged. Your comments should communities to develop and strengthen different types of subgrantees that address one or more of the following effective law enforcement and receive funds, i.e. law enforcement four points: prosecution strategies to combat violent agencies, prosecutors offices, courts, (1) Evaluate whether the proposed crimes against women and to develop victim services agencies, etc. collection of information is necessary and strengthen victim services in cases (6) An estimate of the total public for the proper performance of the involving violent crimes against women. burden (in hours) associated with the functions of the agency, including Each state and territory must allocate 25 collection: The total annual hour burden whether the information will have percent for law enforcement, 25 percent to complete the annual progress report practical utility; for prosecutors, 30 percent for victim is 2,556 hours. (2) Evaluate the accuracy of the services (of which at least 10 percent If additional information is required agency’s estimate of the burden of the must be distributed to culturally contact: Melody Braswell, Deputy proposed collection of information, specific community-based Clearance Officer, United States including the validity of the organizations), 5 percent to state and Department of Justice, Justice methodology and assumptions used; local courts, and 15 percent for Management Division, Policy and (3) Enhance the quality, utility, and discretionary distribution. VAWA Planning Staff, Two Constitution clarity of the information to be provides for a 25 percent match Square, 145 N Street NE, 3E, 405B, collected; and requirement imposed on grant funds Washington, DC 20530. (4) Minimize the burden of the under the STOP Formula Grant Dated: April 17, 2020. collection of information on those who Program. Thus, a grant made under this Melody Braswell, are to respond, including through the program may not cover more than 75 Department Clearance Officer, PRA, U.S. use of appropriate automated, percent of the total costs of the project Department of Justice. electronic, mechanical, or other being funded. Under VAWA 2005, the [FR Doc. 2020–08506 Filed 4–21–20; 8:45 am] technological collection techniques or state cannot require matching funds for a grant or subgrant for any tribe, BILLING CODE 4410–14–P other forms of information. territory, or victim service provider, Overview of This Information regardless of funding allocation DEPARTMENT OF JUSTICE Collection category. The state is exempted from (1) Type of Information Collection: matching the portion of the state award [OMB Number 1122–0034] Extension of a currently approved that goes to a victim service provider for victim services or that goes to tribes. Agency Information Collection collection. Territories are also exempted in full. Activities; Proposed eCollection (2) Title of the Form/Collection: STOP States can receive additional waiver of eComments Requested; Extension of a Formula Grant Program Match match based on a petition to OVW and Currently Approved Collection Documentation Worksheet. (3) Agency form number, if any, and a demonstration of financial need. OVW AGENCY: Office on Violence Against the applicable component of the will look at the time of closeout at the Women, Department of Justice. Department of Justice sponsoring the entities and purposes of funds and base ACTION: 30-Day notice. collection: Form Number: 1122–0034. the required match on that. The purpose U.S. Department of Justice, Office on of this new information collection is to SUMMARY: The Department of Justice, Violence Against Women. provide a worksheet for documenting Office on Violence Against Women (4) Affected public who will be asked the amount of matching funds required (OVW) will be submitting the following or required to respond, as well as a brief at the closeout of a specific fiscal year information collection request to the abstract: The affected public includes award under the STOP Formula Grant Office of Management and Budget STOP formula grantees (50 states and Program. The type of questions on the (OMB) for review and approval in the District of Columbia The STOP worksheet will include award number, accordance with the Paperwork Violence Against Women Formula Grant award amount, amount of funds sub- Reduction Act of 1995. Program was authorized through the awarded to victim service providers for Violence Against Women Act of 1994 victim services or to tribes. 1 Each year the number of STOP subgrantees (5) An estimate of the total number of changes. The number 2,500 is based on the number and reauthorized and amended by the of reports that OVW has received in the past from Violence Against Women Act of 2000, respondents and the amount of time STOP subgrantees. the Violence Against Women Act of estimated for an average respondent to

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respond/reply: It is estimated that it will Site and will perform the remedial States Treasury. For a paper copy take the approximately 51 respondents action, including the operation and without the exhibits, the cost is $14.50. approximately ten minutes to complete maintenance of a groundwater Thomas Carroll, a STOP Formula Grant Program match extraction and treatment system. In documentation worksheet. Assistant Section Chief, Environmental return, the United States agrees not to Enforcement Section Environment and (6) An estimate of the total public sue the City and County under sections burden (in hours) associated with the Natural Resources Division. 106 and 107 of CERCLA or under [FR Doc. 2020–08553 Filed 4–21–20; 8:45 am] collection: The total annual hour burden section 7003 of the Resource BILLING CODE 4410–15–P to complete the data collection forms is Conservation and Recovery Act for 8.5 hours, that is 51 STOP State EPA’s past costs and for work that the Administrators completing an City and County have agreed to perform. DEPARTMENT OF JUSTICE assessment tool one time with an The City and County likewise agree not estimated completion time being ten to sue the United States under sections [OMB Number 1122–0029] minutes. 106 and 107 of CERCLA with respect to If additional information is required Agency Information Collection contact: Melody Braswell, Deputy the Site. The City and County have also Activities; Proposed eCollection Clearance Officer, United States asserted claims in this action against eComments Requested; Extension of a Department of Justice, Justice four entities associated with current or Currently Approved Collection Management Division, Policy and former dry cleaners in the area (i.e., The AGENCY: Office on Violence Against Planning Staff, Two Constitution Lofts at Alameda, LLC, American Linen Women, Department of Justice. Square, 145 N Street NE, 3E, 405B, Supply of New Mexico, LLC, Rawson Washington, DC 20530. Leasing Limited Liability Co., and ACTION: 60-Day notice. Chilsolm’s-Village Plaza, LLC), and Dated: April 17, 2020. SUMMARY: The Department of Justice, these claims are unaffected by the Office on Violence Against Women Melody Braswell, proposed settlement. Department Clearance Officer, PRA, U.S. (OVW) will be submitting the following Department of Justice. The publication of this notice opens information collection request to the [FR Doc. 2020–08507 Filed 4–21–20; 8:45 am] a period for public comment on the Office of Management and Budget BILLING CODE 4410–14–P proposed Consent Decree. Comments (OMB) for review and approval in should be addressed to the Assistant accordance with the Paperwork Attorney General, Environment and Reduction Act of 1995. DEPARTMENT OF JUSTICE Natural Resources Division, and should DATES: Comments are encouraged and refer to City of Las Cruces and Don˜ a will be accepted for 60 days until June Notice of Lodging of Proposed Ana County v. United States of 22, 2020. Consent Decree Under the America, et al., D.J. Ref. No. 90–11–3– FOR FURTHER INFORMATION CONTACT: Comprehensive Environmental 09067/1. All comments must be Written comments and/or suggestion Response, Compensation, and Liability submitted no later than thirty (30) days regarding the items contained in this Act after the publication date of this notice. notice, especially the estimated public On April 16 2020, the Department of Comments may be submitted either by burden and associated response time, Justice lodged a proposed Consent email or by mail: should be directed to Cathy Poston, Decree with the United States District Office on Violence Against Women, at To submit 202–514–5430 or Catherine.poston@ Court for the District of New Mexico in comments: Send them to: the lawsuit entitled, City of Las Cruces usdoj.gov. and Don˜ a Ana County v. United States By email ...... pubcomment-ees.enrd@ SUPPLEMENTARY INFORMATION: Written of America, et al., Civil Action No. usdoj.gov. comments and suggestions from the 2:17–cv–00809–JCH–GBW. By mail ...... Assistant Attorney General, public and affected agencies concerning The City of Las Cruces and Don˜ a Ana U.S. DOJ—ENRD, P.O. the proposed collection of information County (‘‘City and County’’) filed this Box 7611, Washington, DC are encouraged. Your comments should lawsuit under the Comprehensive 20044–7611. address one or more of the following Environmental Response, four points: Compensation, and Liability Act of 1980 Under section 7003(d) of RCRA, a (1) Evaluate whether the proposed (‘‘CERCLA’’) against the United States commenter may request an opportunity collection of information is necessary Department of Defense and National for a public meeting in the affected area. for the proper performance of the Guard Bureau. The United States filed During the public comment period, functions of the agency, including counterclaims, on behalf of the U.S. the Consent Decree may be examined whether the information will have Environmental Protection Agency and downloaded at this Justice practical utility; (‘‘EPA’’), against the City and County. Department website: https:// (2) Evaluate the accuracy of the The case pertains to liability for agency’s estimate of the burden of the response actions and response costs in www.justice.gov/enrd/consent-decrees. We will provide a paper copy of the proposed collection of information, connection with the Griggs and Walnut including the validity of the Ground Water Plume Superfund Site Consent Decree upon written request and payment of reproduction costs. methodology and assumptions used; located in Las Cruces, New Mexico (3) Enhance the quality, utility, and Please mail your request and payment (‘‘the Site’’). Under the proposed clarity of the information to be to: Consent Decree Library, U.S. DOJ— settlement, the United States will pay collected; and $7,249,407 to resolve the United States’ ENRD, P.O. Box 7611, Washington, DC (4) Minimize the burden of the liability at the Site, and the City and 20044–7611. collection of information on those who County will pay $1,140,000 to the Please enclose a check or money order are to respond, including through the United States in reimbursement of past for $99.00 (25 cents per page use of appropriate automated, costs, will pay EPA’s future costs at the reproduction cost) payable to the United electronic, mechanical, or other

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technological collection techniques or As a result of VAWA 2013 and the of the Trade Act of 1974 (‘‘the Act’’) and other forms of information technology, penalty provision of the Prison Rape are identified in the Appendix to this e.g., permitting electronic submission of Elimination Act (PREA), States are notice. Upon receipt of these petitions, responses. required to certify compliance with the Administrator of the Office of Trade PREA. If States cannot certify Overview of This Information Adjustment Assistance, Employment compliance, they have the option of Collection and Training Administration, has forfeiting five percent of covered funds instituted investigations pursuant to (1) Type of Information Collection: or executing an assurance that five Section 221(a) of the Act. Extension of a currently approved percent of covered funds will be used collection. towards coming into compliance with The purpose of each of the (2) Title of the Form/Collection: PREA. investigations is to determine whether Certification of Compliance with the (5) An estimate of the total number of the workers are eligible to apply for Statutory Eligibility Requirements of the respondents and the amount of time adjustment assistance under Title II, Violence Against Women Act as estimated for an average respondent to Chapter 2, of the Act. The investigations Amended and the Prison Rape respond/reply: It is estimated that it will will further relate, as appropriate, to the Elimination Act for Applicants to the take the approximately 56 respondents determination of the date on which total STOP Formula Grant Program. (state administrators from the STOP or partial separations began or (3) Agency form number, if any, and Formula Grant Program) 10 minutes to threatened to begin and the subdivision the applicable component of the complete a Certification of Compliance of the firm involved. Department of Justice sponsoring the with the Statutory Eligibility collection: Form Number: 1122–0029. Requirements of the Violence Against The petitioners or any other persons U.S. Department of Justice, Office on Women Act, as amended and the Prison showing a substantial interest in the Violence Against Women. Rape Elimination Act. subject matter of the investigations may (4) Affected public who will be asked (6) An estimate of the total public request a public hearing provided such or required to respond, as well as a brief burden (in hours) associated with the request is filed in writing with the abstract: Primary: The affected public collection: The total annual hour burden Administrator, Office of Trade includes STOP formula grantees (50 to complete the Certification is less than Adjustment Assistance, at the address states, the District of Columbia and five 10 hours. shown below, no later than May 4, 2020. territories (Guam, Puerto Rico, If additional information is required American Samoa, Virgin Islands, Interested persons are invited to contact: Melody Braswell, Deputy submit written comments regarding the Northern Mariana Islands). The STOP Clearance Officer, United States subject matter of the investigations to Violence Against Women Formula Grant Department of Justice, Justice the Administrator, Office of Trade Program was authorized through the Management Division, Policy and Violence Against Women Act of 1994 Planning Staff, Two Constitution Adjustment Assistance, at the address and reauthorized and amended by the Square, 145 N Street NE, 3E, 405B, shown below, not later than May 4, Violence Against Women Act of 2000, Washington, DC 20530. 2020. the Violence Against Women Act of Dated: April 17, 2020. The petitions filed in this case are 2005, and the Violence Against Women available for inspection at the Office of Act of 2013. The purpose of the STOP Melody Braswell, Department Clearance Officer, PRA, U.S. the Administrator, Office of Trade Formula Grant Program is to promote a Adjustment Assistance, Employment coordinated, multi-disciplinary Department of Justice. [FR Doc. 2020–08508 Filed 4–21–20; 8:45 am] and Training Administration, U.S. approach to improving the criminal Department of Labor, Room N–5428, justice system’s response to violence BILLING CODE 4410–14–P 200 Constitution Avenue NW, against women. It envisions a partnership among law enforcement, Washington, DC 20210. prosecution, courts, and victim DEPARTMENT OF LABOR Signed at Washington, DC this 10th day of advocacy organizations to enhance April 2020. Employment and Training victim safety and hold offenders Hope D. Kinglock, Administration accountable for their crimes of violence Certifying Officer, Office of Trade Adjustment against women. The Department of Investigations Regarding Eligibility To Assistance. Justice’s Office on Violence Against Apply for Worker Adjustment Appendix Women (OVW) administers the STOP Assistance Formula Grant Program funds which must be distributed by STOP state Petitions have been filed with the administrators according to statutory. Secretary of Labor under Section 221(a)

111 TAA PETITIONS INSTITUTED BETWEEN 3/1/20 AND 3/31/20

Date of Date of TA–W Subject firm (petitioners) Location institution petition

95748 ...... Aclara Meters LLC (Company) ...... Somersworth, NH ...... 03/02/20 02/28/20 95749 ...... Aptargroup, Inc. (State/One-Stop) ...... Torrington, CT ...... 03/02/20 02/28/20 95750 ...... Conduent Patient Access Solutions (State/One-Stop) .... Chesapeake, VA ...... 03/02/20 02/28/20 95751 ...... DENSO Air Systems Michigan, Inc. (State/One-Stop) .... Battle Creek, MI ...... 03/02/20 02/28/20 95752 ...... Manchester Tank & Equipment Company (State/One- Bedford, IN ...... 03/02/20 02/28/20 Stop). 95753 ...... Spark Networks (State/One-Stop) ...... Lehi, UT ...... 03/02/20 02/26/20 95754 ...... US Steel (State/One-Stop) ...... Dearborn, MI ...... 03/02/20 02/28/20

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111 TAA PETITIONS INSTITUTED BETWEEN 3/1/20 AND 3/31/20—Continued

Date of Date of TA–W Subject firm (petitioners) Location institution petition

95755 ...... International Automotive Components (IAC) (State/One- Madisonville, KY ...... 03/03/20 03/02/20 Stop). 95756 ...... Lufkin Industries a GE Oil & Gas (Baker Hughes) Lufkin, TX ...... 03/03/20 03/02/20 (State/One-Stop). 95757A ...... Mondelez Global LLC (Company) ...... East Hanover, NJ ...... 03/03/20 03/02/20 95757 ...... Mondelez Global LLC (Company) ...... Hanover Township, PA ...... 03/03/20 03/02/20 95758 ...... Southern Graphic Systems, LLC (Workers) ...... Louisville, KY ...... 03/03/20 03/02/20 95759 ...... Sterlingwear of Boston (Union) ...... Boston, MA ...... 03/03/20 03/02/20 95760 ...... Franchise World Headquarters dba Subway (State/One- Milford, CT ...... 03/03/20 03/03/20 Stop). 95761 ...... Thermo Fisher Scientific (FEI Co.) (State/One-Stop) ...... Hillsboro, OR ...... 03/03/20 03/02/20 95762 ...... Commercial Dehydrator Systems, Inc. (State/One-Stop) Eugene, OR ...... 03/04/20 03/03/20 95763 ...... Hartshorne Mining Group, LLC (Workers) ...... Rumsey, KY ...... 03/04/20 03/03/20 95764 ...... Landis Gyr (State/One-Stop) ...... Pequot Lakes, MN ...... 03/04/20 03/03/20 95765 ...... Modern Business Machines (Xerox) (State/One-Stop) ... Appleton, WI ...... 03/04/20 03/04/20 95766 ...... Modern Transmission Development Company (Com- Leitchfield, KY ...... 03/04/20 03/03/20 pany). 95767 ...... Lufkin Industries LLC (State/One-Stop) ...... Lufkin, TX ...... 03/04/20 03/03/20 95768 ...... State Street Bank (State/One-Stop) ...... Quincy, MA ...... 03/04/20 03/03/20 95769 ...... Stewart & Stevenson (State/One-Stop) ...... Houston, TX ...... 03/04/20 03/03/20 95770 ...... Thermo Ramsey LLC (State/One-Stop) ...... Minneapolis, MN ...... 03/04/20 03/03/20 95771 ...... Aventri, Inc. (State/One-Stop) ...... Norwalk, CT ...... 03/05/20 03/05/20 95772 ...... Component Bar (State/One-Stop) ...... O’Fallon, MO ...... 03/05/20 03/04/20 95773 ...... HKT Teleservices (State/One-Stop) ...... Lincoln, NE ...... 03/05/20 03/04/20 95774 ...... Powerex Inc. (State/One-Stop) ...... Youngwood, PA ...... 03/05/20 03/03/20 95775 ...... Ridewell Suspensions (State/One-Stop) ...... Springfield, MO ...... 03/05/20 03/04/20 95776 ...... Rockland Industries (State/One-Stop) ...... Bamberg, SC ...... 03/05/20 03/04/20 95777 ...... Cardone Industries (State/One-Stop) ...... Harlingen, TX ...... 03/06/20 03/05/20 95778 ...... RTR Industries LLC (State/One-Stop) ...... Anaheim, CA ...... 03/06/20 03/05/20 95779 ...... Synamedia Americas, LLC (State/One-Stop) ...... Costa Mesa, CA ...... 03/06/20 03/05/20 95780 ...... Temp-Flex, L.L.C. (State/One-Stop) ...... South Grafton, MA ...... 03/06/20 03/04/20 95781 ...... The Travelers Indemnity Company (State/One-Stop) ..... Saint Paul, MN ...... 03/06/20 03/05/20 95782 ...... Ultra Clean Technology (Workers) ...... Hayward, CA ...... 03/06/20 03/05/20 95783 ...... UnitedHealth Group (State/One-Stop) ...... Minnetonka, MN ...... 03/06/20 03/05/20 95784 ...... Veritas Tools (State/One-Stop) ...... Ogdensburg, NY ...... 03/06/20 03/05/20 95785 ...... Senior Aerospace AMT (State/One-Stop) ...... Arlington, WA ...... 03/09/20 03/06/20 95786 ...... Arauco North America, Inc. (State/One-Stop) ...... Eugene, OR ...... 03/09/20 03/06/20 95787 ...... Arconic (State/One-Stop) ...... Hutchinson, KS ...... 03/09/20 03/06/20 95788 ...... Honeywell Safety Products (State/One-Stop) ...... Franklin, PA ...... 03/09/20 03/06/20 95789 ...... Jeannette Specialty Glass (Union) ...... Jeannette, PA ...... 03/09/20 03/06/20 95790 ...... Lanz Cabinets (State/One-Stop) ...... Eugene, OR ...... 03/09/20 03/06/20 95791 ...... Lippert Components Manufacturing, Inc. (State/One- Nampa, ID ...... 03/09/20 03/06/20 Stop). 95792 ...... Littelfuse, Inc. REVISED VERSION (State/One-Stop) .... Rapid City, SD ...... 03/09/20 03/06/20 95793 ...... RealWear (State/One-Stop) ...... Vancouver, WA ...... 03/09/20 03/03/20 95794 ...... Saint Gobain SEFPRO dba Corhart Refractories (Union) Buckhannon, WV ...... 03/09/20 03/05/20 95795 ...... SS&C Technology Holdings/formerly DST (State/One- Kansas City, MO ...... 03/09/20 03/05/20 Stop). 95796 ...... Tyson Foods, Inc. (State/One-Stop) ...... Springdale, AR ...... 03/09/20 03/06/20 95797 ...... Concentrix CVG Corporation (State/One-Stop) ...... Laredo, TX ...... 03/10/20 03/09/20 95798 ...... Corsicana Bedding, LLC (State/One-Stop) ...... Dallas, TX ...... 03/10/20 03/09/20 95799 ...... Eaton Hydraulics LLC (Company) ...... Shawnee, OK ...... 03/10/20 03/05/20 95800 ...... Xerox Corporation (State/One-Stop) ...... Webster, NY ...... 03/10/20 03/09/20 95801 ...... A&I Products—John Deere (State/One-Stop) ...... Williamsport, PA ...... 03/11/20 03/10/20 95802 ...... Caldwell Corporation (Company) ...... Emporium, PA ...... 03/11/20 03/10/20 95803 ...... Crown Cork and Seal (State/One-Stop) ...... Omaha, NE ...... 03/11/20 03/10/20 95804 ...... Imperial Health LLP (State/One-Stop) ...... Lake Charles, LA ...... 03/11/20 03/10/20 95805 ...... Russell Stover Chocolates, LLC (State/One-Stop) ...... Montrose, CO ...... 03/11/20 03/10/20 95806 ...... United Steel, Inc. (State/One-Stop) ...... East Hartford, CT ...... 03/11/20 03/10/20 95807 ...... Denton Publications (State/One-Stop) ...... Elizabethtown, NY ...... 03/12/20 03/11/20 95808 ...... Dispensing Dynamics (Company) ...... City of Industry, CA ...... 03/12/20 03/11/20 95809 ...... Formfactor (State/One-Stop) ...... Beaverton, OR ...... 03/12/20 03/11/20 95810 ...... Papyrus Stationary (State/One-Stop) ...... St. Louis, MO ...... 03/12/20 03/11/20 95811 ...... OptumRX (State/One-Stop) ...... Phoenix, AZ ...... 03/13/20 03/12/20 95812 ...... Smiths Detection (Company) ...... Edgewood, MD ...... 03/13/20 03/04/20 95813 ...... United States Steel Corporation, Minnesota Operations Mountain Iron, MN ...... 03/13/20 03/12/20 (State/One-Stop). 95814 ...... Dun and Bradstreet (State/One-Stop) ...... Tucson, AZ ...... 03/16/20 03/13/20 95815 ...... Knoll, Inc. (State/One-Stop) ...... Grand Rapids, MI ...... 03/16/20 03/13/20 95816 ...... Noron Composite Technologies, Inc. (State/One-Stop) .. Grant Township, MI ...... 03/16/20 03/13/20 95817 ...... HCL America, Inc. (State/One-Stop) ...... Wethersfield, CT ...... 03/17/20 03/16/20

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111 TAA PETITIONS INSTITUTED BETWEEN 3/1/20 AND 3/31/20—Continued

Date of Date of TA–W Subject firm (petitioners) Location institution petition

95818 ...... Regal Beloit Corporation (Union) ...... Valparaiso, IN ...... 03/17/20 03/16/20 95819 ...... Southwire, LLC. (Workers) ...... Hayesville, NC ...... 03/17/20 03/16/20 95820 ...... Timberland Forest Products (State/One-Stop) ...... West Plains, MO ...... 03/17/20 03/16/20 95821 ...... Cox Machine (State/One-Stop) ...... Harper, KS ...... 03/18/20 03/17/20 95822 ...... Ricoh USA, Inc. (State/One-Stop) ...... Houston, TX ...... 03/18/20 03/17/20 95823 ...... SMB Corporation (State/One-Stop) ...... Wichita, KS ...... 03/18/20 03/17/20 95824 ...... HCL America , INC (formally—Xerox) (State/One-Stop) Lewisville, TX ...... 03/19/20 03/18/20 95825 ...... Steelcase Inc. (State/One-Stop) ...... Grand Rapids, MI ...... 03/19/20 03/18/20 95826 ...... Wexco Corporation (Union) ...... Lynchburg, VA ...... 03/19/20 03/18/20 95827 ...... AMETEK Instrumentation Systems (Company) ...... Grand Junction, CO ...... 03/20/20 03/19/20 95828 ...... Petrosmith (State/One-Stop) ...... Abilene, TX ...... 03/20/20 03/10/20 95829 ...... Takeda Pharmaceuticals (State/One-Stop) ...... Thousand Oaks, CA ...... 03/20/20 03/19/20 95830 ...... Wayzata Home Products (State/One-Stop) ...... Edina, MN ...... 03/20/20 03/19/20 95831 ...... Basic Energy Services (State/One-Stop) ...... San Angelo, TX ...... 03/23/20 03/20/20 95832 ...... F5 Networks, Inc. (State/One-Stop) ...... Liberty Lake, WA ...... 03/23/20 03/17/20 95833 ...... Formtek-Maine (State/One-Stop) ...... Clinton, ME ...... 03/23/20 03/20/20 95834 ...... Nichols Oil Tools (State/One-Stop) ...... San Angelo, TX ...... 03/23/20 03/20/20 95835 ...... NTT Limited (State/One-Stop) ...... Omaha, NE ...... 03/23/20 03/20/20 95836 ...... Precision for Medicine (State/One-Stop) ...... Norwalk, CT ...... 03/23/20 03/20/20 95837 ...... Echo Canyon Energy Products Supply, LLC (State/One- San Angelo, TX ...... 03/24/20 03/23/20 Stop). 95838 ...... EFI (Workers) ...... Fremont, CA ...... 03/24/20 03/23/20 95839 ...... IPSCO Koppel Tubulars, Inc. (subsidiary of Tenaris) Baytown, TX ...... 03/24/20 03/23/20 (State/One-Stop). 95840 ...... Northwest Hardwoods (State/One-Stop) ...... Garibaldi, OR ...... 03/24/20 03/23/20 95841 ...... Pier 1 Imports (State/One-Stop) ...... Jonesboro, AR ...... 03/24/20 03/23/20 95842 ...... Pier 1 Imports (State/One-Stop) ...... Kansas City, MO ...... 03/24/20 03/20/20 95843 ...... Amcor Rigid Packaging (State/One-Stop) ...... Hazelwood, MO ...... 03/25/20 03/24/20 95844 ...... Cloud Terre Studio (State/One-Stop) ...... Winchester, VA ...... 03/25/20 03/24/20 95845 ...... Danfoss, LLC. (State/One-Stop) ...... Arkadelphia, AR ...... 03/25/20 03/24/20 95846 ...... Denver Plastics (State/One-Stop) ...... Wahoo, NE ...... 03/25/20 03/24/20 95847 ...... ELO Touch Solutions (State/One-Stop) ...... Rochester, NY ...... 03/25/20 03/24/20 95848 ...... FTS International (State/One-Stop) ...... Hobbs, NM ...... 03/25/20 03/24/20 95849 ...... Con-Vey (State/One-Stop) ...... Roseburg, OR ...... 03/26/20 03/25/20 95850 ...... Hotelbeds (Workers) ...... Orlando, FL ...... 03/26/20 03/25/20 95851 ...... Titan Wheel Corporation of Virginia (State/One-Stop) .... Saltville, VA ...... 03/26/20 03/25/20 95852 ...... Coastal Drilling Company, LLC (State/One-Stop) ...... Corpus Christi, TX ...... 03/27/20 03/26/20 95853 ...... Oracle America (State/One-Stop) ...... Reston, VA ...... 03/27/20 03/26/20 95854 ...... Flir Systems, Inc. (State/One-Stop) ...... Wilsonville, OR ...... 03/30/20 03/27/20 95855 ...... Lipan Services, LLC (State/One-Stop) ...... San Angelo, TX ...... 03/30/20 03/27/20 95856 ...... Rialto Services, LLC (State/One-Stop) ...... San Angelo, TX ...... 03/30/20 03/27/20 95857 ...... WTX Oilfield Services, LLC (State/One-Stop) ...... San Angelo, TX ...... 03/30/20 03/27/20

[FR Doc. 2020–08522 Filed 4–21–20; 8:45 am] primarily follows the language of the are threatened to become totally or BILLING CODE 4510–FN–P Trade Act. In some places however, partially separated; changes such as the inclusion of AND (2(A) or 2(B) below) subheadings, a reorganization of (2) The second criterion (set forth in DEPARTMENT OF LABOR language, or ‘‘and,’’ ‘‘or,’’ or other words Section 222(a)(2) of the Act, 19 U.S.C. are added for clarification.) Employment and Training 2272(a)(2)) may be satisfied by either (A) the Increased Imports Path, or (B) the Administration Section 222(a)—Workers of a Primary Shift in Production or Services to a Firm Notice of Determinations Regarding Foreign Country Path/Acquisition of Eligibility To Apply for Trade In order for an affirmative Articles or Services from a Foreign Adjustment Assistance determination to be made for workers of Country Path, as follows: a primary firm and a certification issued (A) Increased Imports Path In accordance with the Section 223 regarding eligibility to apply for TAA, (i) the sales or production, or both, of (19 U.S.C. 2273) of the Trade Act of the group eligibility requirements under such firm, have decreased absolutely; 1974 (19 U.S.C. 2271, et seq.) (‘‘Act’’), as Section 222(a) of the Act (19 U.S.C. amended, the Department of Labor 2272(a)) must be met, as follows: AND (ii and iii below) herein presents summaries of (ii) (I) imports of articles or services determinations regarding eligibility to (1) The first criterion (set forth in like or directly competitive with articles apply for trade adjustment assistance Section 222(a)(1) of the Act, 19 U.S.C. produced or services supplied by such under Chapter 2 of the Act (‘‘TAA’’) for 2272(a)(1)) is that a significant number firm have increased; OR workers by (TA–W) number issued or proportion of the workers in such (II)(aa) imports of articles like or during the period of March 1, 2020 workers’ firm (or ‘‘such firm’’) have directly competitive with articles into through March 31, 2020. (This Notice become totally or partially separated, or which one or more component parts

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produced by such firm are directly 222(b) of the Act (19 U.S.C. 2272(b)) section 202(b)(1) of the Act (19 U.S.C. incorporated, have increased; OR must be met, as follows: 2252(b)(1)); OR (II)(bb) imports of articles like or (1) A significant number or proportion (B) an affirmative determination of directly competitive with articles which of the workers in the workers’ firm or market disruption or threat thereof are produced directly using the services an appropriate subdivision of the firm under section 421(b)(1) of the Act (19 supplied by such firm, have increased; have become totally or partially U.S.C. 2436(b)(1)); OR OR separated, or are threatened to become (C) an affirmative final determination (III) imports of articles directly totally or partially separated; of material injury or threat thereof under incorporating one or more component AND section 705(b)(1)(A) or 735(b)(1)(A) of parts produced outside the United (2) the workers’ firm is a supplier or States that are like or directly the Tariff Act of 1930 (19 U.S.C. downstream producer to a firm that 1671d(b)(1)(A) and 1673d(b)(1)(A)); competitive with imports of articles employed a group of workers who incorporating one or more component received a certification of eligibility AND parts produced by such firm have under Section 222(a) of the Act (19 (2) the petition is filed during the 1- increased; U.S.C. 2272(a)), and such supply or year period beginning on the date on AND production is related to the article or which— (iii) the increase in imports described service that was the basis for such (A) a summary of the report submitted in clause (ii) contributed importantly to certification (as defined in subsection to the President by the International such workers’ separation or threat of 222(c)(3) and (4) of the Act (19 U.S.C. Trade Commission under section separation and to the decline in the 2272(c)(3) and (4)); 202(f)(1) of the Trade Act (19 U.S.C. sales or production of such firm; OR AND 2252(f)(1)) with respect to the (B) Shift in Production or Services to a (3) either— affirmative determination described in Foreign Country Path OR Acquisition of (A) the workers’ firm is a supplier and paragraph (1)(A) is published in the Articles or Services From a Foreign the component parts it supplied to the Federal Register under section 202(f)(3) Country Path firm described in paragraph (2) (19 U.S.C. 2252(f)(3)); OR accounted for at least 20 percent of the (i) (I) there has been a shift by such (B) notice of an affirmative production or sales of the workers’ firm; determination described in workers’ firm to a foreign country in the OR production of articles or the supply of subparagraph (B) or (C)of paragraph (1) (B) a loss of business by the workers’ is published in the Federal Register; services like or directly competitive firm with the firm described in with articles which are produced or paragraph (2) contributed importantly to AND services which are supplied by such the workers’ separation or threat of (3) the workers have become totally or firm; OR separation determined under paragraph partially separated from the workers’ (II) such workers’ firm has acquired (1). firm within— from a foreign country articles or services that are like or directly Section 222(e)—Firms Identified by the (A) the 1-year period described in competitive with articles which are International Trade Commission paragraph (2); OR produced or services which are In order for an affirmative (B) notwithstanding section 223(b) of supplied by such firm; determination to be made for adversely the Act (19 U.S.C. 2273(b)), the 1-year AND affected workers in firms identified by period preceding the 1-year period (ii) the shift described in clause (i)(I) the International Trade Commission and described in paragraph (2). or the acquisition of articles or services a certification issued regarding Affirmative Determinations for Trade described in clause (i)(II) contributed eligibility to apply for TAA, the group Adjustment Assistance importantly to such workers’ separation eligibility requirements of Section or threat of separation. 222(e) of the Act (19 U.S.C. 2272(e)) The following certifications have been must be met, by following criteria (1), issued. The date following the company Section 222(b)—Adversely Affected (2), and (3) as follows: name and location of each Secondary Workers (1) The workers’ firm is publicly determination references the impact In order for an affirmative identified by name by the International date for all workers of such determination to be made for adversely Trade Commission as a member of a determination. affected secondary workers of a firm and domestic industry in an investigation The following certifications have been a certification issued regarding resulting in— issued. The requirements of Section eligibility to apply for TAA, the group (A) an affirmative determination of 222(a)(2)(A) (Increased Imports Path) of eligibility requirements of Section serious injury or threat thereof under the Trade Act have been met.

TA–W No. Subject firm Location Impact date

95,008 ...... Vie De France Yamazaki, Inc., Yamazaki Baking Co., Ltd ...... Vienna, VA ...... July 19, 2018. 95,008A ...... Vie De France Yamazaki, Inc., Alexandria Plant, Yamazaki Baking Co., Alexandria, VA ...... July 19, 2018. Ltd. 95,008B ...... Vie De France Yamazaki, Inc., Elmsford Cake Plant, Yamazaki Baking Elmsford, NY ...... July 19, 2018. Co., Ltd. 95,008C ...... Vie De France Yemazaki, Inc., Los Angeles Plant, Yamazaki Baking Vernon, CA ...... July 19, 2018. Co., Ltd., Aramark Management Services. 95,155 ...... Subtext LLC ...... Portland, OR ...... September 5, 2018. 95,212 ...... Fiber Innovators International, LLC, Durafibers, PolyQuest, Arthur Serv- Grover, NC ...... September 23, 2018. ices, Personnel Services Unlimited. 95,333 ...... Cameron International Corporation, Schlumberger Ltd, Guidant Global ... Ville Platte, LA ...... October 28, 2018. 95,342 ...... Siemens Government Technologies, Inc., Dresser Rand, Walker Serv- Wellsville, NY ...... March 3, 2019. ices, IT Tech Connexion Systems.

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TA–W No. Subject firm Location Impact date

95,377 ...... Modern Tool, Inc., Atlas Staffing, Inc., Platinum Staffing Group, Inc ...... Coon Rapids, MN ...... November 13, 2018. 95,391 ...... Alorica Inc ...... Mesa, AZ ...... November 19, 2018. 95,476 ...... St. John Knits, Inc., Corporate and Manufacturing Division, St. John Irvine, CA ...... June 22, 2019. Knits International, Inc. 95,518 ...... Corsicana Bedding, LLC, Accurate Personnel LLC ...... Barnesville, PA ...... December 27, 2018. 95,635 ...... Smiths Interconnect Americas, Inc., Smiths Group PLC ...... Costa Mesa, CA ...... January 30, 2019.

The following certifications have been Services to a Foreign Country Path or a Foreign Country Path) of the Trade Act issued. The requirements of Section Acquisition of Articles or Services from have been met. 222(a)(2)(B) (Shift in Production or

TA–W No. Subject firm Location Impact date

94,353 ...... DXC Technology Company, DXC Technology Services LLC ...... Tysons, VA ...... November 20, 2017. 94,353A ...... Enterprise Services LLC, DXC Technology Company ...... Herndon, VA ...... November 20, 2017. 94,353B ...... Enterprise Services LLC, DXC Technology Company ...... Norfolk, VA ...... November 20, 2017. 94,353C ...... Enterprise Services LLC, DXC Technology Company ...... Stafford, VA ...... November 20, 2017. 94,353D ...... DXC Technology Services LLC ...... Richmond, VA ...... November 20, 2017. 94,353E ...... Computer Sciences Corporation (CSC), DXC Technology Company, Sterling, VA ...... November 20, 2017. 45154 Underwood Lane. 94,353F ...... Computer Sciences Corporation (CSC), DXC Technology Company, Sterling, VA ...... November 20, 2017. 22810 International Drive. 94,627 ...... Toppan Merrill LLC, Toppan Printing Co., Merrill Communications, Century City, CA ...... March 12, 2018. Toppan Vintage, Randstad, etc. 94,909 ...... The Safariland Group, Safariland, LLC, Arrow Staffing, Kinetic Staffing, Ontario, CA ...... June 14, 2018. Select Staffing. 95,073 ...... TechFive LLC, iQor US, Inc ...... Klamath Falls, OR ...... August 13, 2018. 95,103 ...... PPG Industries, Inc., Metokote Corporation, The Crown Group Co ...... Pittsburgh, PA ...... August 21, 2018. 95,103A ...... Metokote Corporation dba PPG Coatings Services, PPG Industries, Inc., Peru, IL ...... August 21, 2018. The Crown Group Co. 95,103B ...... The Crown Group Co. dba PPG Coatings Services, PPG Industries, Asheboro, NC ...... August 21, 2018. Inc., Metokote Corporation. 95,103C ...... Cuming Microwave Corporation, PPG Industries, Inc., Metokote Cor- Avon, MA ...... August 21, 2018. poration, The Crown Group Co. 95,103D ...... PPG Industries Ohio, Inc., Circleville Resins Plant, PPG Industries, Inc., Circleville, OH ...... August 21, 2018. Metokote Corporation, etc. 95,103E ...... PPG Architectural Finishes, Inc., PPG Industries, Inc., Metokote Cor- Cranberry Township, PA ...... August 21, 2018. poration, The Crown Group Co. 95,103F ...... PPG Industries Ohio, Inc., Delaware Plant, PPG Industries, Inc., Delaware, OH ...... August 21, 2018. Metokote Corporation, The Crown Group. 95,103G ...... The Crown Group Co. dba PPG Coatings Services, PPG Industries, Detroit, MI ...... August 21, 2018. Inc., Metokote Corporation. 95,103H ...... The Crown Group Co. dba PPG Coatings Services, PPG Industries, East Moline, IL ...... August 21, 2018. Inc., Metokote Corporation. 95,103I ...... Metokote Corporation dba PPG Coatings Services, PPG Industries, Inc., Fort Valley, GA ...... August 21, 2018. The Crown Group Co. 95,103J ...... The Crown Group Co. dba PPG Coating Services, PPG Industries, Inc., Fort Wayne, IN ...... August 21, 2018. Metokote Corporation. 95,103K ...... The Crown Group Co. dba PPG Coatings Services, PPG Industries, Franklin, GA ...... August 21, 2018. Inc., Metokote Corporation. 95,103L ...... The Crown Group Co. dba PPG Coatings Services, PPG Industries, Greenville, SC ...... August 21, 2018. Inc., Metokote Corporation. 95,103M ...... Metokote Corporation dba PPG Coatings Services, PPG Industries, Inc., Dayton, OH ...... August 21, 2018. The Crown Group Co. 95,103N ...... Metokote Corporation dba PPG Coatings Services, PPG Industries, Inc., Lebanon, TN ...... August 21, 2018. The Crown Group Co. 95,103O ...... Metokote Corporation dba PPG Coatings Services, PPG Industries, Inc., Lima, OH ...... August 21, 2018. The Crown Group Co. 95,103P ...... The Crown Group Co. dba PPG Coatings Services, PPG Industries, Portland, TN ...... August 21, 2018. Inc., Metokote Corporation. 95,103Q ...... Sem Products, Inc., PPG Industries, Inc., Metokote Corporation, Crown Rock Hill, SC ...... August 21, 2018. Group Co. 95,103R ...... The Crown Group Co. dba PPG Coatings Services, PPG Industries, Shelby Township, MI ...... August 21, 2018. Inc., Metokote Corporation. 95,103S ...... PPG Industries, Inc., Springdale Plant, Metokote Corporation, The Springdale, PA ...... August 21, 2018. Crown Group Co. 95,103T ...... Metokote Corporation dba PPG Coating Services, PPG Industries, Inc., Sumter, SC ...... August 21, 2018. The Crown Group Co. 95,103U ...... PPG Industries, Inc., Troy Automotive Technical Center, Metokote Cor- Troy, MI ...... August 21, 2018. poration, The Crown Group Co. 95,103V ...... The Crown Group Co. dba PPG Coatings Services, PPG Industries, Waterloo, IA ...... August 21, 2018. Inc., Metokote Corporation.

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TA–W No. Subject firm Location Impact date

95,112 ...... Walmart, Inc., Global Business Services Division, Robert Half ...... Charlotte, NC ...... August 22, 2018. 95,134 ...... Johnson Controls Fire Protection LP, SimplexGrinnell, Service Request Westminster, MA ...... August 28, 2018. Resolution Department, etc. 95,139 ...... MACOM Technology Solutions Inc., MACOM Technology Solutions Ithaca, NY ...... August 30, 2018. Holdings, Inc., Lightwave PE/TE R&D Division. 95,180 ...... Johnson Controls International, Information Technology Group, Westminster, MA ...... September 12, 2018. Enterforce Inc. 95,238 ...... Thryv, Inc., Thryv Holdings, Inc ...... St. Petersburg, FL ...... September 30, 2018. 95,303 ...... JPMorgan Chase & Co., Commercial Banking—Client Data Manage- Brookfield, WI ...... October 20, 2018. ment, etc. 95,303A ...... JPMorgan Chase & Co., Commercial Banking—Client Data Manage- Neenah, WI ...... October 20, 2018. ment, etc. 95,417 ...... Qualfon Data Services Group, LLC ...... Idaho Falls, ID ...... November 21, 2018. 95,427 ...... Wyndham Vacation Ownership, Inc., Wyndham Destinations ...... Redmond, WA ...... November 14, 2018. 95,457 ...... The Bank of New York Mellon, Operations Technology, CSD Tech- New York, NY ...... December 6, 2018. nology, The Bank of New York, WIPRO, etc. 95,457A ...... The Bank of New York Mellon, Operations Technology, CSD Tech- Oriskany, NY ...... December 6, 2018. nology, The Bank of New York Corporation. 95,462 ...... SKF USA Inc ...... Hanover, PA ...... December 5, 2018. 95,473 ...... Author Solutions, LLC, GoDirect, LLC ...... Bloomington, IN ...... December 13, 2018. 95,479 ...... Molex, LLC, Medical Pharmaceutical Solutions, Little Rock Connector Maumelle, AR ...... December 13, 2018. Plant, Aerotek, etc. 95,482 ...... Treetop Commons, LLC ...... Portland, OR ...... December 13, 2018. 95,483 ...... Wells Fargo Bank N.A., Wells Fargo & Company, Payments, Virtual So- Glen Allen, VA ...... December 13, 2018. lutions and Innovation, etc. 95,527 ...... Wells Fargo Bank N.A., Wells Fargo & Company, Payments, Virtual So- Concord, CA ...... January 1, 2019. lutions and Innovation, etc. 95,528 ...... International Automotive Components (IAC), Noonan Group, Inc ...... Dayton, TN ...... January 2, 2019. 95,529 ...... ATI Holdings, LLC, Central Insurance Verification Department and Pa- Bolingbrook, IL ...... January 3, 2019. tient Advocate Department. 95,531 ...... Mercari, Inc., TRG Customer Solutions d/b/a IBEX Global Solutions, Portland, OR ...... January 3, 2019. TaskUs, Inc. 95,539 ...... U.S. Bank National Association, Collections & Recovery and Consumer Portland, OR ...... January 6, 2019. Advocacy Division, etc. 95,542 ...... Honeywell International Inc ...... Atlanta, GA ...... January 7, 2019. 95,544 ...... Sanko Electronics America, Inc., Decton Staffing Services ...... Torrance, CA ...... January 7, 2019. 95,549 ...... MAS US Holdings Inc ...... Asheboro, NC ...... January 8, 2019. 95,550 ...... Branson Ultrasonics Corporation, Emerson Electronic Company, Willis Honeoye Falls, NY ...... January 9, 2019. Tower Watson Group, Aerotek, etc. 95,550A ...... Branson Ultrasonics Corporation, Emerson Electronic Company, Willis Danbury, CT ...... January 9, 2019. Tower Watson Group, Robert Half, etc. 95,551 ...... Kautex, Inc., Textron Division, Textron, Inc ...... Detroit, MI ...... January 9, 2019. 95,553 ...... Alcoa, Inc., Global Primary Products, CCC Group, Gardenland Nursery, Point Comfort, TX ...... January 10, 2019. G&W Engineers, etc. 95,565 ...... Optum Technology, Enterprise Enablement Platform Services, IT Serv- Windsor, CT ...... January 14, 2019. ices Desk, etc. 95,570 ...... Hutchinson Technology Incorporated, TDK, Masterson Staffing Solutions Hutchinson, MN ...... May 19, 2020. 95,575 ...... Zions Bancorporation, N.A., Aerotek, Apex Systems, CompuGain, Salt Lake City, UT ...... January 16, 2019. ConsultNet, Edge Services, etc. 95,603 ...... Agilent Technologies, Inc., Biomolecular Analysis Division, Volt Work- Ankeny, IA ...... January 24, 2019. force Solutions. 95,611 ...... The Bank of New York Mellon, Global Custody & Cash Services, The New York, NY ...... January 27, 2019. Bank of New York Mellon, etc. 95,613 ...... Hudson’s Bay Company, Store Staffing Division, Lord & Taylor ...... Wilkes-Barre, PA ...... January 27, 2019. 95,619 ...... Concentrix ...... Arnold, MO ...... January 28, 2019. 95,625 ...... Schawk USA Inc., Matthews International Corporation, Manpower ...... Cincinnati, OH ...... January 27, 2019. 95,633 ...... Mohawk Industries, Wood and Laminate Division ...... Melbourne, AR ...... January 30, 2019. 95,634 ...... NDS Surgical Imaging, LLC, Randstad Staffing, Aerotek, ATR Inter- San Jose, CA ...... January 30, 2019. national Inc. 95,640 ...... J2 Cloud Services, LLC, Voice Division, J2 Global, Inc ...... Los Angeles, CA ...... February 3, 2019. 95,646 ...... Dometic Corporation, Americas Division, Dometic Holding AB, Pro Re- LaGrange, IN ...... February 4, 2019. sources, etc. 95,649 ...... Kaiser Foundation Health Plan of Washington, IT Compute Services & Renton, WA ...... February 4, 2019. End User Services, Kaiser Foundation Health Plan, etc. 95,656 ...... BancTec, Inc., BPO Group, Exela Technologies, Inc ...... Irving, TX ...... February 5, 2019. 95,657 ...... Frontier Communications, Network Operations Center (NOC) Tier II Allen, TX ...... February 5, 2019. Time-Division, etc. 95,657A ...... Frontier Communications, Network Operations Center (NOC) Tier II Irving, TX ...... February 5, 2019. Time-Division, etc. 95,659 ...... Lovelace Health System, Shared Services/Division Office, Ardent Health Albuquerque, NM ...... February 5, 2019. Service. 95,668 ...... Parallon Employer LLC, HCA Healthcare, Medical Coding Team ...... Nashville, TN ...... February 6, 2019. 95,688 ...... Eaton Corporation, Vehicle Group North America, Quaker Houghton Shenandoah, IA ...... April 18, 2020. Fluid Care, etc.

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TA–W No. Subject firm Location Impact date

95,694 ...... Unique-Chardan, Inc., Unique Fabricating, Elwood Staffing, Staffmark, Bryan, OH ...... February 13, 2019. Career Integration, etc. 95,712 ...... Confluent Medical Technologies, Ryzen Solutions ...... Campbell, CA ...... February 20, 2019. 95,721 ...... Fabtex, Inc., PeopleReady ...... Orange, CA ...... February 21, 2019. 95,722 ...... Futuredontics Inc ...... Los Angeles, CA ...... February 21, 2019. 95,727 ...... Darex, LLC, Express Employment Professionals ...... Ashland, OR ...... February 24, 2019. 95,728 ...... Dell Products L.P., Network Hardware Team, Dell, Inc ...... Santa Clara, CA ...... January 24, 2019. 95,733 ...... Carestream Health, Inc., Technical Support Unit ...... Rochester, NY ...... February 25, 2019. 95,743 ...... Flowmaster Mufflers, Holley Performance Products, Aerotek, Horizon West Sacramento, CA ...... February 26, 2019. Personnel Services, etc. 95,745 ...... L.L.Bean, Inc., Compunnel Software Group, NTT DATA Services, Freeport, ME ...... February 27, 2019. Prosearch, etc. 95,747 ...... Navex Global, Inc., Navex Global Holding Company ...... Rexburg, ID ...... February 27, 2019. 95,751 ...... DENSO Air Systems Michigan, Inc., Thermal Division, WSI, OnStaff Battle Creek, MI ...... February 28, 2019. USA. 95,755 ...... International Automotive Components (IAC), Madisonville Plant, Madisonville, KY ...... March 2, 2019. PeoplePlus, Manpower, Custom Staffing. 95,757 ...... Mondelez Global LLC ...... Hanover Township, PA ...... March 2, 2019. 95,766 ...... Modern Transmission Development Company, Hamilton-Ryker ...... Leitchfield, KY ...... March 3, 2019. 95,770 ...... Thermo Ramsey LLC, Thermo Fisher Scientific, Chemical Analysis, Minneapolis, MN ...... March 3, 2019. Workspend, DCR Workforce. 95,771 ...... Aventri, Inc., ITN, Inc., Advanced Resources ...... Norwalk, CT ...... March 5, 2019. 95,780 ...... Temp-Flex, L.L.C., Molex, LLC, CoWorx Staffing Agency ...... South Grafton, MA ...... March 4, 2019. 95,785 ...... Senior Aerospace AMT, Terra Staffing Group, CADstar International, Arlington, WA ...... March 6, 2019. Orion International, etc. 95,786 ...... Arauco North America, Inc., Eugene Oregon MDF Mill, Arauco Canada Eugene, OR ...... March 6, 2019. Limited. 95,804 ...... Imperial Health LLP ...... Lake Charles, LA ...... March 10, 2019. 95,811 ...... OptumRX, Avella Revenue Cycle Management, United Healthcare Serv- Phoenix, AZ ...... March 12, 2019. ices Inc.

The following certifications have been are certified eligible to apply for TAA) issued. The requirements of Section of the Trade Act have been met. 222(b) (supplier to a firm whose workers

TA–W No. Subject firm Location Impact date

94,252 ...... Faurecia Automotive Seating, Inc ...... Auburn Hills, MI ...... October 19, 2017. 94,876 ...... General Motors Global Propulsion Systems, General Motors Company .. Pontiac, MI ...... June 5, 2018. 95,072 ...... General Motors Pontiac Metal Center, General Motors, Jones Lang La- Pontiac, MI ...... August 5, 2018. Salle-Building Maintenance, Eurest-Janitorial. 95,296 ...... Leadec Corporation ...... Warren, OH ...... October 31, 2019. 95,378 ...... Winona PVD Coatings, LLC ...... Warsaw, IN ...... November 14, 2018. 95,399 ...... Georgia-Pacific Panel Products, LLC, Particleboard Division, Georgia- Hope, AR ...... November 20, 2018. Pacific, Koch Industries, etc. 95,526 ...... Parkdale Mills, Inc., Plant 22, Parkdale America, LLC, Parkdale, Inc., Galax, VA ...... December 21, 2018. Defender Services, Inc. 95,526A ...... Parkdale Mills, Inc., Plant 23, Parkdale America, LLC, Parkdale, Inc., Landis, NC ...... December 21, 2018. Defender Services, Inc. 95,569 ...... Almatis, Inc., Oyak Group ...... Leetsdale, PA ...... January 16, 2019. 95,604 ...... Atlas Aerospace, LLC ...... Wichita, KS ...... January 24, 2019. 95,605 ...... Cox Machine Inc., Summit Employment Professionals, The Arnold Wichita, KS ...... January 24, 2019. Group. 95,639 ...... Android Industries, 2053 division, Focus: HOPE Companies, Inc ...... Detroit, MI ...... October 31, 2019. 95,639A ...... Express Employment Professionals, Android Industries, 2053 division .... Detroit, MI ...... February 3, 2019. 95,670 ...... LMI Aerospace, Inc., Aerotek, ATSI, Beacon Hill ...... Cottonwood Falls, KS ...... February 7, 2019. 95,687 ...... Axiom Engineering, LaborMax ...... Wichita, KS ...... February 13, 2019. 95,787 ...... Arconic, AAC Hutchinson Division ...... Hutchinson, KS ...... March 6, 2019. 95,818 ...... Regal Beloit Corporation, Power Transmission Solutions, Sterling Engi- Valparaiso, IN ...... March 16, 2019. neering, Aerotek, Express, etc.

The following certifications have been 222(b) (downstream producer to a firm apply for TAA) of the Trade Act have issued. The requirements of Section whose workers are certified eligible to been met.

TA–W No. Subject firm Location Impact date

95,600 ...... Siletz Trucking Company Corporation ...... Independence, OR ...... January 23, 2019.

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The following certifications have been International Trade Commission) of the issued. The requirements of Section Trade Act have been met. 222(e) (firms identified by the

TA–W No. Subject firm Location Impact date

95,615 ...... Restwell Mattress Co ...... Eden Prairie, MN ...... December 12, 2018. 95,616 ...... Sleep Number Corporation ...... Minneapolis, MN ...... December 12, 2018. 95,627 ...... Comfort Holding, LLC operating as Innocor, Inc., BCPE INCR Holding West Chicago, IL ...... December 12, 2018. Inc, Onin Staffing, Elite Staffing. 95,628 ...... Corsicana Bedding, LLC, ClearStaff Inc., Express Employment Profes- Aurora, IL ...... December 12, 2018. sionals. 95,638 ...... FXI, Inc., FXI Holdings, Inc., Terra Staffing, Express Employment Pro- Portland, OR ...... December 12, 2018. fessionals.

Negative Determinations for Worker criteria for TAA have not been met for total/partial separation or threat of total/ Adjustment Assistance the reasons specified. partial separation), or (e) (firms The investigation revealed that the identified by the International Trade In the following cases, the requirements of Trade Act section 222 Commission), have not been met. investigation revealed that the eligibility (a)(1) and (b)(1) (significant worker

TA–W No. Subject firm Location Impact date

95,456 ...... Artech Information Systems, IT Project Manager-GTS Group, Artech, Morristown, NJ. LLC. 95,511 ...... Artech LLC, IT Support-GTS Group, Artech Government Services ...... Morristown, NJ. 95,572 ...... Tektronix, Inc., Vanderhouwen & Associates, Creative Financial Staffing, Beaverton, OR. etc. 95,606 ...... Optum Technology, Data Solutions, United Healthcare (UHC) Asset De- Rocky Hill, CT. velopment, etc. 95,738 ...... Precision Aluminum, Inc ...... Wadsworth, OH. 95,757A ...... Mondelez Global LLC ...... East Hanover, NJ.

The investigation revealed that the acquisition of articles or services from a certified eligible to apply for TAA), and criteria under paragraphs (a)(2)(A)(i) foreign country), (b)(2) (supplier to a (e) (International Trade Commission) of (decline in sales or production, or both), firm whose workers are certified eligible section 222 have not been met. or (a)(2)(B) (shift in production or to apply for TAA or downstream services to a foreign country or producer to a firm whose workers are

TA–W No. Subject firm Location Impact date

94,577 ...... PiRod, Inc., Engineering Support Structures (ESS) division, Valmont In- Salem, OR. dustries, Inc. 95,237 ...... John Deere Coffeyville Works, Inc., Deere & Company ...... Coffeyville, KS.

The investigation revealed that the services from a foreign country), (b)(2) for TAA), and (e) (International Trade criteria under paragraphs(a)(2)(A) (supplier to a firm whose workers are Commission) of section 222 have not (increased imports), (a)(2)(B) (shift in certified eligible to apply for TAA or been met. production or services to a foreign downstream producer to a firm whose country or acquisition of articles or workers are certified eligible to apply

TA–W No. Subject firm Location Impact date

94,821 ...... NYDJ Production, LLC, NYDJ Apparel, LLC ...... Vernon, CA. 94,889 ...... Xerox Corporation, Collabera, Computer Task Group, InSync Staffing, Wilsonville, OR. Paladin Consulting, etc. 94,906 ...... General Motors Milford Proving Ground, Vehicle Development Depart- Milford, MI. ment, General Motors, Allegis Global Services. 95,039 ...... Lexington Lighting Group LLC, HW Staffing Solutions ...... Rumford, RI. 95,052 ...... AT&T Services, Inc., Technology Development, Process & Tools for Schaumburg, IL. System Development, AT&T Inc. 95,076 ...... The Bank of New York Mellon, Technology Services Group—Digital On- Uniondale, NY. Site Support, etc. 95,138 ...... Conduent Commercial Solutions, LLC, Conduent Business Services, Tigard, OR. LLC. 95,149 ...... AIG PC Global Services, Inc., General Insurance IT Production Serv- New York, NY. ices, New York, etc. 95,221 ...... Manitou Equipment America, LLC, CEP Division, Manitou America Hold- Madison, SD. ing, Inc., ESG.

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TA–W No. Subject firm Location Impact date

95,269 ...... Clever-Brooks, Inc., Engineered Boiler Systems Division ...... Lincoln, NE. 95,288 ...... Hand Held Products, Inc., Honeywell International, Inc ...... Cedar Rapids, IA. 95,307 ...... Fred’s Distribution Center, Highway 257 location, Advantage Resourcing Dublin, GA. 95,307A ...... Fred’s Store 1538, US 80 location ...... East Dublin, GA.. 95,310 ...... Shawnee Tubing Industries, LLC, Express Personnel Services ...... Shawnee, OK. 95,379 ...... Lundbeck Seattle BioPharmaceuticals, Inc., Alder BioPharmaceuticals, Bothell, WA. Lundbeck, NuWest Search Partners, etc. 95,440 ...... Gerdau ...... Duluth, MN. 95,487 ...... Nestle Prepared Foods Company, Direct Store Delivery, Nestle USA, Inc Jonesboro, AR. 95,525 ...... Optum Technology, United Healthcare Technology, Employer & Indi- Hartford, CT. vidual Software Dev., etc. 95,525A ...... Optum Technology, Enterprise Enablement Platform Services, Enter- Hartford, CT. prise Architecture, etc. 95,532 ...... Nestle Dreyers Ice Cream Company and Nestle Prepared Foods Com- Kalamazoo, MI. pany, Direct Store Delivery, Nestle USA, Inc. 95,532A ...... Nestle Dreyers Ice Cream Company and Nestle Prepared Foods Com- Plymouth, MI. pany, Direct Store Delivery, Nestle USA, Inc. 95,532B ...... Nestle Dreyers Ice Cream Company and Nestle Prepared Foods Com- Cadillac, MI. pany, Direct Store Delivery, Nestle USA, Inc. 95,532C ...... Nestle Dreyers Ice Cream Company and Nestle Prepared Foods Com- Gaylord, MI. pany, Direct Store Delivery, Nestle USA, Inc. 95,532D ...... Nestle Dreyers Ice Cream Company and Nestle Prepared Foods Com- Saginaw, MI. pany, Direct Store Delivery, Nestle USA, Inc. 95,532E ...... Nestle Dreyers Ice Cream Company and Nestle Prepared Foods Com- Lansing, MI. pany, Direct Store Delivery, Nestle USA, Inc. 95,532F ...... Nestle Dreyers Ice Cream Company and Nestle Prepared Foods Com- Grand Rapids, MI. pany, Direct Store Delivery, Nestle USA, Inc. 95,532G ...... Nestle Dreyers Ice Cream Company and Nestle Prepared Foods Com- Fort Wayne, IN. pany, Direct Store Delivery, Nestle USA, Inc. 95,540 ...... Applied Materials, AGS Training Services, GP Strategies, Adecco Em- Kalispell, MT. ployment Service. 95,547 ...... Cognizant Technology Solutions U.S. Corporation, Digital Operations Di- Mountain View, CA. vision, Cognizant Technology Solutions Corporation. 95,559 ...... Allianz Life Insurance Company of North America, Workforce Trans- Minneapolis, MN.. formation and Analytics, Allianz of America, Inc., etc. 95,580 ...... Philadelphia Energy Solutions Refining and Marketing LLC, PES Admin- Philadelphia, PA. istrative Services LLC, Project Control Services Inc., etc. 95,720 ...... Seneca Food Corporation ...... Rochester, MN.

Determinations Terminating on the Department’s website, as because the petitioner has requested Investigations of Petitions for Trade required by Section 221 of the Act (19 that the petition be withdrawn. Adjustment Assistance U.S.C. 2271), the Department initiated The following determinations investigations of these petitions. terminating investigations were issued After notice of the petitions was The following determinations because the petitioner has requested published in the Federal Register and terminating investigations were issued that the petition be withdrawn.

TA–W No. Subject firm Location Impact date

95,641 ...... Leo D. Bernstein & Sons, Inc., DBA Bernstein Display ...... Shaftsbury, VT. 95,711 ...... UTC Aerospace ...... Chula Vista, CA.

The following determinations in cases where the petition regarding the terminating investigations were issued investigation has been deemed invalid.

TA–W No. Subject firm Location Impact date

95,323 ...... ProLogistix, Harley-Davidson Motor Company Operations, Inc., etc ...... Kansas City, MO.

The following determinations behalf the petition was filed is covered terminating investigations were issued under an existing certification. because the worker group on whose

TA–W No. Subject firm Location Impact date

95,095 ...... Absolute Consulting, Entergy Nuclear Operations, Inc., Pilgrim Nuclear Plymouth, MA. Power Station. 95,113 ...... Walmart, Inc., Global Business Services Division ...... Charlotte, NC.

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TA–W No. Subject firm Location Impact date

95,314 ...... GDI Integrated Facility Services, Harley-Davidson Motor Company Oper- Kansas City, MO. ations, Inc., etc. 95,318 ...... Syncreon US, Inc., Harley-Davidson Motor Company Operations, Inc., Kansas City, MO. etc. 95,319 ...... Kelly Services, Inc., Harley-Davidson Motor Company Operations, Inc., Kansas City, MO. etc. 95,445 ...... Comprehensive Decommissioning International, Entergy Nuclear Oper- Plymouth, MA. ations, Inc., Pilgrim Nuclear Power Station. 95,618 ...... Branson Ultrasonics Corporation ...... Danbury, CT. 95,651 ...... Rosenberger North America ...... Plano, TX. 95,655 ...... Dun & Bradstreet, Editorial Department ...... Austin, TX. 95,704 ...... Standard Insurance Company, The Standard Life Insurance Company, Portland, OR. Volt, Robert Half.

The following determinations workers is covered by an earlier petition investigation for which a determination terminating investigations were issued that is the subject of an ongoing has not yet been issued. because the petitioning group of

TA–W No. Subject firm Location Impact date

95,328 ...... The Yankee Candle Company, Newell Brands, Inc., Newell Operating South Deerfield, MA. Company, A Delaware Corporation. 95,374 ...... Formativ Health Management Inc ...... Jacksonville, FL. 95,475 ...... Pancon Corporation ...... Temecula, CA. 95,644 ...... Petrobras America Inc ...... Houston, TX. 95,709 ...... Qualfon Data Services Group, LLC ...... Idaho Falls, ID.

I hereby certify that the Notice of Affirmative Determinations the following circumstances: (1) If it aforementioned determinations were Regarding Application for appears on the basis of facts not issued during the period of March 1, Reconsideration, summaries of Negative previously considered that the 2020 through March 31, 2020. These Determinations Regarding Applications determination complained of was determinations are available on the for Reconsideration, summaries of erroneous; (2) If it appears that the Department’s website https:// Revised Certifications of Eligibility, determination complained of was based www.doleta.gov/tradeact/petitioners/ summaries of Revised Determinations on a mistake in the determination of _ _ taa search form.cfm under the (after Affirmative Determination facts previously considered; or (3) If, in searchable listing determinations or by Regarding Application for the opinion of the certifying officer, a Reconsideration), summaries of calling the Office of Trade Adjustment misinterpretation of facts or of the law Negative Determinations (after Assistance toll free at 888–365–6822. justifies reconsideration of the Affirmative Determination Regarding Signed at Washington, DC, this 10th day of determination. See 29 CFR 90.18(c). April 2020. Application for Reconsideration), summaries of Revised Determinations Hope D. Kinglock, Affirmative Determinations Regarding (on remand from the Court of Applications for Reconsideration Certifying Officer, Office of Trade Adjustment International Trade), and summaries of Assistance. Negative Determinations (on remand The following Applications for [FR Doc. 2020–08520 Filed 4–21–20; 8:45 am] from the Court of International Trade) Reconsideration have been received and BILLING CODE 4510–FN–P regarding eligibility to apply for trade granted. See 29 CFR 90.18(d). The group adjustment assistance under Chapter 2 of workers or other persons showing an of the Act (‘‘TAA’’) for workers by (TA– DEPARTMENT OF LABOR interest in the proceedings may provide W) number issued during the period of written submissions to show why the Employment and Training March 1, 2020 through March 31, 2020. determination under reconsideration Administration Post-initial determinations are issued should or should not be modified. The after a petition has been certified or submissions must be sent no later than Post-Initial Determinations Regarding denied. A post-initial determination ten days after publication in Federal Eligibility To Apply for Trade may revise a certification, or modify or Register to the Office of the Director, affirm a negative determination. Adjustment Assistance Office of Trade Adjustment Assistance, In accordance with Sections 223 and Affirmative/Negative Determinations Employment and Training 284 (19 U.S.C. 2273 and 2395) of the Regarding Applications for Administration, U.S. Department of Trade Act of 1974 (19 U.S.C. 2271, et Reconsideration Labor, Room N–5428, 200 Constitution seq.) (‘‘Act’’), as amended, the The certifying officer may grant an Avenue NW, Washington, DC 20210. Department of Labor herein presents application for reconsideration under See 29 CFR 90.18(f).

TA–W No. Subject firm Location

95,143 ...... AK Steel Corporation ...... Ashland, KY.

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Revised Certifications of Eligibility issued. The date following the company determination, and the reason(s) for the name and location of each determination. The following revised certifications of determination references the impact The following revisions have been eligibility to apply for TAA have been date for all workers of such issued.

TA–W No. Subject firm Location Impact date Reason(s)

93,882 ...... Harley-Davidson Motor Com- Kansas City, MO ...... 6/5/2017 Worker Group Clarification. pany Operations, Inc. 94,592 ...... Entergy Nuclear Operations, Plymouth, MA ...... 3/5/2018 Worker Group Clarification. Inc. 94,702 ...... Rosenberger North America .. Plano, TX ...... 4/4/2018 Worker Group Clarification. 94,973 ...... DXC Technology Services Plano, TX ...... 7/5/2018 Worker Group Clarification. LLC.

Negative Determinations on 222(a)(2)(A) (increased imports), apply for TAA or downstream producer Reconsideration (After Affirmative (a)(2)(B) (shift in production or services to a firm whose workers are certified Determination Regarding Application to a foreign country or acquisition of eligible to apply for TAA), and (e) for Reconsideration) articles or services from a foreign (International Trade Commission) have The investigation revealed that the country), (b)(2) (supplier to a firm not been met. criteria under Trade Act section whose workers are certified eligible to

TA–W No. Subject firm Location

95,061 ...... United Steelworkers Local 8–676 ...... Westernport, MD.

I hereby certify that the review and approval in accordance with are not toll-free numbers) or by email at aforementioned determinations were the Paperwork Reduction Act of 1995 [email protected]. issued during the period of March 1, (PRA). Public comments on the ICR are SUPPLEMENTARY INFORMATION: The 2020 through March 31, 2020. These invited. Department is required by the Middle determinations are available on the DATES: The OMB will consider all Class Tax Relief and Job Creation Act of Department’s website https:// written comments that agency receives 2012 to designate eXtensible Markup www.doleta.gov/tradeact/petitioners/ on or before May 22, 2020. Language (XML) as a data exchange taa_search_form.cfm under the standard. The data exchange standards ADDRESSES: Written comments and searchable listing determinations or by recommendations for the proposed help improve the interoperability of calling the Office of Trade Adjustment information collection should be sent these systems that collect and exchange Assistance toll free at 888–365–6822. within 30 days of publication of this information for UI administrative purposes. Through this regulation, the Signed at Washington, DC, this 10th day of notice to www.reginfo.gov/public/do/ Department makes use of data exchange April 2020. PRAMain. Find this particular standards for ICON and SIDES. To Hope D. Kinglock, information collection by selecting improve UI program operations by Certifying Officer, Office of Trade Adjustment ‘‘Currently under 30-day Review—Open states, the Department has been the Assistance. for Public Comments’’ or by using the facilitating entity for development and [FR Doc. 2020–08521 Filed 4–21–20; 8:45 am] search function. implementation of automated systems BILLING CODE 4510–FN–P Comments are invited on: (1) Whether that states may adopt for efficiently the collection of information is processing claims and improving necessary for the proper performance of DEPARTMENT OF LABOR program integrity. These automated the functions of the Department, systems, which have been developed including whether the information will Office of the Secretary through a collaborative effort with states have practical utility; (2) if the and the National Association of Agency Information Collection information will be processed and used Workforce Agencies (NASWA), have Activities; Submission for OMB in a timely manner; (3) the accuracy of replaced manual paper processing with Review; Comment Request; Federal- the agency’s estimates of the burden and automated exchanges of information State Unemployment Insurance cost of the collection of information, between states as well as those between Program Data Exchange including the validity of the states and employers. The Department Standardization methodology and assumptions used; (4) provides funding to facilitate the ways to enhance the quality, utility and development and implementation of ACTION: Notice of availability; request clarity of the information collection; and these automated systems, and for comments. (5) ways to minimize the burden of the encourages the use of these systems by collection of information on those who states. The Federal requirement to use SUMMARY: The Department of Labor are to respond, including the use of this standard requires the Department to (DOL) is submitting this Employment automated collection techniques or establish, through regulation, that all and Training Administration (ETA)- other forms of information technology. such exchanges of electronic sponsored information collection FOR FURTHER INFORMATION CONTACT: information must use XML to comply request (ICR) to the Office of Frederick Licari by telephone at 202– with the Act. For additional substantive Management and Budget (OMB) for 693–8073, TTY 202–693–8064, (these information about this ICR, see the

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related notice published in the Federal (PRA). Public comments on the ICR are substantive information about this ICR, Register on January 2, 2020 (85 FR 133). invited. see the related notice published in the This information collection is subject DATES: The OMB will consider all Federal Register on June 21, 2019 (84 to the PRA. A Federal agency generally written comments that agency receives FR 29245). cannot conduct or sponsor a collection on or before May 22, 2020. This information collection is subject of information, and the public is ADDRESSES: Written comments and to the PRA. A Federal agency generally generally not required to respond to an recommendations for the proposed cannot conduct or sponsor a collection information collection, unless the OMB information collection should be sent of information, and the public is approves it and displays a currently within 30 days of publication of this generally not required to respond to an valid OMB Control Number. In addition, notice to www.reginfo.gov/public/do/ information collection, unless the OMB notwithstanding any other provisions of PRAMain. Find this particular approves it and displays a currently law, no person shall generally be subject information collection by selecting valid OMB Control Number. In addition, to penalty for failing to comply with a ‘‘Currently under 30-day Review—Open notwithstanding any other provisions of collection of information that does not for Public Comments’’ or by using the law, no person shall generally be subject display a valid OMB Control Number. search function. to penalty for failing to comply with a See 5 CFR 1320.5(a) and 1320.6. Comments are invited on: (1) Whether collection of information that does not DOL seeks PRA authorization for this the collection of information is display a valid OMB Control Number. information collection for three (3) necessary for the proper performance of See 5 CFR 1320.5(a) and 1320.6. years. OMB authorization for an ICR the functions of the Department, DOL seeks PRA authorization for this cannot be for more than three (3) years including whether the information will information collection for three (3) without renewal. The DOL notes that have practical utility; (2) if the years. OMB authorization for an ICR information collection requirements information will be processed and used cannot be for more than three (3) years submitted to the OMB for existing ICRs in a timely manner; (3) the accuracy of without renewal. The DOL notes that receive a month-to-month extension the agency’s estimates of the burden and information collection requirements while they undergo review. cost of the collection of information, submitted to the OMB for existing ICRs Agency: DOL–ETA. including the validity of the receive a month-to-month extension Title of Collection: Federal-State methodology and assumptions used; (4) while they undergo review. Unemployment Insurance Program Data ways to enhance the quality, utility and Agency: DOL–ETA. Exchange Standardization. clarity of the information collection; and Title of Collection: DOL-Only OMB Control Number: 1205–0510. (5) ways to minimize the burden of the Performance Accountability, Affected Public: State, Local and collection of information on those who Information, and Reporting System. Tribal Governments. are to respond, including the use of OMB Control Number: 1205–0521. Total Estimated Number of automated collection techniques or Affected Public: State, Local and Respondents: 25. other forms of information technology. Tribal Governments; Individuals or Total Estimated Number of FOR FURTHER INFORMATION CONTACT: Household and Private Sector, Business Responses: 25. or other for-profits and not for-profit Total Estimated Annual Time Burden: Frederick Licari by telephone at 202– 693–8073, TTY 202–693–8064, (these institutions. 3,000 hours. Total Estimated Number of Total Estimated Annual Other Costs are not toll-free numbers) or by email at [email protected]. Respondents: 17,583,750. Burden: $498,740. Total Estimated Number of SUPPLEMENTARY INFORMATION: This (Authority: 44 U.S.C. 3507(a)(1)(D)). Responses: 41,064,037. request fulfills Workforce Innovation Dated: April 16, 2020. Total Estimated Annual Time Burden: and Opportunity Act reporting 10,459,627 hours. Frederick Licari, requirements regarding the collection of Total Estimated Annual Other Costs Departmental Clearance Officer. performance indicators described in Burden: $245,464,843.38. [FR Doc. 2020–08519 Filed 4–21–20; 8:45 am] Sec. 116(b)(2)(A). Requirements for state Authority: 44 U.S.C. 3507(a)(1)(D). BILLING CODE 4510–FW–P level collection of this data for the programs contained in this collection Dated: March 31, 2020. are based on WIOA requirements. As Frederick Licari, DEPARTMENT OF LABOR part of this ICR, the Department of Departmental Clearance Officer. Labor’s (DOL) Employment and [FR Doc. 2020–08498 Filed 4–21–20; 8:45 am] Office of the Secretary Training Administration (ETA) has BILLING CODE 4510–FR–P made changes to the Participant Agency Information Collection Individual Record Layout (ETA–9172), Activities; Submission for OMB (Program) Performance Report (ETA– Review; Comment Request; DOL-Only NATIONAL ARCHIVES AND RECORDS 9173–APPSHP) to facilitate State and ADMINISTRATION Performance Accountability, grantee performance reporting. In Information, and Reporting System particular, as part of DOL’s effort to [NARA–2020–037] streamline program performance ACTION: Notice of availability; request Agency Information Collection for comments. reporting for ETA grants with significant apprenticeship components as a Activities: Submission for OMB Review; Comment Request SUMMARY: The Department of Labor primary goal of the program (DOL) is submitting this Employment (Apprenticeship grants), DOL is adding AGENCY: National Archives and Records and Training Administration (ETA)- the performance information collection Administration (NARA). sponsored information collection requirements for Apprenticeship grants. ACTION: Notice. request (ICR) to the Office of DOL also is adding a new information Management and Budget (OMB) for collection requirement to this ICR: the SUMMARY: We are proposing to renew review and approval in accordance with Apprenticeship Outreach: Organization/ the information collection described in the Paperwork Reduction Act of 1995 Employer Record Layout. For additional this notice and have submitted it to

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OMB for approval. We invite you to Requesters submit the application to For additional direction on obtaining comment on this proposed collection. request the use of space in a Presidential information and submitting comments, DATES: OMB must receive written library for a privately sponsored see ‘‘Obtaining Information and comments on or before May 22, 2020. activity. We use the information to Submitting Comments’’ in the ADDRESSES: Submit written comments determine whether the requested use SUPPLEMENTARY INFORMATION section of and recommendations for the proposed meets the criteria in 36 CFR 1280 and this document. information collection at to schedule the date. FOR FURTHER INFORMATION CONTACT: G. www.reginfo.gov/public/do/PRAMain. Swarnali Haldar, Edward Miller, Office of Nuclear Reactor Regulation, U.S. Nuclear You can find this particular information Executive for Information Services/CIO. collection by selecting ‘‘Currently under Regulatory Commission, Washington DC [FR Doc. 2020–08464 Filed 4–21–20; 8:45 am] 30-day Review—Open for Public 20555–0001; telephone: 301–415–2481, BILLING CODE 7515–01–P Comments’’ or by using the search email: [email protected]. function. SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: NUCLEAR REGULATORY I. Obtaining Information and Tamee Fechhelm, by telephone at COMMISSION Submitting Comments 301.837.1694 or by fax at 301.713.7409, with requests for additional information [Docket Nos. 50–280 and 50–281; NRC– A. Obtaining Information or copies of the proposed information 2020–0096] Please refer to Docket ID NRC–2020– collection and supporting statement. 0096 when contacting the NRC about Virginia Electric and Power Company; SUPPLEMENTARY INFORMATION: Pursuant the availability of information for this Surry Power Station, Unit Nos. 1 and action. You may obtain publicly- to the Paperwork Reduction Act of 1995 2 (Pub. L. 104–13), we invite the public available information related to this and other Federal agencies to comment AGENCY: action by any of the following methods: Nuclear Regulatory • on proposed information collections. Commission. Federal Rulemaking website: Go to https://www.regulations.gov and search We published a notice of proposed ACTION: License amendment application; collection for this information collection for Docket ID NRC–2020–0096. opportunity to comment, request a • on February 11, 2020 (85 FR 7785) and NRC’s Agencywide Documents hearing, and petition for leave to Access and Management System we received no comments. We have intervene. therefore submitted the described (ADAMS): You may obtain publicly- information collection to OMB for SUMMARY: The U.S. Nuclear Regulatory available documents online in the approval to renew. Commission (NRC) is considering ADAMS Public Documents collection at Any comments or suggestions you issuance of amendments to Renewed https://www.nrc.gov/reading-rm/ submit should address one or more of Facility Operating License Nos. DPR–32 adams.html. To begin the search, select the following points: (a) Whether the and DPR–37, issued to Virginia Electric ‘‘Begin Web-based ADAMS Search.’’ For proposed information collection is and Power Company, for operation of problems with ADAMS, please contact necessary for NARA to properly perform the Surry Power Station (Surry), Unit the NRC’s Public Document Room (PDR) its functions; (b) our estimate of the Nos. 1 and 2. The proposed reference staff at 1–800–397–4209, 301– burden of the proposed information amendments would revise Technical 415–4737, or by email to pdr.resource@ collection and its accuracy; (c) ways we Specification (TS) 6.4.Q.4.b to add a nrc.gov. The license amendment could enhance the quality, utility, and note to permit a one-time deferral of the request, dated April 14, 2020, is clarity of the information we collect; (d) Surry, Unit No. 2 Steam Generator (SG) available in ADAMS under Accession ways we could minimize the burden on B inspection from the Surry, Unit No. 2 No. ML20105A223. respondents of collecting the spring 2020 refueling outage (RFO) B. Submitting Comments information, including through (2R29) to the Surry, Unit No. 2 fall 2021 Please include Docket ID NRC–2020– information technology; and (e) whether RFO (2R30). the collection affects small businesses. 0096 in your comment submission. DATES: Submit comments by May 6, The NRC cautions you not to include All comments will become a matter of 2020. Requests for a hearing or petition identifying or contact information that public record. for leave to intervene must be filed by you do not want to be publicly In this notice, we solicit comments June 22, 2020. concerning the following information disclosed in your comment submission. ADDRESSES: You may submit comments collection: The NRC will post all comment by any of the following methods: submissions at https:// Title: Application and permit for use • of space in Presidential library and Federal Rulemaking website: Go to www.regulations.gov as well as enter the grounds. https://www.regulations.gov and search comment submissions into ADAMS. OMB Number: 3095–0024. for Docket ID NRC–2020–0096. Address The NRC does not routinely edit Agency Form Number: NA Form questions about NRC docket IDs in comment submissions to remove 16011. Regulations.gov to Jennifer Borges; identifying or contact information. Type of Review: Regular. telephone: 301–287–9127; email: If you are requesting or aggregating Affected Public: Private organizations. [email protected]. For technical comments from other persons for Estimated Number of Respondents: questions, contact the individual listed submission to the NRC, then you should 600. in the FOR FURTHER INFORMATION inform those persons not to include Estimated Time per Response: 20 CONTACT section of this document. identifying or contact information that minutes. • Mail comments to: Office of they do not want to be publicly Frequency of Response: On occasion. Administration, Mail Stop: TWFN–7– disclosed in their comment submission. Estimated Total Annual Burden A60M, U.S. Nuclear Regulatory Your request should state that the NRC Hours: 200 hours. Commission, Washington, DC 20555– does not routinely edit comment Abstract: The information collection 0001, ATTN: Program Management, submissions to remove such information is prescribed by 36 CFR 1280. Announcements and Editing Staff. before making the comment

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submissions available to the public or being changed, and the SG tubes continue to The NRC staff has reviewed the entering the comment into ADAMS. meet the SG Program performance criteria licensee’s analysis and, based on this and remain bounded by the plant’s accident review, it appears that the three II. Introduction analyses. standards of 10 CFR 50.92(c) are The NRC is considering issuance of Therefore, the proposed change does not involve a significant increase in the satisfied. Therefore, the NRC staff amendments to Renewed Facility probability or consequences of an accident proposes to determine that the license Operating License Nos. DPR–32 and previously evaluated. amendment request involves a no DPR–37, issued to Virginia Electric and 2. Does the proposed change create the significant hazards consideration. Power Company, for operation of Surry, possibility of a new or different kind of The NRC is seeking public comments Unit Nos. 1 and 2, located in Surry accident from any accident previously on this proposed determination that the County, Virginia. evaluated? license amendment request involves no The proposed amendments would Response: No. significant hazards consideration. Any revise TS 6.4.Q.4.b to add a note to The proposed change adds a note to TS comments received within 14 days after permit a one-time deferral of the Surry, 6.4.Q.4.b to permit a one-time deferral of the the date of publication of this notice Surry Unit 2 SG B inspection from the Surry Unit No. 2 SG B inspection from the Unit 2 spring 2020 refueling outage (RFO) will be considered in making any final Surry, Unit No. 2 spring 2020 RFO (S2R29) to the Surry Unit 2 fall 2021 determination. (2R29) to the Surry, Unit No. 2 fall 2021 refueling outage (S2R30). The proposed Normally, the Commission will not RFO (2R30). change does not alter the design function or issue the amendments until the Before any issuance of the proposed operation of the SGs or the ability of a SG to expiration of the 14-day notice period. license amendments, the NRC will need perform its design function. The SG tubes However, if circumstances change to make the findings required by the continue to meet the SG Program during the notice period, such that Atomic Energy Act of 1954, as amended performance criteria. No plant physical failure to act in a timely way would (the Act), and NRC’s regulations. changes are being implemented that would result, for example, in derating or Pursuant to 50.91(a)(6) of title 10 of result in plant operation in a configuration shutdown of the facility, the outside the plant safety analyses or design the Code of Federal Regulations (10 basis. The proposed change does not Commission may issue the license CFR) for amendments to be granted introduce any changes or mechanisms that amendments before the expiration of the under exigent circumstances, the NRC create the possibility of a new or different 14-day notice period, provided that its has made a proposed determination that kind of accident. Furthermore, Surry Unit 2 final determination is that the the license amendment request involves SG B will continue to meet its specific amendments involve no significant no significant hazards consideration. structural and leakage integrity performance hazards consideration. The final Under the NRC’s regulations in 10 CFR criteria throughout the operating period determination will consider all public 50.92, this means that operation of the preceding the next inspection in fall 2021. and State comments received. If the facility in accordance with the proposed Finally, no new effects on existing equipment Commission takes this action, it will are created nor are any new malfunctions publish in the Federal Register a notice amendments would not (1) involve a introduced. significant increase in the probability or Therefore, based on the above evaluation, of issuance. The Commission expects consequences of an accident previously the proposed change does not create the that the need to take this action will evaluated; or (2) create the possibility of possibility of a new or different kind of occur very infrequently. a new or different kind of accident from accident from any accident previously III. Opportunity To Request a Hearing evaluated. any accident previously evaluated; or and Petition for Leave To Intervene (3) involve a significant reduction in a 3. Does the proposed change involve a margin of safety. As required by 10 CFR significant reduction in a margin of safety? Within 60 days after the date of 50.91(a), the licensee has provided its Response: No. publication of this notice, any persons The proposed change adds a note to TS (petitioner) whose interest may be analysis of the issue of no significant 6.4.Q.4.b to permit a one-time deferral of the hazards consideration, which is affected by this action may file a request Surry Unit 2 SG B inspection from the Surry for a hearing and petition for leave to presented below: Unit 2 spring 2020 refueling outage (RFO) (S2R29) to the Surry Unit 2 fall 2021 intervene (petition) with respect to the 1. Does the proposed change involve a action. Petitions shall be filed in significant increase in the probability or refueling outage (S2R30). Extending the consequences of an accident previously Surry Unit 2 SG B inspection schedule does accordance with the Commission’s evaluated? not involve changes to any limit on accident ‘‘Agency Rules of Practice and Response: No. consequences specified in the Surry licensing Procedure’’ in 10 CFR part 2. Interested The proposed change adds a note to TS bases or applicable regulations, does not persons should consult a current copy 6.4.Q.4.b to permit a one-time deferral of the modify how accidents are mitigated, and of 10 CFR 2.309. The NRC’s regulations Surry Unit 2 SG B inspection from the Surry does not involve a change in a methodology. are accessible electronically from the Unit 2 spring 2020 refueling outage (RFO) A forward-focused operational assessment NRC Library on the NRC’s website at (OA) of Surry Unit 2 SG B was performed (S2R29) to the Surry Unit 2 fall 2021 https://www.nrc.gov/reading-rm/doc- refueling outage (S2R30). An operational that demonstrates there is reasonable assessment has been performed that assurance the structural integrity and collections/cfr/. If a petition is filed, the concludes Surry Unit 2 SG B will continue accident induced leakage performance Commission or a presiding officer will to meet its specific structural and leakage criteria will remain satisfied in SG B rule on the petition and, if appropriate, integrity performance criteria throughout the throughout the period preceding the fall 2021 a notice of a hearing will be issued. operating period preceding the next RFO inspection for a total operating duration As required by 10 CFR 2.309(d) the inspection in fall 2021. In addition, the of three cycles between primary side petition should specifically explain the proposed change does not implement plant inspections. The OA also identified projected reasons why intervention should be physical changes to any plant structure, margin to the structural integrity and permitted with particular reference to system or component; hence, no new failure accident induced leakage performance the following general requirements for modes are introduced. Therefore, the criteria prior to the fall 2021 RFO for each probability of an accident previously evaluated degradation mechanism. standing: (1) The name, address, and evaluated is not significantly increased. Also, Therefore, operation of the facility in telephone number of the petitioner; (2) there is no significant increase in the accordance with the proposed change will the nature of the petitioner’s right to be consequences of an accident because the TS not involve a significant reduction in a made a party to the proceeding; (3) the primary-to-secondary leakage limit is not margin of safety. nature and extent of the petitioner’s

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property, financial, or other interest in final determination is that the request for hearing and petition for the proceeding; and (4) the possible amendment request involves no leave to intervene (petition), any motion effect of any decision or order which significant hazards consideration, the or other document filed in the may be entered in the proceeding on the Commission may issue the amendment proceeding prior to the submission of a petitioner’s interest. and make it immediately effective, request for hearing or petition to In accordance with 10 CFR 2.309(f), notwithstanding the request for a intervene, and documents filed by the petition must also set forth the hearing. Any hearing would take place interested governmental entities that specific contentions which the after issuance of the amendment. If the request to participate under 10 CFR petitioner seeks to have litigated in the final determination is that the 2.315(c), must be filed in accordance proceeding. Each contention must amendment request involves a with the NRC’s E-Filing rule (72 FR consist of a specific statement of the significant hazards consideration, then 49139; August 28, 2007, as amended at issue of law or fact to be raised or any hearing held would take place 77 FR 46562; August 3, 2012). The E- controverted. In addition, the petitioner before the issuance of the amendment Filing process requires participants to must provide a brief explanation of the unless the Commission finds an submit and serve all adjudicatory bases for the contention and a concise imminent danger to the health or safety documents over the internet, or in some statement of the alleged facts or expert of the public, in which case it will issue cases to mail copies on electronic opinion which support the contention an appropriate order or rule under 10 storage media. Detailed guidance on and on which the petitioner intends to CFR part 2. making electronic submissions may be rely in proving the contention at the A State, local governmental body, found in the Guidance for Electronic hearing. The petitioner must also Federally-recognized Indian Tribe, or Submissions to the NRC and on the NRC provide references to the specific agency thereof, may submit a petition to website at https://www.nrc.gov/site- sources and documents on which the the Commission to participate as a party help/e-submittals.html. Participants petitioner intends to rely to support its under 10 CFR 2.309(h)(1). The petition may not submit paper copies of their position on the issue. The petition must should state the nature and extent of the filings unless they seek an exemption in include sufficient information to show petitioner’s interest in the proceeding. accordance with the procedures that a genuine dispute exists with the The petition should be submitted to the described below. applicant or licensee on a material issue Commission no later than 60 days from To comply with the procedural of law or fact. Contentions must be the date of publication of this notice. requirements of E-Filing, at least 10 limited to matters within the scope of The petition must be filed in accordance days prior to the filing deadline, the the proceeding. The contention must be with the filing instructions in the participant should contact the Office of one which, if proven, would entitle the ‘‘Electronic Submissions (E-Filing)’’ the Secretary by email at petitioner to relief. A petitioner who section of this document, and should [email protected], or by telephone fails to satisfy the requirements at 10 meet the requirements for petitions set at 301–415–1677, to (1) request a digital CFR 2.309(f) with respect to at least one forth in this section, except that under identification (ID) certificate, which contention will not be permitted to 10 CFR 2.309(h)(2) a State, local allows the participant (or its counsel or participate as a party. governmental body, or Federally- representative) to digitally sign Those permitted to intervene become recognized Indian Tribe, or agency submissions and access the E-Filing parties to the proceeding, subject to any thereof does not need to address the system for any proceeding in which it limitations in the order granting leave to standing requirements in 10 CFR is participating; and (2) advise the intervene. Parties have the opportunity 2.309(d) if the facility is located within Secretary that the participant will be to participate fully in the conduct of the its boundaries. Alternatively, a State, submitting a petition or other hearing with respect to resolution of local governmental body, Federally- adjudicatory document (even in that party’s admitted contentions, recognized Indian Tribe, or agency instances in which the participant, or its including the opportunity to present thereof may participate as a non-party counsel or representative, already holds evidence, consistent with the NRC’s under 10 CFR 2.315(c). an NRC-issued digital ID certificate). regulations, policies, and procedures. If a hearing is granted, any person Based upon this information, the Petitions must be filed no later than who is not a party to the proceeding and Secretary will establish an electronic 60 days from the date of publication of is not affiliated with or represented by docket for the hearing in this proceeding this notice. Petitions and motions for a party may, at the discretion of the if the Secretary has not already leave to file new or amended presiding officer, be permitted to make established an electronic docket. contentions that are filed after the a limited appearance pursuant to the Information about applying for a deadline will not be entertained absent provisions of 10 CFR 2.315(a). A person digital ID certificate is available on the a determination by the presiding officer making a limited appearance may make NRC’s public website at https:// that the filing demonstrates good cause an oral or written statement of his or her www.nrc.gov/site-help/e-submittals/ by satisfying the three factors in 10 CFR position on the issues but may not getting-started.html. Once a participant 2.309(c)(1)(i) through (iii). The petition otherwise participate in the proceeding. has obtained a digital ID certificate and must be filed in accordance with the A limited appearance may be made at a docket has been created, the filing instructions in the ‘‘Electronic any session of the hearing or at any participant can then submit Submissions (E-Filing)’’ section of this prehearing conference, subject to the adjudicatory documents. Submissions document. limits and conditions as may be must be in Portable Document Format If a hearing is requested, and the imposed by the presiding officer. Details (PDF). Additional guidance on PDF Commission has not made a final regarding the opportunity to make a submissions is available on the NRC’s determination on the issue of no limited appearance will be provided by public website at https://www.nrc.gov/ significant hazards consideration, the the presiding officer if such sessions are site-help/electronic-sub-ref-mat.html. A Commission will make a final scheduled. filing is considered complete at the time determination on the issue of no the document is submitted through the significant hazards consideration. The IV. Electronic Submissions (E-Filing) NRC’s E-Filing system. To be timely, an final determination will serve to All documents filed in NRC electronic filing must be submitted to establish when the hearing is held. If the adjudicatory proceedings, including a the E-Filing system no later than 11:59

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p.m. Eastern Time on the due date. reason for granting the exemption from comment on the renewal of Office of Upon receipt of a transmission, the E- use of E-Filing no longer exists. Management and Budget (OMB) Filing system time-stamps the document Documents submitted in adjudicatory approval for an existing collection of and sends the submitter an email notice proceedings will appear in the NRC’s information. The information collection confirming receipt of the document. The electronic hearing docket which is is entitled, ‘‘Licenses, Certifications, and E-Filing system also distributes an email available to the public at https:// Approvals for Nuclear Power Plants.’’ notice that provides access to the adams.nrc.gov/ehd, unless excluded DATES: Submit comments by June 22, document to the NRC’s Office of the pursuant to an order of the Commission 2020. Comments received after this date General Counsel and any others who or the presiding officer. If you do not will be considered if it is practical to do have advised the Office of the Secretary have an NRC-issued digital ID certificate so, but the Commission is able to ensure that they wish to participate in the as described above, click ‘‘cancel’’ when consideration only for comments proceeding, so that the filer need not the link requests certificates and you received on or before this date. serve the document on those will be automatically directed to the ADDRESSES: You may submit comments participants separately. Therefore, NRC’s electronic hearing dockets where by any of the following methods: applicants and other participants (or you will be able to access any publicly • Federal Rulemaking website: Go to their counsel or representative) must available documents in a particular https://www.regulations.gov/ and search apply for and receive a digital ID hearing docket. Participants are for Docket ID NRC–2019–0216. For certificate before adjudicatory requested not to include personal technical questions, contact the documents are filed so that they can privacy information, such as social individual listed in the FOR FURTHER obtain access to the documents via the security numbers, home addresses, or INFORMATION CONTACT section of this E-Filing system. personal phone numbers in their filings, A person filing electronically using document. unless an NRC regulation or other law • Mail comments to: David Cullison, the NRC’s adjudicatory E-Filing system requires submission of such may seek assistance by contacting the Office of the Chief Information Officer, information. For example, in some Mail Stop: T–6 A10M, U.S. Nuclear NRC’s Electronic Filing Help Desk instances, individuals provide home through the ‘‘Contact Us’’ link located Regulatory Commission, Washington, addresses in order to demonstrate DC 20555–0001. on the NRC’s public website at https:// proximity to a facility or site. With www.nrc.gov/site-help/e- For additional direction on obtaining respect to copyrighted works, except for information and submitting comments, submittals.html, by email to limited excerpts that serve the purpose [email protected], or by a toll- see ‘‘Obtaining Information and of the adjudicatory filings and would Submitting Comments’’ in the free call at 1–866–672–7640. The NRC constitute a Fair Use application, Electronic Filing Help Desk is available SUPPLEMENTARY INFORMATION section of participants are requested not to include this document. between 9 a.m. and 6 p.m., Eastern copyrighted materials in their FOR FURTHER INFORMATION CONTACT: Time, Monday through Friday, submission. David Cullison, Office of the Chief excluding government holidays. For further details with respect to this Participants who believe that they Information Officer, U.S. Nuclear action, see the application for license have a good cause for not submitting Regulatory Commission, Washington, amendments dated April 14, 2020. documents electronically must file an DC 20555–0001; telephone: 301–415– Attorney for licensee: W.S. Blair, exemption request, in accordance with 2084; email: Infocollects.Resource@ Senior Counsel, Dominion Energy 10 CFR 2.302(g), with their initial paper nrc.gov. Services Inc., 120 Tredegar St., RS–2, filing stating why there is good cause for Richmond, VA 23219. SUPPLEMENTARY INFORMATION: not filing electronically and requesting authorization to continue to submit NRC Branch Chief: Michael T. I. Obtaining Information and documents in paper format. Such filings Markley. Submitting Comments Dated: April 17, 2020. must be submitted by: (1) First class A. Obtaining Information mail addressed to the Office of the For the Nuclear Regulatory Commission. Secretary of the Commission, U.S. Glenn E. Miller, Please refer to Docket ID NRC–2019– Nuclear Regulatory Commission, Project Manager, Plant Licensing Branch II– 0216 when contacting the NRC about Washington, DC 20555–0001, Attention: 1, Division of Operating Reactor Licensing, the availability of information for this Rulemaking and Adjudications Staff; or Office of Nuclear Reactor Regulation. action. You may obtain publicly- (2) courier, express mail, or expedited [FR Doc. 2020–08503 Filed 4–21–20; 8:45 am] available information related to this delivery service to the Office of the BILLING CODE 7590–01–P action by any of the following methods: Secretary, 11555 Rockville Pike, • Federal Rulemaking website: Go to Rockville, Maryland 20852, Attention: https://www.regulations.gov/ and search Rulemaking and Adjudications Staff. NUCLEAR REGULATORY for Docket ID NRC–2019–0216. A copy Participants filing adjudicatory COMMISSION of the collection of information and documents in this manner are related instructions may be obtained responsible for serving the document on [NRC–2019–0216] without charge by accessing Docket ID all other participants. Filing is NRC–2019–0216 on this website. Information Collection: Licenses, • considered complete by first-class mail Certifications, and Approvals for NRC’s Agencywide Documents as of the time of deposit in the mail, or Nuclear Power Plants Access and Management System by courier, express mail, or expedited (ADAMS): You may obtain publicly- delivery service upon depositing the AGENCY: Nuclear Regulatory available documents online in the document with the provider of the Commission. ADAMS Public Documents collection at service. A presiding officer, having ACTION: Renewal of existing information https://www.nrc.gov/reading-rm/ granted an exemption request from collection. adams.html. To begin the search, select using E-Filing, may require a participant ‘‘Begin Web-based ADAMS Search.’’ For or party to use E-Filing if the presiding SUMMARY: The U.S. Nuclear Regulatory problems with ADAMS, please contact officer subsequently determines that the Commission (NRC) invites public the NRC’s Public Document Room (PDR)

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reference staff at 1–800–397–4209, 301– 6. Who will be required or asked to information that the applicant proposes 415–4737, or by email to pdr.resource@ respond: Applicants for early site to submit and staff identification of nrc.gov. The supporting statement and permits (ESPs), standard design potential deficiencies in the application. burden spreadsheet are available in approvals (SDAs) and certifications, Pre-application activities are expected ADAMS under Accession Nos. manufacturing licenses (MLs), and to increase the efficiency of the staff’s ML20013E094 and ML20013E096. licenses which combine construction review of those applications once they • NRC’s Clearance Officer: A copy of permits (CPs) and conditional operating are submitted. Subpart B of part 52 the collection of information and related licenses (OLs), e.g., COLs, for establishes the process for obtaining instructions may be obtained without commercial nuclear power reactors. design certifications. The addition of charge by contacting NRC’s Clearance 7. The estimated number of annual Appendix F to 10 CFR part 52 allows Officer, David Cullison, Office of the responses: 1,428 (1,411 reporting interested parties to reference the Chief Information Officer, U.S. Nuclear responses plus 17 recordkeepers). Advanced Power Reactor 1400 Regulatory Commission, Washington, 8. The estimated number of annual (APR1400) standard design in an DC 20555–0001; telephone: 301–415– respondents: 17. application for a combined license. 2084; email: Infocollects.Resource@ 9. The estimated number of hours III. Specific Requests for Comments nrc.gov. needed annually to comply with the information collection requirement or The NRC is seeking comments that B. Submitting Comments request: 335,891 hours (318,716 address the following questions: Please include Docket ID NRC–2019– reporting, plus 17,175 recordkeeping). 1. Is the proposed collection of 0216 in the subject line of your 10. Abstract: The licensing processes information necessary for the NRC to comment submission, in order to ensure in part 52 of title 10 of the Code of properly perform its functions? Does the that the NRC is able to make your Federal Regulations (10 CFR) provide information have practical utility? comment submission available to the for issuance of ESPs, SDAs, MLs, CPs, 2. Is the estimate of the burden of the public in this docket. and COLs for commercial nuclear power information collection accurate? The NRC cautions you not to include reactors. The applicants submit updated 3. Is there a way to enhance the identifying or contact information in reports, applications for renewals, quality, utility, and clarity of the comment submissions that you do not exemption requests and maintain information to be collected? want to be publicly disclosed in your records of changes to the facility and 4. How can the burden of the records of detailed design related comment submission. The NRC will information collection on respondents information. These licensing procedures post all comment submissions at https:// be minimized, including the use of are options to the two-step licensing www.regulations.gov/ as well as enter automated collection techniques or process in 10 CFR part 50, which the comment submissions into ADAMS, other forms of information technology? and the NRC does not routinely edit provides for a CP and an OL. The part Dated: April 16, 2020. comment submissions to remove 52 licensing process places procedural identifying or contact information. requirements in part 52 and technical For the Nuclear Regulatory Commission. If you are requesting or aggregating requirements in part 50. Part 52 reduces David C. Cullison, comments from other persons for the overall paperwork burden borne by NRC Clearance Officer, Office of the Chief submission to the NRC, then you should applicants for CPs and OLs because part Information Officer. inform those persons not to include 52 only requires a single application [FR Doc. 2020–08473 Filed 4–21–20; 8:45 am] identifying or contact information that and provides options for referencing BILLING CODE 7590–01–P they do not want to be publicly standardized designs. The information disclosed in their comment submission. in 10 CFR part 52 is needed by the Your request should state that the NRC agency to assess the adequacy and POSTAL REGULATORY COMMISSION does not routinely edit comment suitability of an applicant’s site, plant submissions to remove such information design, construction, training and [Docket Nos. MC2020–120 and CP2020–128] experience, plans and procedures for before making the comment New Postal Product submissions available to the public or the protection of public health and safety. Regulatory Guide 1.206 provides entering the comment into ADAMS. AGENCY: Postal Regulatory Commission. guidance for applicants for combined II. Background licenses for nuclear power plants. ACTION: Notice. In accordance with the Paperwork Section C.2.1 of Regulatory Guide 1.206 SUMMARY: The Commission is noticing a Reduction Act of 1995 (44 U.S.C. deals with pre-application activities for recent Postal Service filing for the Chapter 35), the NRC is requesting respondents who intend to submit Commission’s consideration concerning public comment on its intention to applications for combined licenses for a negotiated service agreement. This request the OMB’s approval for the nuclear power plants. Pre-application notice informs the public of the filing, information collection summarized activities encompass all the invites public comment, and takes other below. communications, correspondence, administrative steps. 1. The title of the information meetings, document submittals/reviews, and other interactions that occur DATES: Comments are due: April 24, collection: 10 CFR part 52, ‘‘Licenses, 2020. Certifications, and Approvals for between the NRC staff and a prospective Nuclear Power Plants.’’ applicant before the tendering of an ADDRESSES: Submit comments 2. OMB approval number: 3150–0151. application under part 52 of title 10 of electronically via the Commission’s 3. Type of submission: Extension. the Code of Federal Regulations. Filing Online system at http:// 4. The form number, if applicable: Participation in pre-application www.prc.gov. Those who cannot submit Not applicable. activities is voluntary. Potential comments electronically should contact 5. How often the collection is required applicants who engage in pre- the person identified in the FOR FURTHER or requested: On occasion. Applications application activities benefit from an INFORMATION CONTACT section by are submitted only when licensing early NRC staff assessment of the telephone for advice on filing action is sought. completeness and level of detail of the alternatives.

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FOR FURTHER INFORMATION CONTACT: to Add Priority Mail Express Ehrlich v. United States Postal Service, David A. Trissell, General Counsel, at International, Priority Mail International which relates to alleged discrimination 202–789–6820. & First-Class Package International by Postal Service management in SUPPLEMENTARY INFORMATION: Service Contract 2 to Competitive continuing a suspension of mail service Product List and Notice of Filing due to a dog hold on the Complainant’s Table of Contents Materials Under Seal; Filing Acceptance residence, potentially violating 39 I. Introduction Date: April 16, 2020; Filing Authority: U.S.C. 403(c).1 This notice informs the II. Docketed Proceeding(s) 39 U.S.C. 3642, 39 CFR 3020.30 et seq., public of the filing and of the I. Introduction and 39 CFR 3015.5; Public procedural schedule established in Representative: Christopher C. Mohr; Presiding Officer’s Ruling No. 2.2 The Commission gives notice that the Comments Due: April 24, 2020. Postal Service filed request(s) for the II. Procedural Schedule This Notice will be published in the Commission to consider matters related 1. The deadline to file a notice of to negotiated service agreement(s). The Federal Register. Erica A. Barker, intervention pursuant to 39 CFR request(s) may propose the addition or 3001.20 (formal intervention) or 39 CFR Secretary. removal of a negotiated service 3001.20a (limited participation) is May agreement from the market dominant or [FR Doc. 2020–08537 Filed 4–21–20; 8:45 am] 1, 2020. the competitive product list, or the BILLING CODE 7710–FW–P 2. A prehearing conference is modification of an existing product scheduled to be conducted before the currently appearing on the market Presiding Officer on July 20, 2020 at POSTAL REGULATORY COMMISSION dominant or the competitive product 1:00 p.m. Eastern Daylight Time (10:00 list. [Docket No. C2020–1; Presiding Officer’s a.m. Pacific Daylight Time) by Section II identifies the docket Ruling No. 2] telephone. number(s) associated with each Postal 3. The hearing of evidence in this case Service request, the title of each Postal Complaint of Randall Ehrlich shall begin September 1, 2020. Service request, the request’s acceptance 4. A request to hold a hearing before date, and the authority cited by the AGENCY: Postal Regulatory Commission. the Presiding Officer for the oral Postal Service for each request. For each ACTION: Notice. presentation of evidence (including any request, the Commission appoints an testimony) shall be filed no later than 7 officer of the Commission to represent SUMMARY: The Commission is noticing days before the prehearing conference the interests of the general public in the the Complaint of Randall Ehrlich v. and shall specify each witness for which proceeding, pursuant to 39 U.S.C. 505 United States Postal Service, which oral testimony is proposed. (Public Representative). Section II also relates to alleged discrimination by establishes comment deadline(s) Postal Service management in Erica A. Barker, pertaining to each request. continuing a suspension of mail service Secretary. due to a dog hold on the Complainant’s The public portions of the Postal [FR Doc. 2020–08529 Filed 4–21–20; 8:45 am] Service’s request(s) can be accessed via residence. This notice informs the BILLING CODE 7710–FW–P the Commission’s website (http:// public of the filing and procedural www.prc.gov). Non-public portions of schedule. the Postal Service’s request(s), if any, DATES: Deadline for notices of can be accessed through compliance SECURITIES AND EXCHANGE intervention: May 1, 2020; Prehearing COMMISSION with the requirements of 39 CFR Conference: July 20, 2020 at 1:00 p.m. 1 3007.301. Eastern Daylight Time (10:00 a.m. [Release No. 34–88664; File No. SR– The Commission invites comments on Pacific Daylight Time) by telephone; CboeEDGA–2020–005] whether the Postal Service’s request(s) Hearing of evidence to begin: September in the captioned docket(s) are consistent 1, 2020; Deadline for requests to hold a Self-Regulatory Organizations; Cboe with the policies of title 39. For hearing before the Presiding Officer for EDGA Exchange, Inc; Notice of request(s) that the Postal Service states oral presentation of evidence: No later Designation of Longer Period for concern market dominant product(s), than 7 days before the prehearing Commission Action on Proposed Rule applicable statutory and regulatory conference. Change To Amend EDGA Rule 11.8(e), requirements include 39 U.S.C. 3622, 39 Which Describes the Handling of U.S.C. 3642, 39 CFR part 3010, and 39 ADDRESSES: For additional information, MidPoint Discretionary Orders Entered CFR part 3020, subpart B. For request(s) Presiding Officer’s Ruling No. 2 can be on the Exchange that the Postal Service states concern accessed electronically through the competitive product(s), applicable Commission’s website at https:// April 16, 2020. statutory and regulatory requirements www.prc.gov. On February 28, 2020, Cboe EDGA include 39 U.S.C. 3632, 39 U.S.C. 3633, FOR FURTHER INFORMATION CONTACT: Exchange, Inc. (‘‘EDGA’’ or the 39 U.S.C. 3642, 39 CFR part 3015, and David A. Trissell, General Counsel, at ‘‘Exchange’’) filed with the Securities 39 CFR part 3020, subpart B. Comment 202–789–6820. and Exchange Commission deadline(s) for each request appear in (‘‘Commission’’), pursuant to Section SUPPLEMENTARY INFORMATION: section II. 19(b)(1) of the Securities Exchange Act Table of Contents of 1934 (‘‘Act’’) 1 and Rule 19b–4 II. Docketed Proceeding(s) thereunder,2 a proposed rule change to 1. Docket No(s).: MC2020–120 and I. Introduction II. Procedural Schedule CP2020–128; Filing Title: USPS Request 1 Complaint of Randall Ehrlich, December 23, I. Introduction 2019. 1 See Docket No. RM2018–3, Order Adopting 2 See Presiding Officer’s Ruling Establishing Final Rules Relating to Non-Public Information, Pursuant to 39 CFR 3001.19 and 39 Procedural Schedule, April 16, 2020. June 27, 2018, Attachment A at 19–22 (Order No. CFR 3001.17, the Commission gives 1 15 U.S.C. 78s(b)(1). 4679). notice of the Complaint of Randall 2 17 CFR 240.19b–4.

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amend EDGA Rule 11.8(e), which SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s describes the handling of MidPoint COMMISSION Statement of the Purpose of, and Discretionary Orders entered on the Statutory Basis for, the Proposed Rule Exchange. The proposed rule change [Release No. 34–88668; File No. SR– Change was published for comment in the NASDAQ–2020–016] 1. Purpose Federal Register on March 10, 2020.3 The Commission has received no Self-Regulatory Organizations; The The Exchange proposes to adopt a comments on the proposal. Nasdaq Stock Market LLC; Notice of new rule titled, ‘‘Transfer of Positions’’ Section 19(b)(2) of the Act 4 provides Filing and Immediate Effectiveness of within NOM Options 6, Section 5, that within 45 days of the publication of Proposed Rule Change To Adopt a which is currently reserved. Today, NOM does not permit transfers. This notice of the filing of a proposed rule New Rule Titled Transfer of Positions proposed rule specifies the specific change, or within such longer period up Within Options 6, Section 5 limited circumstances under which a to 90 days as the Commission may April 16, 2020. Participant may effect transfers of designate if it finds such longer period Pursuant to Section 19(b)(1) of the positions. This rule would permit to be appropriate and publishes its market participants to move positions reasons for so finding or as to which the Securities Exchange Act of 1934 1 2 from one account to another without self-regulatory organization consents, (‘‘Act’’), and Rule 19b–4 thereunder, notice is hereby given that on April 14, first exposure of the transaction on the the Commission shall either approve the NOM. This rule would permit transfers 2020, The Nasdaq Stock Market LLC proposed rule change, disapprove the upon the occurrence of significant, non- (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the proposed rule change, or institute recurring events. The proposed rule proceedings to determine whether the Securities and Exchange Commission change is similar to Cboe Rule 6.7.3 proposed rule change should be (‘‘Commission’’) the proposed rule Permissible Transfers disapproved. The 45th day for this filing change as described in Items I and II, below, which Items have been prepared is April 24, 2020. The Exchange proposes to adopt new by the Exchange. The Commission is The Commission is extending the 45- Options 6, Section 5 titled ‘‘Transfer of publishing this notice to solicit day time period for Commission action Positions’’ to provide for the comments on the proposed rule change on the proposed rule change. The circumstances pursuant to which from interested persons. Commission finds that it is appropriate Participants may transfer their options to designate a longer period within I. Self-Regulatory Organization’s positions without first exposing the which to take action on the proposed Statement of the Terms of Substance of order. This rule states that a Participant rule change so that it has sufficient time the Proposed Rule Change must be on at least one side of the to consider the proposed rule change. transfer. This rule is similar to CBOE The Exchange proposes to adopt a Rule 6.7. Currently, NOM has no rule Accordingly, pursuant to Section new rule of The Nasdaq Stock Market that specifically addresses transfers. 19(b)(2) of the Act,5 the Commission LLC (‘‘NOM’’) titled ‘‘Transfer of The Exchange proposes to provide at designates June 8, 2020, as the date by Positions’’ within NOM Options 6, proposed Options 6, Section 5(a), which the Commission shall either Section 5. ‘‘Permissible Transfers. Existing approve or disapprove, or institute positions in options listed on the proceedings to determine whether to The text of the proposed rule change is available on the Exchange’s website at Exchange of a Participant or non- disapprove, the proposed rule change Participant that are to be transferred on, (File No. SR–CboeEDGA–2020–005). http://nasdaq.cchwallstreet.com, at the principal office of the Exchange, and at from, or to the books of a Clearing For the Commission, by the Division of the Commission’s Public Reference Participant may be transferred off the if Trading and Markets, pursuant to delegated Room. the transfer involves one or more of the authority.6 following events: J. Matthew DeLesDernier, II. Self-Regulatory Organization’s (1) Pursuant to General 9, Section 1, Assistant Secretary. Statement of the Purpose of, and an adjustment or transfer in connection Statutory Basis for, the Proposed Rule [FR Doc. 2020–08486 Filed 4–21–20; 8:45 am] with the correction of a bona fide error Change BILLING CODE 8011–01–P in the recording of a transaction or the transferring of a position to another In its filing with the Commission, the account, provided that the original trade Exchange included statements documentation confirms the error; concerning the purpose of and basis for the proposed rule change and discussed (2) the transfer of positions from one any comments it received on the account to another account where no change in ownership is involved (i.e., proposed rule change. The text of these accounts of the same Person, provided statements may be examined at the the accounts are not in separate places specified in Item IV below. The aggregation units or otherwise subject to Exchange has prepared summaries, set information barrier or account forth in sections A, B, and C below, of segregation requirements; the most significant aspects of such statements. 3 See Securities and Exchange Act Release No. 3 See Securities Exchange Act Release No. 88323 88424 (March 19, 2020), 85 FR 16981 (March 25, (March 5, 2020), 85 FR 13957. 2020) (SR–Cboe–2019–035) (Notice of Filing of Amendment Nos. 1 and 2 and Order Granting 4 15 U.S.C. 78s(b)(2). Accelerated Approval of a Proposed Rule Change, 5 15 U.S.C. 78s(b)(2). 1 15 U.S.C. 78s(b)(1). as Modified by Amendment Nos. 1 and 2, Regarding 6 17 CFR 200.30–3(a)(31). 2 17 CFR 240.19b–4. Off-Floor Position Transfers).

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(3) the consolidation of accounts haircut treatment.8 Netting occurs when Transfer Price where no change in ownership is long positions and short positions in the Proposed Options 6, Section 5(c) involved; same series ‘‘offset’’ against each other, states the transfer price, to the extent it (4) a merger, acquisition, leaving no or a reduced position. For is consistent with applicable laws, rules, consolidation, or similar non-recurring example, if a Participant wanted to and regulations, including rules of other transaction for a Person; transfer 100 long calls to another self-regulatory organizations, and tax (5) the dissolution of a joint account account that contained short calls of the and accounting rules and regulations, at in which the remaining Participant same options series as well as other which an transfer is effected may be: (1) assumes the positions of the joint positions, even if the transfer is The original trade prices of the positions account; permitted pursuant to one of the 10 that appear on the books of the trading (6) the dissolution of a corporation or permissible events listed in the Clearing Participant, in which case the partnership in which a former nominee proposed Rule, the Participant could not records of the transfer must indicate the of the corporation or partnership transfer the offsetting series, as they original trade dates for the positions; assumes the positions; would net against each other and close provided, transfers to correct bona fide (7) positions transferred as part of a the positions.9 errors pursuant to proposed Participant’s capital contribution to a However, netting is permitted for subparagraph (a)(1) must be transferred new joint account, partnership, or at the correct original trade prices; (2) transfers on behalf of a Market Maker corporation; mark-to-market prices of the positions at account for transactions in multiply (8) the donation of positions to a not- the close of trading on the transfer date; listed options series on different options for-profit corporation; (3) mark-to-market prices of the (9) the transfer of positions to a minor exchanges, but only if the Market Maker positions at the close of trading on the under the Uniform Gifts to Minors Act; nominees are trading for the same trade date prior to the transfer date; 10 or or Participant, and the options transactions (4) the then-current market price of the (10) the transfer of positions through on the different options exchanges clear positions at the time the transfer is operation of law from death, into separate exchange-specific accounts 11 4 effected. bankruptcy, or otherwise. because they cannot easily clear into the This proposed rule change provides The Exchange proposes to define same Market Maker account at the market participants that effect ‘‘Person’’ as ‘‘an individual, partnership Clearing Corporation. In such instances, transactions with flexibility to select a (general or limited), joint stock all Market Maker positions in the transfer price based on circumstances of company, corporation, limited liability exchange-specific accounts for the the transfer and their business. company, trust or unincorporated multiply listed class would be However, for corrections of bona fide organization, or any governmental entity automatically transferred on their trade errors, because those transfers are or agency or political subdivision date into one central Market Maker 5 necessary to correct processing errors thereof.’’ The proposed rule change account (commonly referred to as a that occurred at the time of transaction, makes clear that the transferred ‘‘universal account’’) at the Clearing those transfers would occur at the positions must be on, from, or to the Corporation. Positions cleared into a original transaction price, as the books of a Clearing Member. The universal account would automatically purpose of the transfer is to create the proposed rule change states that existing net against each other. Options originally intended result of the positions of a Participant or a non- exchanges permit different naming transaction. Participant may be subject to a transfer, conventions with respect to Market Prior Written Notice except under specified circumstances in Maker account acronyms (for example, which a transfer may only be effected Proposed Options 6, Section 5(d) 6 lettering versus numbering and number for positions of a Participant. The of characters), which are used for requires a Participant and its Clearing Exchange notes transfers of positions in accounts at the Clearing Corporation. A Participant (to the extent that the Exchange-listed options may also be Market Maker may have a nominee with Participant is not self-clearing) to subject to applicable laws, rules, and an appointment in class XYZ on Phlx, submit to the Exchange, in a manner regulations, including rules of other and have another nominee with an determined by the Exchange, written self-regulatory organizations.7 Except as appointment in class XYZ on NOM, but notice prior to effecting an transfer from explicitly provided in the proposed rule 12 due to account acronym naming or to the account of a Participant(s). text, the proposed rule change is not conventions, those nominees may need The notice must indicate: The intended to exempt position transfers to clear their transactions into separate Exchange-listed options positions to be from any other applicable rules or accounts (one for Phlx Options transferred; the nature of the regulations, and proposed paragraph (h) transactions and another for NOM transaction; the enumerated provision(s) makes this clear in the rule. transactions) at the Clearing Corporation under proposed paragraph (a) pursuant Proposed Options 6, Section (b) to which the positions are being codifies Exchange guidance regarding rather into a universal account (in which account the positions may net). transferred; the name of the certain restrictions on permissible counterparty(ies); the anticipated transfers related to netting of open The proposed rule change permits transfers from these separate exchange- transfer date; the method for positions and to margin and haircut determining the transfer price; and any treatment, unless otherwise permitted specific accounts into the Market Maker’s universal account in this by proposed paragraph (f). No position 10 circumstance to achieve this purpose. For example, for a transfer that occurs on a may net against another position Tuesday, the transfer price may be based on the (‘‘netting’’), and no position transfer closing market price on Monday. may result in preferential margin or 8 For example, positions may not transfer from a 11 See Cboe Rule 6.7(c). customer, joint back office, or firm account to a 12 This notice provision applies only to transfers Market Maker account. However, positions may involving a Participant’s positions and not to 4 See Cboe Rule 6.7(a). transfer from a Market Maker account to a customer, positions of non-Participant parties, as they are not 5 See Cboe Rule 1.1. joint back office, or firm account (assuming no subject to the Rules. In addition, no notice would 6 See proposed Options 6, Section 5(a)(5) and (7). netting of positions occurs). be required to effect transfers to correct bona fide 7 See proposed Options 6, Section 5(h). 9 See Cboe Rule 6.7(b). errors pursuant to proposed subparagraph (a)(1).

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other information requested by the necessary or appropriate for the coordination with persons engaged in Exchange.13 The proposed notice will maintenance of a fair and orderly regulating, clearing, settling, processing ensure the Exchange is aware of all market and the protection of investors information with respect to, and transfers so that it can monitor and and is in the public interest, including facilitating transactions in securities, to review them (including the records that due to unusual or extraordinary remove impediments to and perfect the must be retained pursuant to proposed circumstances. For example, an mechanism of a free and open market paragraph (e)) to determine whether exemption may be granted if the market and a national market system, and, in they are effected in accordance with the value of the Person’s positions would be general, to protect investors and the Rules. compromised by having to comply with public interest. Additionally, the Additionally, requiring notice from the requirement to trade on the Exchange believes the proposed rule the Participant(s) and its Clearing Exchange pursuant to the normal change is consistent with the Section Participant(s) will ensure both parties auction process or when, in the 6(b)(5) 21 requirement that the rules of are in agreement with respect to the judgment of the Chief Executive Officer, an exchange not be designed to permit terms of the transfer. As noted in President or his or her designee, market unfair discrimination between proposed subparagraph (d)(2), receipt of conditions make trading on the customers, issuers, brokers, or dealers. notice of an transfer does not constitute Exchange impractical.15 The Exchange believes that permitting a determination by the Exchange that transfers under new Options 6, Section the transfer was effected or reported in Routine, Recurring Transfers 5 in very limited circumstances is conformity with the requirements of The Exchange proposes within reasonable to allow a Member to proposed Section 10(b). Options 6, Section 5(g) that the transfer accomplish certain goals efficiently. The Notwithstanding submission of written procedure set forth in Options 6, proposed rule permits transfers in notice to the Exchange, Participants and Section 5 is intended to facilitate non- situations involving dissolutions of Clearing Participants that effect transfers routine, nonrecurring movements of entities or accounts, for purposes of that do not conform to the requirements positions.16 The transfer procedure is donations, mergers or by operation of of proposed Section 10(b) will be not to be used repeatedly or routinely in law. For example, a Participant that is subject to appropriate disciplinary circumvention of the normal auction undergoing a structural change and a action in accordance with the Rules. market process. one-time movement of positions may Exchange-Listed Options require a transfer of positions or a Records Participant that is leaving a firm that Similarly, proposed Options 6, The Exchange proposes within will no longer be in business may Section 5(e) requires each Participant Options 6, Section 5(h) notes that the require a transfer of positions to another and each Clearing Participant that is a transfer procedure set forth in Options firm. Also, a Participant may require a party to a transfer must make and retain 6, Section 5 is only applicable to transfer of positions to make a capital records of the information provided in positions in options listed on the contribution. The above-referenced the written notice to the Exchange Exchange. Transfers of positions in circumstances are non-recurring pursuant to proposed subparagraph Exchange-listed options may also be situations where the transferor (e)(1), as well as information on the subject to applicable laws, rules, and continues to maintain some ownership actual Exchange-listed options that are regulations, including rules of other interest or manage the positions ultimately transferred, the actual self-regulatory organizations. Transfers transferred. By contrast, repeated or transfer date, and the actual transfer of non-Exchange listed options and routine transfers between entities or price (and the original trade dates, if other financial instruments are not accounts—even if there is no change in 17 applicable), and any other information governed by this Rule. beneficial ownership as a result of the the Exchange may request the 2. Statutory Basis transfer—is inconsistent with the Participant or Clearing Participant purposes for which the proposed rule The Exchange believes that its provide.14 was adopted. Accordingly, the Exchange proposal is consistent with Section 6(b) believes that such activity should not be Presidential Exemption of the Act,18 in general, and furthers the 19 permitted under the rules and thus, Proposed paragraph (f) provides objectives of Section 6(b)(5) of the Act, seeks to adopt language in proposed exemptions approved by the Exchange’s in particular, in that it is designed to paragraph (f) to proposed Options 6, Chief Executive Officer or President (or promote just and equitable principles of Section 5 that the transfer of positions senior-level designee). Specifically, this trade, to remove impediments to and procedures set forth the proposed rule provision is in addition to the perfect the mechanism of a free and are intended to facilitate non-recurring exemptions set forth in proposed open market and a national market movements of positions. paragraph (a). The Exchange proposes system, and, in general to protect The proposed rule change will that the Exchange Chief Executive investors and the public interest. provide market participants that Specifically, the Exchange believes Officer or President (or senior-level experience these limited, non-recurring the proposed transfer rule is consistent designee) may grant an exemption from events with an efficient and effective with the Section 6(b)(5) 20 requirements the requirement of this proposed Rule, means to transfer positions in these that the rules of an exchange be on his or her own motion or upon situations. The Exchange believes the designed to prevent fraudulent and application of the Participant (with proposed rule change regarding manipulative acts and practices, to respect to the Participant’s positions) or permissible transfer prices provides promote just and equitable principles of a Clearing Member (with respect to market participants with flexibility to trade, to foster cooperation and positions carried and cleared by the determine the price appropriate for their business, which maintain cost bases in Clearing Members). The Chief Executive 15 See Cboe Rule 6.7(f). Officer, the President or his or her 16 See Cboe Rule 6.7(g). accordance with normal accounting designee, may permit a transfer if 17 See Cboe Rule 6.7(h). practices and removes impediments to a 18 15 U.S.C. 78f(b). free and open market. 13 See Cboe Rule 6.7(d). 19 15 U.S.C. 78f(b)(5). 14 See Cboe Rule 6.7(e). 20 15 U.S.C. 78f(b)(5). 21 Id.

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The proposed rule change which who are similarly situated with the a competitive trading tool. The requires notice and maintenance of organization as senior-level individuals. proposed rule change permits, in limited circumstances, a transfer to records will ensure the Exchange is able B. Self-Regulatory Organization’s facilitate non-routine, nonrecurring to review transfers for compliance with Statement on Burden on Competition the Rules, which prevents fraudulent movements of positions. As provided and manipulative acts and practices. The Exchange does not believe that for in proposed Options 6, Section 5(g), The requirement to retain records is the proposed rule change will impose it would not be used repeatedly or consistent with the requirements of Rule any burden on competition that is not routinely in circumvention of the 17a–3 and 17a–4 under the Act. necessary or appropriate in furtherance normal auction market process. of the purposes of the Act. Proposed Options 6, Section 5(a) Similar to Cboe Rule 6.7, the The Exchange does not believe the specifically provides within the rule Exchange would permit a presidential proposed rule change will impose an text that the Exchange’s Chief Executive exemption. The Exchange believes that undue burden on intra-market Officer or President (or senior-level this exemption is consistent with the competition as the transfer procedure designee) may in his or her judgment Act because the Exchange’s Chief may be utilized by any Participant and allow a transfer for the maintenance of Executive Officer or President (or the rule will apply uniformly to all a fair and orderly market and the senior-level designee) would consider Participants. Use of the transfer protection of investors and is in the an exemption in very limited procedure is voluntary, and all public interest. The Exchange believes circumstances. The transfer process is Participants may use the procedure to that the exemption does not impose an intended to facilitate non-routine, transfer positions as long as the criteria undue burden on competition as the nonrecurring movements of positions in the proposed rule are satisfied. With Exchange’s Chief Executive Officer or and, therefore, is not to be used this change, a Participant that President (or senior-level designee) experiences limited permissible, non- repeatedly or routinely in would apply the exemption consistent recurring events would have an efficient circumvention of the normal auction with the guidance within Options 6, and effective means to transfer positions market process. Proposed Options 6, Section 5(f). Additionally, as discussed in these situations. The Exchange Section 5(f) specifically provides within above, the proposed rule change is believes the proposed rule change the rule text that the Exchange’s Chief similar to Cboe Rule 6.7. The Exchange regarding permissible transfer prices Executive Officer or President (or believes having similar rules related to provides market participants with senior-level designee) may in his or her transfer positions to those of other flexibility to determine the price judgment allow a transfer if it is options exchanges will reduce the appropriate for their business, which necessary or appropriate for the administrative burden on market determine prices in accordance with maintenance of a fair and orderly participants of determining whether market and the protection of investors normal accounting practices and removes impediments to a free and open their transfers comply with multiple and is in the public interest, including sets of rules. due to unusual or extraordinary market. The Exchange does not believe circumstances such as the market value the proposed notice and record C. Self-Regulatory Organization’s of the Person’s positions will be requirements are unduly burdensome to Statement on Comments on the comprised by having to comply with the market participants. The Exchange Proposed Rule Change Received From requirement to trade on the Exchange believes the proposed requirements are Members, Participants, or Others reasonable and will ensure the pursuant to the normal auction process No written comments were either Exchange is aware of transfers and or, when in the judgment of President solicited or received. would be able to monitor and review the or his or her designee, market transfers to ensure the transfer falls III. Date of Effectiveness of the conditions make trading on the within the proposed rule. Proposed Rule Change and Timing for Exchange impractical. These standards Adopting an exemption, similar to Commission Action within proposed Options 6, Section 5(f) Cboe Rule 6.7, to permit the Exchange’s Because the foregoing proposed rule are intended to provide guidance Chief Executive Officer or President (or change does not: (i) Significantly affect concerning the use of this exemption senior-level designee) to grant an the protection of investors or the public which is intended to provide the exemption to Options 6, Section 5(a) interest; (ii) impose any significant Exchange with the ability to utilize the prohibition if, in his or her judgment, burden on competition; and (iii) become exemption for the maintenance of a fair does not impose an undue burden on operative for 30 days from the date on and orderly market and the protection of competition. Circumstances where, due which it was filed, or such shorter time investors and is in the public interest. to unusual or extraordinary as the Commission may designate, it has The Exchange believes that the circumstances such as the market value become effective pursuant to Section exemption is consistent with the Act of the Person’s positions would be 19(b)(3)(A)(iii) of the Act 23 and because it would allow the Exchange’s comprised by having to comply with the subparagraph (f)(6) of Rule 19b–4 Chief Executive Officer or President (or requirement to trade on the Exchange thereunder.24 senior-level designee) to act in certain pursuant to the normal auction process A proposed rule change filed under situations which comply with the or, would be taken into consideration in Rule 19b–4(f)(6) normally does not guidance within Options 6, Section 5(f) each case where, in the judgment of the become operative for 30 days from the which are intended to protect investors Exchange’s Chief Executive Officer or and the general public. While Cboe President (or senior-level designee), grants an exemption to the President (or 23 15 U.S.C. 78s(b)(3)(A)(iii). market conditions make trading on the 24 22 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– senior-level designee), the Exchange Exchange impractical. 4(f)(6) requires a self-regulatory organization to give has elected to grant an exemption to The Exchange does not believe the the Commission written notice of its intent to file Exchange’s Chief Executive Officer or proposed rule change will impose an the proposed rule change at least five business days President (or senior-level designee), prior to the date of filing of the proposed rule undue burden on inter-market change, or such shorter time as designated by the competition. The proposed position Commission. The Exchange has satisfied this 22 See Cboe Rule 6.7(f). transfer procedure is not intended to be requirement.

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date of filing. However, Rule 19b– comments more efficiently, please use (‘‘Commission’’) the proposed rule 4(f)(6)(iii) 25 permits the Commission to only one method. The Commission will change as described in Items I and II, designate a shorter time if such action post all comments on the Commission’s below, which Items have been prepared is consistent with the protection of internet website (http://www.sec.gov/ by the Exchange. The Commission is investors and the public interest. The rules/sro.shtml). Copies of the publishing this notice to solicit Exchange has asked the Commission to submission, all subsequent comments on the proposed rule change waive the 30-day operative delay. The amendments, all written statements from interested persons. Commission notes that waiver of the with respect to the proposed rule operative delay would provide change that are filed with the I. Self-Regulatory Organization’s Participants with the ability to request Commission, and all written Statement of the Terms of Substance of a transfer, for limited, non-recurring communications relating to the the Proposed Rule Change types of transfers, without the need for proposed rule change between the The Exchange proposes to adopt a exposing those orders on the Exchange, Commission and any person, other than new rule titled ‘‘Transfer of Positions’’ similar to Cboe.26 The Commission those that may be withheld from the within Options 6, Section 5. believes that waiver of the 30-day public in accordance with the operative delay is consistent with the provisions of 5 U.S.C. 552, will be The text of the proposed rule change protection of investors and the public available for website viewing and is available on the Exchange’s website at interest. Accordingly, the Commission printing in the Commission’s Public http://ise.cchwallstreet.com/, at the waives the 30-day operative delay and Reference Room, 100 F Street NE, principal office of the Exchange, and at designates the proposed rule change Washington, DC 20549, on official the Commission’s Public Reference operative upon filing.27 business days between the hours of Room. At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the filing of the proposed rule change, the filing also will be available for II. Self-Regulatory Organization’s Commission summarily may inspection and copying at the principal Statement of the Purpose of, and temporarily suspend such rule change if office of the Exchange. All comments Statutory Basis for, the Proposed Rule it appears to the Commission that such received will be posted without change. Change action is necessary or appropriate in the Persons submitting comments are In its filing with the Commission, the public interest, for the protection of cautioned that we do not redact or edit Exchange included statements investors, or otherwise in furtherance of personal identifying information from concerning the purpose of and basis for the purposes of the Act. If the comment submissions. You should the proposed rule change and discussed submit only information that you wish Commission takes such action, the any comments it received on the to make available publicly. All Commission shall institute proceedings proposed rule change. The text of these submissions should refer to File to determine whether the proposed rule statements may be examined at the Number SR–NASDAQ–2020–016 and should be approved or disapproved. places specified in Item IV below. The should be submitted on or before May IV. Solicitation of Comments 13, 2020. Exchange has prepared summaries, set forth in sections A, B, and C below, of Interested persons are invited to For the Commission, by the Division of submit written data, views, and the most significant aspects of such Trading and Markets, pursuant to delegated statements. arguments concerning the foregoing, authority.28 including whether the proposed rule J. Matthew DeLesDernier, A. Self-Regulatory Organization’s change is consistent with the Act. Assistant Secretary. Statement of the Purpose of, and Comments may be submitted by any of [FR Doc. 2020–08489 Filed 4–21–20; 8:45 am] Statutory Basis for, the Proposed Rule the following methods: BILLING CODE 8011–01–P Change Electronic Comments 1. Purpose • Use the Commission’s internet SECURITIES AND EXCHANGE The Exchange proposes to adopt a comment form (http://www.sec.gov/ COMMISSION rules/sro.shtml); or new rule titled, ‘‘Transfer of Positions’’ • Send an email to rule-comments@ [Release No. 34–88670; File No. SR–ISE– within Options 6, Section 5, which is sec.gov. Please include File Number SR– 2020–16] currently reserved. Today, ISE does not NASDAQ–2020–016 on the subject line. permit transfers. This proposed rule Self-Regulatory Organizations; Nasdaq specifies the specific limited Paper Comments ISE, LLC; Notice of Filing and circumstances under which a Member • Send paper comments in triplicate Immediate Effectiveness of Proposed may effect transfers of positions. This to Secretary, Securities and Exchange Rule Change To Adopt a New Rule rule would permit market participants Commission, 100 F Street NE, Titled Transfer of Positions Within to move positions from one account to Washington, DC 20549–1090. Options 6, Section 5 another without first exposure of the All submissions should refer to File April 16, 2020. transaction on the ISE. This rule would Number SR–NASDAQ–2020–016. This Pursuant to Section 19(b)(1) of the permit transfers upon the occurrence of file number should be included on the Securities Exchange Act of 1934 significant, non-recurring events. The subject line if email is used. To help the (‘‘Act’’),1 and Rule 19b–4 thereunder,2 proposed rule change is similar to Cboe Commission process and review your notice is hereby given that on April 7, Rule 6.7.3 2020, Nasdaq ISE, LLC (‘‘ISE’’ or 25 17 CFR 240.19b–4(f)(6)(iii). ‘‘Exchange’’) filed with the Securities 3 See Securities and Exchange Act Release No. 26 See CBOE Rule 6.7. and Exchange Commission 88424 (March 19, 2020), 85 FR 16981 (March 25, 27 For purposes only of waiving the 30-day 2020) (SR–Cboe–2019–035) (Notice of Filing of operative delay, the Commission has also Amendment Nos. 1 and 2 and Order Granting considered the proposed rule’s impact on 28 17 CFR 200.30–3(a)(12). Accelerated Approval of a Proposed Rule Change, efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). as Modified by Amendment Nos. 1 and 2, Regarding 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. Off-Floor Position Transfers).

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Permissible Transfers company, corporation, limited liability same Market Maker account at the The Exchange proposes to adopt new company, trust or unincorporated Clearing Corporation. In such instances, Options 6, Section 5 titled ‘‘Transfer of organization, or any governmental entity all Market Maker positions in the or agency or political subdivision exchange-specific accounts for the Positions’’ to provide for the 5 circumstances pursuant to which thereof.’’ The proposed rule change multiply listed class would be Members may transfer their options makes clear that the transferred automatically transferred on their trade positions without first exposing the positions must be on, from, or to the date into one central Market Maker order. This rule states that a Member books of a Clearing Member. The account (commonly referred to as a proposed rule change states that existing must be on at least one side of the ‘‘universal account’’) at the Clearing positions of a Member or a non-Member transfer. This rule is similar to CBOE Corporation. Positions cleared into a may be subject to an transfer, except Rule 6.7. Currently, ISE has no rule that universal account would automatically under specified circumstances in which specifically addresses transfers. net against each other. Options a transfer may only be effected for The Exchange proposes to provide at exchanges permit different naming positions of a Member.6 The Exchange proposed Options 6, Section 5(a), conventions with respect to Market notes transfers of positions in Exchange- ‘‘Permissible Transfers. Existing Maker account acronyms (for example, listed options may also be subject to positions in options listed on the lettering versus numbering and number applicable laws, rules, and regulations, Exchange of a Member or non-Member of characters), which are used for including rules of other self-regulatory that are to be transferred on, from, or to accounts at the Clearing Corporation. A organizations.7 Except as explicitly the books of a Clearing Member may be Market Maker may have a nominee with provided in the proposed rule text, the transferred off the Exchange if the an appointment in class XYZ on Phlx, proposed rule change is not intended to transfer involves one or more of the and have another nominee with an exempt position transfers from any following events: appointment in class XYZ on ISE, but other applicable rules or regulations, (1) Pursuant to Options 9, Section 5, due to account acronym naming and proposed paragraph (h) makes this an adjustment or transfer in connection conventions, those nominees may need clear in the rule. to clear their transactions into separate with the correction of a bona fide error Proposed Options 6, Section (b) in the recording of a transaction or the accounts (one for Phlx Options codifies Exchange guidance regarding transactions and another for ISE transferring of a position to another certain restrictions on permissible account, provided that the original trade transactions) at the Clearing Corporation transfers related to netting of open rather into a universal account (in documentation confirms the error; positions and to margin and haircut (2) the transfer of positions from one which account the positions may net). treatment, unless otherwise permitted The proposed rule change permits account to another account where no by proposed paragraph (f). No position change in ownership is involved (i.e., transfers from these separate exchange- may net against another position specific accounts into the Market accounts of the same Person, provided (‘‘netting’’), and no position transfer the accounts are not in separate Maker’s universal account in this may result in preferential margin or circumstance to achieve this purpose. aggregation units or otherwise subject to haircut treatment.8 Netting occurs when information barrier or account long positions and short positions in the Transfer Price segregation requirements; same series ‘‘offset’’ against each other, Proposed Options 6, Section 5(c) (3) the consolidation of accounts leaving no or a reduced position. For states the transfer price, to the extent it where no change in ownership is example, if a Member wanted to transfer is consistent with applicable laws, rules, involved; 100 long calls to another account that and regulations, including rules of other (4) a merger, acquisition, contained short calls of the same self-regulatory organizations, and tax consolidation, or similar non-recurring options series as well as other positions, and accounting rules and regulations, at transaction for a Person; even if the transfer is permitted which an transfer is effected may be: (1) (5) the dissolution of a joint account pursuant to one of the 10 permissible The original trade prices of the positions in which the remaining Member events listed in the proposed Rule, the that appear on the books of the trading assumes the positions of the joint Member could not transfer the offsetting Clearing Member, in which case the account; series, as they would net against each records of the transfer must indicate the (6) the dissolution of a corporation or other and close the positions.9 original trade dates for the positions; partnership in which a former nominee However, netting is permitted for provided, transfers to correct bona fide of the corporation or partnership transfers on behalf of a Market Maker errors pursuant to proposed assumes the positions; account for transactions in multiply subparagraph (a)(1) must be transferred (7) positions transferred as part of a listed options series on different options at the correct original trade prices; (2) Member’s capital contribution to a new exchanges, but only if the Market Maker mark-to-market prices of the positions at joint account, partnership, or nominees are trading for the same the close of trading on the transfer date; corporation; Member, and the options transactions (3) mark-to-market prices of the (8) the donation of positions to a not- on the different options exchanges clear positions at the close of trading on the for-profit corporation; into separate exchange-specific accounts trade date prior to the transfer date; 10 or (9) the transfer of positions to a minor because they cannot easily clear into the under the Uniform Gifts to Minors Act; (4) the then-current market price of the or positions at the time the transfer is 5 See Cboe Rule 1.1. effected.11 (10) the transfer of positions through 6 See proposed Options 6, Section 5(a)(5) and (7). This proposed rule change provides operation of law from death, 7 See proposed Options 6, Section 5(h). market participants that effect bankruptcy, or otherwise.4 8 For example, positions may not transfer from a transactions with flexibility to select a The Exchange proposes to define customer, joint back office, or firm account to a ‘‘Person’’ as ‘‘an individual, partnership Market Maker account. However, positions may transfer from a Market Maker account to a customer, 10 For example, for a transfer that occurs on a (general or limited), joint stock joint back office, or firm account (assuming no Tuesday, the transfer price may be based on the netting of positions occurs). closing market price on Monday. 4 See Cboe Rule 6.7(a). 9 See Cboe Rule 6.7(b). 11 See Cboe Rule 6.7(c).

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transfer price based on circumstances of each Clearing Member that is a party to 6, Section 5 is only applicable to the transfer and their business. a transfer must make and retain records positions in options listed on the However, for corrections of bona fide of the information provided in the Exchange. Transfers of positions in errors, because those transfers are written notice to the Exchange pursuant Exchange-listed options may also be necessary to correct processing errors to proposed subparagraph (e)(1), as well subject to applicable laws, rules, and that occurred at the time of transaction, as information on the actual Exchange- regulations, including rules of other those transfers would occur at the listed options that are ultimately self-regulatory organizations. Transfers original transaction price, as the transferred, the actual transfer date, and of non-Exchange listed options and purpose of the transfer is to create the the actual transfer price (and the other financial instruments are not originally intended result of the original trade dates, if applicable), and governed by this Rule.17 transaction. any other information the Exchange may 2. Statutory Basis Prior Written Notice request the Member or Clearing Member provide.14 The Exchange believes that its Proposed Options 6, Section 5(d) proposal is consistent with Section 6(b) requires a Member and its Clearing Presidential Exemption of the Act,18 in general, and furthers the Member (to the extent that the Member Proposed paragraph (f) provides objectives of Section 6(b)(5) of the Act,19 is not self-clearing) to submit to the exemptions approved by the Exchange’s in particular, in that it is designed to Exchange, in a manner determined by Chief Executive Officer or President (or promote just and equitable principles of the Exchange, written notice prior to senior-level designee). Specifically, this trade, to remove impediments to and effecting an transfer from or to the provision is in addition to the perfect the mechanism of a free and account of a Member(s).12 The notice exemptions set forth in proposed open market and a national market must indicate: The Exchange-listed paragraph (a). The Exchange proposes system, and, in general to protect options positions to be transferred; the that the Exchange Chief Executive investors and the public interest. nature of the transaction; the Officer or President (or senior-level Specifically, the Exchange believes enumerated provision(s) under designee) may grant an exemption from the proposed transfer rule is consistent proposed paragraph (a) pursuant to the requirement of this proposed Rule, with the Section 6(b)(5) 20 requirements which the positions are being on his or her own motion or upon that the rules of an exchange be transferred; the name of the application of the Member (with respect designed to prevent fraudulent and counterparty(ies); the anticipated to the Member’s positions) or a Clearing manipulative acts and practices, to transfer date; the method for Member (with respect to positions promote just and equitable principles of determining the transfer price; and any carried and cleared by the Clearing trade, to foster cooperation and other information requested by the Members). The Chief Executive Officer, coordination with persons engaged in Exchange.13 The proposed notice will the President or his or her designee, regulating, clearing, settling, processing ensure the Exchange is aware of all may permit a transfer if necessary or information with respect to, and transfers so that it can monitor and appropriate for the maintenance of a fair facilitating transactions in securities, to review them (including the records that and orderly market and the protection of remove impediments to and perfect the must be retained pursuant to proposed investors and is in the public interest, mechanism of a free and open market paragraph (e)) to determine whether including due to unusual or and a national market system, and, in they are effected in accordance with the extraordinary circumstances. For general, to protect investors and the Rules. example, an exemption may be granted public interest. Additionally, the Additionally, requiring notice from if the market value of the Person’s Exchange believes the proposed rule the Member(s) and its Clearing positions would be compromised by change is consistent with the Section Member(s) will ensure both parties are having to comply with the requirement 6(b)(5) 21 requirement that the rules of in agreement with respect to the terms to trade on the Exchange pursuant to the an exchange not be designed to permit of the transfer. As noted in proposed normal auction process or when, in the unfair discrimination between subparagraph (d)(2), receipt of notice of judgment of the Chief Executive Officer, customers, issuers, brokers, or dealers. a transfer does not constitute a President or his or her designee, market The Exchange believes that permitting determination by the Exchange that the conditions make trading on the transfers under new Options 6, Section transfer was effected or reported in Exchange impractical.15 5 in very limited circumstances is conformity with the requirements of reasonable to allow a Member to proposed Section 10(b). Routine, Recurring Transfers accomplish certain goals efficiently. The Notwithstanding submission of written The Exchange proposes within proposed rule permits transfers in notice to the Exchange, Members and Options 6, Section 5(g) that the transfer situations involving dissolutions of Clearing Members that effect transfers procedure set forth in Options 6, entities or accounts, for purposes of that do not conform to the requirements Section 5 is intended to facilitate non- donations, mergers or by operation of of proposed Section 10(b) will be routine, nonrecurring movements of law. For example, a Member that is subject to appropriate disciplinary positions.16 The transfer procedure is undergoing a structural change and a action in accordance with the Rules. not to be used repeatedly or routinely in one-time movement of positions may Records circumvention of the normal auction require a transfer of positions or a market process. Member that is leaving a firm that will Similarly, proposed Options 6, no longer be in business may require a Exchange-Listed Options Section 5(e) requires each Member and transfer of positions to another firm. The Exchange proposes within Also, a Member may require a transfer 12 This notice provision applies only to transfers Options 6, Section 5(h) notes that the involving a Member’s positions and not to positions transfer procedure set forth in Options 17 of non-Member parties, as they are not subject to See Cboe Rule 6.7(h). the Rules. In addition, no notice would be required 18 15 U.S.C. 78f(b). to effect transfers to correct bona fide errors 14 See Cboe Rule 6.7(e). 19 15 U.S.C. 78f(b)(5). pursuant to proposed subparagraph (a)(1). 15 See Cboe Rule 6.7(f). 20 15 U.S.C. 78f(b)(5). 13 See Cboe Rule 6.7(d). 16 See Cboe Rule 6.7(g). 21 Id.

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of positions to make a capital circumstances such as the market value burdensome to market participants. The contribution. The above-referenced of the Person’s positions will be Exchange believes the proposed circumstances are non-recurring comprised by having to comply with the requirements are reasonable and will situations where the transferor requirement to trade on the Exchange ensure the Exchange is aware of continues to maintain some ownership pursuant to the normal auction process transfers and would be able to monitor interest or manage the positions or, when in the judgment of President and review the transfers to ensure the transferred. By contrast, repeated or or his or her designee, market transfer falls within the proposed rule. routine transfers between entities or conditions make trading on the accounts—even if there is no change in Exchange impractical. These standards Adopting an exemption, similar to beneficial ownership as a result of the within proposed Options 6, Section 5(f) Cboe Rule 6.7, to permit the Exchange’s transfer—is inconsistent with the are intended to provide guidance Chief Executive Officer or President (or purposes for which the proposed rule concerning the use of this exemption senior-level designee) to grant an was adopted. Accordingly, the Exchange which is intended to provide the exemption to Options 6, Section 5(a) believes that such activity should not be Exchange with the ability to utilize the prohibition if, in his or her judgment, permitted under the rules and thus, exemption for the maintenance of a fair does not impose an undue burden on seeks to adopt language in proposed and orderly market and the protection of competition. Circumstances where, due paragraph (f) to proposed Options 6, investors and is in the public interest. to unusual or extraordinary Section 5 that the transfer of positions The Exchange believes that the circumstances such as the market value procedures set forth the proposed rule exemption is consistent with the Act of the Person’s positions would be are intended to facilitate non-recurring because it would allow the Exchange’s comprised by having to comply with the movements of positions. Chief Executive Officer or President (or requirement to trade on the Exchange The proposed rule change will senior-level designee) to act in certain pursuant to the normal auction process provide market participants that situations which comply with the or, would be taken into consideration in experience these limited, non-recurring guidance within Options 6, Section 5(f) each case where, in the judgment of the events with an efficient and effective which are intended to protect investors Exchange’s Chief Executive Officer or means to transfer positions in these and the general public. While Cboe President (or senior-level designee), situations. The Exchange believes the grants an exemption to the President (or market conditions make trading on the 22 proposed rule change regarding senior-level designee), the Exchange Exchange impractical. permissible transfer prices provides has elected to grant an exemption to market participants with flexibility to Exchange’s Chief Executive Officer or The Exchange does not believe the determine the price appropriate for their President (or senior-level designee), proposed rule change will impose an business, which maintain cost bases in who are similarly situated with the undue burden on inter-market accordance with normal accounting organization as senior-level individuals. competition. The proposed position practices and removes impediments to a transfer procedure is not intended to be free and open market. B. Self-Regulatory Organization’s a competitive trading tool. The The proposed rule change which Statement on Burden on Competition proposed rule change permits, in requires notice and maintenance of The Exchange does not believe that limited circumstances, a transfer to records will ensure the Exchange is able the proposed rule change will impose facilitate non-routine, nonrecurring to review transfers for compliance with any burden on competition that is not movements of positions. As provided the Rules, which prevents fraudulent necessary or appropriate in furtherance for in proposed Options 6, Section 5(g), and manipulative acts and practices. of the purposes of the Act. it would not be used repeatedly or The requirement to retain records is The Exchange does not believe the routinely in circumvention of the consistent with the requirements of Rule proposed rule change will impose an normal auction market process. 17a–3 and 17a–4 under the Act. undue burden on intra-market Proposed Options 6, Section 5(a) Similar to Cboe Rule 6.7, the competition as the transfer procedure specifically provides within the rule Exchange would permit a presidential may be utilized by any Member and the text that the Exchange’s Chief Executive rule will apply uniformly to all exemption. The Exchange believes that Officer or President (or senior-level this exemption is consistent with the Members. Use of the transfer procedure designee) may in his or her judgment Act because the Exchange’s Chief is voluntary, and all Members may use allow a transfer for the maintenance of Executive Officer or President (or the procedure to transfer positions as a fair and orderly market and the senior-level designee) would consider long as the criteria in the proposed rule an exemption in very limited are satisfied. With this change, a protection of investors and is in the circumstances. The transfer process is Member that experiences limited public interest. The Exchange believes intended to facilitate non-routine, permissible, non-recurring events would that the exemption does not impose an nonrecurring movements of positions have an efficient and effective means to undue burden on competition as the and, therefore, is not to be used transfer positions in these situations. Exchange’s Chief Executive Officer or repeatedly or routinely in The Exchange believes the proposed President (or senior-level designee) circumvention of the normal auction rule change regarding permissible would apply the exemption consistent market process. Proposed Options 6, transfer prices provides market with the guidance within Options 6, Section 5(f) specifically provides within participants with flexibility to Section 5(f). Additionally, as discussed the rule text that the Exchange’s Chief determine the price appropriate for their above, the proposed rule change is Executive Officer or President (or business, which determine prices in similar to Cboe Rule 6.7. The Exchange senior-level designee) may in his or her accordance with normal accounting believes having similar rules related to judgment allow a transfer if it is practices and removes impediments to a transfer positions to those of other necessary or appropriate for the free and open market. The Exchange options exchanges will reduce the maintenance of a fair and orderly does not believe the proposed notice administrative burden on market market and the protection of investors and record requirements are unduly participants of determining whether and is in the public interest, including their transfers comply with multiple due to unusual or extraordinary 22 See Cboe Rule 6.7(f). sets of rules.

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C. Self-Regulatory Organization’s the purposes of the Act. If the Number SR–ISE–2020–16 and should be Statement on Comments on the Commission takes such action, the submitted on or before May 13, 2020. Proposed Rule Change Received From Commission shall institute proceedings For the Commission, by the Division of Members, Participants, or Others to determine whether the proposed rule Trading and Markets, pursuant to delegated No written comments were either should be approved or disapproved. authority.28 solicited or received. IV. Solicitation of Comments J. Matthew DeLesDernier, Assistant Secretary. III. Date of Effectiveness of the Proposed Rule Change and Timing for Interested persons are invited to [FR Doc. 2020–08491 Filed 4–21–20; 8:45 am] Commission Action submit written data, views, and BILLING CODE 8011–01–P arguments concerning the foregoing, Because the foregoing proposed rule including whether the proposed rule change does not: (i) Significantly affect change is consistent with the Act. SECURITIES AND EXCHANGE the protection of investors or the public Comments may be submitted by any of COMMISSION interest; (ii) impose any significant the following methods: burden on competition; and (iii) become [Release No. 34–88663; File No. SR– operative for 30 days from the date on Electronic Comments CboeEDGX–2020–010] which it was filed, or such shorter time • Self-Regulatory Organizations; Cboe as the Commission may designate, it has Use the Commission’s internet comment form (http://www.sec.gov/ EDGX Exchange, Inc; Notice of become effective pursuant to Section Designation of Longer Period for 23 rules/sro.shtml); or 19(b)(3)(A)(iii) of the Act and Commission Action on Proposed Rule • subparagraph (f)(6) of Rule 19b–4 Send an email to rule-comments@ Change To Amend EDGX Rule 11.8(g), 24 thereunder. sec.gov. Please include File Number SR– Which Describes the Handling of A proposed rule change filed under ISE–2020–16 on the subject line. MidPoint Discretionary Orders Entered Rule 19b–4(f)(6) normally does not on the Exchange become operative for 30 days from the Paper Comments date of filing. However, Rule 19b– • April 16, 2020. 25 Send paper comments in triplicate 4(f)(6)(iii) permits the Commission to to Secretary, Securities and Exchange On February 19, 2020, Cboe EDGX designate a shorter time if such action Commission, 100 F Street NE, Exchange, Inc. (‘‘EDGX’’ or the is consistent with the protection of Washington, DC 20549–1090. ‘‘Exchange’’) filed with the Securities investors and the public interest. The and Exchange Commission Exchange has asked the Commission to All submissions should refer to File (‘‘Commission’’), pursuant to Section waive the 30-day operative delay. The Number SR–ISE–2020–16. This file 19(b)(1) of the Securities Exchange Act Commission notes that waiver of the number should be included on the of 1934 (‘‘Act’’) 1 and Rule 19b–4 operative delay would provide Members subject line if email is used. To help the thereunder,2 a proposed rule change to with the ability to request a transfer, for Commission process and review your amend EDGX Rule 11.8(g), which limited, non-recurring types of transfers, comments more efficiently, please use describes the handling of MidPoint without the need for exposing those only one method. The Commission will Discretionary Orders entered on the orders on the Exchange, similar to post all comments on the Commission’s Exchange. The proposed rule change Cboe.26 The Commission believes that internet website (http://www.sec.gov/ was published for comment in the waiver of the 30-day operative delay is rules/sro.shtml). Copies of the Federal Register on March 6, 2020.3 The consistent with the protection of submission, all subsequent Commission has received no comments investors and the public interest. amendments, all written statements on the proposal. Accordingly, the Commission waives with respect to the proposed rule Section 19(b)(2) of the Act 4 provides the 30-day operative delay and change that are filed with the that within 45 days of the publication of designates the proposed rule change Commission, and all written notice of the filing of a proposed rule operative upon filing.27 communications relating to the change, or within such longer period up At any time within 60 days of the proposed rule change between the to 90 days as the Commission may filing of the proposed rule change, the Commission and any person, other than designate if it finds such longer period Commission summarily may those that may be withheld from the to be appropriate and publishes its temporarily suspend such rule change if public in accordance with the reasons for so finding or as to which the it appears to the Commission that such provisions of 5 U.S.C. 552, will be self-regulatory organization consents, action is necessary or appropriate in the available for website viewing and the Commission shall either approve the public interest, for the protection of printing in the Commission’s Public proposed rule change, disapprove the investors, or otherwise in furtherance of Reference Room, 100 F Street NE, proposed rule change, or institute Washington, DC 20549, on official proceedings to determine whether the 23 15 U.S.C. 78s(b)(3)(A)(iii). business days between the hours of proposed rule change should be 24 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 10:00 a.m. and 3:00 p.m. Copies of the disapproved. The 45th day for this filing 4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file filing also will be available for is April 20, 2020. the proposed rule change at least five business days inspection and copying at the principal The Commission is extending the 45- prior to the date of filing of the proposed rule office of the Exchange. All comments day time period for Commission action change, or such shorter time as designated by the received will be posted without change. on the proposed rule change. The Commission. The Exchange has satisfied this Commission finds that it is appropriate requirement. Persons submitting comments are 25 17 CFR 240.19b–4(f)(6)(iii). cautioned that we do not redact or edit 28 26 See CBOE Rule 6.7. personal identifying information from 17 CFR 200.30–3(a)(12). 1 27 For purposes only of waiving the 30-day comment submissions. You should 15 U.S.C. 78s(b)(1). 2 operative delay, the Commission has also submit only information that you wish 17 CFR 240.19b–4. considered the proposed rule’s impact on 3 See Securities Exchange Act Release No. 88309 efficiency, competition, and capital formation. See to make available publicly. All (March 2, 2020), 85 FR 13193. 15 U.S.C. 78c(f). submissions should refer to File 4 15 U.S.C. 78s(b)(2).

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to designate a longer period within [email protected] and serving applicants successors,1 or any entity controlling, which to take action on the proposed with a copy of the request by email. controlled by, or under common control rule change so that it has sufficient time Hearing requests should be received by with the Adviser, or its successors, acts to consider the proposed rule change. the Commission by 5:30 p.m. on May as investment adviser, and which Accordingly, pursuant to Section 11, 2020, and should be accompanied provides periodic liquidity with respect 19(b)(2) of the Act,5 the Commission by proof of service on the applicants, in to its Shares through tender offers designates June 4, 2020, as the date by the form of an affidavit or, for lawyers, conducted in compliance with either which the Commission shall either a certificate of service. rule 23c–3 under the 1940 Act or rule approve or disapprove, or institute Pursuant to rule 0–5 under the 1940 13e–4 under the Securities Exchange proceedings to determine whether to Act, hearing requests should state the Act of 1934 (the ‘‘1934 Act’’) (each such disapprove, the proposed rule change nature of the writer’s interest, any facts closed-end management investment (File No. SR–CboeEDGX–2020–010). bearing upon the desirability of a company a ‘‘Future Fund’’ and, together For the Commission, by the Division of hearing on the matter, the reason for the with the Initial Fund, each a ‘‘Fund,’’ Trading and Markets, pursuant to delegated request, and the issues contested. and collectively the ‘‘Funds’’).2 authority.6 Persons who wish to be notified of a 5. The Initial Fund currently issues a J. Matthew DeLesDernier, hearing may request notification by single class of Shares (the ‘‘Initial Class Assistant Secretary. emailing the Commission’s Secretary at Shares’’). The Initial Class Shares are [FR Doc. 2020–08485 Filed 4–21–20; 8:45 am] [email protected]. currently being offered on a continuous basis pursuant to a registration BILLING CODE 8011–01–P ADDRESSES: The Commission: statement under the Securities Act of [email protected]. Applicants: 1933 at their net asset value per share. c/o Mike Nguyen, by email to The Initial Fund, as a closed-end SECURITIES AND EXCHANGE [email protected]. COMMISSION management investment company, does FOR FURTHER INFORMATION CONTACT: Jay not continuously redeem Shares as does [Investment Company Act Release No. M. Williamson, Senior Counsel, at (202) an open-end management investment 33840; File No. 812–15067] 551–3393, or David Nicolardi, Branch company. Shares of the Initial Fund are KKR Credit Opportunities Portfolio and Chief, at (202) 551–6825 (Division of not listed on any securities exchange KKR Credit Advisors (US) LLC Investment Management, Chief and do not trade on an over-the-counter Counsel’s Office). system. Applicants do not expect that April 16, 2020. SUPPLEMENTARY INFORMATION: The any secondary market will ever develop AGENCY: Securities and Exchange following is a summary of the for the Shares. Commission (the ‘‘Commission’’). application. The complete application 6. If the requested relief is granted, the ACTION: Notice. may be obtained by searching the Initial Fund intends to offer multiple Commission’s website, at http:// classes of Shares, such as the Initial Notice of an application for an order Class Shares and a new Share class (the pursuant to section 6(c) of the www.sec.gov/search/search.htm, using the application’s file number or the ‘‘New Class Shares’’), or any other Investment Company Act of 1940 (the classes. Because of the different ‘‘1940 Act’’) for an exemption from applicant’s name, or by calling the Commission at (202) 551–8090. distribution fees, shareholder services sections 18(a)(2), 18(c), and 18(i) of the fees, and any other class expenses that 1940 Act, pursuant to section 6(c) and Applicants’ Representations may be attributable to the different 23(c) of the 1940 Act for an exemption classes, the net income attributable to, 1. The Initial Fund is a newly from rule 23c–3 under the 1940 Act, and and any dividends payable on, each organized Delaware statutory trust that for an order pursuant to section 17(d) of, class of Shares may differ from each is registered under the 1940 Act as a and rule 17d–1 under, the 1940 Act. other from time to time. closed-end management investment Summary of Application: Applicants 7. Applicants state that, from time to company and classified as a non- request an order to permit certain time, the Board of a Fund may create diversified investment company. The registered closed-end management and offer additional classes of Shares, or Initial Fund’s investment objective is to investment companies to issue multiple may vary the characteristics described seek to provide attractive risk-adjusted classes of shares of beneficial interest of the Initial Class and New Class returns and high current income. (‘‘Shares’’) and to impose asset-based Shares, including without limitation, in service and/or distribution fees and 2. The Adviser, a Delaware organized the following respects: (1) The amount early withdrawal charges. limited liability company, is registered of fees permitted by a distribution and Applicants: KKR Credit Opportunities as an investment adviser under the service plan as to such class; (2) voting Portfolio (the ‘‘Initial Fund’’) and KKR Investment Advisers Act of 1940. The rights with respect to a distribution and Credit Advisors (US) LLC (the Adviser serves as investment adviser to service plan as to such class; (3) ‘‘Adviser’’). the Initial Fund. Filing Dates: The application was different class designations; (4) the 3. The applicants seek an order to impact of any class expenses directly filed on September 11, 2019, and permit the Initial Fund to offer investors amended and restated on December 16, attributable to a particular class of multiple classes of Shares with varying Shares allocated on a class basis as 2019. sales loads and asset-based service and/ Hearing or Notification of Hearing: An or distribution fees and to impose early 1 order granting the requested relief will A successor in interest is limited to an entity withdrawal charges. that results from a reorganization into another be issued unless the Commission orders jurisdiction or a change in the type of business a hearing. Interested persons may 4. Applicants request that the order organization. request a hearing by emailing the also apply to any other registered 2 The Initial Fund and any Future Fund relying Commission’s Secretary at Secretarys- closed-end management investment on the requested relief will do so in compliance company that conducts a continuous with the terms and conditions of the application. Applicants represent that any person presently 5 15 U.S.C. 78s(b)(2). offering of its shares, existing now or in intending to rely on the requested relief is listed as 6 17 CFR 200.30–3(a)(31). the future, for which the Adviser, its an applicant.

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described in the application; (5) transaction confirmations about the shareholders an exchange feature under differences in any dividends and net costs and conflicts of interest arising out which the shareholders of the Fund asset values per Share resulting from of the distribution of open-end may, in connection with the Fund’s differences in fees under a distribution management investment company periodic repurchase offers, exchange and service plan or in class expenses; shares, and regarding prospectus their Shares of the Fund for shares of (6) any early withdrawal charge or other disclosure of sales loads and revenue the same class of (i) Registered open-end sales load structure; and (7) any sharing arrangements as if those management investment companies or exchange or conversion features, as requirements apply to the Fund and the (ii) other registered closed-end permitted under the 1940 Act. Distributor. Each Fund or the investment companies that comply with 8. Applicants state that, in order to Distributor will contractually require rule 23c–3 under the 1940 Act and provide some liquidity to shareholders, that any other distributor of the Fund’s continuously offer their shares at net the Initial Fund is structured as an Shares comply with such requirements asset value, that are in the Fund’s group ‘‘interval fund’’ and makes quarterly in connection with the distribution of of investment companies (collectively, offers to repurchase between five Shares of the Fund. the ‘‘Other Funds’’). Shares of a Fund 11. All expenses incurred by a Fund percent and twenty-five percent of its operating pursuant to rule 23c–3 that will be allocated among its various outstanding Shares at net asset value, are exchanged for shares of Other Funds pursuant to rule 23c–3 under the 1940 classes of Shares based on the net assets of the Fund attributable to each class, will be included as part of the Act, unless such offer is suspended or repurchase offer amount for such Fund postponed in accordance with except that the net asset value and as specified in rule 23c–3 under the regulatory requirements. Any other expenses of each class will reflect the 1940 Act. Any exchange option will investment company that intends to rely expenses associated with the comply with rule 11a–3 under the 1940 on the requested relief will provide distribution and service plan of that Act, as if the Fund were an open-end periodic liquidity to shareholders in class (if any), shareholder services fees management investment company accordance with either rule 23c–3 under attributable to a particular class the 1940 Act or rule 13e–4 under the (including transfer agency fees, if any), subject to rule 11a–3. In complying with 1934 Act. and any other incremental expenses of rule 11a–3 under the 1940 Act, each 9. Applicants represent that any asset- that class. Expenses of a Fund allocated Fund will treat an early withdrawal based distribution and servicing fee of a to a particular class of the Fund’s Shares charge as if it were a contingent deferred Fund will comply with the provisions of will be borne on a pro rata basis by each sales load (a ‘‘CDSL’’).7 Rule 2341 of the Rules of the Financial outstanding Share of that class. 15. Applicants state that the Initial Industry Regulatory Authority (‘‘FINRA Applicants state that each Fund will Fund does not currently, nor does it Rule 2341’’).3 Applicants also represent comply with the provisions of rule 18f- currently intend to, impose a repurchase that each Fund will disclose in its 3 under the 1940 Act as if it were an fee, but may do so in the future.8 If a prospectus the fees, expenses, and other open-end management investment Fund charges a repurchase fee, Shares of characteristics of each class of Shares company. the Fund will be subject to a repurchase 12. Applicants state that the Initial offered for sale by the prospectus, as is fee at a rate of no greater than two Fund does not intend to offer any required for open-end, multiple class percent of the shareholder’s repurchase exchange privilege or conversion funds under Form N–1A. As if it were proceeds if the interval between the date an open-end management investment feature, but any such privilege or feature introduced in the future by a Fund will of purchase of the Shares and the company, each Fund will disclose fund valuation date with respect to the expenses borne by shareholders during comply with rule 11a–1, rule 11a–3, and rule 18f–3 as if the Fund were an open- repurchase of those Shares is less than the reporting period in shareholder one year. Repurchase fees, if charged, reports 4 and describe in its prospectus end management investment company. 13. Applicants state that the Initial will equally apply to all classes of any arrangements that result in Fund does not currently impose, nor Shares of the Fund, consistent with breakpoints in, or elimination of, sales does it currently intend to impose, an section 18 of the 1940 Act and rule 18f– loads.5 In addition, applicants will early withdrawal charge. In the future, 3 thereunder. To the extent a Fund comply with applicable enhanced fee however, a Fund may impose an early determines to waive, impose scheduled disclosure requirements for fund of withdrawal charge on shares submitted variations of, or eliminate a repurchase funds, including registered funds of for repurchase that have been held less fee, it will do so consistently with the hedge and private equity funds.6 than a specified period. Each Fund may requirements of rule 22d–1 under the 10. Each Fund and its distributor (the waive the early withdrawal charges on 1940 Act as if the repurchase fee were ‘‘Distributor’’) will also comply with repurchases for certain categories of any requirements that may be adopted a CDSL and as if the Fund were a shareholders or transactions to be by the Commission or FINRA regarding registered open-end management established from time to time. disclosure at the point of sale and in investment company. In addition, the Applicants state that each Fund will Fund’s waiver of, scheduled variation apply the early withdrawal charge (and 3 Any references to FINRA Rule 2341include any in, or elimination of the repurchase fee successor or replacement rule that may be adopted any waivers or scheduled variations of by FINRA. the early withdrawal charge) uniformly 7 A CDSL, assessed by an open-end fund pursuant 4 Shareholder Reports and Quarterly Portfolio to all shareholders in a given class and to Rule 6c–10 under the 1940 Act, is a distribution- Disclosure of Registered Management Investment consistently with the requirements of related charge payable to the distributor. Pursuant Companies, Investment Company Act Release No. to the requested order, the early withdrawal charge 26372 (Feb. 27, 2004) (adopting release). rule 22d–1 under the 1940 Act as if the will likewise be a distribution-related charge 5 Disclosure of Breakpoint Discounts by Mutual Fund were an open-end management payable to the distributor as distinguished from a Funds, Investment Company Act Release No. 26464 investment company. repurchase fee which is payable to a Fund. (June 7, 2004) (adopting release). 14. The Initial Fund, operating as an 8 Unlike a distribution-related charge, the 6 Fund of Funds Investments, Investment interval fund pursuant to rule 23c–3 repurchase fee is payable to the Fund to Company Act Release Nos. 26198 (Oct. 1, 2003) compensate long-term shareholders for the (proposing release) and 27399 (June 20, 2006) under the 1940 Act, does not presently expenses related to shorter-term investors, in light (adopting release). See also rules 12d1–1, et seq. intend to, but a Fund (including the of the Fund’s generally longer-term investment under the 1940 Act. Initial Fund in the future) may, offer its horizons and investment operations.

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will apply uniformly to all shareholders and provisions of the 1940 Act. 4. Applicants request relief under of the Fund regardless of class. Applicants request an exemption under section 6(c), discussed above, and section 6(c) from sections 18(a)(2), 18(c), section 23(c)(3) from rule 23c–3 to the Applicants’ Legal Analysis and 18(i) to permit the Funds to issue extent necessary for each Fund to Multiple Classes of Shares multiple classes of Shares. impose early withdrawal charges on 5. Applicants submit that the 1. Section 18(a)(2)(A) and (B) makes it shares of the Fund submitted for proposed allocation of expenses relating unlawful for a registered closed-end repurchase that have been held for less to distribution and voting rights is management investment company to than a specified period. equitable and will not discriminate 5. Applicants state that the early issue a senior security that is a stock against any group or class of withdrawal charges they intend to unless (a) immediately after such shareholders. Applicants submit that impose are functionally similar to issuance it will have an asset coverage the proposed arrangements would CDSLs imposed by open-end of at least 200% and (b) provision is permit each Fund to facilitate the management investment companies made to prohibit the declaration of any distribution of its Shares and provide under rule 6c–10 under the 1940 Act. distribution upon its common stock, or investors with a broader choice of Rule 6c–10 permits open-end the purchase of any such common stock, shareholder options. Applicants assert management investment companies to unless in every such case such senior that the proposed closed-end impose CDSLs, subject to certain security has at the time of the management investment company conditions. Applicants note that rule declaration of any such distribution, or multiple class structure does not raise 6c–10 is grounded in policy at the time of any such purchase, an the concerns underlying section 18 of considerations supporting the asset coverage of at least 200% after the 1940 Act to any greater degree than employment of CDSLs where there are deducting the amount of such open-end management investment adequate safeguards for the investor. distribution or purchase price, as the companies’ multiple class structures Applicants state that these same policy case may be. Applicants state that the that are permitted by rule 18f–3 under considerations support imposition of creation of multiple classes of Shares of the 1940 Act. Applicants state that each early withdrawal charges in the interval the Funds may violate section 18(a)(2) Fund will comply with the provisions of fund context, and are a solid basis for because the Funds may not meet section rule 18f–3 as if it were an open-end the Commission to grant exemptive 18(a)(2)’s requirements with respect to a management investment company. relief to permit interval funds to impose class of Shares that may be a senior early withdrawal charges. In addition, Early Withdrawal Charges security. applicants state that early withdrawal 2. Section 18(c) of the 1940 Act 1. Section 23(c) of the 1940 Act charges may be necessary for the Fund’s provides, in relevant part, that a provides, in relevant part, that no Distributor to recover distribution costs registered closed-end management registered closed-end management from shareholders who exit their investment company may not issue or investment company shall purchase investments early. Applicants represent sell any senior security which is a stock securities of which it is the issuer, that any early withdrawal charge if immediately thereafter the company except: imposed by a Fund will comply with will have outstanding more than one (a) On a securities exchange or other rule 6c–10 under the 1940 Act as if the class of senior security that is a stock. open market; (b) pursuant to tenders, rule were applicable to closed-end Applicants state that the creation of after reasonable opportunity to submit management investment companies. multiple classes of Shares of a Fund tenders given to all holders of securities Each Fund will disclose early may be prohibited by section 18(c), as of the class to be purchased; or (c) under withdrawal charges in accordance with a class may have priority over another other circumstances as the Commission the requirements of Form N–1A class as to payment of dividends may permit by rules and regulations or concerning CDSLs. because shareholders of different classes orders for the protection of investors. would pay different fees and expenses. 2. Rule 23c–3 under the 1940 Act Asset-Based Service and/or Distribution 3. Section 18(i) of the 1940 Act permits an interval fund to make Fees generally provides that each share of repurchase offers of between five and 1. Section 17(d) of, and rule 17d–1 stock issued by a registered management twenty-five percent of its outstanding under, the 1940 Act prohibit an investment company will be a voting shares at net asset value at periodic affiliated person of a registered stock and have equal voting rights with intervals pursuant to a fundamental investment company, or an affiliated every other outstanding voting stock. policy of the interval fund. Rule 23c– person of such person, acting as Applicants state that permitting 3(b)(1) under the 1940 Act permits an principal, from participating in or multiple classes of Shares of a Fund interval fund to deduct from repurchase effecting any transaction in connection may violate section 18(i) of the 1940 Act proceeds only a repurchase fee, not to with any joint enterprise or other joint because each class would be entitled to exceed two percent of the proceeds, that arrangement in which the investment exclusive voting rights with respect to is paid to the interval fund and is company participates unless the matters solely related to that class. reasonably intended to compensate the Commission issues an order permitting 4. Section 6(c) of the 1940 Act fund for expenses directly related to the the transaction. In reviewing provides that the Commission may repurchase. applications submitted under section exempt any person, security, or 3. Section 23(c)(3) of the 1940 Act 17(d) and rule 17d–1, the Commission transaction, or any class or classes of provides that the Commission may issue considers whether the participation of persons, securities, or transactions, from an order that would permit a closed-end the investment company in a joint any provision of the 1940 Act, or from management investment company to enterprise or joint arrangement is any rule or regulation under the 1940 repurchase its shares in circumstances consistent with the provisions, policies, Act, if and to the extent that such in which the repurchase is made in a and purposes of the 1940 Act, and the exemption is necessary or appropriate manner or on a basis that does not extent to which the participation is on in the public interest and consistent unfairly discriminate against any a basis different from or less with the protection of investors and the holders of the class or classes of advantageous than that of other purposes fairly intended by the policy securities to be purchased. participants.

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2. Rule 17d–3 under the 1940 Act SECURITIES AND EXCHANGE with a copy of the request by email. provides an exemption from section COMMISSION Hearing requests should be received by 17(d) and rule 17d–1 to permit open- the Commission by 5:30 p.m. on May [Investment Company Act Release No. 11, 2020, and should be accompanied end management investment companies 33841; File No. 812–15082] to enter into distribution arrangements by proof of service on applicants, in the pursuant to rule 12b–1 under the 1940 American Century ETF Trust, et al. form of an affidavit or, for lawyers, a Act. Applicants request an order under certificate of service. Pursuant to rule 0– section 17(d) of, and rule 17d–1 under, April 16, 2020. 5 under the Act, hearing requests should the 1940 Act, to the extent necessary, to AGENCY: Securities and Exchange state the nature of the writer’s interest, permit each Fund to impose asset–based Commission (‘‘Commission’’). any facts bearing upon the desirability service and/or distribution fees (in a ACTION: Notice. of a hearing on the matter, the reason for manner similar to rule 12b–1 fees for an the request, and the issues contested. open–end management investment Notice of an application for an order Persons who wish to be notified of a company). Applicants have agreed to under section 6(c) of the Investment hearing may request notification by comply with rules 12b–1 and 17d–3 as Company Act of 1940 (‘‘Act’’) for an emailing the Commission’s Secretary at if those rules apply to closed–end exemption from sections 2(a)(32), [email protected]. management investment companies, 5(a)(1), 22(d) and 22(e) of the Act and ADDRESSES: The Commission: which they believe will resolve any rule 22c–1 under the Act, under [email protected]. Applicants: concerns that might arise in connection sections 6(c) and 17(b) of the Act for an American Century ETF Trust and with a Fund financing the distribution exemption from sections 17(a)(1) and American Century Investment of its Shares through asset-based service 17(a)(2) of the Act, and under section Management, Inc., chuck_etherington@ and/or distribution fees. 12(d)(1)(J) of the Act for an exemption americancentury.com. from sections 12(d)(1)(A) and For the reasons stated above, FOR FURTHER INFORMATION CONTACT: Erin 12(d)(1)(B) of the Act. applicants submit that the exemptions Loomis Moore, Senior Counsel, at (202) Applicants: American Century ETF requested under section 6(c) are 551–6721 or Andrea Ottomanelli Trust (the ‘‘Trust’’) and American necessary and appropriate in the public Magovern, Branch Chief, at (202) 551– Century Investment Management, Inc. interest and are consistent with the 6825 (Division of Investment (the ‘‘Adviser’’). protection of investors and the purposes Management, Chief Counsel’s Office). Summary of Application: Applicants fairly intended by the policy and request an order (‘‘Order’’) that permits: SUPPLEMENTARY INFORMATION: The provisions of the 1940 Act. (a) The Funds (defined below) to issue following is a summary of the Applicants further submit that the shares (‘‘Shares’’) redeemable in large application. The complete application relief requested pursuant to section aggregations only (‘‘creation units’’); (b) may be obtained via the Commission’s 23(c)(3) will be consistent with the secondary market transactions in Shares website by searching for the file protection of investors and will insure to occur at negotiated market prices number, or for an applicant using the Company name box, at http:// that applicants do not unfairly rather than at net asset value; (c) certain www.sec.gov/search/search.htm or by discriminate against any holders of the Funds to pay redemption proceeds, calling (202) 551–8090. class of securities to be purchased. under certain circumstances, more than Finally, applicants state that the Funds’ seven days after the tender of Shares for Applicants imposition of asset-based service and/or redemption; (d) certain affiliated 1. The Trust is a statutory trust distribution fees is consistent with the persons of a Fund to deposit securities provisions, policies, and purposes of the organized under the laws of the State of into, and receive securities from, the Delaware and will consist of one or 1940 Act and does not involve Fund in connection with the purchase participation on a basis different from or more series operating as a Fund. The and redemption of creation units; and Trust is registered as an open-end less advantageous than that of other (e) certain registered management participants. management investment company investment companies and unit under the Act. Applicants seek relief Applicants’ Condition investment trusts outside of the same with respect to two Funds (as defined group of investment companies as the Applicants agree that any order below, and those Funds, the ‘‘Initial Funds to acquire Shares of the Funds. Funds’’). The Funds will offer exchange- granting the requested relief will be The Order would incorporate by traded shares utilizing active subject to the following condition: reference terms and conditions of a management investment strategies as Each Fund relying on the requested order previous order granting the same relief contemplated by the Reference Order.2 will comply with the provisions of rules 6c– sought by applicants, as that order may 2. The Adviser, a Delaware 10, 12b–1, 17d–3, 18f–3, 22d–1 and, where be amended from time to time corporation, will be the investment applicable, 11a–3 under the 1940 Act, as (‘‘Reference Order’’).1 adviser to the Initial Funds. Subject to amended from time to time or replaced, as if Filing Date: The application was filed those rules applied to closed-end approval by the Fund’s board of management investment companies, and will on December 11, 2019 and amended on trustees, the Adviser (as defined below) comply with FINRA Rule 2341, as amended February 24, 2020 and April 9, 2020. will serve as investment adviser to each from time to time, as if that rule applies to Hearing or Notification of Hearing: An Fund. The Adviser is, and any other all closed-end management investment order granting the requested relief will Adviser will be, registered as an companies. be issued unless the Commission orders investment adviser under the For the Commission, by the Division of a hearing. Interested persons may Investment Advisers Act of 1940 Investment Management, under delegated request a hearing by emailing the (‘‘Advisers Act’’). The Adviser may authority. Commission’s Secretary at Secretarys- enter into sub-advisory agreements with J. Matthew DeLesDernier, [email protected] and serving applicants Assistant Secretary. 2 To facilitate arbitrage, among other things, each 1 Natixis ETF Trust II, et al., Investment Company day a Fund will publish a basket of securities and [FR Doc. 2020–08476 Filed 4–21–20; 8:45 am] Act Rel. Nos. 33684 (November 14, 2019) (notice) cash that, while different from the Fund’s portfolio, BILLING CODE 8011–01–P and 33711 (December 10, 2019) (order). is designed to closely track its daily performance.

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other investment advisers to act as sub- 6. Section 6(c) of the Act provides that Commission (the ‘‘Commission’’) the advisers with respect to the Funds (each the Commission may exempt any proposed rule change as described in a ‘‘Sub-Adviser’’). Any Sub-Adviser to a person, security or transaction, or any Items I and II below, which Items have Fund will be registered under the class of persons, securities or been prepared by the Exchange. The Advisers Act. transactions, from any provisions of the Exchange filed the proposal as a ‘‘non- 3. The Trust will enter into a Act, if and to the extent that such controversial’’ proposed rule change distribution agreement with one or more exemption is necessary or appropriate pursuant to Section 19(b)(3)(A)(iii) of distributors. Each distributor will be a in the public interest and consistent the Act 3 and Rule 19b–4(f)(6) broker-dealer registered under the with the protection of investors and the thereunder.4 The Commission is Securities Exchange Act of 1934, as purposes fairly intended by the policy publishing this notice to solicit amended, and will act as the distributor and provisions of the Act. Section 17(b) comments on the proposed rule change and principal underwriter of Shares of of the Act authorizes the Commission to from interested persons. the Funds. Applicants request that the exempt a proposed transaction from I. Self-Regulatory Organization’s requested relief apply to any distributor section 17(a) of the Act if evidence Statement of the Terms of Substance of of Shares, whether affiliated or establishes that the terms of the the Proposed Rule Change unaffiliated with the Adviser and/or transaction, including the consideration Sub-Adviser. Any distributor will to be paid or received, are reasonable Cboe Exchange, Inc. (the ‘‘Exchange’’ comply with the terms and conditions and fair and do not involve or ‘‘Cboe Options’’) proposes to extend of the Order. overreaching on the part of any person the operation of its SPXPM pilot Applicants’ Requested Exemptive Relief concerned, and the transaction is program. The text of the proposed rule consistent with the policies of the change is provided below. 4. Applicants seek the requested registered investment company and the (additions are italicized; deletions are Order under section 6(c) of the Act for general purposes of the Act. Section [bracketed]) an exemption from sections 2(a)(32), 12(d)(1)(J) of the Act provides that the * * * * * 5(a)(1), 22(d) and 22(e) of the Act and Commission may exempt any person, rule 22c–1 under the Act, under security, or transaction, or any class of Rules of Cboe Exchange, Inc. sections 6(c) and 17(b) of the Act for an persons, securities or transactions, from * * * * * exemption from sections 17(a)(1) and any provision of section 12(d)(1) if the 17(a)(2) of the Act, and under section Rule 4.13. Series of Index Options exemption is consistent with the public 12(d)(1)(J) of the Act for an exemption * * * * * interest and the protection of investors. from sections 12(d)(1)(A) and Interpretations and Policies Applicants submit that for the reasons 12(d)(1)(B) of the Act. The requested stated in the Reference Order the .01–.12 No change. Order would permit applicants to offer requested relief meets the exemptive .13 In addition to A.M.-settled S&P 500 Funds that utilize the NYSE Proxy Stock Index options approved for trading on standards under sections 6(c), 17(b) and Portfolio Methodology. Because the the Exchange pursuant to Rule 4.13, the 12(d)(1)(J) of the Act. relief requested is the same as the relief Exchange may also list options on the S&P granted by the Commission under the For the Commission, by the Division of 500 Index whose exercise settlement value is Reference Order and because the Investment Management, pursuant to derived from closing prices on the last Adviser has entered into a licensing delegated authority. trading day prior to expiration (P.M.-settled J. Matthew DeLesDernier, third Friday-of-the-month SPX options agreement with NYSE Group, Inc. in series). The Exchange may also list options Assistant Secretary. order to offer Funds that utilize the on the Mini-SPX Index (‘‘XSP’’) whose NYSE Proxy Portfolio Methodology,3 [FR Doc. 2020–08477 Filed 4–21–20; 8:45 am] exercise settlement value is derived from the Order would incorporate by BILLING CODE 8011–01–P closing prices on the last trading day prior to reference the terms and conditions of expiration (‘‘P.M.-settled’’). P.M.-settled third the Reference Order. Friday-of-the-month SPX options series and 5. Applicants request that the Order SECURITIES AND EXCHANGE P.M.-settled XSP options will be listed for apply to the Initial Funds and to any COMMISSION trading for a pilot period ending [May 4]November 2, 2020. other existing or future registered open- [Release No. 34–88674; File No. SR–CBOE– end management investment company 2020–036] * * * * * or series thereof that: (a) Is advised by The text of the proposed rule change the Adviser or any entity controlling, Self-Regulatory Organizations; Cboe is also available on the Exchange’s controlled by, or under common control Exchange, Inc.; Notice of Filing and website (http://www.cboe.com/ with the Adviser (any such entity Immediate Effectiveness of a Proposed AboutCBOE/CBOELegal included in the term ‘‘Adviser’’); (b) Rule Change To Extend the Operation RegulatoryHome.aspx), at the offers exchange-traded shares utilizing of Its SPXPM Pilot Program Exchange’s Office of the Secretary, and active management investment April 16, 2020. at the Commission’s Public Reference strategies as contemplated by the Room. Reference Order; and (c) complies with Pursuant to Section 19(b)(1) of the the terms and conditions of the Order Securities Exchange Act of 1934 (the II. Self-Regulatory Organization’s 1 2 and of the Reference Order, which is ‘‘Act’’), and Rule 19b–4 thereunder, Statement of the Purpose of, and incorporated by reference into the Order notice is hereby given that on April 13, Statutory Basis for, the Proposed Rule (each such company or series and any 2020, Cboe Exchange, Inc. (the Change ‘‘Exchange’’ or ‘‘Cboe Options’’) filed Initial Fund, a ‘‘Fund’’).4 In its filing with the Commission, the with the Securities and Exchange Exchange included statements 3 The NYSE Proxy Portfolio Methodology (as concerning the purpose of and basis for defined in the Reference Order) is the intellectual with the terms and conditions of the Order and of property of the NYSE Group, Inc. the Reference Order, which is incorporated by the proposed rule change and discussed 4 All entities that currently intend to rely on the reference into the Order. Order are named as applicants. Any other entity 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78s(b)(3)(A)(iii). that relies on the Order in the future will comply 2 17 CFR 240.19b–4. 4 17 CFR 240.19b–4(f)(6).

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any comments it received on the proposes to further extend the end date Finally, for series that exceed certain proposed rule change. The text of these of the pilot period to November 2, 2020. minimum parameters, the annual statements may be examined at the During the course of the Pilot Program reports contain the following analysis places specified in Item IV below. The and in support of the extensions of the related to index price changes and Exchange has prepared summaries, set Pilot Program, the Exchange submits underlying share trading volume at the forth in sections A, B, and C below, of reports to the Commission regarding the close on Expiration Fridays: the most significant aspects of such Pilot Program that detail the Exchange’s (1) A comparison of index price statements. experience with the Pilot Program, changes at the close of trading on a pursuant to the SPXPM Approval given Expiration Friday with A. Self-Regulatory Organization’s Order 10 comparable price changes from a control Statement of the Purpose of, and and the P.M.-settled XSP Approval Order.11 Specifically, the sample. The data includes a calculation Statutory Basis for, the Proposed Rule of percentage price changes for various Change Exchange submits annual Pilot Program reports to the Commission that contain time intervals and compare that 1. Purpose an analysis of volume, open interest, information to the respective control On February 8, 2013, the Securities and trading patterns. The analysis sample. Raw percentage price change and Exchange Commission (the examines trading in Pilot Products as data as well as percentage price change ‘‘Commission’’) approved a rule change well as trading in the securities that data normalized for prevailing market that established a Pilot Program that comprise the underlying index. volatility, as measured by the Cboe allows the Exchange to list options on Additionally, for series that exceed Volatility Index (VIX), is provided; and the S&P 500 Index whose exercise certain minimum open interest (2) a calculation of share volume for settlement value is derived from closing parameters, the annual reports provide a sample set of the component securities prices on the last trading day prior to analysis of index price volatility and representing an upper limit on share expiration (‘‘SPXPM’’).5 On July 31, share trading activity. The Exchange trading that could be attributable to 2013, the Commission approved a rule also submits periodic interim reports expiring in-the-money series. The data change that amended the Pilot Program that contain some, but not all, of the includes a comparison of the calculated that allows the Exchange to list options information contained in the annual share volume for securities in the on the Mini-SPX Index (‘‘XSP’’) whose reports. In providing the annual and sample set to the average daily trading exercise settlement value is derived periodic interim reports (the ‘‘pilot volumes of those securities over a from closing prices on the last trading reports’’) to the Commission, the sample period. day prior to expiration (‘‘P.M.-settled Exchange has previously requested The minimum open interest XSP’’) 6 (together, SPXPM and P.M.- confidential treatment of the pilot parameters, control sample, time settled XSP to be referred to herein as reports under the Freedom of intervals, method for randomly selecting the ‘‘Pilot Products’’).7 The Exchange Information Act (‘‘FOIA’’).12 the component securities, and sample has extended the pilot period numerous The pilot reports both contain the periods are determined by the Exchange times, which, pursuant to Rule 4.13.13,8 following volume and open interest and the Commission. In proposing to is currently set to expire on the earlier data: extend the Pilot Program, the Exchange of May 4, 2020 or the date on which the (1) Monthly volume aggregated for all will continue to abide by the reporting pilot program is approved on a trades; requirements described herein, as well permanent basis.9 The Exchange hereby (2) monthly volume aggregated by as in the SPXPM Approval Order and expiration date; the P.M.-settled XSP Approval Order.13 5 See Securities Exchange Act Release No. 68888 (3) monthly volume for each Additionally, the Exchange will provide (February 8, 2013), 78 FR 10668 (February 14, 2013) individual series; the Commission with any additional (SR–CBOE–2012–120) (the ‘‘SPXPM Approval (4) month-end open interest data or analyses the Commission Order’’). Pursuant to Securities Exchange Act requests because it deems such data or Release No. 80060 (February 17, 2017), 82 FR 11673 aggregated for all series; (February 24, 2017) (SR–CBOE–2016–091), the (5) month-end open interest for all analyses necessary to determine Exchange moved third-Friday P.M.-settled options series aggregated by expiration date; and whether the Pilot Program is consistent into the S&P 500 Index options class, and as a (6) month-end open interest for each with the Exchange Act. The Exchange is result, the trading symbol for P.M.-settled S&P 500 Index options that have standard third Friday-of- individual series. in the process of making public on its the-month expirations changed from ‘‘SPXPM’’ to The annual reports also contain the website all data and analyses previously ‘‘SPXW.’’ This change went into effect on May 1, information noted in Items (1) through submitted to the Commission under the 2017, pursuant to Cboe Options Regulatory Circular (6) above for Expiration Friday, A.M.- Pilot Program,14 and will make public RG17–054. settled, S&P 500 index options traded any data and analyses it submits to the 6 See Securities Exchange Act Release No. 70087 (July 31, 2013), 78 FR 47809 (August 6, 2013) (SR– on Cboe Options, as well as the Commission under the Pilot Program in CBOE–2013–055) (the ‘‘P.M.-settled XSP Approval following analysis of trading patterns in the future. Order’’). the Pilot Products options series in the The Exchange proposes the extension 7 For more information on the Pilot Products or Pilot Program: of the Pilot Program in order to continue the Pilot Program, see the SPXPM Approval Order and the P.M.-settled XSP Approval Order. (1) A time series analysis of open to give the Commission more time to 8 The Exchange recently relocated prior Rule 24.9, interest; and containing the provision which governs the Pilot (2) an analysis of the distribution of 13 Pursuant to Securities Exchange Act Release Program, to current Rule 4.13. See SR–CBOE–2019– trade sizes. No. 75914 (September 14, 2015), 80 FR 56522 092 (October 4, 2019), which did not make any (September 18, 2015) (SR–CBOE–2015–079), the substantive changes to prior Rule 24.9 and merely Exchange added SPXPM and P.M.-settled XSP relocated it to Rule 4.13. (SR–CBOE–2018–036); 84535 (November 5, 2018), options to the list of products approved for trading 9 See Securities Exchange Act Release Nos. 71424 83 FR 56129 (November 9, 2018) (SR–CBOE–2018– during Extended Trading Hours (‘‘ETH’’). The (January 28, 2014), 79 FR 6249 (February 3, 2014) 069); 85688 (April 18, 2019), 84 FR 17214 (April 24, Exchange will also include the applicable (SR–CBOE–2014–004); 73338 (October 10, 2014), 79 2019) (SR–CBOE–2019–023); and 87464 (November information regarding SPXPM and P.M.-settled XSP FR 62502 (October 17, 2014) (SR–CBOE–2014–076); 5, 2019), 84 FR 61099 (November 12, 2019) (SR– options that trade during ETH in its annual and 77573 (April 8, 2016), 81 FR 22148 (April 14, 2016) CBOE–2019–107). interim reports. (SR–CBOE–2016–036); 80386 (April 6, 2017), 82 FR 10 See supra note 5. 14 Available at https://www.cboe.com/aboutcboe/ 17704 (April 12, 2017) (SR–CBOE–2017–025); 11 See supra note 6. legal-regulatory/national-market-system-plans/pm- 83166 (May 3, 2018), 83 FR 21324 (May 9, 2018) 12 5 U.S.C. 552. settlement-spxpm-data.

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consider the impact of the Pilot investors with the opportunity to trade 19(b)(3)(A) of the Act 18 and Program. To this point, Cboe Options the desirable products of SPXPM and subparagraph (f)(6) of Rule 19b–4 believes that the Pilot Program has been P.M.-settled XSP, while also providing thereunder.19 well-received by its Trading Permit the Commission further opportunity to A proposed rule change filed Holders and the investing public, and observe such trading of the Pilot pursuant to Rule 19b–4(f)(6) under the the Exchange would like to continue to Products. Act 20 normally does not become provide investors with the ability to operative for 30 days after the date of its B. Self-Regulatory Organization’s trade SPXPM and P.M.-settled XSP filing. However, Rule 19b–4(f)(6)(iii) 21 Statement on Burden on Competition options. All terms regarding the trading permits the Commission to designate a of the Pilot Products shall continue to Cboe Options does not believe that shorter time if such action is consistent operate as described in the SPXPM the proposed rule change will impose with the protection of investors and the Approval Order and the P.M.-settled any burden on competition that is not public interest. The Exchange has asked XSP Approval Order. The Exchange necessary or appropriate in furtherance the Commission to waive the 30-day merely proposes herein to extend the of the purposes of the Act. The operative delay so that the proposal may term of the Pilot Program to November Exchange does not believe the become operative immediately upon 2, 2020. continuation of the Pilot Program will filing. The Exchange states that waiver impose any unnecessary or of the 30-day operative delay will allow 2. Statutory Basis inappropriate burden on intramarket it to extend the Pilot Program prior to The Exchange believes the proposed competition because it will continue to its expiration on May 4, 2020, and rule change is consistent with the apply equally to all Cboe Options maintain the status quo, thereby Securities Exchange Act of 1934 (the market participants, and the Pilot reducing market disruption. The ‘‘Act’’) and the rules and regulations Products will be available to all Cboe Commission believes that waiving the thereunder applicable to the Exchange Options market participants. The 30-day operative delay is consistent and, in particular, the requirements of Exchange believes there is sufficient with the protection of investors and the Section 6(b) of the Act.15 Specifically, investor interest and demand in the public interest as it will allow the Pilot the Exchange believes the proposed rule Pilot Program to warrant its extension. Program to continue uninterrupted, change is consistent with the Section The Exchange believes that, for the thereby avoiding investor confusion that 6(b)(5) 16 requirements that the rules of period that the Pilot Program has been could result from a temporary an exchange be designed to prevent in operation, it has provided investors interruption in the Pilot Program. fraudulent and manipulative acts and with desirable products with which to Accordingly, the Commission hereby practices, to promote just and equitable trade. Furthermore, the Exchange waives the operative delay and principles of trade, to foster cooperation believes that it has not experienced any designates the proposed rule change and coordination with persons engaged adverse market effects or regulatory operative upon filing.22 in regulating, clearing, settling, concerns with respect to the Pilot At any time within 60 days of the processing information with respect to, Program. The Exchange further does not filing of the proposed rule change, the and facilitating transactions in believe that the proposed extension of Commission summarily may securities, to remove impediments to the Pilot Program will impose any temporarily suspend such rule change if and perfect the mechanism of a free and burden on intermarket competition that it appears to the Commission that such open market and a national market is not necessary or appropriate in action is necessary or appropriate in the system, and, in general, to protect furtherance of the purposes of the Act public interest, for the protection of investors and the public interest. because it only applies to trading on investors, or otherwise in furtherance of Additionally, the Exchange believes the Cboe Options. To the extent that the the purposes of the Act. If the proposed rule change is consistent with continued trading of the Pilot Products Commission takes such action, the the Section 6(b)(5) 17 requirement that may make Cboe Options a more Commission shall institute proceedings the rules of an exchange not be designed attractive marketplace to market to determine whether the proposed rule to permit unfair discrimination between participants at other exchanges, such change should be approved or customers, issuers, brokers, or dealers. market participants may elect to become disapproved. In particular, the Exchange believes Cboe Options market participants. IV. Solicitation of Comments that the proposed extension of the Pilot Program will continue to provide greater C. Self-Regulatory Organization’s Interested persons are invited to opportunities for investors. Further, the Statement on Comments on the submit written data, views, and Exchange believes that it has not Proposed Rule Change Received From arguments concerning the foregoing, experienced any adverse effects or Members, Participants, or Others including whether the proposed rule meaningful regulatory concerns from The Exchange neither solicited nor change is consistent with the Act. the operation of the Pilot Program. As received comments on the proposed such, the Exchange believes that the rule change. 18 15 U.S.C. 78s(b)(3)(A). 19 extension of the Pilot Program does not 17 CFR 240.19b–4(f)(6). In addition, Rule19b– III. Date of Effectiveness of the 4(f)(6)(iii) requires a self-regulatory organization to raise any unique or prohibitive Proposed Rule Change and Timing for give the Commission written notice of its intent to file the proposed rule change, along with a brief regulatory concerns. Also, the Exchange Commission Action believes that such trading has not, and description and text of the proposed rule change, Because the proposed rule change at least five business days prior to the date of filing will not, adversely impact fair and of the proposed rule change, or such shorter time orderly markets on Expiration Fridays does not: (i) Significantly affect the as designated by the Commission. The Exchange for the underlying stocks comprising the protection of investors or the public has satisfied this requirement. S&P 500 index. The extension of the interest; (ii) impose any significant 20 17 CFR 240.19b–4(f)(6). Pilot Program will continue to provide burden on competition; and (iii) become 21 17 CFR 240.19b–4(f)(6)(iii). operative for 30 days from the date on 22 For purposes only of waiving the 30-day operative delay, the Commission also has 15 15 U.S.C. 78f(b). which it was filed, or such shorter time considered the proposed rule’s impact on 16 15 U.S.C. 78f(b)(5). as the Commission may designate, it has efficiency, competition, and capital formation. See 17 Id. become effective pursuant to Section 15 U.S.C. 78c(f).

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Comments may be submitted by any of SECURITIES AND EXCHANGE proposal seeks to amend aspects of the the following methods: COMMISSION current functionality of the Exchange’s System regarding the opening of trading Electronic Comments [Release No. 34–88660; File No. SR–MRX– 2020–09] in an option series. Each amendment is • Use the Commission’s internet described below. comment form (http://www.sec.gov/ Self-Regulatory Organizations; Nasdaq Definitions rules/sro.shtml); or MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed The Exchange proposes to define the • Send an email to rule-comments@ Rule Change To Amend Options 3, term ‘‘imbalance’’ at proposed Options sec.gov. Please include File Number SR– Section 8 Relating to the Options 3, Section 8(a)(10) as the number of CBOE–2020–036 on the subject line. Opening Process unmatched contracts priced through the Paper Comments Potential Opening Price. The Exchange April 16, 2020. believes that the addition of this defined • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the term will bring greater clarity to the to Secretary, Securities and Exchange Securities Exchange Act of 1934 manner in which the term ‘‘imbalance’’ Commission, 100 F Street NE, (‘‘Act’’),1 and Rule 19b–4 thereunder,2 is defined within the System. This Washington, DC 20549–1090. notice is hereby given that on April 3, description is consistent with the 2020, Nasdaq MRX, LLC (‘‘MRX’’ or current System operation. This is a non- All submissions should refer to File ‘‘Exchange’’) filed with the Securities substantive rule change. In conjunction Number SR–CBOE–2020–036. This file and Exchange Commission with this rule change, the Exchange number should be included on the (‘‘Commission’’) the proposed rule proposes to remove the text within subject line if email is used. To help the change as described in Items I and II Options 3, Section 8(j)(1) which seeks to Commission process and review your below, which Items have been prepared define an imbalance as an unmatched comments more efficiently, please use by the Exchange. The Commission is contracts. The Exchange is proposing a only one method. The Commission will publishing this notice to solicit description which is more specific than post all comments on the Commission’s comments on the proposed rule change this rule text and is intended to bring internet website (http://www.sec.gov/ from interested persons. greater clarity to the term ‘‘imbalance.’’ rules/sro.shtml). Copies of the submission, all subsequent I. Self-Regulatory Organization’s Eligible Interest amendments, all written statements Statement of the Terms of Substance of the Proposed Rule Change Options 3, Section 8(b) describes the with respect to the proposed rule eligible interest that will be accepted change that are filed with the The Exchange proposes amend MRX during the Opening Process. This Commission, and all written Rules at Options 3, Section 8, titled includes Valid Width Quotes, Opening communications relating to the ‘‘Options Opening Process.’’ Sweeps and orders. The Exchange The text of the proposed rule change proposed rule change between the proposes to specifically exclude orders is available on the Exchange’s website at Commission and any person, other than with a Time in Force of ‘‘Immediate-or- http://nasdaqmrx.cchwallstreet.com/, at those that may be withheld from the Cancel’’ 3 and Add Liquidity Orders 4 the principal office of the Exchange, and public in accordance with the from the type of orders that are eligible at the Commission’s Public Reference provisions of 5 U.S.C. 552, will be during the Opening Process. Today, the Room. available for website viewing and Exchange does not accept Immediate-or- printing in the Commission’s Public II. Self-Regulatory Organization’s Reference Room, 100 F Street NE, Statement of the Purpose of, and 3 An Immediate-or-Cancel order is a limit order Washington, DC 20549 on official Statutory Basis for, the Proposed Rule that is to be executed in whole or in part upon business days between the hours of Change receipt. Any portion not so executed is to be treated 10:00 a.m. and 3:00 p.m. Copies of the as cancelled. An Immediate-or-Cancel order entered filing also will be available for In its filing with the Commission, the by a Market Maker through the Specialized Quote Exchange included statements Feed protocol will not be subject to the Limit Order inspection and copying at the principal Price Protection and Size Limitation Protection as office of the Exchange. All comments concerning the purpose of and basis for defined in MRX Options 3, Section 15(b)(2) and (3). received will be posted without change. the proposed rule change and discussed See Options 3, Section 7(b)(3). Persons submitting comments are any comments it received on the 4 An Add Liquidity Order is a limit order that is proposed rule change. The text of these to be executed in whole or in part on the Exchange cautioned that we do not redact or edit (i) only after being displayed on the Exchange’s personal identifying information from statements may be examined at the limit order book; and (ii) without routing any comment submissions. You should places specified in Item IV below. The portion of the order to another market center. submit only information that you wish Exchange has prepared summaries, set Members may specify whether an Add Liquidity forth in sections A, B, and C below, of Order shall be cancelled or re-priced to the to make available publicly. All minimum price variation above the national best submissions should refer to File the most significant aspects of such bid price (for sell orders) or below the national best Number SR–CBOE–2020–036, and statements. offer price (for buy orders) if, at the time of entry, should be submitted on or before May the order (i) is executable on the Exchange; or (ii) A. Self-Regulatory Organization’s the order is not executable on the Exchange, but 13, 2020. Statement of the Purpose of, and would lock or cross the national best bid or offer. For the Commission, by the Division of Statutory Basis for, the Proposed Rule If at the time of entry, an Add Liquidity Order Change would lock or cross one or more non-displayed Trading and Markets, pursuant to delegated orders on the Exchange, the Add Liquidity Order 23 authority. 1. Purpose shall be cancelled or re-priced to the minimum J. Matthew DeLesDernier, price variation above the best non-displayed bid The Exchange proposes to amend price (for sell orders) or below the best non- Assistant Secretary. MRX Rules at Options 3, Section 8, displayed offer price (for buy orders). An Add [FR Doc. 2020–08495 Filed 4–21–20; 8:45 am] titled ‘‘Options Opening Process.’’ The Liquidity Order will only be re-priced once and will BILLING CODE 8011–01–P be executed at the re-priced price. An Add Liquidity Order will be ranked in the Exchange’s 1 15 U.S.C. 78s(b)(1). limit order book in accordance with Options 3, 23 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. Section 10. See Options 3, Section 7(n).

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Cancel Orders during the Opening within two minutes of the receipt of the Potential Opening Price Process, except for Opening Only opening price in the underlying index The Exchange proposes to amend 5 Orders. The Exchange does permit (or such shorter time as determined by Options 3, Section 8(g) to add an orders marked as Opening Only Orders the Exchange and disseminated to introductory sentence to the Potential to be entered as Immediate-or-Cancel. membership on the Exchange’s website), Opening Process paragraph which These are the only acceptable or within two minutes of market provides, ‘‘The Potential Opening Price Immediate-or-Cancel Orders for the opening for the underlying security in indicates a price where the System may Opening Process. All other types of the case of U.S. dollar-settled foreign open once all other Opening Process Immediate-or-Cancel Orders may not be currency options (or such shorter time criteria is met.’’ This paragraph is not entered during the Opening Process. For as determined by the Exchange and intended to amend the function of the 6 example, All-or-None Orders may not disseminated to membership on the Opening Process, rather it is intended to be entered during the Opening Process Exchange’s website). Alternatively, the provide context to the process and because they have a time-in-force Valid Width Quote of at least two describe a Potential Opening Price designation of Immediate-or-Cancel. Competitive Market Makers entered within Options 3, Section 8(g). This is With respect to Add Liquidity Orders, within the above-referenced timeframe a non-substantive amendment. these orders are not appropriate for the would also open an option series. An amendment is proposed to Opening Process because these orders Finally, if neither the Primary Market Options 3, Section 8(g)(3) to replace the cannot add liquidity during the Opening Maker’s Valid Width Quote nor the words ‘‘Potential Opening Price Process. The Exchange notes that today, Valid Width Quotes of two Competitive calculation’’ with the more defined term these orders may not be entered into the Market Makers have been submitted ‘‘Opening Price.’’ The Opening Price is Opening Process. This amendment does within such timeframe, one Competitive defined within Options 3, Section not result in a System change. The Market Maker may submit a Valid 8(a)(3) and provides, ‘‘The Opening Exchange believes the addition of this Width Quote to open the options series. Price is described herein in sections (h) rule text will clarify which order types The Exchange proposes to amend the and (j).’’ The Exchange notes that are eligible to be entered during the requirement to submit Valid Width ‘‘Opening Price’’ is the more accurate Opening Process. Quotes in an effort to streamline its term that represents current System Additionally, the Exchange proposes current process. The Exchange proposes functionality as compared to Potential a non-substantive amendment at to continue to require a Primary Market Opening Price. Options 3, Section Options 3, Section 8(b)(2) to replace the Maker to submit a Valid Width Quote, 8(g)(3) provides that ‘‘the Potential phrase ‘‘aggregate the size of all eligible but also would permit the Valid Width Opening Price calculation is bounded interest for a particular participant Quote of one Competitive Market Maker by the better away market price that category at a particular price level for to open an option series without waiting may not be satisfied with the Exchange trade allocation purposes’’ with for the two minute timeframe described routable interest.’’ In fact, the Opening ‘‘allocate interest’’ pursuant to Options above to conclude. This effectively Price is bounded by the better away 3, Section 10. Options 3, Section 10 would take the 2 step process for market price that may not be satisfied describes the manner in which interest accepting quotes to a one step process. with Exchange routable interest is allocated on MRX. The Exchange The Exchange believes this proposal pursuant to sections (h) and (j). The believes that simply referring to the would allow the market to open more Potential Opening Price indicates a allocation rule will accurately describe efficiently as well as enable greater price where the System may open once the manner in which the System will participation by Competitive Market all other Opening Process criteria is met. allocate interest. Makers in the Opening Process. As is The Potential Opening Price is a less accurate term and the Exchange Valid Width Quotes the case today, Primary Market Makers are required to ensure each option series proposes to utilize the more precise The Exchange proposes to amend the term by changing the words in this requirements for MRX Market Makers 7 to which it is appointed is opened each day by submitting a Valid Width sentence to ‘‘Opening Price’’ for to enter Valid Width Quotes within specificity. This amendment is not Quote.8 Moreover, a Primary Market Options 3, Section 8(c). Today, a substantive, rather it is clarifying. Primary Market Maker is required to Maker has continuing obligations to enter a Valid Width Quote within two quote intra-day pursuant to Options 2, Opening Quote Range minutes (or such shorter time as Section 5. The Exchange proposes to add a determined by the Exchange and sentence to Options 3, Section 8(i) to disseminated to membership on the 8 Options 3, Section 8(c)(3) provides, ‘‘The PMM describe the manner in which the assigned in a particular equity or index option must Exchange’s website) of the opening enter a Valid Width Quote, in 90% of their assigned Opening Quote Range or ‘‘OQR’’ is trade or quote on the market for the series, not later than one minute following the bound. The Exchange proposes to underlying security in the case of equity dissemination of a quote or trade by the market for provide, ‘‘OQR is constrained by the options or, in the case of index options, the underlying security or, in the case of index least aggressive limit prices within the options, following the receipt of the opening price in the underlying index. The PMM assigned in a broader limits of OQR. The least 5 An Opening Only Order is a limit order that can particular U.S. dollar-settled foreign currency aggressive buy order or Valid Width be entered for the opening rotation only. Any option must enter a Valid Width Quote, in 90% of Quote bid and least aggressive sell order portion of the order that is not executed during the their assigned series, not later than one minute after or Valid Width Quote offer within the opening rotation is cancelled. See Options 3, the announced market opening. Provided an Section 7(o). options series has not opened pursuant to Options OQR will further bound the OQR.’’ The 6 An All-Or-None order is a limit or market order 3, Section 8 (c)(1)(ii) or (iii), PMMs must promptly Exchange previously described 9 the that is to be executed in its entirety or not at all. enter a Valid Width Quote in the remainder of their OQR as an additional type of boundary An All-Or-None Order may only be entered as an assigned series, which did not open within one beyond the boundaries mentioned in Immediate-or-Cancel Order. See Options 3, Section minute following the dissemination of a quote or 7(c). trade by the market for the underlying security or, Options 3, Section 8 at proposed 7 The term ‘‘Market Makers’’ refers to in the case of index options, following the receipt ‘‘Competitive Market Makers’’ and ‘‘Primary Market of the opening price in the underlying index or, 9 See Securities Exchange Commission Release Makers’’ collectively. See Options 1, Section with respect to U.S. dollar-settled foreign currency No. 81205 (July 25, 2017), 82 FR 35566 (July 31, 1(a)(21). options, following the announced market opening.’’ 2017) (SR–MRX–2017–01).

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paragraph (j). OQR is intended to limit if the ABBO becomes crossed pursuant participants to explain the information the Opening Price to a reasonable, to (c)(5)) and there are Valid Width that is being conveyed when an middle ground price and thus reduce Quotes on the Exchange that cross each imbalance message indicates ‘‘0’’ the potential for erroneous trades during other or are marketable against the volume. The Exchange believes that the Opening Process. Although the ABBO:’’. The proposed language more explaining the potential scenarios Exchange applies other boundaries such accurately describes the current which led to the dissemination of a ‘‘0’’ as the Best Bid or Best Offer (‘‘BBO’’), Opening Process. Valid Width Quotes volume, such as (1) when no executions the OQR is outside of the BBO. It is are not routable and would not be are possible and routable interest is meant to provide a price that can satisfy executable against the ABBO. A similar priced at or through the ABBO; (2) more size without becoming change is also proposed to Options 3, internal quotes are crossing; and (3) unreasonable. The Exchange proposes to Section 8(i)(4) to replace the words ‘‘are there is a Valid Width Quote, but there add rule text within Options 3, Section executable against’’ with ‘‘cross’’. The is no Quality Opening Market, will 8 to describe the manner in which today Exchange believes that the amended provide greater detail to the potential OQR is bound. This proposed rule text adds greater transparency to state of the interest available. The amendment does not change the manner the Opening Process. These are non- Exchange further clarifies in this new in which MRX’s System operates today. substantive amendments. rule text, ‘‘Where the Potential Opening The Exchange believes that this rule text The Exchange proposes to replace the Price is through the ABBO, an will bring greater transparency to the phrase ‘‘route’’ with ‘‘route routable’’ imbalance message will display the side manner in which the Exchange arrives and also replace the phrase ‘‘in price/ of interest priced through the ABBO.’’ at an Opening Price. Below is an time priority to satisfy the away market’’ The Exchange believes that this example of the manner in which OQR with ‘‘pursuant to Options 3, Section proposed text will bring greater is constrained. 10(c)(1)(A)’’ at the end of Options 3, transparency to the information Assume the below pre-opening Section 8(i)(7). The final sentence available to market participants during interest: would provide, ‘‘The System will route the Opening Process. Primary Market Maker quotes 4.10 (100) routable Public Customer interest The Exchange proposes to amend × 4.20 (50) pursuant to Options 3, Section Options 3, Section 8(j)(3)(i) to simply Order1: Priority Customer Buy 300 @ 10(c)(1)(A).’’ The current rule text is add punctuation at the end of the 4.39 imprecise. When routing, the Exchange sentence. The Exchange proposes to amend Order2: Priority Customer Sell 50 @ 4.13 first determine if the interest is routable. 10 Order3: Priority Customer Sell 5 @ 4.37 A DNR Order would not be routable. Options 3, Section 8(j)(3)(ii) to remove Opening Quote Range configuration in Of the routable interest, the Exchange the phrase ‘‘at the Opening Price’’ this scenario is +/¥0.18 will route the interest in price/time within the paragraph in two places. The priority to satisfy the away market current second sentence of paragraph 9:30 a.m. events occur, underlying interest. The Exchange believes 8(j)(3)(ii) states, ‘‘If during the Route opens Timer, interest is received by the First imbalance message: Buy imbalance changing the word ‘‘route’’ to ‘‘route routable’’ and adding the citation to the System which would allow the Opening @ 4.20, 100 matched, 200 unmatched Price to be within OQR without trading Next 4 imbalance messages: Buy allocation rule within Options 3, through away markets and without imbalance @ 4.37, 105 matched, 195 Section 10 clarifies the meaning of this sentence and better explains the System trading through the limit price(s) of unmatched interest within OQR which is unable to Potential Opening Price calculation handling. This is a non-substantive be fully executed at the Opening Price, would have been 4.20 + 0.18 = 4.38, amendment which is intended to bring greater clarity to the Exchange’s Rules. the System will open with trades at the but OQR is further bounded by the Opening Price and the Route Timer will least aggressive sell order @ 4.37 Price Discovery Mechanism simultaneously end.’’ The Exchange Order1 executes against Order2 50 @ The Exchange proposes to add new proposes to remove the words ‘‘at the 4.37 rule text to Options 3, Section 8(j)(1)(A) Opening Price’’ because while anything Order1 executes against Primary Market to describe the information conveyed in traded on MRX would be at the Opening Maker quote 50 @ 4.37 an Imbalance Message. The Exchange Price, the trades that are routed away Order1 executes against Order3 5 @ 4.37 proposes to provide at Options 3, would be at an ABBO price which may Remainder of Order1 cancels as it is Section 8(j)(1)(A), differ from the MRX Opening Price. To through the Opening Price An Imbalance Message will be avoid any confusion, the Exchange is Primary Market Maker quote purges as amending the sentence to remove the its entire offer side volume has been disseminated showing a ‘‘0’’ volume and a $0.00 price if: (i) No executions are possible reference to the Opening Price. In exhausted but routable interest is priced at or through addition, the Exchange proposes to add Similarly, the Exchange proposes to the ABBO; (ii) internal quotes are crossing the phrase ‘‘and orders’’ to Options 3, amend Options 3, Section 8(i)(3) which each other; or (iii) there is a Valid Width Section 8(j)(3)(ii) which currently only currently provides, ‘‘If one or more Quote, but there is no Quality Opening references quotes. During the Price away markets are disseminating a BBO Market. Where the Potential Opening Price is Discovery Mechanism, both quotes and that is not crossed (the Opening Process through the ABBO, an imbalance message will display the side of interest priced orders are considered. will stop and an options series will not through the ABBO. The Exchange proposes to amend the open if the ABBO becomes crossed last sentence of Options 3, Section pursuant to (c)(5)) and there are Valid This rule text is consistent with the 8(j)(5) to add the phrase ‘‘if consistent Width Quotes on the Exchange that are current operation of the System. The with the Member’s instructions’’ to the executable against each other or the purpose of this proposed text is to end of the paragraph to make clear that ABBO:’’. The Exchange proposes to provide greater information to market the instructions provided by a Member instead state, ‘‘If one or more away in terms of order types and routing 10 The manner in which the System will handle markets are disseminating a BBO that is orders marked with the instruction ‘‘Do-Not-Route’’ would be applicable to interest entered not crossed (the Opening Process will (‘‘DNR’’ Orders) is described in Options 3, Section during the Opening Process which stop and an options series will not open 8(j)(6). remains eligible for intra-day trading.

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This amendment brings greater clarity to the Opening Price. All other interest The Opening Process Cancel Timer the Exchange’s Rules. will be eligible for trading after would be established by the Exchange The Exchange proposes to amend the opening.’’ Today, any order or quote and posted on the Exchange’s website. last sentence of Options 3, Section that is priced through the Opening Price Similar to NOM and BX, orders 8(j)(6) which provides, ‘‘The System will be cancelled. This new rule text submitted through OTTO or FIX with a will only route non-contingency Public makes clear that all interest applies. TIF of Good-Till-Canceled 12 or ‘‘GTC’’ Customer orders, except that only the The Exchange proposes to renumber or Good-Till-Date 13 or ‘‘GTD’’ may not full volume of Public Customer Reserve current Options 3, Section 8(k) as be cancelled. MRX has monitored the Orders may route.’’ The Exchange Section 8(j)(6)(ii) and renumber current operation of the Opening Process to proposes to instead provide, ‘‘The Options 3, Section 8(l) as Section identify instances where market System will only route non-contingency 8(j)(6)(iii). efficiency can be enhanced. The Public Customer orders, except that The Exchange proposes to add a new Exchange believes that adopting a Public Customer Reserve Orders may paragraph at Options 3, Section cancel timer similar to NOM and BX route up to their full volume.’’ The 8(j)(6)(iv) which provides, ‘‘Remaining will increase the efficiency of MRX’s Exchange is rewording the current contracts which are not priced through Opening Process. This provision would sentence to make clear that Public the Exchange Opening Price after provide for the return of orders for un- Customer Reserve Orders may route up routing a number of contracts to satisfy opened options symbols. This to their full volume. The current better priced away contracts will be enhancement will provide market sentence is awkward in that is seems to posted to the Order Book at the better participants the ability to elect to have imply that only full volume would of the away market price or the order’s orders returned, except for non-GTC/ route. This was not the intent of the limit price.’’ The Exchange notes that GTD Orders, when options do not open. sentence. As revised, the sentence more this paragraph describes current System It provides Members with choice about clearly conveys its intent. The Exchange behavior. This rule text accounts for where, and when, they can send orders believes that this amendment brings orders which routed away and were for the opening that would afford them greater clarity to the rule. returned unsatisfied to MRX as well as the best experience. The Exchange The Exchange proposes to add an interest that was unfilled during the believes that this additional feature will introductory sentence of Options 3, Opening Process, provided it was not attract additional order flow to the Section 8(j)(6)(i) which provides, ‘‘For priced through the Opening Price. This Exchange. The proposed changes should contracts that are not routable, pursuant sentence is being included to account prove to be very helpful to market to Options 3, Section 8(j)(6), such as for the manner in which all interest is participants, particularly those that are DNR Orders and orders priced through handled today by MRX and how certain involved in adding liquidity during the the Opening Price . . .’’. The addition interest rests on the order book once the Opening Cross. These proposed of this sentence is intended to provide Opening Process is complete. The enhancements will allow MRX to context to the handling of orders. The Exchange notes that the posted interest continue to have a robust Opening Exchange opens and routes will be priced at the better of the away Process. simultaneously during its Opening market price or the order’s limit price. Process. This proposed sentence is a This additional clarity will bring greater Implementation transition sentence from Options 3, transparency to the Rules and is The Exchange proposes to implement Section 8(j)(6), wherein the System consistent with the Exchange’s current the amendments proposed herein prior executes and routes orders. Options 3, System operation. The Exchange to Q3 2020. The Exchange will issue an Section 8(j)(6)(i) describes DNR Orders, believes that this detail will provide Options Trader Alert announcing the which are not routed. The proposed market participants with all possible date of implementation. introductory sentence would reflect that scenarios that may occur once MRX Options 3, Section 8(j)(6) is intended to opens an options series. 2. Statutory Basis make clear that as DNR Orders and orders priced through the Opening Price Opening Process Cancel Timer The Exchange believes that its are not routable orders that will cancel. The Exchange proposes to adopt an proposal is consistent with Section 6(b) The System will cancel any portion of Opening Process Cancel Timer within of the Act,14 in general, and furthers the a Do-Not-Route order that would Options 3, Section 8(k), similar to The objectives of Section 6(b)(5) of the Act,15 otherwise have to be routed to the Nasdaq Options Market LLC’s (‘‘NOM’’) in particular, in that it is designed to exchange(s) disseminating the ABBO for Rules and Nasdaq BX, Inc.’s (‘‘BX’’) at promote just and equitable principles of an opening to occur. An order or quote Options 3, Section 8(c).11 The Exchange trade and to protect investors and the that is priced through the Opening Price proposes to add a process whereby if an public interest by enhancing its will also be cancelled. All other interest options series has not opened before the Opening Process. The Exchange believes will be eligible for trading after opening. conclusion of the Opening Process that the proposed changes significantly This amended rule text is consistent Cancel Timer, a Member may elect to improve the quality of execution of with the behavior of the System. This have orders returned by providing MRX’s opening. non-substantive amendment is intended written notification to the Exchange. to add greater clarity to the Exchange’s 12 An order to buy or sell that remains in force Rules. The Exchange also proposes to 11 NOM Options 3, Section 8(c) provides, until the order is filled, canceled or the option remove the phrase ‘‘will be cancelled’’, ‘‘Absence of Opening Cross. If an Opening Cross in contract expires; provided, however, that GTC Orders will be canceled in the event of a corporate which is duplicative, and add the words a symbol is not initiated before the conclusion of the Opening Process Cancel Timer, a firm may elect action that results in an adjustment to the terms of ‘‘or quote’’ to the first sentence so it to have orders returned by providing written an option contract. See Options 3, Section 7(r). would provide, ‘‘[t]he System will notification to the Exchange. These orders include 13 A Good-Till-Date Order is a limit order to buy cancel (i) any portion of a Do-Not-Route all non GTC orders received over the FIX protocol. or sell which, if not executed, will be cancelled at order that would otherwise have to be The Opening Process Cancel Timer represents a the sooner of the end of the expiration date assigned period of time since the underlying market has to the order, or the expiration of the series. See routed to the exchange(s) disseminating opened, and shall be established and disseminated Options 3, Section 7(p). the ABBO for an opening to occur, or (ii) by Nasdaq on its website.’’ BX Options 3, Section 14 15 U.S.C. 78f(b). any order or quote that is priced through 8 is worded similarly. 15 15 U.S.C. 78f(b)(5).

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Definitions Section 8(c) for MRX Market Makers to Further, the amendment to Options 3, The Exchange’s proposal to define the enter Valid Width Quotes by permitting Section 8(g)(3) to replace the words term ‘‘imbalance’’ at proposed Options the Valid Width Quote of one ‘‘Potential Opening Price calculation’’ 3, Section 8(a)(10) and remove the text Competitive Market Maker to open an with the more defined term ‘‘Opening within Options 3, Section 8(j)(1), which option series without waiting for the Price’’ is consistent with the Act. ‘‘Opening Price’’ is the more accurate seeks to define an imbalance as an two minute timeframe is consistent with term that represents current System unmatched contract, will bring greater the Act. This proposal would allow the functionality. The Opening Price is clarity to the manner in which the term market to open more efficiently as well bounded by any better away market ‘‘imbalance’’ is defined within the as enable greater participation by price that may not be satisfied with the System. This is a non-substantive rule Competitive Market Makers in the Exchange routable interest. Changing change and represents current System Opening Process. A Primary Market the words in this sentence to ‘‘Opening functionality. Today, the term Maker has continuing obligations to Price’’ will make this statement ‘‘imbalance’’ is simply defined as quote throughout the trading day accurate. This amendment is not unmatched contracts. The proposed pursuant to Options 2, Section 5. In substantive. definition is more precise in its addition, Primary Market Makers are representation of the current System required to ensure each option series to Opening Quote Range functionality. which it is appointed is opened each day MRX is open for business by The Exchange’s proposal to add a Eligible Interest submitting a Valid Width Quote.16 sentence to Options 3, Section 8(i) to Primary Market Makers will continue to describe the manner in which the OQR The Exchange’s proposal to amend is bound will bring greater clarity to the Options 3, Section 8(b) which describes remain responsible to open an options series, unless it is otherwise opened by manner in which OQR is calculated. the eligible interest that will be accepted OQR is an additional type of boundary during the Opening Process is a Competitive Market Maker. A Competitive Market Maker also has beyond the boundaries mentioned consistent with the Act. Specifically, within the Opening Process rule. The only accepting Opening Only Orders obligations to quote intra-day, once they commence quoting for that day.17 The System will calculate an OQR for a and excluding all other orders with a particular option series that will be Time in Force of ‘‘Immediate-or-Cancel’’ Exchange notes if Competitive Market Makers entered quotes during the utilized in the Price Discovery is the manner in which the System Mechanism if the Exchange has not Opening Process to open an option operates today. The Exchange proposes opened, pursuant to the provisions in series, those quote must qualify as Valid to specifically note within the Opening Options 3, Section 8(c)–(h). OQR would Width Quotes. This ensures that the Process that all other Immediate-or- broaden the range of prices at which the quotations that are entered are in Cancel Orders would not be acceptable Exchange may open to allow additional alignment with standards that help if they are not Opening Only Orders. interest to be eligible for consideration ensure a quality opening. The Exchange Notwithstanding the foregoing, Opening in the Opening Process. OQR is believes that allowing one Competitive Only Orders would be accepted. intended to limit the Opening Price to Market Maker to enter a quotation Further, Add Liquidity Orders are not a reasonable, middle ground price and continues to protect investors and the accepted from the Opening Process thus reduce the potential for erroneous because these orders cannot add general public because the Competitive trades during the Opening Process. liquidity during the Opening Process. Market Maker will be held to the same Although the Exchange applies other The Exchange notes that today, both of standard for entering quotes as a boundaries such as the BBO, the OQR these types of orders may not be entered Primary Market Maker and the process provides a range of prices that may be into the Opening Process. The Exchange will also ensure an efficient and timely able to satisfy additional contracts while believes making clear which orders are opening, while continuing to hold still ensuring a reasonable Opening not accepted within the Opening Primary Market Makers responsible for Price. More specifically, the Exchange’s Process will bring greater transparency entering Valid Width Quotes during the Opening Price is bounded by the OQR for market participants who desire to Opening Process. without trading through the limit enter interest and understand the Potential Opening Price price(s) of interest within OQR, which System handling. is unable to fully execute at the Opening The proposed amendment to Options The Exchange’s proposal to amend Price in order to provide participants 3, Section 8(b)(2) to replace the phrase Options 3, Section 8(g) to add an with assurance that their orders will not ‘‘aggregate the size of all eligible interest introductory sentence to the Potential be traded through. The Exchange seeks for a particular participant category at a Opening Process which provides, ‘‘The to execute as much volume as is particular price level for trade allocation Potential Opening Price indicates a possible at the Opening Price. The purposes’’ with ‘‘allocate interest’’ price where the System may open once Exchange’s method for determining the pursuant to Options 3, Section 10 is all other Opening Process criteria is Potential Opening Price and Opening consistent with the Act. This met,’’ is consistent with the Act. This Price is consistent with the Act because amendment is non-substantive and paragraph is not intended to amend the the proposed process seeks to discover merely points to Options 3, Section 10, current function of the Opening Process, a reasonable price and considers both which today describes the manner in rather it is intended to provide context interest present in System as well as which interest is allocated on MRX. The to the process described within Options away market interest. The Exchange’s Exchange believes that simply referring 3, Section 8(g). Specifically, the new method seeks to validate the Opening to the allocation rule will accurately text describes a Potential Opening Price. Price and avoid opening at aberrant describe the manner in which the This rule text is consistent with the prices. The rule provides for opening System will allocate interest. current operation of the System. This is with a trade, which is consistent with a non-substantive amendment. the Act because it enables an immediate Valid Width Quotes opening to occur within a certain The Exchange’s proposal to amend 16 See note 9 above. boundary without the need for the price the requirements within Options 3, 17 See Options 2, Section 5. discovery process. The boundary

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provides protections while still ensuring messages is consistent with the Act. The anything traded on MRX would be at a reasonable Opening Price. The purpose of this proposed text is to the Opening Price, the trades that are Exchange’s proposal protects investors provide greater information to market routed away would be at an ABBO and the general public by more clearly participants to explain the information price, which differs from the MRX describing how the boundaries are that is being conveyed when an Opening Price. To avoid any confusion handled by the System. This proposed imbalance message indicates ‘‘0’’ the Exchange is amending the sentence amendment does not change the manner volume. An imbalance process is to remove the reference to the Opening in which MRX’s System operates today. intended to attract liquidity to improve Price. In addition, the Exchange The Exchange believes that this rule text the price at which an option series will proposes to add the phrase ‘‘and orders’’ will bring greater transparency to the open, as well as to maximize the to Options 3, Section 8(j)(3)(ii) which manner in which the Exchange arrives number of contracts that can be currently only references quotes. During at an Opening Price. executed on the opening. This process the Price Discovery Mechanism both The Exchange’s proposal to amend will only occur if the Exchange has not quotes and orders are considered. Options 3, Section 8(i)(3) to replace the been able to otherwise open an option The Exchange’s proposal to amend phrase ‘‘that are executable against each series utilizing the other processes the last sentence of Options 3, Section other or the ABBO:’’ with ‘‘that cross available in Options 3, Section 8. The 8(j)(5) to amend the phrase ‘‘if each other or are marketable against the Imbalance Timer is intended to provide consistent with the Member’s ABBO:’’ will more accurately describe a reasonable time for participants to instructions’’ to the end of the the current Opening Process. Valid respond to the Imbalance Message paragraph will make clear that the Width Quotes are not routable and before any opening interest is routed to instructions provided by a Member in would not be executable against the away markets and, thereby, maximize terms of order types and routing would ABBO. This rule text is more specific trading on the Exchange. The Exchange be applicable to interest entered during than ‘‘executable against each other.’’ believes that the proposed rule text the Opening Process which remains The Exchange believes that this rule text provides market participants with eligible for intra-day trading. This adds greater transparency to the additional information as to the proposal is consistent with the Act and Opening Process. This is a non- imbalance message. The following will add greater clarity to the substantive amendment. potential scenarios, which may lead to Exchange’s Rules. The Exchange’s proposal to make a the dissemination of a ‘‘0’’ volume, The Exchange’s proposal to amend similar change to Options 3, Section include (1) when no executions are the last sentence of Options 3, Section 8(i)(4) to replace the words ‘‘are possible and routable interest is priced 8(j)(6) to provide, ‘‘The System will only executable against’’ with ‘‘cross,’’ is at or through the ABBO: (2) internal route non-contingency Public Customer consistent with the Act. The Exchange quotes are crossing; and (3) there is a orders, except that Public Customer believes that the amended rule text adds Valid Width Quote, but there is no Reserve Orders may route up to their greater transparency to the Opening Quality Opening Market. The Exchange full volume,’’ is consistent with the Act. Process. These are non-substantive believes adding this detail will provide The Exchange is re-wording the current amendments. greater information as to the manner in sentence to make clear that Public The Exchange’s proposal to replace which Imbalance Messages are Customer Reserve Orders may route up the phrase ‘‘route’’ with ‘‘route disseminated today. The Exchange’s to their full volume. The current routable’’ and also replace the phrase process of disseminating zero imbalance sentence is awkward in that is seems to ‘‘in price/time priority to satisfy the messages is consistent with the Act imply that only full volume would away market’’ with ‘‘pursuant to because the Exchange is seeking to route. This was not the intent of the Options 3, Section 10(c)(1)(A)’’ at the identify a price on the Exchange sentence. As revised, the sentence more end of Options 3, Section 8(i)(7) is without routing away, yet which price clearly conveys its intent. The Exchange consistent with the Act. The current may not trade through another market believes that this amendment is non- rule text is imprecise. When allocating, and the quality of which is addressed by substantive and is a more precise the Exchange first determines if the applying the OQR boundary. manner of expressing the quantity of interest is routable, it may be marked as Announcing a price of zero will permit Reserve Orders that may route. a DNR Order, which is not routable. Of market participants to respond to the The Exchange’s proposal to add an the routable interest, the Exchange will Imbalance Message, which interest introductory phrase to Options 3, route the interest in price/time priority would be considered in determining a Section 8(j)(6)(i) which provides, ‘‘For to satisfy the away market interest. The fair and reasonable Opening Price. contracts that are not routable, pursuant Exchange believes changing the word The Exchange further proposes to to Options 3, Section 8(j)(6), such as ‘‘route’’ to ‘‘route routable’’ and adding clarify its current System functionality DNR Orders and orders priced through the citation to the allocation rule within by stating, ‘‘Where the Potential the Opening Price . . .,’’ is consistent Options 3, Section 10 clarifies the Opening Price is through the ABBO, an with the Act. The addition of this meaning of this sentence and better imbalance message will display the side sentence is intended simply to provide explains the System handling. The final of interest priced through the ABBO.’’ context to the handling of orders. The sentence would provide, ‘‘The System The Exchange believes that this prior paragraph, Options 3, Section will route routable Public Customer proposed text will bring greater 8(j)(6), describes how the System interest pursuant to Options 3, Section transparency to the information executes and routes orders. This 10(c)(1)(A).’’ This is a non-substantive available to market participants during proposed new text explains why DNR amendment which is intended to bring the Opening Process. Orders are cancelled. This sentence is greater clarity to the Exchange’s Rules. The Exchange’s proposal to amend being added to indicate that at this stage Options 3, Section 8(j)(3)(ii) to remove in the Opening Process, routable interest Price Discovery Mechanism the phrase ‘‘at the Opening Price’’ would have routed, non-routable The Exchange’s proposal to add new within the paragraph in two places is interest does not route and may not rule text at Options 3, Section 8(j)(1)(A) consistent with the Act because execute if priced through the Opening to describe the current operation of the removing the current phrase will avoid Price. This information is currently not System with respect to imbalance confusion. The Exchange notes that contained within the rules, however the

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rule text is consistent with the behavior returned by providing written orders that are eligible during the of the System. This non-substantive notification to the Exchange is Opening Process does not impose an amendment is consistent with the Act consistent with the Act. MRX believes undue burden on competition. The because it adds greater clarity to the that this amendment will promote just Exchange notes that today all market Exchange’s Rules. and equitable principles of trade and to participants may enter Opening Only The proposal to remove the protect investors and the public interest Orders. Today, the Exchange does not duplicative text ‘‘will be cancelled’’ and by enhancing its Opening Process. permit Immediate-or-Cancel Orders to add the words ‘‘or quote’’ to the second Adopting a cancel timer similar to NOM be entered unless they are Opening sentence are non-substantive rule and BX will increase the efficiency of Only Orders. With respect to Add changes. All other interest will be MRX’s Opening Process by providing Liquidity Orders, these orders are not eligible for trading after opening,’’ is Members with the ability to elect to appropriate for the Opening Process consistent with the Act. Today, any have orders returned, except for non- because these orders cannot add order or quote that is priced through the GTC/GTD orders. This functionality liquidity during the Opening Process Opening Price will be cancelled. This provides Members with choice, when and would not be accepted from any rule text is consistent with the System’s symbols do not open, about where, and market participant today. The addition current operation. This amendment is when, they can send orders for the of these exceptions does not impact any intended to add greater clarity to the opening that would afford them the best market participant as today all market Exchange’s Rules. experience. The Exchange believes that participants are restricted from utilizing The Exchange’s proposal to add a new this additional feature will attract ‘‘Immediate-or-Cancel’’or Add Liquidity paragraph at Options 3, Section additional order flow to the Exchange. Orders. 8(j)(6)(iv) which provides, ‘‘Remaining The proposed changes should prove to The Exchange’s proposal to amend contracts which are not priced through be very helpful to market participants, the requirements within Options 3, the Exchange Opening Price after particularly those that are involved in Section 8(c) for MRX Market Makers to routing a number of contracts to satisfy adding liquidity during the Opening enter Valid Width Quotes by permitting better priced away contracts will be Cross. These proposed enhancements the Valid Width Quote of one posted to the Order Book at the better will allow MRX to continue to have a Competitive Market Maker to open an of the away market price or the order’s robust Opening Process. option series without waiting for the limit price,’’ will bring greater two minute timeframe does not impose transparency to the handling of orders B. Self-Regulatory Organization’s an undue burden on competition. This once an option series is opened for Statement on Burden on Competition proposal would allow the market to trading. After away interest is cleared by The Exchange does not believe that open more efficiently as well as enable routable interest and the opening cross the proposed rule change will impose greater participation by Competitive has occurred, DNR Orders are handled any burden on competition not Market Makers in the Opening Process. by the System. DNR Order interest will necessary or appropriate in furtherance Primary Market Makers continue to rest on the Order Book, provided it was of the purposes of the Act. While the remain obligated to open their not priced through the Opening Price. Exchange does not believe that the appointed options series. Competitive This rule text accounts for orders which proposal should have any direct impact Market Maker may participate in the have routed away and returned to MRX on competition, it believes the proposal Opening Process, as is the case today, unsatisfied and also accounts for will enhance the Opening Process by provided they enter Valid Width interest that remains unfilled during the making it more efficient and beneficial Quotes, which is intended to ensure a Opening Process, provided it was not to market participants. Moreover, the quality opening. The Exchange does not priced through the Opening Price. The Exchange believes that the proposed believe this proposal would burden the Exchange notes that the posted interest amendments will significantly improve ability of market participants who enter will be priced at the better of the away the quality of execution of MRX’s quotes to participate in the Opening market price or the order’s limit price. Opening Process. The proposed Process. This additional clarity will protect amendments provide market The Exchange’s proposal to add a investors and the general public by participants more choice about where, sentence to Options 3, Section 8(i) to adding greater transparency to the and when, they can send orders for the describe the manner in which the OQR Exchange’s current System operation by opening that would afford them the best is bound does not impose an undue explaining how all interest is handled experience. The Exchange believes that burden on competition. OQR is during the Opening Process. The this should attract new order flow. intended to limit the Opening Price to Exchange believes that this detail will The Exchange’s proposal to define the a reasonable, middle ground price and provide market participants with all term ‘‘imbalance’’ at proposed Options thus reduce the potential for erroneous possible scenarios that may occur once 3, Section 8(a)(10) and remove the text trades during the Opening Process. The MRX opens its options series. This within Options 3, Section 8(j)(1), which Exchange’s method seeks to validate the amendment represents the System’s seeks to define an imbalance as an Opening Price and avoid opening at current function. unmatched contract does not impose an aberrant prices for the protection of all undue burden on competition. The investors. This proposed amendment Opening Process Cancel Timer Exchange believes that the addition of does not change the manner in which The Exchange’s proposal to adopt an this defined term will bring greater MRX’s System operates today. The Opening Process Cancel Timer within clarity to the manner in which the term Exchange believes that this rule text will Options 3, Section 8(k), similar to ‘‘imbalance’’ is defined within the bring greater transparency to the manner NOM’s and BX’s Rules at Options 3, System. This description is consistent in which the Exchange arrives at an Section 8(c) is consistent with the Act. with the current System operation. This Opening Price. The Exchange’s proposal to add a is a non-substantive rule change. The Exchange’s proposal to add new process whereby if an options series has The Exchange’s proposal to rule text at Options 3, Section 8(j)(1)(A) not opened before the conclusion of the specifically exclude orders with a Time to describe the current operation of the Opening Process Cancel Timer, a in Force of ‘‘Immediate-or-Cancel’’ and System with respect to imbalance Member may elect to have orders Add Liquidity Orders from the type of messages does not impose an undue

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burden on competition. The purpose of Commission summarily may comment submissions. You should this proposed text is to provide greater temporarily suspend such rule change if submit only information that you wish information to market participants to it appears to the Commission that such to make available publicly. All explain the information that is being action is necessary or appropriate in the submissions should refer to File conveyed when an imbalance message public interest, for the protection of Number SR–MRX–2020–09 and should indicates ‘‘0’’ volume. All market investors, or otherwise in furtherance of be submitted on or before May 13, 2020. participants are able to respond to an the purposes of the Act. If the For the Commission, by the Division of imbalance messages and have their Commission takes such action, the Trading and Markets, pursuant to delegated interest considered in determining a fair Commission shall institute proceedings authority.20 and reasonable Opening Price. to determine whether the proposed rule J. Matthew DeLesDernier, The Exchange’s proposal to adopt an change should be approved or Assistant Secretary. Opening Process Cancel Timer within disapproved. [FR Doc. 2020–08484 Filed 4–21–20; 8:45 am] Options 3, Section 8(k), similar to NOM’s and BX’s Rules at Options 3, IV. Solicitation of Comments BILLING CODE 8011–01–P Section 8(c), does not impose an undue Interested persons are invited to submit written data, views, and burden on competition. Adopting a SECURITIES AND EXCHANGE arguments concerning the foregoing, cancel timer similar to NOM and BX COMMISSION will increase the efficiency of MRX’s including whether the proposed rule Opening Process for all market change is consistent with the Act. [Release No. 34–88671; File No. SR–GEMX– participants. All market participants Comments may be submitted by any of 2020–10] will have the ability to elect to have the following methods: Self-Regulatory Organizations; Nasdaq orders returned, except for non-GTC/ Electronic Comments GEMX, LLC; Notice of Filing and GTD orders, when symbols do not open. • This feature provides Members with Use the Commission’s internet Immediate Effectiveness of Proposed choice about where, and when, they can comment form (http://www.sec.gov/ Rule Change To Adopt a New Rule rules/sro.shtml); or Titled Transfer of Positions Within send orders for the opening that would • afford them the best experience. The Send an email to rule-comments@ Options 6, Section 5 Exchange believes that this additional sec.gov. Please include File Number SR– MRX–2020–09 on the subject line. April 16, 2020. feature will attract additional order flow Pursuant to Section 19(b)(1) of the to the Exchange. Paper Comments Securities Exchange Act of 1934 The remainder of the proposed rule • (‘‘Act’’),1 and Rule 19b–4 thereunder,2 text is intended to bring greater Send paper comments in triplicate to Secretary, Securities and Exchange notice is hereby given that on April 7, transparency to the Opening Process 2020, Nasdaq GEMX, LLC (‘‘GEMX’’ or rule while also adding additional detail Commission, 100 F Street NE, Washington, DC 20549–1090. ‘‘Exchange’’) filed with the Securities and clarity and therefore does not have and Exchange Commission an impact on competition. All submissions should refer to File Number SR–MRX–2020–09. This file (‘‘Commission’’) the proposed rule C. Self-Regulatory Organization’s number should be included on the change as described in Items I and II, Statement on Comments on the subject line if email is used. To help the below, which Items have been prepared Proposed Rule Change Received From Commission process and review your by the Exchange. The Commission is Members, Participants, or Others comments more efficiently, please use publishing this notice to solicit No written comments were either only one method. The Commission will comments on the proposed rule change solicited or received. post all comments on the Commission’s from interested persons. internet website (http://www.sec.gov/ I. Self-Regulatory Organization’s III. Date of Effectiveness of the rules/sro.shtml). Copies of the Proposed Rule Change and Timing for Statement of the Terms of Substance of submission, all subsequent Commission Action the Proposed Rule Change amendments, all written statements The Exchange proposes to adopt a Because the foregoing proposed rule with respect to the proposed rule new rule titled ‘‘Transfer of Positions’’ change does not: (i) Significantly affect change that are filed with the within Options 6, Section 5. the protection of investors or the public Commission, and all written interest; (ii) impose any significant The text of the proposed rule change communications relating to the is available on the Exchange’s website at burden on competition; and (iii) become proposed rule change between the operative for 30 days from the date on http://nasdaqgemx.cchwallstreet.com/, Commission and any person, other than at the principal office of the Exchange, which it was filed, or such shorter time those that may be withheld from the as the Commission may designate, it has and at the Commission’s Public public in accordance with the Reference Room. become effective pursuant to Section provisions of 5 U.S.C. 552, will be 19(b)(3)(A) of the Act 18 and Rule 19b– available for website viewing and II. Self-Regulatory Organization’s 4(f)(6) thereunder.19 printing in the Commission’s Public Statement of the Purpose of, and At any time within 60 days of the Reference Room, 100 F Street NE, Statutory Basis for, the Proposed Rule filing of the proposed rule change, the Washington, DC 20549, on official Change business days between the hours of In its filing with the Commission, the 18 15 U.S.C. 78s(b)(3)(A). 10:00 a.m. and 3:00 p.m. Copies of the 19 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Exchange included statements 4(f)(6)(iii) requires a self-regulatory organization to filing also will be available for concerning the purpose of and basis for give the Commission written notice of its intent to inspection and copying at the principal the proposed rule change and discussed file the proposed rule change, along with a brief office of the Exchange. All comments any comments it received on the description and text of the proposed rule change, received will be posted without change. at least five business days prior to the date of filing of the proposed rule change, or such shorter time Persons submitting comments are 20 17 CFR 200.30–3(a)(12). as designated by the Commission. The Exchange cautioned that we do not redact or edit 1 15 U.S.C. 78s(b)(1). has satisfied this requirement. personal identifying information from 2 17 CFR 240.19b–4.

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proposed rule change. The text of these accounts of the same Person, provided treatment, unless otherwise permitted statements may be examined at the the accounts are not in separate by proposed paragraph (f). No position places specified in Item IV below. The aggregation units or otherwise subject to may net against another position Exchange has prepared summaries, set information barrier or account (‘‘netting’’), and no position transfer forth in sections A, B, and C below, of segregation requirements; may result in preferential margin or the most significant aspects of such (3) the consolidation of accounts haircut treatment.8 Netting occurs when statements. where no change in ownership is long positions and short positions in the involved; same series ‘‘offset’’ against each other, A. Self-Regulatory Organization’s (4) a merger, acquisition, leaving no or a reduced position. For Statement of the Purpose of, and consolidation, or similar non-recurring example, if a Member wanted to transfer Statutory Basis for, the Proposed Rule transaction for a Person; 100 long calls to another account that Change (5) the dissolution of a joint account contained short calls of the same 1. Purpose in which the remaining Member options series as well as other positions, The Exchange proposes to adopt a assumes the positions of the joint even if the transfer is permitted new rule titled, ‘‘Transfer of Positions’’ account; pursuant to one of the 10 permissible within Options 6, Section 5, which is (6) the dissolution of a corporation or events listed in the proposed Rule, the currently reserved. Today, GEMX does partnership in which a former nominee Member could not transfer the offsetting not permit transfers. This proposed rule of the corporation or partnership series, as they would net against each 9 specifies the specific limited assumes the positions; other and close the positions. circumstances under which a Member (7) positions transferred as part of a However, netting is permitted for may effect transfers of positions. This Member’s capital contribution to a new transfers on behalf of a Market Maker rule would permit market participants joint account, partnership, or account for transactions in multiply to move positions from one account to corporation; listed options series on different options another without first exposure of the (8) the donation of positions to a not- exchanges, but only if the Market Maker transaction on the GEMX. This rule for-profit corporation; nominees are trading for the same would permit transfers upon the (9) the transfer of positions to a minor Member, and the options transactions occurrence of significant, non-recurring under the Uniform Gifts to Minors Act; on the different options exchanges clear events. The proposed rule change is or into separate exchange-specific accounts similar to Cboe Rule 6.7.3 (10) the transfer of positions through because they cannot easily clear into the operation of law from death, same Market Maker account at the Permissible Transfers bankruptcy, or otherwise.4 Clearing Corporation. In such instances, The Exchange proposes to adopt new The Exchange proposes to define all Market Maker positions in the Options 6, Section 5 titled ‘‘Transfer of ‘‘Person’’ as ‘‘an individual, partnership exchange-specific accounts for the Positions’’ to provide for the (general or limited), joint stock multiply listed class would be circumstances pursuant to which company, corporation, limited liability automatically transferred on their trade Members may transfer their options company, trust or unincorporated date into one central Market Maker positions without first exposing the organization, or any governmental entity account (commonly referred to as a order. This rule states that a Member or agency or political subdivision ‘‘universal account’’) at the Clearing must be on at least one side of the thereof.’’ 5 The proposed rule change Corporation. Positions cleared into a transfer. This rule is similar to CBOE makes clear that the transferred universal account would automatically Rule 6.7. Currently, GEMX has no rule positions must be on, from, or to the net against each other. Options that specifically addresses transfers. books of a Clearing Member. The exchanges permit different naming The Exchange proposes to provide at proposed rule change states that existing conventions with respect to Market proposed Options 6, Section 5(a), positions of a Member or a non-Member Maker account acronyms (for example, ‘‘Permissible Transfers. Existing may be subject to a transfer, except lettering versus numbering and number positions in options listed on the under specified circumstances in which of characters), which are used for Exchange of a Member or non-Member a transfer may only be effected for accounts at the Clearing Corporation. A that are to be transferred on, from, or to positions of a Member.6 The Exchange Market Maker may have a nominee with the books of a Clearing Member may be notes transfers of positions in Exchange- an appointment in class XYZ on Phlx, transferred off the Exchange if the listed options may also be subject to and have another nominee with an transfer involves one or more of the applicable laws, rules, and regulations, appointment in class XYZ on GEMX, following events: including rules of other self-regulatory but due to account acronym naming (1) Pursuant to Options 9, Section 5, organizations.7 Except as explicitly conventions, those nominees may need an adjustment or transfer in connection provided in the proposed rule text, the to clear their transactions into separate with the correction of a bona fide error proposed rule change is not intended to accounts (one for Phlx Options in the recording of a transaction or the exempt position transfers from any transactions and another for GEMX transferring of a position to another other applicable rules or regulations, transactions) at the Clearing Corporation account, provided that the original trade and proposed paragraph (h) makes this rather into a universal account (in documentation confirms the error; clear in the rule. which account the positions may net). (2) the transfer of positions from one Proposed Options 6, Section (b) The proposed rule change permits account to another account where no codifies Exchange guidance regarding transfers from these separate exchange- change in ownership is involved (i.e., certain restrictions on permissible specific accounts into the Market transfers related to netting of open 3 See Securities and Exchange Act Release No. positions and to margin and haircut 8 For example, positions may not transfer from a 88424 (March 19, 2020), 85 FR 16981 (March 25, customer, joint back office, or firm account to a 2020) (SR–Cboe–2019–035) (Notice of Filing of Market Maker account. However, positions may 4 Amendment Nos. 1 and 2 and Order Granting See Cboe Rule 6.7(a). transfer from a Market Maker account to a customer, Accelerated Approval of a Proposed Rule Change, 5 See Cboe Rule 1.1. joint back office, or firm account (assuming no as Modified by Amendment Nos. 1 and 2, Regarding 6 See proposed Options 6, Section 5(a)(5) and (7). netting of positions occurs). Off-Floor Position Transfers). 7 See proposed Options 6, Section 5(h). 9 See Cboe Rule 6.7(b).

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Maker’s universal account in this transfer date; the method for may permit a transfer if necessary or circumstance to achieve this purpose. determining the transfer price; and any appropriate for the maintenance of a fair other information requested by the and orderly market and the protection of Transfer Price Exchange.13 The proposed notice will investors and is in the public interest, Proposed Options 6, Section 5(c) ensure the Exchange is aware of all including due to unusual or states the transfer price, to the extent it transfers so that it can monitor and extraordinary circumstances. For is consistent with applicable laws, rules, review them (including the records that example, an exemption may be granted and regulations, including rules of other must be retained pursuant to proposed if the market value of the Person’s self-regulatory organizations, and tax paragraph (e)) to determine whether positions would be compromised by and accounting rules and regulations, at they are effected in accordance with the having to comply with the requirement which a transfer is effected may be: (1) Rules. to trade on the Exchange pursuant to the The original trade prices of the positions Additionally, requiring notice from normal auction process or when, in the that appear on the books of the trading the Member(s) and its Clearing judgment of the Chief Executive Officer, Clearing Member, in which case the Member(s) will ensure both parties are President or his or her designee, market records of the transfer must indicate the in agreement with respect to the terms conditions make trading on the original trade dates for the positions; of the transfer. As noted in proposed Exchange impractical.15 provided, transfers to correct bona fide subparagraph (d)(2), receipt of notice of errors pursuant to proposed an transfer does not constitute a Routine, Recurring Transfers subparagraph (a)(1) must be transferred determination by the Exchange that the The Exchange proposes within at the correct original trade prices; (2) transfer was effected or reported in Options 6, Section 5(g) that the transfer mark-to-market prices of the positions at conformity with the requirements of procedure set forth in Options 6, the close of trading on the transfer date; proposed Section 10(b). Section 5 is intended to facilitate non- (3) mark-to-market prices of the Notwithstanding submission of written routine, nonrecurring movements of positions at the close of trading on the notice to the Exchange, Members and positions.16 The transfer procedure is trade date prior to the transfer date; 10 or Clearing Members that effect transfers not to be used repeatedly or routinely in (4) the then-current market price of the that do not conform to the requirements circumvention of the normal auction positions at the time the transfer is of proposed Section 10(b) will be market process. effected.11 subject to appropriate disciplinary Exchange-Listed Options This proposed rule change provides action in accordance with the Rules. market participants that effect The Exchange proposes within transactions with flexibility to select a Records Options 6, Section 5(h) notes that the transfer price based on circumstances of Similarly, proposed Options 6, transfer procedure set forth in Options the transfer and their business. Section 5(e) requires each Member and 6, Section 5 is only applicable to However, for corrections of bona fide each Clearing Member that is a party to positions in options listed on the errors, because those transfers are a transfer must make and retain records Exchange. Transfers of positions in necessary to correct processing errors of the information provided in the Exchange-listed options may also be that occurred at the time of transaction, written notice to the Exchange pursuant subject to applicable laws, rules, and those transfers would occur at the to proposed subparagraph (e)(1), as well regulations, including rules of other original transaction price, as the as information on the actual Exchange- self-regulatory organizations. Transfers purpose of the transfer is to create the listed options that are ultimately of non-Exchange listed options and originally intended result of the transferred, the actual transfer date, and other financial instruments are not 17 transaction. the actual transfer price (and the governed by this Rule. Prior Written Notice original trade dates, if applicable), and 2. Statutory Basis any other information the Exchange may The Exchange believes that its Proposed Options 6, Section 5(d) request the Member or Clearing Member proposal is consistent with Section 6(b) requires a Member and its Clearing provide.14 Member (to the extent that the Member of the Act,18 in general, and furthers the is not self-clearing) to submit to the Presidential Exemption objectives of Section 6(b)(5) of the Act,19 Exchange, in a manner determined by Proposed paragraph (f) provides in particular, in that it is designed to the Exchange, written notice prior to exemptions approved by the Exchange’s promote just and equitable principles of effecting an transfer from or to the Chief Executive Officer or President (or trade, to remove impediments to and account of a Member(s).12 The notice senior-level designee). Specifically, this perfect the mechanism of a free and must indicate: The Exchange-listed provision is in addition to the open market and a national market options positions to be transferred; the exemptions set forth in proposed system, and, in general to protect nature of the transaction; the paragraph (a). The Exchange proposes investors and the public interest. Specifically, the Exchange believes enumerated provision(s) under that the Exchange Chief Executive the proposed transfer rule is consistent proposed paragraph (a) pursuant to Officer or President (or senior-level with the Section 6(b)(5) 20 requirements which the positions are being designee) may grant an exemption from that the rules of an exchange be transferred; the name of the the requirement of this proposed Rule, designed to prevent fraudulent and counterparty(ies); the anticipated on his or her own motion or upon manipulative acts and practices, to application of the Member (with respect 10 promote just and equitable principles of For example, for a transfer that occurs on a to the Member’s positions) or a Clearing Tuesday, the transfer price may be based on the trade, to foster cooperation and closing market price on Monday. Member (with respect to positions 11 See Cboe Rule 6.7(c). carried and cleared by the Clearing 15 See Cboe Rule 6.7(f). 12 This notice provision applies only to transfers Members). The Chief Executive Officer, 16 See Cboe Rule 6.7(g). involving a Member’s positions and not to positions the President or his or her designee, 17 of non-Member parties, as they are not subject to See Cboe Rule 6.7(h). the Rules. In addition, no notice would be required 18 15 U.S.C. 78f(b). to effect transfers to correct bona fide errors 13 See Cboe Rule 6.7(d). 19 15 U.S.C. 78f(b)(5). pursuant to proposed subparagraph (a)(1). 14 See Cboe Rule 6.7(e). 20 15 U.S.C. 78f(b)(5).

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coordination with persons engaged in The proposed rule change which who are similarly situated with the regulating, clearing, settling, processing requires notice and maintenance of organization as senior-level individuals. information with respect to, and records will ensure the Exchange is able B. Self-Regulatory Organization’s facilitating transactions in securities, to to review transfers for compliance with Statement on Burden on Competition remove impediments to and perfect the the Rules, which prevents fraudulent mechanism of a free and open market and manipulative acts and practices. The Exchange does not believe that and a national market system, and, in The requirement to retain records is the proposed rule change will impose general, to protect investors and the consistent with the requirements of Rule any burden on competition that is not public interest. Additionally, the 17a–3 and 17a–4 under the Act. necessary or appropriate in furtherance Exchange believes the proposed rule of the purposes of the Act. change is consistent with the Section Similar to Cboe Rule 6.7, the The Exchange does not believe the 6(b)(5) 21 requirement that the rules of Exchange would permit a presidential proposed rule change will impose an an exchange not be designed to permit exemption. The Exchange believes that undue burden on intra-market unfair discrimination between this exemption is consistent with the competition as the transfer procedure customers, issuers, brokers, or dealers. Act because the Exchange’s Chief may be utilized by any Member and the The Exchange believes that permitting Executive Officer or President (or rule will apply uniformly to all transfers under new Options 6, Section senior-level designee) would consider Members. Use of the transfer procedure 5 in very limited circumstances is an exemption in very limited is voluntary, and all Members may use reasonable to allow a Member to circumstances. The transfer process is the procedure to transfer positions as accomplish certain goals efficiently. The intended to facilitate non-routine, long as the criteria in the proposed rule proposed rule permits transfers in nonrecurring movements of positions are satisfied. With this change, a situations involving dissolutions of and, therefore, is not to be used Member that experiences limited entities or accounts, for purposes of repeatedly or routinely in permissible, non-recurring events would donations, mergers or by operation of circumvention of the normal auction have an efficient and effective means to law. For example, a Member that is market process. Proposed Options 6, transfer positions in these situations. undergoing a structural change and a Section 5(f) specifically provides within The Exchange believes the proposed one-time movement of positions may the rule text that the Exchange’s Chief rule change regarding permissible require a transfer of positions or a Executive Officer or President (or transfer prices provides market Member that is leaving a firm that will senior-level designee) may in his or her participants with flexibility to no longer be in business may require a judgment allow a transfer if it is determine the price appropriate for their transfer of positions to another firm. necessary or appropriate for the business, which determine prices in Also, a Member may require a transfer maintenance of a fair and orderly accordance with normal accounting of positions to make a capital market and the protection of investors practices and removes impediments to a contribution. The above-referenced and is in the public interest, including free and open market. The Exchange circumstances are non-recurring due to unusual or extraordinary does not believe the proposed notice situations where the transferor circumstances such as the market value and record requirements are unduly continues to maintain some ownership of the Person’s positions will be burdensome to market participants. The interest or manage the positions comprised by having to comply with the Exchange believes the proposed transferred. By contrast, repeated or requirement to trade on the Exchange requirements are reasonable and will ensure the Exchange is aware of routine transfers between entities or pursuant to the normal auction process transfers and would be able to monitor accounts—even if there is no change in or, when in the judgment of President and review the transfers to ensure the beneficial ownership as a result of the or his or her designee, market transfer—is inconsistent with the transfer falls within the proposed rule. conditions make trading on the Adopting an exemption, similar to purposes for which the proposed rule Exchange impractical. These standards was adopted. Accordingly, the Exchange Cboe Rule 6.7, to permit the Exchange’s within proposed Options 6, Section 5(f) Chief Executive Officer or President (or believes that such activity should not be are intended to provide guidance permitted under the rules and thus, senior-level designee) to grant an concerning the use of this exemption exemption to Options 6, Section 5(a) seeks to adopt language in proposed which is intended to provide the paragraph (f) to proposed Options 6, prohibition if, in his or her judgment, Exchange with the ability to utilize the Section 5 that the transfer of positions does not impose an undue burden on exemption for the maintenance of a fair procedures set forth the proposed rule competition. Circumstances where, due and orderly market and the protection of are intended to facilitate non-recurring to unusual or extraordinary investors and is in the public interest. movements of positions. circumstances such as the market value The proposed rule change will The Exchange believes that the of the Person’s positions would be provide market participants that exemption is consistent with the Act comprised by having to comply with the experience these limited, non-recurring because it would allow the Exchange’s requirement to trade on the Exchange events with an efficient and effective Chief Executive Officer or President (or pursuant to the normal auction process means to transfer positions in these senior-level designee) to act in certain or, would be taken into consideration in situations. The Exchange believes the situations which comply with the each case where, in the judgment of the proposed rule change regarding guidance within Options 6, Section 5(f) Exchange’s Chief Executive Officer or permissible transfer prices provides which are intended to protect investors President (or senior-level designee), market participants with flexibility to and the general public. While Cboe market conditions make trading on the determine the price appropriate for their grants an exemption to the President (or Exchange impractical. business, which maintain cost bases in senior-level designee),22 the Exchange The Exchange does not believe the accordance with normal accounting has elected to grant an exemption to proposed rule change will impose an practices and removes impediments to a Exchange’s Chief Executive Officer or undue burden on inter-market free and open market. President (or senior-level designee), competition. The proposed position transfer procedure is not intended to be 21 Id. 22 See Cboe Rule 6.7(f). a competitive trading tool. The

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proposed rule change permits, in 4(f)(6)(iii) 25 permits the Commission to only one method. The Commission will limited circumstances, a transfer to designate a shorter time if such action post all comments on the Commission’s facilitate non-routine, nonrecurring is consistent with the protection of internet website (http://www.sec.gov/ movements of positions. As provided investors and the public interest. The rules/sro.shtml). Copies of the for in proposed Options 6, Section 5(g), Exchange has asked the Commission to submission, all subsequent it would not be used repeatedly or waive the 30-day operative delay. The amendments, all written statements routinely in circumvention of the Commission notes that waiver of the with respect to the proposed rule normal auction market process. operative delay would provide Members change that are filed with the Proposed Options 6, Section 5(a) with the ability to request a transfer, for Commission, and all written specifically provides within the rule limited, non-recurring types of transfers, communications relating to the text that the Exchange’s Chief Executive without the need for exposing those proposed rule change between the Officer or President (or senior-level orders on the Exchange, similar to Commission and any person, other than designee) may in his or her judgment Cboe.26 The Commission believes that those that may be withheld from the allow a transfer for the maintenance of waiver of the 30-day operative delay is public in accordance with the a fair and orderly market and the consistent with the protection of provisions of 5 U.S.C. 552, will be protection of investors and is in the investors and the public interest. available for website viewing and public interest. The Exchange believes Accordingly, the Commission waives printing in the Commission’s Public that the exemption does not impose an the 30-day operative delay and Reference Room, 100 F Street NE, undue burden on competition as the designates the proposed rule change Washington, DC 20549, on official Exchange’s Chief Executive Officer or operative upon filing.27 business days between the hours of President (or senior-level designee) At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the would apply the exemption consistent filing of the proposed rule change, the filing also will be available for with the guidance within Options 6, Commission summarily may inspection and copying at the principal Section 5(f). Additionally, as discussed temporarily suspend such rule change if office of the Exchange. All comments above, the proposed rule change is it appears to the Commission that such received will be posted without change. similar to Cboe Rule 6.7. The Exchange action is necessary or appropriate in the Persons submitting comments are believes having similar rules related to public interest, for the protection of cautioned that we do not redact or edit transfer positions to those of other investors, or otherwise in furtherance of personal identifying information from options exchanges will reduce the the purposes of the Act. If the comment submissions. You should administrative burden on market Commission takes such action, the submit only information that you wish participants of determining whether Commission shall institute proceedings to make available publicly. All their transfers comply with multiple to determine whether the proposed rule submissions should refer to File sets of rules. should be approved or disapproved. Number SR–GEMX–2020–10 and should be submitted on or before May C. Self-Regulatory Organization’s IV. Solicitation of Comments 13, 2020. Statement on Comments on the Interested persons are invited to For the Commission, by the Division of Proposed Rule Change Received From submit written data, views, and Trading and Markets, pursuant to delegated Members, Participants, or Others arguments concerning the foregoing, authority.28 No written comments were either including whether the proposed rule J. Matthew DeLesDernier, solicited or received. change is consistent with the Act. Assistant Secretary. Comments may be submitted by any of [FR Doc. 2020–08492 Filed 4–21–20; 8:45 am] III. Date of Effectiveness of the the following methods: Proposed Rule Change and Timing for BILLING CODE 8011–01–P Commission Action Electronic Comments • Because the foregoing proposed rule Use the Commission’s internet SECURITIES AND EXCHANGE change does not: (i) Significantly affect comment form (http://www.sec.gov/ COMMISSION the protection of investors or the public rules/sro.shtml); or • Send an email to rule-comments@ [Release No. 34–88672; File No. SR–BX– interest; (ii) impose any significant sec.gov. Please include File Number SR– 2020–006] burden on competition; and (iii) become GEMX–2020–10 on the subject line. operative for 30 days from the date on Self-Regulatory Organizations; Nasdaq which it was filed, or such shorter time Paper Comments BX, Inc.; Notice of Filing and as the Commission may designate, it has • Send paper comments in triplicate Immediate Effectiveness of Proposed become effective pursuant to Section to Secretary, Securities and Exchange Rule Change To Adopt a New Rule 23 19(b)(3)(A)(iii) of the Act and Commission, 100 F Street NE, Titled Transfer of Positions Within subparagraph (f)(6) of Rule 19b–4 Washington, DC 20549–1090. Options 6, Section 5 24 thereunder. All submissions should refer to File A proposed rule change filed under April 16, 2020. Number SR–GEMX–2020–10. This file Pursuant to Section 19(b)(1) of the Rule 19b–4(f)(6) normally does not number should be included on the become operative for 30 days from the Securities Exchange Act of 1934 subject line if email is used. To help the 1 2 date of filing. However, Rule 19b– (‘‘Act’’), and Rule 19b–4 thereunder, Commission process and review your notice is hereby given that on April 14, comments more efficiently, please use 23 15 U.S.C. 78s(b)(3)(A)(iii). 2020, Nasdaq BX, Inc. (‘‘BX’’ or 24 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– ‘‘Exchange’’) filed with the Securities 4(f)(6) requires a self-regulatory organization to give 25 17 CFR 240.19b–4(f)(6)(iii). and Exchange Commission the Commission written notice of its intent to file 26 See CBOE Rule 6.7. (‘‘Commission’’) the proposed rule the proposed rule change at least five business days 27 For purposes only of waiving the 30-day prior to the date of filing of the proposed rule operative delay, the Commission has also change, or such shorter time as designated by the considered the proposed rule’s impact on 28 17 CFR 200.30–3(a)(12). Commission. The Exchange has satisfied this efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). requirement. 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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change as described in Items I and II, Positions’’ to provide for the thereof.’’ 5 The proposed rule change below, which Items have been prepared circumstances pursuant to which makes clear that the transferred by the Exchange. The Commission is Participants may transfer their options positions must be on, from, or to the publishing this notice to solicit positions without first exposing the books of a Clearing Member. The comments on the proposed rule change order. This rule states that a Participant proposed rule change states that existing from interested persons. must be on at least one side of the positions of a Participant or a non- Participant may be subject to a transfer, I. Self-Regulatory Organization’s transfer. This rule is similar to CBOE except under specified circumstances in Statement of the Terms of Substance of Rule 6.7. Currently, BX has no rule that which a transfer may only be effected the Proposed Rule Change specifically addresses transfers. The Exchange proposes to provide at for positions of a Participant.6 The The Exchange proposes to adopt a proposed Options 6, Section 5(a), Exchange notes transfers of positions in new rule titled ‘‘Transfer of Positions’’ ‘‘Permissible Transfers. Existing Exchange-listed options may also be within BX Options 6, Section 5. positions in options listed on the subject to applicable laws, rules, and The text of the proposed rule change Exchange of a Participant or non- regulations, including rules of other is available on the Exchange’s website at Participant that are to be transferred on, self-regulatory organizations.7 Except as http://nasdaqbx.cchwallstreet.com/, at from, or to the books of a Clearing explicitly provided in the proposed rule the principal office of the Exchange, and Participant may be transferred off the if text, the proposed rule change is not at the Commission’s Public Reference the transfer involves one or more of the intended to exempt position transfers Room. following events: from any other applicable rules or II. Self-Regulatory Organization’s (1) Pursuant to General 9, Section 1, regulations, and proposed paragraph (h) Statement of the Purpose of, and an adjustment or transfer in connection makes this clear in the rule. Statutory Basis for, the Proposed Rule with the correction of a bona fide error Proposed Options 6, Section (b) Change in the recording of a transaction or the codifies Exchange guidance regarding transferring of a position to another certain restrictions on permissible In its filing with the Commission, the account, provided that the original trade transfers related to netting of open Exchange included statements documentation confirms the error; positions and to margin and haircut concerning the purpose of and basis for (2) the transfer of positions from one treatment, unless otherwise permitted the proposed rule change and discussed account to another account where no by proposed paragraph (f). No position any comments it received on the change in ownership is involved (i.e., may net against another position proposed rule change. The text of these accounts of the same Person, provided (‘‘netting’’), and no position transfer statements may be examined at the the accounts are not in separate may result in preferential margin or places specified in Item IV below. The aggregation units or otherwise subject to haircut treatment.8 Netting occurs when Exchange has prepared summaries, set information barrier or account long positions and short positions in the forth in sections A, B, and C below, of segregation requirements; same series ‘‘offset’’ against each other, the most significant aspects of such (3) the consolidation of accounts leaving no or a reduced position. For statements. where no change in ownership is example, if a Participant wanted to A. Self-Regulatory Organization’s involved; transfer 100 long calls to another Statement of the Purpose of, and (4) a merger, acquisition, account that contained short calls of the Statutory Basis for, the Proposed Rule consolidation, or similar non-recurring same options series as well as other Change transaction for a Person; positions, even if the transfer is (5) the dissolution of a joint account permitted pursuant to one of the 10 1. Purpose in which the remaining Participant permissible events listed in the The Exchange proposes to adopt a assumes the positions of the joint proposed Rule, the Participant could not new rule titled, ‘‘Transfer of Positions’’ account; transfer the offsetting series, as they within BX Options 6, Section 5, which (6) the dissolution of a corporation or would net against each other and close is currently reserved. Today, BX does partnership in which a former nominee the positions.9 not permit transfers. This proposed rule of the corporation or partnership However, netting is permitted for specifies the specific limited assumes the positions; transfers on behalf of a Market Maker circumstances under which a (7) positions transferred as part of a account for transactions in multiply Participant may effect transfers of Participant’s capital contribution to a listed options series on different options positions. This rule would permit new joint account, partnership, or exchanges, but only if the Market Maker market participants to move positions corporation; nominees are trading for the same from one account to another without (8) the donation of positions to a not- Participant, and the options transactions first exposure of the transaction on the for-profit corporation; on the different options exchanges clear BX. This rule would permit transfers (9) the transfer of positions to a minor into separate exchange-specific accounts upon the occurrence of significant, non- under the Uniform Gifts to Minors Act; because they cannot easily clear into the recurring events. The proposed rule or same Market Maker account at the change is similar to Cboe Rule 6.7.3 (10) the transfer of positions through Clearing Corporation. In such instances, operation of law from death, all Market Maker positions in the Permissible Transfers bankruptcy, or otherwise.4 The Exchange proposes to adopt new The Exchange proposes to define 5 See Cboe Rule 1.1. Options 6, Section 5 titled ‘‘Transfer of ‘‘Person’’ as ‘‘an individual, partnership 6 See proposed Options 6, Section 5(a)(5) and (7). (general or limited), joint stock 7 See proposed Options 6, Section 5(h). 3 See Securities and Exchange Act Release No. company, corporation, limited liability 8 For example, positions may not transfer from a 88424 (March 19, 2020), 85 FR 16981 (March 25, company, trust or unincorporated customer, joint back office, or firm account to a 2020) (SR–Cboe–2019–035) (Notice of Filing of organization, or any governmental entity Market Maker account. However, positions may Amendment Nos. 1 and 2 and Order Granting transfer from a Market Maker account to a customer, Accelerated Approval of a Proposed Rule Change, or agency or political subdivision joint back office, or firm account (assuming no as Modified by Amendment Nos. 1 and 2, Regarding netting of positions occurs). Off-Floor Position Transfers). 4 See Cboe Rule 6.7(a). 9 See Cboe Rule 6.7(b).

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exchange-specific accounts for the errors, because those transfers are the written notice to the Exchange multiply listed class would be necessary to correct processing errors pursuant to proposed subparagraph automatically transferred on their trade that occurred at the time of transaction, (e)(1), as well as information on the date into one central Market Maker those transfers would occur at the actual Exchange-listed options that are account (commonly referred to as a original transaction price, as the ultimately transferred, the actual ‘‘universal account’’) at the Clearing purpose of the transfer is to create the transfer date, and the actual transfer Corporation. Positions cleared into a originally intended result of the price (and the original trade dates, if universal account would automatically transaction. applicable), and any other information net against each other. Options Prior Written Notice the Exchange may request the exchanges permit different naming Participant or Clearing Participant conventions with respect to Market Proposed Options 6, Section 5(d) provide.14 Maker account acronyms (for example, requires a Participant and its Clearing Presidential Exemption lettering versus numbering and number Participant (to the extent that the of characters), which are used for Participant is not self-clearing) to Proposed paragraph (f) provides accounts at the Clearing Corporation. A submit to the Exchange, in a manner exemptions approved by the Exchange’s Market Maker may have a nominee with determined by the Exchange, written Chief Executive Officer or President (or an appointment in class XYZ on Phlx, notice prior to effecting an transfer from senior-level designee). Specifically, this 12 and have another nominee with an or to the account of a Participant(s). provision is in addition to the appointment in class XYZ on BX, but The notice must indicate: the Exchange- exemptions set forth in proposed due to account acronym naming listed options positions to be paragraph (a). The Exchange proposes conventions, those nominees may need transferred; the nature of the that the Exchange Chief Executive to clear their transactions into separate transaction; the enumerated provision(s) Officer or President (or senior-level accounts (one for Phlx Options under proposed paragraph (a) pursuant designee) may grant an exemption from transactions and another for BX to which the positions are being the requirement of this proposed Rule, transactions) at the Clearing Corporation transferred; the name of the on his or her own motion or upon rather into a universal account (in counterparty(ies); the anticipated application of the Participant (with which account the positions may net). transfer date; the method for respect to the Participant’s positions) or The proposed rule change permits determining the transfer price; and any a Clearing Member (with respect to transfers from these separate exchange- other information requested by the positions carried and cleared by the 13 specific accounts into the Market Exchange. The proposed notice will Clearing Members). The Chief Executive Maker’s universal account in this ensure the Exchange is aware of all Officer, the President or his or her circumstance to achieve this purpose. transfers so that it can monitor and designee, may permit a transfer if review them (including the records that necessary or appropriate for the Transfer Price must be retained pursuant to proposed maintenance of a fair and orderly Proposed Options 6, Section 5(c) paragraph (e)) to determine whether market and the protection of investors states the transfer price, to the extent it they are effected in accordance with the and is in the public interest, including is consistent with applicable laws, rules, Rules. due to unusual or extraordinary and regulations, including rules of other Additionally, requiring notice from circumstances. For example, an self-regulatory organizations, and tax the Participant(s) and its Clearing exemption may be granted if the market and accounting rules and regulations, at Participant(s) will ensure both parties value of the Person’s positions would be which an transfer is effected may be: (1) are in agreement with respect to the compromised by having to comply with The original trade prices of the positions terms of the transfer. As noted in the requirement to trade on the that appear on the books of the trading proposed subparagraph (d)(2), receipt of Exchange pursuant to the normal Clearing Participant, in which case the notice of an transfer does not constitute auction process or when, in the records of the transfer must indicate the a determination by the Exchange that judgment of the Chief Executive Officer, original trade dates for the positions; the transfer was effected or reported in President or his or her designee, market provided, transfers to correct bona fide conformity with the requirements of conditions make trading on the errors pursuant to proposed proposed Section 10(b). Exchange impractical.15 subparagraph (a)(1) must be transferred Notwithstanding submission of written Routine, Recurring Transfers at the correct original trade prices; (2) notice to the Exchange, Participants and mark-to-market prices of the positions at Clearing Participants that effect transfers The Exchange proposes within the close of trading on the transfer date; that do not conform to the requirements Options 6, Section 5(g) that the transfer (3) mark-to-market prices of the of proposed Section 10(b) will be procedure set forth in Options 6, positions at the close of trading on the subject to appropriate disciplinary Section 5 is intended to facilitate non- trade date prior to the transfer date; 10 or action in accordance with the Rules. routine, nonrecurring movements of 16 (4) the then-current market price of the Records positions. The transfer procedure is positions at the time the transfer is not to be used repeatedly or routinely in Similarly, proposed Options 6, effected.11 circumvention of the normal auction This proposed rule change provides Section 5(e) requires each Participant market process. and each Clearing Participant that is a market participants that effect Exchange-Listed Options transactions with flexibility to select a party to a transfer must make and retain transfer price based on circumstances of records of the information provided in The Exchange proposes within the transfer and their business. Options 6, Section 5(h) notes that the 12 However, for corrections of bona fide This notice provision applies only to transfers transfer procedure set forth in Options involving a Participant’s positions and not to 6, Section 5 is only applicable to positions of non-Participant parties, as they are not 10 For example, for a transfer that occurs on a subject to the Rules. In addition, no notice would Tuesday, the transfer price may be based on the be required to effect transfers to correct bona fide 14 See Cboe Rule 6.7(e). closing market price on Monday. errors pursuant to proposed subparagraph (a)(1). 15 See Cboe Rule 6.7(f). 11 See Cboe Rule 6.7(c). 13 See Cboe Rule 6.7(d). 16 See Cboe Rule 6.7(g).

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positions in options listed on the contribution. The above-referenced of the Person’s positions will be Exchange. Transfers of positions in circumstances are non-recurring comprised by having to comply with the Exchange-listed options may also be situations where the transferor requirement to trade on the Exchange subject to applicable laws, rules, and continues to maintain some ownership pursuant to the normal auction process regulations, including rules of other interest or manage the positions or, when in the judgment of President self-regulatory organizations. Transfers transferred. By contrast, repeated or or his or her designee, market of non-Exchange listed options and routine transfers between entities or conditions make trading on the other financial instruments are not accounts—even if there is no change in Exchange impractical. These standards governed by this Rule.17 beneficial ownership as a result of the within proposed Options 6, Section 5(f) transfer—is inconsistent with the are intended to provide guidance 2. Statutory Basis purposes for which the proposed rule concerning the use of this exemption The Exchange believes that its was adopted. Accordingly, the Exchange which is intended to provide the proposal is consistent with Section 6(b) believes that such activity should not be Exchange with the ability to utilize the of the Act,18 in general, and furthers the permitted under the rules and thus, exemption for the maintenance of a fair objectives of Section 6(b)(5) of the Act,19 seeks to adopt language in proposed and orderly market and the protection of in particular, in that it is designed to paragraph (f) to proposed Options 6, investors and is in the public interest. promote just and equitable principles of Section 5 that the transfer of positions The Exchange believes that the trade, to remove impediments to and procedures set forth the proposed rule exemption is consistent with the Act perfect the mechanism of a free and are intended to facilitate non-recurring because it would allow the Exchange’s open market and a national market movements of positions. Chief Executive Officer or President (or system, and, in general to protect The proposed rule change will senior-level designee) to act in certain investors and the public interest. provide market participants that situations which comply with the Specifically, the Exchange believes experience these limited, non-recurring guidance within Options 6, Section 5(f) the proposed transfer rule is consistent events with an efficient and effective which are intended to protect investors with the Section 6(b)(5) 20 requirements means to transfer positions in these and the general public. While Cboe that the rules of an exchange be situations. The Exchange believes the grants an exemption to the President (or designed to prevent fraudulent and proposed rule change regarding senior-level designee),22 the Exchange manipulative acts and practices, to permissible transfer prices provides has elected to grant an exemption to promote just and equitable principles of market participants with flexibility to Exchange’s Chief Executive Officer or trade, to foster cooperation and determine the price appropriate for their President (or senior-level designee), coordination with persons engaged in business, which maintain cost bases in who are similarly situated with the regulating, clearing, settling, processing accordance with normal accounting organization as senior-level individuals. information with respect to, and practices and removes impediments to a free and open market. B. Self-Regulatory Organization’s facilitating transactions in securities, to Statement on Burden on Competition remove impediments to and perfect the The proposed rule change which mechanism of a free and open market requires notice and maintenance of The Exchange does not believe that and a national market system, and, in records will ensure the Exchange is able the proposed rule change will impose general, to protect investors and the to review transfers for compliance with any burden on competition that is not public interest. Additionally, the the Rules, which prevents fraudulent necessary or appropriate in furtherance Exchange believes the proposed rule and manipulative acts and practices. of the purposes of the Act. change is consistent with the Section The requirement to retain records is The Exchange does not believe the 6(b)(5) 21 requirement that the rules of consistent with the requirements of Rule proposed rule change will impose an an exchange not be designed to permit 17a–3 and 17a–4 under the Act. undue burden on intra-market unfair discrimination between Similar to Cboe Rule 6.7, the competition as the transfer procedure customers, issuers, brokers, or dealers. Exchange would permit a presidential may be utilized by any Participant and The Exchange believes that permitting exemption. The Exchange believes that the rule will apply uniformly to all transfers under new Options 6, Section this exemption is consistent with the Participants. Use of the transfer 5 in very limited circumstances is Act because the Exchange’s Chief procedure is voluntary, and all reasonable to allow a Member to Executive Officer or President (or Participants may use the procedure to accomplish certain goals efficiently. The senior-level designee) would consider transfer positions as long as the criteria proposed rule permits transfers in an exemption in very limited in the proposed rule are satisfied. With situations involving dissolutions of circumstances. The transfer process is this change, a Participant that entities or accounts, for purposes of intended to facilitate non-routine, experiences limited permissible, non- donations, mergers or by operation of nonrecurring movements of positions recurring events would have an efficient law. For example, a Participant that is and, therefore, is not to be used and effective means to transfer positions undergoing a structural change and a repeatedly or routinely in in these situations. The Exchange one-time movement of positions may circumvention of the normal auction believes the proposed rule change require a transfer of positions or a market process. Proposed Options 6, regarding permissible transfer prices Participant that is leaving a firm that Section 5(f) specifically provides within provides market participants with the rule text that the Exchange’s Chief will no longer be in business may flexibility to determine the price Executive Officer or President (or require a transfer of positions to another appropriate for their business, which senior-level designee) may in his or her firm. Also, a Participant may require a determine prices in accordance with judgment allow a transfer if it is transfer of positions to make a capital normal accounting practices and necessary or appropriate for the removes impediments to a free and open 17 See Cboe Rule 6.7(h). maintenance of a fair and orderly market. The Exchange does not believe 18 15 U.S.C. 78f(b). market and the protection of investors the proposed notice and record 19 15 U.S.C. 78f(b)(5). and is in the public interest, including requirements are unduly burdensome to 20 15 U.S.C. 78f(b)(5). due to unusual or extraordinary 21 Id. circumstances such as the market value 22 See Cboe Rule 6.7(f).

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market participants. The Exchange C. Self-Regulatory Organization’s the purposes of the Act. If the believes the proposed requirements are Statement on Comments on the Commission takes such action, the reasonable and will ensure the Proposed Rule Change Received From Commission shall institute proceedings Exchange is aware of transfers and Members, Participants, or Others to determine whether the proposed rule would be able to monitor and review the No written comments were either should be approved or disapproved. transfers to ensure the transfer falls solicited or received. IV. Solicitation of Comments within the proposed rule. III. Date of Effectiveness of the Adopting an exemption, similar to Proposed Rule Change and Timing for Interested persons are invited to Cboe Rule 6.7, to permit the Exchange’s Commission Action submit written data, views, and Chief Executive Officer or President (or arguments concerning the foregoing, Because the foregoing proposed rule senior-level designee) to grant an including whether the proposed rule change does not: (i) Significantly affect change is consistent with the Act. exemption to Options 6, Section 5(a) the protection of investors or the public prohibition if, in his or her judgment, Comments may be submitted by any of interest; (ii) impose any significant the following methods: does not impose an undue burden on burden on competition; and (iii) become competition. Circumstances where, due operative for 30 days from the date on Electronic Comments to unusual or extraordinary which it was filed, or such shorter time • circumstances such as the market value as the Commission may designate, it has Use the Commission’s internet of the Person’s positions would be become effective pursuant to Section comment form (http://www.sec.gov/ comprised by having to comply with the 19(b)(3)(A)(iii) of the Act 23 and rules/sro.shtml); or requirement to trade on the Exchange subparagraph (f)(6) of Rule 19b–4 • Send an email to rule-comments@ pursuant to the normal auction process thereunder.24 sec.gov. Please include File Number SR– or, would be taken into consideration in A proposed rule change filed under BX–2020–006 on the subject line. each case where, in the judgment of the Rule 19b–4(f)(6) normally does not Exchange’s Chief Executive Officer or become operative for 30 days from the Paper Comments President (or senior-level designee), date of filing. However, Rule 19b– • 25 Send paper comments in triplicate market conditions make trading on the 4(f)(6)(iii) permits the Commission to to Secretary, Securities and Exchange Exchange impractical. designate a shorter time if such action Commission, 100 F Street NE, is consistent with the protection of The Exchange does not believe the Washington, DC 20549–1090. investors and the public interest. The proposed rule change will impose an Exchange has asked the Commission to All submissions should refer to File undue burden on inter-market waive the 30-day operative delay. The Number SR–BX–2020–006. This file competition. The proposed position Commission notes that waiver of the number should be included on the transfer procedure is not intended to be operative delay would provide subject line if email is used. To help the a competitive trading tool. The Participants with the ability to request Commission process and review your proposed rule change permits, in a transfer, for limited, non-recurring comments more efficiently, please use limited circumstances, a transfer to types of transfers, without the need for only one method. The Commission will facilitate non-routine, nonrecurring exposing those orders on the Exchange, post all comments on the Commission’s movements of positions. As provided similar to Cboe.26 The Commission internet website (http://www.sec.gov/ for in proposed Options 6, Section 5(g), believes that waiver of the 30-day rules/sro.shtml). Copies of the it would not be used repeatedly or operative delay is consistent with the submission, all subsequent routinely in circumvention of the protection of investors and the public amendments, all written statements normal auction market process. interest. Accordingly, the Commission with respect to the proposed rule Proposed Options 6, Section 5(a) waives the 30-day operative delay and change that are filed with the specifically provides within the rule designates the proposed rule change Commission, and all written text that the Exchange’s Chief Executive operative upon filing.27 communications relating to the Officer or President (or senior-level At any time within 60 days of the proposed rule change between the designee) may in his or her judgment filing of the proposed rule change, the Commission and any person, other than allow a transfer for the maintenance of Commission summarily may those that may be withheld from the a fair and orderly market and the temporarily suspend such rule change if public in accordance with the protection of investors and is in the it appears to the Commission that such provisions of 5 U.S.C. 552, will be public interest. The Exchange believes action is necessary or appropriate in the available for website viewing and that the exemption does not impose an public interest, for the protection of printing in the Commission’s Public undue burden on competition as the investors, or otherwise in furtherance of Reference Room, 100 F Street NE, Exchange’s Chief Executive Officer or Washington, DC 20549, on official President (or senior-level designee) 23 15 U.S.C. 78s(b)(3)(A)(iii). business days between the hours of would apply the exemption consistent 24 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6) requires a self-regulatory organization to give 10:00 a.m. and 3:00 p.m. Copies of the with the guidance within Options 6, the Commission written notice of its intent to file filing also will be available for Section 5(f). Additionally, as discussed the proposed rule change at least five business days inspection and copying at the principal above, the proposed rule change is prior to the date of filing of the proposed rule office of the Exchange. All comments similar to Cboe Rule 6.7. The Exchange change, or such shorter time as designated by the Commission. The Exchange has satisfied this received will be posted without change. believes having similar rules related to requirement. Persons submitting comments are transfer positions to those of other 25 17 CFR 240.19b–4(f)(6)(iii). cautioned that we do not redact or edit options exchanges will reduce the 26 See CBOE Rule 6.7. personal identifying information from administrative burden on market 27 For purposes only of waiving the 30-day comment submissions. You should participants of determining whether operative delay, the Commission has also considered the proposed rule’s impact on submit only information that you wish their transfers comply with multiple efficiency, competition, and capital formation. See to make available publicly. All sets of rules. 15 U.S.C. 78c(f). submissions should refer to File

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Number SR–BX–2020–006 and should forth in sections A, B, and C below, of information barrier or account be submitted on or before May 13, 2020. the most significant aspects of such segregation requirements; For the Commission, by the Division of statements. (3) the consolidation of accounts where no change in ownership is Trading and Markets, pursuant to delegated A. Self-Regulatory Organization’s authority.28 involved; Statement of the Purpose of, and (4) a merger, acquisition, J. Matthew DeLesDernier, Statutory Basis for, the Proposed Rule Assistant Secretary. consolidation, or similar non-recurring Change transaction for a Person; [FR Doc. 2020–08493 Filed 4–21–20; 8:45 am] 1. Purpose (5) the dissolution of a joint account BILLING CODE 8011–01–P in which the remaining Member The Exchange proposes to adopt a assumes the positions of the joint new rule titled, ‘‘Transfer of Positions’’ account; SECURITIES AND EXCHANGE within Options 6, Section 5, which is COMMISSION (6) the dissolution of a corporation or currently reserved. Today, MRX does partnership in which a former nominee [Release No. 34–88669; File No. SR–MRX– not permit transfers. This proposed rule of the corporation or partnership 2020–10] specifies the specific limited assumes the positions; circumstances under which a Member (7) positions transferred as part of a Self-Regulatory Organizations; Nasdaq may effect transfers of positions. This Member’s capital contribution to a new MRX, LLC; Notice of Filing and rule would permit market participants joint account, partnership, or Immediate Effectiveness of Proposed to move positions from one account to corporation; Rule Change To Adopt a New Rule another without first exposure of the (8) the donation of positions to a not- Titled Transfer of Positions Within transaction on the MRX. This rule for-profit corporation; Options 6, Section 5 would permit transfers upon the (9) the transfer of positions to a minor occurrence of significant, non-recurring April 16, 2020. under the Uniform Gifts to Minors Act; events. The proposed rule change is Pursuant to Section 19(b)(1) of the or similar to Cboe Rule 6.7.3 Securities Exchange Act of 1934 (10) the transfer of positions through (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Permissible Transfers operation of law from death, bankruptcy, or otherwise.4 notice is hereby given that on April 7, The Exchange proposes to adopt new 2020, Nasdaq MRX, LLC (‘‘MRX’’ or The Exchange proposes to define Options 6, Section 5 titled ‘‘Transfer of ‘‘Person’’ as ‘‘an individual, partnership ‘‘Exchange’’) filed with the Securities Positions’’ to provide for the and Exchange Commission (general or limited), joint stock circumstances pursuant to which company, corporation, limited liability (‘‘Commission’’) the proposed rule Members may transfer their options change as described in Items I and II, company, trust or unincorporated positions without first exposing the organization, or any governmental entity below, which Items have been prepared order. This rule states that a Member by the Exchange. The Commission is or agency or political subdivision must be on at least one side of the 5 publishing this notice to solicit thereof.’’ The proposed rule change transfer. This rule is similar to CBOE makes clear that the transferred comments on the proposed rule change Rule 6.7. Currently, MRX has no rule from interested persons. positions must be on, from, or to the that specifically addresses transfers. books of a Clearing Member. The I. Self-Regulatory Organization’s The Exchange proposes to provide at proposed rule change states that existing Statement of the Terms of Substance of proposed Options 6, Section 5(a), positions of a Member or a non-Member the Proposed Rule Change ‘‘Permissible Transfers. Existing may be subject to an transfer, except The Exchange proposes to adopt a positions in options listed on the under specified circumstances in which new rule titled ‘‘Transfer of Positions’’ Exchange of a Member or non-Member a transfer may only be effected for within Options 6, Section 5. that are to be transferred on, from, or to positions of a Member.6 The Exchange The text of the proposed rule change the books of a Clearing Member may be notes transfers of positions in Exchange- is available on the Exchange’s website at transferred off the Exchange if the listed options may also be subject to http://nasdaqmrx.cchwallstreet.com/, at transfer involves one or more of the applicable laws, rules, and regulations, the principal office of the Exchange, and following events: including rules of other self-regulatory at the Commission’s Public Reference (1) Pursuant to Options 9, Section 5, organizations.7 Except as explicitly Room. an adjustment or transfer in connection provided in the proposed rule text, the with the correction of a bona fide error proposed rule change is not intended to II. Self-Regulatory Organization’s in the recording of a transaction or the exempt position transfers from any Statement of the Purpose of, and transferring of a position to another other applicable rules or regulations, Statutory Basis for, the Proposed Rule account, provided that the original trade and proposed paragraph (h) makes this Change documentation confirms the error; clear in the rule. In its filing with the Commission, the (2) the transfer of positions from one Proposed Options 6, Section (b) Exchange included statements account to another account where no codifies Exchange guidance regarding concerning the purpose of and basis for change in ownership is involved (i.e., certain restrictions on permissible the proposed rule change and discussed accounts of the same Person, provided transfers related to netting of open any comments it received on the the accounts are not in separate positions and to margin and haircut proposed rule change. The text of these aggregation units or otherwise subject to treatment, unless otherwise permitted statements may be examined at the by proposed paragraph (f). No position places specified in Item IV below. The 3 See Securities and Exchange Act Release No. may net against another position Exchange has prepared summaries, set 88424 (March 19, 2020), 85 FR 16981 (March 25, 2020) (SR–Cboe–2019–035) (Notice of Filing of 4 Amendment Nos. 1 and 2 and Order Granting See Cboe Rule 6.7(a). 28 17 CFR 200.30–3(a)(12). Accelerated Approval of a Proposed Rule Change, 5 See Cboe Rule 1.1. 1 15 U.S.C. 78s(b)(1). as Modified by Amendment Nos. 1 and 2, Regarding 6 See proposed Options 6, Section 5(a)(5) and (7). 2 17 CFR 240.19b–4. Off-Floor Position Transfers). 7 See proposed Options 6, Section 5(h).

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(‘‘netting’’), and no position transfer Transfer Price other information requested by the 13 may result in preferential margin or Proposed Options 6, Section 5(c) Exchange. The proposed notice will 8 haircut treatment. Netting occurs when states the transfer price, to the extent it ensure the Exchange is aware of all long positions and short positions in the is consistent with applicable laws, rules, transfers so that it can monitor and same series ‘‘offset’’ against each other, and regulations, including rules of other review them (including the records that leaving no or a reduced position. For self-regulatory organizations, and tax must be retained pursuant to proposed example, if a Member wanted to transfer and accounting rules and regulations, at paragraph (e)) to determine whether 100 long calls to another account that which an transfer is effected may be: (1) they are effected in accordance with the contained short calls of the same The original trade prices of the positions Rules. options series as well as other positions, that appear on the books of the trading Additionally, requiring notice from even if the transfer is permitted Clearing Member, in which case the the Member(s) and its Clearing pursuant to one of the 10 permissible records of the transfer must indicate the Member(s) will ensure both parties are events listed in the proposed Rule, the original trade dates for the positions; in agreement with respect to the terms Member could not transfer the offsetting provided, transfers to correct bona fide of the transfer. As noted in proposed series, as they would net against each errors pursuant to proposed subparagraph (d)(2), receipt of notice of other and close the positions.9 subparagraph (a)(1) must be transferred an transfer does not constitute a However, netting is permitted for at the correct original trade prices; (2) determination by the Exchange that the transfers on behalf of a Market Maker mark-to-market prices of the positions at transfer was effected or reported in account for transactions in multiply the close of trading on the transfer date; conformity with the requirements of listed options series on different options (3) mark-to-market prices of the proposed Section 10(b). exchanges, but only if the Market Maker positions at the close of trading on the Notwithstanding submission of written nominees are trading for the same trade date prior to the transfer date; 10 or notice to the Exchange, Members and Member, and the options transactions (4) the then-current market price of the Clearing Members that effect transfers on the different options exchanges clear positions at the time the transfer is that do not conform to the requirements into separate exchange-specific accounts effected.11 of proposed Section 10(b) will be because they cannot easily clear into the This proposed rule change provides subject to appropriate disciplinary same Market Maker account at the market participants that effect action in accordance with the Rules. Clearing Corporation. In such instances, transactions with flexibility to select a Records transfer price based on circumstances of all Market Maker positions in the Similarly, proposed Options 6, the transfer and their business. exchange-specific accounts for the Section 5(e) requires each Member and However, for corrections of bona fide multiply listed class would be each Clearing Member that is a party to errors, because those transfers are automatically transferred on their trade a transfer must make and retain records necessary to correct processing errors date into one central Market Maker of the information provided in the that occurred at the time of transaction, account (commonly referred to as a written notice to the Exchange pursuant those transfers would occur at the ‘‘universal account’’) at the Clearing to proposed subparagraph (e)(1), as well original transaction price, as the Corporation. Positions cleared into a as information on the actual Exchange- purpose of the transfer is to create the universal account would automatically listed options that are ultimately originally intended result of the net against each other. Options transferred, the actual transfer date, and transaction. exchanges permit different naming the actual transfer price (and the conventions with respect to Market Prior Written Notice original trade dates, if applicable), and Maker account acronyms (for example, any other information the Exchange may lettering versus numbering and number Proposed Options 6, Section 5(d) requires a Member and its Clearing request the Member or Clearing Member of characters), which are used for provide.14 accounts at the Clearing Corporation. A Member (to the extent that the Member Market Maker may have a nominee with is not self-clearing) to submit to the Presidential Exemption Exchange, in a manner determined by an appointment in class XYZ on Phlx, Proposed paragraph (f) provides the Exchange, written notice prior to and have another nominee with an exemptions approved by the Exchange’s effecting an transfer from or to the appointment in class XYZ on MRX, but Chief Executive Officer or President (or account of a Member(s).12 The notice due to account acronym naming senior-level designee). Specifically, this must indicate: The Exchange-listed conventions, those nominees may need provision is in addition to the options positions to be transferred; the to clear their transactions into separate exemptions set forth in proposed nature of the transaction; the accounts (one for Phlx Options paragraph (a). The Exchange proposes enumerated provision(s) under transactions and another for MRX that the Exchange Chief Executive proposed paragraph (a) pursuant to transactions) at the Clearing Corporation Officer or President (or senior-level which the positions are being rather into a universal account (in designee) may grant an exemption from transferred; the name of the which account the positions may net). the requirement of this proposed Rule, counterparty(ies); the anticipated The proposed rule change permits on his or her own motion or upon transfer date; the method for transfers from these separate exchange- application of the Member (with respect determining the transfer price; and any specific accounts into the Market to the Member’s positions) or a Clearing Maker’s universal account in this Member (with respect to positions 10 For example, for a transfer that occurs on a circumstance to achieve this purpose. Tuesday, the transfer price may be based on the carried and cleared by the Clearing closing market price on Monday. Members). The Chief Executive Officer, 8 For example, positions may not transfer from a 11 See Cboe Rule 6.7(c). the President or his or her designee, customer, joint back office, or firm account to a 12 This notice provision applies only to transfers may permit a transfer if necessary or Market Maker account. However, positions may involving a Member’s positions and not to positions appropriate for the maintenance of a fair transfer from a Market Maker account to a customer, of non-Member parties, as they are not subject to joint back office, or firm account (assuming no the Rules. In addition, no notice would be required netting of positions occurs). to effect transfers to correct bona fide errors 13 See Cboe Rule 6.7(d). 9 See Cboe Rule 6.7(b). pursuant to proposed subparagraph (a)(1). 14 See Cboe Rule 6.7(e).

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and orderly market and the protection of information with respect to, and records will ensure the Exchange is able investors and is in the public interest, facilitating transactions in securities, to to review transfers for compliance with including due to unusual or remove impediments to and perfect the the Rules, which prevents fraudulent extraordinary circumstances. For mechanism of a free and open market and manipulative acts and practices. example, an exemption may be granted and a national market system, and, in The requirement to retain records is if the market value of the Person’s general, to protect investors and the consistent with the requirements of Rule positions would be compromised by public interest. Additionally, the 17a–3 and 17a–4 under the Act. having to comply with the requirement Exchange believes the proposed rule Similar to Cboe Rule 6.7, the to trade on the Exchange pursuant to the change is consistent with the Section Exchange would permit a presidential normal auction process or when, in the 6(b)(5) 21 requirement that the rules of judgment of the Chief Executive Officer, an exchange not be designed to permit exemption. The Exchange believes that President or his or her designee, market unfair discrimination between this exemption is consistent with the conditions make trading on the customers, issuers, brokers, or dealers. Act because the Exchange’s Chief Exchange impractical.15 The Exchange believes that permitting Executive Officer or President (or transfers under new Options 6, Section senior-level designee) would consider Routine, Recurring Transfers 5 in very limited circumstances is an exemption in very limited The Exchange proposes within reasonable to allow a Member to circumstances. The transfer process is Options 6, Section 5(g) that the transfer accomplish certain goals efficiently. The intended to facilitate non-routine, procedure set forth in Options 6, proposed rule permits transfers in nonrecurring movements of positions Section 5 is intended to facilitate non- situations involving dissolutions of and, therefore, is not to be used routine, nonrecurring movements of entities or accounts, for purposes of repeatedly or routinely in positions.16 The transfer procedure is donations, mergers or by operation of circumvention of the normal auction not to be used repeatedly or routinely in law. For example, a Member that is market process. Proposed Options 6, circumvention of the normal auction undergoing a structural change and a Section 5(f) specifically provides within market process. one-time movement of positions may the rule text that the Exchange’s Chief Exchange-Listed Options require a transfer of positions or a Executive Officer or President (or Member that is leaving a firm that will senior-level designee) may in his or her The Exchange proposes within no longer be in business may require a judgment allow a transfer if it is Options 6, Section 5(h) notes that the transfer of positions to another firm. necessary or appropriate for the transfer procedure set forth in Options Also, a Member may require a transfer maintenance of a fair and orderly 6, Section 5 is only applicable to of positions to make a capital market and the protection of investors positions in options listed on the contribution. The above-referenced and is in the public interest, including Exchange. Transfers of positions in circumstances are non-recurring due to unusual or extraordinary Exchange-listed options may also be situations where the transferor circumstances such as the market value subject to applicable laws, rules, and continues to maintain some ownership of the Person’s positions will be regulations, including rules of other interest or manage the positions comprised by having to comply with the self-regulatory organizations. Transfers transferred. By contrast, repeated or requirement to trade on the Exchange of non-Exchange listed options and routine transfers between entities or pursuant to the normal auction process other financial instruments are not accounts—even if there is no change in or, when in the judgment of President governed by this Rule.17 beneficial ownership as a result of the or his or her designee, market 2. Statutory Basis transfer—is inconsistent with the conditions make trading on the purposes for which the proposed rule The Exchange believes that its Exchange impractical. These standards was adopted. Accordingly, the Exchange within proposed Options 6, Section 5(f) proposal is consistent with Section 6(b) believes that such activity should not be 18 are intended to provide guidance of the Act, in general, and furthers the permitted under the rules and thus, objectives of Section 6(b)(5) of the Act,19 concerning the use of this exemption seeks to adopt language in proposed which is intended to provide the in particular, in that it is designed to paragraph (f) to proposed Options 6, promote just and equitable principles of Exchange with the ability to utilize the Section 5 that the transfer of positions exemption for the maintenance of a fair trade, to remove impediments to and procedures set forth the proposed rule and orderly market and the protection of perfect the mechanism of a free and are intended to facilitate non-recurring investors and is in the public interest. open market and a national market movements of positions. system, and, in general to protect The proposed rule change will The Exchange believes that the investors and the public interest. provide market participants that exemption is consistent with the Act Specifically, the Exchange believes experience these limited, non-recurring because it would allow the Exchange’s the proposed transfer rule is consistent events with an efficient and effective Chief Executive Officer or President (or with the Section 6(b)(5) 20 requirements means to transfer positions in these senior-level designee) to act in certain that the rules of an exchange be situations. The Exchange believes the situations which comply with the designed to prevent fraudulent and proposed rule change regarding guidance within Options 6, Section 5(f) manipulative acts and practices, to permissible transfer prices provides which are intended to protect investors promote just and equitable principles of market participants with flexibility to and the general public. While Cboe trade, to foster cooperation and determine the price appropriate for their grants an exemption to the President (or coordination with persons engaged in 22 business, which maintain cost bases in senior-level designee), the Exchange regulating, clearing, settling, processing accordance with normal accounting has elected to grant an exemption to practices and removes impediments to a Exchange’s Chief Executive Officer or 15 See Cboe Rule 6.7(f). President (or senior-level designee), 16 free and open market. See Cboe Rule 6.7(g). who are similarly situated with the 17 See Cboe Rule 6.7(h). The proposed rule change which 18 15 U.S.C. 78f(b). requires notice and maintenance of organization as senior-level individuals. 19 15 U.S.C. 78f(b)(5). 20 15 U.S.C. 78f(b)(5). 21 Id. 22 See Cboe Rule 6.7(f).

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B. Self-Regulatory Organization’s facilitate non-routine, nonrecurring is consistent with the protection of Statement on Burden on Competition movements of positions. As provided investors and the public interest. The The Exchange does not believe that for in proposed Options 6, Section 5(g), Exchange has asked the Commission to the proposed rule change will impose it would not be used repeatedly or waive the 30-day operative delay. The any burden on competition that is not routinely in circumvention of the Commission notes that waiver of the necessary or appropriate in furtherance normal auction market process. operative delay would provide Members of the purposes of the Act. Proposed Options 6, Section 5(a) with the ability to request a transfer, for The Exchange does not believe the specifically provides within the rule limited, non-recurring types of transfers, proposed rule change will impose an text that the Exchange’s Chief Executive without the need for exposing those Officer or President (or senior-level orders on the Exchange, similar to undue burden on intra-market 26 competition as the transfer procedure designee) may in his or her judgment Cboe. The Commission believes that may be utilized by any Member and the allow a transfer for the maintenance of waiver of the 30-day operative delay is rule will apply uniformly to all a fair and orderly market and the consistent with the protection of Members. Use of the transfer procedure protection of investors and is in the investors and the public interest. is voluntary, and all Members may use public interest. The Exchange believes Accordingly, the Commission waives that the exemption does not impose an the procedure to transfer positions as the 30-day operative delay and undue burden on competition as the designates the proposed rule change long as the criteria in the proposed rule Exchange’s Chief Executive Officer or operative upon filing.27 are satisfied. With this change, a President (or senior-level designee) At any time within 60 days of the Member that experiences limited would apply the exemption consistent filing of the proposed rule change, the permissible, non-recurring events would with the guidance within Options 6, Commission summarily may have an efficient and effective means to Section 5(f). Additionally, as discussed temporarily suspend such rule change if transfer positions in these situations. above, the proposed rule change is it appears to the Commission that such The Exchange believes the proposed similar to Cboe Rule 6.7. The Exchange action is necessary or appropriate in the rule change regarding permissible believes having similar rules related to public interest, for the protection of transfer prices provides market transfer positions to those of other investors, or otherwise in furtherance of participants with flexibility to options exchanges will reduce the the purposes of the Act. If the determine the price appropriate for their administrative burden on market Commission takes such action, the business, which determine prices in participants of determining whether Commission shall institute proceedings accordance with normal accounting their transfers comply with multiple to determine whether the proposed rule practices and removes impediments to a sets of rules. should be approved or disapproved. free and open market. The Exchange does not believe the proposed notice C. Self-Regulatory Organization’s IV. Solicitation of Comments and record requirements are unduly Statement on Comments on the Interested persons are invited to burdensome to market participants. The Proposed Rule Change Received From submit written data, views, and Exchange believes the proposed Members, Participants, or Others arguments concerning the foregoing, requirements are reasonable and will No written comments were either including whether the proposed rule ensure the Exchange is aware of solicited or received. change is consistent with the Act. transfers and would be able to monitor III. Date of Effectiveness of the Comments may be submitted by any of and review the transfers to ensure the the following methods: transfer falls within the proposed rule. Proposed Rule Change and Timing for Adopting an exemption, similar to Commission Action Electronic Comments Cboe Rule 6.7, to permit the Exchange’s Because the foregoing proposed rule • Use the Commission’s internet Chief Executive Officer or President (or change does not: (i) Significantly affect comment form (http://www.sec.gov/ senior-level designee) to grant an the protection of investors or the public rules/sro.shtml); or exemption to Options 6, Section 5(a) interest; (ii) impose any significant • Send an email to rule-comments@ prohibition if, in his or her judgment, burden on competition; and (iii) become sec.gov. Please include File Number SR– does not impose an undue burden on operative for 30 days from the date on MRX–2020–10 on the subject line. competition. Circumstances where, due which it was filed, or such shorter time Paper Comments to unusual or extraordinary as the Commission may designate, it has circumstances such as the market value become effective pursuant to Section • Send paper comments in triplicate of the Person’s positions would be 19(b)(3)(A)(iii) of the Act 23 and to Secretary, Securities and Exchange comprised by having to comply with the subparagraph (f)(6) of Rule 19b–4 Commission, 100 F Street NE, requirement to trade on the Exchange thereunder.24 Washington, DC 20549–1090. pursuant to the normal auction process A proposed rule change filed under All submissions should refer to File or, would be taken into consideration in Rule 19b–4(f)(6) normally does not Number SR–MRX–2020–10. This file each case where, in the judgment of the become operative for 30 days from the number should be included on the Exchange’s Chief Executive Officer or date of filing. However, Rule 19b– subject line if email is used. To help the President (or senior-level designee), 4(f)(6)(iii) 25 permits the Commission to Commission process and review your market conditions make trading on the designate a shorter time if such action comments more efficiently, please use Exchange impractical. only one method. The Commission will The Exchange does not believe the 23 15 U.S.C. 78s(b)(3)(A)(iii). post all comments on the Commission’s proposed rule change will impose an 24 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– internet website (http://www.sec.gov/ 4(f)(6) requires a self-regulatory organization to give undue burden on inter-market the Commission written notice of its intent to file competition. The proposed position the proposed rule change at least five business days 26 See CBOE Rule 6.7. transfer procedure is not intended to be prior to the date of filing of the proposed rule 27 For purposes only of waiving the 30-day change, or such shorter time as designated by the operative delay, the Commission has also a competitive trading tool. The Commission. The Exchange has satisfied this considered the proposed rule’s impact on proposed rule change permits, in requirement. efficiency, competition, and capital formation. See limited circumstances, a transfer to 25 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f).

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rules/sro.shtml). Copies of the proposed rule change from interested believes the proposed rule change submission, all subsequent persons. reflects no significant issues not amendments, all written statements previously addressed in the Prior I. Self-Regulatory Organization’s with respect to the proposed rule Release. Statement of the Terms of Substance of change that are filed with the The Fund is an actively-managed the Proposed Rule Change Commission, and all written exchange-traded fund (‘‘ETF’’). The communications relating to the The Exchange proposes to a rule Shares are offered by the Trust, which proposed rule change between the change relating to the First Trust was established as a Massachusetts Commission and any person, other than Tactical High Yield ETF (formerly business trust on September 15, 2010. those that may be withheld from the known as the First Trust High Yield The Trust, which is registered with the public in accordance with the Long/Short ETF) (the ‘‘Fund’’) of First Commission as an investment company provisions of 5 U.S.C. 552, will be Trust Exchange-Traded Fund IV (the under the Investment Company Act of available for website viewing and ‘‘Trust’’), the shares of which have been 1940 (the ‘‘1940 Act’’), has filed a printing in the Commission’s Public approved by the Commission for listing registration statement on Form N–1A Reference Room, 100 F Street NE, and trading under Nasdaq Rule 5735 (‘‘Registration Statement’’) relating to Washington, DC 20549, on official (‘‘Managed Fund Shares’’). The shares of the Fund with the Commission.4 The business days between the hours of the Fund are collectively referred to Fund is a series of the Trust. The 10:00 a.m. and 3:00 p.m. Copies of the herein as the ‘‘Shares.’’ Adviser is the investment adviser to the filing also will be available for The text of the proposed rule change Fund. First Trust Portfolios L.P. is the inspection and copying at the principal is available on the Exchange’s website at principal underwriter and distributor of office of the Exchange. All comments http://nasdaq.cchwallstreet.com, at the the Fund’s Shares. The Bank of New received will be posted without change. principal office of the Exchange, and at York Mellon acts as the administrator, Persons submitting comments are the Commission’s Public Reference custodian, and fund accounting and cautioned that we do not redact or edit Room. transfer agent to the Fund. personal identifying information from II. Self-Regulatory Organization’s The purpose of this proposed rule comment submissions. You should Statement of the Purpose of, and change is (1) to expand the Fund’s submit only information that you wish Statutory Basis for, the Proposed Rule ability to hold certain fixed income, to make available publicly. All Change equity and equity-like securities, submissions should refer to File positions and interests, and (2) to Number SR–MRX–2020–10 and should In its filing with the Commission, the expand the Fund’s ability to invest in be submitted on or before May 13, 2020. Exchange included statements derivatives. For the Commission, by the Division of concerning the purpose of and basis for Trading and Markets, pursuant to delegated the proposed rule change and discussed (1) Proposed Changes To Expand the authority.28 any comments it received on the Fund’s Ability To Hold Certain Fixed J. Matthew DeLesDernier, proposed rule change. The text of these Income, Equity and Equity-Like Assistant Secretary. statements may be examined at the Securities, Positions and Interests places specified in Item IV below. The [FR Doc. 2020–08490 Filed 4–21–20; 8:45 am] As described in the 2013 Order, under Exchange has prepared summaries, set BILLING CODE 8011–01–P normal market conditions, the Fund forth in sections A, B, and C below, of invests at least 80% of its net assets the most significant aspects of such (plus the amount of any borrowing for SECURITIES AND EXCHANGE statements. investment purposes) in high-yield debt COMMISSION A. Self-Regulatory Organization’s securities that are rated below [Release No. 34–88666; File No. SR– Statement of the Purpose of, and investment grade at the time of NASDAQ–2020–020] Statutory Basis for, the Proposed Rule purchase, commonly referred to as Change ‘‘junk’’ bonds, or unrated securities Self-Regulatory Organizations; The deemed by the Adviser to be of Nasdaq Stock Market LLC; Notice of 1. Purpose comparable quality (collectively referred Filing and Immediate Effectiveness of The Commission has approved the to as ‘‘Primary Investments’’) (the ‘‘80% Proposed Rule Change Relating to the listing and trading of Shares under Requirement’’).5 In addition to Primary First Trust Tactical High Yield ETF Nasdaq Rule 5735, which governs the Investments, the Fund may invest up listing and trading of Managed Fund 20% of its net assets (in the aggregate) April 16, 2020. Shares on the Exchange.3 The Exchange Pursuant to Section 19(b)(1) of the 2014) (‘‘2014 Notice’’) and 72141 (May 9, 2014), 79 Securities Exchange Act of 1934 3 The Commission approved Nasdaq Rule 5735 in FR 27944 (May 15, 2014) (‘‘2014 Notice and Order’’ (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Securities Exchange Act Release No. 57962 (June and, together with the 2014 Notice, the ‘‘2014 notice is hereby given that on April 15, 13, 2008), 73 FR 35175 (June 20, 2008) (SR– Release’’) (SR–NASDAQ–2014–009). The 2013 Release, together with the 2014 Release, are referred 2020, The Nasdaq Stock Market LLC NASDAQ–2008–039). The Commission previously approved the listing and trading of the Shares of the to collectively as the ‘‘Prior Release’’. (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Fund. See Securities Exchange Act Release Nos. 4 See Post-Effective Amendment No. 170 to Securities and Exchange Commission 68581 (January 4, 2013), 78 FR 2295 (January 10, Registration Statement on Form N–1A for the Trust, (‘‘Commission’’) the proposed rule 2013) (‘‘2013 Notice’’) and 68972 (February 22, dated February 28, 2020 (File Nos. 333–174332 and change as described in Items I, II, and 2013), 78 FR 13721 (February 28, 2013) (‘‘2013 811–22559). The descriptions of the Fund and the Order’’ and, together with the 2013 Notice, the Shares contained herein are based, in part, on III below, which Items have been ‘‘2013 Release’’) (SR–NASDAQ–2012–147). information in the Registration Statement, as principally prepared by the Exchange. Subsequently, the Commission approved a amended. The Adviser represents that it will not The Commission is publishing this proposed rule change relating to the Fund in order implement the changes described herein until the notice to solicit comments on the to modify the description of the measures First instant proposed rule change is operative. Trust Advisors L.P. (the ‘‘Adviser’’) would use to 5 See infra under the heading ‘‘(2) Proposed implement the Fund’s investment objectives and to Changes to Expand the Fund’s Ability to Invest in 28 17 CFR 200.30–3(a)(12). modify certain representations included in the 2013 Derivatives’’ regarding the 80% Requirement in 1 15 U.S.C. 78s(b)(1). Release. See Securities Exchange Act Release Nos. relation to proposed changes to the Fund’s ability 2 17 CFR 240.19b–4. 71473 (February 4, 2014), 79 FR 7728 (February 10, to invest in derivatives.

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in certain other permitted investments The Exchange believes that concerns of interests that may be received and as described in the Prior Release (‘‘Non- related to manipulation should be variations in nomenclature, the Primary Investments’’). Going forward, mitigated given that the proposed Exchange is proposing that, going the Exchange is proposing that the changes (a) would be limited in scope, forward, the Fund may retain, without Fund’s ability to hold certain fixed and (b) would be subject to the limits regard to the ISG Restriction, equity and income, equity and equity-like described below. In this regard, the equity-like securities, positions and securities, positions and interests be Exchange notes the Adviser’s interests that would be Received expanded as described below. expectation that generally, over time, Instruments (‘‘Equity-Based Received Under the heading ‘‘Other significantly less than 20% of the Instruments’’).10 For the avoidance of Fund’s net assets would be comprised of Investments,’’ the 2013 Order stated that doubt, for purposes of this filing, such the Fund may receive equity, warrants, Equity-Based Received Instruments (as Equity-Based Received Instruments corporate bonds, and ‘‘other such defined below) (which means that shall mean any one or more of the securities’’ (i.e., equity and fixed income significantly less than 20% of the following (whether received securities; and ‘‘equity, warrants, Fund’s net assets are expected to be corporate bonds, and other such comprised of instruments that do not individually or as part of a unit or securities’’ are, collectively, ‘‘Received satisfy the ‘‘ISG Restriction’’ (as defined package of securities and/or other Instruments’’ 6) as a result of the below)). instruments): (i) Common and preferred restructuring of the debt of an issuer, or Going forward, the Exchange is equity interests in corporations; (ii) a reorganization of a bank loan or bond, proposing that the definition of membership interests (e.g., in limited or as part of a package of securities Received Instruments be modified to liability companies), partnership acquired together with a high-yield allow the Fund to receive equity, interests, and interests in other types of bond or senior loan(s) of an issuer. warrants, corporate bonds, and other entities (e.g., state law business trusts Further, the 2013 Order stated that such such securities received (a) in and real estate investment companies); investments (i.e., the Received conjunction with the restructuring or (iii) warrants; (iv) Tax Receivable Instruments) would be subject to the reorganization, as applicable, of an Agreement (TRA) rights; (v) claims Fund’s investment objectives, issuer or any debt issued by an issuer, (generally, rights to payment, which can restrictions and strategies, as described whether accomplished within or outside come in various forms, including therein. The Adviser believes that under of a bankruptcy proceeding under 11 without limitation claims units and certain circumstances, a limited ability U.S.C. 101 et seq. (or any other similar claims trusts); (vi) trust certificates to retain Received Instruments beyond statutory restructuring or reorganization representing an interest in a trust the parameters set forth in the 2013 proceeding) or (b) together with (i.e., as established under a confirmed plan of Order may serve to benefit shareholders part of a unit or package that includes) reorganization; (vii) interests in to the extent it helps the Fund to pursue one or more Primary Investments (or liquidating, avoidance or other types of other debt instruments) of an issuer.9 its investment objectives by retaining an trusts; (viii) interests in joint ventures; The Fund’s ability to retain Received investment interest, which the Adviser and (ix) rights to acquire any of the Instruments would be subject to the believes has merit, relating to a Equity-Based Received Instruments particular issuer.7 However, the Fund’s investment objectives, described in clauses (i) through (viii).11 Adviser’s overall approach to managing restrictions and strategies, as described the Fund (which, as described in the in the Prior Release, subject to the Except as described in this filing, the 2013 Order, incorporates a combination modifications set forth in this filing. The Fund’s ability to retain Received of thorough and continuous credit risk Fund’s aggregate holdings in Equity- Instruments would continue to be analysis, market evaluation, Based Received Instruments (as defined subject to the Fund’s investment diversification, and the ability to below) would continue to not qualify as objectives, restrictions and strategies, as reallocate investments) would not Primary Investments and, accordingly, described in the Prior Release. As change. together with other Non-Primary indicated above, the Fund would not To provide the Fund with additional Investments, would be limited to 20% hold more than 20% of its net assets in flexibility with respect to its ability to of the Fund’s net assets. Equity-Based Received Instruments retain Received Instruments, going The 2013 Order stated that the equity forward, the Exchange is proposing that securities in which the Fund may invest certain restrictions set forth in the 2013 (including any that have converted from 10 For the avoidance of doubt, the Fund may also hold U.S. and non-U.S. Received Instruments that 8 convertible debt) would be limited to Order be modified, as described below. are not Equity-Based Received Instruments. Further, securities that trade in markets that are Received Instruments may include both Primary 6 For the avoidance of doubt, ‘‘Equity-Based members of the Intermarket Investments and Non-Primary Investments but, as Received Instruments’’ (as defined below) are Surveillance Group (‘‘ISG’’), which mentioned above, Equity-Based Received included within the meaning of the term ‘‘Received includes all U.S. national securities Instruments would not qualify as Primary Instruments.’’ Investments and, together with other Non-Primary 7 For example, a situation may arise where in lieu exchanges and certain foreign Investments, would be limited to 20% of the Fund’s of a bond, loan, or other debt instrument that the exchanges, or are parties to a net assets. Adviser originally selected, the Fund would be comprehensive surveillance sharing 11 The Fund may be entitled to acquire additional presented with new equity of or relating to the agreement with the Exchange (the ‘‘ISG Equity-Based Received Instruments by exercising applicable issuer, but, in light of certain restrictions Restriction’’). In light of the many types warrants (included in clause (iii)) and/or rights and representations in the 2013 Order, would be (included in clause (ix)). For the avoidance of precluded from retaining the instrument and would doubt, the Fund’s ability to retain Equity-Based therefore be required to dispose of the instrument (October 19, 2018) (SR–NASDAQ–2018–050) Received Instruments that it acquires by exercising despite its perceived benefit to shareholders of the (relating to the First Trust Senior Loan Fund) (the such warrants and/or rights will be the same as its Fund, in order to maintain compliance with the ‘‘Senior Loan Fund Approval’’). ability to retain Equity-Based Received Instruments continued listing standards of the Exchange. 9 For example, incidental to the Fund’s purchase that it otherwise receives. In addition, for the 8 The Exchange notes that the Commission has of a Primary Investment, the Fund may from time avoidance of doubt, Received Instruments may previously approved a similar proposal with respect to time receive warrants and/or other equity include convertible securities and Equity-Based to another ETF for which the Adviser serves as securities as part of a unit or package combining a Received Instruments may include positions and investment adviser. See Securities Exchange Act Primary Investment and such warrants and/or other interests resulting from the conversion of Release No. 84425 (October 15, 2018), 83 FR 53124 equity securities. convertible securities.

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(among other Non-Primary Exchange is proposing that to provide The Exchange does not believe that Investments).12 the Fund with additional flexibility, the the proposed changes regarding the Derivatives Provision would be deleted Fund’s ability to invest in derivatives (2) Proposed Changes To Expand the and, instead, the Fund would be should raise concerns given that, going Fund’s Ability To Invest in Derivatives permitted to invest in listed and over- forward, the Fund would invest in The 2013 Order included a the-counter (‘‘OTC’’) derivatives Derivative Instruments in accordance representation that the Fund would not (collectively, ‘‘Derivative Instruments’’) with the parameters of the Derivatives invest in options contracts, futures to the extent permitted by the generic GLS. In addition, certain related contracts or swap agreements. However, listing provisions of Nasdaq Rules representations included in the 2014 the 2014 Notice and Order deleted this 5735(b)(1)(D),14 (E) 15 and (F) 16 Notice and Order would continue to representation and provided that under (collectively, the ‘‘Derivatives GLS’’). apply.19 normal market conditions, the Fund The Adviser believes that expanding the The 2014 Notice and Order indicated would be permitted to invest up to 30% listed derivatives in which the Fund that the derivative instruments specified of the value of its net assets in U.S. may invest and permitting it to invest in therein would typically be valued at the exchange-traded options on futures OTC derivatives may enhance the closing price in the market where such contracts and U.S. exchange-traded Fund’s ability to utilize derivatives for instruments are principally traded. futures contracts (the ‘‘Derivatives the purposes set forth in the 2014 Notice Going forward, exchange-listed Provision’’).13 Going forward, the and Order.17 Further, for purposes of Derivative Instruments would typically complying with the 80% Requirement, be valued at the closing price in the 12 In this regard, however, the Adviser expects in addition to investing directly in market where such instruments are that, generally, over time, significantly less than 20% of the Fund’s net assets would be comprised Primary Investments, going forward, the principally traded and OTC Derivative of Equity-Based Received Instruments. In addition, Fund would be permitted to invest in Instruments would typically be valued for the avoidance of doubt, Equity-Based Received Derivative Instruments with economic using information provided by Instruments would not be taken into account for characteristics that are comparable to independent pricing services. purposes of compliance with the 80% Requirement. those of Primary Investments.18 13 The Derivatives Provision also included Availability of Information footnote 15 of the 2014 Notice and Order which stated, among other things, that the Fund would instruments specified therein would be invested in The Fund’s Disclosed Portfolio, as limit its direct investments in futures and options derivative instruments that trade in markets that are defined in Nasdaq Rule 5735(c)(2), on futures to the extent necessary for the Adviser members of the ISG or are parties to a comprehensive surveillance sharing agreement with would include the Received Instruments to claim the exclusion from regulation as a and Derivative Instruments held by the ‘‘commodity pool operator’’ with respect to the the Exchange would be deleted. Fund under Rule 4.5 promulgated by the 15 Nasdaq Rule 5735(b)(1)(E) provides that a Fund. Intra-day executable price Commodity Futures Trading Commission (‘‘CFTC’’), portfolio may hold OTC derivatives, including quotations for the Received Instruments as such rule may be amended from time to time, forwards, options, and swaps on commodities, held by the Fund would be available and described certain related tests. currencies and financial instruments (e.g., stocks, fixed income, interest rates, and volatility) or a from major broker-dealer firms and/or 14 Under Nasdaq Rule 5735(b)(1)(D), a portfolio market data vendors (and/or, if may hold listed derivatives, including futures, basket or index of any of the foregoing; however, options and swaps on commodities, currencies and on both an initial and continuing basis, no more applicable, on the exchanges on which financial instruments (e.g., stocks, fixed income, than 20% of the assets in the portfolio may be interest rates, and volatility) or a basket or index of invested in OTC derivatives. For purposes of 19 First, although the Fund’s investments in any of the foregoing. There shall be no limitation calculating this limitation, a portfolio’s investment Derivative Instruments could potentially be used to to the percentage of the portfolio invested in such in OTC derivatives will be calculated as the enhance leverage, the Fund’s investments in holdings, subject to the following requirements: (i) aggregate gross notional value of the OTC Derivative Instruments would be consistent with In the aggregate, at least 90% of the weight of such derivatives. the Fund’s investment objectives and would not be holdings invested in futures, exchange-traded 16 Nasdaq Rule 5735(b)(1)(F) provides that to the used to seek to achieve a multiple or inverse options, and listed swaps shall, on both an initial extent that listed or OTC derivatives are used to multiple of an index. Second, investments in and continuing basis, consist of futures, options, gain exposure to individual equities and/or fixed Derivative Instruments would be made in and swaps for which the Exchange may obtain income securities, or to indexes of equities and/or accordance with the 1940 Act and consistent with information via the ISG, from other members or indexes of fixed income securities, the aggregate the Fund’s investment objectives and policies. affiliates of the ISG, or for which the principal gross notional value of such exposure shall meet the Third, the Fund would continue to comply with the market is a market with which the Exchange has a criteria set forth in Nasdaq Rules 5735(b)(1)(A) and regulatory requirements of the Commission to comprehensive surveillance sharing agreement. (For 5735(b)(1)(B), respectively. maintain assets as ‘‘cover,’’ maintain segregated purposes of calculating this limitation (referred to 17 In this regard, the 2014 Notice and Order accounts, and/or make margin payments when it herein as the ‘‘90% Requirement’’), a portfolio’s indicated that the use of the derivative instruments takes positions in Derivative Instruments involving investment in listed derivatives will be calculated specified therein may allow the Fund to seek to obligations to third parties (i.e., instruments other as the aggregate gross notional value of the listed enhance return, to hedge some of the risks of its than purchase options). If the applicable guidelines derivatives.); and (ii) the aggregate gross notional investments in securities, to substitute derivatives prescribed under the 1940 Act so require, the Fund value of listed derivatives based on any five or for a position in an underlying asset, to reduce would continue to earmark or set aside cash, U.S. fewer underlying reference assets shall not exceed transaction costs, to maintain full market exposure government securities, high-grade liquid debt 65% of the weight of the portfolio (including gross (which means to adjust the characteristics of its securities, and/or other liquid assets in a segregated notional exposures), and the aggregate gross investments to more closely approximate those of custodial account in the amount prescribed. Fourth, notional value of listed derivatives based on any the markets in which it invests), to manage cash the Fund would continue to include appropriate single underlying reference asset shall not exceed flows, to preserve capital, or to manage its foreign risk disclosure in its offering documents, including 30% of the weight of the portfolio (including gross currency exposures. For the avoidance of doubt, the leveraging risk. As indicated in footnote 17 of the notional exposures). In light of the 90% Fund’s use of derivatives would not be limited to 2014 Notice and Order, to mitigate leveraging risk, Requirement, the provision set forth in the 2014 the foregoing purposes. the Fund would continue to segregate or ‘‘earmark’’ Notice and Order requiring that at least 90% of the 18 As indicated above, the Fund would comply liquid assets or otherwise cover the transactions Fund’s net assets that are invested in the derivative with the Derivatives GLS. that may give rise to such risk.

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they are traded). Intra-day price dissemination and availability of the prevent fraudulent and manipulative information for the Received reference asset or intraday indicative acts and practices, to promote just and Instruments would be available through values, or (d) the applicability of equitable principles of trade, to foster subscription services, such as Markit, Exchange listing rules shall constitute cooperation and coordination with Bloomberg and Thomson Reuters, continued listing requirements for persons engaged in facilitating which can be accessed by authorized listing the Shares on the Exchange. In transactions in securities, and to remove participants and other investors, and/or addition, the issuer has represented to impediments to and perfect the from independent pricing services. the Exchange that it will advise the mechanism of a free and open market Pricing information for Derivative Exchange of any failure by the Fund to and, in general, to protect investors and Instruments would be available from comply with the continued listing the public interest. The purposes of the major broker-dealer firms and/or requirements, and, pursuant to its proposed rule change are (1) to expand through subscription services and, if obligations under Section 19(g)(1) of the the Fund’s ability to hold certain fixed applicable, from the exchanges on Act, the Exchange will monitor for income, equity and equity-like which they are traded. Further, for the compliance with the continued listing securities, positions and interests, and Fund, an estimated value, defined in requirements. If the Fund is not in (2) to expand the Fund’s ability to invest Nasdaq Rule 5735(c)(3) as the ‘‘Intraday compliance with the applicable listing in derivatives. Except as provided Indicative Value’’ that reflects an requirements, the Exchange will herein, the Prior Release Continued estimated intraday value of the Fund’s commence delisting procedures under Listing Representations would remain portfolio, including, among other things, the Nasdaq 5800 Series. unchanged. Except for the generic Received Instruments and Derivative The Adviser represents that there listing standards and as otherwise Instruments, would continue to be would be no change to the Fund’s provided in this filing, the Fund and the disseminated.20 investment objectives. Except as Shares would comply with the provided herein, all representations requirements applicable to Managed Surveillance made in the Prior Release regarding (a) Fund Shares under Nasdaq Rule 5735. The Financial Industry Regulatory the description of the portfolio or The Exchange believes that the Authority (‘‘FINRA’’), on behalf of the reference assets, (b) limitations on proposed rule change is designed to Exchange, or the Exchange, or both, portfolio holdings or reference assets, (c) prevent fraudulent and manipulative would communicate as needed, and dissemination and availability of the acts and practices in that the Shares may obtain trading information, reference asset or intraday indicative would continue to be listed and traded regarding trading in the exchange-listed values, or (d) the applicability of on the Exchange pursuant to Nasdaq Equity-Based Received Instruments (if Exchange listing rules (collectively, Rule 5735. FINRA, on behalf of the any) and exchange-listed Derivative ‘‘Prior Release Continued Listing Exchange, or the Exchange, or both, Instruments held by the Fund with Representations’’) would remain would communicate as needed, and other markets and other entities that are unchanged.23 Except for the generic may obtain trading information, members of ISG.21 The Exchange may listing provisions of Nasdaq Rule regarding trading in the exchange-listed also obtain information regarding 5735(b)(1) (the ‘‘generic listing Equity-Based Received Instruments (if trading such exchange-listed standards’’) 24 and as otherwise any) and exchange-listed Derivative instruments held by the Fund from provided in this filing, the Fund and the Instruments held by the Fund with markets and other entities with which Shares would comply with the other markets and other entities that are the Exchange has in place a requirements applicable to Managed members of ISG. The Exchange may also comprehensive surveillance sharing Fund Shares under Nasdaq Rule 5735. obtain information regarding trading in such exchange-listed instruments held agreement. Moreover, with respect to 2. Statutory Basis Received Instruments that are fixed by the Fund from markets and other Nasdaq believes that the proposal is income securities, FINRA, on behalf of entities with which the Exchange has in consistent with Section 6(b) of the Act the Exchange, would be able to access, place a comprehensive surveillance in general and Section 6(b)(5) of the Act, as needed, trade information for such sharing agreement. Moreover, with in particular, in that it is designed to securities held by the Fund to the extent respect to Received Instruments that are reported to FINRA’s Trade Reporting fixed income securities, FINRA, on 23 Certain provisions of the Prior Release, 22 behalf of the Exchange, would be able and Compliance Engine (‘‘TRACE’’). however, were based on information as of a particular date and there has not been an to access, as needed, trade information Continued Listing Representations undertaking to update such information for for such securities held by the Fund to All statements and representations purposes of this filing. In addition, the Exchange the extent reported to FINRA’s TRACE. notes that the current name of the Fund’s Further, the Exchange notes that made in this filing regarding (a) the benchmark (defined in the 2013 Order as the description of the portfolio or reference ‘‘Index’’) is ICE BofA US High Yield Constrained although the proposed changes in this assets, (b) limitations on portfolio Index. filing would permit the Fund to retain, holdings or reference assets, (c) 24 In particular, the Fund may not meet the without regard to the ISG Restriction, criteria of Nasdaq Rule 5735(b)(1)(B). Additionally, Equity-Based Received Instruments, the the Fund’s investments in equity securities are not 20 Fund would not hold more than 20% of With respect to the Fund’s other permitted generally expected to meet the criteria set forth in investments, statements regarding availability of Nasdaq Rule 5735(b)(1)(A) and, to the extent the its net assets in Equity-Based Received pricing information included in the Prior Release Fund invests in cash equivalents, such investments Instruments (which would not be taken would continue to apply. may not necessarily satisfy the criteria set forth in into account for purposes of compliance 21 For a list of the current members of ISG, see Nasdaq Rule 5735(b)(1)(C) (for example, the with the 80% Requirement), and the www.isgportal.org. The Exchange notes that not all requirement that maturities be less than three components of the Disclosed Portfolio may trade on months). As described in this filing, the Fund’s Adviser expects that generally, over markets that are members of ISG or with which the investments in Derivative Instruments would meet time, significantly less than 20% of the Exchange has in place a comprehensive the criteria set forth in the Derivatives GLS. For the Fund’s net assets would be comprised of surveillance sharing agreement. avoidance of doubt, Equity-Based Received Equity-Based Received Instruments. 22 With respect to trading information relating to Instruments (including without limitation warrants the Fund’s other permitted investments, statements and rights referenced above in footnote 11 and the The proposed rule change is designed regarding surveillance included in the Prior Release accompanying text) will not be considered to be to promote just and equitable principles would continue to apply. options or any other type of derivative. of trade and to protect investors and the

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public interest in that the Adviser derivative instruments, the Exchange regarding the Fund’s holdings, the represents that the primary purpose of does not believe that the proposed Intraday Indicative Value, the Disclosed the proposed changes is to provide it changes raise concerns under Section Portfolio, and quotation and last sale with greater flexibility in meeting the 6(b) of the Act given that, going forward, information for the Shares. Fund’s investment objectives by the Fund would invest in Derivative For the above reasons, Nasdaq modifying certain provisions in the Instruments in accordance with the believes the proposed rule change is Prior Release. Notwithstanding the parameters of the Derivatives GLS. consistent with the requirements of proposed changes, however, the In addition, a large amount of Section 6(b)(5) of the Act. information would continue to be Adviser’s overall approach to managing B. Self-Regulatory Organization’s publicly available regarding the Fund the Fund (which, as described in the Statement on Burden on Competition 2013 Order, incorporates a combination and the Shares, thereby promoting of thorough and continuous credit risk market transparency. For example, the The Exchange does not believe that analysis, market evaluation, Intraday Indicative Value, available on the proposed rule change will impose diversification, and the ability to the Nasdaq Information LLC proprietary any burden on competition that is not reallocate investments) would not index data service, would continue to be necessary or appropriate in furtherance change. Additionally, the Fund would widely disseminated and broadly of the purposes of the Act. The continue to invest 85% or more of its displayed at least every 15 seconds Exchange believes that the proposed portfolio in securities that the Adviser during the Regular Market Session. On rule change would provide the Adviser deems to be sufficiently liquid at the each business day, before with additional flexibility, thereby time of investment in accordance with commencement of trading in Shares in helping the Fund to achieve its Commission guidance and, in addition, the Regular Market Session on the investment objectives. As such, it is the Adviser would continue to monitor Exchange, the Fund would continue to expected that the Fund may become a portfolio liquidity on an ongoing basis disclose on the applicable website 25 the more attractive investment product in to determine whether, in light of current Disclosed Portfolio that will form the the marketplace and, therefore, that the circumstances, an adequate level of basis for the Fund’s calculation of net proposed rule change would not impose liquidity is being maintained. asset value (‘‘NAV’’) at the end of the any burden on competition that is not With respect to the proposed changes business day. In addition, the Fund’s necessary or appropriate in furtherance relating to Received Instruments, the Disclosed Portfolio would include the of the purposes of the Act. Adviser believes that under certain Received Instruments and Derivative C. Self-Regulatory Organization’s circumstances, a limited ability to retain Instruments held by the Fund. Intra-day Statement on Comments on the Received Instruments beyond the executable price quotations for the Proposed Rule Change Received From parameters set forth in the 2013 Order Received Instruments held by the Fund Members, Participants, or Others may serve to benefit shareholders to the would be available from major broker- extent it helps the Fund to pursue its dealer firms and/or market data vendors No written comments were either investment objectives by retaining an (and/or, if applicable, on the exchanges solicited or received. investment interest, which the Adviser on which they are traded). Intra-day III. Date of Effectiveness of the believes has merit, relating to a price information for the Received Proposed Rule Change and Timing for particular issuer. The Exchange believes Instruments would be available through Commission Action that concerns related to manipulation subscription services, such as Markit, Because the foregoing proposed rule should be mitigated given that the Bloomberg and Thomson Reuters, change does not: (i) Significantly affect proposed changes (a) would be limited which can be accessed by authorized the protection of investors or the public in scope, and (b) would be subject to the participants and other investors, and/or interest; (ii) impose any significant limits described above. As indicated from independent pricing services. burden on competition; and (iii) become above, the Fund’s aggregate holdings in Pricing information for Derivative operative for 30 days from the date on Equity-Based Received Instruments Instruments would be available from which it was filed, or such shorter time would continue to not qualify as major broker-dealer firms and/or Primary Investments and, accordingly, through subscription services and, if as the Commission may designate, it has together with other Non-Primary applicable, from the exchanges on become effective pursuant to Section 19(b)(3)(A) of the Act 26 and Rule 19b– Investments, would be limited to 20% which they are traded. 27 of the Fund’s net assets. Additionally, The proposed rule change is designed 4(f)(6) thereunder. At any time within 60 days of the the Exchange notes the Adviser’s to perfect the mechanism of a free and filing of the proposed rule change, the expectation that generally, over time, open market and, in general, to protect Commission summarily may significantly less than 20% of the investors and the public interest in that temporarily suspend such rule change if Fund’s net assets would be comprised of the additional flexibility to be afforded Equity-Based Received Instruments to the Adviser under the proposed rule it appears to the Commission that such (which means that significantly less change is intended to enhance its ability action is necessary or appropriate in the than 20% of the Fund’s net assets are to meet the Fund’s investment public interest, for the protection of expected to be comprised of instruments objectives, to the benefit of investors. In investors, or otherwise in furtherance of that do not satisfy the ISG Restriction). addition, consistent with the Prior the purposes of the Act. If the Further, Equity-Based Received Release, NAV per Share would continue Commission takes such action, the Instruments would not be taken into to be calculated daily, and NAV and the 26 account for purposes of compliance Disclosed Portfolio would continue to 15 U.S.C. 78s(b)(3)(A). 27 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– with the 80% Requirement. Based on be made available to all market 4(f)(6)(iii) requires a self-regulatory organization to the foregoing, the Exchange does not participants at the same time. Further, give the Commission written notice of its intent to believe that the proposed changes will as noted above and/or in the Prior file the proposed rule change, along with a brief adversely affect investors or Exchange Release, investors would continue to description and text of the proposed rule change, at least five business days prior to the date of filing trading. have ready access to information of the proposed rule change, or such shorter time With respect to the proposed changes as designated by the Commission. The Exchange relating to the Fund’s ability to invest in 25 www.ftportfolios.com. has satisfied this requirement.

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Commission shall institute proceedings For the Commission, by the Division of Pilot Program shall be through [May to determine whether the proposed rule Trading and Markets, pursuant to delegated 4]November 2, 2020. change should be approved or authority.28 * * * * * disapproved. The text of the proposed rule change J. Matthew DeLesDernier, is also available on the Exchange’s IV. Solicitation of Comments Assistant Secretary. website (http://www.cboe.com/ Interested persons are invited to [FR Doc. 2020–08488 Filed 4–21–20; 8:45 am] AboutCBOE/CBOELegalRegulatory submit written data, views, and BILLING CODE 8011–01–P Home.aspx), at the Exchange’s Office of arguments concerning the foregoing, the Secretary, and at the Commission’s including whether the proposed rule Public Reference Room. change is consistent with the Act. SECURITIES AND EXCHANGE COMMISSION II. Self-Regulatory Organization’s Comments may be submitted by any of Statement of the Purpose of, and the following methods: [Release No. 34–88673; File No. SR–CBOE– Statutory Basis for, the Proposed Rule Electronic Comments 2020–035] Change • Use the Commission’s internet Self-Regulatory Organizations; Cboe In its filing with the Commission, the comment form (http://www.sec.gov/ Exchange, Inc.; Notice of Filing and Exchange included statements rules/sro.shtml); or Immediate Effectiveness of a Proposed concerning the purpose of and basis for • Send an email to rule-comments@ Rule Change To Renew an Existing the proposed rule change and discussed sec.gov. Please include File Number SR– Pilot Program Until November 2, 2020 any comments it received on the NASDAQ–2020–020 on the subject line. proposed rule change. The text of these April 16, 2020. statements may be examined at the Paper Comments Pursuant to Section 19(b)(1) of the places specified in Item IV below. The • Send paper comments in triplicate Securities Exchange Act of 1934 (the Exchange has prepared summaries, set to Secretary, Securities and Exchange ‘‘Act’’),1 and Rule 19b–4 thereunder,2 forth in sections A, B, and C below, of Commission, 100 F Street NE notice is hereby given that on April 13, the most significant aspects of such Washington, DC 20549–1090. 2020, Cboe Exchange, Inc. (the statements. ‘‘Exchange’’ or ‘‘Cboe Options’’) filed All submissions should refer to File A. Self-Regulatory Organization’s with the Securities and Exchange Number SR–NASDAQ–2020–020. This Statement of the Purpose of, and Commission (the ‘‘Commission’’) the file number should be included on the Statutory Basis for, the Proposed Rule proposed rule change as described in subject line if email is used. To help the Change Items I and II below, which Items have Commission process and review your been prepared by the Exchange. The 1. Purpose comments more efficiently, please use Exchange filed the proposal as a ‘‘non- only one method. The Commission will On September 14, 2010, the Securities controversial’’ proposed rule change post all comments on the Commission’s and Exchange Commission (the pursuant to Section 19(b)(3)(A)(iii) of internet website (http://www.sec.gov/ ‘‘Commission’’) approved a Cboe the Act 3 and Rule 19b–4(f)(6) rules/sro.shtml). Copies of the Options proposal to establish a pilot thereunder.4 The Commission is submission, all subsequent program under which the Exchange is publishing this notice to solicit amendments, all written statements permitted to list P.M.-settled options on comments on the proposed rule change with respect to the proposed rule broad-based indexes to expire on (a) any from interested persons. change that are filed with the Friday of the month, other than the Commission, and all written I. Self-Regulatory Organization’s third Friday-of-the-month, and (b) the 5 communications relating to the Statement of the Terms of Substance of last trading day of the month. On proposed rule change between the the Proposed Rule Change January 14, 2016, the Commission Commission and any person, other than approved a Cboe Options proposal to Cboe Exchange, Inc. (the ‘‘Exchange’’ expand the pilot program to allow P.M.- those that may be withheld from the or ‘‘Cboe Options’’) proposes to renew public in accordance with the settled options on broad-based indexes an existing pilot program until to expire on any Wednesday of month, provisions of 5 U.S.C. 552, will be November 2, 2020. The text of the available for website viewing and other than those that coincide with an proposed rule change is provided EOM.6 On August 10, 2016, the printing in the Commission’s Public below. Reference Room, 100 F Street NE, Commission approved a Cboe Options (additions are italicized; deletions are Washington, DC 20549, on official proposal to expand the pilot program to [bracketed]) business days between the hours of allow P.M.-settled options on broad- 10:00 a.m. and 3:00 p.m. Copies of the * * * * * based indexes to expire on any Monday filing also will be available for of month, other than those that coincide Rules of Cboe Exchange, Inc. 7 inspection and copying at the principal with an EOM. Under the terms of the * * * * * office of the Exchange. All comments Nonstandard Expirations Pilot Program received will be posted without change. Rule 4.13. Series of Index Options (‘‘Program’’), Weekly Expirations and Persons submitting comments are (a)–(d) No change. EOMs are permitted on any broad-based cautioned that we do not redact or edit (e) Nonstandard Expirations Pilot Program. index that is eligible for regular options personal identifying information from (1)–(2) No change. 5 comment submissions. You should (3) Duration of Nonstandard Expirations See Securities Exchange Act Release 62911 Pilot Program. The Nonstandard Expirations (September 14, 2010), 75 FR 57539 (September 21, submit only information that you wish 2010) (order approving SR–CBOE–2009–075). to make available publicly. All 6 See Securities Exchange Act Release 76909 28 submissions should refer to File 17 CFR 200.30–3(a)(12). (January 14, 2016), 81 FR 3512 (January 21, 2016) 1 15 U.S.C. 78s(b)(1). Number SR–NASDAQ–2020–020 and (order approving SR–CBOE–2015–106). 2 17 CFR 240.19b–4. 7 See Securities Exchange Act Release 78531 should be submitted on or before May 3 15 U.S.C. 78s(b)(3)(A)(iii). (August 10, 2016), 81 FR 54643 (August 16, 2016) 13, 2020. 4 17 CFR 240.19b–4(f)(6). (order approving SR–CBOE–2016–046).

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trading. Weekly Expirations and EOMs the Exchange Act. The Exchange makes the Section 6(b)(5) 14 requirement that are cash-settled and have European- public all data and analyses previously the rules of an exchange not be designed style exercise. The proposal became submitted to the Commission under the to permit unfair discrimination between effective on a pilot basis for a period of Program,11 and will make public any customers, issuers, brokers, or dealers. fourteen months that commenced on the data and analyses it makes to the In particular, the Exchange believes next full month after approval was Commission under the Program in the that the Program has been successful to received to establish the Program 8 and future. date and states that it has not was subsequently extended.9 Pursuant If, in the future, the Exchange encountered any problems with the to Rule 4.13(e)(3),10 the Program is proposes an additional extension of the Program. The proposed rule change scheduled to expire on May 4, 2020. Program, or should the Exchange allows for an extension of the Program The Exchange believes that the Program propose to make the Program permanent for the benefit of market participants. has been successful and well received (which the Exchange currently intends Additionally, the Exchange believes that by its Trading Permit Holders and the to do), the Exchange will submit an there is demand for the expirations investing public during that the time annual report (addressing the same offered under the Program and believes that it has been in operation. The areas referenced above and consistent that that Weekly Expirations and EOMs Exchange hereby proposes to extend the with the order approving the will continue to provide the investing Program until November 2, 2020. This establishment of the Program) to the public and other market participants proposal does not request any other Commission at least two months prior to increased opportunities to better changes to the Program. the expiration date of the Program. The manage their risk exposure. Pursuant to the order approving the Exchange will also make this report establishment of the Program, two B. Self-Regulatory Organization’s public. Any positions established under Statement on Burden on Competition months prior to the conclusion of the the Program will not be impacted by the pilot period, Cboe Options is required to expiration of the Program. Cboe Options does not believe that submit an annual report to the The Exchange believes there is the proposed rule change will impose Commission, which addresses the sufficient investor interest and demand any burden on competition that is not following areas: Analysis of Volume & in the Program to warrant its extension. necessary or appropriate in furtherance Open Interest, Monthly Analysis of The Exchange believes that the Program of the purposes of the Act. Specifically, Weekly Expirations & EOM Trading has provided investors with additional the Exchange believes that, by extending Patterns and Provisional Analysis of means of managing their risk exposures the expiration of the Program, the Index Price Volatility. The Exchange has and carrying out their investment proposed rule change will allow for submitted, under separate cover, the objectives. Furthermore, the Exchange further analysis of the Program and a annual report in connection with the has not experienced any adverse market determination of how the Program shall present proposed rule change. effects with respect to the Program. be structured in the future. In doing so, Additionally, the Exchange will provide The Exchange believes that the the proposed rule change will also serve the Commission with any additional proposed extension of the Program will to promote regulatory clarity and data or analyses the Commission not have an adverse impact on capacity. consistency, thereby reducing burdens requests because it deems such data or on the marketplace and facilitating analyses necessary to determine 2. Statutory Basis investor protection. whether the Program is consistent with The Exchange believes the proposed C. Self-Regulatory Organization’s rule change is consistent with the 8 Statement on Comments on the Id. Securities Exchange Act of 1934 (the 9 See Securities Exchange Act Release 65741 Proposed Rule Change Received From (November 14, 2011), 76 FR 72016 (November 21, ‘‘Act’’) and the rules and regulations Members, Participants, or Others 2011) (immediately effective rule change extending thereunder applicable to the Exchange the Program through February 14, 2013). See also and, in particular, the requirements of The Exchange neither solicited nor Securities Exchange Act Release 68933 (February Section 6(b) of the Act.12 Specifically, received comments on the proposed 14, 2013), 78 FR 12374 (February 22, 2013) rule change. (immediately effective rule change extending the the Exchange believes the proposed rule Program through April 14, 2014); 71836 (April 1, change is consistent with the Section III. Date of Effectiveness of the 2014), 79 FR 19139 (April 7, 2014) (immediately 6(b)(5) 13 requirements that the rules of Proposed Rule Change and Timing for effective rule change extending the Program through November 3, 2014); 73422 (October 24, an exchange be designed to prevent Commission Action 2014), 79 FR 64640 (October 30, 2014) (immediately fraudulent and manipulative acts and Because the proposed rule change effective rule change extending the Program practices, to promote just and equitable does not: (i) Significantly affect the through May 3, 2016); 76909 (January 14, 2016), 81 principles of trade, to foster cooperation FR 3512 (January 21, 2016) (extending the Program protection of investors or the public through May 3, 2017); 80387 (April 6, 2017), 82 FR and coordination with persons engaged interest; (ii) impose any significant 17706 (April 12, 2017) (extending the Program in regulating, clearing, settling, burden on competition; and (iii) become through May 3, 2018); 83165 (May 3, 2018), 83 FR processing information with respect to, 21316 (May 9, 2018) (SR–CBOE–2018–038) operative for 30 days from the date on (extending the Program through November 5, 2018); and facilitation transactions in which it was filed, or such shorter time 84534 (November 5, 2019), 83 FR 56119 (November securities, to remove impediments to as the Commission may designate, it has 9, 2018) (SR–CBOE–2018–070) (extending the and perfect the mechanism of a free and become effective pursuant to Section Program through May 6, 2019); 85650 (April 15, open market and a national market 2019), 84 FR 16552 (April 19, 2019) (SR–CBOE– 19(b)(3)(A) of the Act 15 and 2019–022) (extending the Program through system, and, in general, to protect subparagraph (f)(6) of Rule 19b–4 November 4, 2019); and 87462 (November 5, 2019), investors and the public interest. thereunder.16 84 FR 61108 (November 12, 2019) (SR–CBOE– Additionally, the Exchange believes the 2019–104) (extending the Program through May 4, proposed rule change is consistent with 14 2020). Id. 10 The Exchange recently relocated prior Rule 15 15 U.S.C. 78s(b)(3)(A). 11 24.9, containing the provision which governs the Available at https://www.cboe.com/aboutcboe/ 16 17 CFR 240.19b–4(f)(6). In addition, Rule19b– Program, to current Rule 4.13. See SR–CBOE–2019– legal-regulatory/national-market-system-plans/non- 4(f)(6)(iii) requires a self-regulatory organization to 092 (October 4, 2019), which did not make any standard-expiration-data. give the Commission written notice of its intent to substantive changes to prior Rule 24.9 and merely 12 15 U.S.C. 78f(b). file the proposed rule change, along with a brief relocated it to Rule 4.13. 13 15 U.S.C. 78f(b)(5). description and text of the proposed rule change,

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A proposed rule change filed • Send an email to rule-comments@ DEPARTMENT OF STATE pursuant to Rule 19b–4(f)(6) under the sec.gov. Please include File Number SR– [Public Notice: 11097] Act 17 normally does not become CBOE–2020–035 on the subject line. operative for 30 days after the date of its HD2≤Paper Comments Notice of Renewal of the Advisory 18 filing. However, Rule 19b–4(f)(6)(iii) • Send paper comments in triplicate Committee on International Law permits the Commission to designate a to Secretary, Securities and Exchange Charter shorter time if such action is consistent Commission, 100 F Street NE, with the protection of investors and the The Department of State has renewed public interest. The Exchange has asked Washington, DC 20549–1090. the charter of the Advisory Committee the Commission to waive the 30-day All submissions should refer to File on International Law. The Committee is operative delay so that the proposal may Number SR–CBOE–2020–035. This file composed of former Legal Advisers of become operative immediately upon number should be included on the the Department of State and up to 30 filing. The Exchange states that waiver subject line if email is used. To help the individuals appointed by the Legal of the 30-day operative delay will allow Commission process and review your Adviser or a Deputy Legal Adviser. it to extend the Program prior to its comments more efficiently, please use Through the Committee, the Department of State will continue to obtain the expiration on May 4, 2020, and only one method. The Commission will views and advice of outstanding maintain the status quo, thereby post all comments on the Commission’s reducing market disruption. The members drawn from a cross section of internet website (http://www.sec.gov/ the legal profession. The Committee Commission believes that waiving the rules/sro.shtml). Copies of the 30-day operative delay is consistent follows procedures prescribed by the submission, all subsequent with the protection of investors and the Federal Advisory Committee Act amendments, all written statements public interest as it will allow the (FACA). Its meetings are open to the Program to continue uninterrupted, with respect to the proposed rule public unless a determination is made thereby avoiding investor confusion that change that are filed with the in accordance with the FACA and 5 could result from a temporary Commission, and all written U.S.C. 552b(c) that a meeting or portion interruption in the Program. communications relating to the of a meeting should be closed to the Accordingly, the Commission hereby proposed rule change between the public. Notice of each meeting will be waives the operative delay and Commission and any person, other than published in the Federal Register at designates the proposed rule change those that may be withheld from the least 15 days prior to the meeting, operative upon filing.19 public in accordance with the unless extraordinary circumstances At any time within 60 days of the provisions of 5 U.S.C. 552, will be require shorter notice. filing of the proposed rule change, the available for website viewing and FOR FURTHER INFORMATION CONTACT: Commission summarily may printing in the Commission’s Public Alison Welcher, Executive Director, temporarily suspend such rule change if Reference Room, 100 F Street NE, Advisory Committee on International it appears to the Commission that such Washington, DC 20549 on official Law, Department of State, at 202–647– action is necessary or appropriate in the business days between the hours of 1646 or [email protected]. public interest, for the protection of 10:00 a.m. and 3:00 p.m. Copies of the Alison R. Welcher, investors, or otherwise in furtherance of filing also will be available for the purposes of the Act. If the Attorney-Adviser, Office of the Legal Adviser, inspection and copying at the principal Department of State. Commission takes such action, the office of the Exchange. All comments Commission shall institute proceedings [FR Doc. 2020–08465 Filed 4–21–20; 8:45 am] received will be posted without change. BILLING CODE 4710–08–P to determine whether the proposed rule Persons submitting comments are change should be approved or cautioned that we do not redact or edit disapproved. personal identifying information from DEPARTMENT OF STATE IV. Solicitation of Comments comment submissions. You should [Public Notice 11098] Interested persons are invited to submit only information that you wish submit written data, views, and to make available publicly. All Notice of Charter Renewal for the arguments concerning the foregoing, submissions should refer to File Cultural Property Advisory Committee Number SR–CBOE–2020–035, and including whether the proposed rule SUMMARY: The Charter of the should be submitted on or before May change is consistent with the Act. Department of State’s Cultural Property 13, 2020. Comments may be submitted by any of Advisory Committee has been renewed the following methods: For the Commission, by the Division of for an additional two years. The Electronic Comments Trading and Markets, pursuant to delegated Department of State has renewed the authority.20 • Charter of the Cultural Property Use the Commission’s internet J. Matthew DeLesDernier, Advisory Committee. The Committee comment form (http://www.sec.gov/ was established by the Convention on rules/sro.shtml); or Assistant Secretary. [FR Doc. 2020–08494 Filed 4–21–20; 8:45 am] Cultural Property Implementation Act of 1983, to provide recommendations BILLING CODE 8011–01–P at least five business days prior to the date of filing regarding requests for assistance from of the proposed rule change, or such shorter time as designated by the Commission. The Exchange foreign governments under the 1970 has satisfied this requirement. Convention on the Means of Prohibiting 17 17 CFR 240.19b–4(f)(6). and Preventing the Illicit Import, Export 18 17 CFR 240.19b–4(f)(6)(iii). and Transfer of Ownership of Cultural 19 For purposes only of waiving the 30-day Property. The Presidentially appointed operative delay, the Commission also has considered the proposed rule’s impact on members include individuals efficiency, competition, and capital formation. See representing the interests of museums; 15 U.S.C. 78c(f). 20 17 CFR 200.30–3(a)(12). experts in the fields of archaeology,

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anthropology, or related areas; experts compatibility program for Burlington Questions may be directed to the in the international sale of International Airport which will be individual named above under the archaeological, ethnological, and other approved or disapproved on or before heading: FOR FURTHER INFORMATION cultural property; and individuals who October 11, 2020. This notice also CONTACT. represent the interests of the general announces the availability of this Issued in Burlington, Massachusetts, on public. The renewed Charter was filed program for public review and April 17, 2020. with Congress on March 26. comment. An airport operator who has Julie Seltsam-Wilps, FOR FURTHER INFORMATION CONTACT: submitted noise exposure maps that are Deputy Director, Airports Division, FAA New Cultural Heritage Center, U.S. found by FAA to be in compliance with England Region. the requirements of Federal Aviation Department of State, Bureau of [FR Doc. 2020–08527 Filed 4–21–20; 8:45 am] Regulations (FAR) part 150, Educational and Cultural Affairs, 2200 C BILLING CODE 4910–13–P Street NW, Washington, DC 20522. promulgated pursuant to the Act, may Telephone: (202) 632–6301; Email submit a noise compatibility program [email protected]. for FAA approval which sets forth the DEPARTMENT OF TRANSPORTATION measures the operator has taken or Allison R. Davis, proposes to reduce existing non- Federal Aviation Administration Executive Director, Cultural Property compatible uses and prevent the Advisory Committee, Department of State. introduction of additional non- [Docket No. FAA–2020–0387] [FR Doc. 2020–08515 Filed 4–21–20; 8:45 am] compatible uses. BILLING CODE 4710–05–P The FAA has formally received the Agency Information Collection noise compatibility program for Activities: Requests for Comments; Burlington International Airport, Clearance of a Renewed Approval of DEPARTMENT OF TRANSPORTATION effective on April 17, 2020. The airport Information Collection: Domestic and operator has requested that the FAA International Flight Plans Federal Aviation Administration review this material and that the noise mitigation measures, to be implemented AGENCY: Federal Aviation Receipt of Noise Compatibility Administration (FAA), DOT. Program and Request for Review; jointly by the airport and surrounding ACTION: Notice and request for Burlington International Airport, South communities, be approved as a noise comments. Burlington, Vermont compatibility program under section 47504 of the Act. Preliminary review of SUMMARY: In accordance with the AGENCY: Federal Aviation the submitted material indicates that it Paperwork Reduction Act of 1995, FAA Administration, DOT. conforms to FAR part 150 requirements invites public comments about our ACTION: Notice. for the submittal of noise compatibility intention to request the Office of programs, but that further review will be SUMMARY: Management and Budget (OMB) The Federal Aviation necessary prior to approval or approval to renew an information Administration (FAA) announces that it disapproval of the program. The formal collection. The collection involves is reviewing a proposed noise review period, limited by law to a extracting flight data such as aircraft, compatibility program that was maximum of 180 days, will be routing speed, etc. from domestic and submitted for Burlington International completed on or before October 11, international flights. FAA Form 7233–1, Airport under the provisions of the 2020. Aviation Safety and Noise Abatement Flight Plan: Domestic flight plan The FAA’s detailed evaluation will be Act, hereinafter referred to as ‘‘the Act,’’ information is used to govern the flight conducted under the provisions of 14 and by the City of Burlington. This of aircraft for the protection and CFR part 150, section 150.33. The program was submitted subsequent to a identification of aircraft and property primary considerations in the determination by FAA that associated and persons on the ground. The evaluation process are whether the noise exposure maps submitted for information is used by air traffic proposed measures may reduce the level Burlington International Airport were in controllers, search and rescue (SAR) of aviation safety or create an undue compliance with applicable personnel, flight standards inspectors, burden on interstate or foreign requirements, effective September 26, accident investigators, military, law commerce, and whether they are 2019. The proposed noise compatibility enforcement, and the Department of reasonably consistent with obtaining the program will be approved or Homeland Security. FAA Form 7233–4, goal of reducing existing non- disapproved on or before October 11, International Flight Plan: International compatible land uses and preventing the 2020. flight plan information is used for the introduction of additional non- same purposes as domestic flight plans; DATES: The effective date of the start of compatible land uses. FAA’s review of the noise compatibility in addition, it is used by Customs and Interested persons are invited to international controllers. program is April 14, 2020. The public comment on the proposed program with comment period ends June 13, 2020. specific reference to these factors. All DATES: Written comments should be FOR FURTHER INFORMATION CONTACT: comments relating to these factors, other submitted by June 22, 2020. Richard Doucette, Federal Aviation than those properly addressed to local ADDRESSES: Please send written Administration, New England Region land use authorities, will be considered comments: Airports Division, 1200 District Ave., by the FAA to the extent practicable. By Electronic Docket: Burlington, MA 01803. Phone: 781– Copies of the noise exposure maps and www.regulations.gov (Enter docket 238–7613. Comments on the proposed the proposed noise compatibility number into search field). noise compatibility program should also program can be viewed online at the By mail: Aldwin E. Humphrey, 8th be submitted to the above office. airport’s website: www.btvsound.com, Floor, Room 8407 I St. NW, Washington, SUPPLEMENTARY INFORMATION: This by contacting the airport via the DC 20005. notice announces that the FAA is website: www.btvsound.com/contact/, FOR FURTHER INFORMATION CONTACT: reviewing a proposed noise or by calling 802–863–2874. Aldwin Humphrey by email at:

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[email protected]; phone: 214– Almost 100 percent of flight plans are DEPARTMENT OF TRANSPORTATION 687–8924. filed electronically. However, as a SUPPLEMENTARY INFORMATION: courtesy to the aviation public, flight Federal Highway Administration Public Comments Invited: You are plans may be submitted in paper form. Notice of Final Federal Agency Actions asked to comment on any aspect of this Flight plans may be filed in the on Proposed Highway in California information collection, including (a) following ways: Whether the proposed collection of • Air carrier and air taxi operations, AGENCY: Federal Highway information is necessary for FAA’s Administration (FHWA), Department of performance; (b) the accuracy of the and certain corporate aviation departments, have been granted Transportation (DOT). estimated burden; (c) ways for FAA to ACTION: Notice of limitation on claims enhance the quality, utility and clarity authority to electronically file flight plans directly with the FAA. The for judicial review of actions by the of the information collection; and (d) California Department of Transportation majority of air carrier and air taxi flights ways that the burden could be (Caltrans). minimized without reducing the quality are processed in this manner. of the collected information. The agency • Air carrier and air taxi operators SUMMARY: The FHWA, on behalf of will summarize and/or include your may submit pre-stored flight plan Caltrans, is issuing this notice to comments in the request for OMB’s information on scheduled flights to Air announce actions taken by Caltrans that clearance of this information collection. Route Traffic Control Centers (ARTCC) are final. The actions relate to a OMB Control Number: 2120–0026. to be entered electronically at the proposed highway project, the State Title: Domestic and International appropriate times. Route 241 and State Route 91 Tolled Flight Plans. Express Lanes Connector Project from • Form Numbers: FAA form 7233–1 Pilots may call 1–800–WX–BRIEF the County of Orange (12–ORA–241 Flight Plan, FAA form 7233–4 (992–7433) and file flight plans with a p.m. 36.1/39.1 and 12–ORA 91 p.m. International Flight Plan. flight service station specialist who 14.7/18.9) to the County of Riverside Type of Review: Renewal of an enters the information directly into a (08–RIV–91 p.m. 0.0/1.5), in the State of information collection. computer system that automatically California. Those actions grant licenses, Background: The Federal Aviation transmits the information to the permits, and approvals for the project. Administration (FAA) is authorized and appropriate air traffic facility. Pilots DATES: By this notice, the FHWA, on directed by Title 49, United States Code, calling certain flight service stations behalf of Caltrans, is advising the public paragraph 40103(b), to prescribe air have the option of using a voice traffic rules and regulations governing of final agency actions subject to 23 the flight of aircraft for the protection recorder to store the information that U.S.C. 139(l)(1). A claim seeking and identification of aircraft and will later be entered by a specialist. judicial review of the Federal agency property and persons on the ground. • Private and corporate pilots who fly actions on the highway project will be Title 14, CFR, Part 91, Subchapter F, the same aircraft and routes at regular barred unless the claim is filed on or prescribes flight rules governing the times may prestore flight plans with before September 21, 2020. If the Federal law that authorizes judicial operation of aircraft within the United flight service stations. The flight plans review of a claim provides a time period States. These rules govern the operation will then be entered automatically into of less than 150 days for filing such of aircraft (other than moored balloons, the air traffic system at the appropriate kites, unmanned rockets and unmanned claim, then that shorter time period still time. applies. free balloons) within the United States • and for flights across international Pilots who visit a flight service FOR FURTHER INFORMATION CONTACT: For borders. Paragraphs 91.153 and 91.169, station in person may choose to a file Caltrans: Smita Deshpande, Generalist address flight plan information flight plan by using a paper form. The Branch Chief, Caltrans—District 12, requirements. Paragraph 91.173 states data will then be entered into a 1750 East Fourth Street, Suite 100, requirements for when an instrument computer and filed electronically. The Santa Ana, California 92705, weekdays flight rules (IFR) flight plan must be pilot will often keep the paper copy for 9:00 a.m. to 3:00 p.m., telephone (657) filed. International Standards Rules of his/her record. 328–6000, email the Air, Annex 2 to the Convention on Respondents: Air carrier and air taxi D12TolledExpressLanesConnector@ International Civil Aviation paragraph operations, and certain corporate dot.ca.gov. For FHWA: David Tedrick at (916) 498–5024 or email david.tedrick@ 3.3 states requirements for filing aviation departments, General Aviation dot.gov. international flight plans. In addition, a Pilots. Washington, District of Columbia (DC) SUPPLEMENTARY INFORMATION: Effective Special Flight Rules Area (SFRA) was Frequency: On occasion. July 1, 2007, the FHWA assigned, and implemented requiring pilots operating Estimated Average Burden per the Caltrans assumed, environmental within a certain radius of Washington, Response: 2.5 minutes per flight plan. responsibilities for this project pursuant DC to follow special security flight Estimated Total Annual Burden: to 23 U.S.C. 327. Notice is hereby given rules. The SFRA also includes three (3) 718,618 hours. that the Caltrans have taken final agency general aviation airports in Maryland actions subject to 23 U.S.C. 139(l)(1) by (College Park, Clinton/Washington Issued in Washington, DC, on April 13, issuing licenses, permits, and approvals Executive/Hyde Field, and Friendly/ 2020. for the following highway project in the Potomac Airfield) where pilots are Aldwin E. Humphrey, State of California: The State Route 241/ required to file a flight plan regardless Air Traffic Control Specialist, Office of Flight State Route 91 (SR–241/SR–91) Express of whether they are flying under visual Service Safety and Operations, AJR–B. Lanes Connector Project (FHWA Project flight rules (VFR) or IFR. This collection [FR Doc. 2020–08474 Filed 4–21–20; 8:45 am] No. 120020097), which would construct of information supports the Department BILLING CODE 4910–13–P a median-to- median connector between of Homeland Security and the SR–241 and the tolled lanes in the Department of Defense in addition to median of SR–91 (91 Express Lanes). the normal flight plan purposes. The Proposed Project proposes to

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improve access and reduce congestion Issued on: April 14, 2020. information collection submission to at the SR–241/SR–91 interchange by Rodney D. Whitfield, OMB for approval. providing a direct connector between Director, Financial Services, Federal Highway SUPPLEMENTARY INFORMATION: The PRA, SR–241 and the 91 Express Lanes. The Administration, California Division. 44 U.S.C. 3501–3520, and its Propose Project, located at the junction [FR Doc. 2020–08530 Filed 4–21–20; 8:45 am] implementing regulations, 5 CFR part of SR–241 and SR–91 in the cities of BILLING CODE 4910–RY–P 1320, require Federal agencies to Anaheim, Yorba Linda, and Corona and provide 60-days’ notice to the public to the counties of Orange and Riverside, allow comment on information would provide improved access DEPARTMENT OF TRANSPORTATION collection activities before seeking OMB between SR–241 and SR–91 and is approval of the activities. See 44 U.S.C. proposed to be a tolled facility is Federal Railroad Administration 3506, 3507; 5 CFR 1320.8 through proposed to be a tolled facility with a [Docket No. FRA–2020–0027–N–8] 1320.12. Specifically, FRA invites total length of approximately 8.7 miles interested parties to comment on the (mi). The actions by the Federal Proposed Agency Information following ICRs regarding: (1) Whether agencies, and the laws under which Collection Activities; Comment the information collection activities are such actions were taken, are described Request necessary for FRA to properly execute in the Final Supplemental its functions, including whether the Environmental Impact Statement (Final AGENCY: Federal Railroad activities will have practical utility; (2) Supplemental EIS) for the project, Administration (FRA), U.S. Department the accuracy of FRA’s estimates of the approved on January 7, 2020 in the of Transportation (DOT). burden of the information collection FHWA Record of Decision (ROD) issued ACTION: Notice of information collection; activities, including the validity of the on March 12, 2020 and in other request for comment. methodology and assumptions used to documents in the FHWA project determine the estimates; (3) ways for records. The Final Supplemental EIS, SUMMARY: Under the Paperwork FRA to enhance the quality, utility, and ROD, and other project records are Reduction Act of 1995 (PRA) and its clarity of the information being available by contacting Caltrans at the implementing regulations, FRA seeks collected; and (4) ways for FRA to addresses provided above. approval of the Information Collection minimize the burden of information This notice applies to all Federal Requests (ICRs) abstracted below. Before collection activities on the public, agency decisions as of the issuance date submitting these ICRs to the Office of including the use of automated of this notice and all laws under which Management and Budget (OMB) for collection techniques or other forms of such actions were taken, including but approval, FRA is soliciting public information technology. See 44 U.S.C. not limited to: comment on specific aspects of the 3506(c)(2)(A); 5 CFR 1320.8(d)(1). activities identified below. FRA believes that soliciting public 1. E.O. 12372, Intergovernmental comment may reduce the administrative Review; DATES: Interested persons are invited to and paperwork burdens associated with 2. E.O. 11990, Protection of Wetlands; submit comments on or before June 22, 2020. the collection of information that 3. E.O. 12088, Pollution Control Federal regulations mandate. In ADDRESSES: Submit written comments Standards; summary, FRA reasons that comments on the ICRs activities by mail to either: 4. E.O. 13112, Invasive Species; received will advance three objectives: Ms. Hodan Wells, Information (1) Reduce reporting burdens; (2) 5. E.O. 11988, Floodplain Collection Clearance Officer, Office of organize information collection Management; Railroad Safety, Regulatory Analysis requirements in a ‘‘user-friendly’’ format 6. Council on Environmental Quality Division, Federal Railroad regulations; to improve the use of such information; Administration, 1200 New Jersey and (3) accurately assess the resources 7. National Environmental Policy Act Avenue SE, Washington, DC 20590; or (NEPA); expended to retrieve and produce Ms. Kim Toone, Information Collection information requested. See 44 U.S.C. 8. Department of Transportation Act Clearance Officer, Office of 3501. of 1996; Administration, Office of Information The summaries below describe the 9. Federal Aid Highway Act of 1970; Technology, Federal Railroad ICRs that FRA will submit for OMB 10. Clean Air Act Amendments of Administration, 1200 New Jersey clearance as the PRA requires: 1990; Avenue SE, Washington, DC 20590. Title: Locomotive Cab Sanitation. 11. Department of Transportation Act Commenters requesting FRA to OMB Control Number: 2130–0552. of 1966; Section 4(f); acknowledge receipt of their respective Abstract: FRA’s locomotive cab 12. Clean Water Act of 1977 and 1987; comments must include a self-addressed sanitation standards, 49 CFR 229.137 stamped postcard stating, ‘‘Comments 13. Endangered Species Act of 1973; and 229.139, prescribe minimum on OMB Control Number 2130–XXXX,’’ standards for the locomotive cab 14. Migratory Bird Treaty Act; (the relevant OMB control number for sanitation compartment, including the 15. National Historic Preservation Act each ICR is listed below) and should toilet facility. FRA uses the information of 1966, as amended; and also include the title of the ICR. collection associated with these 16. Historic Sites Act of 1935. Alternatively, comments may be faxed provisions to promote rail safety and 1. to 202–493–6216 or 202–493–6497, or locomotive crew member health by (Catalog of Federal Domestic Assistance emailed to Ms. Wells at hodan.wells@ ensuring crew member access to a Program Number 20.205, Highway Planning dot.gov, or Ms. Toone at kim.toone@ functioning and sanitary toilet facility and Construction. The regulations dot.gov. Please refer to the assigned and that railroads timely repair implementing Executive Order 12372 OMB control number in any defective and unsanitary conditions in regarding intergovernmental consultation on correspondence submitted. FRA will the sanitation compartment. Federal programs and activities apply to this summarize comments received in Type of Request: Extension without program.) response to this notice in a subsequent change of a currently approved Authority: 23 U.S.C. 139(l)(1). notice and include them in its information collection.

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Affected Public: Businesses Form(s): N/A. Frequency of Submission: One-time. (railroads). Respondent Universe: 746 railroads. Reporting Burden:

Respondent Total annual Average time per Total annual Total cost CFR section universe responses responses burden hours equivalent

229.137(d)—Defective, unsanitary toilet facil- 746 railroads ...... 11,700 tags ...... 90 seconds ...... 293 $22,268 ity; use in trailing position—Tagging. 229.137(e) Defective, sanitary toilet facility; 746 railroads ...... 7,956 tags ...... 90 seconds ...... 199 15,124 use in switching, transfer service—Tagging. 229.139(d) Switching or transfer service—de- 746 railroads ...... 93,600 notations ...... 30 seconds ...... 780 59,280 fective locomotive toilet facility—Notation on daily inspection report.

Total ...... 746 railroads ...... 113,256 responses ..... N/A ...... 1,272 96,672

Total Estimated Annual Responses: locomotives. These crashworthiness Type of Request: Extension with 113,256. standards are intended to help protect change (revised estimates) of a currently Total Estimated Annual Burden: locomotive cab occupants in the event approved collection. 1,272 hours. of a train collision or derailment. FRA Affected Public: Businesses/Public/ Total Estimated Annual Burden Hour uses this collection of information to Interested Parties. Dollar Cost Equivalent: $96,672. ensure railroads operate locomotives Form(s): N/A. Title: Locomotive Crashworthiness. that meet the prescribed minimum Respondent Universe: 746 railroads/4 OMB Control Number: 2130–0564. performance standards and design load locomotive manufacturers. Abstract: Under 49 CFR part 229, requirements for newly manufactured Frequency of Submission: On subpart D, FRA prescribes minimum and re-manufactured locomotives. occasion; one-time. crashworthiness standards for Reporting Burden:

Respondent Total annual Average time per Total annual Total cost CFR section universe responses responses burden hours equivalent

229.207(b)—Petitions for FRA approval of 746 railroads/4 lo- 2 petitions ...... 50 hours ...... 100 $7,600 new locomotive crashworthiness design comotive manu- standards. facturers. —(c) Petition for FRA approval of substantive 746 railroads/4 lo- 1 petition ...... 50 hours ...... 50 3,800 changes to FRA-approved locomotive comotive manu- crashworthiness design standard. facturers. —(d) Petition for FRA approval of non-sub- 746 railroads/4 lo- 1 petition ...... 50 hours ...... 50 3,800 stantive changes to existing FRA approved comotive manu- locomotive crashworthiness design standard. facturers. 229.209(b)—Alternative locomotive crash- 746 railroads/4 lo- 1 petition ...... 50 hours ...... 50 3,800 worthiness designs—Petition for FRA ap- comotive manu- proval. facturers. 229.211(b)(3)—Processing petitions—Addi- 746 railroads/4 lo- 1 hearing ...... 24 hours ...... 24 1,824 tional information for FRA to appropriately comotive manu- consider the petition. facturers. 229.213(a)(3)—Locomotive manufacturing in- 746 railroads ...... 500 records/stickers/ 2 minutes ...... 16.7 1,269 formation: retention by railroads. badge plates. 229.215—(a) Retention and inspection of de- 4 locomotive 24 records ...... 8 hours ...... 192 14,592 signs—Retention of records—Original de- manufacturers. signs. —(b) Repairs and modifications—Records ..... 746 railroads ...... 6 records ...... 4 hours ...... 24 1,824 —(c) Inspection of records ...... 746 railroads ...... 10 records ...... 2 minutes ...... 3 23

Total ...... 746 railroads ...... 546 responses ...... N/A ...... 507 38,532

Total Estimated Annual Responses: Authority: 44 U.S.C. 3501–3520. DEPARTMENT OF THE TREASURY 546. Brett A. Jortland, Total Estimated Annual Burden: 507 Internal Revenue Service hours. Deputy Chief Counsel. Total Estimated Annual Burden Hour [FR Doc. 2020–08516 Filed 4–21–20; 8:45 am] Proposed Collection; Comment Dollar Cost Equivalent: $38,532. BILLING CODE 4910–06–P Request for Statements to Recipients Under 44 U.S.C. 3507(a) and 5 CFR of Dividend Payments 1320.5(b) and 1320.8(b)(3)(vi), FRA AGENCY: Internal Revenue Service (IRS), informs all interested parties that it may Treasury. not conduct or sponsor, and a ACTION: Notice and request for respondent is not required to respond comments. to, a collection of information unless it displays a currently valid OMB control SUMMARY: The Department of the number. Treasury, as part of its continuing effort

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to reduce paperwork and respondent of information must be retained if their collection of information should be burden, invites the general public and contents may become material in the received on or before June 22, 2020. other Federal agencies to take this administration of any internal revenue ADDRESSES: Submit written comments opportunity to comment on proposed law. Generally, tax returns and tax on the collection of information through and/or continuing information return information are confidential, as Federal Docket Management System collections, as required by the required by 26 U.S.C. 6103. (FDMS) at www.Regulations.gov or to Paperwork Reduction Act of 1995. Request for Comments: Comments Nancy J. Kessinger, Veterans Benefits Currently, the IRS is soliciting submitted in response to this notice will Administration (20M33), Department of comments concerning the statements be summarized and/or included in the Veterans Affairs, 810 Vermont Avenue used by trustees and issuers to report request for OMB approval. All NW, Washington, DC 20420 or email to contributions to, and the fair market comments will become a matter of [email protected]. Please refer to value of, an individual retirement public record. Comments are invited on: ‘‘OMB Control No. 2900–0576’’ in any arrangement (IRA). (a) Whether the collection of correspondence. During the comment DATES: Written comments should be information is necessary for the proper period, comments may be viewed online received on or before June 22, 2020 to performance of the functions of the through FDMS. agency, including whether the be assured of consideration. FOR FURTHER INFORMATION CONTACT: information shall have practical utility; ADDRESSES: Direct all written comments Danny S. Green at (202) 421–1354. to Ronald J. Durbala, Internal Revenue (b) the accuracy of the agency’s estimate of the burden of the collection of SUPPLEMENTARY INFORMATION: Under the Service, Room 6526, 1111 Constitution PRA of 1995, Federal agencies must Avenue NW, Washington, DC 20224. information; (c) ways to enhance the quality, utility, and clarity of the obtain approval from the Office of FOR FURTHER INFORMATION CONTACT: information to be collected; (d) ways to Management and Budget (OMB) for each Requests for additional information or minimize the burden of the collection of collection of information they conduct copies of the form and instructions information on respondents, including or sponsor. This request for comment is should be directed to Rachel Martinen through the use of automated collection being made pursuant to Section (253)-591–6631 (not a toll-free number), techniques or other forms of information 3506(c)(2)(A) of the PRA. at Internal Revenue Service, Room 6526, technology; and (e) estimates of capital With respect to the following 1111 Constitution Avenue NW, or start-up costs and costs of operation, collection of information, VBA invites Washington, DC 20224, or through the maintenance, and purchase of services comments on: (1) Whether the proposed internet at [email protected]. to provide information. collection of information is necessary SUPPLEMENTARY INFORMATION: for the proper performance of VBA’s Approved: April 14, 2020. Title: Statements to recipients of functions, including whether the dividend payments. Ronald J. Durbala, information will have practical utility; OMB Number: 1545–0747. IRS Tax Analyst. (2) the accuracy of VBA’s estimate of the Form Number: 5498. [FR Doc. 2020–08499 Filed 4–21–20; 8:45 am] burden of the proposed collection of Abstract: Form 5498 is used by BILLING CODE 4830–01–P information; (3) ways to enhance the trustees and issuers to report quality, utility, and clarity of the contributions to, and the fair market information to be collected; and (4) value of, an individual retirement DEPARTMENT OF VETERANS ways to minimize the burden of the arrangement (IRA). The information on AFFAIRS collection of information on the form will be used by IRS to verify respondents, including through the use compliance with the reporting rules [OMB Control No. 2900–0576] of automated collection techniques or under regulation section 1.408–5 and to the use of other forms of information verify that the participant in the IRA has Agency Information Collection technology. made the contribution that supports the Activity: Certification of Affirmation of Authority: 38 U.S.C. 3686(b); 38 deduction taken. Enrollment Agreement U.S.C. 3323(a); 10 U.S.C. 16136(b), and Current Actions: There are no changes Correspondence Course 38 CFR 21.74256(b). being made to these forms at this time. Title: Certification of Affirmation of Type of Review: Extension of a AGENCY: Veterans Benefits Enrollment Agreement Correspondence currently approved collection. Administration, Department of Veterans Course. Affected Public: Business or other for- Affairs. OMB Control Number: 2900–0576. profit organizations. ACTION: Notice. Estimated Number of Respondents: Type of Review: Revision of a 25,000. SUMMARY: The Veterans Benefits currently approved collection. Estimated Number of Responses: Administration (VBA), Department of Abstract: VA uses information from 118,858,000. Veterans Affairs (VBA), is announcing the current collection to pay education Estimated Time per Respondent: 24 an opportunity for public comment on benefits for correspondence training. minutes. the proposed collection of certain This information allows VA to Estimated Total Annual Burden information by the agency. Under the determine if the claimant has been Hours: 48,731,780. Paperwork Reduction Act (PRA) of informed of the 5-day reflection period The following paragraph applies to all 1995, Federal agencies are required to required by law. the collections of information covered publish notice in the Federal Register Affected Public: Individuals and by this notice: concerning each proposed collection of households. An agency may not conduct or information, including each proposed Estimated Annual Burden: 3 hours. sponsor, and a person is not required to extension of a currently approved Estimated Average Burden per respond to, a collection of information collection, and allow 60 days for public Respondent: 3 minutes. unless the collection of information comment in response to the notice. Frequency of Response: Annually. displays a valid OMB control number. DATES: Written comments and Estimated Number of Respondents: Books or records relating to a collection recommendations on the proposed 69.

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By direction of the Secretary: Dated: April 16, 2020. outbreak of COVID–19, the disease Danny S. Green, LaTonya L. Small, caused by the novel (new) coronavirus VA PRA Clearance Officer, Office of Quality, Federal Advisory Committee Management known as SARS-CoV–2 (‘‘the virus’’), Performance and Risk, Department of Officer. poses to the Nation’s healthcare Veterans Affairs. [FR Doc. 2020–08452 Filed 4–21–20; 8:45 am] systems. I also determined on the same [FR Doc. 2020–08453 Filed 4–21–20; 8:45 am] BILLING CODE 8320–01–P day that the COVID–19 outbreak BILLING CODE 8320–01–P constitutes an emergency, of nationwide scope, pursuant to section 501(b) of the DEPARTMENT OF VETERAN AFFAIRS Robert T. Stafford Disaster Relief and DEPARTMENT OF VETERANS Emergency Assistance Act (42 U.S.C. AFFAIRS Delegation of Authority 5191(b)). On March 18, 2020, I declared that health and medical resources AGENCY: Department of Veterans Affairs. Cooperative Studies Scientific needed to respond to the spread of Evaluation Committee, Notice of ACTION: Notice. COVID–19 meet the criteria specified in Meeting section 101(b) of the Defense Production SUMMARY: On March 13, 2020, the Act of 1950 (50 U.S.C. 4511(b)), President declared a national emergency The Department of Veterans Affairs including that they are essential to the recognizing the threat that the ongoing gives notice under the Federal Advisory national defense. Committee Act that the Cooperative outbreak of COVID–19, the disease Sec. 2. The Secretary of Veterans Studies Scientific Evaluation Committee caused by the novel (new) coronavirus Affairs is authorized to exercise will hold a meeting on July 15, 2020 at known as SARS-CoV–2 (‘‘the virus’’), authority under Public Law 85–804, as 20F Conference Center, 20 F Street NW, poses to the Nation’s healthcare amended (50 U.S.C. 1431 et seq.), to the Washington, DC 20001. The meeting systems. On April 10, 2020, the same extent and subject to the same will begin at 8:30 a.m. and end at 3:30 President of the United States issued a conditions and limitations as the head p.m. Memorandum for the Secretary of of an executive department or agency The Committee advises the Chief Veterans Affairs, ‘‘Authorizing the listed in section 21 of Executive Order Research and Development Officer on Exercise of Authority under Public Law 10789 of November 14, 1958 the relevance and feasibility of proposed 85–804.’’ The Memorandum authorizes (Authorizing Agencies of the projects and the scientific validity and the Secretary to exercise authority with Government to Exercise Certain propriety of technical details, including respect to contracts performed in Contracting Authority in Connection protection of human subjects. support of efforts by the Department of with National-Defense Functions and Veterans Affairs to combat COVID–19. The session will be open to the public Prescribing Regulations Governing the The President authorized and directed for approximately 30 minutes at the Exercise of Such Authority), as the Secretary of Veterans Affairs to start of the meeting for the discussion of amended, with respect to contracts publish this memorandum in the administrative matters and the general performed in support of efforts by the Federal Register. The text of the status of the program. The remaining Department of Veterans Affairs to memorandum is set out below. portion of the meeting will be closed to combat the virus. This authority may the public for the Committee’s review, SUPPLEMENTARY INFORMATION: only be exercised with regard to discussion, and evaluation of research Signing Authority transactions directly responsive to the and development applications. COVID–19 national emergency. The Secretary of Veterans Affairs Sec. 3. The Department of Veterans During the closed portion of the approved this document and authorized meeting, discussions and Affairs is exercising functions in the undersigned to sign and submit the connection with the national defense in recommendations will deal with document to the Office of the Federal qualifications of personnel conducting the course of contributing to the Register for publication electronically as Nation’s response to the ongoing the studies, staff and consultant an official document of the Department critiques of research proposals and outbreak of COVID–19. I deem that the of Veterans Affairs. Pamela Powers, authorization provided in this similar documents, and the medical Chief of Staff, Performing the Delegable records of patients who are study memorandum and actions taken Duties of the Deputy Secretary, pursuant to that authorization would subjects, the disclosure of which would Department of Veterans Affairs, constitute a clearly unwarranted facilitate the national defense. approved this document on April 16, Sec. 4. This memorandum shall invasion of personal privacy. As 2020, for publication. provided by section 10(d) of Public Law terminate on September 30, 2020. Sec. 5. (a) Nothing in this 92–463, as amended, closing portions of Jeffrey M. Martin, memorandum shall be construed to this meeting is in accordance with 5 Assistant Director, Office of Regulation Policy impair or otherwise affect: U.S.C. 552b(c)(6) and (c)(9)(B). & Management, Office of the Secretary, Department of Veterans Affairs. (i) The authority granted by law to an The Committee will not accept oral executive department or agency, or the comments from the public for the open MEMORANDUM FOR THE head thereof; or portion of the meeting. Those who plan SECRETARY OF VETERANS AFFAIRS (ii) the functions of the Director of the to attend or wish additional information Office of Management and Budget SUBJECT: Authorizing the Exercise of should contact Grant Huang, MPH, relating to budgetary, administrative, or Authority Under Public Law 85–804 Ph.D., Director, Cooperative Studies legislative proposals. Program (10X2), Department of Veterans By the authority vested in me as (b) This memorandum shall be Affairs, 810 Vermont Avenue NW, President by the Constitution and the implemented consistent with applicable Washington, DC 20420, at (202) 443– laws of the United States of America, I law and subject to the availability of 5700 or by email at [email protected]. hereby direct the following: appropriations. Those wishing to submit written Section 1. On March 13, 2020, I (c) This memorandum is not intended comments may send them to Dr. Huang declared a national emergency to, and does not, create any right or at the same address and email. recognizing the threat that the ongoing benefit, substantive or procedural,

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enforceable at law or in equity by any Sec. 6. You are authorized and DONALD J. TRUMP party against the United States, its directed to publish this memorandum in [FR Doc. 2020–08441 Filed 4–21–20; 8:45 am] departments, agencies, or entities, its the Federal Register. officers, employees, or agents, or any BILLING CODE 8320–01–P other person.

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Part II

Library of Congress

U.S. Copyright Office 37 CFR Part 210 Music Modernization Act Notices of License, Notices of Nonblanket Activity, Data Collection and Delivery Efforts, and Reports of Usage and Payment; Reporting and Distribution of Royalties to Copyright Owners by the Mechanical Licensing Collective; Treatment of Confidential Information by the Mechanical Licensing Collective and Digital Licensee Coordinator; Transparency of the Mechanical Licensing Collective and Its Database of Musical Works Information; Proposed Rules

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LIBRARY OF CONGRESS E. Sloan, Assistant General Counsel, by continue to engage in those activities email at [email protected]. Each can be through voluntary, or direct licensing U.S. Copyright Office contacted by telephone by calling (202) with copyright owners, in which case 707–8350. the DMP may be considered a 37 CFR Part 210 SUPPLEMENTARY INFORMATION: significant nonblanket licensee [Docket No. 2020–5] (‘‘SNBL’’) under the statute, subject to I. Background separate reporting obligations. Music Modernization Act Notices of This notice of proposed rulemaking As detailed in the previous License, Notices of Nonblanket (‘‘NPRM’’) is being issued subsequent to notification of inquiry, the statute Activity, Data Collection and Delivery a notification of inquiry, published in specifically directs the Copyright Office Efforts, and Reports of Usage and the Federal Register on September 24, to adopt a number of regulations to Payment 2019, that describes in detail the govern the new blanket licensing regime legislative background and regulatory and vests the Office with broad general AGENCY: U.S. Copyright Office, Library scope of the present rulemaking authority to adopt such regulations as of Congress. proceeding.1 The Copyright Office may be necessary or appropriate to ACTION: Notice of proposed rulemaking. assumes familiarity with that document, effectuate the new blanket licensing and encourages anyone reading this structure. SUMMARY: The U.S. Copyright Office is NPRM who has not reviewed it to do so Having solicited public comments issuing a notice of proposed rulemaking before continuing. through the notification of inquiry, the regarding information to be provided by On October 11, 2018, the president Office is preparing multiple notices of digital music providers pursuant to the signed into law the Orrin G. Hatch–Bob proposed rulemaking to address various new compulsory blanket license to Goodlatte Music Modernization Act subjects presented in the notification. make and deliver digital phonorecords (‘‘MMA’’) which, among other things, This NPRM specifically addresses of musical works established by title I substantially modifies the compulsory notices of license, notices of nonblanket of the Orrin G. Hatch–Bob Goodlatte ‘‘mechanical’’ license for making and activity, data collection and delivery Music Modernization Act. The law distributing phonorecords of efforts, and reports of usage and establishes a new blanket license, to be nondramatic musical works under 17 payment, which were among those administered by a mechanical licensing U.S.C. 115.2 It does so by switching topics requested by various commenters collective, and to become available on from a song-by-song licensing system to to be prioritized because they relate to January 1, 2021. Having solicited public a blanket licensing regime that will core information needed by both DMPs comments through a previous become available on January 1, 2021 and the MLC to prepare and ready their notification of inquiry, through this (the ‘‘license availability date’’), and be operations in advance of the blanket notice, the Office is proposing administered by a mechanical licensing license becoming available.4 Notices regulations concerning notices of collective (‘‘MLC’’) designated by the addressing confidentiality, the musical license, data collection and delivery Copyright Office. Digital music works database, and accounting efforts, and reports of usage and providers (‘‘DMPs’’) will be able to statements to copyright owners are payment by digital music providers. The obtain the new compulsory blanket being published simultaneously with Office is also proposing regulations license to make digital phonorecord this NPRM, and the Office will continue concerning notices of nonblanket deliveries (‘‘DPDs’’) of musical works, to consider whether further rulemakings activity and reports of usage by including in the form of permanent are appropriate. For example, the Office significant nonblanket licensees, as well downloads, limited downloads, or is separately engaged in a policy study as language addressing data collection interactive streams (referred to in the regarding best practices that the MLC efforts by musical work copyright statute as ‘‘covered activity,’’ where may consider to reduce the incidence of owners. such activity qualifies for a compulsory unclaimed accrued royalties. A DATES: Written comments must be license), subject to compliance with notification of inquiry seeking comment received no later than 11:59 p.m. various requirements, including regarding that study will be forthcoming Eastern Time on May 22, 2020. reporting obligations.3 DMPs may also in connection with considerations of ADDRESSES: For reasons of government potential regulatory activity related to efficiency, the Copyright Office is using 1 84 FR 49966 (Sept. 24, 2019). All rulemaking the distribution of such royalties by the activity, including public comments, as well as MLC to musical work copyright owners the regulations.gov system for the legislative history and educational material submission and posting of public regarding the Music Modernization Act, can identified in the musical works database comments in this proceeding. All currently be accessed via navigation from https:// in years following the license comments are therefore to be submitted www.copyright.gov/music-modernization/. availability date.5 Comments received in response to the September The MMA significantly altered the electronically through regulations.gov. 2019 notification of inquiry are available at https:// Specific instructions for submitting www.regulations.gov/docketBrowser?rpp=25& complex music licensing landscape after comments are available on the po=0&dct=PS&D=COLC-2019-0002&refD=COLC- careful congressional deliberation Copyright Office’s website at https:// 2019-0002-0001. Related ex parte letters are following extensive input from, and www.copyright.gov/rulemaking/mma- available at https://www.copyright.gov/rulemaking/ negotiations between, a variety of mma-implementation/ex-parte- 6 notices-reports/. If electronic communications.html. References to these stakeholders. In this NPRM, as well as submission of comments is not feasible comments and letters are by party name due to lack of access to a computer and/ (abbreviated where appropriate), followed by U.S.C. 115(d)(5)(B); 84 FR 32274 (July 8, 2019); see ‘‘Initial,’’ ‘‘Reply,’’ or ‘‘Ex Parte Letter’’ as also 17 U.S.C. 115(d)(3)(D)(i)(IV), (d)(5)(C). or the internet, please contact the Office appropriate. 4 DLC Reply at 1; MLC Initial at 2; Future of using the contact information below for 2 Public Law 115–264, 132 Stat. 3676 (2018). Music Coalition (‘‘FMC’’) Reply at 3. special instructions. 3 As permitted under the MMA, the Office 5 More information about the unclaimed royalties FOR FURTHER INFORMATION CONTACT: designated a digital licensee coordinator (‘‘DLC’’) to study can be found at https://www.copyright.gov/ represent licensees in proceedings before the policy/unclaimed-royalties/. Regan A. Smith, General Counsel and Copyright Royalty Judges (‘‘CRJs’’) and the 6 See, e.g., Music Policy Issues: A Perspective Associate Register of Copyrights, by Copyright Office, to serve as a non-voting member from Those Who Make It: Hearing on H.R. 4706, email at [email protected], or Jason of the MLC, and to carry out other functions. 17 H.R. 3301, H.R. 831 and H.R. 1836 Before H. Comm.

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the other notices published Office’s task was aided by receipt of more flexibly to make necessary concurrently, the Copyright Office has numerous helpful and substantive modifications in response to new endeavored to build upon that comments representing interests from evidence, unforeseen issues, or where foundation and propose a reasonable across the music ecosystem, in many something is otherwise not functioning regulatory framework for the MLC, cases, the comments also uncovered as intended. DMPs, copyright owners and divergent assumptions and expectations II. Proposed Rule songwriters, and other interested parties as to the shouldering and execution of to operationalize the various duties and relevant duties assigned by the MMA. Having reviewed and considered all entitlements set out by statute.7 The In proposing the following rule, relevant comments received in response subjects of this proposed rule, as much where comments diverged sharply, the to the notification of inquiry, and as any the MMA charges the Office with Office has proposed regulatory language having engaged in a number of ex parte implementing, have made it necessary that it believes best reflects the statutory communications with commenters, the to propose regulatory language that language and its animating goals in light Office has weighed all appropriate legal, navigates convoluted nuances of the of the record before it.9 As the Office business, and practical implications and music data supply chain and differing previously noted, the ‘‘MLC has a tight equities that have been raised, and expectations of the MLC, DMPs, and deadline to become fully operational,’’ proposes the following with respect to other stakeholders, while remaining and it encourages continued dialogue to notices of license, notices of nonblanket cognizant of the potential effect upon expeditiously resolve or refine areas of activity, data collection and delivery varied business practices across the disagreement among interested efforts, and reports of usage and digital music marketplace.8 While the stakeholders.10 Accordingly, the Office payment under the MMA.13 also welcomes parties to file joint A. Notices of License and Nonblanket On the Judiciary, 115th Cong. 4 (2018) (statement comments on issues of common Activity of Rep. Nadler) (‘‘For the last few years, I have been agreement and consensus.11 If parties imploring the music community to come together disagree with aspects of the Office’s The MMA requires entities engaging in support of a common policy agenda, so it was in covered activities to file notice with music to my ears to see—to hear, I suppose—the proposal, they are encouraged to unified statement of support for a package of provide specific alternative regulatory the MLC regarding such activities. A reforms issued by key music industry leaders earlier language for the Office to consider.12 DMP seeking a blanket license must file this month.... This emerging consensus gives us a notice of license (‘‘NOL’’), while an hope that this committee can start to move beyond The Office seeks public comments on the review stage toward legislative action.’’); 164 all aspects of this NPRM, but asks that entity qualifying as an SNBL must file Cong. Rec. H3522, 3537 (daily ed. Apr. 25, 2018) any comments directed at other subjects a notice of nonblanket activity (statement of Rep. Collins) (‘‘[This bill] comes to the discussed in the notification of inquiry (‘‘NNBA’’). The Copyright Office must floor with an industry that many times couldn’t be reserved for the appropriate notice of prescribe regulations regarding the form even decide that they wanted to talk to each other 14 about things in their industry, but who came proposed rulemaking. In recognition of and content for these notices. together with overwhelming support and said this the significant changes brought by the 1. Notices of License is where we need to be.’’); 164 Cong. Rec. S501, 502 MMA, and challenges both in setting up (daily ed. Jan. 24, 2018) (statement of Sen. Hatch) a fully functional MLC and for DMPs to In response to the Office’s notification (‘‘I don’t think I have ever seen a music bill that of inquiry, the MLC and DLC offer has had such broad support across the industry. All adjust their internal practices, the Office sides have a stake in this, and they have come also invites comment on whether it disparate views as to what NOLs should together in support of a commonsense, consensus would be beneficial to adopt the look like and how they should operate. bill that addresses challenges throughout the music The DLC argues that NOLs should be industry.’’); 164 Cong. Rec. H3522, 3536 (daily ed. proposed rule on an interim basis. If Apr. 25, 2018) (statement of Rep. Goodlatte) (‘‘I necessary, based on feedback received, relatively brief and high-level in tasked the industry to come together with a unified the Office would make appropriate describing the DMP’s covered activities, 15 reform bill and, to their credit, they delivered, albeit adjustments to the regulatory language and should only need to be filed once. with an occasional bump along the way.’’). See also The MLC seeks considerably more detail U.S. Copyright Office, Copyright and the Music before the rule is finalized, and Marketplace at Preface (2015), https:// following the license availability date. about the DMP’s activities, as well as an www.copyright.gov/policy/musiclicensingstudy/ This approach would allow the Office ongoing duty to file an amended NOL copyright-and-the-music-marketplace.pdf (noting whenever any information changes.16 ‘‘the problems in the music marketplace need to be The DLC also seeks a harmless error rule evaluated as a whole, rather than as isolated or 9 See H.R. Rep. No. 115–651, at 14 (2018); S. Rep. individual concerns of particular stakeholders’’). No. 115–339, at 15 (2018); Conf. Rep. at 12 (‘‘The (whereby immaterial errors in an NOL 7 See Alliance of Artists & Recording Cos. v. Copyright Office has the knowledge and expertise would not render it invalid), while the DENSO Int’l Am., Inc., 947 F.3d 849, 863 (D.C. Cir. regarding music licensing through its past MLC argues against one.17 Both the MLC 2020) (‘‘[T]he best evidence of a law’s purpose is rulemakings and recent assistance to the Committee[s] during the drafting of this and DLC provide specific regulatory the statutory text, and most certainly when that text 18 is the result of carefully negotiated compromise legislation.’’); see also 84 FR at 49967–68. language for their competing views. among the stakeholders who will be directly 10 84 FR at 32296. Among other commenters weighing in affected by the legislation.’’) (internal quotation 11 See, e.g., Joint Comments of Dig. Media Ass’n, on the issue of NOLs, the International marks, brackets, and citations omitted). Nat’l Music Publishers’ Ass’n, Recording Indus. 8 Ass’n of Am., Harry Fox Agency, Inc., & Music See, e.g., Nat’l Cable & Telecomms. Ass’n v. 13 In addition to these substantive topics, the rule Reports, Inc. Submitted in Response to U.S. Brand X internet Servs., 545 U.S. 967, 980 (2005) also proposes a technical reorganization of part 210 Copyright Office’s July 27, 2012, Notice of Proposed (‘‘[A]mbiguities in statutes within an agency’s of the Office’s regulations, whereby the current Rulemaking (Oct. 25, 2012) (regarding section 115 jurisdiction to administer are delegations of subpart A and subpart B are flipped so that when statement of account regulations). authority to the agency to fill the statutory gap in final, subpart A will contain the Office’s current 12 reasonable fashion.’’) (citing Chevron, U.S.A., Inc. v. Guidelines for ex parte communications, along regulations for the non-blanket section 115 license Nat. Res. Def. Council, Inc., 467 U.S. 837 (1984)); with records of such communications, are available and subpart B will contain the Office’s new see also Report and Section-by-Section Analysis of at https://www.copyright.gov/rulemaking/mma- regulations for the blanket license. H.R. 1551 by the Chairmen and Ranking Members implementation/ex-parte-communications.html. 14 See 84 FR at 49969. of Senate and House Judiciary Committees, at 12 The Office encourages parties to refrain from 15 (2018), https://www.copyright.gov/legislation/mma_ requesting ex parte meetings on this proposed rule DLC Initial at 5; DLC Reply at 2–5. conference_report.pdf (‘‘Conf. Rep.’’) until they have submitted written comments. As 16 MLC Initial at 2–9; MLC Reply at 2–7; see also (acknowledging that ‘‘it is to be expected that stated in the guidelines, ex parte meetings with the Nat’l Music Publishers’ Ass’n (‘‘NMPA’’) Reply at situations will arise that were not contemplated by Office are intended to provide an opportunity for 2–3 (agreeing with the MLC’s position). the legislation,’’ and that ‘‘[t]he Office is expected participants to clarify evidence and/or arguments 17 DLC Initial at 5; MLC Reply at 8–9. to use its best judgement in determining the made in prior written submissions, and to respond 18 DLC Reply Add. at A–2–3; MLC Reply App. A appropriate steps in those situations’’). to questions from the Office on those matters. at 1–3.

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Confederation of Societies of Authors requirements of this section or the current record, this potential value and Composers (‘‘CISAC’’) & the applicable regulations.’’ 27 Taken does not seem to outweigh the potential International Organisation representing together, the Office believes that the burden on DMPs to provide such Mechanical Rights Societies (‘‘BIEM’’) statute requires an NOL to contain a duplicative information, especially if and Monica Corton Consulting advocate description that is sufficient to DMPs are required to amend NOLs with for having a clear and sufficiently reasonably establish the DMP’s changes of practice, as the MLC detailed description of the DMP’s eligibility for a blanket license and to proposes. activities.19 Music Reports proposes that provide reasonable notice of the manner The Office is inclined, however, to DMPs be required to submit a concise in which the DMP seeks to engage in make an exception for information description of their activities, and also covered activities under the blanket concerning any applicable voluntary information about the individual sound license. license or individual download license recordings made available.20 Based on To that end, the rule proposes that the DMP may be operating under the record before it, the Office proposes NOLs contain a statement from the DMP concurrently with the blanket license. the following rules for NOLs. that it has a good-faith belief in its The Office tentatively agrees with the Name and contact information. The eligibility for the blanket license and its MLC that obtaining such information Office proposes requiring essentially the ability to comply with all payments, from DMPs in advance of any pertinent same name and contact information for terms, and other responsibilities under report of usage is beneficial, because the DMPs as proposed by the MLC and DLC, the blanket license. In specifying its MLC may need to identify specific which is also in general accord with the particular covered activities, the Office musical works subject to such licenses current requirements both for proposes that the DMP specify or check so that they can be carved out from the completing a notice of intention to off each applicable DPD configuration blanket license royalty calculations, obtain a compulsory license under and service type from a list.28 By DPD which the MLC asserts will be ‘‘very section 115 (‘‘NOI’’) 21 and a notice of configuration, the Office refers to the complicated and time-consuming.’’ 31 use of sound recordings under the different types of DPDs a DMP might While the DLC requests that this not be sections 112 and 114 statutory licenses make, such as permanent downloads, imposed as a legal requirement in the (‘‘NOU’’).22 limited downloads, interactive streams, NOL regulations themselves, the DLC Submission. The Office proposes rules and noninteractive streams. By service does concede that, ‘‘[i]f there is some governing the submission criteria for type, the Office refers to the general operational need,’’ this is reasonable NOLs that are generally in line with the types of offerings through which a user information for the MLC to seek ‘‘during commenters’ proposals and the may receive DPDs, such as whether the the on-boarding process, prior to the requirements of existing Copyright service is subscription-based, part of a filing of the first report of usage.’’ 32 Office filings, namely that NOLs be bundle, a locker, free to the user, and/ Harmless errors. In accord with the submitted in a manner reasonably or part of a discount plan. The proposed DLC’s proposal, the Office proposes a determined by the MLC, that NOLs be rule does not require that the harmless error rule similar to others it signed by an appropriate representative description of the DMP’s service type(s) has previously adopted, including for of the DMP who certifies to his or her be tied to the specific categories of section 115 notices of intention to authority to make the submission and activities or offerings adopted by the obtain a compulsory license sent under the truth of the submitted information, Copyright Royalty Judges (‘‘CRJs’’) in 37 the song-by-song licensing process.33 and the MLC confirms receipt of CFR part 385 (although such Given the material consequences of 23 NOLs. information would be permitted), being denied a blanket license that Description of DMP and its covered because such details may go beyond the could otherwise result from a trivial activities. The proposed rule diverges more general notice function the Office deficiency in an NOL, the Office from both the DLC and MLC proposals understands NOLs to serve; in any believes that such a provision is as to the requisite level of detail NOLs event, that information will be reported reasonable.34 The Office is inclined to must contain to describe the DMP and in reports of usage, as discussed below. disagree with the MLC’s arguments that its covered activities. At one end, the In proposing this middle-ground such a provision would be ambiguous DLC’s proposal to only provide ‘‘[a] approach, the Office tentatively and unnecessary. While the statutory general description of the covered concludes that the MLC’s position cure period 35 may lessen the need for activities,’’ seems inconsistent with the bends the statute too far the other way. a harmless error provision, it does not statute.24 NOLs must ‘‘specif[y] the To the extent the MLC may need any of seem to obviate the need completely. As particular covered activities in which the more detailed information it to any ambiguity, the Office is not aware the digital music provider seeks to proposes to require through NOLs to of any difficulties with applying the engage.’’ 25 Moreover, the statute tasks fulfill its obligations under the statute, Office’s current harmless error rules. the MLC not merely with ‘‘receiv[ing]’’ the Office generally agrees with the DLC Moreover, such a rule would be in NOLs, but also ‘‘review[ing], and that it would be more appropriate for accord with the MMA’s default and confirm[ing] or reject[ing]’’ them.26 And such information to be provided as part termination provision, which refers to one of the grounds for rejecting an NOL of each DMP’s monthly reports of usage, ‘‘material[ ] deficien[cies]’’ and is if ‘‘the digital music provider or addressed separately below.29 While the noncompliance with ‘‘material term[s] notice of license does not meet the MLC contends that there is value in obtaining this sort of information ahead 31 See MLC Ex Parte Letter Feb. 26, 2020 (‘‘MLC 19 30 CISAC & BIEM Reply at 4; Monica Corton of the DMPs’ reports, at least based on Ex Parte Letter #2’’) at 2; see also MLC Reply at 3– Consulting Reply at 1. 4. 20 Music Reports Initial at 2–3. 27 Id. at 115(d)(2)(A)(iii)(I) (emphasis added). 32 See DLC Reply at 5. 21 See 37 CFR 201.18(d)(1)(i) and (ii). 28 See MLC Initial at 9 (proposing that 33 See 37 CFR 201.18(h); see also id at § 201.10(e) 22 See id. at § 370.2(b)(1) through (4). information be provided ‘‘through a simple ‘check (notices of termination). 23 See, e.g., id. at §§ 201.18(c), (d)(3), and (e), the box’ method’’). This is also somewhat similar 34 See 66 FR 45241, 45243 (Aug. 28, 2001) 201.35(f)(3), and 370.2(c). to how the current NOU form works. (‘‘[P]otential licensees should not be denied the use 24 See DLC Reply Add. at A–2. 29 See DLC Reply at 4. of the license if such errors do not affect the legal 25 17 U.S.C. 115(d)(2)(A) (emphasis added). 30 See MLC Ex Parte Letter Jan. 29, 2020 (‘‘MLC sufficiency of the notice.’’). 26 Id. at 115(d)(3)(F)(i). Ex Parte Letter #1’’) at 3–4. 35 17 U.S.C. 115(d)(2)(A)(iv).

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or condition[s] of the blanket Office proposes that information about mirror the requirements for NOLs, with license.’’ 36 voluntary licenses and individual conforming adjustments reflecting Amendments. In accord with the download licenses be subject to their appropriate distinctions between the MLC’s proposal, the rule proposes own amendment requirement, separate two types of notices. requiring DMPs to amend their NOLs from NOL amendments. within 45 days of any information Delegation of authority to the MLC. B. Data Collection and Delivery Efforts changing. Given the notice function The Office generally agrees with the While the MLC is ultimately tasked NOLs are supposed to serve, it does not DLC that the MLC need not have with the core project of matching strike the Office as unreasonable to authority, delegated by regulation, to musical works to sound recordings require DMPs to amend NOLs when require additional substantive embodying those works, and identifying DMPs make significant changes to how information from DMPs with respect to and locating the copyright owners of they are engaging, or seeking to engage, NOLs.43 If, in the course of those works (and shares thereof), the in covered activities or when their establishment, the MLC identifies a MMA outlines roles for certain DMPs contact information changes. Having legitimate need for additional and copyright owners to facilitate this considered the DLC’s arguments on this information, the Office will make task by collecting and providing related matter, the Office concludes that the adjustment to the regulatory language. data to the MLC. DMPs using the following reasons support an Of course, the MLC may ask DMPs for blanket license must ‘‘engage in good- amendment requirement. First, the additional information, which DMPs faith, commercially reasonable efforts to statute expressly provides for ‘‘an may voluntarily elect to provide. The obtain’’ various sound recording and amended notice of license’’ in the Office believes that certain matters, such musical work information from sound context of curing deficiencies in a as the precise format and method of recording copyright owners and other rejected NOL.37 Second, there would submission of NOLs, are best left licensors of sound recordings made seem to be little meaning behind the flexible and subject to the MLC’s available through the DMP’s service.47 requirement that NOLs ‘‘specif[y] the commercially reasonable discretion and As the Office observed in the particular covered activities in which business judgment.44 notification of inquiry, this obligation is the digital music provider seeks to Reporting sound recordings. The directly connected to the reports of engage,’’ if DMPs never need to provide Office disagrees with Music Reports’ usage discussed below. The MMA also notice of changes to those particulars.38 proposal that NOLs contain a list of all obligates musical work copyright Third, the statute requires the MLC to sound recordings made available to the owners with works that are listed in the ‘‘maintain a current, publicly accessible public for substantially the same MLC’s database to ‘‘engage in list of blanket licenses that includes reasons as set forth by the DLC.45 commercially reasonable efforts to contact information for the licensees Transition to blanket licenses. The deliver’’ to the MLC for the database, if and the effective dates of such rule proposes that DMPs obtaining the not already listed, ‘‘information licenses.’’ 39 The Office has previously blanket license automatically pursuant regarding the names of the sound adopted an amendment requirement to 17 U.S.C. 115(d)(9)(A) must still recordings in which that copyright pursuant to a similarly worded statutory submit valid NOLs. owner’s musical works (or shares provision, and believes one is Public access. To govern the MLC’s thereof) are embodied, to the extent reasonable in this context as well so as obligations under 17 U.S.C. practicable.’’ 48 In the notification of to ensure that the contact information 115(d)(3)(F)(i), and for transparency in inquiry, the Office asked whether it is the MLC is required to make publicly how the MLC confirms or rejects NOLs, appropriate to promulgate regulations available is always kept up to date.40 and terminates blanket licenses, the rule concerning these provisions.49 Fourth, although section 115 NOIs have proposes that the MLC be required to 1. Efforts by Digital Music Providers no such amendment requirement, NOUs maintain a current, free, and publicly do,41 meaning that services operating accessible and searchable online list of Most comments received by the Office under sections 112 and 114 are already all blanket licenses, including various concerning data collection and delivery complying with a similar requirement. details, such as information from NOLs, efforts pertain to requirements for DMPs Finally, between the reasonable amount whether an NOL has been rejected and under the blanket license; the MLC and of information the Office proposes be why, and whether a blanket license has DLC each propose specific regulatory required, the statutory notice and cure been terminated and why. language. The MLC’s proposal is 50 mechanism, and the proposed inclusion 2. Notices of Nonblanket Activity expansive. First, it would require of a harmless error rule, the amendment DMPs to collect and provide ‘‘all Based on the record before it, the requirement would not be unduly identifying information’’ about relevant Office generally agrees with commenters burdensome or amount to a ‘‘trap for the sound recordings and musical works that NOLs and NNBAs should not differ unwary’’ as the DLC contends.42 The from ‘‘the record label or other entity substantially, as they serve similar furnishing rights to the sound 46 36 See id. at 115(d)(4)(E)(i) (emphasis added). purposes. Thus, the Office proposes recording’’ that is ‘‘in the entity’s 37 See id. at 115(d)(2)(A)(iv). that the regulations for NNBAs generally 38 See id. at 115(d)(2)(A); see also MLC Reply at 47 17 U.S.C. 115(d)(4)(B). 5–6. of the section 512 safe harbor, the Office concluded 48 Id. at 115(d)(3)(E)(iv). 39 Id. at 115(d)(3)(F)(i) (emphasis added). that ‘‘[n]or does the rule create ‘a trap for the 49 See 84 FR at 49969–70. 40 unwary’ as some opponents allege,’’ because ‘‘[i]f, See 37 CFR 201.38(c)(3) (a requirement to 50 See MLC Reply App. B at 7–8; see also MLC after [receiving] multiple reminders, a service ‘‘timely updat[e] information when it has changed,’’ Reply at 10 (‘‘[T]he DMPs’ existing mechanisms for provider fails to renew its designation, it can hardly adopted under 17 U.S.C. 512(c)(2), which states that obtaining sound recording information have been be said to have let its designation lapse the Copyright Office ‘‘shall maintain a current insufficient, resulting in numerous recordings that unwittingly’’). directory of agents available to the public for cannot be matched to musical compositions, which 43 inspection’’). See DLC Reply at 6. led to the MMA specifically requiring greater efforts 41 Id. at § 370.2(e). 44 See SoundExchange Initial at 15–16. from the DMPs.’’); NMPA Reply at 3–4 (same); FMC 42 Cf. 81 FR 75695, 75704 (Nov. 1, 2016) (with 45 See DLC Reply at 6. Reply at 3 (‘‘Clear and robust guidelines are respect to adopting a renewal requirement for 46 See DLC Initial at 3; MLC Initial at 10–11; MLC necessary to ensure that licensees are making online service providers to keep current their Reply at 8; Music Reports Initial at 2–3; CISAC & aggressive efforts to get the data as complete and designations with the Copyright Office for purposes BIEM Reply at 4. accurate as possible.’’).

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possession.’’ 51 Second, DMPs would in the comments and during several ex identification, contending that ‘‘[t]here have to undertake ‘‘all reasonable steps’’ parte communications. The first is the is no comprehensive, authoritative, to ensure collection of this information, DLC’s proposal for DMPs to be able to central database for matching ISRC ‘‘including affirmatively requiring’’ the satisfy their section 115(d)(4)(B) codes with other metadata fields, there entity to provide it ‘‘whether through obligations by arranging for the MLC to are incorrect ISRC codes in use, and contract or otherwise.’’ 52 Third, it receive data from SoundExchange. attempting to match streaming uses would require a DMP to also provide Several commenters assert that the based on ISRC reporting alone would be ‘‘all information that is in its possession record labels themselves are the best unreliable, unprecedented and highly concerning sound recording[s] and source of authoritative sound recording inappropriate.’’ 68 musical work[s] used on its service,’’ data, and that it is important that the The second issue concerns the MLC’s regardless of when, how, or from where MLC’s sound recording information proposal to require DMPs to provide the it was obtained.53 Fourth, it would come from an authoritative source.62 MLC with the information provided by require all collected information to be The DLC and others (including A2IM, sound recording copyright owners and provided to the MLC promptly after RIAA, and industry standards licensors in the original, unmodified being received and contemporaneously consultant Paul Jessop 63) further argue form in which it is received by the DMP, with monthly reports of usage.54 Fifth, that a single, aggregated, unaltered, without any revisions, re-titling, or the information would have to be regularly updated, and verified feed of other edits or changes. The MLC and delivered to the MLC in the same format this information from SoundExchange others explain that DMPs alter some with the same content as it was (which is sourced directly from sound amount of sound recording data, delivered to the DMP, without any recording copyright owners) would be generally titles, artist names, and revisions, re-titling, or other ideal, and avoid the possibility that versions for display purposes in their modifications to the information.55 different DMPs would submit disparate public-facing service (e.g., changing Sixth, DMPs would have to provide and potentially contradictory data that ‘‘Hello’’ to ‘‘Hello (Radio Edit),’’ or timely updates to all such the MLC would need to expend time changing ‘‘Puff Daddy,’’ ‘‘P. Diddy,’’ and information.56 Lastly, DMPs would have and resources to reconcile.64 The DLC ‘‘Puffy’’ all to ‘‘Diddy’’), and suggest that to certify as to their compliance with also argues that under this proposal, the merely passing on the modified data to these requirements.57 MLC could rely on only a single or the MLC would frustrate matching The DLC strongly opposes the MLC’s limited number of data fields from efforts.69 The MLC also argues that, in proposal, arguing that DMPs’ obligations DMPs’ reports of usage (e.g., connection with the proposal to permit should be limited to providing whatever international standard recording code DMPs to provide access to information can be obtained from record (‘‘ISRC’’)) to find the sound recording to SoundExchange’s data to avoid having labels and distributors, and passing that engage in matching efforts.65 to report unaltered data, having to information on to the MLC.58 The DLC The MLC, while acknowledging that it match the DMPs’ reports against contends that DMPs have no ability to ‘‘intends to use SoundExchange as a SoundExchange’s data in an attempt to compel record labels and distributors to valuable source of information for recapture what was originally delivered provide them with information, and sound recording identifying to the DMPs by record labels and further asserts that DMPs are only information,’’ opposes this proposal.66 distributors is ‘‘unworkable and wildly obligated to provide information to the A main argument of the MLC is that inefficient.’’ 70 MLC via their reports of usage.59 The even if the DMPs were to provide the On the other hand, to support their DLC’s competing proposal essentially MLC with access to SoundExchange’s position that the MLC should obtain restates the statute as to what is required data to satisfy their data collection authoritative sound recording data from of DMPs, but further proposes that obligations, it would not be a substitute a single source for its database, A2IM & DMPs can satisfy their obligations under for their reporting obligations because RIAA point out that their ‘‘member section 115(d)(4)(B) ‘‘by collectively the DMPs are the only ones with the labels vary the metadata they send the arranging for the [MLC] to obtain’’ the authoritative data as to what they different DMPs in order to meet the required information from actually streamed.67 The MLC also says services’ idiosyncratic display SoundExchange,60 ‘‘which shall provide that receiving only ISRCs from DMPs, as requirements. Even if the DMPs were to this information at reasonable or no the DLC suggests, would be insufficient pass on those feeds to the MLC 61 cost.’’ for proper sound recording unaltered, the MLC would still receive Two particular issues surrounding conflicting data that it will have to these proposals were discussed at length 62 See Recording Industry Association of spend time and resources America, Inc. (‘‘RIAA’’) Initial at 4; American 71 Association of Independent Music (‘‘A2IM’’) & reconciling.’’ Music Reports similarly 51 MLC Reply App. B at 7. RIAA Reply at 2–3; Jessop Initial at 2–3; Recording points out that ‘‘a row of sound 52 Id. at 7; see also Barker Initial at 10 (proposing Academy Initial at 2. recording metadata provided by one that DMPs not release sound recordings unless and 63 until they receive appropriate data from the record Mr. Jessop, a former U.S. and U.K. recording DMP in relation to a discrete sound association executive, has participated in the label); CISAC & BIEM Reply at 6 (agreeing with the recording may differ from the row of MLC that DMPs should take ‘‘all reasonable steps’’). development or revision of various relevant 53 standards bodies or individual codes, including metadata a second DMP provides in MLC Reply App. B at 7. ISRC, ISWC, and ISNI. Jessop Initial at 1–2. 54 Id. at 7. relation to the same sound recording, 64 DLC Reply at 10; RIAA Initial at 4–5; A2IM & 55 with additional or different data fields Id. at 8. RIAA Reply at 2–3 (also noting that record labels 56 Id. vary their own data sent to different DMPs to meet 57 Id. different DMP requirements); Jessop Reply at 2; see 68 MLC Reply at 16 n.9; MLC Ex Parte Letter #2 58 DLC Initial at 7; DLC Reply at 6–11. also Universal Music Group (‘‘UMG’’) & RIAA Ex at 5; MLC Ex Parte Letter Apr. 3, 2020 (‘‘MLC Ex 59 DLC Reply at 8–9. Parte Letter at 2 (‘‘SoundExchange gets the same Parte Letter #4’’) at 9. 60 SoundExchange is the collective designated by data feeds as the DMPs . . . but then it dedupes and 69 MLC Reply at 11; RIAA Initial at 3, 5–6; Sony the CRJs to collect and distribute royalties under the deconflicts the data.’’); Sony Music (‘‘Sony’’) & & RIAA Ex Parte Letter at 2 (Dec. 9, 2019); MLC Ex section 112 and section 114 statutory licenses RIAA Ex Parte Letter at 2. Parte Letter #1 at 2; MLC Ex Parte Letter #2 at 5– concerning noninteractive digital audio 65 DLC Reply at 10. 6; MLC Ex Parte Letter #4 at 8–9; Jessop Initial at transmissions of sound recordings. 66 MLC Reply at 11 n.7. 2–3; A2IM & RIAA Reply at 2–3, 3 n.1. 61 DLC Reply Add. at A–4; see also DLC Reply at 67 MLC Ex Parte Letter #2 at 5, 7; see MLC Ex 70 MLC Ex Parte Letter #2 at 5–6. 10–11. Parte Letter #1 at 2. 71 A2IM & RIAA Reply at 2.

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or identifiers unique to that DMP.’’ 72 typical or commercially reasonable for other’s positions: It seems reasonable to The MLC does not address this issue in DMPs to alter, such as in the course of the Office both that different streaming its comments. arranging for all songs by the same artist services may choose to display the same The DLC readily acknowledges that (e.g., ‘‘Diddy’’) to be retrieved in an artist or recording title in a different individual DMPs may alter certain data organized fashion in response to an end way as a competitive or data fields, characterizing it as necessarily user’s search. And while the Office architecture matter (e.g., ‘‘I Feel Good’’ cleaning and fixing the data so that reached out to the MLC and DLC shortly vs. ‘‘I Got You (I Feel Good)’’) and have information related to a recording’s after these entities were designated to designed reporting systems around the artist name, title, or other listener-facing encourage cooperation on these fields as used on their products, and fields are normalized.73 The DLC asserts business-specific questions in also that such discrepancies in artist or that it would be highly burdensome for anticipation of the significant title names may add complexity to the DMPs to retain and report unaltered prospective regulatory work, and MLC’s efforts to match sound recordings data, because for many services, usage understands they have engaged in to underlying musical works. Based on reporting pipelines have been designed dialogue, particularly after the the record, it thus appears that the to pull data from product databases that submission of initial comments, it does MLC’s matching efforts will need to feature the ‘‘corrected’’ fields; it suggests not appear that discussions have yet involve analysis of multiple fields (i.e., that the MLC’s proposal would require bridged these areas of difference.77 not just ISRCs), and also that the MLC an unnecessary maintaining of a parallel To a certain extent, the MLC and DLC will need to reconcile certain sound archive of data that may entail material also appear to advance positions that go recording information against its engineering efforts.74 The DLC also somewhat further than necessary even database. argues that providing each of these under their preferred approaches. For In light of these disagreements and fields unaltered is unlikely to palpably example, although the MLC does not areas of uncertainty, and the improve the MLC’s matching efforts, intend to use every required or considerable, yet non-exhaustive,80 because other data fields that remain requested field in its matching information submitted in this 78 unaltered, in particular the ISRC (which processes, its proposed language rulemaking, the Office sought to craft a both the DLC and MLC seem to agree would require every reportable sound reasonable approach that satisfies the exists for over 99% of reported tracks), recording field to be provided in main concerns of the most interested 79 are far better for identifying sound unaltered form. Similarly, the Office parties. Based on the record before it, recordings.75 The DLC also states that understands that DMPs may typically the Office proposes the following rules alteration happens relatively alter only a few fields (e.g., titles, artist with respect to DMP data collection and infrequently, citing that for at least two names, and versions) relevant to its delivery efforts. DMPs, fewer than 1% of track titles are consumer-facing platform fronts, yet the Relationship to reports of usage. The modified, and that alterations are minor, DLC has proposed language that would MMA’s data collection efforts and such that any reasonably sophisticated not restrict services from editing even reports of usage provisions are best read matching algorithm should not be universal identifiers. Relatedly, both together, with section 115(d)(4)(B) stymied.76 parties may somewhat underestimate describing the appropriate efforts DMPs The MMA was designed in part to certain business realities that drive the must engage in to acquire the address challenges related to data information to be reported to the MLC delivery in the digital supply chain, and 77 See MLC Initial at 1 n.2 (‘‘While the MLC and the [DLC] have not collaborated on the submission in reports of usage under section after analyzing the comments and of initial comments in this proceeding, 115(d)(4)(A). Section 115(d)(4)(B) only conducting repeated meetings with the collaboration has been discussed and is anticipated refers to ‘‘[c]ollecti[ng]’’ and MLC, DLC, and recording company and in connection with reply comments, with the intent ‘‘obtain[ing]’’ information, while section publishing interests, it is apparent to the to provide supplemental information in reply comments as to any areas of common agreement.’’); 115(d)(4)(A) refers to ‘‘reporting’’ and Copyright Office that abstruse business DLC Initial at 2 n.3 (‘‘While the MLC and DLC have expressly requires that certain complexities and misunderstandings not collaborated on the submission of initial information ‘‘acquired’’ by the DMP, persist. As discussed further below, it is comments in this proceeding, collaboration has ‘‘including pursuant to [section been discussed and is anticipated in connection 81 not clear that the relevant parties agree with reply comments, with the intent to provide 115(d)(4)(B)],’’ be reported. on exactly which fields reported from supplemental information in reply comments as to Consequently, the rule proposes that the sound recording owners or distributors any areas of common agreement.’’); MLC Reply at data collected pursuant to section to DMPs are most useful to pass through 1 n.2 (‘‘Following the filing of the initial comments, the DLC and the MLC have engaged in a concerted 115(d)(4)(B) be delivered to the MLC in to the MLC, which fields the MLC effort to reach compromise on regulatory language. DMPs’ reports of usage in accordance should be expected or does expect to While the complexity of the issues has made it with the rules governing such reports materially rely upon in conducting its difficult to reach compromise, the DLC and the (discussed below). This would not matching efforts, or which fields are MLC plan to continue discussions and will revert back to the Office with any areas of compromise.’’); foreclose the MLC from seeking DLC Reply at 1 n.3 (‘‘Following the filing of the information from DMPs outside of their 72 Music Reports Initial at 3. initial comments, DLC and MLC have engaged in 73 DLC Reply at 9–10; DLC Ex Parte Letter Feb. a concerted effort to reach compromise on 80 For example, while all were discussed at length 14, 2020 (‘‘DLC Ex Parte Letter #1) Presentation at regulatory language. While the complexity of the in concept, the Office did not receive a full listing 15 (discussing ‘‘Hello (Radio Edit)’’ example; issues has made it difficult to reach compromise, of which fields in the ERN specification any of the explaining that a DMP may receive information the DLC and MLC plan to continue discussions and parties wish to be passed through, a comparison to from different sources listing a band name in will revert back to the Office with any areas of licensable fields in the SoundExchange database, or various fashions such as ‘‘Cure,’’ ‘‘The Cure,’’ and compromise.’’). To the Office’s knowledge, the MLC certain ‘‘information concerning the use in the ‘‘Cure, The’’ which would be reconciled into ‘‘The and DLC were not able to reach agreement on any DDEX DSRF format of different metadata fields Cure’’ for display on the service’s platform). areas. related to identification of sound recordings and 74 See DLC Ex Parte Letter #1 Presentation at 15. 78 MLC Ex Parte Letter #4 at 10–11 (noting that musical works identification.’’ See MLC Ex Parte 75 DLC Ex Parte Letter Mar. 4, 2020 (‘‘DLC Ex the MLC ‘‘does not anticipate’’ the ‘‘sound Letter #3 at 3. At this stage, commenters remain Parte Letter #3’’) at 2. recording copyright owner’’ or ‘‘producer’’ fields encouraged to submit additional data, but along 76 DLC Ex Parte Letter #3 at 2 (discussing ‘‘being utilized in matching,’’ and contemplates with a clear explanation of why such data might MediaNet and YouTube, and noting that all of using ‘‘some, but not all’’ of other specific fields for support a change in the proposed regulatory MediaNet’s alterations are made at the request of matching). language. the record labels). 79 See MLC Reply App. C at 11. 81 See 17 U.S.C. 115(d)(4)(A)–(B).

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reports of usage on a voluntary basis, or ongoing obligation to attempt to collect get from individual DMPs engaging in even potentially that, upon a different relevant data. The Office also proposes, separate efforts to coax additional showing, a different rule requiring in accord with the DLC’s proposal, to information from entities that are under delivery of certain information outside adopt a rule providing that a DMP may no obligation to provide it for purposes of reports of usage could be appropriate. satisfy its obligations under section of the section 115 license. Appropriate efforts. At least on the 115(d)(4)(B) by arranging for the MLC to In particular, SoundExchange’s record before it, the Office declines to receive appropriate data from an repertoire database appears to be a propose a one-size-fits-all approach as authoritative source, such as reasonable analog for the data DMPs to what constitutes ‘‘good-faith, SoundExchange. Though, as explained might otherwise obtain from sound commercially reasonable efforts to further below, this would not obviate recording copyright owners and obtain,’’ and so is disinclined to adopt the need to report data to the MLC in licensors through the collection efforts a rule as strict as the MLC proposes. reports of usage. mandated by section 115(d)(4)(B). In its First, what may be commercially Under the proposed floor role as administrator under the section reasonable for one DMP may not be requirement, where a DMP has not 112 and section 114 licenses, commercially reasonable for another, obtained all applicable sound recording SoundExchange appears to receive and even for the same DMP, a and musical work information from largely the same record label and commercially reasonable action with sound recording copyright owners and distributor data feeds that the DMPs respect to one sound recording licensors, the DMP will have a receive.84 And its database appears to be copyright owner may not be continuous and ongoing obligation to robust: commercially reasonable with respect to formally request such information in another. Second, the MMA did not writing on a quarterly basis. The rule SoundExchange has worked for years and impose a data delivery burden on sound further proposes that DMPs request spent many millions of dollars to develop its recording copyright owners and updates for obtained data periodically repertoire database, an authoritative repository of information identifying licensors, so any rule compelling their and at the MLC’s request. This proposal approximately 30 million sound recordings, compliance would seem to be at odds is to ensure that DMPs make ongoing all of which was sourced directly from the with Congress’s intent. DMPs must active efforts to get missing and copyright owners of the recordings.... make genuine efforts to attempt to outdated information from record labels This database collects about 50 fields of collect information from record labels and distributors without burdening information on each recording in the and other distributors, but if those DMPs or sound recording copyright database, and includes [ISRCs] for all of those parties ultimately refuse, it does not owners and licensors in ways the statute recordings.... To keep this database up to necessarily mean that the DMP has not does not seem to intend. date with information about new releases, satisfied its collection effort obligations. The Office is generally inclined to SoundExchange receives electronic data Thus, the Office is wary of proposals agree with commenters regarding feeds directly from record companies and provision of access to the distributors that together cover more than mandating DMPs to require delivery of 100 rights owners. This real-time data covers information from sound recording SoundExchange database, and proposes almost all commercially-significant U.S. copyright owners and licensors through that it be an option for interested DMPs. recordings, and a large number of foreign- contractual or other means. Third, while Based on all of the comments, it seems origin recordings as well. We have also it is important for DMPs to genuinely efficient for the MLC to have access to received repertoire information in other and fruitfully engage in appropriate an aggregated, regularly updated, and forms from more than 20,000 other rights collection and reporting efforts, the verified feed of the applicable data owners.85 primary tasks of matching and data sourced directly from copyright owners, The Office is, however, inclined to curation are assigned to the MLC, and rather than consistently need to sort agree with the MLC that DMPs are the the DMPs must fully fund the MLC’s through potentially contradictory DMP- only authoritative source for what they undertaking of these critical tasks. provided label data—especially where actually used, and no amount of data Fourth, it does not appear that DMPs are the Office has been told that labels from other sources can tell the MLC necessarily required by the statute to sometimes provide different data for the what was truly played on the DMP’s deliver all pertinent information known same works to different DMPs, and that service. Therefore, the proposed rule to them or in their possession. For labels themselves sometimes send makes clear that while DMPs may example, section 115(d)(4)(B) only refers updates that alter previously-reported satisfy their section 115(d)(4)(B) to information obtained specifically fields.83 To be clear, DMPs would not be collection obligations in this manner, it ‘‘from sound recording copyright required to arrange for the MLC to have does not excuse DMPs from their owners and other licensors of sound access to SoundExchange’s data; it reporting obligations under section recordings,’’ and the musical work would just be one option for complying 115(d)(4)(A) (discussed below). DMPs information required to be reported with their data collection obligations. would still have to report all required under section 115(d)(4)(A)(ii)(I)(bb) is And the MLC would not be required to information, subject to the applicable limited to information ‘‘acquired by the rely on these data; it would also receive qualifications (e.g., having been digital music provider in the metadata data from monthly reports of usage and acquired in the metadata provided to provided by sound recording copyright from musical work copyright owners, the DMP by sound recording copyright owners or other licensors of sound and would remain free to gather data owners). There would just not be any recordings in connection with the use of from other sources to build and further obligation to take affirmative sound recordings of musical works to supplement its database as well. In sum, steps to obtain additional information engage in covered activities.’’ 82 the record suggests that access to such beyond what the DMP otherwise With these observations in mind, the a sound recording database can be Office proposes to codify a minimal expected to provide the MLC with more floor requirement that should not authoritative sound recording 84 See, e.g., UMG & RIAA Ex Parte Letter at 2 unduly burden DMPs, but which will (Dec. 6, 2019) (‘‘SoundExchange gets the same data ownership data than it may otherwise feeds as the DMPs.... SoundExchange receives still constitute a continuous and data from approximately 3400 labels, including 83 See A2IM & RIAA Reply at 2; DLC Ex Parte certain independent distributors (e.g., CdBaby).’’). 82 See id. at 115(d)(4)(A)–(B). Letter #3 at 2. 85 SoundExchange Initial at 2–3.

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acquires in the ordinary course of DMPs to never report it, the rule acknowledges the primacy of unique engaging in covered activities. proposes that a DMP can satisfy its identifiers like ISRCs. And playing time The Office’s proposed rule makes reporting obligations by reporting either and release date seem to be particularly other additional adjustments to the the originally acquired version of data helpful for matching, especially when DLC’s proposal. First, the source of the within a specific field or the modified distinguishing between different data could be another similarly version, but subject to important recorded versions of a song by the same authoritative source with a database size limitations. artist. The Office invites comment on similar to SoundExchange; it would not First, the DMP would have to report this aspect of the proposed rule, specifically have to be SoundExchange. the unaltered data in any of the including whether ‘‘release date’’ Second, the proposed rule would not following three cases: (1) Where the should be further qualified as ‘‘release require the authoritative source to MLC has adopted a nationally or year.’’ provide its data at ‘‘reasonable or no internationally recognized standard, Third, a DMP would not be permitted cost.’’ As discussed above, the statute such as DDEX, that is being used by the to only report modified versions of does not impose reporting burdens on particular DMP, and either the unaltered information belonging to categories that sound recording copyright owners and, version or both versions are required to the DMP was not periodically altering by extension, SoundExchange. Third, be reported under that standard; (2) prior to the license availability date. the Office proposes that if the DMP where either the unaltered version or That would ensure that to the extent a knows that a specific sound recording or both versions are reported by the DMP makes changes to its systems to set of recordings is not in the database, particular DMP pursuant to any alter new types of data, the DMP would then provision of access to that database voluntary license or individual need to retain the ability to report the is insufficient and the DMP must, for download license; or (3) where either unaltered versions. such recording(s), formally request the unaltered version or both versions Certification. The Office is inclined to information in writing on a quarterly were periodically reported by the agree with the MLC’s proposal to basis from the label or other distributor particular DMP to its licensing require DMPs to certify as to their who supplied the recording, as administrator or to copyright owners compliance with their section described above. directly prior to the license availability 115(d)(4)(B) obligations, and proposes Appropriate information. The Office date. The first scenario tethers the that such a certification be included in is inclined to disagree with the breadth requirement to provide unaltered data to DMPs’ reports of usage. Such a of the MLC’s proposal to require the whether a recognized standard setting requirement would be analogous to collection of ‘‘all identifying body, for a standard the DMP uses, other related certification information.’’ The statute specifically concludes that the information is requirements.88 enumerates information that is required important enough to be required. In 2. Efforts by Copyright Owners to be collected, which is connected with such cases, it seems reasonable to the list of information required to be require DMPs to undertake such Only a few commenters spoke to the 86 reported. Thus, the rule instead burdens as may be necessary to comply collection efforts of copyright owners; proposes that collection efforts extend with that decision.87 The second and the MLC and DLC each propose specific to the statutorily enumerated third scenarios connect the requirement regulatory language. The MLC’s information and any additional to provide unaltered data to the proposed language essentially restates information required by the Copyright capabilities of the DMP’s systems. If a the statute.89 The MLC argues that what Office to be included in reports of usage DMP was reporting the unaltered constitutes commercially reasonable (discussed below). version, or both versions, prior to the efforts for all musical work copyright With respect to the question of license availability date or reports the owners cannot be defined because of the whether DMPs must provide the unaltered version, or both versions, broad spectrum of musical work applicable information in unaltered copyright owners, ranging from form, the Office proposes a compromise under other licenses, the DMP must similarly report such data to the MLC. multinational publishing companies to approach. The Office notes that the individual do-it-yourself singer- proposed regulatory language addresses The Office is also contemplating a fourth scenario for commenters to songwriters.90 The MLC’s comments this in the section on reports of usage, characterize its proposal as imposing an rather than data collection, but since consider: Where the unaltered version or both versions are/were commonly obligation on musical work copyright this issue was mostly raised by owners ‘‘to provide information in their commenters in the context of data reported in the industry by a majority of DMPs of comparable size and possession, custody or control,’’ collection efforts, it is discussed here ensuring ‘‘that large music publishers instead of below. The Office has sophistication to the particular DMP either currently or prior to the license with detailed records of sound essentially been told by the DLC that recordings embodying their musical retaining and reporting unaltered data is availability date. The second limitation would be that compositions will be obligated to generally burdensome and unhelpful for DMPs would not be permitted to only provide such information to the MLC, matching, while the MLC and others report modified versions of any unique while still allowing for individual argue that it is generally needed and identifier, playing time, or release date. songwriters to comply with the helpful for matching. Both positions The record does not suggest that DMPs regulation without undue hardship.’’ 91 seem to have at least some degree of typically adjust these particular items, The MLC also asserts that DMPs are merit with respect to certain aspects. but to the extent they do or might better positioned to collect sound The Office therefore offers what it consider it in the future, it would seem recording data because they deal believes to be a reasonable middle to be particularly harmful to the MLC’s directly with sound recording copyright ground to balance these competing matching efforts. The DLC itself concerns. 88 See 17 U.S.C. 115(d)(10)(B)(iv)(III)(aa); 37 CFR Instead of requiring DMPs to always 87 See DLC Ex Parte Letter #3 at 4 (‘‘DDEX has 201.18(d)(1)(vi). report unaltered data or permitting an extensive and rigorous process of evaluating the 89 MLC Reply App. B at 8. fields that are required to be reported to assist with 90 MLC Initial at 15. 86 See 17 U.S.C. 115(d)(4)(A)–(B). matching.’’). 91 MLC Reply at 12.

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owners and licensors, whereas the to the minimal floor requirement C. Reports of Usage and Payment— existence of the compulsory license discussed above for DMPs. The rule Digital Music Providers makes it so that many musical work proposes that musical work copyright As discussed in the notification of copyright owners have no relationship owners periodically monitor the MLC’s inquiry, DMPs operating under the with sound recording copyright owners database for missing and inaccurate blanket license must report their usage or licensors, and so it would be sound recording information relating to of musical works and pay applicable inappropriate to require them to seek their musical works, and if an issue is royalties to the MLC. The statute out and deliver information they do not discovered, then the copyright owner contains two relevant reporting and already have.92 must provide the pertinent sound payment provisions, sections The DLC’s proposal would require recording information to the MLC if the 115(c)(2)(I) and 115(d)(4)(A), and the musical work copyright owners to information is known to the copyright Copyright Office is to prescribe engage in commercially reasonable owner or, as the MLC proposes, is regulations pursuant to both.101 These efforts to collect all available otherwise within the copyright owner’s regulations are to cover matters such as information about the applicable sound possession, custody, or control. By the form, content, delivery, certification, recordings, including at least the title, limiting the obligation in this manner, and adjustment of reports of usage and featured artist, and, if available, ISRC.93 musical work copyright owners would payment, as well as requirements under The DLC’s proposal would also require not have to affirmatively seek out which records of use must be copyright owners to provide the MLC information from sound recording maintained and made available to the with all available information related to copyright owners or licensors they may MLC by DMPs.102 performing rights societies through have no relationship with, but would Various commenters spoke to issues which performance rights in each have to provide information that may be concerning reports of usage in musical work are licensed.94 The DLC contained in some of the sources the responding to the notification of asserts that copyright owners are best DLC discusses (e.g., royalty statements inquiry, and the MLC, DLC, and Music positioned to provide the relevant under the compulsory license and Reports provided proposed regulatory information and disagrees with the reporting from performing rights language. MLC’s characterization, stating that organizations). As to the proposal from In promulgating reporting and musical work copyright owners can A2IM & RIAA, the statute imposes a payment rules for the section 115 obtain sound recording information in a requirement on musical work copyright license, the Copyright Office has long variety of ways.95 owners—not the MLC—so the Office followed a ‘‘guiding principle’’ that ‘‘the A2IM & RIAA also commented on this does not interpret this provision to regulations should preserve the issue, related to their overall viewpoint encompass requiring the MLC to obtain compulsory license as a workable tool, that the MLC should get sound sound recording data from certain while at the same time assuring that recording data from a single sources. copyright owners will receive full and authoritative source, rather than from Appropriate information. The Office prompt payment for all phonorecords DMPs and musical work copyright is inclined to agree with the DLC and made and distributed.’’ 103 The Office owners.96 They further suggest that A2IM & RIAA that more than just the has ‘‘accordingly evaluated proposed publishers should have to provide sound recording title should be regulatory features using ‘three sufficient information to unambiguously provided. Section 115(d)(3)(E)(iv) refers fundamental criteria’ ’’: (1) ‘‘ ‘the to ‘‘information regarding the names of identify sound recordings, which they accounting procedures must not be so the sound recordings,’’ while in other say would generally entail a title, complicated as to make use of the places, the MMA only refers to ‘‘the featured artist, and ISRC.97 compulsory license impractical;’ ’’ (2) name of the sound recording’’ or ‘‘sound Based on the record before it, the ‘‘ ‘the accounting system must insure recording name.’’ 98 Moreover, as the Office proposes the following rules with full payment, but not overpayment;’ ’’ RIAA points out, in most cases, sound respect to musical work copyright and (3) ‘‘ ‘the accounting system must recordings are likely to share the same 104 owner data collection and delivery insure prompt payment.’ ’’ The Office name as the underlying musical work, efforts. has also previously stressed that making a requirement limited to the Appropriate efforts. The Office agrees ‘‘transparency is critical where sound recording’s title largely with the MLC that the wide variety of copyright owners are compelled by law meaningless.99 Thus, the rule proposes, 105 musical work copyright owners makes it to license their works.’’ Today, the in accord with the comments of the DLC Office reaffirms these conclusions, challenging to adopt a one-size-fits-all and A2IM & RIAA, that sound recording approach as to what constitutes which the Office has carefully titles, including alternative and considered in formulating this proposed ‘‘commercially reasonable efforts to parenthetical titles, featured artists, and deliver.’’ Consequently, the Office rule. The Office also credits Congress’s ISRCs should all be provided (subject to intention that, under the MMA, reports proposes to codify a minimal floor the appropriate efforts discussed above). requirement that should not unduly of usage ‘‘should be consistent with The Office does not agree with the then-current industry practices burden less-sophisticated musical work DLC’s proposal regarding performing copyright owners—similar in approach regarding how . . . limited downloads rights organization information for and interactive streams are tracked and musical works, as that information does 106 92 reported.’’ MLC Initial at 16; MLC Reply at 13. not seem to fit within the meaning of 93 DLC Reply Add. at A–4. 94 Id. at A–5. ‘‘information regarding the names of the 101 See 84 FR at 49970–71. 100 95 DLC Initial at 8; DLC Reply at 12, Add. A–5. sound recordings.’’ 102 See id. 96 A2IM & RIAA Reply at 2; see also RIAA Initial 103 79 FR 56190, 56190 (Sept. 18, 2014) (internal at 9 (proposing that ‘‘commercially reasonable 98 Compare 17 U.S.C. 115(d)(3)(E)(iv) (emphasis quotation marks omitted) (quoting 45 FR 79038, efforts’’ be defined as requiring the MLC to leverage added) with id. at 115(d)(3)(E)(ii)(IV)(bb), 79039 (Nov. 28, 1980)). existing industry infrastructure, including DDEX, (d)(3)(E)(iii)(I)(dd), (d)(4)(A)(ii)(I)(aa). 104 Id. (internal brackets omitted) (quoting 45 FR SoundExchange’s ISRC lookup service, and 99 See RIAA Initial at 8–9; see also DLC Initial at 79038, 79039 (Nov. 28, 1980)). SoundExchange’s Music Data Exchange). 8. 105 79 FR at 56201. 97 A2IM & RIAA Reply at 12–13; see also RIAA 100 See 17 U.S.C. 115(d)(3)(E)(iv) (emphasis 106 See H.R. Rep. No. 115–651, at 12; S. Rep. No. Initial at 7–9. added). 115–339, at 13; Conf. Rep. at 10; see also U.S.

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Based on the record before it, and Office’s longstanding interpretation of Regarding adjustments, the rule with these guiding principles in mind, section 115.112 proposes that a report adjusting a the Office proposes the following rules Under the proposed rule, an annual monthly report of usage can be with respect to reports of usage and report of usage would be due on the delivered to the MLC any time between payment to be delivered to the MLC by 20th day of the sixth month after the delivery of the monthly report being DMPs under the blanket license. end of the DMP’s fiscal year—the same adjusted and delivery of the annual timing as currently required for annual General operation and timing. The report covering that monthly report. The statements of account under the non- rule proposes a general scheme whereby rule would also permit a DMP, at its blanket section 115 license, and the option, to forego filing a separate report DMPs operating under the blanket same timing as proposed by Music of adjustment and instead combine it license must report usage and pay Reports.113 The Office is inclined to with the applicable annual report. The royalties to the MLC on a monthly basis, disagree with the DLC that the statute latter option is similar to how with a cumulative annual report due does not require annual reporting adjustments to monthly statements each year, and an ability to make certified by a certified public accountant currently operate under the non-blanket adjustments to monthly and annual (‘‘CPA’’).114 The Office has reasonably section 115 license,120 and the former reports and related royalty payments, considered the DLC’s various arguments option, allowing adjustments to be made including to correct errors and replace on this subject, but the plain language at an earlier point in time, is something estimated inputs with finally of section 115(c)(2)(I) seems to clearly both the MLC and DLC propose and that determined figures. state that ‘‘detailed cumulative annual the Office believes reasonably provides As required by section 115(d)(4)(A)(i), statements of account, certified by a additional flexibility and may facilitate the rule proposes that monthly reports certified public accountant, shall be more prompt and accurate payments to of usage and related royalty payments filed for every compulsory license under copyright owners.121 In accord with the must be delivered to the MLC within 45 subsection (a).’’ 115 Even if that were not DLC’s proposal, and as is the case day of the end of the applicable monthly the case, the Office tentatively currently for monthly accounting reporting period.107 The Office disagrees concludes that requiring CPA statements under the non-blanket with the MLC, which would read the certification of annual reporting, section 115 license, this effectively statute as requiring royalty payments to pursuant to the Office’s broad regulatory would require any adjustment to a be due within 20 days rather than authority, is reasonable and appropriate. monthly report of usage to be made within the same 45-day period as their While, as the DLC notes, the MMA within six months 122 of the end of the associated reports of usage.108 As the creates a new triennial audit right, relevant annual period covering that DLC points out, the statute and copyright owners remain unable to monthly report (which, as discussed legislative history counsel that both are directly audit DMPs—they can only above, is the proposed deadline for due within 45 days.109 Section audit the MLC, which may, but is not delivering the annual report).123 115(d)(4)(A)(i) states that DMPs shall required to, audit DMPs.116 And The Office is inclined to agree with ‘‘report and pay’’ ‘‘in accordance with’’ certified annual reporting may diminish both the MLC and DLC that certain section 115(c)(2)(I), ‘‘except that the the need to initiate the same level of items may still need to be adjusted after monthly reporting shall be due on the audits of individual DMPs by the MLC; the end of this six-month period,124 as date that is 45 calendar days, rather than as the DLC is well-aware, DMPs is permitted currently in connection 20 calendar days, after the end of the effectively fund such audits through the with performance royalty estimates monthly reporting period,’’ while administrative assessment. An annual under the non-blanket section 115 section 115(c)(2)(I) states that ‘‘[e]xcept CPA certification would also occur more license.125 The Office thus proposes that as provided in paragraph[] (4)(A)(i) . . . frequently than these triennial audits, to an annual report of usage may be of subsection (d), royalty payments shall the extent audits occur at all.117 Thus, adjusted within six months (the same be made on or before the twentieth day requiring an annual CPA-certified report of each month.’’ 110 Given that one would ensure that copyright owners the potential reliability of indicia provided in continue to be given at least as much licensee annual statements. See DLC Initial at 11 provision refers to ‘‘monthly reporting’’ (citing U.S. Copyright Office, Copyright and the and the other refers to ‘‘royalty comfort in the accuracy of DMP Music Marketplace at 173–74). See also, e.g., 164 payments,’’ in order to give meaning to reporting as before the MMA.118 The Cong. Rec. S6292, 6293 (daily ed. Sept. 25, 2018) the ‘‘except’’ language, it would seem MMA is intended to increase (statement of Sen. Hatch) (‘‘I need to thank 119 Chairman Grassley, who shepherded this bill that both provisions must be read as transparency, not diminish it. through the committee and made important referring to both reporting and payment. contributions to the bill’s oversight and The legislative history confirms this 112 See 37 CFR 201.19(b)(5) (1978) (‘‘Each transparency provisions.’’); 164 Cong. Rec. S501, 111 Monthly Statement of Account shall be served . . . 504 (daily ed. Jan. 24, 2018) (statement of Sen. intent. And it is in accord with the together with the total royalty . . . on or before the Coons) (‘‘This important piece of legislation will twentieth day of the immediately succeeding bring much-needed transparency and efficiency to Copyright Office, Copyright and the Music month.’’) (emphasis added). the music marketplace.’’); Proposal of DLC Marketplace at 30–31 (noting that pre-MMA, 113 See id. at § 210.17(g)(1); Music Reports Initial Submitted in Response to U.S. Copyright Office’s mechanical licenses were overwhelmingly at 18. Dec. 21, 2018, Notice of Inquiry, Ex. C at 2 (Mar. administered through direct licenses). 114 See DLC Initial at 9–12; DLC Reply at 22 n.97. 21, 2019) (recognizing ‘‘the goals of the MMA to 107 See 17 U.S.C. 115(d)(4)(A)(i). 115 See 17 U.S.C. 115(c)(2)(I) (emphasis added). provide licensing efficiency and transparency’’). 108 See MLC Reply at 23. 116 See id. 115(d)(3)(L), (d)(4)(D). 120 See 37 CFR 210.16(d)(3)(i), 210.17(d)(2)(ii). 109 See DLC Ex Parte Letter #1 Presentation at 2– 117 See MLC Ex Parte Letter #2 at 4 (noting that 121 See DLC Reply at 21–22, Add. A–10–11; MLC 3. the MLC is not funded at a level necessary to audit Initial at 19–20; MLC Reply at 27, App. C at 14. 110 17 U.S.C. 115(c)(2)(I), (d)(4)(A)(i) (emphasis every DMP every three years). 122 Technically the 20th day of the sixth month. added). 118 See 79 FR at 56203 (‘‘[T]he purpose of the CPA 123 See DLC Reply at 21–22, Add. A–10–11. While 111 See H.R. Rep. No. 115–651, at 27 certification requirement is to give the copyright the MLC proposes a different deadline, the MLC (‘‘Subparagraph A identifies the data that must be owner firm assurance that it is receiving all the seems to concede that the DLC’s proposed timing reported to the collective by a digital music royalties to which it is entitled.’’). would be reasonable. See MLC Reply at 27. provider along with its royalty payments due 45 119 As the DLC points out, the audit right was 124 See DLC Reply at 22, Add. A–10–11; MLC calendar days after the end of a monthly reporting adopted in part upon the recommendation of the Initial at 19–20; MLC Reply App. C at 14. period.’’) (emphasis added); S. Rep. No. 115–339, at Copyright Office; this recommendation was not 125 See 37 CFR 210.17(d)(2)(iii) (describing 24 (same); Conf. Rep. at 20 (same). made with a corresponding suggestion to decrease amended annual statements of account).

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timing as is currently permitted in retain the status quo for these proposal.138 The Office, however, connection with performance royalty deliverables whereby the MLC, in generally proposes to adopt the timing estimates 126) of any one of the following fulfilling the matching and calculation deadlines that the MLC indicates would occurrences, which are drawn from both role previously performed by DMPs and be acceptable to its operations. Given the MLC and DLC proposals and strike their vendors, would provide the royalty that the current non-blanket section 115 the Office as being reasonable: (1) invoices and response files DMPs either license requires monthly reporting and Exceptional circumstances; (2) when generated or received from their vendors payment within 20 days, and adjusting a previously estimated input under the pre-MMA regime.132 commenters state that DMPs generally after the input becomes finally To this end, the DLC proposes that report to their vendors within 10 days established (see below); (3) following an DMPs first deliver their monthly reports or less,139 the proposed 15-day deadline audit; or (4) in response to a change in of usage to the MLC, and that the MLC should not be burdensome. To the applicable rates or terms under 37 CFR then use the reported data to match extent it is, it is optional; a DMP could part 385.127 reported sound recordings to musical take the full 45 days permitted under Processing, invoices, and response works and their copyright owners, the statute, but it would not be entitled files. A significant issue raised by the confirm uses subject to voluntary to an invoice if it does, absent special DLC throughout the rulemaking licenses and the corresponding amounts arrangement with the MLC (see proceeding is that there must be a back- to be deducted from royalties otherwise ‘‘Voluntary agreements to alter process’’ and-forth process through which DMPs due under the blanket license, calculate below). The rule further proposes that receive royalty invoices and response royalties owed under the blanket response files must be requested by files 128 from the MLC after delivering license, and deliver an invoice to the DMPs, in which case they must be monthly reports of usage, but before DMP setting forth the royalties owed delivered by the MLC within the same royalty payments are made or deducted along with a response file.133 The DLC 25-day period the MLC will have to from a DMP’s account with the MLC. proposes not to prescribe when a DMP process reports.140 The Office believes The DLC states that this process is an must deliver its report of usage, so long the proposed rule is a reasonable industry-standard practice for many as it is before the statutory 45-day approach to ensuring that DMPs that DMPs that use third-party vendors to deadline, but would require the MLC to need invoices and response files can get calculate and process their royalty provide invoices and the response file them, while providing the MLC the time payments.129 The DLC is specifically within 15 days of receiving a monthly it needs to generate them. The proposed concerned with the handling of report of usage.134 rule is intended to further the Office’s voluntary licenses, explaining that The MLC does not seem to generally longstanding policy objective that the because such licenses are often disagree with this choreography and compulsory license should be a realistic procured through blanket deals covering ultimately states that it intends to and practical alternative to voluntary all musical works in a publisher’s provide DMPs with both invoices and licensing. The Office appreciates the catalog, the DMP usually does not know response files, but argues that such MLC’s position requesting the Office which specific musical works are matters, particularly with respect to refrain from issuing a rule on this matter covered, and will be reliant on the MLC timing, are not ripe for rulemaking.135 for the time being, but tentatively agrees to make that determination based on its The MLC further states that to be with the DLC that a rule would statutorily directed matching efforts; logistically workable, there must be a ultimately be valuable to build reliance this in turn affects the amount of fixed DMP reporting deadline, to that DMPs can obtain these items. The royalties the DMP owes under the provide the MLC with predictability in Office is not opposed to revisiting the blanket license.130 The DLC seems its staffing and resources.136 It proposes precise choreography at a later date. especially worried that if invoices and that, to the extent the Office adopts a Content of monthly reports of usage. response files are not required, DMPs rule, DMPs be required to deliver In addition to basic information like the will be effectively compelled to also use reports within 15 days after the end of covered period and the name of the the MLC to administer their voluntary the monthly reporting period and DMP and its associated services, the licenses (compared to a DMP processing believes it can process them within 25 rule proposes that monthly reports of in-house or through an alternate vendor) days, which would then allow 5 days to usage contain a detailed statement because the DMPs will not otherwise be remit payment (or have the MLC charge covering the royalty payment and able to properly account to copyright a DMP’s account) before the statutory accounting information and sound owners under these direct deals.131 At 45-day deadline expires.137 recording and musical work information bottom, the DLC ostensibly seeks to Having carefully considered this discussed below. Such information issue, the Office proposes a process that would be required for each sound 126 See id. would require the MLC to provide recording embodying a musical work 127 See DLC Reply at 22, Add. A–10–11; MLC invoices and response files generally Reply App. C at 14. along the outlines of the DLC’s 138 The Office is inclined to disagree with the 128 The DLC describes ‘‘response files’’ as DLC’s proposal that the MLC provide the DMP with detailing the results of the matching process and the amount of royalties owed under voluntary 132 essentially serving as the ‘‘backup’’ to the invoice, DLC Reply at 16. licenses. See DLC Reply Add. at A–9. That seems confirming where royalties are being paid, DLC 133 Id. at Add. A–9; see also id. at 15–16. more like something the MLC would only be Reply at 16, and including such information as song 134 Id. at Add. A–9; DLC Ex Parte Letter #3 at 4; obligated to calculate and provide if it is privately title, vendor-assigned song code, composer(s), see also DLC Ex Parte Letter #1 at 1–2 (‘‘[D]ifferent engaged as the DMPs administrator for such publisher name, publisher split, vendor-assigned services have different internal accounting and voluntary licenses. See 17 U.S.C. 115(d)(3)(C)(iii); publisher number, publisher/license status, and payment practices, and imposing a rigid interim see also MLC Ex Parte Letter #2 at 3. royalties per track, DLC Ex Parte Letter #1 reporting deadline on all services will impede 139 See Music Reports Initial at 7; MLC Ex Parte Presentation at 11. rather than accommodate those different Letter #2 at 2. 129 See DLC Initial at 13–14; DLC Reply at 13–16; practices.’’). 140 The rule also proposes that a DMP may DLC Ex Parte Letter Feb. 14, 2020 (‘‘DLC Ex Parte 135 MLC Ex Parte Letter #2 at 2–3. request a response file even when it is not entitled Letter #1’’) at 1–2; DLC Ex Parte Letter #1 136 Id. at 2. to an invoice because the information may still be Presentation at 3–13; DLC Ex Parte Letter #3 at 4. 137 The MLC addressed planned timing with the of use to the DMP, such as for its voluntary licenses. 130 DLC Initial at 13–14; DLC Reply at 13–16; DLC Office during its February 21, 2020, ex parte In such cases, the MLC would have 25 days from Ex Parte Letter #1 Presentation at 3–13. communication. See generally MLC Ex Parte Letter the end of the 45-day reporting deadline to deliver 131 DLC Ex Parte Letter #1 Presentation at 3–13. #2 at 2. the response file.

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that is used by the DMP in covered royalties, in which case, the proposed sufficient for the MLC to assess their activities during the applicable monthly rule would cover it. The Office, at least accuracy. In both cases, the DMP would reporting period.141 As required by the on the record before it, is not persuaded be required to report the number of statute, this would cover ‘‘usage data for by the MLC’s more general argument payable units (e.g., permanent musical works used under the blanket that nascent DMPs may not understand downloads, plays, constructive plays) license and usage data for musical the difference between section 115 for each reported sound recording, works used in covered activities under offerings and non-section 115 whether pursuant to a blanket license, voluntary licenses and individual offerings.150 voluntary license, or individual download licenses.’’ 142 The rule As with NOLs discussed above, the download license. In neither case would proposes, in accord with the proposals Office is also not inclined to provide the the DMP be expected to calculate or of the MLC and DLC, that information MLC with authority to require estimate per-work royalty allocations. be reported in such a manner as from additional substantive information from In proposing to carry forward the which the MLC may separate the DMPs in connection with their reports current regulatory construct, the Office reported information for each different of usage, as the MLC proposes, although observes that the MMA does not appear applicable activity or offering, including such information could be provided to require any specific accounting or each different applicable activity and permissively.151 Particularly if issued calculation details beyond the number offering defined by the CRJs in 37 CFR on an interim basis, the Office will of DPDs,154 and, as noted above, the part 385.143 This seems necessary for consider adjusting the relevant rule in MMA’s legislative history suggests that the MLC to be able to properly confirm the future if necessary. Congress did not intend for such DMP royalty payments considering that The Office is also not inclined to reporting details to necessarily different activities and offerings are adopt a default rule entitling DMPs to change.155 The Office, therefore, is not subject to different rate calculations provide various required information to inclined to substantially deviate from its under part 385, and part 385 specifically the MLC separately from their reports, existing rule. 152 provides that ‘‘royalties must be as the DLC proposes. The Office has The MLC and DLC sharply disagree calculated separately with respect to concerns about potential logistical on this matter. The MLC argues that the each Offering taking into consideration challenges it could create for the MLC, current level of accounting detail in Service Provider Revenue and expenses but has no objection to DMPs doing this reporting is insufficient and opaque, associated with each Offering.’’ 144 if the MLC agrees (see ‘‘Voluntary and proposes that the regulations Monthly reports would also have to agreements to alter process’’ below). remedy this by enumerating a Royalty payment and accounting contain appropriate information about considerable amount of detailed royalty information. With respect to specific applicable voluntary licenses and accounting calculation and background accounting information and royalty individual download licenses to the information that DMPs must be required calculation details required to be extent not otherwise provided to report.156 The DLC objects to the separately as discussed above with reported, the Office proposes to essentially retain the current rule MLC’s purported need for much of this respect to NOLs.145 information, and argues that compiling The MLC asks the Office to clarify governing non-blanket section 115 licenses, but with two paths to account that level of information into monthly ‘‘that offerings with different consumer reports would be operationally price points are different offerings to be for whether the DMP delivering the report is entitled to an invoice or not burdensome and ‘‘will be a substantial reported separately.’’ 146 The DLC 157 (which in turn, depends upon the date engineering challenge.’’ The DLC disagrees.147 This issue does not seem further argues that it would be more appropriate for the Office to opine on on which the DMP’s report is delivered to the MLC).153 Where the DMP will appropriate for the information sought one way or the other. The CRJs in part by the MLC to be obtained via the 385 use the terms ‘‘Licensed Activity’’ receive an invoice, it would be required to report all information necessary for and ‘‘Offering,’’ and provide definitions 154 See 17 U.S.C. 115(d)(4)(A)(ii); see also Music for both, which are relevant to the rate the MLC to compute the royalties Reports Initial at 4 (observing that the MMA has ‘‘a calculations.148 Any concerns should be payable under the blanket license, in glaring gap’’ that ‘‘omits any requirement that DMPs accordance with part 385, and all deliver to the MLC . . . any of the underlying addressed to the CRJs. information that would be required to show how The Office is inclined to disagree with information necessary to enable the MLC to provide a detailed and step-by- the DMPs have calculated their royalty payments’’). the MLC with respect to requiring DMPs 155 See H.R. Rep. No. 115–651, at 12; S. Rep. No. to report usage for non-music content step accounting of the calculation of 115–339, at 13; Conf. Rep. at 10. (e.g., podcasts).149 Such information such royalties, sufficient to allow each 156 See MLC Initial at 19; MLC Reply at 14, 19– seems only relevant if somehow applicable copyright owner, in turn, to 20, App. C at 9–12; MLC Ex Parte Letter #2 at 3. assess the manner in which the MLC, Some examples of what the MLC seeks include necessary for calculating statutory information regarding how the DMP calculates using the DMP’s information, service revenue and total cost of content (including 141 See MLC Reply App. C at 9–10; DLC Reply determined the royalty owed and the e.g., categories of revenue, subscription prices, Add. at A–6. accuracy of the royalty calculations. deductions from revenue, and the types of 142 See 17 U.S.C. 115(d)(4)(A)(ii). Where the DMP is not entitled to an consideration expensed for obtaining sound 143 See MLC Initial at 18; MLC Reply App. C at invoice, it would be required to make its recording rights), information about bundles, 9; DLC Reply Add. at A–6. discounts, free trials, and promotional offerings own calculations and provide the same (including e.g., family and student plan data, which 144 See 37 CFR 385.21(b) (emphasis added). detailed and step-by-step accounting of products/services constitute a bundle, and bundle 145 See 17 U.S.C. 115(d)(4)(A)(ii)(II). the calculation of such royalties, component pricing), and information about DPDs 146 MLC Ex Parte Letter #2 at 4; see MLC Ex Parte for which the DMP does not pay royalties. Letter Mar. 24, 2020 (‘‘MLC Ex Parte Letter #3’’) at 157 DLC Ex Parte Letter #1 at 2; DLC Ex Parte 150 2. See MLC Initial at 5, 18–19; see also DLC Letter #1 Presentation at 14 (‘‘The MLC has not 147 DLC Ex Parte Letter #3 at 3 (‘‘The rates Reply at 20 (opposing the MLC’s proposal). explained why it needs this data to perform its core established by the Copyright Royalty Board, 151 See MLC Reply App. C at 10, 12; see also DLC matching, collection, and distribution activities. however, are not based on customer price points, Reply at 20 (opposing the MLC’s proposal). Moreover, these changes will be a substantial which is why reporting based on those distinctions 152 See DLC Reply at 17, Add. A–7. engineering challenge. For instance, the inputs into should not be required.’’). 153 See 37 CFR 210.16(c)(2); see also MLC Initial determining the prices of the elements of a bundle 148 See 37 CFR 385.2, 385.21, 385.22, 385.31. at 18 (supporting retention); Music Reports Initial are not data that is stored in a format amenable to 149 See MLC Reply App. C at 12. at 11 (same). reporting.’’); DLC Reply at 17–20.

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statutorily permitted audits.158 The applicable consideration expensed for be reported (e.g., sound recording name MLC contends that these triennial sound recording rights, that may not be and featured artist); (2) sound recording audits are insufficient.159 established when an applicable report information that must be reported ‘‘to Regardless of whatever the current may be due.168 the extent acquired by the [DMP] in reporting situation may be, the Office The rule proposes that a reasonable connection with its use of sound tentatively concludes that the MLC estimate be permitted for any royalty recordings of musical works to engage should have access to much of the calculation input that is unable to be in covered activities, including pursuant information it seeks, but that it may be finally determined at the time the report to [section 115(d)(4)](B)’’ (e.g., sound appropriate for some of this underlying is delivered to the MLC, if the reason recording copyright owner, producer, backup information to be made the input cannot be finally determined and ISRC); (3) and associated musical available separate from monthly reports is outside the DMP’s control. It seems work information that must be reported of use. As previously noted, reasonable to permit such estimations, ‘‘to the extent acquired by the [DMP] in ‘‘transparency is critical where but only where the DMP cannot the metadata provided by sound copyright owners are compelled by law unilaterally finalize the input. The recording copyright owners or other to license their works,’’ 160 and so it proposed rule would allow use of an licensors of sound recordings in seems appropriate for the MLC to have estimate where an input remains connection with the use of sound access to as much information as is uncertain because of a bona fide dispute recordings of musical works to engage reasonably necessary for it to ‘‘engage in between the DMP and another party. in covered activities, including pursuant efforts to . . . confirm proper payment But using an estimate because of a to [section 115(d)(4)](B)’’ (e.g., of royalties due.’’ 161 That the scope of purely internal tracking or accounting songwriter, publisher, and international that information may be cumbersome issue, for example, would not be standard musical work code for DMPs is a product of the complexity acceptable. The rule would require the (‘‘ISWC’’)).170 of the rate structure adopted by the CRJs DMP to deliver a report of adjustment In addition to the statutorily (which presumably could be changed in after any estimated input becomes enumerated information, the Office is future ratemakings). The Office, finally determined. The Office also proposing certain additional data fields however, is also mindful of other proposes to specifically permit DMPs to that the record indicates are likely to be previously noted guiding principles, calculate their total royalties owed beneficial to the MLC’s key function of that the compulsory license must under the blanket license by using a engaging in matching efforts to identify remain a ‘‘workable tool’’ and that ‘‘the reasonable estimate of the amount to reported sound recordings, the musical accounting procedures must not be so deduct for usage subject to voluntary works embodied in them, and the complicated as to make use of the licenses and individual download related copyright owners due royalties. 162 compulsory license impractical.’’ To licenses, where the DMP is not entitled For example, within the first tier appropriately balance these competing to an invoice but still dependent on the described above—that must always be concerns, the Office proposes a reported—the Office proposes including MLC to confirm such usage. The rule 171 compromise approach whereby DMPs would require the DMP to deliver a playing time and any unique must make much of the information report of adjustment after the MLC identifier assigned by the DMP proposed by the MLC available to the confirms such usage. (including any code that can be used to MLC as part of their records of use.163 locate and listen to the sound recording The Office is not inclined to adopt the 172 As discussed below in more detail, the DLC’s proposal to clarify that making on the DMP’s service). Besides being Office proposes to clarify its helpful for matching, particularly where any adjustments to these estimates recordkeeping rule with enumerated there are multiple versions of a would not be a basis for charging late examples of the types of records DMPs recording, playing time can be necessary fees, terminating a blanket license, or 173 must retain and make available. 169 for computing royalties. The MLC and DLC both acknowledge requiring payment of audit fees. Any Regarding DMP identifiers, at this the practical reality that reporting will applicable late fees are governed by the time, the Office is inclined to agree with need to use estimates in certain CRJs, and any clarification should come the DLC’s proposal that DMPs provide circumstances,164 as is permitted for from them. Whether or not payment of these in lieu of the audio links the MLC performance royalties under the current audit fees is incurred is governed by 17 requests.174 The MLC argues that these rules governing the non-blanket section U.S.C. 115(d)(4)(D). And whether or not links may be critical to properly match 115 license.165 While the MLC proposes the license can be terminated is and pay royalties because the audio is that estimates be limited to performance governed by 17 U.S.C. 115(d)(4)(E). ‘‘the only truly authoritative evidence of royalties,166 the DLC proposes a broader Sound recording and musical work the digital use,’’ and claims that it provision covering any royalty information. With respect to the specific would not be burdensome for DMPs to calculation ‘‘input that is unable to be information required to be reported for provide them.175 Specifically, it points finally determined.’’ 167 The DLC asserts purposes of identifying each sound out that audio links have been provided that this expansion is appropriate recording embodying a musical work by certain DMPs in connection with because there are other royalty used by a DMP, the proposed rule is past settlements related to unclaimed calculation inputs, such as the derived from the statute, current regulations, and the public comments 170 See 17 U.S.C. 115(d)(4)(A)(ii)(I)(aa)–(bb). 158 DLC Reply at 17; DLC Ex Parte Letter #1 at 2. (including the specific proposals of the 171 See 37 CFR 210.16(c)(3)(v); Music Reports 159 MLC Ex Parte Letter #2 at 4. MLC and DLC). In alignment with the Initial at 12; DLC Reply Add. at A–7; MLC Reply App. C at 11; RIAA Initial at 6; Recording Academy 160 79 FR at 56201. statute, the proposed rule essentially Initial at 3; FMC Reply at 4. 161 See 17 U.S.C. 115(d)(3)(G)(i)(I)(cc). has three tiers of information: (1) Sound 172 See 37 CFR 210.16(c)(3)(iii)(C); Music Reports 162 79 FR at 56190. recording information that must always Initial at 12. 163 See 17 U.S.C. 115(d)(4)(A)(iii), (iv)(I). 173 See id. at § 385.11(a) and 385.21(c). 164 See DLC Reply at 16, Add. A–8; MLC Reply 168 DLC Reply at 16; see also DLC Initial at 15– 174 See DLC Ex Parte Letter #1 Presentation at 15; App. C at 13. 16. DLC Ex Parte Letter #2 at 3; MLC Initial at 20; MLC 165 See 37 CFR 210.16(d)(3)(i). 169 See DLC Reply at 16–17, Add. A–8; see also Reply at 18–19, App. C at 10. 166 MLC Reply App. C at 13. MLC Ex Parte Letter #2 at 7–8 (opposing the DLC’s 175 MLC Reply at 18–19; see also MLC Ex Parte 167 DLC Reply Add. at A–8. proposal). Letter #1 at 2–3; MLC Ex Parte Letter #4 at 5.

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royalties, and suggests that audio links specific tracks (or portions thereof) recordings of musical works to engage would be particularly useful to reduce when necessary, without cost to in covered activities, including pursuant the incidence of unclaimed royalties songwriters or copyright owners. The to [section 115(d)(4)](B).’’ 191 As the and ownership disputes.176 The DLC Office hopes that this matter can be Office previously cautioned, ‘‘while the contends that it would be burdensome resolved after the parties confer further, Office’s regulatory authority is relatively to require ‘‘all digital music providers to but remains open to adjusting this broad, it is obviously constrained by the engineer their systems’’ to provide aspect of the proposed rule if law Congress enacted; the Office can fill active links in monthly reporting, and developments indicate it is necessary. statutory gaps, but will not entertain suggests that identifiers serve as a In the second tier described above— proposals that conflict with the workable alternative, stating that, at sound recording information that must statute.’’ 192 least for Amazon, Apple, Google, only be reported to the extent In addition to establishing the three Pandora, and Spotify, these identifiers acquired—the rule proposes to include tiers described above, the Office further would be sufficient for the MLC to version,179 release date,180 album proposes that certain information, locate and listen to a particular track title,181 label name,182 distributor,183 primarily that covered by the second using the search feature on each DMP’s and other unique identifiers beyond and third tiers, must only be reported to consumer-facing service.177 ISRC, including catalog number,184 the extent ‘‘practicable,’’ a term defined The Office understands the MLC to universal product code,185 and any in the proposed rule. Similar to the believe that audio links will be most distributor-assigned identifier.186 arguments made with respect to the useful not in connection with In the third tier described above— collection and reporting of unaltered automated matching efforts, but rather related musical work information that data discussed above, the DLC asserts to feature on its online claiming portal, must only be reported to the extent that it would be burdensome from an similar to claiming portals used in acquired in the metadata provided by operational and engineering standpoint connection with class settlements over sound recording copyright owners and for DMPs to report additional categories unclaimed royalties or collective licensors—the rule proposes to include of data not currently reported, and that management organizations that operate musical work name,187 musical work DMPs should not be required to do so 178 claims-based systems. It is not clear copyright owner,188 and international unless it would actually improve the 193 whether links might be featured for all standard name identifier (‘‘ISNI’’) and MLC’s matching ability. The record sound recordings embodying musical interested parties information code suggests that all of the data categories works listed in the database, or only (‘‘IPI’’) for each songwriter, publisher, described above possess some level of those with missing or incomplete and musical work copyright owner.189 utility, although, as noted above, there ownership information. Either way, The Office disagrees with the MLC’s is disagreement as to the particular while the planned inclusion of audio proposal that the musical work degree of usefulness of each. It would links is commendable, the record to date information enumerated in the statute seem that different data points may be does not establish that the method by be required ‘‘to the extent otherwise of varying degrees of helpfulness which the MLC receives audio links known by the [DMP].’’ 190 This seems depending on what other data points for should be a regulatory issue, rather than directly at odds with the statute, which a work may or may not be available. The proposed rule therefore defines an operational matter potentially states that such information shall be ‘‘practicable’’ in a very specific way. resolved by MLC and DLC members, provided ‘‘to the extent acquired by the First, the proposed definition would including through the MLC’s operations [DMP] in the metadata provided by advisory committee. always require reporting of the sound recording copyright owners or For example, while the DLC suggests expressly enumerated statutory other licensors of sound recordings in that inclusion of audio links for every categories (e.g., sound recording recording reported on a monthly basis connection with the use of sound copyright owner, producer, ISRC, by each DMP would be burdensome, a songwriter, publisher, ownership share, 179 See DLC Reply Add. at A–7; MLC Reply App. few DLC members suggested in passing C at 11; RIAA Initial at 6; Recording Academy and ISWC must always be reported, to to the Office that they could just provide Initial at 3; FMC Reply at 4. the extent appropriately acquired, the MLC with a free monthly 180 See DLC Reply Add. at A–7; MLC Reply App. regardless of any associated DMP subscription in lieu of such reporting. It C at 11; RIAA Initial at 6; Recording Academy burden). Second, it would require is not clear to what extent the parties Initial at 3; FMC Reply at 4. reporting of any other applicable 181 See DLC Ex Parte Letter #1 Presentation at 15; have engaged on such logistical MLC Ex Parte Letter #4 at 11. categories of information (e.g., catalog discussions to determine if this, or other 182 See 37 CFR 210.16(c)(3)(iii)(A); Music Reports number, version, release date, ISNI, etc.) operational solutions, may serve as a Initial at 12; MLC Ex Parte Letter #4 at 11. under the same three scenarios workable alternative. The Office 183 See DLC Reply Add. at A–7; MLC Reply App. discussed above with respect to declines at this time to propose a rule C at 10. unaltered data, and for the same reasons including audio links in monthly 184 See 37 CFR 210.16(c)(3)(iii)(A); Music Reports discussed above: (1) Where the MLC has Initial at 12; MLC Ex Parte Letter #4 at 11. reporting, but encourages the parties, 185 See 37 CFR 210.16(c)(3)(iii)(B); Music Reports adopted a nationally or internationally including individual DLC members, to Initial at 12; DLC Ex Parte Letter #1 Presentation recognized standard, such as DDEX, that further collaborate upon a solution for at 15; MLC Ex Parte Letter #4 at 11. is being used by the particular DMP, the MLC portal to include access to 186 See 37 CFR 210.16(c)(3)(iii)(C); Music Reports and the information belongs to a Initial at 12. category of information required to be 187 176 MLC Ex Parte Letter #1 at 2–3. See 37 CFR 210.16(c)(3)(i); Music Reports reported under that standard; (2) where Initial at 12. 177 See DLC Ex Parte Letter #2 at 3; see also DLC 188 the information belongs to a category of Reply at 17–18; DLC Ex Parte Letter #1 Presentation Though the statute already requires at 15. The MLC disputes the utility and widespread songwriter, publisher, and respective ownership information that is reported by the existence of such identifiers. MLC Ex Parte Letter share, the publisher may not always be the #2 at 6; MLC Ex Parte Letter #4 at 5. copyright owner, and in some cases, the owner may 191 See 17 U.S.C. 115(d)(4)(A)(ii)(I)(bb); see also 178 See MLC Ex Parte Letter #4 at 5 (‘‘[I]t would be neither the publisher nor the songwriter. DLC Reply at 18 (disagreeing with the MLC’s be unfair, and economically infeasible for many 189 See 37 CFR 210.16(c)(3)(vii); Music Reports proposal for the same reason). songwriters, to require the purchase of monthly Initial at 12; MLC Ex Parte Letter #4 at 11. 192 84 FR at 49968 (citations omitted). subscriptions to each DMP service in order to fully 190 See MLC Reply App. C at 11; see also MLC 193 See DLC Ex Parte Letter #1 at 2; DLC Ex Parte utilize the statutorily-mandated claiming portal.’’). Initial at 17 n.7. Letter #3 at 2.

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particular DMP pursuant to any licensors): DDEX Party Identifier (DPID), that work,’’ but ‘‘[u]nder the new voluntary license or individual LabelName, and PLine.198 blanket license, there is no license date download license; or (3) where the Server fixation date and termination. for each individual work.’’ 204 Thus, the information belongs to a category of With respect to the MLC’s proposal to MLC believes that ‘‘the date that the information that was periodically require DMPs to report the date on work was fixed on the DMP’s server— reported by the particular DMP to its which each sound recording is first which is the initial reproduction of the licensing administrator or to copyright reproduced by the DMP on its server, work under the blanket license—is the owners directly prior to the license the rule proposes an alternative most accurate date for the beginning of availability date. The Office is also approach. As a result of the new blanket the license for that work.’’ 205 contemplating a fourth scenario for licensing system, the MLC contends that The MLC argues that including the commenters to consider: Where the the server fixation date is ‘‘required to server date in reports of usage should information belongs to a category of determine which rights owner is to be not be burdensome for DMPs because information that is/was commonly paid where one or more grants pursuant they currently possess and report this reported in the industry by a majority of to which a musical work was information.206 The DLC disagrees, DMPs of comparable size and reproduced in a sound recording has stating that not all DMPs store this sophistication to the particular DMP been terminated pursuant to Section 203 information, let alone report it.207 The either currently or prior to the license or 304 of the [Copyright] Act.’’ 199 The DLC also attacks the merits of the MLC’s availability date. As with the rules about Copyright Act permits authors or their reason for wanting the server date, but whether a DMP needs to provide heirs, under certain circumstances and at a relatively high-level.208 No other unaltered data, the Office’s proposed within certain windows of time, to commenter directly spoke to this issue, compromise seeks to appropriately terminate the exclusive or nonexclusive though one commenter with experience balance the need for the MLC to receive grant of a transfer or license of an in music publishing administration detailed reporting with the burden that author’s copyright in a work or of any suggests concurrence with the MLC’s 209 more detailed reporting may place on right under a copyright.200 The statute, position. certain DMPs.194 however, contains an exception with The MLC’s interpretation of the With respect to the term ‘‘producer,’’ respect to derivative works, stating that derivative works exception seems at the Office agrees with commenters that ‘‘[a] derivative work prepared under least colorable, and no publisher or it may be confusing and warrants authority of the grant before its songwriter (or representative 195 definition. The Office proposes to termination may continue to be utilized organization) submitted comments adopt the proposal to use the Recording under the terms of the grant after its disagreeing with what the MLC Academy’s Producers and Engineers termination, but this privilege does not characterizes as industry custom and 196 210 Wing definition. extend to the preparation after the understanding. Under the MMA, the With respect to the term ‘‘sound MLC’s dispute resolution committee termination of other derivative works recording copyright owner,’’ A2IM & will establish policies and procedures to based upon the copyrighted work RIAA raise concerns over the reporting address ownership disputes (though not covered by the terminated grant.’’ 201 of this information and its use by the resolve legal claims), and, at least where As the MLC explains it, ‘‘because the MLC, asserting that there is a disconnect there is no live controversy between sound recording is a derivative work, it between the use of the term in the parties, practices regarding the default may continue to be exploited pursuant statute and the actual information payee pursuant to the derivative works to the ‘panoply of contractual included in the digital supply chain exception is an area where the MLC may obligations that governed pre- about different parties associated with a need to adopt a policy for handling in termination uses of derivative works by given sound recording.197 In light of this the ordinary course.211 Of course, any derivative work owners or their discussion, the Office proposes that 202 songwriter or publisher (or other DMPs may satisfy their obligations to licensees.’ ’’ The MLC contends that relevant party) disagreeing with the report sound recording copyright owner the section 115 compulsory license can be part of this ‘‘panoply,’’ and therefore, information by reporting the three 204 MLC Ex Parte Letter #4 at 6–7. DDEX fields identified by A2IM & RIAA if the compulsory license ‘‘was issued 205 MLC Ex Parte Letter #2 at 6–7. as being most relevant (to the extent before the termination date, the pre- 206 See MLC Reply at 19; MLC Ex Parte Letter #1 such data is provided to DMPs by sound termination owner is paid. Otherwise, at 3; MLC Ex Parte Letter #2 at 6–7 (‘‘Server the post-termination owner is paid.’’ 203 Fixation Date is currently a mandatory field that is recording copyright owners or reported on the License Request Form from HFA.’’); The MLC further explains that ‘‘under MLC Ex Parte Letter #4 at 6–7 (‘‘[A]ll file storage 194 See also 17 U.S.C. 115(d)(4)(E)(i)(III) (one of the prior NOI regime, the license date systems log such dates.’’). the conditions of default is where a DMP provides for each particular musical work was 207 DLC Ex Parte Letter #2 at 4; DLC Ex Parte a report ‘‘that, on the whole, is . . . materially considered to be the date of the NOI for Letter #3 at 5. deficient as a result of inaccurate, missing, or 208 See DLC Ex Parte Letter #2 at 4. unreadable data, where the correct data was 209 198 See A2IM & RIAA Reply at 8–9 (explaining the See Barker Initial at 3–4 (‘‘When [termination] available to the [DMP] and required to be details of these different fields and asserting that occurs, the law allows the original copyright owner reported’’). ‘‘each may assist the MLC in different ways with of the . . . terminated work to continue to collect 195 See RIAA Initial at 11; Recording Academy royalties for certain uses licensed prior to the its task of associating sound recordings with Initial at 3; see also MLC Reply at 34–35 (explaining effective date of . . . termination of transfer, while musical works’’); see also MLC Ex Parte Letter #4 the MLC’s own confusion over the term). the new copyright owner of the work may at 10. 196 See RIAA Initial at 11; Recording Academy exclusively license all future uses, and collect 199 MLC Reply at 19; see also MLC Initial at 20; Initial at 3. royalties for those and certain earlier uses.’’). MLC Ex Parte Letter #2 at 6–7; MLC Ex Parte Letter 197 210 See Woods, 60 F.3d at 986–88. The Office does See A2IM & RIAA Reply at 8–9. Because the #4 at 6–7. main of those concerns centers around the potential not foreclose the possibility of other interpretations, 200 See 17 U.S.C. 203, 304(c). for confusion in the MLC’s public database, the but also does not find it prudent to itself elaborate 201 Office has addressed this issue in more depth in Id. at 203(b)(1), 304(c)(6)(A). upon or offer an interpretation of the scope of the connection with a separately-issued notification of 202 MLC Reply at 19 (quoting Woods v. Bourne derivative works exception in this particular inquiry. See U.S. Copyright Office, Notification of Co., 60 F.3d 978, 987 (2d Cir. 1995)); see also MLC rulemaking proceeding, which is not primarily Inquiry, Transparency of the Mechanical Licensing Ex Parte Letter #2 at 6–7; MLC Ex Parte Letter #4 focused on termination issues and which has thus Collective and Its Database of Musical Works at 6–7. far engendered relatively little commentary on this Information, Dkt. No. 2020–8, published elsewhere 203 See MLC Ex Parte Letter #2 at 6–7; MLC Ex discrete point. in this issue of the Federal Register. Parte Letter #4 at 6–7. 211 See 17 U.S.C. 115(d)(3)(K).

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MLC’s approach may also challenge section 512 or the current transition reports of usage. Rather, the Office such practice, but to the extent the period for good faith efforts made under proposes that such information be kept MLC’s approach is not invalidated, or section 115(d)(10)), or because the use by the DMP in its records of use, which superseded by precedent, it seems may have been infringing, including in must be made available to the MLC. reasonable for the MLC to want to know cases where the NOI was not valid or These particular records would be the applicable license date. appropriately served. For uses of those subject to the same five-year retention It is not clear to the Office, however, works, the effective date of the DMP’s period proposed for other records, but whether the MLC has a need for the blanket license may similarly be the since they may be pertinent to server fixation dates of musical works relevant license date for termination administering the blanket license licensed by DMPs prior to the license purposes. A record of the DMP’s decades later, the DMP would be availability date, even under its legal repertoire as of that date could be required to provide the MLC with at theory. With respect to most musical relevant to demonstrate which works least 90 days’ notice and an opportunity works first used before the license were being used at the time the blanket to claim and retrieve the records before availability date, an NOI should have license attached. To accommodate those they can be destroyed or discarded. been served on the copyright owner or instances, the rule proposes that each It generally seems reasonable to filed with the Copyright Office, or the DMP take a snapshot of its sound expect that DMPs would track dates work should have been otherwise recording database or otherwise make relevant to the licensing of sound licensed by a voluntary agreement. In an archive as it exists immediately prior recordings, and in the context of the cases where the license was obtained by to the effective date of its blanket blanket license, which was specifically service of an NOI upon the copyright license.214 adopted to increase transparency and owner, it would seem that the MLC Going forward, to accommodate those better ensure that copyright owners could continue to use the relevant NOI musical works that subsequently receive their due royalties, it seems date for termination purposes, as it become licensed pursuant to a blanket particularly reasonable to require DMPs asserts has been the customary license after the effective date of a given to provide information that may bear on practice.212 Since the MLC represents DMP’s blanket license,215 the rule termination issues that are potentially that this practice was working fairly proposes that each DMP operating clouded by the creation of the blanket well prior to the MMA, the rule does not under a blanket license keep and retain license. The Office recognizes that this now propose regulatory language on this at least one of three dates for each sound particular area is one of the more issue. And for those works used via recording embodying such a musical complicated ones in this proceeding, voluntary license, presumably the work. First, the rule proposes including and additional comments are especially parties have relevant records of this the server fixation date sought by the welcome on this topic. Content of annual reports of usage. In agreement, but in any event, addressing MLC. Because it is not clear, however, general accord with the MLC’s proposal, issues related to the administration of that this date is the best or only the Office proposes that annual reports such voluntary agreements may be potential proxy for the relevant license contain cumulative information for the outside the ambit of the proposed rule. date, the rule also proposes two other applicable fiscal year, broken down by The Office welcomes comment on this date options as reasonable proxies for month and by activity and offering, understanding. the relevant license date: The date of the including the total royalty payable, the In other cases, the effective date of a grant first authorizing the DMP’s use of total sum paid, the total adjustments DMP’s blanket license (which for any the sound recording and the date on made, the total number of payable units, currently-operating DMP should which the DMP first obtains the sound and to the extent applicable to ostensibly be the license availability recording.216 Permitting multiple calculating the royalties owed, total date) would seem to be the relevant reasonable options may also help service provider revenue, total costs of license date, including for some musical alleviate any particular operational content, total performance royalty works already being used by DMPs prior burdens that may exist with respect to deductions, and total subscribers.217 to obtaining a blanket license. For those a DMP being required to track the server Receiving these totals and having them works being used by a DMP under the date specifically. The Office seeks broken down this way seems beneficial authority of NOIs that had been filed comment specifically on this aspect of to the MLC in confirming proper with the Copyright Office, the statute the proposed rule. royalties, while not unreasonably provides that such ‘‘notices of intention The rule proposes that the required burdening DMPs, who would not have filed before the enactment date will no information described above need not to re-provide all of the information longer be effective or provide license be reported to the MLC in monthly contained in the monthly reports authority with respect to covered 214 covered by the annual reporting period. activities,’’ and so the blanket license Cf. Music Reports Initial at 3 (proposing that DMPs be required in their NOLs ‘‘to include lists Format and delivery. The Office date may become a new, relevant of sound recordings they make available to the 213 proposes, in accord with the MLC’s license date. Musical works may also public’’). proposal, that separate monthly reports have been previously used without a 215 See 17 U.S.C. 115(d)(1)(B)(i) (‘‘A blanket of usage must be delivered for each license . . . covers all musical works (or shares of license, whether because the use month during which there is any qualified for a copyright exception, such works) available for compulsory licensing under this section for purposes of engaging in activity relevant to the payment of limitation, or safe harbor (such as covered activities, except as provided in mechanical royalties for covered subparagraph (C) [discussing voluntary licenses and activities, and that an annual report 212 See id. at 115(d)(9)(A)(‘‘On the license individual download licenses].’’). Cf. U.S. availability date, a blanket license shall, without Copyright Office, Compendium of U.S. Copyright must be delivered for each year during any interruption in license authority enjoyed by Office Practices sec. 2310.3(C)(3) (3d ed. 2017) (‘‘[A] which at least one monthly report was such digital music provider, be automatically transfer that predates the existence of the required to be delivered.218 substituted for and supersede any existing copyrighted work cannot be effective (and therefore The Office proposes that reports of compulsory license previously obtained under this cannot be ‘executed’) until the work of authorship section by the digital music provider from a (and the copyright) come into existence.’’). usage must be delivered to the MLC in copyright owner to engage in 1 or more covered 216 Indeed, in many cases the Office assumes activities with respect to a musical work.’’). these three dates would likely be very close in time, 217 See MLC Reply App. C at 13–14. 213 See id. at 115(d)(9)(D)(ii). and perhaps even be identical. 218 See id. at 16.

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a machine-readable format that is DMPs are statutorily required to rely on the MLC and DLC that it would be compatible with the information the MLC and its systems to satisfy beneficial to permit individual DMPs technology systems of the MLC as certain obligations. and the MLC to agree to vary or reasonably determined by the MLC, Certifications. The Office proposes supplement the particular reporting which in turn must take into applying the current certification procedures adopted by the Office—such consideration relevant industry requirements in 37 CFR 210.16(f) and as the specific mechanics relating to standards and the potential for different 210.17(f) for monthly and annual adjustments or invoices and response degrees of sophistication among DMPs. statements of account under the non- files.228 This would permit a degree of In accord with both the MLC and DLC blanket section 115 license to monthly flexibility to help address the specific proposals, the Office does not propose and annual reports of usage under the needs of a particular DMP. The Office to provide more detailed requirements blanket license.224 The current proposes two caveats to this proposal to in the regulations, in order to leave certification requirements were adopted safeguard copyright owner interests flexibility as to the precise standards in 2014 after careful consideration by because they would not be party to any and formats.219 For this reason, the the Office,225 and the Office is such agreements. First, any voluntarily Office is not inclined to require that disinclined to relitigate the details of agreed-to changes could not materially reporting must specifically utilize these provisions unless presented with prejudice copyright owners owed DDEX, as proposed by some 220—though a strong showing that they are royalties under the blanket license. the Office notes that the MLC plans to unworkable either because of something Second, the procedures surrounding the support DDEX for reports of usage.221 specifically to do with the changes certification requirements would not be The Office further proposes to made by the MMA or some other alterable because they serve as an specifically require the MLC to offer at significant industry change that important check on the DMPs that is least two options, where one is occurred after they were adopted. ultimately to the benefit of copyright dedicated to smaller DMPs that may not Content of reports of adjustment. In owners. be reasonably capable of complying general accord with both the MLC and Documentation and records of use. with the requirements that the MLC may DLC proposals, the Office proposes that The rule proposes, in accord with the see fit to adopt for larger DMPs. This reports of adjustment contain the MLC’s proposal, to generally carry would help ensure that all those following information: (1) An forward the current rule under the non- qualifying for the blanket license can identification of the previously blanket section 115 license, whereby make use of it as a practical matter.222 delivered monthly or annual report(s) DMPs would be required to keep and The Office invites comment on this being adjusted; (2) the specific change(s) retain all records and documents aspect of the proposed rule. to such report(s), including the necessary and appropriate to support To maintain appropriate flexibility, monetary amount of the adjustment and fully all of the information set forth in the Office also proposes that royalty a detailed description of any changes to their reports of usage for a period of at payments similarly must be delivered in any of the inputs upon which least five years from the date of delivery such manner and form as the MLC may computation of the payable royalties of the particular report.229 The Office is reasonably determine. The Office depends, along with appropriate step- not inclined to shorten the retention further proposes a mechanism by which by-step calculations; (3) the particular period to three years as the DLC the MLC may modify its formatting and sound recordings and uses to which the proposes 230 given that the Office in delivery requirements after providing adjustment applies; and (4) a 2014 found it appropriate to extend the appropriate notice to DMPs. The rule description of the reason(s) for the period from three years to five years.231 proposes an extended notice period for adjustment.226 The proposed rule is also If anything, the Office may consider certain significant changes because of in general accord with the MLC and extending the retention period to seven the level of effort that could potentially DLC proposals with respect to the years to align with the statutory be involved for a DMP to comply.223 mechanisms to account for overpayment recordkeeping requirements the MMA The Office also proposes a mechanism and underpayment of royalties: an places on the MLC.232 The Office is also by which a DMP may be excused from underpayment will need to accompany not inclined to adopt the DLC’s proposal default under the blanket license and delivery of the report of adjustment, that recordkeeping requirements be any incurred late fees because of an while an overpayment will be credited subject to each DMP’s ‘‘generally untimely delivered report or payment to the DMP’s account by the MLC.227 applicable privacy and data retention where the reason for the untimeliness is These requirements strike the Office as policies,’’ and be limited merely to the either the MLC’s fault or results from an reasonable, and the proposed content ‘‘data included in’’ the report of issue with the MLC’s applicable IT should provide the MLC with sufficient usage.233 That proposal is a step in the systems. This seems like a reasonable information to confirm the adjustment wrong direction with respect to and equitable accommodation where and properly account for it to copyright transparency.234 In accordance with the owners. MMA’s requirement that records of use 219 See MLC Initial at 20; MLC Reply at 21, App. Voluntary agreements to alter process. be ‘‘made available to the [MLC] by C at 16; DLC Initial at 15; DLC Reply at 21, Add. The Office tentatively agrees with both [DMPs],’’ the rule proposes that the A–8; see also SoundExchange Initial at 16. 220 See A2IM & RIAA Reply at 11; Jessop Reply 228 at 2. 224 See MLC Reply App. C at 15 (proposing See DLC Reply Add. at A–11; MLC Reply App. C at 17. 221 MLC Reply at 21–22, 35. retention of current monthly certification); DLC Reply Add. at A–8 (proposing a monthly 229 See MLC Reply App. C at 16; 37 CFR 210.18. 222 See id. at 21–22 (‘‘While the MLC supports the 230 use of [the DDEX] format . . . it is mindful of the certification that is substantially similar to one of See DLC Reply at 23, Add. A–11. varying data formats used by DMPs with varying the current monthly certification options); Music 231 See 79 FR at 56205; see also MLC Ex Parte resources.’’); DLC Reply at 21 (stating that the Reports Initial at 13, 16–17 (proposing retention of Letter #2 at 5 (‘‘[T]he three-year audit period look regulations must ‘‘ensure that the full range of one of the current monthly certification options and back does not mean that documents dated more licensees will be able to report their usage to the one of the current annual certification options). than three years earlier are not relevant to audits.’’). MLC without substantial upfront burdens’’). 225 See 79 FR 56190. 232 See 17 U.S.C. 115(d)(3)(M)(i). 223 The Office’s proposed rule is somewhat 226 See DLC Reply Add. at A–10; MLC Reply App. 233 See DLC Reply Add. at A–11. similar to the MLC’s proposal for changing data C at 14. 234 See MLC Reply at 25–26 (‘‘Each DMP should formats or standards in the context of the musical 227 See DLC Reply Add. at A–10; MLC Reply App. not be permitted to self-determine its recordkeeping works database. See MLC Reply App. F at 22. C at 14. requirements.’’).

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MLC be entitled to reasonable access to CRJs’ Phonorecords III determination; the CRJs in 37 CFR part 385. While these records and documents upon the Office will be prepared to revise blanket licensees must deliver reports of reasonable request, subject to any these examples as necessary to align usage under section 115(d)(4)(A), SNBLs applicable confidentiality rules the with such royalty rates and terms as the are ‘‘not obligated to provide reports of Office may adopt (and the Office has CRJs may subsequently adopt. usage reflecting covered activities under concurrently published a notice of subsection (d)(4)(A),’’ but rather report D. Reports of Usage—Significant proposed rulemaking regarding under section 115(d)(6)(A)(ii).245 While Nonblanket Licensees confidentiality issues).235 that provision states that SNBL reports As noted above, the Office is As discussed in the notification of of usage are to ‘‘contain[ ] the proposing to clarify its recordkeeping inquiry, SNBLs are also required to information described in paragraph rules by enumerating several deliver reports of usage to the MLC.238 (4)(A)(ii),’’ the other requirements of nonexclusive examples of the types of Although the Office asked ‘‘how such section 115(d)(4), such as with respect records DMPs are obligated to retain and reports may differ from the reports filed to reporting in accordance with section make available to the MLC. The Office by digital music providers under the 115(c)(2)(I), formatting, adjustments, continues to generally agree with the blanket license,’’ the comments received and records of use, do not expressly ‘‘minimalist approach’’ it took in 2014 in response were fairly sparse.239 The apply.246 By not being required to report with respect to importing details from MLC argues that reports of usage for in accordance with section 115(c)(2)(I), the CRJs’ rates and terms regulations in SNBLs should be essentially the same as SNBLs are not required to deliver CPA- 37 CFR part 385, and therefore the those of DMPs operating under the certified annual reports.247 SNBLs are Office is not inclined to include the blanket license.240 While the MLC also not subject to data collection efforts level of detail contained in the MLC’s concedes various differences between under section 115(d)(4)(B) or audits comments.236 Rather, the Office blanket licensees and SNBLs, it asserts under section 115(d)(4)(D). proposes to more broadly articulate that it needs the same information With these observations in mind, it requirements encompassing what the because the MLC must (1) administer seems reasonable to fashion the MLC seeks. For example: Records the process by which unclaimed proposed rule for SNBL reports of usage accounting for non-play and other non- royalties are to be distributed to as an abbreviated version of the royalty-bearing DPDs, records of copyright owners identified in the reporting provided by blanket licensees. promotional and free trial uses required records of the MLC based on market The proposed rule for SNBLs generally to be maintained under part 385, share of usage under both statutory and tracks the proposed rule for blanket records describing each of the DMP’s voluntary licenses, and (2) administer licensees, but makes several changes, activities or offerings in sufficient detail collections of the administrative somewhat along the lines of the DLC’s to reasonably demonstrate which assessment paid by both blanket proposal. For example, provisions about activities or offerings they are under licensees and SNBLs to fund the estimates, processing, and records of use part 385 and which rates and terms MLC.241 The DLC argues that SNBL are omitted. The proposed rule also apply to them, records with sufficient reports should be different and need not omits an annual reporting requirement. information to reasonably demonstrate contain as much information because In contrast to the DLC’s proposal, the whether service revenue and total cost ‘‘they do not need to provide Office does, however, propose to require of content are properly calculated in information related to calculation or SNBLs to report their payable royalties accordance with part 385, records with payment of royalties.’’ 242 The DLC’s for covered activities under relevant sufficient information to reasonably proposal for SNBLs omits items voluntary licenses and individual demonstrate whether and how any contained in its proposal for blanket download licenses, but without royalty floor under part 385 does or licensees, such as royalty calculation reporting any underlying calculations. does not apply, and records with such data, estimates, adjustments, processing, The proposed rule also contains an 243 other information as is necessary to and records of use. The DLC does not adjustments provision so that SNBLs reasonably support and confirm all directly respond to the MLC’s have a mechanism to update anything if usage and calculations contained in assertions. Music Reports proposes that needed, such as if a play count error is each report of usage, including relevant blanket licensee and SNBL reports be discovered later on. information about subscriptions, substantially the same, except that In light of the particularly thin record bundles, devices, discount plans, and SNBL reports need not contain any on SNBLs, the Office encourages further 244 subscribers. royalty calculation information. comment on these issues to better Each DMP operating under the The statutory requirements for blanket inform the rulemaking process. For blanket license will need to know this licensees and SNBLs differ in a number example, do other commenters agree information (to the extent applicable to of material ways. Most notably, SNBLs with the MLC that the main purposes of its services), and so the Office expects do not operate under the blanket license SNBL reporting are to assist the MLC in it should not be burdensome to retain and do not pay statutory royalties to the distributing unclaimed royalties and and make available corresponding MLC. Moreover, royalties paid under collecting the administrative records.237 While described in more voluntary licenses are generally assessment? If commenters believe that generalized terms than proposed by the calculated pursuant to those private SNBL reporting should serve other MLC, the Office recognizes that the agreements, rather than being tied to purposes (for example, assisting the above list is still fairly tailored to the particular rates and terms established by MLC’s overall matching efforts), they should identify those additional aims, 238 84 FR at 49971. 235 See 17 U.S.C. 115(d)(4)(A)(iii), (iv)(I); U.S. along with any adjustments to the 239 See id. Copyright Office, Notice of Proposed Rulemaking, information the rule proposes to be Treatment of Confidential Information by the 240 MLC Initial at 20–21; see MLC Reply App. C. Mechanical Licensing Collective and Digital 241 See MLC Initial at 10–11, 20–21; MLC Reply reported. Noting that the MLC must Licensee Coordinator, Dkt. No. 2020–7, published at 21. elsewhere in this issue of the Federal Register. 242 DLC Initial at 16; see also DLC Reply at 23. 245 See 17 U.S.C. 115(e)(31). 236 See 79 FR at 56193. 243 Compare DLC Reply Add. at A–6–11 with id. 246 See id. at 115(d)(6)(A)(ii). 237 See DLC Ex Parte Letter #3 at 3 (noting the at A–12–14. 247 See id. at 115(c)(2)(I) (only requiring such DLC’s openness to this proposal). 244 Music Reports Initial at 4. reporting for ‘‘compulsory license[s]’’).

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distribute unclaimed accrued royalties PART 210—COMPULSORY LICENSE 210.28 Reports of usage for significant ‘‘to copyright owners identified in the FOR MAKING AND DISTRIBUTING nonblanket licensees. records of the collective,’’ the Office PHYSICAL AND DIGITAL § 210.21 General. also seeks comment regarding whether PHONORECORDS OF NONDRAMATIC This subpart prescribes rules for the and to what extent the MLC anticipates MUSICAL WORKS compulsory blanket license to make and incorporating SNBL-supplied ■ distribute digital phonorecord deliveries information into its public database.248 1. The authority citation for part 210 continues to read as follows: of nondramatic musical works pursuant Further, the Office solicits comment to 17 U.S.C. 115(d), including rules for Authority: 17 U.S.C. 115, 702. regarding whether the proposed rule digital music providers, significant appropriately prescribes reporting of Subpart A [Removed] nonblanket licensees, the mechanical information relevant to the MLC’s tasks licensing collective, and the digital in distributing unclaimed royalties and ■ 2. Remove subpart A. licensee coordinator. collecting the administrative Subpart B [Redesignated as Subpart § 210.22 Definitions. assessment. The Office specifically A] and §§ 210.11 Through 210.21 For purposes of this subpart: seeks comment as to what extent the [Redesignated as §§ 210.1 Through information sought by the MLC is (a) Unless otherwise specified, the 210.11] terms used have the meanings set forth relevant to the administrative in 17 U.S.C. 115(e). assessment, noting that the method for ■ 3. Redesignate subpart B as subpart A (b) A blanket licensee is a digital allocating the assessment among blanket and, in newly redesignated subpart A, music provider operating under a licensees and SNBLs adopted by the §§ 210.11 through 210.21 are redesignated as §§ 210.1 through 210.11. blanket license. CRJs is based solely on ‘‘the number of (c) The term DDEX means Digital Data unique and royalty-bearing sound Subpart A [Amended] Exchange, LLC. recordings used per month . . . in (d) The term GAAP means U.S. 249 ■ Section 115 covered activities.’’ 4. In newly redesignated subpart A: Generally Accepted Accounting ■ a. Remove ‘‘§ 210.12’’ and add in its Similarly, the Office welcomes Principles, except that if the U.S. place ‘‘§ 210.2’’; comment regarding whether the Securities and Exchange Commission ■ b. Remove ‘‘§ 210.15’’ and add in its proposed rule provides adequate (or permits or requires entities with excessive) information to the MLC for place ‘‘§ 210.5’’; ■ c. Remove ‘‘§ 210.16’’ and add in its securities that are publicly traded in the purposes of the MLC calculating market place ‘‘§ 210.6’’; U.S. to employ International Financial share for distributing unclaimed ■ d. Remove ‘‘§ 210.17’’ and add in its Reporting Standards, as issued by the 250 royalties. As noted above, the Office place ‘‘§ 210.7’’; and International Accounting Standards will separately consider any regulatory ■ e. Remove ‘‘§ 210.21’’ and add in its Board, or as accepted by the Securities activity related to the distribution of place ‘‘§ 210.11’’. and Exchange Commission if different such royalties in connection with its ■ 5. Amend newly redesignated § 210.1 from that issued by the International ongoing related policy study. by adding a sentence after the first Accounting Standards Board, in lieu of sentence to read as follows: Generally Accepted Accounting III. Subjects of Inquiry Principles, then an entity may employ § 210.1 General. The proposed rule is designed to International Financial Reporting * * * Rules governing notices of Standards as ‘‘GAAP’’ for purposes of reasonably implement a number of intention to obtain a compulsory license this section. regulatory duties assigned to the for making and distributing (e) The term IPI means interested Copyright Office under the MMA and phonorecords of nondramatic musical parties information code. facilitate the MLC’s administration of works are located in § 201.18. * * * (f) The term ISNI means international the blanket licensing system. The Office standard name identifier. solicits additional public comment on § § 210.12 through 210.20 [Added and Reserved] (g) The term ISRC means international all aspects of the proposed rule. standard recording code. ■ 6. Add reserve §§ 210.12 through (h) The term ISWC means List of Subjects in 37 CFR Part 210 210.20. ■ 7. Add a new subpart B to read as international standard musical work Copyright, Phonorecords, Recordings. follows: code. (i) The term producer means the Proposed Regulations Subpart B—Blanket Compulsory primary person(s) contracted by and For the reasons set forth in the License for Digital Uses, Mechanical accountable to the content owner for the preamble, the Copyright Office proposes Licensing Collective, and Digital task of delivering the sound recording as amending 37 CFR part 210 as follows: Licensee Coordinator a finished product. (j) The term UPC means universal Sec. product code. 210.21 General. 210.22 Definitions. § 210.23 Designation of the mechanical 210.23 Designation of the mechanical licensing collective and digital licensee 248 Id. at 115(d)(3)(J). licensing collective and digital licensee coordinator. 249 See 37 CFR 390.1 (defining ‘‘Unique Sound coordinator. The following entities are designated Recordings Count’’) (emphasis added). 210.24 Notices of blanket license. pursuant to 17 U.S.C. 115(d)(3)(B) and 250 210.25 Notices of nonblanket activity. For example, the MLC’s proposed language (d)(5)(B). Additional information seeks information specific to the part 385 210.26 Data collection and delivery efforts calculations. Does the MLC seek to take SNBL usage by digital music providers and musical regarding these entities is available on data and apply the part 385 royalty rate calculations work copyright owners. the Copyright Office’s website. used for blanket licensees as part of determining a 210.27 Reports of usage and payment for (a) Mechanical Licensing Collective, transparent and equitable manner of distribution? blanket licensees. Inc., incorporated in Delaware on March

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5, 2019, is designated as the mechanical (B) Is, or will be before the date of shall be sufficient if it includes at least licensing collective; and initial use of musical works pursuant to the following information: (b) Digital Licensee Coordinator, Inc., the blanket license, able to comply with (i) An identification of each of the incorporated in Delaware on March 20, all payments, terms, and responsibilities digital music provider’s services, 2019, is designated as the digital associated with the blanket license. including by reference to any applicable licensee coordinator. (ii) A statement that where the digital types of activities or offerings that may music provider seeks or expects to be defined in part 385 of this title, § 210.24 Notices of blanket license. engage in any activity identified in its through which musical works are, or are (a) General. This section prescribes notice of license, it has a good-faith expected to be, used pursuant to any rules under which a digital music intention to do so within a reasonable such voluntary license or individual provider completes and submits a notice period of time. download license. If such a license of license to the mechanical licensing (iii) A general description of the pertains to all of the digital music collective pursuant to 17 U.S.C. digital music provider’s service(s), or provider’s applicable services, it may 115(d)(2)(A) for purposes of obtaining a expected service(s), and the manner in state so without identifying each statutory blanket license. which it uses, or seeks to use, service. (b) Form and content. A notice of phonorecords of nondramatic musical (ii) The start and end dates. license shall be prepared in accordance works. (iii) The musical work copyright with any reasonable formatting (iv) Identification of each of the owner, identified by name and any instructions established by the following digital phonorecord delivery known and appropriate unique mechanical licensing collective, and configurations the digital music identifiers, and appropriate contact shall include all of the following provider is, or seeks to be, making as information for the musical work information: part of its covered activities: copyright owner or for an administrator (1) The full legal name of the digital (A) Permanent downloads. or other representative who has entered music provider and, if different, the (B) Limited downloads. into an applicable license on behalf of trade or consumer-facing brand name(s) (C) Interactive streams. the relevant copyright owner. (iv) A satisfactory identification of of the service(s), including any specific (D) Noninteractive streams. (E) Other configurations, any applicable catalog exclusions. offering(s), through which the digital (v) At the digital music provider’s music provider is engaging, or seeks to accompanied by a brief description. (v) Identification of each of the option, and in lieu of providing the engage, in any covered activity. information listed in paragraph (b)(8)(iv) (2) The full address, including a following service types the digital music provider offers, or seeks to offer, as part of this section, a list of all covered specific number and street name or rural musical works, identified by route, of the place of business of the of its covered activities (the digital music provider may, but is not required appropriate unique identifiers. digital music provider. A post office box (c) Certification and signature. The or similar designation will not be to, associate specific service types with specific digital phonorecord delivery notice of license shall be signed by an sufficient except where it is the only appropriate duly authorized officer or address that can be used in that configurations or with particular types of activities or offerings that may be representative of the digital music geographic location. provider. The signature shall be (3) A telephone number and email defined in part 385 of this title): (A) Subscriptions. accompanied by the name and title of address for the digital music provider (B) Bundles. the person signing the notice and the where an individual responsible for (C) Lockers. date of the signature. The notice may be managing the blanket license can be (D) Discounted, but not free-to-the- signed electronically. The person reached. user, services. signing the notice shall certify that he or (4) Any website(s), software (E) Free-to-the-user services. she has appropriate authority to submit application(s), or other online (F) Other applicable services, the notice of license to the mechanical locations(s) where the digital music accompanied by a brief description. licensing collective on behalf of the provider’s applicable service(s) is/are, or (vi) Any other information the digital digital music provider and that all expected to be, made available. music provider wishes to provide. information submitted as part of the (5) A description sufficient to (6) The date, or expected date, of notice is true, accurate, and complete to reasonably establish the digital music initial use of musical works pursuant to the best of the signer’s knowledge, provider’s eligibility for a blanket the blanket license. information, and belief, and is provided license and to provide reasonable notice (7) Identification of any amendment in good faith. to the mechanical licensing collective, made pursuant to paragraph (f) of this (d) Submission, fees, and acceptance. copyright owners, and songwriters of section, including the submission date Except as provided by 17 U.S.C. the manner in which the digital music of the notice being amended. 115(d)(9)(A), to obtain a blanket license, provider is engaging, or seeks to engage, (8) A description of any applicable a digital music provider must submit a in any covered activity pursuant to the voluntary license or individual notice of license to the mechanical blanket license. Such description shall download license the digital music licensing collective. Notices of license be sufficient if it includes at least the provider is, or expects to be, operating shall be submitted to the mechanical following information: under concurrently with the blanket licensing collective in a manner (i) A statement that the digital music license that is sufficient for the reasonably determined by the collective. provider has a good-faith belief, mechanical licensing collective to fulfill No fee may be charged for submitting informed by review of relevant law and its obligations under 17 U.S.C. notices of license. Upon submitting a regulations, that it: 115(d)(3)(G)(i)(I)(bb). This description notice of license to the mechanical (A) Satisfies all requirements to be should be provided as an addendum to licensing collective, a digital music eligible for a blanket license, including the rest of the notice of license to help provider shall be provided with a that it satisfies the eligibility criteria to preserve any confidentiality it may be prompt response from the collective be considered a digital music provider entitled to under regulations adopted by confirming receipt of the notice and the pursuant to 17 U.S.C. 115(e)(8); and the Copyright Office. Such description date of receipt. The mechanical

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licensing collective shall send any information from a digital music (3) A telephone number and email rejection of a notice of license to both provider that is not required by this address for the significant nonblanket the street address and email address section, which the digital music licensee where an individual provided in the notice. provider may voluntarily elect to responsible for managing licenses (e) Harmless errors. Errors in the provide, provided that the collective associated with covered activities can be submission or content of a notice of may not represent that such information reached. license that do not materially affect the is required to comply with the terms of (4) Any website(s), software adequacy of the information required to this section. application(s), or other online serve the purposes of 17 U.S.C. 115(d) (i) Public access. The mechanical locations(s) where the significant shall be deemed harmless, and shall not licensing collective shall maintain a nonblanket licensee’s applicable render the notice invalid or provide a current, free, and publicly accessible service(s) is/are, or expected to be, made basis for the mechanical licensing and searchable online list of all blanket available. collective to reject a notice or terminate licenses that, subject to any applicable (5) A description sufficient to a blanket license. This paragraph (e) confidentiality rules established by the reasonably establish the licensee’s shall apply only to errors made in good Copyright Office, includes: qualifications as a significant faith and without any intention to (1) All information contained in each nonblanket licensee and to provide deceive, mislead, or conceal relevant notice of license, including amended reasonable notice to the mechanical information. and rejected notices; licensing collective, digital licensee (f) Amendments. A digital music (2) Contact information for all blanket coordinator, copyright owners, and provider may submit an amended notice licensees; songwriters of the manner in which the of license to cure any deficiency in a (3) The effective dates of all blanket significant nonblanket licensee is rejected notice pursuant to 17 U.S.C. licenses; engaging, or expects to engage, in any 115(d)(2)(A). A digital music provider covered activity. Such description shall operating under a blanket license must (4) For any amended or rejected notice, a clear indication of its amended be sufficient if it includes at least the submit a new notice of license within 45 following information: calendar days after any of the or rejected status and its relationship to other relevant notices; (i) A statement that the significant information required by paragraphs nonblanket licensee has a good-faith (b)(1) through (6) of this section (5) For any rejected notice, the collective’s reason(s) for rejecting it; and belief, informed by review of relevant contained in the notice on file with the law and regulations, that it satisfies all (6) For any terminated blanket mechanical licensing collective has requirements to qualify as a significant license, a clear indication of its changed. An amended notice shall nonblanket licensee under 17 U.S.C. terminated status, the date of indicate that it is an amendment and 115(e)(31). termination, and the collective’s shall contain the submission date of the (ii) A statement that where the reason(s) for terminating it. notice being amended. The mechanical significant nonblanket licensee expects licensing collective shall retain copies § 210.25 Notices of nonblanket activity. to engage in any activity identified in its of all prior notices of license submitted (a) General. This section prescribes notice of nonblanket activity, it has a by a digital music provider. Where the good-faith intention to do so within a information required by paragraph (b)(8) rules under which a significant nonblanket licensee completes and reasonable period of time. of this section has changed, instead of (iii) A general description of the submitting an amended notice of submits a notice of nonblanket activity to the mechanical licensing collective significant nonblanket licensee’s license, the digital music provider must service(s), or expected service(s), and promptly deliver updated information pursuant to 17 U.S.C. 115(d)(6)(A) for purposes of notifying the mechanical the manner in which it uses, or expects to the mechanical licensing collective in to use, phonorecords of nondramatic an alternative manner reasonably licensing collective that the licensee has been engaging in covered activities. musical works. determined by the collective. To the (iv) Identification of each of the (b) Form and content. A notice of extent commercially reasonable, the following digital phonorecord delivery nonblanket activity shall be prepared in digital music provider must deliver configurations the significant accordance with any reasonable such updated information at least 30 nonblanket licensee is, or expects to be, formatting instructions established by calendar days before delivering a report making as part of its covered activities: the mechanical licensing collective, and of usage covering a period where such (A) Permanent downloads. license is in effect. shall include all of the following (B) Limited downloads. (g) Transition to blanket licenses. information: (C) Interactive streams. Where a digital music provider obtains (1) The full legal name of the (D) Noninteractive streams. a blanket license automatically pursuant significant nonblanket licensee and, if (E) Other configurations, to 17 U.S.C. 115(d)(9)(A) and seeks to different, the trade or consumer-facing accompanied by a brief description. continue operating under the blanket brand name(s) of the service(s), (v) Identification of each of the license, a notice of license must be including any specific offering(s), following service types the significant submitted to the mechanical licensing through which the significant nonblanket licensee offers, or expects to collective within 45 calendar days after nonblanket licensee is engaging, or offer, as part of its covered activities (the the license availability date. In such expects to engage, in any covered significant nonblanket licensee may, but cases, the blanket license shall continue activity. is not required to, associate specific to be effective as of the license (2) The full address, including a service types with specific digital availability date, rather than the date on specific number and street name or rural phonorecord delivery configurations or which the notice is submitted to the route, of the place of business of the with particular types of activities or collective. significant nonblanket licensee. A post offerings that may be defined in part 385 (h) Additional information. Nothing office box or similar designation will of this title): in this section shall be construed to not be sufficient except where it is the (A) Subscriptions. prohibit the mechanical licensing only address that can be used in that (B) Bundles. collective from seeking additional geographic location. (C) Lockers.

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(D) Discounted, but not free-to-the- notice of nonblanket activity with its and provide information to the user, services. report of usage that is next due after any mechanical licensing collective that (E) Free-to-the-user services. of the information required by may assist the collective in matching (F) Other applicable services, paragraphs (b)(1) through (7) of this musical works to sound recordings accompanied by a brief description. section contained in the notice on file embodying those works and identifying (vi) Any other information the with the mechanical licensing collective and locating the copyright owners of significant nonblanket licensee wishes has changed. An amended notice shall those works. to provide. indicate that it is an amendment and (b) Digital music providers. (1) (6) Acknowledgement of whether the shall contain the submission date of the Pursuant to 17 U.S.C. 115(d)(4)(B), in significant nonblanket licensee is notice being amended. The mechanical addition to obtaining sound recording operating under one or more individual licensing collective shall retain copies names and featured artists and download licenses. of all prior notices of nonblanket providing them in reports of usage, a (7) The date of initial use of musical activity submitted by a significant digital music provider operating under works pursuant to any covered activity. nonblanket licensee. a blanket license shall engage in good- (8) Identification of any amendment (g) Transition to blanket licenses. faith, commercially reasonable efforts to made pursuant to paragraph (f) of this Where a digital music provider that obtain from sound recording copyright section, including the submission date would otherwise qualify as a significant owners and other licensors of sound of the notice being amended. nonblanket licensee obtains a blanket recordings made available through the (c) Certification and signature. The license automatically pursuant to 17 service(s) of such digital music provider notice of nonblanket activity shall be U.S.C. 115(d)(9)(A) and does not seek to the following information for each such signed by an appropriate duly operate under the blanket license, if sound recording embodying a musical authorized officer or representative of such licensee submits a valid notice of work: the significant nonblanket licensee. The nonblanket activity within 45 calendar (i) The sound recording copyright signature shall be accompanied by the days after the license availability date in owner(s), producer(s), ISRC(s), and any name and title of the person signing the accordance with 17 U.S.C. other information commonly used in the notice and the date of the signature. The 115(d)(6)(A)(i), such licensee shall not industry to identify sound recordings notice may be signed electronically. The be considered to have ever operated and match them to the musical works person signing the notice shall certify under the statutory blanket license until the sound recordings embody as may be that he or she has appropriate authority such time as the licensee submits a required by the Copyright Office to be to submit the notice of nonblanket valid notice of license pursuant to 17 included in reports of usage provided to activity to the mechanical licensing U.S.C. 115(d)(2)(A). the mechanical licensing collective by collective on behalf of the significant (h) Additional information. Nothing digital music providers. nonblanket licensee and that all in this section shall be construed to (ii) With respect to the musical work information submitted as part of the prohibit the mechanical licensing embodied in such sound recording, the notice is true, accurate, and complete to collective from seeking additional songwriter(s), publisher name(s), the best of the signer’s knowledge, ownership share(s), ISWC(s), and any information from a significant information, and belief, and is provided other musical work authorship or nonblanket licensee that is not required in good faith. ownership information as may be by this section, which the significant (d) Submission, fees, and acceptance. required by the Copyright Office to be nonblanket licensee may voluntarily Notices of nonblanket activity shall be included in reports of usage provided to elect to provide, provided that the submitted to the mechanical licensing the mechanical licensing collective by collective may not represent that such collective in a manner reasonably digital music providers. information is required to comply with determined by the collective. No fee (2) As used in paragraph (b)(1) of this the terms of this section. may be charged for submitting notices of section, ‘‘good-faith, commercially (i) Public access. The mechanical nonblanket activity. Upon submitting a reasonable efforts to obtain’’ shall licensing collective shall maintain a notice of nonblanket activity to the include performing all of the following current, free, and publicly accessible mechanical licensing collective, a acts, subject to paragraph (b)(3) of this and searchable online list of all significant nonblanket licensee shall be section: significant nonblanket licensees that, provided with a prompt response from (i) Where the digital music provider subject to any applicable confidentiality the collective confirming receipt of the has not obtained from applicable sound rules established by the Copyright notice and the date of receipt. recording copyright owners or other (e) Harmless errors. Errors in the Office, includes: licensors of sound recordings (or their (1) All information contained in each submission or content of a notice of representatives) all of the information notice of nonblanket activity, including nonblanket activity that do not listed in paragraph (b)(1) of this section, amended notices; materially affect the adequacy of the or where any such information was (2) Contact information for all information required to serve the obtained before [effective date of final significant nonblanket licensees; rule] and is no longer in such form that purposes of 17 U.S.C. 115(d) shall be (3) The date of receipt of each notice the digital music provider can use it to deemed harmless, and shall not render of nonblanket activity; and the notice invalid or provide a basis for (4) For any amended notice, a clear comply with paragraph (b)(2)(iii) of this the mechanical licensing collective or indication of its amended status and its section, the digital music provider shall digital licensee coordinator to engage in relationship to other relevant notices. have an ongoing and continuous legal enforcement efforts under 17 obligation to, at least on a quarterly U.S.C. 115(d)(6)(C). This paragraph (e) § 210.26 Data collection and delivery basis, request in writing such shall apply only to errors made in good efforts by digital music providers and information from applicable sound faith and without any intention to musical work copyright owners. recording copyright owners and other deceive, mislead, or conceal relevant (a) General. This section prescribes licensors of sound recordings. Such information. rules under which digital music requests may be directed to a (f) Amendments. A significant providers and musical work copyright representative of any such owner or nonblanket licensee must submit a new owners shall engage in efforts to collect licensor.

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(ii) With respect to any of the the database, information regarding the license, including reports of adjustment. information listed in paragraph (b)(1) of names of the sound recordings in which As used in this section, it does not refer this section that the digital music that copyright owner’s musical works to reports required to be delivered by provider has obtained from applicable (or shares thereof) are embodied, to the significant nonblanket licensees under sound recording copyright owners or extent practicable. 17 U.S.C. 115(d)(6)(A)(ii) and § 210.28. other licensors of sound recordings (or (2) As used in paragraph (c)(1) of this (2) A monthly report of usage is a their representatives), the digital music section, ‘‘information regarding the report of usage accompanying monthly provider shall have an ongoing and names of the sound recordings’’ shall royalty payments identified in 17 U.S.C. continuous obligation to, on a periodic include, for each applicable sound 115(c)(2)(I) and 17 U.S.C. 115(d)(4)(A), basis or as otherwise requested by the recording: and required to be delivered by a mechanical licensing collective, request (i) Sound recording name(s), blanket licensee to the mechanical in writing from such owners or licensors including any alternative or licensing collective under the blanket any updates to any such information. parenthetical titles for the sound license. Such requests may be directed to a recording; (3) An annual report of usage is a representative of any such owner or (ii) Featured artist(s); and statement of account identified in 17 licensor. (iii) ISRC(s). U.S.C. 115(c)(2)(I), and required to be (iii) Any information listed in (3) As used in paragraph (c)(1) of this delivered by a blanket licensee annually paragraph (b)(1) of this section, section, ‘‘commercially reasonable to the mechanical licensing collective including any updates to such efforts to deliver’’ shall include: under the blanket license. information, provided to the digital (i) Periodically monitoring the (4) A report of adjustment is a report music provider by sound recording musical works database for missing and delivered by a blanket licensee to the copyright owners or other licensors of inaccurate sound recording information mechanical licensing collective under sound recordings (or their relating to applicable musical works; the blanket license adjusting one or representatives) shall be delivered to the and more previously delivered monthly mechanical licensing collective in (ii) After finding any of the reports of usage or annual reports of reports of usage in accordance with information listed in paragraph (c)(2) of usage, including related royalty § 210.27(e). this section to be missing or inaccurate payments. (3) Notwithstanding paragraph (b)(2) as to any applicable musical work, (c) Content of monthly reports of of this section, a digital music provider promptly delivering complete and usage. A monthly report of usage shall may satisfy its obligations under 17 correct sound recording information to be clearly and prominently identified as U.S.C. 115(d)(4)(B) with respect to a the mechanical licensing collective, by a ‘‘Monthly Report of Usage Under particular sound recording by arranging, any means reasonably available to the Compulsory Blanket License for Making or collectively arranging with others, for copyright owner, if the information is and Distributing Phonorecords,’’ and the mechanical licensing collective to known to or otherwise within the shall include a clear statement of the receive the information listed in possession, custody, or control of the following information: paragraph (b)(1) of this section from an copyright owner. (1) The period (month and year) authoritative source, such as the covered by the monthly report of usage. collective designated by the Copyright § 210.27 Reports of usage and payment for (2) The full legal name of the blanket Royalty Judges to collect and distribute blanket licensees. licensee and, if different, the trade or royalties under the statutory licenses (a) General. This section prescribes consumer-facing brand name(s) of the established in 17 U.S.C. 112 and 114, rules for the preparation and delivery of service(s), including any specific provided that such digital music reports of usage and payment of offering(s), through which the blanket provider does not know such source to royalties for the making and distribution licensee engages in covered activities. If lack such information for the relevant of phonorecords of nondramatic musical the blanket licensee has a unique DDEX sound recording. Satisfying the works to the mechanical licensing identifier number, it must also be requirements of 17 U.S.C. 115(d)(4)(B) collective by a digital music provider provided. in this manner does not excuse a digital operating under a blanket license (3) The full address, including a music provider from having to report pursuant to 17 U.S.C. 115(d). A blanket specific number and street name or rural sound recording and musical work licensee shall report and pay royalties to route, of the place of business of the information in accordance with the mechanical licensing collective on a blanket licensee. A post office box or § 210.27(e). monthly basis in accordance with 17 similar designation will not be sufficient (4) The requirements of paragraph (b) U.S.C. 115(c)(2)(I), 17 U.S.C. except where it is the only address that of this section are without prejudice to 115(d)(4)(A), and this section. A blanket can be used in that geographic location. what a court of competent jurisdiction licensee shall also report to the (4) For each sound recording may determine constitutes good-faith, mechanical licensing collective on an embodying a musical work that is used commercially reasonable efforts for annual basis in accordance with 17 by the blanket licensee in covered purposes of eligibility for the limitation U.S.C. 115(c)(2)(I) and this section. A activities during the applicable monthly on liability described in 17 U.S.C. blanket licensee may make adjustments reporting period, a detailed statement, 115(d)(10). to its reports of usage and royalty from which the mechanical licensing (c) Musical work copyright owners. (1) payments in accordance with this collective may separate reported Pursuant to 17 U.S.C. 115(d)(3)(E)(iv), section. information for each applicable activity each musical work copyright owner (b) Definitions. For purposes of this or offering including as may be defined with any musical work listed in the section, in addition to those terms in part 385 of this title, of all of: musical works database shall engage in defined in § 210.22: (i) The royalty payment and commercially reasonable efforts to (1) The term report of usage, unless accounting information required by deliver to the mechanical licensing otherwise specified, refers to all reports paragraph (d) of this section; and collective, including for use in the of usage required to be delivered by a (ii) The sound recording and musical musical works database, to the extent blanket licensee to the mechanical work information required by paragraph such information is not then available in licensing collective under the blanket (e) of this section.

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(5) For any voluntary license or licensing collective to provide a detailed (3) Good faith. All information and individual download license in effect and step-by-step accounting of the calculations provided pursuant to during the applicable monthly reporting calculation of such royalties under paragraph (d) of this section shall be period, the information required under applicable provisions of this section and made in good faith and on the basis of § 210.24(b)(8). If this information has part 385 of this title, sufficient to allow the best knowledge, information, and been separately provided to the each applicable copyright owner to belief of the blanket licensee at the time mechanical licensing collective, it need assess the manner in which the the report of usage is delivered to the not be contained in the monthly report mechanical licensing collective, using mechanical licensing collective, and of usage, provided the report states that the blanket licensee’s information, subject to any additional accounting and the information has been provided determined the royalty owed and the certification requirements under 17 separately and includes the date on accuracy of the royalty calculations, U.S.C. 115 and this section. which such information was last including but not limited to the number (e) Sound recording and musical work provided to the mechanical licensing of payable units, including, as information. (1) The following collective. applicable, permanent downloads, information must be provided for each (6) Where the blanket licensee is not plays, and constructive plays, for each sound recording embodying a musical entitled to an invoice under paragraph reported sound recording, whether work required to be reported under (g)(1) of this section: pursuant to a blanket license, voluntary paragraph (c)(4)(ii) of this section: (i) The total royalty payable by the license, or individual download license. (i) Identifying information for the blanket licensee under the blanket (2) Estimates. (i) Where computation sound recording, including but not license for the applicable monthly of the royalties payable by the blanket limited to: reporting period, computed in licensee under the blanket license (A) Sound recording name(s), accordance with the requirements of depends on an input that is unable to be including, to the extent practicable, all this section and part 385 of this title, finally determined at the time the report known alternative and parenthetical and including detailed information of usage is delivered to the mechanical titles for the sound recording; regarding how the royalty was licensing collective and where the (B) Featured artist(s); computed, with such total royalty reason the input cannot be finally (C) Unique identifier(s) assigned by payable broken down by each determined is outside of the blanket the blanket licensee, if any, including applicable activity or offering including licensee’s control (e.g., as applicable, any code(s) that can be used to locate as may be defined in part 385 of this the amount of applicable public and listen to the sound recording title; and performance royalties and the amount of through the blanket licensee’s public- (ii) The amount of late fees, if applicable consideration for sound facing service; applicable, included in the payment recording copyright rights), a reasonable (D) Playing time; and associated with the monthly report of estimation of such input, determined in (E) To the extent acquired by the usage. accordance with GAAP, may be used or blanket licensee in connection with its (d) Royalty payment and accounting provided by the blanket licensee. use of sound recordings of musical information. The royalty payment and Royalty payments based on such works to engage in covered activities, accounting information called for by estimates shall be adjusted pursuant to including pursuant to 17 U.S.C. paragraph (c)(4)(i) of this section shall paragraph (k) of this section after being 115(d)(4)(B), and to the extent consist of the following: finally determined. practicable: (1) Calculations. (i) Where the blanket (ii) Where the blanket licensee is not (1) Sound recording copyright licensee is not entitled to an invoice entitled to an invoice under paragraph owner(s); under paragraph (g)(1) of this section, a (g)(1) of this section, and the blanket (2) Producer(s); detailed and step-by-step accounting of licensee is dependent upon the (3) ISRC(s); the calculation of royalties payable by mechanical licensing collective to (4) Any other unique identifier(s) for the blanket licensee under the blanket confirm usage subject to applicable or associated with the sound recording, license under applicable provisions of voluntary licenses and individual including any unique identifier(s) for this section and part 385 of this title, download licenses, the blanket licensee any associated album, including but not sufficient to allow the mechanical shall compute the royalties payable by limited to: licensing collective to assess the manner the blanket licensee under the blanket (i) Catalog number(s); in which the blanket licensee license using a reasonable estimation of (ii) UPC(s); and determined the royalty owed and the the amount of payment for such non- (iii) Unique identifier(s) assigned by accuracy of the royalty calculations, blanket usage to be deducted from any distributor; including but not limited to the number royalties that would otherwise be due (5) Version(s); of payable units, including, as under the blanket license, determined in (6) Release date(s); applicable, permanent downloads, accordance with GAAP. Royalty (7) Album title(s); plays, and constructive plays, for each payments based on such estimates shall (8) Label name(s); reported sound recording, whether be adjusted pursuant to paragraph (k) of (9) Distributor(s); and pursuant to a blanket license, voluntary this section after the mechanical (10) Other information commonly license, or individual download license. licensing collective confirms such used in the industry to identify sound (ii) Where the blanket licensee is amount to be deducted and notifies the recordings and match them to the entitled to an invoice under paragraph blanket licensee under paragraph (g)(2) musical works the sound recordings (g)(1) of this section, all information of this section. Where the blanket embody. necessary for the mechanical licensing licensee is entitled to an invoice under (ii) Identifying information for the collective to compute, in accordance paragraph (g)(1) of this section, the musical work embodied in the reported with the requirements of this section blanket licensee shall not provide an sound recording, to the extent acquired and part 385 of this title, the royalties estimate of or deduct such amount in by the blanket licensee in the metadata payable by the blanket licensee under the information delivered to the provided by sound recording copyright the blanket license, and all information mechanical licensing collective under owners or other licensors of sound necessary to enable the mechanical paragraph (d)(1)(ii) of this section. recordings in connection with the use of

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sound recordings of musical works to under paragraph (e)(1) of this section by (1) The fiscal year covered by the engage in covered activities, including reporting a modified version of any annual report of usage. pursuant to 17 U.S.C. 115(d)(4)(B), and information belonging to a category of (2) The full legal name of the blanket to the extent practicable: information that was not periodically licensee and, if different, the trade or (A) Information concerning revised, re-titled, or otherwise edited or consumer-facing brand name(s) of the authorship and ownership of the modified by the particular blanket service(s), including any specific applicable rights in the musical work licensee prior to the license availability offering(s), through which the blanket embodied in the sound recording, date, and in no case shall a modified licensee engages in covered activities. If including but not limited to: version of any unique identifier the blanket licensee has a unique DDEX (1) Songwriter(s); (including but not limited to ISRC and identifier number, it must also be (2) Publisher(s) with applicable U.S. ISWC), playing time, or release date be provided. rights; sufficient to satisfy a blanket licensee’s (3) The full address, including a (3) Musical work copyright owner(s); obligations under paragraph (e)(1) of specific number and street name or rural (4) ISNI(s) and IPI(s) for each such this section. route, of the place of business of the songwriter, publisher, and musical work (4) Any obligation under paragraph blanket licensee. A post office box or copyright owner; and (e)(1) of this section concerning similar designation will not be sufficient (5) Respective ownership shares of information about sound recording except where it is the only address that each such musical work copyright copyright owners may be satisfied by can be used in that geographic location. owner; reporting the information for applicable (4) The following information, (B) ISWC(s) for the musical work sound recordings provided to the cumulative for the applicable annual embodied in the sound recording; and blanket licensee by sound recording reporting period, for each month for (C) Musical work name(s) for the copyright owners or other licensors of each applicable activity or offering musical work embodied in the sound sound recordings (or their including as may be defined in part 385 recording, including any alternative or representatives) contained in each of the of this title, and broken down by month parenthetical titles for the musical work. following DDEX fields: DDEX Party and by each such applicable activity or (iii) Whether the blanket licensee, or offering: any corporate parent or subsidiary of the Identifier (DPID), LabelName, and PLine. Where a blanket licensee (i) The total royalty payable by the blanket licensee, is a copyright owner of blanket licensee under the blanket the musical work embodied in the acquires this information in addition to other information identifying a relevant license, computed in accordance with sound recording. the requirements of this section and part (2) Subject to paragraph (e)(3) of this sound recording copyright owner, all such information must be reported to 385 of this title. section, where any of the information (ii) The total sum paid to the called for by paragraph (e)(1) of this the extent practicable. (5) As used in paragraph (e) of this mechanical licensing collective under section is acquired by the blanket the blanket license, including the licensee from sound recording copyright section, it is practicable to provide the enumerated information if: amount of any adjustment delivered owners or other licensors of sound contemporaneously with the annual recordings (or their representatives), and (i) It belongs to a category of information expressly required by the report of usage. the blanket licensee revises, re-titles, or (iii) The total adjustment(s) made by enumerated list of information otherwise edits or modifies the any report of adjustment adjusting any contained in 17 U.S.C. information, it shall be sufficient for the monthly report of usage covered by the 115(d)(4)(A)(ii)(I)(aa) or (bb); blanket licensee to report either the applicable annual reporting period, (ii) Where the mechanical licensing originally acquired version or the including any adjustment made in collective has adopted a particular modified version of such information to connection with the annual report of nationally or internationally recognized satisfy its obligations under paragraph usage as described in paragraph (k)(1) of reporting or data standard or format (e)(1) of this section, unless one or more this section. of the following scenarios apply, in (e.g., DDEX) that is being used by the (iv) The total number of payable units, which case either the unaltered version particular blanket licensee, it belongs to including, as applicable, permanent or both versions must be reported: a category of information required to be downloads, plays, and constructive (i) If the mechanical licensing reported under such standard or format; plays, for each sound recording used, collective has adopted a particular (iii) It belongs to a category of whether pursuant to a blanket license, nationally or internationally recognized information that is reported by the voluntary license, or individual reporting or data standard or format particular blanket licensee pursuant to download license. (e.g., DDEX) that is being used by the any voluntary license or individual (v) To the extent applicable to the particular blanket licensee, and either download license; or calculation of royalties owed by the the unaltered version or both versions (iv) It belongs to a category of blanket licensee under the blanket are required to be reported under such information that was periodically license: standard or format. reported by the particular blanket (A) Total service provider revenue, as (ii) Either the unaltered version or licensee prior to the license availability may be defined in part 385 of this title. both versions are reported by the date. (B) Total costs of content, as may be particular blanket licensee pursuant to (f) Content of annual reports of usage. defined in part 385 of this title. any voluntary license or individual An annual report of usage, covering the (C) Total deductions of performance download license. full fiscal year of the blanket licensee, royalties, as may be defined in and (iii) Either the unaltered version or shall be clearly and prominently permitted by part 385 of this title. both versions were periodically reported identified as an ‘‘Annual Report of (D) Total subscribers, as may be by the particular blanket licensee prior Usage Under Compulsory Blanket defined in part 385 of this title. to the license availability date. License for Making and Distributing (5) The amount of late fees, if (3) Notwithstanding paragraph (e)(2) Phonorecords,’’ and shall include a applicable, included in any payment of this section, a blanket licensee shall clear statement of the following associated with the annual report of not be able to satisfy its obligations information: usage.

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(g) Processing and timing. (1) Each (g)(1) of this section, the mechanical period runs for each such triggering monthly report of usage and related licensing collective shall deliver such event. royalty payment must be delivered to invoice to the blanket licensee no later (h) Format and delivery. (1) Reports of the mechanical licensing collective no than 40 calendar days after the end of usage shall be delivered to the later than 45 calendar days after the end the applicable monthly reporting mechanical licensing collective in a of the applicable monthly reporting period. machine-readable format that is period. Where a monthly report of usage (vi) The mechanical licensing compatible with the information satisfying the requirements of 17 U.S.C. collective shall deliver a response file to technology systems of the mechanical 115 and this section is delivered to the the blanket licensee if requested by the licensing collective as reasonably mechanical licensing collective no later blanket licensee. Where the blanket determined by the mechanical licensing than 15 calendar days after the end of licensee is entitled to an invoice under collective and set forth on its website, the applicable monthly reporting paragraph (g)(1) of this section, the taking into consideration relevant period, the blanket licensee shall be mechanical licensing collective shall industry standards and the potential for entitled to receive an invoice from the deliver the response file to the blanket different degrees of sophistication mechanical licensing collective setting licensee contemporaneously with such among blanket licensees. The forth the royalties payable by the invoice. Where the blanket licensee is mechanical licensing collective must blanket licensee under the blanket not entitled to an invoice under offer at least two options, where one is license for the applicable monthly paragraph (g)(1) of this section, the dedicated to smaller blanket licensees reporting period, which shall be broken mechanical licensing collective shall that may not be reasonably capable of down by each applicable activity or deliver the response file to the blanket complying with the requirements of a offering including as may be defined in licensee no later than 70 calendar days reporting or data standard or format that part 385 of this title. after the end of the applicable monthly the mechanical licensing collective may (2) After receiving a monthly report of reporting period. In all cases, the see fit to adopt for larger blanket usage, the mechanical licensing response file shall contain such licensees with more sophisticated collective shall engage in the following information as is common in the operations. Nothing in this section shall actions, among any other actions industry to be reported in response files, be construed as prohibiting the required of it: backup files, and any other similar such mechanical licensing collective from (i) The mechanical licensing files provided to digital music providers adopting more than two reporting or collective shall engage in efforts to by applicable third-party administrators, data standards or formats. identify the musical works embodied in (2) Royalty payments shall be and shall include the results of the sound recordings reflected in such delivered to the mechanical licensing process described in paragraphs (g)(2)(i) report, and the copyright owners of such collective in such manner and form as through (iv) of this section on a track- musical works (and shares thereof). the mechanical licensing collective may by-track and ownership-share basis, (ii) The mechanical licensing reasonably determine and set forth on with updates to reflect any new results collective shall engage in efforts to its website. A report of usage and its from the previous month. confirm uses of musical works subject to related royalty payment may be voluntary licenses and individual (3) Each annual report of usage and, delivered together or separately, but if download licenses, and, if applicable, if any, related royalty payment must be delivered separately, the payment must the corresponding amounts to be delivered to the mechanical licensing include information reasonably deducted from royalties that would collective no later than the 20th day of sufficient to allow the mechanical otherwise be due under the blanket the sixth month following the end of the licensing collective to match the report license. fiscal year covered by the annual report of usage to the payment. (iii) Where the blanket licensee is not of usage. (3) The mechanical licensing entitled to an invoice under paragraph (4) The required timing for any report collective may modify the requirements (g)(1) of this section, the mechanical of adjustment and, if any, related royalty it adopts under paragraphs (h)(1) and (2) licensing collective shall engage in payment shall be as follows: of this section at any time, provided that efforts to confirm proper payment of the (i) Where a report of adjustment advance notice of any such change is royalties payable by the blanket licensee adjusting a monthly report of usage is reflected on its website and delivered to under the blanket license for the not combined with an annual report of blanket licensees using the contact applicable monthly reporting period, usage, as described in paragraph (k)(1) information provided in each respective computed in accordance with the of this section, a report of adjustment licensee’s notice of license. A blanket requirements of this section and part adjusting a monthly report of usage licensee shall not be required to comply 385 of this title, after accounting for, if must be delivered to the mechanical with any such change before the first applicable, amounts to be deducted licensing collective after delivery of the reporting period ending at least 30 under paragraph (g)(2)(ii) of this section. monthly report of usage being adjusted calendar days after delivery of such (iv) Where the blanket licensee is and before delivery of the annual report notice, unless such change is a entitled to an invoice under paragraph of usage for the annual period covering significant change, in which case, (g)(1) of this section, the mechanical such monthly report of usage. compliance shall not be required before licensing collective shall engage in (ii) A report of adjustment adjusting the first reporting period ending at least efforts to compute, in accordance with an annual report of usage must be 6 months after delivery of such notice. the requirements of this section and part delivered to the mechanical licensing For purposes of this paragraph (h)(3), a 385 of this title, the royalties payable by collective no later than 6 months after significant change occurs as to a the blanket licensee under the blanket the occurrence of any of the scenarios particular blanket licensee where the license for the applicable monthly specified by paragraph (k)(6) of this mechanical licensing collective changes reporting period, after accounting for, if section, where such an event any policy requiring information to be applicable, amounts to be deducted necessitates an adjustment. Where more provided under particular reporting or under paragraph (g)(2)(ii) of this section. than one scenario applies to the same data standards or formats being used by (v) Where the blanket licensee is annual report of usage at different the blanket licensee, or where the entitled to an invoice under paragraph points in time, a separate 6-month mechanical licensing collective has

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adopted a particular nationally or terminate the blanket licensee’s blanket (i) The name of the person who is internationally recognized reporting or license. signing the annual report of usage on data standard or format (e.g., DDEX) that (i) Certification of monthly reports of behalf of the blanket licensee. is being used by the blanket licensee usage. Each monthly report of usage (ii) A signature, which in the case of and such standard or format is modified shall be accompanied by: a blanket licensee that is a corporation by the standard-setting organization. (1) The name of the person who is or partnership, shall be the signature of Where delivery of the notice required by signing and certifying the monthly a duly authorized officer of the this paragraph (h)(3) is attempted but report of usage. corporation or of a partner. unsuccessful because the contact (2) A signature, which in the case of (iii) The date of signature. information in the blanket licensee’s a blanket licensee that is a corporation (iv) If the blanket licensee is a notice of license is not current, the grace or partnership, shall be the signature of corporation or partnership, the title or periods established by this paragraph a duly authorized officer of the official position held in the partnership (h)(3) shall begin to run from the date corporation or of a partner. or corporation by the person signing the of attempted delivery. (3) The date of signature and annual report of usage. (4) The mechanical licensing certification. (v) The following statement: I am duly collective shall, by no later than the (4) If the blanket licensee is a authorized to sign this annual report of license availability date, establish an corporation or partnership, the title or usage on behalf of the blanket licensee. appropriate process by which any official position held in the partnership (vi) A certification that the blanket blanket licensee may voluntarily make or corporation by the person who is licensee has, for the period covered by advance deposits of funds with the signing and certifying the monthly the annual report of usage, engaged in mechanical licensing collective against report of usage. good-faith, commercially reasonable which future royalty payments may be (5) One of the following statements: efforts to obtain information about charged. (i) Statement one: applicable sound recordings and (5) A separate monthly report of usage musical works pursuant to 17 U.S.C. shall be delivered for each month I certify that (1) I am duly authorized to 115(d)(4)(B) and § 210.26. during which there is any activity sign this monthly report of usage on behalf (2) Each annual report of usage shall relevant to the payment of mechanical of the blanket licensee; (2) I have examined also be certified by a licensed certified this monthly report of usage; and (3) all royalties for covered activities. An statements of fact contained herein are true, public accountant. Such certification annual report of usage shall be delivered complete, and correct to the best of my shall comply with the following for each fiscal year during which at least knowledge, information, and belief, and are requirements: one monthly report of usage was made in good faith. (i) Except as provided in paragraph required to have been delivered. An (j)(2)(ii) of this section, the accountant (ii) Statement two: annual report of usage does not replace shall certify that it has conducted an any monthly report of usage. I certify that (1) I am duly authorized to examination of the annual report of (6) Where a blanket licensee attempts sign this monthly report of usage on behalf usage prepared by the blanket licensee to timely deliver a report of usage and/ of the blanket licensee, (2) I have prepared in accordance with the attestation or related royalty payment to the or supervised the preparation of the data standards established by the American mechanical licensing collective but used by the blanket licensee and/or its agent to generate this monthly report of usage, (3) Institute of Certified Public cannot because of the fault of the such data is true, complete, and correct to the Accountants, and has rendered an collective or an error, outage, best of my knowledge, information, and opinion based on such examination that disruption, or other issue with any of belief, and was prepared in good faith, and the annual report of usage conforms the collective’s applicable information (4) this monthly report of usage was prepared with the standards in paragraph (j)(2)(iv) technology systems (whether or not by the blanket licensee and/or its agent using of this section. such issue is within the collective’s processes and internal controls that were (ii) If such accountant determines in direct control), if the blanket licensee subject to an examination, during the past its professional judgment that the attempts to contact the collective about year, by a licensed certified public volume of data attributable to a the problem within 2 business days, accountant in accordance with the attestation particular blanket licensee renders it standards established by the American provides a sworn statement detailing the Institute of Certified Public Accountants, the impracticable to certify the annual encountered problem to the Copyright opinion of whom was that the processes and report of usage as required by paragraph Office within 5 business days (emailed internal controls were suitably designed to (j)(2)(i) of this section, the accountant to the Office of the General Counsel at generate monthly reports of usage that may instead certify the following: [email protected]), accurately reflect, in all material respects, the (A) That the accountant has and delivers the report of usage and/or blanket licensee’s usage of musical works, conducted an examination in related royalty payment to the collective the statutory royalties applicable thereto, and accordance with the attestation within 5 business days after receiving any other data that is necessary for the proper standards established by the American written notice from the collective that calculation of the statutory royalties in Institute of Certified Public Accountants accordance with 17 U.S.C. 115 and of the following assertions by the the problem is resolved, then the applicable regulations. mechanical licensing collective shall act blanket licensee’s management: as follows: (6) A certification that the blanket (1) That the processes used by or on (i) The mechanical licensing licensee has, for the period covered by behalf of the blanket licensee, including collective shall fully credit the blanket the monthly report of usage, engaged in calculation of statutory royalties, licensee for any applicable late fee paid good-faith, commercially reasonable generated annual reports of usage that by the blanket licensee as a result of the efforts to obtain information about conform with the standards in untimely delivery of the report of usage applicable sound recordings and paragraph (j)(2)(iv) of this section; and and/or related royalty payment. musical works pursuant to 17 U.S.C. (2) That the internal controls relevant (ii) The mechanical licensing 115(d)(4)(B) and § 210.26. to the processes used by or on behalf of collective shall not use the untimely (j) Certification of annual reports of the blanket licensee to generate annual delivery of the report of usage and/or usage. (1) Each annual report of usage reports of usage were suitably designed related royalty payment as a basis to shall be accompanied by: and operated effectively during the

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period covered by the annual reports of partnership or a professional adjustment and the accuracy of the usage. corporation with two or more adjustment. As appropriate, an (B) That such examination included shareholders. adjustment may be calculated using examining, either on a test basis or (3) If the annual report of usage is estimates permitted under paragraph otherwise as the accountant considered delivered electronically, the blanket (d)(2)(i) of this section. necessary under the circumstances and licensee may deliver an electronic (iii) Where applicable, the particular in its professional judgment, evidence facsimile of the original certification of sound recordings and uses to which the supporting the management assertions the annual report of usage signed by the adjustment applies. in paragraph (j)(2)(ii)(A) of this section, licensed certified public accountant. (iv) A description of the reason(s) for including data relevant to the The blanket licensee shall retain the the adjustment. calculation of statutory royalties, and original certification of the annual (4) In the case of an underpayment of performing such other procedures as the report of usage signed by the licensed royalties, the blanket licensee shall pay accountant considered necessary in the certified public accountant for the the difference to the mechanical circumstances. period identified in paragraph (m) of licensing collective contemporaneously (C) That the accountant has rendered this section, which shall be made with delivery of the report of an opinion based on such examination available to the mechanical licensing adjustment. A report of adjustment and that the processes used to generate the collective upon demand. its related royalty payment may be annual report of usage were designed (k) Adjustments. (1) A blanket delivered together or separately, but if and operated effectively to generate licensee may adjust one or more delivered separately, the payment must annual reports of usage that conform previously delivered monthly reports of include information reasonably with the standards in paragraph (j)(2)(iv) usage or annual reports of usage, sufficient to allow the mechanical of this section, and that the internal including related royalty payments, by licensing collective to match the report controls relevant to the processes used delivering to the mechanical licensing of adjustment to the payment. to generate annual reports of usage were collective a report of adjustment. A (5) In the case of an overpayment of suitably designed and operated report of adjustment adjusting one or royalties, the mechanical licensing effectively during the period covered by more monthly reports of usage may, but collective shall appropriately credit or the annual reports of usage. need not, be combined with the annual offset the excess payment amount and (iii) In the event a third party or third report of usage for the annual period apply it to the blanket licensee’s parties acting on behalf of the blanket covering such monthly reports of usage account. licensee provided services related to the and related payments. In such cases, (6) A report of adjustment adjusting annual report of usage, the accountant such an annual report of usage shall also an annual report of usage may only be making a certification under either be considered a report of adjustment, made: paragraph (j)(2)(i) or (ii) of this section and must satisfy the requirements of (i) In exceptional circumstances; may, as the accountant considers both paragraphs (f) and (k) of this (ii) When making an adjustment to a necessary under the circumstances and section. previously estimated input under in its professional judgment, rely on a (2) A report of adjustment, except paragraph (d)(2)(i) of this section; report and opinion rendered by a when combined with an annual report (iii) Following an audit under 17 licensed certified public accountant in of usage, shall be clearly and U.S.C. 115(d)(4)(D); or accordance with the attestation prominently identified as a ‘‘Report of (iv) In response to a change in standards established by the American Adjustment Under Compulsory Blanket applicable rates or terms under part 385 Institute of Certified Public Accountants License for Making and Distributing of this title. that the processes and/or internal Phonorecords.’’ A report of adjustment (7) A report of adjustment adjusting a controls of the third party or third that is combined with an annual report monthly report of usage must be parties relevant to the generation of the of usage shall be identified in the same certified in the same manner as a blanket licensee’s annual reports of manner as any other annual report of monthly report of usage under usage were suitably designed and usage. paragraph (i) of this section. A report of operated effectively during the period (3) A report of adjustment shall adjustment adjusting an annual report of covered by the annual reports of usage, include a clear statement of the usage must be certified in the same if such reliance is disclosed in the following information: manner as an annual report of usage certification. (i) The previously delivered monthly under paragraph (j) of this section, (iv) An annual report of usage reports of usage or annual reports of except that the examination by a conforms with the standards of this usage, including related royalty certified public accountant under paragraph (j) if it presents fairly, in all payments, to which the adjustment paragraph (j)(2) of this section may be material respects, the blanket licensee’s applies. limited to the adjusted material and usage of the copyright owner’s musical (ii) The specific change(s) to the related recalculation of royalties works under blanket license during the applicable previously delivered payable. Where a report of adjustment is period covered by the annual report of monthly reports of usage or annual combined with an annual report of usage, the statutory royalties applicable reports of usage, including the monetary usage, its content shall be subject to the thereto, and such other data as are amount of the adjustment and a detailed certification covering the annual report relevant to the calculation of statutory description of any changes to any of the of usage with which it is combined. royalties in accordance with 17 U.S.C. inputs upon which computation of the (l) Clear statements. The information 115 and applicable regulations. royalties payable by the blanket licensee required by this section requires (v) Each certificate shall be signed by under the blanket license depends. Such intelligible, legible, and unambiguous an individual, or in the name of a description shall include a detailed and statements in the reports of usage, partnership or a professional step-by-step accounting of the without incorporation by reference of corporation with two or more calculation of the adjustment sufficient facts or information contained in other shareholders. The certificate number to allow the mechanical licensing documents or records. and jurisdiction are not required if the collective to assess the manner in which (m) Documentation and records of certificate is signed in the name of a the blanket licensee determined the use. (1) Each blanket licensee shall, for

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a period of at least five years from the (i) With respect to each sound reports of usage for the making and date of delivery of a report of usage to recording, that embodies a musical distribution of phonorecords of the mechanical licensing collective, work, first licensed or obtained for use nondramatic musical works to the keep and retain in its possession all in covered activities by the blanket mechanical licensing collective by a records and documents necessary and licensee after the effective date of its significant nonblanket licensee pursuant appropriate to support fully the blanket license, one or more of the to 17 U.S.C. 115(d)(6)(A)(ii). A information set forth in such report of following dates: significant nonblanket licensee shall usage, including but not limited to the (A) The date on which the sound report to the mechanical licensing following: recording is first reproduced by the collective on a monthly basis in (i) Records and documents accounting blanket licensee on its server; accordance with 17 U.S.C. for digital phonorecord deliveries that (B) The date on which the blanket 115(d)(6)(A)(ii) and this section. A do not constitute plays, constructive licensee first obtains the sound significant nonblanket licensee may plays, or other payable units. recording; or make adjustments to its reports of usage (ii) Records and documents pertaining (C) The date of the grant first in accordance with this section. to any promotional or free trial uses that authorizing the blanket licensee’s use of (b) Definitions. For purposes of this are required to be maintained under the sound recording. section, in addition to those terms applicable provisions of part 385 of this (ii) A record of all sound recordings defined in § 210.22: title. embodying musical works in its (1) The term report of usage, unless (iii) Records and documents database or similar electronic system as otherwise specified, refers to all reports identifying or describing each of the of immediately prior to the effective of usage required to be delivered by a blanket licensee’s applicable activities date of its blanket license. significant nonblanket licensee to the or offerings including as may be defined (3) The records and documents mechanical licensing collective, in part 385 of this title, including described in paragraph (m)(2) of this including reports of adjustment. As information sufficient to reasonably section must be kept and retained for a used in this section, it does not refer to demonstrate whether the activity or period of at least five years from the reports required to be delivered by offering qualifies as any particular relevant date described in paragraph blanket licensees under 17 U.S.C. activity or offering for which specific (m)(2) of this section, provided that at 115(d)(4)(A) and § 210.27. rates and terms have been established in least 90 calendar days before destroying (2) A monthly report of usage is a part 385 of this title, and which specific or discarding any such records or report of usage identified in 17 U.S.C. rates and terms apply to such activity or documents the blanket licensee notifies 115(d)(6)(A)(ii), and required to be offering. the mechanical licensing collective in delivered by a significant nonblanket (iv) Records and documents with writing and provides an opportunity for licensee to the mechanical licensing information sufficient to reasonably the collective to claim and retrieve such collective. demonstrate, if applicable, whether records and documents. In no event (3) A report of adjustment is a report service revenue and total cost of shall a blanket licensee be required to delivered by a significant nonblanket content, as those terms may be defined keep and retain any such records or licensee to the mechanical licensing in part 385 of this title, are properly documents for more than 50 years. collective adjusting one or more calculated in accordance with part 385 (4) The mechanical licensing previously delivered monthly reports of of this title. collective or its agent shall be entitled usage. (v) Records and documents with to reasonable access to all records and (c) Content of monthly reports of information sufficient to reasonably documents described in this paragraph usage. A monthly report of usage shall demonstrate whether and how any (m) upon reasonable request, subject to be clearly and prominently identified as royalty floor established in part 385 of any applicable confidentiality rules a ‘‘Significant Nonblanket Licensee this title does or does not apply. established by the Copyright Office. Monthly Report of Usage for Making (vi) Records and documents Each report of usage must include clear and Distributing Phonorecords,’’ and containing such other information as is instructions on how to request such shall include a clear statement of the necessary to reasonably support and access to such records and documents. following information: confirm all usage and calculations (n) Voluntary agreements with (1) The period (month and year) contained in the report of usage, mechanical licensing collective to alter covered by the monthly report of usage. including but not limited to, as process. Subject to the provisions of 17 (2) The full legal name of the applicable, relevant information U.S.C. 115, a blanket licensee and the significant nonblanket licensee and, if concerning subscriptions, devices and mechanical licensing collective may different, the trade or consumer-facing platforms, discount plans (including agree to vary or supplement the brand name(s) of the service(s), how eligibility was assessed), bundled procedures described in this section, including any specific offering(s), offerings (including their constituent including but not limited to pursuant to through which the significant components and pricing information), an agreement to administer a voluntary nonblanket licensee engages in covered and numbers of end users and license, provided that any such change activities. If the significant nonblanket subscribers (including unadjusted does not materially prejudice copyright licensee has a unique DDEX identifier numbers and numbers adjusted as may owners owed royalties due under a number, it must also be provided. be permitted by part 385 of this title). blanket license. The procedures (3) The full address, including a (vii) Any other records or documents surrounding the certification specific number and street name or rural that may be appropriately examined requirements of paragraphs (i) and (j) of route, of the place of business of the pursuant to an audit under 17 U.S.C. this section may not be altered by significant nonblanket licensee. A post 115(d)(4)(D). agreement. office box or similar designation will (2) Each blanket licensee shall, for the not be sufficient except where it is the period described in paragraph (m)(3) of § 210.28 Reports of usage for significant only address that can be used in that this section, keep and retain in its nonblanket licensees. geographic location. possession the following additional (a) General. This section prescribes (4) For each sound recording records and documents: rules for the preparation and delivery of embodying a musical work that is used

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by the significant nonblanket licensee in connection with its use of sound nonblanket licensee from sound covered activities during the applicable recordings of musical works to engage recording copyright owners or other monthly reporting period, a detailed in covered activities, and to the extent licensors of sound recordings (or their statement, from which the mechanical practicable: representatives), and the significant licensing collective may separate (1) Sound recording copyright nonblanket licensee revises, re-titles, or reported information for each applicable owner(s); otherwise edits or modifies the activity or offering including as may be (2) Producer(s); information, it shall be sufficient for the defined in part 385 of this title, of all of: (3) ISRC(s); significant nonblanket licensee to report (i) The royalty payment and (4) Any other unique identifier(s) for either the originally acquired version or accounting information required by or associated with the sound recording, the modified version of such paragraph (d) of this section; and including any unique identifier(s) for information to satisfy its obligations (ii) The sound recording and musical any associated album, including but not under paragraph (e)(1) of this section, work information required by paragraph limited to: unless one or more of the following (e) of this section. (i) Catalog number(s); scenarios apply, in which case either (5) For each voluntary license and (ii) UPC(s); and the unaltered version or both versions individual download license in effect (iii) Unique identifier(s) assigned by must be reported: during the applicable monthly reporting any distributor; (i) If the mechanical licensing period, the information required under (5) Version(s); collective has adopted a particular § 210.24(b)(8). If this information has (6) Release date(s); nationally or internationally recognized been separately provided to the (7) Album title(s); reporting or data standard or format mechanical licensing collective, it need (8) Label name(s); (e.g., DDEX) that is being used by the not be contained in the monthly report (9) Distributor(s); and particular significant nonblanket of usage, provided the report states that (10) Other information commonly licensee, and either the unaltered the information has been provided used in the industry to identify sound version or both versions are required to separately and includes the date on recordings and match them to the be reported under such standard or which such information was last musical works the sound recordings format. provided to the mechanical licensing embody. (ii) Either the unaltered version or collective. (ii) Identifying information for the both versions are reported by the (d) Royalty payment and accounting musical work embodied in the reported particular significant nonblanket information. The royalty payment and sound recording, to the extent acquired licensee pursuant to any voluntary accounting information called for by by the significant nonblanket licensee in license or individual download license. paragraph (c)(4)(i) of this section shall the metadata provided by sound (iii) Either the unaltered version or consist of the following: recording copyright owners or other both versions were periodically reported (1) The mechanical royalties payable licensors of sound recordings in by the particular significant nonblanket by the significant nonblanket licensee connection with the use of sound licensee prior to the license availability for the applicable monthly reporting recordings of musical works to engage date. period for engaging in covered activities in covered activities, and to the extent (3) Notwithstanding paragraph (e)(2) pursuant to each applicable voluntary practicable: of this section, a significant nonblanket license and individual download (A) Information concerning licensee shall not be able to satisfy its license. authorship and ownership of the obligations under paragraph (e)(1) of (2) The number of payable units, applicable rights in the musical work this section by reporting a modified including, as applicable, permanent embodied in the sound recording, version of any information belonging to downloads, plays, and constructive including but not limited to: a category of information that was not plays, for each reported sound (1) Songwriter(s); periodically revised, re-titled, or recording. (2) Publisher(s) with applicable U.S. otherwise edited or modified by the (e) Sound recording and musical work rights; particular significant nonblanket information. (1) The following (3) Musical work copyright owner(s); licensee prior to the license availability information must be provided for each (4) ISNI(s) and IPI(s) for each such date, and in no case shall a modified sound recording embodying a musical songwriter, publisher, and musical work version of any unique identifier work required to be reported under copyright owner; and (including but not limited to ISRC and paragraph (c)(4)(ii) of this section: (5) Respective ownership shares of ISWC), playing time, or release date be (i) Identifying information for the each such musical work copyright sufficient to satisfy a significant sound recording, including but not owner; nonblanket licensee’s obligations under limited to: (B) ISWC(s) for the musical work paragraph (e)(1) of this section. (A) Sound recording name(s), embodied in the sound recording; and (4) Any obligation under paragraph including, to the extent practicable, all (C) Musical work name(s) for the (e)(1) of this section concerning known alternative and parenthetical musical work embodied in the sound information about sound recording titles for the sound recording; recording, including any alternative or copyright owners may be satisfied by (B) Featured artist(s); parenthetical titles for the musical work. reporting the information for applicable (C) Unique identifier(s) assigned by (iii) Whether the significant sound recordings provided to the the significant nonblanket licensee, if nonblanket licensee, or any corporate significant nonblanket licensee by any, including any code(s) that can be parent or subsidiary of the significant sound recording copyright owners or used to locate and listen to the sound nonblanket licensee, is a copyright other licensors of sound recordings (or recording through the significant owner of the musical work embodied in their representatives) contained in each nonblanket licensee’s public-facing the sound recording. of the following DDEX fields: DDEX service; (2) Subject to paragraph (e)(3) of this Party Identifier (DPID), LabelName, and (D) Playing time; and section, where any of the information PLine. Where a significant nonblanket (E) To the extent acquired by the called for by paragraph (e)(1) of this licensee acquires this information in significant nonblanket licensee in section is acquired by the significant addition to other information

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identifying a relevant sound recording (2) A separate monthly report of usage monthly report of usage, (3) such data is true, copyright owner, all such information shall be delivered for each month complete, and correct to the best of my must be reported to the extent during which there is any activity knowledge, information, and belief, and was practicable. relevant to the payment of mechanical prepared in good faith, and (4) this monthly (5) As used in paragraph (e) of this report of usage was prepared by the royalties for covered activities. significant nonblanket licensee and/or its section, it is practicable to provide the (3) Where a significant nonblanket agent using processes and internal controls enumerated information if: licensee attempts to timely deliver a that were subject to an examination, during (i) It belongs to a category of report of usage to the mechanical the past year, by a licensed certified public information expressly required by the licensing collective but cannot because accountant in accordance with the attestation enumerated list of information of the fault of the collective or an error, standards established by the American contained in 17 U.S.C. outage, disruption, or other issue with Institute of Certified Public Accountants, the 115(d)(4)(A)(ii)(I)(aa) or (bb); any of the collective’s applicable opinion of whom was that the processes and (ii) Where the mechanical licensing information technology systems internal controls were suitably designed to collective has adopted a particular (whether or not such issue is within the generate monthly reports of usage that nationally or internationally recognized accurately reflect, in all material respects, the collective’s direct control), if the significant nonblanket licensee’s usage of reporting or data standard or format significant nonblanket licensee attempts (e.g., DDEX) that is being used by the musical works and the royalties applicable to contact the collective about the thereto. particular significant nonblanket problem within 2 business days, (i) Adjustments. (1) A significant licensee, it belongs to a category of provides a sworn statement detailing the nonblanket licensee may adjust one or information required to be reported encountered problem to the Copyright more previously delivered monthly under such standard or format; Office within 5 business days (emailed reports of usage by delivering to the (iii) It belongs to a category of to the Office of the General Counsel at mechanical licensing collective a report information that is reported by the [email protected]), of adjustment. particular significant nonblanket and delivers the report of usage to the (2) A report of adjustment shall be licensee pursuant to any voluntary collective within 5 business days after clearly and prominently identified as a license or individual download license; receiving written notice from the ‘‘Significant Nonblanket Licensee or collective that the problem is resolved, (iv) It belongs to a category of Report of Adjustment for Making and then neither the mechanical licensing information that was periodically Distributing Phonorecords.’’ collective nor the digital licensee reported by the particular significant (3) A report of adjustment shall coordinator may use the untimely nonblanket licensee prior to the license include a clear statement of the delivery of the report of usage as a basis availability date. following information: to engage in legal enforcement efforts (f) Timing. (1) An initial report of (i) The previously delivered monthly under 17 U.S.C. 115(d)(6)(C). usage must be delivered to the report(s) of usage to which the (h) Certification of monthly reports of mechanical licensing collective adjustment applies. usage. Each monthly report of usage contemporaneously with the significant (ii) The specific change(s) to the shall be accompanied by: nonblanket licensee’s notice of (1) The name of the person who is applicable previously delivered nonblanket activity. Each subsequent signing and certifying the monthly monthly report(s) of usage. (iii) Where applicable, the particular monthly report of usage must be report of usage. delivered to the mechanical licensing (2) A signature, which in the case of sound recordings and uses to which the collective no later than 45 calendar days a significant nonblanket licensee that is adjustment applies. after the end of the applicable monthly a corporation or partnership, shall be (iv) A description of the reason(s) for reporting period. the signature of a duly authorized the adjustment. (2) A report of adjustment may only officer of the corporation or of a partner. (4) A report of adjustment must be be delivered to the mechanical licensing (3) The date of signature and certified in the same manner as a collective once annually, between the certification. monthly report of usage under end of the significant nonblanket (4) If the significant nonblanket paragraph (h) of this section. licensee’s fiscal year and 6 months after licensee is a corporation or partnership, (j) Clear statements. The information the end of its fiscal year. Such report the title or official position held in the required by this section requires may only adjust one or more previously partnership or corporation by the person intelligible, legible, and unambiguous delivered monthly reports of usage from who is signing and certifying the statements in the reports of usage, the applicable fiscal year. monthly report of usage. without incorporation by reference of (g) Format and delivery. (1) Reports of (5) One of the following statements: facts or information contained in other usage shall be delivered to the (i) Statement one: documents or records. mechanical licensing collective in any (k) Harmless errors. Errors in the format accepted by the mechanical I certify that (1) I am duly authorized to delivery or content of a report of usage sign this monthly report of usage on behalf licensing collective for blanket licensees of the significant nonblanket licensee; (2) I that do not materially affect the under § 210.27(h). With respect to any have examined this monthly report of usage; adequacy of the information required to modifications to formatting and (3) all statements of fact contained herein serve the purpose of 17 U.S.C. 115(d) requirements that the mechanical are true, complete, and correct to the best of shall be deemed harmless, and shall not licensing collective adopts, significant my knowledge, information, and belief, and render the report invalid or provide a nonblanket licensees shall be entitled to are made in good faith. basis for the mechanical licensing the same advance notice and grace (ii) Statement two: collective or digital licensee coordinator periods as apply to blanket licensees to engage in legal enforcement efforts I certify that (1) I am duly authorized to under § 210.27(h), except the sign this monthly report of usage on behalf under 17 U.S.C. 115(d)(6)(C). This mechanical licensing collective shall of the significant nonblanket licensee, (2) I paragraph (k) shall apply only to errors use the contact information provided in have prepared or supervised the preparation made in good faith and without any each respective significant nonblanket of the data used by the significant nonblanket intention to deceive, mislead, or conceal licensee’s notice of nonblanket activity. licensee and/or its agent to generate this relevant information.

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(l) Voluntary agreements with ADDRESSES: For reasons of government owners, the blanket license will cover mechanical licensing collective to alter efficiency, the Copyright Office is using all musical works available for process. Subject to the provisions of 17 the regulations.gov system for the compulsory licensing and will be U.S.C. 115, a significant nonblanket submission and posting of public centrally administered by a mechanical licensee and the mechanical licensing comments in this proceeding. All licensing collective (‘‘MLC’’), which has collective may agree to vary or comments are therefore to be submitted been designated by the Register of supplement the procedures described in electronically through regulations.gov. Copyrights.3 Under the MMA, this section, including but not limited to Specific instructions for submitting compulsory licensing of phonorecords pursuant to an agreement to administer comments are available on the that are not DPDs (e.g., CDs, vinyl, a voluntary license, provided that any Copyright Office website at https:// tapes, and other types of physical such change does not materially www.copyright.gov/rulemaking/mma- phonorecords) (the ‘‘non-blanket prejudice copyright owners owed royalty-statements. If electronic license’’) continues to operate on a per- royalties due under a blanket license. submission of comments is not feasible work, song-by-song basis, the same as The procedures surrounding the due to lack of access to a computer and/ before.4 certification requirements of paragraph or the internet, please contact the Office By statute, digital music providers (h) of this section may not be altered by using the contact information below for will bear the reasonable costs of agreement. special instructions. establishing and operating the MLC Dated: April 15, 2020. FOR FURTHER INFORMATION CONTACT: through an administrative assessment, Regan A. Smith, Regan A. Smith, General Counsel and to be determined, if necessary, by the General Counsel and Associate Register of Associate Register of Copyrights, by Copyright Royalty Judges (‘‘CRJs’’).5 As Copyrights. email at [email protected] or Terry permitted under the MMA, the Office [FR Doc. 2020–08379 Filed 4–17–20; 4:15 pm] Hart, Assistant General Counsel, by designated a digital licensee coordinator email at [email protected]. Each can BILLING CODE 1410–30–P (‘‘DLC’’) to represent licensees in be contacted by telephone by calling proceedings before the CRJs and the (202) 707–8350. Copyright Office, to serve as a non- LIBRARY OF CONGRESS SUPPLEMENTARY INFORMATION: voting member of the MLC, and to carry 6 I. Background out other functions. U.S. Copyright Office Title I of the Music Modernization A. Reporting and Payment Obligations 37 CFR Part 210 Act (‘‘MMA’’), the Musical Works Under Non-Blanket License Modernization Act, substantially The proposed rule is informed by the [Docket No. 2020–6] modifies the compulsory ‘‘mechanical’’ preexisting section 115 regulations that license for making and distributing Reporting and Distribution of Royalties still apply to non-blanket licenses. phonorecords of nondramatic musical to Copyright Owners by the Under a non-blanket license, copyright works available under 17 U.S.C. 115. Mechanical Licensing Collective owners receive royalties and statements Prior to the MMA, a compulsory license of account directly from compulsory AGENCY: U.S. Copyright Office, Library was obtained by licensees on a per- licensees. Timely payment and of Congress. work, song-by-song basis, and required statements of account are a condition of a licensee to serve a notice of intention ACTION: Notice of proposed rulemaking. the non-blanket compulsory license, to obtain a compulsory license (‘‘NOI’’) and failure to comply with the SUMMARY: The U.S. Copyright Office is on the relevant copyright owner (or file requirements could lead to default.7 issuing a notice of proposed rulemaking the NOI with the Copyright Office if the Default can subject a licensee to the regarding the obligations of the Office’s public records did not identify remedies provided by sections 502 mechanical licensing collective to report the copyright owner and include an through 506 for infringement.8 The and distribute royalties paid by digital address at which notice could be statute requires licensees to make music providers under the blanket served) and then pay applicable monthly and annual statements of license to musical work copyright royalties accompanied by accounting account, along with payment of owners under title I of the Orrin G. statements.1 royalties, in compliance with Hatch–Bob Goodlatte Music The MMA amends this regime in regulations promulgated by the Office.9 Modernization Act. After soliciting multiple ways, most significantly by public comments through a notification establishing a new blanket compulsory Regulations covering monthly and of inquiry, the Office is now proposing license that digital music providers annual statements of account prescribe, regulations establishing the timing, (‘‘DMPs’’) may obtain to make digital among other things, requirements form, delivery, and certification of phonorecord deliveries (‘‘DPDs’’) of regarding the content such statements statements accompanying royalty musical works, including in the form of distributions to musical work copyright permanent downloads, limited 3 17 U.S.C. 115(d)(1), (3); 84 FR 32274 (July 8, 2019). owners. The Office solicits additional 2 downloads, or interactive streams. 4 17 U.S.C. 115(b)(1); see H.R. Rep. No. 115–651, public comments on the proposed rule. Instead of licensing one song at a time at 3 (noting ‘‘[t]his is the historical method by This notice concerns only royalty by serving NOIs on individual copyright which record labels have obtained compulsory statements and distributions regarding licenses’’); S. Rep. No. 115–339, at 3 (same); see also U.S. Copyright Office, Orrin G. Hatch-Bob Goodlatte matched uses of musical works 1 See 17 U.S.C. 115(b)(1), (c)(5) (2017); U.S. Music Modernization Act, https:// Copyright Office, Copyright and the Music embodied in sound recordings and does www.copyright.gov/music-modernization/ (last Marketplace 28–31 (2015), https:// not address issues related to the visited Apr. 2, 2020). www.copyright.gov/policy/musiclicensingstudy/ 5 distribution of unclaimed, accrued copyright-and-the-music-marketplace.pdf 17 U.S.C. 115(d)(7)(D). royalties. (describing operation of prior section 115 license). 6 Id. at 115(d)(5)(B); 84 FR at 32274; see also 17 2 17 U.S.C. 115(d)(1), (e)(7); see H.R. Rep. No. U.S.C.115(d)(3)(D)(i)(IV), (d)(5)(C). DATES: 7 Written comments must be 115–651, at 4–6 (describing operation of the blanket 17 U.S.C. 115(c)(2)(J). received no later than 11:59 Eastern license and the new mechanical licensing 8 Id. Time on May 22, 2020. collective); S. Rep. No. 115–339, at 3–6 (same). 9 Id. at 115(c)(2)(I). See generally 37 CFR 210.11.

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must contain along with timing, MLC will, in turn, ‘‘distribute royalties blanket license, prescribe specific delivery, and certification obligations.10 to copyright owners in accordance with obligations for royalty distributions or The regulations for monthly and the usage and other information statements of account, such as form, annual statements of account for the contained in such reports, as well as the timing, delivery, or certification non-blanket license were most recently ownership and other information requirements by the MLC. Nor does it amended in 2014, in response to legal contained in the records of the delegate specific rulemaking authority and marketplace developments, collective.’’ 15 to the Office for prescribing distribution ‘‘including the Copyright Royalty Because some percentage of musical or statement requirements specific to Board’s adoption of newer percentage- works reported by blanket licensees will the MLC. Separately, though, in a of-revenue royalty rate structures for not be initially matched to their general provision largely retained from certain digital music services, and respective copyright owners, the MLC the pre-MMA section 115 related to changes in accounting and industry will also engage in ongoing matching license terms and conditions, the practice in the years since the rules efforts to identify copyright owners of Register is directed to prescribe were last substantially amended.’’ 11 musical works where the identity of the regulations related to monthly Among the changes made to payment copyright owner is unknown and payments, and that provision states that and reporting of royalties relevant to provide a mechanism for copyright ‘‘regulations covering both the monthly this proceeding, the rule was amended owners to claim unmatched works.16 and the annual statements of account ‘‘to allow copyright owners and When a copyright owner who is owed shall prescribe the form, content, and licensees to independently agree to unmatched royalties becomes identified manner of certification with respect to alternative payment methods, including and located, the statute directs the MLC the number of records made and the electronic payment’’; allow a copyright to pay applicable accrued royalties to number of records distributed.’’ 19 owner to ‘‘notify a licensee of its the copyright owner, ‘‘accompanied by There appears to be no dispute willingness to accept statements by a cumulative statement of account means of electronic transmission’’; regarding the propriety or authority of reflecting usage of such work and the Office to promulgate regulations permit ‘‘copyright owners to elect the accrued royalties based on information format (paper or electronic) in which related to royalty statements issued by provided by digital music providers to the MLC; indeed, the MLC itself has they receive statements’’; set a ‘‘default the mechanical licensing collective.’’ 17 minimum payment threshold of up to proposed regulatory language As noted below, the Office is separately 20 $5 for payments to any copyright encompassing this activity. But as addressing the issue of unclaimed background and to aid commenters, the owner’’; require ‘‘reporting of ISRCs accrued royalties, including through an [‘‘International Standard Recording Office believes it may be helpful to ongoing policy study, and this situate this specific proposed rule Code’’] when that information is proceeding does not address known’’; permit ‘‘the reporting of other within the broader regulatory distribution procedures for those framework set out in the MMA. unique identifiers, such as the royalties that remain unmatched after International Standard Name Identifier the prescribed holding period. The statute creates a general legal (‘‘ISNI’’) of the writer, or the Finally, as reflected in the separate framework that supports rules regarding International Standard Musical Work rulemaking regarding reporting by distribution and reporting of royalties Code (‘‘ISWC’’) for the musical work’’; DMPs, blanket licensees may at times under the blanket license. In order to and revise the existing certification need to make adjustments to royalties establish sufficient oversight and regulations. paid in prior reporting periods since it accountability, Congress obligated the B. Blanket License is not unusual for the exact amount of MLC to ‘‘ensure that the policies and royalties owed for a particular month to practices of the collective are In creating a blanket license 21 be known until after the close of the transparent and accountable.’’ In administered by the MLC, the MMA month.18 Ultimately, those adjustments furtherance of that goal, Congress vested establishes a different legal framework will be reported to copyright owners by the Register of Copyrights with the for the payment and accounting of the MLC, along with any applicable authority to periodically review the royalties. Under the MMA, when the credits or deductions to royalty designation of the entity serving as the blanket license becomes available on distributions. MLC and designate a new entity if January 1, 2021, DMPs taking advantage Although the MLC is obligated to needed.22 The MLC is required by of the blanket license will report usage collect and distribute royalties, the statute to be a nonprofit entity that ‘‘is of musical works and pay royalties to statute does not, as it does for the non- endorsed by, and enjoys substantial the MLC—instead of directly to support from, musical work copyright copyright owners—on a monthly 15 owners’’ 23 and ‘‘is able to demonstrate 12 17 U.S.C. 115(d)(3)(G)(i)(II). basis. The data contained in the 16 The statute authorizes a number of functions to the Register of Copyrights that the DMP’s reports of usage is governed by related to matching works, including ‘‘[e]ngage in entity has . . . the administrative and both the statute 13 and regulations efforts to identify musical works (and shares of such works) embodied in particular sound recordings, technological capabilities to perform the currently being promulgated by the required functions of the mechanical Office in a separate proceeding.14 The and to identify and locate the copyright owners of such musical works (and shares of such works); licensing collective.’’ 24 [m]aintain the musical works database and other 10 Regulations for monthly statements of account information relevant to the administration of 19 appear in 37 CFR 210.16 and annual statements of licensing activities under this section[, and 17 U.S.C. 115(c)(2)(I). While applicability of account appear in 37 CFR 210.17. a]dminister a process by which copyright owners this provision excepts requirements for reports of 11 79 FR 56190 (Sept. 18, 2014). can claim ownership of musical works (and shares use and payments by blanket licensees, which are addressed separately by statute, it does not address 12 17 U.S.C. 115(d)(4)(A)(i). of such works), and a process by which royalties either way whether these requirements extend to 13 for works for which the owner is not identified or Id. at 115(d)(4). statements of account provided by the MLC. 14 U.S. Copyright Office, Notice of Proposed located are equitably distributed to known copyright owners.’’ Id. at 115 (d)(3)(C)(i)(III)–(V). 20 MLC Initial at 27–29. Rulemaking, Music Modernization Act Notices of 21 License, Notices of Nonblanket Activity, Data 17 Id. at 115(d)(3)(I)(ii). 17 U.S.C. 115(d)(3)(D)(ix)(I)(aa). Collection and Delivery Efforts, and Reports of 18 See DLC Initial at 15–16; 17 U.S.C. 22 Id. at 115(d)(3)(B)(ii). Usage and Payment, Dkt. No. 2020–5, published 115(d)(4)(A)(iv)(II) (contemplating adjustments for 23 Id. at 115(d)(3)(A)(ii). elsewhere in this issue of the Federal Register. overpayment or underpayment). 24 Id. at 115(d)(3)(A)(iii).

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Additionally, Congress provided (the ‘‘license availability date’’).29 On Copyright to adopt regulations, general authority to the Register of December 7, 2018, the Office issued including: Form and substance of Copyrights to ‘‘conduct such interim regulations, directed at that notices of license that digital music proceedings and adopt such regulations transition period, that amended existing providers are required to submit to the as may be necessary or appropriate to regulations pertaining to the mechanical licensing collective; 34 form effectuate the provisions of this compulsory license to conform to the and substance of notices of non-blanket subsection.’’ 25 The legislative history new law, including with respect to the activity; 35 information to be reported on states, operation of notices of intention and usage reports,36 format and maintenance 37 the Register is expected to promulgate the statements of account.30 Of relevance of reports, and mechanisms to account necessary regulations required by the here, the interim rule detailed the for adjustments; 38 information to be legislation in a manner that balances the requirements for DMPs to report and included in the mechanical licensing need to protect the public’s interest with the pay royalties regarding previously collective’s database; 39 database need to let the new collective operate unmatched works for purposes of usability, interoperability, and usage without over-regulation. The Copyright eligibility for the limitation on liability restrictions; 40 and the handling of Office has the knowledge and expertise for making unauthorized DPDs during confidential information.41 regarding music licensing through its past The Office also solicited comments rulemakings and recent assistance to the the transition period before the blanket Committee during the drafting of this license becomes available. The interim regarding the following issues not legislation. Although the legislation provides regulations largely restated the statutory mentioned explicitly in the statute: ‘‘the specific criteria for the collective to operate, requirements, specifying that the DMP MLC’s payment and reporting it is to be expected that situations will arise must pay royalties and provide obligations with respect to royalties that that were not contemplated by the cumulative statements as if they were a have been matched to copyright owners, legislation. The Office is expected to use its compulsory licensee under the non- both for works that are matched at the best judgement in determining the time the MLC receives payment from appropriate steps in those situations.26 blanket license. The interim rule also required DMPs to identify the total digital music providers and works that It is the Office’s judgment that it is period covered by the cumulative are matched later during the statutorily consistent with the larger goals of the statement and the total royalty payable prescribed holding period for MMA to prescribe specific royalty for the period. Finally, the interim rule unmatched works.’’ 42 reporting and distribution requirements also required that such cumulative Specifically, the Office asked for through regulation, that the Register of statements be certified in the same input on ‘‘what reporting should be Copyrights has the authority to manner as monthly statements of required of the MLC when distributing promulgate these rules under the account under existing Office royalties to matched copyright owners general rulemaking authority in the regulations for the non-blanket in the ordinary course under section MMA, and it can take into consideration license.31 The Office welcomed ‘‘public 115(d)(3)(G)(i)(II), as well as input how well the MLC carried out those comment on these amendments and any concerning the timing of such regular obligations when reviewing the 43 other specific technical amendments distributions.’’ It also solicited input designation.27 Regulations establish a that stakeholders would like the Office ‘‘on any issues that should be baseline for transparency and to consider.’’ 32 It received no considered relating to the cumulative accountability, and the rulemaking comments. statements of account to be provided process allows all stakeholders— under section 115(d)(3)(I)(ii), relating to particularly musical work copyright D. Music Modernization Act payments due to copyright owners of a owners and songwriters—to Implementing Regulations for the previously unmatched work (or share communicate the specific transparency Blanket License for Digital Uses and thereof) who is later identified and and accountability obligations they Mechanical Licensing Collective located by the MLC, including what expect of the MLC.28 Notification of Inquiry additional material, if any, may be C. Transitional Period On September 24, 2019, the Copyright required in these statements as compared to routine periodic The MMA created a transitional Office issued a notification of inquiry to distributions for already matched period between its date of enactment initiate this current proceeding works.’’ 44 and January 1, 2021, the date when the regarding implementing regulations for 33 In response to the notification of blanket license first becomes available the blanket license. The Office invited public comment on regulations that the inquiry, the Office received fifteen initial comments and twenty-nine reply 25 MMA directs it to adopt, as well as Id. at 115(d)(12). comments.45 Of those, seven addressed 26 S. Rep. No. 115–339, at 15. additional regulations to promulgate 27 The legislative history states that when under its general authority as may be 34 determining whether to redesignate an entity to necessary or appropriate to effectuate 17 U.S.C. 115(d)(2)(A)(i). serve as the collective, ‘‘the failure to follow the 35 Id. at 115(d)(6)(A)(i). relevant regulations adopted by the Copyright the new blanket licensing structure. 36 Id. at 115(d)(4)(A)(ii)(III). Office[] over the prior five years should raise The notification of inquiry sought 37 Id. at 115(d)(4)(A)(iii). serious concerns within the Copyright Office as to comment on areas where the MMA 38 Id. at 115(d)(4)(A)(iv). whether that same entity has the administrative explicitly directs the Register of 39 Id. at 115(d)(3)(E)(ii)(V). capabilities necessary to perform the required 40 Id. at 115(d)(3)(E)(vi). functions of the collective.’’ S. Rep. No. 115–339, 29 41 at 5; see also H.R. Rep. No. 115–651, at 6 (same). H.R. Rep. No. 115–651, at 10; S. Rep. No. 115– Id. at 115(d)(12)(C). 339, at 10. 42 28 See Future of Music Coalition (‘‘FMC’’) Reply 84 FR at 49972. 30 at 3 (‘‘[W]e urge the Office to balance this concern 83 FR 63061, 63065 (Dec. 7, 2018); 37 CFR 43 Id. at 49973. for pragmatism and flexibility against the need to 210.20. 44 Id. at 49972–73. provide as much clear guidance and oversight as 31 See id.; 17 U.S.C. 115(d)(10)(B)(iv)(II)(aa), 45 All rulemaking activity, including public possible to encourage trust. A good question to ask (III)(aa) (cumulative statements to be provided ‘‘in comments, as well as educational material of any potential rule: ‘would including this item accordance with this section and applicable regarding the Music Modernization Act, can help music creators have confidence in the new regulations, including the requisite certification currently be accessed via navigation from https:// system and trust that they will successfully get the under subsection (c)(2)(I)’’). www.copyright.gov/music-modernization/. money they are owed?’ If the answer is yes, it 32 83 FR at 63062. Comments received in response to the September should be included.’’). 33 84 FR 49966 (Sept. 24, 2019). Continued

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the MLC’s reporting and payment better than status quo mechanical either as it processes reports of usage obligations. In its initial comments, the licensing practices. received from blanket licensees or MLC, provided proposed regulatory II. Proposed Rule through its ongoing matching efforts. It language for reporting and payment does not address the distribution of obligations. Several commenters A. General unclaimed accrued royalties after the responded to specific aspects of the Having reviewed and carefully expiration of the prescribed holding MLC’s proposal, as discussed in considered all relevant comments in period.49 The Office is currently respective sections below. response to the September 2019 engaged in a study to determine the best The accurate distribution of royalties notification of inquiry, the Office now practices that the MLC may implement under the blanket license to copyright issues a proposed rule and invites to effectively identify copyright owners owners is a core objective of the MLC.46 further public comment. This proposed and unclaimed royalties of musical The payment of royalties, and the rule concerns the reporting and royalty works while encouraging copyright statements that accompany those distribution obligations of the MLC for owners to claim royalties and ultimately the blanket license. The regulatory reduce the occurrence of unclaimed payments, serve as the most visible and 50 tangible connection many copyright language is intended to ensure that royalties. The Office may in the future owners will have with the MLC and the copyright owners receive the royalties separately consider promulgating regulations regarding the ultimate blanket license created by the MMA. they are entitled to in a timely fashion distribution of unclaimed royalties.51 Copyright owners of musical works with statements that provide them with accurate data regarding how their works have experience with the preexisting B. Terminology: ‘‘Royalty statement’’ are being used under the blanket mechanical license and have built up license. The existing requirements for Instead of ‘‘statement of account’’ certain expectations regarding how they reporting under the non-blanket license receive royalties and statements under Although the proposed rule regarding provide a useful starting point. statements issued by the MLC to that license, on either a compulsory or At the same time, the Office 47 copyright owners under the blanket voluntary licensing basis. The goal of recognizes that the MLC is responsible the MMA is to address significant license is based upon the existing for implementing an unprecedented regulations pertaining to ‘‘statements of shortcomings that arose in licensing licensing regime from scratch, and the mechanical reproductions by DMPs and account’’ required under the non- MMA is intended to address problems blanket compulsory license, the improve the functioning of the licensing that accumulated under the non-blanket regime in the digital ecosystem. So proposed rule uses an alternate term licensing regime. Certain features of the ‘‘royalty statements.’’ musical work copyright owners should non-blanket licensing regime may be reasonably anticipate royalty inappropriate to use as benchmarks. This is not intended to indicate any distributions and statements that look Where appropriate, then, the Office is substantive change, but rather to avoid and operate materially the same or striving to retain flexibility in the potential ambiguity with other regulations for the MLC, particularly references to ‘‘statements of account’’ 2019 notification of inquiry are available at https:// when it is in its early stages of pertaining to the non-blanket license. www.regulations.gov/docketBrowser?rpp=25& operations, while ensuring high For example, the terms ‘‘Monthly po=0&dct=PS&D=COLC-2019-0002&refD=COLC- Statement of Account’’ and ‘‘Annual 2019-0002-0001. References to these comments and standards of accuracy and service to letters are by party name (abbreviated where copyright owners.48 The Office is also Statement of Account’’ are defined appropriate), followed by either ‘‘Initial,’’ ‘‘Reply,’’ considering promulgating this rule on elsewhere in current regulations for the or ‘‘Ex Parte Letter,’’ as appropriate. Guidelines for an interim basis, to facilitate adjustment non-blanket compulsory license and ex parte communications, along with records of expressly apply only to the statements such communications, are available at https:// on topics noticed in this rulemaking if www.copyright.gov/rulemaking/mma- necessary once the MLC begins issuing required under the non-blanket 52 implementation/ex-parte-communications.html. royalty statements to copyright owners. license. The MMA itself does not use The Office encourages parties to refrain from To be clear, this rulemaking only the term ‘‘statement of account’’ when requesting ex parte meetings on this proposed rule addresses the reporting and distribution outlining the MLC’s general royalty and until they have submitted written comments. As 53 stated in the guidelines, ex parte meetings with the of royalties that are matched by the MLC reporting obligations, though it does Office are intended to provide an opportunity for use the term ‘‘cumulative statement of participants to clarify evidence and/or arguments 48 See S. Rep. No. 115–339, at 15 (‘‘Pursuant to account’’ when prescribing obligations made in prior written submissions, and to respond paragraph (12) of subsection (d), the Register is for distributing accrued royalties for to questions from the Office on those matters. expected to promulgate the necessary regulations previously unmatched works.54 To 46 See Letter from Lindsey Graham, U.S. Senator, required by the legislation in a manner that South Carolina, to Karyn Temple, Register of balances the need to protect the public’s interest avoid confusion, the Office will use the Copyrights, U.S. Copyright Office (Nov. 1, 2019). with the need to let the new collective operate generic term ‘‘royalty statement’’ in the 47 Prior to the MMA, the Office studied the without over-regulation.’’); SoundExchange Initial section 115 license and noted: ‘‘Although the use at 15 (‘‘SoundExchange urges the Office to be 49 17 U.S.C. 115(d)(3)(J). of the section 115 statutory license has increased in cautious in regulating the MLC and avoid the 50 U.S. Copyright Office, Unclaimed Royalties recent years with the advent of digital providers temptation to write into regulations every good idea Study, https://www.copyright.gov/policy/ seeking to clear large quantities of licenses, that comes out of this proceeding. Through unclaimed-royalties/ (last visited Apr. 2, 2020). The mechanical licensing is still largely accomplished SoundExchange’s history there have been numerous study was initiated by an all-day educational through voluntary licenses that are issued through instances where well-intentioned regulations have symposium held by the Office on December 6, 2019. a mechanical licensing agency such as HFA or by not worked out quite as intended, and the inflexible Materials related to the symposium, including a the publisher directly.’’ U.S. Copyright Office, nature of the rulemaking process has caused transcript and video of the proceedings can be Copyright and the Music Marketplace 30–31 (2015), obsolete rules to persist.’’); DLC Reply at 26–27 found at the aforementioned web page. https://www.copyright.gov/policy/musiclicensing (‘‘Although these regulations largely affect the 51 study/copyright-and-the-music-marketplace.pdf. relationship between the MLC and individual 84 FR at 49974 (‘‘the Office is tentatively Including because the MLC has selected HFA as a copyright owners, licensees will be funding the inclined to wait until after the policy study is core vendor and because of the potential that operations of the MLC through the administrative underway to finalize rules with respect to this services may prefer to make use of the blanket assessment. DLC therefore has a strong interest in important duty of the MLC.’’). compulsory license over voluntary arrangements, ensuring appropriate regulations are in place to 52 37 CFR 210.12(a), (b). See 17 U.S.C. 115(c)(2)(I), the Office believes that identifying common encourage a cost-effective approach to MLC’s (J). industry expectations with regard to direct payments and statements of account to rights 53 See 17 U.S.C. 115(d)(3)(C)(i)(II), (G). licensing will be relevant to the proposed rule. owners.’’). 54 Id. at 115(d)(3)(I)(ii).

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regulations for those reporting ii. Cumulative Statements of Account Such adjustments, and the original obligations. For cumulative statements of account reporting period being adjusted, will ultimately be reported by the MLC to C. Reporting and Payment Obligations that report previously accrued royalties for newly matched musical works, the copyright owners in a separate and 1. Scope of Periodic Reports proposed rule asks the MLC to provide clearly identified section of their a statement substantially similar to the monthly statements. As noted below, The MLC must distribute two sets of statement for royalties matched in the this proposal is a change from the non- royalty payments. The first set includes ordinary course. This information blanket license processes, where royalties for works that it matches upon would be sent to copyright owners at copyright owners receive adjustments receipt of monthly reports of usage from the same time as the regular monthly on an annual basis. The Office is DMPs.55 The second set includes royalty statements, in a segregated proposing this change in light of the accrued royalties for works that were manner. Like royalty statement DLC’s comments related to the unmatched when they were reported by information relating to works matched frequency of necessary adjustments. blanket licensees and where the in the ordinary course, the cumulative copyright owner is subsequently 2. Monthly Reporting and Timing 56 reporting would indicate the monthly Considerations identified and located. Blanket reporting period that royalties originally The proposed rule would require licensees may also need to adjust prior accrued in. Cumulative royalty reporting and distribution of royalties reports of usage, which may result in statements would also report the by the MLC on a monthly basis. This overpayment or underpayment of amount of interest accrued and a clear approach, supported by the MLC,62 is royalties from those prior periods, and identification of the total period also consistent with the regulations for the results of those adjustments must covered.58 similarly be passed through to copyright the non-blanket license, which requires owners.57 iii. Adjustments monthly statements that ‘‘include all royalties for the month next The rule proposes that the MLC report In initial comments to the September preceding.’’ 63 these three items—(1) royalties for 2019 notification of inquiry, the DLC notes several reasons why ‘‘it is often (if Some commenters raised concerns regularly matched works, (2) cumulative that the MMA increases the amount of statements of account for accrued not usually) the case that the exact amounts of royalty payments owed to time for when a blanket licensee has to royalties of previously unmatched report usage at the end of a monthly works, and (3) any adjustments to the MLC for a given month cannot be known with precision until well after reporting period. As Music Reports, Inc. royalties from prior periods—to (‘‘Music Reports’’) noted ‘‘[t]he MMA’s copyright owners simultaneously, if the close of the month—and sometimes not for months afterwards.’’ 59 Thus, requirement that DMPs report and pay each category is applicable to a given royalties to the MLC ‘not later than 45 owner. The reporting for each should be DMPs may need to adjust the amount of royalties paid in prior periods, and the calendar days after the end of the clearly delineated in the statements calendar month being reported’ inserts a themselves, but the intent is to MMA provides authority to the Register of Copyrights to adopt regulations substantial delay into the royalty minimize and simplify administration reporting and payment process required for both the MLC and copyright owners. ‘‘regarding adjustments to reports of usage by digital music providers, under Section 115 prior to the MMA, i. Periodic Matched Works including mechanisms to account for which required that such payments overpayment and underpayment of occur ‘on or before the twentieth day of As stated above, DMPs taking 64 royalties in prior periods.’’ 60 The Office each month.’ ’’ Music Reports advantage of the blanket license will is currently promulgating such explained that prior to the MMA, it report usage of musical works and pay regularly was able to issue ‘‘monthly regulations in a separate proceeding.61 royalties to the MLC on a monthly basis. statements of account and royalty It is anticipated that the MLC will be 58 Id. at 115(d)(3)(I)(ii). payments no more than ten days able to match the majority of works 59 DLC Initial at 15. The DLC cites at least two following’’ receipt of usage and royalty reported to the copyright owners who reasons this occurs. First, ‘‘the royalty rate can . . . accounting data from DMPs, and it are entitled to receive their respective be a function of a variety of variables, including believed that ‘‘through the use of royalties upon processing these reports certain service revenues, royalties paid for modern accounting systems managed by performance rights, consideration paid to record of usage, based on the information labels, and the number of subscribers, where a professional staff, the MLC should be reported and the information the MLC applicable.’’ Id. at 15–16. Some of these variables able to render monthly statements and has in its own records. As such, the may not be known until the end of a particular year royalty payments to copyright owners reporting of these regularly matched and may retroactively affect section 115 royalty no more than 10 days after it receives calculations. Second, ‘‘many licensees have works will be the primary subject of voluntary licenses with publishers, and the MMA usage and other supporting data from royalty statements from the MLC to continues to accommodate such direct deals. But in DMPs.’’ 65 It noted that even assuming copyright owners. These statements will some circumstances—for instance, new releases— the MLC could accomplish this within be in a format familiar to copyright neither the digital music provider nor the MLC may 10 days, copyright owners would still know at the time the payment and report of usage owners who currently receive is initially due whether a particular track is statements for mechanical associated with a direct deal publisher or is Collection and Delivery Efforts, and Reports of reproductions of musical works either licensed under the blanket license or is licensed Usage and Payment, Dkt. No. 2020–5, published elsewhere in this issue of the Federal Register. under the non-blanket compulsory across some combination of a direct deal and the blanket license. As a result, a digital music provider 62 MLC Initial at 28. license or voluntary licenses. The that is administering its own voluntary agreements 63 17 U.S.C. 115(c)(2)(I). The non-blanket license specific content that will be reported in (or using a non-MLC vendor) may inadvertently also imposes a deadline on reporting, requiring the statements, along with the timing of make a payment to the MLC that should have been monthly statements of account and payments to be statements, is discussed below. made directly to a publisher under the terms of a made within 20 calendar days of the end of the voluntary agreement.’’ Id. at 16. reporting period. The proposed rule does not 60 17 U.S.C. 115(d)(4)(A)(iv)(II). propose a date certain for reporting by the MLC. 55 Id. at 115(d)(3)(G)(i). 61 U.S. Copyright Office, Notice of Proposed 64 Music Reports Initial at 7 (quoting 17 U.S.C. 56 Id. at 115(d)(3)(I)(ii). Rulemaking, Music Modernization Act Notices of 115(d)(4)(A)(i) and 17 U.S.C. 115(c)(2)(I)). 57 Id. at 115(d)(4)(A)(iv)(II). License, Notices of Nonblanket Activity, Data 65 Music Reports Initial at 7.

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have to ‘‘wait 35 days longer to receive matched royalties to copyright owners robust and useable data—data provided payment from the MLC than they were every month so that copyright owners in electronic statements can, for accustomed to waiting prior to the can rely on the expectation that they example, be filtered and analyzed by license availability date,’’ given the will receive regularly-scheduled copyright owners in ways that is much statutory 45-day period for digital music payments. Given the unprecedented more difficult with paper statements. provider reporting.66 project of the blanket license and Electronic statements are also less costly MLC opposed Music Report’s associated transactional challenges, the to generate and distribute then paper proposal, calling it an ‘‘unreasonably Office declines at this time to impose a statements. The Office understands that tight timeline,’’ and stating: 67 further timing requirement for in some cases, the only reason paper [A] 10-day turnaround from the time the distribution of royalties, and credits statements are still used under current MLC receives monthly usage reports from MLC’s description of the material licenses is because of existing DMPs is not realistic given the sheer volume differences between its project and pre- contractual conditions which are not of transactions that the MLC will be blanket processing of matched royalties. applicable here. Nevertheless, the Office reporting. While Music Reports argues that it The MLC faces both known and appreciates that a small number of generally issued monthly statements and unknown challenges when it begins copyright owners may prefer paper royalty payment within 10 days of receipt of administering the blanket license, and a statements, so the regulations allow that DMPs usage reporting, this comparison does strict timing requirement for reporting option by request. not take into account the difference in the and distributing royalties may Additionally, as suggested by the volume of data it was processing (from a compound those challenges. DLC, the regulations would allow for a limited number of DMPs), versus the exponentially larger volume of data being The proposed rule takes the same copyright owner to request a separate, processed by the MLC. Nor does it take into approach for reporting of cumulative simplified report or to access their account the MLC’s obligations to carve out royalties. The Office notes that, statements through an online password- voluntary licenses and individual download beginning on the license availability protected portal.73 These options may licenses from blanket license usage. Nor does date, the MLC will receive cumulative be more attractive to some copyright it consider that, unlike the pre-blanket usage reports of unmatched accrued owners and would likely reduce license process, the blanket license process royalties from DMPs covering as much printing and postage costs. The Office does not include pre-matching of individual as two years of usage at the same time invites comment on these issues. sound recordings as licenses are requested, it must begin processing royalties in the and therefore, the MLC will be matching 4. Content many transactions for the very first time ordinary course. As with the regularly matched portion of monthly royalty The proposed rule specifies the when it processes usage. Nor does it consider content the MLC is required, at a that the MLC was created precisely to fix the statements, it is expected that the MLC serious problems that arose from prior will make timely payments of accrued minimum, to provide to copyright practices in royalty processing, and those royalties for newly matched musical owners when reporting royalties. In problematic practices are not the appropriate works, but the proposed rule does not general, the statement will allow benchmarks for determining what should be otherwise include a timing requirement copyright owners to see royalties best practices for the nationwide blanket with respect to reporting and paying accrued for each blanket licensee’s license administered by the MLC under the cumulative royalties after they have offerings for every musical work owned new MMA regime.68 been identified. by the copyright owner embodied in a MLC therefore reiterated support for For both revenue streams, significant sound recording. The statement will the proposal it offered in its initial nonregulatory incentives are also in clearly indicate the usage period when comments, which is silent on a place to ensure timely distribution of the royalties being distributed 74 reporting deadline.69 royalties. For one, the MLC represented accrued. Identifying information for The Office appreciates the points in its designation proposal that it musical works and the sound recordings made by both Music Reports and the ‘‘intends to provide ‘prompt, complete, in which they are embodied, if available MLC, and tentatively concludes that the and accurate payments to all copyright to the MLC, will also be included in the better regulatory approach is to ensure owners.’ ’’ 70 In addition, because the statement. the MLC has sufficient flexibility to MLC is governed by the very copyright The list proposed by the Office maximize its matching efforts before owners that it will be serving,71 and provides for every musical work distributing royalties, subject to the because it must maintain the support of identified as owned by a copyright owner for which there has been reported commitment to report royalties on a copyright owners,72 it shares their usage, a line-by-line statement of monthly basis. Put another way, the interest in prompt reporting and royalties earned by service offering and proposed rule allows the MLC to distribution. The Office reserves the sound recording that embodies the determine the pace at which it will right to revisit a potential timing musical work. The content is a process monthly reports of use received obligation in the future, and solicits combination of what the regulations for from DMPs (e.g., whether it takes the comment on this aspect of the proposed MLC 10 days or 30 days for its routine rule. 73 matching efforts), but not the DLC Reply at 27 (‘‘The MLC should also be 3. Method of Delivery permitted to satisfy the requirement for electronic frequency—once processing and delivery of statements by providing an online distribution starts, the proposed rule The Office proposes that royalty password protected portal, accompanied by email requires the MLC to report and pay statements be delivered to copyright notification of the availability of the statement in owners electronically by default, with the portal.’’). 74 See Lowery Reply at 6 (‘‘If the MLC reports do 66 Id. See also Monica Corton Consulting Reply at the option to receive them by mail by not designate which period the payment 2 (‘‘Having the DSP’s account 45 days after each request. Copyright owners benefit from corresponds to, there will be no way for songwriters month is totally changing the time frame for final electronic statements in several ways, to know what they are being paid for. This boils payments from the MLC to the publishers and will including faster delivery and more down to receiving a statement that says, here’s some create a huge lag time in mechanical payments from money, or worse, no money for you. If there is no the publishers to the songwriters.’’). explanation of when the royalties were earned or 67 MLC Reply at 40. 70 84 FR at 32291. last paid on a service-by-service basis, there is no 68 Id. at 40–41. 71 17 U.S.C. 115(d)(3)(D). way for songwriters to know if any service is 69 Id. at 41. 72 Id. at 115(d)(3)(A)(ii). current.’’).

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statements of account under the non- license will be matched to their correct Recording Industry Association of blanket license require and a list copyright owners. The statements that America, Inc. (‘‘RIAA’’) identified a proposed by MLC, and is intended to accompany the distribution of royalties potential source of confusion with the provide reporting information to copyright owners will communicate term, given that the legal owner of a consistent with industry standards.75 this information to copyright owners. As sound recording copyright is not always Where the language of the Office’s reflected in the MLC’s proposal and the same as the party identified as the proposed rule departs from the MLC, incorporated into the proposed rule, it sound recording copyright owner in the departure is not intended to be will include identifying information for royalty metadata currently used in the substantive, but rather to conform with the copyright owner, including any digital music marketplace.86 At a existing language in title 17 and standard identifiers associated with the minimum, the Office recognizes that for associated regulatory provisions, as well owner, such as an Interested Parties musical work copyright owners as terminology used in other pending Identification (‘‘IPI’’) number.81 The receiving royalty statements, ‘‘sound rulemakings regarding content to be statement will include information recording copyright owner’’ may not be provided by the DMPs as well as identifying the musical work for which as important to know for recordkeeping information included in the MLC’s royalties are being distributed, purposes as other fields identifying the database. including any alternative or sound recording, such as record label, The initial source of much parenthetical titles for the work known and the Office seeks comment on information reported in statements will to the MLC. It will also include whether it is necessary to require come from the blanket licensees identification of the composers and reporting of sound recording copyright themselves in the reports of usage that songwriters of the musical work, which owner on royalty statements. they will provide to the MLC every one commenter noted was essential to The proposed rule is not intended to month.76 The MMA lists a number of ensuring songwriters are properly paid be an exhaustive list of everything the types of information required to be under common publishing MLC will report to copyright owners, included in reports of usage and also agreements.82 but rather set a baseline of fields that, provides the Register of Copyrights with In addition, the statement will at a minimum, will be included in the authority to require additional include information about the royalty statements. The MLC will likely information by regulation, which the individual sound recordings embodying report additional information to Office is promulgating under a separate the musical works, including such copyright owners based on standard rulemaking proceeding.77 Under the information as the sound recording industry practices or customer statute, information will also be name (including, as with musical works, expectations.87 For example, the obtained by the MLC through additional any alternative and parenthetical titles), proposed rule would encourage, but not sources. The MLC itself has an the names of the featured artists, and the require, the MLC to report additional obligation to ‘‘engage in efforts to record label. The proposed rule would identifying information for sound identify the musical works embodied in also require the statement to identify the recordings, including playing time, particular sound recordings, as well as sound recording copyright owner, an album title, album artist (which may be to identify and locate the copyright item the statute directs DMPs to include different than the featured artist of the owners of such works (and shares in the usage reports sent to the MLC 83 individual sound recording, particularly thereof), and update such data as and directs the MLC to include in its in the case of compilations or appropriate.’’ 78 The MLC will also musical works database.84 The Office is soundtracks), record label, distributor, a ingest information related to musical separately considering the meaning of Universal Product Code (UPC) for works copyright ownership, including the term ‘‘sound recording copyright albums, version number, release date, by ‘‘[a]dminister[ing] a process by owner’’ in rulemakings addressing usage producer(s), catalog number, and any which copyright owners can claim reports and the musical works database, other standard identifiers in the MLC’s ownership of musical works (and shares and the term will carry the same records. It is the Office’s understanding of such works).’’ 79 And musical work meaning here.85 At the same time, the that the MLC does intend to report copyright owners have an obligation to additional information, and so the ‘‘engage in commercially reasonable 81 The regulations make clear that certain types of efforts to deliver to the mechanical information—which are not required by the statute elsewhere in this issue of the Federal Register; U.S. licensing collective, including for use in for copyright owners to receive royalties they are Copyright Office, Notification of Inquiry, entitled to under the blanket license, such as IPI Transparency of the Mechanical Licensing the musical works database, to the numbers or International Standard Name Identifiers Collective and Its Database of Musical Works extent such information is not then (‘‘ISNI’’)—will be reported if provided by a Information, Dkt. No. 2020–8, published elsewhere available in the database, information copyright owner, but they are not a prerequisite to in this issue of the Federal Register. receiving royalties. Some commenters raised 86 RIAA Initial at 2 (‘‘In the digital music space, regarding the names of the sound concerns about such standard identifiers, which recordings in which that copyright DMPs are required to pay royalties in exchange for independent or self-represented songwriters may access to valuable sound recordings. DMPs are owner’s musical works (or shares not necessarily have, becoming de facto instructed to whom to send those royalties via a thereof) are embodied, to the extent requirements for receiving royalties from the MLC. specialized DDEX message known as the ERN (or practicable.’’ 80 This combination of See, e.g., North Music Group Reply at 1. Electronic Release Notification), which includes a 82 North Music Group Ex Parte Letter at 1 (‘‘Major information will be used by the MLC to field labeled sound recording copyright owner publisher deals often include language that allows (‘SRCO’). Importantly, as a matter of business ensure that royalties generated by the publisher to not pay the writer if the data within custom and practice, the SRCO field is typically covered activities under the blanket the royalty statement delivered to the publisher populated with information about the party that is does not include the writer’s name. The MLC must entitled to receive royalties (who may or may not deliver the writer’s name in statements in order to 75 be the actual legal copyright owner), because that The content required to be included in provide the writer the best chance of receiving his/ statements of account under the non-blanket is the information that is relevant to the business her royalties from the publisher.’’). relationship between record labels and DMPs. The compulsory license is prescribed in 37 CFR 83 17 U.S.C. 115(d)(4)(A)(ii)(I)(aa). SRCO data in the ERN message is not meant to be 210.16(b)–(c). 84 Id. at 115(d)(3)(E)(ii). used to make legal determinations of ownership.’’); 76 17 U.S.C. 115(d)(4)(A)(ii). 85 See U.S. Copyright Office, Notice of Proposed see also Sony Music & RIAA Ex Parte Letter at 1– 77 Id. at 115(d)(4)(A)(ii)(III). Rulemaking, Music Modernization Act Notices of 2; Universal Music Group & RIAA Ex Parte Letter 78 Id. at 115(d)(3)(E)(i). License, Notices of Nonblanket Activity, Data at 2–3. 79 Id. at 115(d)(3)(C)(i)(V). Collection and Delivery Efforts, and Reports of 87 See MLC Ex Parte Letter Mar. 24, 2020 (‘‘MLC 80 Id. at 115(d)(3)(E)(iv). Usage and Payment, Dkt. No. 2020–5, published Ex Parte Letter #3’’) at 2.

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proposed rule would provide it some a separate notice of inquiry regarding are subject to audit by any copyright flexibility to be responsive to copyright the MLC’s public database.90 The Office owner.’’ 96 Additionally, it noted that owner needs. If, however, it becomes seeks comments on whether ‘‘known to the requirement ‘‘would be unduly appropriate for regulations to require the MLC’’ is an appropriate standard for burdensome and costly.’’ 97 the reporting of additional fields, either triggering an obligation to report While the requirement that DMPs through the initial adoption of specific information. certify the statements made in their regulations or through adjustment of an The Office invites comments on the usage reports to the MLC will provide interim rule if practical experience proposed information to be reported to a measure of quality control for much of demonstrates such an additional need, copyright owners, including whether the information that eventually flows to this proposed language could be the rule should require any additional copyright owners, the Office tentatively adjusted. information, or conversely, whether concludes that it may not provide Finally, for each separate service, certain fields should be excluded from sufficient safeguards for copyright activity, or offering that is reported by the rule, with the MLC retaining owners. The MLC is required to engage blanket licensees to the MLC, royalty discretion to include them based on its in additional processing of the information regarding the identification experiences and judgment. statements made in usage reports when of the blanket licensee, the particular it receives them, including 5. Certification service where the musical work was ‘‘identify[ing] the musical works used under the blanket license, the Under the non-blanket license, embodied in sound recordings reflected royalty rate, total usage, and total licensees are required to certify to the in such reports, and the copyright amount of royalties to be distributed, truth of the statements made in monthly owners of such musical works (and will be provided to copyright owners. In statements of account.91 The MMA is shares thereof) . . . confirm[ing] uses of some cases, the actual blanket licensee silent on any certification requirement musical works subject to voluntary may be an infrastructure provider or for blanket license royalty statements, licenses and individual download ‘‘white label’’ service that provides all and the MLC proposal did not require licenses, and the corresponding pro rata the necessary elements of a digital certification of royalty statements. amounts to be deducted from royalties music provider to a consumer-facing Music Reports replied in favor of that would otherwise be due under the service. Such white label services may retaining a certification requirement for blanket license[,] and confirm[ing] in fact serve multiple consumer-facing the MLC royalty statements, saying, proper payment of royalties due.’’ 98 services. In such cases, the name of the ‘‘[t]he same logic, ethical obligations, Certification by the MLC may thus help customer-facing service is just as useful and need for accounting rigor that apply ensure the accuracy of this additional (if not more useful) to copyright owners, to monthly, cumulative, and annual accounting done by the MLC before who are likely to be more familiar with statements of account in the pre-license distributing royalties. While the MMA those services than the underlying availability date period should also provides copyright owners with the licensees.88 Thus, the regulations would apply to such statements when they are right to audit the MLC to verify the require identification of any trade or prepared and rendered to copyright accuracy of royalty payments, this new consumer-facing brand names of such owners by the MLC.’’ 92 Music Reports audit right does not ameliorate the value services if they are different from the noted in particular that ‘‘[h]istorically, of certification.99 As one commenter name of the blanket licensee. music rights owners and digital music noted, audits are limited to no more The rule proposes that certain providers have been in contractual than one a year for any individual identifying information for musical privity with one another through the copyright owner and may be costly and works and sound recordings, such as mechanism of the compulsory lengthy.100 Interested Parties Information (‘‘IPI’’), mechanical license.’’ 93 That privity is The proposed rule would require the International Standard Work Code lost with the creation of the blanket MLC to certify monthly royalty (‘‘ISWC’’), International Standard license and transfer of blanket license statements under the blanket license the Recording Code (‘‘ISRC’’), and record functions to the MLC. The MLC same way monthly statements of label, are only required to the extent disagreed with Music Report’s proposal, account must be currently certified by they are known to the MLC, since there saying certification of usage reports by non-blanket licensees using the may be copyright owners and musical the DMPs, which is required under the compulsory license. This requirement works that do not have this information statute,94 ‘‘should be sufficient.’’ 95 would provide copyright owners with associated with them. This threshold— Certification, it said, ‘‘is unjustified the same level of certification by the requiring reporting information only ‘‘to given that the underlying data is processor of their royalties that they the extent it is known to the mechanical certified by the DMPs, and the nonprofit enjoy under the existing non-blanket licensing collective’’—is intended to MLC has no financial interest in license. The Office recognizes this will ensure the MLC includes such underpayment, and MLC accountings add an additional process step upon the information that it has determined is MLC. To address that concern, the reliable enough to be reported as 90 U.S. Copyright Office, Notification of Inquiry, Office is proposing a minimum Transparency of the Mechanical Licensing ‘‘known,’’ but does not imply any Collective and Its Database of Musical Works threshold of royalties due that triggers further obligations to seek out such Information, Dkt. No. 2020–8, published elsewhere the certification requirement. Under the information beyond what is already in this issue of the Federal Register. proposed rule, only statements where 91 required of it.89 This proposed approach 37 CFR 210.16(f). the total royalties to be distributed 92 Music Reports Initial at 5. is similar to the standard articulated in 93 Id. 96 Id. at 40. 94 17 U.S.C. 115 (d)(4)(A)(i) provides that ‘‘[a] 97 88 See, e.g., id. digital music provider shall report and pay royalties Id. 89 This proceeding is not intended to create any to the mechanical licensing collective under the 98 17 U.S.C. 115(d)(3)(G)(i)(I). rules regarding when a work is considered blanket license on a monthly basis in accordance 99 Id. at 115(d)(3)(L). ‘‘matched’’ as that term is used in 17 U.S.C. 115. with clause (ii) and subsection (c)(2)(I).’’ Section 100 See, e.g., Lowery Reply at 7 (‘‘Auditing years As noted above, the Office is currently undergoing 115(c)(2)(I) in turn requires that reports be made after the fact is not going to get it done .... The a study on unclaimed royalties, which may provide under oath and according to regulations prescribing audit language is simply not fit for purpose in a an avenue for members of the public to comment ‘‘the manner of certification.’’ world of trillions of individual transactions rather upon that standard in greater detail. 95 MLC Reply at 39. than hundreds of millions of CDs.’’).

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during the period covered by the thresholds are set at $1 and $100, license than under the non-blanket statement exceed $100 are required to respectively; 107 for BMI, the thresholds license. be certified by the MLC. The Office are $2 and $100.108 Based on these As with the type of information this seeks comment on this proposal. benchmarks, the Office proposes rule requires the MLC to report to 6. Payment Thresholds establishing a minimum payment copyright owners, this rule establishes threshold of $5 for direct deposit, $100 only minimum reporting obligations. Under the proposed rule, the MLC for paper checks, and $250 for wire The MLC may choose to provide will be required to provide copyright transfer. In any case, the copyright copyright owners with annual owners with a statement for every owner would retain the ability under statements if it sees a value in doing so. period in which there is activity the regulations to request payment for The rule is silent on the requirement to relevant to the distribution of royalties accrued royalties that fall below the preserve maximum flexibility to the under the blanket license. To promote threshold set by the MLC. The Office MLC for providing statements beyond efficiency, royalties will not be seeks comment on this threshold, what the Office has identified as considered payable to copyright owners required to ensure transparency and until the total royalties collected equal including whether amounts proposed are appropriate. accountability. The Office seeks at least one cent. comment on this proposal. Separately, the DLC commented that 7. Annual Royalty Statement it would be inefficient to send ‘‘tens of 8. Disclosures; Education and Outreach thousands of penny checks’’ and At this time, the Office is not Under the MMA, the MLC is required suggested setting a default royalty proposing including a requirement for 101 to engage in certain outreach and payment threshold of $25. The annual royalty statements. Although educational efforts, including, current regulations for monthly section 115 requires non-blanket ‘‘engag[ing] in diligent, good-faith statements of account under the non- licensees to provide an annual efforts to publicize, throughout the blanket license allow a compulsory statement of account to copyright music industry—the existence of the licensee to defer the payment date for owners, there is a key difference in how collective and the ability to claim royalties until the cumulative unpaid adjustments to royalties distributed in unclaimed accrued royalties for royalties exceed $5.102 The Office set prior reporting periods are proposed to unmatched musical works (and shares the threshold at $5 after a proposal to be reported under the blanket license. of such works) held by the collective; set it at $50.103 The Office concluded Under the non-blanket license, licensees the procedures by which copyright that although it lacked express statutory are required to serve an amended owners may identify themselves and authority to set a threshold, it could annual statement of account when provide contact, ownership, and other create one through its ‘‘inherent royalties are adjusted.109 Under the authority to allow the withholding of relevant information to the collective in blanket license, to facilitate timely order to receive payments of accrued amounts it determines are de payment of royalties to copyright 104 royalties; any transfer of accrued minimis.’’ It determined that a owners, the proposed rule would threshold of $5 was permitted under royalties for musical works under 105 provide for adjustments to be reported paragraph (10)(B), not later than 180 that standard. to copyright owners with their regular In light of the additional general days after the date on which the transfer monthly statements, as the MLC rulemaking authority delegated to the is received; and any pending receives and processes reports of distribution of unclaimed accrued Register of Copyrights under section 110 115(d)(12)(A), it appears that the Office adjustments from the DMPs. Thus, royalties and accrued interest, not less would not be similarly constrained in the proposed rule ensures copyright than 90 days before the date on which establishing a minimum threshold for owners continue to receive the same the distribution is made.’’ 111 Royalty royalty payments and can set a information under the blanket license statements provide a valuable avenue threshold higher than $5. Indeed, it may they expect under the non-blanket for communicating with copyright be appropriate to provide for different license, just in a different type of owners. The Office is not proposing any thresholds depending on the payment statement. In fact, since the Office is specific disclosures, but encourages the method, given that there are different proposing that adjustments be reported MLC to use royalty statements as part of costs associated with processing by DMPs to the MLC and subsequently, its educational and outreach obligations payments by direct deposit, physical from the MLC to copyright owners, in a under the statute. more frequent manner than once a year, check, or wire transfer, and such tiered III. Subjects of Inquiry structures are standard in comparable the Office hopes that adjustments will distributions. At this point, there are be made and any additional royalties Before promulgating a final rule, the insufficient data regarding how much it paid out more quickly under the blanket Copyright Office seeks additional public will cost the MLC to process payments, comment on all aspects of the proposed but existing thresholds within the 107 ASCAP, Performance Periods and Payment rule, including the specific subjects market provide a useful starting point. Methods, https://www.ascap.com/help/royalties- below: and-payment/payment/payment (last visited Apr. 2, 1. Should the regulations require For example, SoundExchange has a 2020). minimum payment threshold of $10 for 108 BMI, How We Pay Royalties, https:// distribution and reporting of royalties to electronic payments and $100 for paper www.bmi.com/creators/royalty/general_information occur within a specified time period? checks.106 For ASCAP, the minimum (last visited Apr. 2, 2020). 2. Should the rule establish electronic 109 37 CFR 210.17(d)(2)(iii). delivery of statements by default, with 110 101 DLC Reply at 27. The Office is proposing that DMPs report the option to request paper statements? adjustments on a monthly basis in a separate, 102 37 CFR 210.16(g)(6). concurrent rulemaking. See U.S. Copyright Office, 3. Is ‘‘known to the MLC’’ an 103 79 FR at 56198. Notice of Proposed Rulemaking, Music appropriate standard for triggering an 104 Id. Modernization Act Notices of License, Notices of obligation to report information that the 105 Id. at 56198–99. Nonblanket Activity, Data Collection and Delivery MLC is not expected to have for all 106 SoundExchange, General FAQs, https:// Efforts, and Reports of Usage and Payment, Dkt. No. www.soundexchange.com/about/general-faqs/ (last 2020–5, published elsewhere in this issue of the visited Apr. 2, 2020). Federal Register. 111 17 U.S.C. 115(d)(3)(J)(iii)(II).

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musical works, sound recordings, and/ matched in the month next preceding mechanical licensing collective by a or copyright owners? and a proportionate amount of accrued copyright owner or its administrator. 4. Is there any additional content that interest associated with that work; and (v) The name(s) of the songwriter(s), should be reported to copyright owners, (iii) Any overpayment or to the extent they are known to the or, conversely, is there any content underpayment of royalties in prior mechanical licensing collective. proposed to be reported that is periods based on adjustments to reports (vi) ISNI(s) and IPI(s) of each unnecessary to require by regulation? of usage by digital music providers. songwriter, to the extent either is known 5. Are the minimum payment (2) Royalty distributions shall be to the mechanical licensing collective. thresholds ($2 for direct deposit, $100 accompanied by a royalty statement (vii) The percentage share of musical for paper checks, and $250 for wire containing the information set forth in work owned or controlled by the transfer) for distribution of royalties paragraph (c) of this section. copyright owner. appropriate? (c) Content—(1) General content of (viii) For each sound recording 6. Should the mechanical licensing royalty statements. Accompanying the embodying the musical work, the collective be required to send annual distribution of royalties to a copyright identifying information enumerated in statements in addition to monthly owner, the mechanical licensing paragraph (c)(3) of this section and the royalty statements? collective shall provide to the copyright royalty information enumerated in paragraph (c)(4) of this section. List of Subjects in 37 CFR Part 210 owner a statement that includes, at a minimum, the following information: (3) Sound recording information. For Copyright, Phonorecords, Recordings. (i) The period (month and year) each sound recording embodying a Proposed Regulations covered by the statement. musical work included in a royalty (ii) The name and address of the statement, the mechanical licensing For the reasons set forth in the mechanical licensing collective. collective shall report the following preamble, the Copyright Office proposes (iii) The name and mechanical information: amending 37 CFR part 210 as follows: licensing collective identification (i) The sound recording name(s), number of the copyright owner. including primary and all known PART 210—COMPULSORY LICENSE (iv) ISNI and IPI name and alternative and parenthetical titles for FOR MAKING AND DISTRIBUTING identification number of the copyright the sound recording. PHYSICAL AND DIGITAL owner, to the extent it has been (ii) The featured artist(s). PHONORECORDS OF NONDRAMATIC provided to the mechanical licensing (iii) The record label name(s), to the MUSICAL WORKS collective by a copyright owner. extent it is known to the mechanical ■ 1. The authority citation for part 210 (v) The name and mechanical licensing collective. continues to read as follows: licensing collective identification (iv) ISRC, to the extent it is known to number of the copyright owner’s the mechanical licensing collective. Authority: 17 U.S.C. 115, 702. administrator (if applicable), to the (v) The sound recording copyright extent one has been provided to the owner(s). Subpart B—Blanket Compulsory mechanical licensing collective by a (vi) The MLC is encouraged to include License for Digital Uses, Mechanical copyright owner. other information commonly used in the Licensing Collective, and Digital (vi) ISNI and IPI of the copyright industry to identify sound recordings, Licensee Coordinator owner’s administrator, to the extent one such as any other unique identifier(s) ■ 2. Add § 210.29 to read as follows: has been provided to the mechanical for or associated with the sound licensing collective by a copyright recording, including any unique § 210.29 Reporting and distribution of owner, songwriter, or administrator. identifier(s) for any associated album, royalties to copyright owners by the (vii) Payment information, such as including but not limited to: mechanical licensing collective. check number, ACH identification, or (A) Playing time. (a) General. This section prescribes wire transfer number. (B) Album title(s) or product name(s). reporting obligations of the mechanical (viii) The total royalty payable to the (C) Album or product featured licensing collective to copyright owners relevant copyright owner for the month artist(s), if different from sound for the distribution of royalties for covered by the royalty statement. recording featured artist(s). musical works, licensed under the (2) Musical work information. For (D) Distributor(s). blanket license for digital uses each matched musical work owned by (4) Royalty information. The prescribed in 17 U.S.C. 115(d)(1), that the copyright owner for which mechanical licensing collective shall have been matched, either through the accompanying royalties are being separately report, for each service, processing by the mechanical licensing distributed to that copyright owner, the offering, or activity reported by a collective upon receipt of a report of mechanical licensing collective shall blanket licensee, the following royalty usage and royalty payment from a report the following information: information for each sound recording digital music provider, or during the (i) The musical work name, including embodying a musical work included in holding period for unmatched works as primary and any alternative and a royalty statement: defined in 17 U.S.C. 115(d)(3)(H)(i). parenthetical titles for the musical work (i) The name of the blanket licensee (b) Distribution of royalties and known to the mechanical licensing and, if different, the trade or consumer- royalty statements. (1) Royalty collective. facing brand name(s) of the service(s), distributions shall be made on a (ii) ISWC for the musical work, to the including any specific offering(s), monthly basis and shall include: extent it is known to the mechanical through which the blanket licensee (i) All royalties to a copyright owner licensing collective. engages in covered activities. for a musical work matched in the (iii) The mechanical licensing (ii) The service tier or service ordinary course under 17 U.S.C. collective identification number of the description. 115(d)(3)(G)(i)(II) for the month next musical work. (iii) The use type (download or preceding; (iv) The administrator’s unique stream). (ii) All accrued royalties for any identifier for the musical work, to the (iv) The number of payable units, particular musical work that has been extent one has been provided to the including, as applicable, permanent

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downloads, plays, and constructive (B) Statement two: Dated: April 15, 2020. plays. This statement was prepared by the Regan A. Smith, (v) The royalty rate and amount. Mechanical Licensing Collective and/or its General Counsel and Associate Register of (vi) The interest amount. Copyrights. (vii) The distribution amount. agent using processes and internal controls (d) Cumulative statements of account, that were subject to an examination, during [FR Doc. 2020–08375 Filed 4–17–20; 4:15 pm] and adjustments. (1) For royalties the past year, by a licensed Certified Public BILLING CODE 1410–30–P reported under paragraph (b)(1)(ii) of Accountant in accordance with the this section, the mechanical licensing attestation standards established by the collective shall provide a cumulative American Institute of Certified Public LIBRARY OF CONGRESS statement of account that includes, in Accountants, the opinion of whom was that the processes and internal controls were U.S. Copyright Office addition to the information in paragraph suitably designed to generate monthly (c) of this section, a clear identification statements that accurately reflect, in all 37 CFR Part 210 of the total period covered and the total material respects, the blanket licensee’s usage royalty payable for the period. [Docket No. 2020–7] of musical works, the statutory royalties (2) For adjustments reported under applicable thereto, and any other data that is paragraph (b)(1)(iii) of this section, the Treatment of Confidential Information necessary for the proper calculation of the mechanical licensing collective shall by the Mechanical Licensing Collective statutory royalties in accordance with 17 clearly indicate the original reporting and Digital Licensee Coordinator U.S.C. 115 and applicable regulations. period of the royalties being adjusted. AGENCY: U.S. Copyright Office, Library (e) Delivery of royalty statements. (h) Delivery. (1) Subject to paragraph of Congress. Royalty statements may be delivered (h)(2) of this section, a separate royalty ACTION: Notice of proposed rulemaking. electronically or, upon written request statement shall be provided for each of the copyright owner, by mail. month during which there is any SUMMARY: The U.S. Copyright Office is Nothing in this section shall prevent the activity relevant to the distribution of issuing a notice of proposed rulemaking mechanical licensing collective from royalties under the blanket license. regarding the protection of confidential alternatively providing, upon written information by the mechanical licensing request of the copyright owner: (2) Royalties under the blanket license shall not be considered payable, and no collective and digital licensee (1) A separate, simplified report coordinator under title I of the Orrin G. royalty statement shall be required, containing fewer data fields that may be Hatch-Bob Goodlatte Music until the cumulative unpaid royalties more understandable for the copyright Modernization Act. After soliciting collected for the copyright owner equal owner; or public comments through a notification at least one cent. Moreover, in any case (2) Access to statements through an of inquiry, the Office is now proposing in which the cumulative unpaid online password protected portal, regulations identifying appropriate accompanied by email notification of royalties under the blanket license that procedures to ensure that confidential, the availability of the statement in the would otherwise be distributed by the private, proprietary, or privileged portal. mechanical licensing collective to the information contained in the records of (f) Clear statements. The information copyright owner are less than $2 if the the mechanical licensing collective and required by paragraph (c) of this section copyright owner receives payment by digital licensee coordinator is not requires intelligible, legible, and direct deposit, $100 if the copyright improperly disclosed or used. The unambiguous statements in the royalty owner receives payment by physical Office solicits additional public statements without incorporation of check, or $250 if the copyright owner comments on the proposed rule, facts or information contained in other receives payment by wire transfer and including regarding the use of documents or records. the copyright owner has not notified the confidentiality designations and (g) Certification. (1) Each royalty mechanical licensing collective in statement in which the total royalty nondisclosure agreements. writing that it wishes to receive royalty DATES: Written comments must be payable to the relevant copyright owner statements reflecting payments of less for the month covered is equal to or received no later than 11:59 Eastern than the threshold, the mechanical Time on June 8, 2020. greater than $100 shall be accompanied licensing collective may choose to defer ADDRESSES: For reasons of government by: the payment date for such royalties and (i) The name of the person who is efficiency, the Copyright Office is using provide no royalty statements until the signing and certifying the statement. the regulations.gov system for the (ii) A signature of a duly authorized earlier of the time for rendering the submission and posting of public officer of the mechanical licensing royalty statement for the month in comments in this proceeding. All collective. which the unpaid royalties under the comments are therefore to be submitted (iii) The date of signature and blanket license for the copyright owner electronically through regulations.gov. certification. exceed the threshold, at which time the Specific instructions for submitting (iv) The title or official position held mechanical licensing collective may comments are available on the by the person who is signing and provide one statement and payment Copyright Office website at https:// certifying the statement. covering the entire period for which copyright.gov/rulemaking/mma- (v) One of the following statements: royalty payments were deferred. confidentiality. If electronic submission (A) Statement one: (3) If the mechanical licensing of comments is not feasible due to lack I certify that (1) I am duly authorized to collective is required, under applicable of access to a computer and/or the sign this royalty statement on behalf of the tax law and regulations, to make backup internet, please contact the Office using mechanical licensing collective; (2) I have withholding from its payments required the contact information below for examined this royalty statement; and (3) All special instructions. statements of fact contained herein are true, hereunder, the mechanical licensing complete, and correct to the best of my collective shall indicate the amount of FOR FURTHER INFORMATION CONTACT: knowledge, information, and belief, and are such withholding on the royalty Regan A. Smith, General Counsel and made in good faith; or statement or on or with the distribution. Associate Register of Copyrights, by

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email at [email protected] or Anna establishing and operating the MLC records, and data’’ pursuant to audits by Chauvet, Associate General Counsel, by through an administrative assessment, copyright owners; 13 and (6) email at [email protected]. Each can to be determined, if necessary, by the examination of digital music providers’ be contacted by telephone by calling Copyright Royalty Judges (‘‘CRJs’’).6 As ‘‘books, records, and data’’ pursuant to (202) 707–8350. permitted under the MMA, the Office audits by the MLC.14 SUPPLEMENTARY INFORMATION: designated a digital licensee coordinator On September 24, 2019, the Office (‘‘DLC’’) to represent licensees in issued a notification of inquiry seeking, I. Background proceedings before the CRJs and the among other things, public input on any On October 11, 2018, the president Copyright Office, to serve as a non- issues that should be considered signed into law the Orrin G. Hatch-Bob voting member of the MLC, and to carry relating to the treatment of confidential Goodlatte Music Modernization Act, out other functions.7 and other sensitive information under H.R. 1551 (‘‘MMA’’).1 Title I of the The MMA directs the Copyright the blanket license regime.15 In MMA, the Musical Works Office to ‘‘adopt regulations to provide response, the Office received proposed Modernization Act, substantially for the appropriate procedures to ensure regulatory language relating to modifies the compulsory ‘‘mechanical’’ that confidential, private, proprietary, or confidentiality requirements from both license for making and distributing privileged information contained in the the DLC and MLC, and a few comments phonorecords of nondramatic musical records of the [MLC] and [DLC] is not about confidentiality more generally works under 17 U.S.C. 115.2 Prior to the improperly disclosed or used, including from other stakeholders.16 MMA, licensees obtained a section 115 through any disclosure or use by the The MLC’s approach generally compulsory license on a per-work, song- board of directors or personnel of either proposes requiring the MLC and DLC to by-song basis, by serving a notice of entity, and specifically including the implement confidentiality policies to intention to obtain a compulsory license unclaimed royalties oversight prevent improper or unauthorized use (‘‘NOI’’) on the relevant copyright owner committee and the dispute resolution of various categories of confidential (or filing it with the Copyright Office if committee of the [MLC].’’ 8 information, but lacks specific the Office’s public records did not The MMA additionally makes several requirements for those policies or a identify the copyright owner) and then explicit references to the Office’s proposed definition of ‘‘confidential paying applicable royalties regulations governing the treatment of information.’’ 17 The DLC contends that accompanied by accounting confidential and other sensitive the MLC’s proposal, by providing broad statements.3 The MMA amends this information in various circumstances, discretion to the MLC and DLC to regime most significantly by including with respect to: (1) ‘‘all implement policies regarding establishing a new blanket compulsory material records of the operations of the confidentiality, ‘‘would inappropriately license that digital music providers may [MLC]’’; 9 (2) steps the MLC must take to redelegate that authority [granted to the obtain to make digital phonorecord ‘‘safeguard the confidentiality and Register] to itself and DLC.’’ 18 The DLC deliveries (‘‘DPDs’’) of musical works, security of usage, financial, and other maintains that the Office’s regulations including in the form of permanent sensitive data used to compute market should provide necessary guidance, not downloads, limited downloads, or shares’’ when distributing unclaimed merely provide the MLC and DLC interactive streams (referred to in the accrued royalties; 10 (3) steps the MLC discretion to create their own policies.19 statute as ‘‘covered activity,’’ where and DLC must take to ‘‘safeguard the Taking into account the statutory text, such activity qualifies for a compulsory confidentiality and security of financial legislative history, and comments license).4 Instead of licensing one song and other sensitive data shared’’ by the received, the Office agrees with the at a time by serving NOIs on individual MLC to the DLC about significant DLC’s concern. As noted previously by copyright owners, the blanket license nonblanket licensees; 11 (4) voluntary the Office, ‘‘establishing confidentiality will cover all musical works available licenses administered by the MLC; 12 (5) for compulsory licensing and will be examination of the MLC’s ‘‘books, 13 Id. at 115(d)(3)(L)(i)(II). centrally administered by a mechanical 14 Id. at 115(d)(4)(D)(i)(II). licensing collective (‘‘MLC’’), which has 6 17 U.S.C. 115(d)(7)(D). 15 84 FR 49966, 49973 (Sept. 24, 2019). been designated by the Register of 7 Id. at 115(d)(5)(B); 84 FR at 32274; see also 17 16 All rulemaking activity, including public Copyrights.5 U.S.C.115(d)(3)(D)(i)(IV), (d)(5)(C). comments, as well as educational material 8 regarding the Music Modernization Act, can By statute, digital music providers 17 U.S.C. 115(d)(12)(C). 9 Id. at 115(d)(3)(M)(i) (‘‘The mechanical licensing currently be accessed via navigation from https:// will bear the reasonable costs of collective shall ensure that all material records of www.copyright.gov/music-modernization/. the operations of the mechanical licensing Comments received in response to the September 1 Public Law 115–264, 132 Stat. 3676 (2018). collective, including those relating to notices of 2019 notification of inquiry are available at https:// 2 See S. Rep. No. 115–339, at 1–2 (2018); Report license, the administration of the claims process of www.regulations.gov/docketBrowser?rpp=25& and Section-by-Section Analysis of H.R. 1551 by the the mechanical licensing collective, reports of po=0&dct=PS&D=COLC-2019-0002&refD=COLC- Chairmen and Ranking Members of Senate and usage, royalty payments, receipt and maintenance 2019-0002-0001. References to these comments and House Judiciary Committees, at 1 (2018), https:// of accrued royalties, royalty distribution processes, letters are by party name (abbreviated where www.copyright.gov/legislation/mma_conference_ and legal matters, are preserved and maintained in appropriate), followed by either ‘‘Initial,’’ ‘‘Reply,’’ report.pdf (‘‘Conf. Rep.’’); see also H.R. Rep. No. a secure and reliable manner, with appropriate or ‘‘Ex Parte Letter,’’ as appropriate. Guidelines for 115–651, at 2 (2018) (detailing the House Judiciary commercially reasonable safeguards against ex parte communications, along with records of Committee’s efforts to review music copyright unauthorized access, copying, and disclosure, and such communications, are available at https:// laws). subject to the confidentiality requirements www.copyright.gov/rulemaking/mma- 3 See 17 U.S.C. 115(b)(1), (c)(5) (2017); U.S. prescribed by the Register of Copyrights under implementation/ex-parte-communications.html. Copyright Office, Copyright and the Music paragraph (12)(C) for a period of not less than 7 The Office encourages parties to refrain from Marketplace 28–31 (2015), https:// years after the date of creation or receipt, whichever requesting ex parte meetings on this proposed rule www.copyright.gov/policy/musiclicensingstudy/ occurs later.’’). until they have submitted written comments. As copyright-and-the-music-marketplace.pdf 10 Id. at 115(d)(3)(J)(i)(II)(bb); see H.R. Rep. No. stated in the guidelines, ex parte meetings with the (describing operation of prior section 115 license). 115–651, at 27 (‘‘Unclaimed royalties are to be Office are intended to provide an opportunity for 4 17 U.S.C. 115(d)(1), (e)(7); see H.R. Rep. No. distributed based upon market share data that is participants to clarify evidence and/or arguments 115–651, at 4–6 (describing operation of the blanket confidentially provided to the collective by made in prior written submissions, and to respond license and the mechanical licensing collective); S. copyright owners.’’); S. Rep. No. 115–339, at 24 to questions from the Office on those matters. Rep. No. 115–339, at 3–6 (same). (same); Conf. Rep. at 20 (same). 17 See MLC Initial at 29–30, App. H. 5 17 U.S.C. 115(d)(1), (3); 84 FR 32274 (July 8, 11 17 U.S.C. 115(d)(6)(B)(ii). 18 DLC Reply at 27. 2019). 12 Id. at 115(d)(11)(C)(iii). 19 See id. at 28.

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rules sooner rather than later may help notification seeks public input regarding Office recognizes that digital music the MLC and DLC share information as which information in the MLC’s providers understandably want to effectively and efficiently as possible as database should be publicly available, ensure that sensitive business provided they both get ready for the license which information the MLC should be information to the MLC is not availability date.’’ 20 In addition, having required to disclose in its annual reports unlawfully or inappropriately disclosed more specific confidentiality regulations (including issues related to vendor or used, defining confidential in place may assure those providing selection and performance), which information as including ‘‘all the usage confidential and commercially sensitive entities should have bulk access to the and royalty information’’ would be information to the MLC that it will be MLC’s database (and through which overly broad and unnecessarily place protected, as well as ‘‘provide the manner), restrictions on the use of data restrictions on information that must ground rules for the relationship from the MLC’s database, and other necessarily be shared with copyright between DLC, the MLC, and its ways in which transparency may be owners receiving statements of accounts respective members.’’ 21 promoted. The Office encourages from the MLC.28 As a workaround, the In issuing this proposed interested commenters in connection DLC proposes that the regulations allow confidentiality rule, the Office is with this notice of proposed rulemaking copyright owners (and their designated mindful of Congress’s countervailing to review that separate notice carefully agents) to receive confidential goals for the MMA to enhance and consider commenting on that notice information, ‘‘so long as they sign an transparency, accountability, and public as well. appropriate confidentiality agreement access to musical work ownership Having reviewed and carefully with the MLC.’’ 29 Prior to the MMA, information.22 The Office thus intends considered all relevant comments, the however, the Copyright Office for its proposed confidentiality rule to Office now issues a proposed rule and previously considered and expressly complement separate regulations invites further public comment. While rejected the idea of placing a regarding transparency, accountability, all public comments are welcome, as confidentiality requirement on and public accessibility.23 Concurrent applicable, should commenters disagree copyright owners receiving statements with this notice of proposed with language in the proposed rule, the of account under the section 115 rulemaking, the Office issued a Office encourages commenters to offer statutory license due to the inclusion of notification of inquiry seeking alternate language not yet considered by ‘‘competively sensitive’’ information additional information on a variety of the Office. Depending on the feedback (e.g., licensees’ overall revenues, royalty topics relating to the disclosure of non- received, the Office will either issue a payments to record companies and confidential material to facilitate the final rule, or an interim rule with performance rights organizations, and MMA’s goals of enhanced transparency, further request for comment. overall usage); rather, ‘‘once the accountability, and public accessibility II. Proposed Rule statements of account have been of certain data.24 Specifically, the delivered to the copyright owners, there A. Defining ‘‘Confidential Information’’ should be no restrictions on the 20 84 FR at 49968. copyright owners’ ability to use the 21 Although the MMA requires the DLC Initial at 3. statements or disclose their contents.’’ 30 22 See 17 U.S.C. 115(d)(3)(E), (e)(20); id. at Office to issue regulations governing the 115(d)(3)(E)(v) (stating the database must ‘‘be made protection of confidential information Particularly given that an animating goal available to members of the public in a searchable, contained in the records of the MLC and of the MMA is to facilitate increased online format, free of charge’’); 164 Cong. Rec. S501, DLC, the statute does not define the transparency and accuracy in reporting 504 (daily ed. Jan. 24, 2018) (statement of Sen. Chris 25 Coons) (‘‘This important piece of legislation will term ‘‘confidential.’’ The MLC’s payments to copyright owners, the bring much-needed transparency and efficiency to proposed language would also not Office sees no reason to deviate from the music marketplace.’’); 164 Cong. Rec. H3522, expressly define material as this policy.31 3541 (daily ed. April 25, 2018) (statement Rep. confidential, instead referencing Steve Chabot) (‘‘This legislation provides much- information which [should] not be visible by the needed updates to bring music licensing into the categories of material which may public’’); The American Association of Independent digital age, particularly improving market contain confidential material and Music (‘‘A2IM’’) and the Recording Industry efficiencies and transparency to reflect the modern allowing the MLC and DLC to establish Association of America, Inc. (‘‘RIAA’’) Reply at 4 music marketplace.’’); id. at 3542 (statement of Rep. their own policies to ensure the (asserting that the MLC should not receive ‘‘all of Norma Torres) (‘‘Information regarding music owed the metadata associated with the sound royalties would be easily accessible through the safeguarding of such information. recordings,’’ as ‘‘a portion of the metadata provided database created by the Music Modernization Act. Although the Office has considered the to a DMP with a sound recording can, and typically This transparency will surely improve the working merits of this approach, in part given does, include confidential deal points and usage relationship between creators and music platforms information’’); id. at 6 (‘‘The contractual terms and aid the music industry’s innovation process.’’). the interplay between confidential between DMPs and record companies are highly 23 See DLC Ex Parte Letter Feb. 24, 2020 (‘‘DLC material and material that should be confidential and represent extremely sensitive Ex Parte Letter #2’’) at 5 (acknowledging that the disclosed, the proposed rule defines business information.’’). ‘‘MLC will be under certain legal transparency ‘‘confidential information’’ to provide 28 requirements,’’ and that confidentiality regulations See 37 CFR 210.16(c). sufficient guidance. 29 should ‘‘not stand in the way of that transparency’’); DLC Ex Parte Letter #2 at 5; see DLC Reply at The International Confederation of Societies of The DLC, which does proffer a 28; 37 CFR 380.5(c)(3). Authors and Composers (‘‘CISAC’’) & The definition, proposes that ‘‘confidential 30 79 FR 56190, 56206 (Sept. 18, 2014); id. International Organisation representing Mechanical information’’ include, ‘‘at a minimum, (holding that placing a confidentiality restriction on Rights Societies (‘‘BIEM’’) Reply at 2 (stating that all the usage and royalty information copyright owners receiving statements of account ‘‘musical works information populated in the ‘‘would have burdened copyright owners’ ability to database can include confidential, personal and/or received by the MLC from a digital disclose to the public the royalties they received sensitive data, and as such, the Regulations should music provider,’’ 26 ‘‘including the under the statutory license. The Office is ensure the required balance between the public amount of royalty payments and particularly reluctant to so drastically restrict interest in having transparent access to such 27 copyright owners’ ability to freely discuss the information and the protection of commercially calculations thereunder.’’ While the effects of government policy.’’). sensitive information and personal data’’). 31 See 164 Cong. Rec. H 3522, 3542 (statement of 24 U.S. Copyright Office, Notification of Inquiry, 25 See 17 U.S.C. 115(d)(12)(C), (e). Rep. Norma Torres) (‘‘In addition to an increase in Transparency of the Mechanical Licensing 26 DLC Ex Parte Letter #2 at 5. efficiency, the [MMA] would foster a more Collective and Its Database of Musical Works 27 DLC Reply Add. at A–20. See also CISAC & transparent relationship between creators and Information, Dkt. No. 2020–8, published elsewhere BIEM Initial at 4 (asserting that ‘‘ownership shares music platforms. Information regarding music owed in this issue of the Federal Register. are particularly sensitive and confidential Continued

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Accordingly, the proposed rule and significant nonblanket licensees or information are cabined by equally instead defines ‘‘confidential musical work copyright owners. significant countervailing information’’ as including ‘‘sensitive Other stakeholders expressed concern considerations of transparency in financial or business information, about the disclosure of confidential reporting certain types of information, including information relating to personal information, particularly the proposed rule also excludes the financial or business terms that could be relating to copyright owner following from the definition of used for commercial advantage’’ and information.36 The Office appreciates ‘‘confidential information’’: Information ‘‘trade secrets.’’ This definition this concern, as among many other data made publicly available through notices specifically includes categories of points, the MLC must maintain, for of license,39 notices of nonblanket information and documents expressly example, banking information and activity, the MLC’s online database, and mailing addresses for copyright owners referenced in the statute: ‘‘the information disclosable through the to whom it remits royalty payments. confidentiality and security of usage, MLC bylaws, annual report, audit financial, and other sensitive data used Appreciating this concern, the MLC report, or the MLC’s adherence to to compute market shares’’ when notes that it is ‘‘committed to transparency and accountability with distributing unclaimed accrued maintaining robust security to protect royalties,32 ‘‘financial and other confidential user data, and that it respect to the collective’s policies or sensitive data shared’’ by the MLC to the contractually requires vendors to practices, including its anti- DLC about significant nonblanket maintain robust security to protect commingling policy, pursuant to 17 licensees,33 and voluntary licenses.34 confidential information handled for the U.S.C. 115(d)(3)(D)(ii),(vii), and (ix). The DLC suggests that third parties MLC.’’ 37 Accordingly, the proposed In addition, adopting a suggestion may submit other types of information rule also includes in the definition of from the MLC, the proposed rule would to the MLC or DLC ‘‘that should ‘‘confidential information’’ ‘‘sensitive exclude from the meaning of properly be treated as confidential,’’ and personal information, including but not ‘‘confidential information’’ any top so proposes that ‘‘confidential limited to, an individual’s Social level, compilation data presented in information’’ include ‘‘any other Security number, taxpayer identification anonymized format that does not allow information submitted by a third party,’’ number, financial account number(s), or identification of such data as belonging where it has been ‘‘reasonably date of birth (other than year).’’ to any digital music provider, designated as confidential by the party As noted above, the proposed rule significant nonblanket licensee, or 35 also defines ‘‘confidential information’’ submitting the information,’’ and the copyright owner.40 This exclusion by what it is not. Borrowing from proposed rule largely adopts this recognizes the MLC’s stated need for current regulations governing approach. The Office notes, however, MLC board and committee members that under the proposed rule, third- SoundExchange in connection with the (including DLC representatives) to party submissions to the MLC and DLC section 112/114 license, and as obtain access to anonymized remain subject to the other provisions of recommended by the DLC, the rule the proposed rule, including the proposes that the definition of information, as well as potentially exclusion of certain categories of ‘‘confidential information’’ exclude members of the public in MLC reports. material subject to disclosure from being ‘‘documents or information that may be Finally, the proposed rule clarifies considered confidential, to ensure that made public by law’’ or ‘‘that at the time that documents or information created third-party submissions do not receive of delivery to the [MLC] or [DLC] is by a party will not be considered heightened protection over those public knowledge,’’ and that ‘‘[t]he confidential with respect to usage of submitted by digital music providers party seeking information from the that information by the same party (e.g., [MLC] or [DLC] based on a claim that documents created by the DLC should royalties would be easily accessible through the the information sought is a matter of not be considered confidential with database created by the [MMA]. This transparency public knowledge shall have the burden respect to the DLC). will surely improve the working relationship of proving that fact.’’ 38 In addition, between creators and music platforms and aid the music industry’s innovation process.’’); Proposal of because documents and information Digital Licensee Coordinator, Inc. at 2, U.S. may be subsequently disclosed by the 39 Consistent with the Office’s proposed rule Copyright Office Dkt. No. 2018–11, available at party to whom the information would regarding notices of license, the definition of https://www.regulations.gov/docket otherwise be considered confidential, or confidentiality in this proposed rule excludes any Browser?rpp=25&po=0&dct=PS&D=COLC-2018- by the MLC or DLC pursuant to addendum to general notices of license that 0011&refD=COLC-2018-0011-0001 (acknowledging provides a description of any applicable voluntary that goals of the MMA include ‘‘provid[ing] participation in proceedings before the license or individual download license the digital licensing efficiency and transparency, and . . . Copyright Office or Copyright Royalty music provider is, or expects to be, operating under ensur[ing] that the new blanket licensing system is, Judges (including proceedings to and remains, workable for digital music providers concurrently with the blanket license that is as well as copyright owners’’). redesignate the MLC or DLC), the sufficient for the mechanical licensing collective to 32 17 U.S.C. 115(d)(3)(J)(i)(II)(bb); see H.R. Rep. proposed rule excludes such fulfill its obligations under 17 U.S.C. No. 115–651, at 27 (‘‘Unclaimed royalties are to be information and documents from the 115(d)(3)(G)(i)(I)(bb). See U.S. Copyright Office, distributed based upon market share data that is definition of ‘‘confidential information.’’ Notice of Proposed Rulemaking, Music confidentially provided to the collective by Recognizing that important Modernization Act Notices of License, Notices of copyright owners.’’); S. Rep. No. 115–339, at 24 restrictions on the disclosure of Nonblanket Activity, Data Collection and Delivery (same); Conf. Rep. at 20 (same). Efforts, and Reports of Usage and Payment, Dkt. No. 33 17 U.S.C. 115(d)(6)(B)(ii). 2020–5, published elsewhere in this issue of the 36 34 Id. at 115(d)(11)(C)(iii). Music Artists Coalition CISAC & BIEM Reply at 8 (encouraging ‘‘the Federal Register. Office to adopt suitable regulations that aim to (‘‘MAC’’) contends that ‘‘data relating to market 40 MLC Initial at 30 (proposing that ‘‘the MLC, share determinations and voluntary licenses’’ protect sensitive and/or private information from when providing necessary data to its board or should be publicly shared. MAC Reply at 2–3. The public disclosure’’); MAC Reply at 2–3 (noting that statute, however, specifically contemplates such ‘‘certain information such as . . . personal committee Members, will only share proprietary or information being treated as confidential addresses should obviously be kept out of public confidential data as necessary, and in a format that information. 17 U.S.C. 115(d)(3)(J)(i)(II)(bb); id. at documents’’). is anonymized and cannot be identified as 115(d)(11)(C)(iii). 37 MLC Ex Parte Letter Jan. 29, 2020 (‘‘MLC Ex belonging to any particular copyright owner, in 35 DLC Ex Parte Letter #2 at 5; DLC Reply Add. Parte Letter #1’’) at 4. order to prevent any disclosure to potential at A–20. 38 DLC Reply Add. at A–20. competitors’’).

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B. Disclosure and Use of Confidential representatives on the board or statutory exposed to highly sensitive and Information committees may receive confidential confidential information, permitting information only on a need to know [DLC] representatives to share such 1. Proposed Approach to Disclosure and basis and to the extent necessary to information with their employers or Use carry out their duties. other individuals who may use such While the definition of confidential Second, uses by the DLC are also information for competitive advantage information is consistent for all uses, related to the DLC’s ordinary work, with or other improper purposes runs the rule proposes various categories of similar limitations for any employees, contrary to the confidential nature of the permitted disclosure and use by MLC agents, consultants, vendors, and information.’’ 48 The DLC notes that employees, board and committee independent contractors of the DLC. ‘‘licensees will be providing a members of the MLC and DLC (and Third, the proposed rule would significant amount of highly members’ respective places of expressly permit access to certain confidential information to the MLC, employment), and vendors and agents of categories of non-MLC or DLC persons especially through the filing of reports the MLC and DLC. The segregation into or entities entitled to this information of usage, from which highly confidential categories of potential users of by law, including qualified auditors or details of private licensing agreements confidential material is common in outside counsel pursuant to the can be gleaned,’’ 49 and that ‘‘a music analogous situations, such as protective statutorily-permitted audits by the MLC publisher representative on the MLC orders in intellectual property litigation of a digital music provider operating Board should not be able to see the and the CRJ’s applicable regulation for under the blanket license or audits by a financial terms that a digital music information under the section 112/114 copyright owner(s) of the MLC, in each provider agreed to as part of a voluntary statutory licenses.41 The Office case subject to an appropriate written license with one of its competitors—or anticipates that this framework will confidentiality agreement. The MMA even that such a voluntary license allow for more flexible adjustment to expressly permits audits by copyright exists.’’ 50 the regulation, if it proves necessary to owners of the MLC’s ‘‘books, records, Both designated parties propose limits further adjust the permitted disclosure and data,’’ 44 and by the MLC of digital on the types of information that can be to, and use of confidential information music providers’ ‘‘books, records, and shared with board members, with the by certain users. data,’’ 45 and this approach is similar, DLC focused on limiting access to As a general approach, the proposed though not identical, to language information confidential to digital rule would permit the disclosure of proposed by the DLC.46 services and the MLC focused on confidential information in the Finally, similar to current rules limiting access to confidential following tiers. First, all uses by the established for the administration of the information belonging to a particular 51 MLC must be limited to activities section 112/114 licenses, information musical work copyright owner. The necessary to perform their duties during may also be disclosed by parties to DLC asserts that ‘‘confidential the ordinary course of work for the proceedings before federal courts, the information provided to the MLC and MLC. All recipients of confidential Copyright Office, or the Copyright DLC (including by licensees in reports information, including MLC employees, Royalty Judges, or when such disclosure of usage) are maintained in the strictest must execute a written confidentiality is required by court order or subpoena, of confidence and cannot generally be agreement. Agents, consultants, subject to an appropriate protective shared with Board members of those 52 vendors, and independent contractors of order. Neither the DLC nor MLC appear respective organizations.’’ The MLC the MLC may receive confidential to object to such a provision.47 proposes that it ‘‘implement and enforce information, only when necessary to a reasonable policy that prevents any carry out their duties. This approach is 2. Restrictions on Use by Members of member of its board of directors or any somewhat similar to that of the DLC, the Board of Directors and Committees member of its committees from which proposed that confidential of the MLC accessing or reviewing any confidential information may be disclosed to The MLC and DLC share somewhat or sensitive data belonging to a ‘‘employees, agents, consultants, and similar concerns as to how confidential particular musical work copyright independent contractors of the MLC or information may be disclosed to and owner but shall allow members of its DLC, subject to an appropriate written used by board and committee members confidentiality agreement, who are of the MLC and DLC. Both the MLC and 48 MLC Reply at 41–42. 49 engaged in the calculation, collection, DLC express concern about the DLC Initial at 22. matching and distribution of royalty 50 DLC Ex Parte Letter #2 at 5. disclosure of confidential information to 51 See DLC Initial at 22 (‘‘licensees will be payments hereunder and activities competitors. For example, the MLC providing a significant amount of highly related directly thereto who require maintains that ‘‘[g]iven that the MLC confidential information to the MLC, especially access to the Confidential Information, board and committee members may be through the filing of reports of usage, from which and only to the extent necessary for the highly confidential details of private licensing agreements can be gleaned’’); DLC Ex Parte Letter purpose of performing their duties standing committees, which may not derogate the #2 at 5 (‘‘For instance, a music publisher during the ordinary course of their duties of the statutory committees; under the representative on the MLC Board should not be able work, provided that no employee or proposed rule, those members would presumably to see the financial terms that a digital music be treated as consultants of the MLC. officer of any music publisher shall provider agreed to as part of a voluntary license 44 17 U.S.C. 115(d)(3)(L)(i)(II). with one of its competitors—or even that such a have access to Confidential 45 Id. at 115(d)(4)(D)(i)(II). voluntary license exists.’’); MLC Initial at 30 42 Information.’’ Similarly, and 46 DLC Reply Add. at A–21. (proposing that ‘‘when providing necessary data to discussed further below, non-DLC 47 See MLC Initial at 30 (‘‘The policies should its board or committee Members, the MLC will only members of the board or statutory allow a limited exception to allow disclosure of share proprietary or confidential data as necessary, committees 43 as well as DLC such information in response to court orders, and in a format that is anonymized and cannot be subpoenas or other legal processes.’’); DLC Reply identified as belonging to any particular copyright Add. at A–21 (proposing that confidential owner, in order to prevent any disclosure to 41 37 CFR 380.5(c). information could be disclosed to ‘‘[a]ttorneys and potential competitors’’); MLC Initial at App. H 42 DLC Reply Add. at A–21. other authorized agents of parties to proceedings (proposing regulatory language in support of same); 43 The Copyright Office understands that the MLC before the Copyright Royalty Board, acting under an MLC Reply at App. H (same). may have established or wish to establish other appropriate protective order’’). 52 DLC Reply at 28.

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board of directors or committee The proposed rule also addresses purpose other than for work performed members, when necessary to carry out conditions upon which a DLC during the ordinary course of business their duties, to review aggregated and/ representative may share information for the DLC or MLC. or anonymized data of musical work within the DLC. The DLC contends that In addition, the proposed rule copyright owners that cannot be its representatives should be able to addresses conditions upon which DLC identified as belonging to any particular share confidential information among representatives may share information musical work copyright owner.’’ 53 It DLC membership because ‘‘[t]he with additional persons at their appears that the MLC’s approach would purpose of that representation is so the respective companies. The DLC potentially allow its board and broader [DLC] has insight into how the contends that its representatives should committee members to view MLC is being run—after all, those be able to share confidential information confidential information from a digital licensees have agreed to fund it—and to obtained with people with a need to music provider (subject to a advise on operational issues. DLC know within DLC companies.59 By confidentiality policy), while the DLC’s representatives are thus meant to contrast, the MLC maintains that doing approach would potentially allow its represent the entire digital licensee so risks disclosure to competitors or board and committee members to view community, and should be able to share others who may misuse such confidential information from musical information among DLC membership. information for competitive advantage work copyright owners. Both parties Indeed, DLC might appoint someone or other improper purposes.60 generally assert that access to who is not even employed by a licensee In contributing to the operations confidential information may be as its representative.’’ 56 The DLC’s advisory committee’s work on the MLC, necessary for the MLC and DLC to serve proposed regulatory language thus some of which may involve fairly their statutory purposes.54 includes provisions to handle the technical considerations, the Office The proposed rule addresses these specific issues that arise with respect to tentatively concludes that some DLC concerns by adopting a general DLC representatives to MLC boards and representatives may reasonably need to approach that will allow a board or committees.57 By contrast, the MLC solicit additional subject matter statutory committee member to access maintains that ‘‘[g]iven that the MLC expertise of individuals within DLC confidential information, but only upon board and committee members may be member companies. To address the a ‘‘need to know’’ and ‘‘necessary to exposed to highly sensitive and MLC’s concerns, under the proposed carry out’’ relevant duties basis, and confidential information, permitting rule DLC representatives who serve on then only subject to a written [DLC] representatives to share such the MLC’s board of directors or confidentiality agreement. Given the information with . . . individuals who committees may share confidential somewhat divergent views from the may use such information for information with individuals employed MLC and DLC, and the need for competitive advantage or other by DLC members, subject to an regulatory language to be somewhat improper purposes runs contrary to the appropriate written confidentiality flexible to accommodate unforeseen confidential nature of the agreement, and only to the extent issues, the proposed rule would permit information.’’ 58 necessary for such persons to know parity in access with disclosure of The Copyright Office acknowledges such information and for the DLC to information, if any, connected to direct that in developing operations policies perform its duties. Individuals performance of statutory duties, rather for the MLC, DLC representatives may employed by DLC members who receive than hard and fast categories prohibiting need to rely on the expertise of confidential information from DLC disclosure of information relevant to, or individuals within the DLC. The Office representatives are prohibited from accessed by, digital music providers or also acknowledges, however, the using confidential information for any music publishers. As noted above, the importance of preventing confidential purpose other than for work performed proposed rule also wholly excludes top information from being misused by during the ordinary course of business level, compilation data presented in competitors for commercial advantage. for the DLC or MLC. anonymized format from the definition The proposed rule thus allows DLC Finally, the proposed rule provides of ‘‘confidential information.’’ As noted representatives who serve on the board some flexibility by incorporating the below, the Office invites comment upon of directors or committees of the MLC MLC’s suggestion that confidential whether any further restrictions on to share confidential information with information may be shared with other access by board or committee members individuals authorized by the MLC to is advisable, such as whether to exclude individuals serving on the board of directors and committees of the DLC, receive such information, but only to from disclosure and use especially the extent necessary for such persons to sensitive material, i.e., an additional but only to the extent necessary for such persons to know such information and know such information and only when category of ‘‘highly confidential’’ necessary for the MLC to perform its information.55 only when necessary to carry out their duties for the DLC, subject to an duties, subject to an appropriate written confidentiality agreement. 53 MLC Initial at App. H. appropriate written confidentiality 54 See MLC Initial at 29 (‘‘The MMA contemplates agreement. Under the proposed rule, all 3. Restrictions on Use by MLC and DLC that certain confidential, private, proprietary, or DLC representatives are prohibited from Vendors and Consultants privileged information will have to be provided in using confidential information for any order for the MLC to carry out its statutory Multiple commenters expressed obligations . . .’’); DLC Initial at 23 (maintaining concern about MLC vendors using that having DLC representatives on MLC boards and Information,’’ without more background, the Office committees ‘‘is so the broader [DLC] has insight into is not sure this approach is advisable. It was not confidential information they acquire how the MLC is being run . . . and to advise on immediately clear to the Office whether the MLC while conducting work for the MLC for operational issues,’’ and that DLC representatives would be able to recreate information that would otherwise not be accessible to board and committee commercial advantage or for purposes should thus be able to share confidential outside of the MLC’s statutory ambit.61 information ‘‘with people with a need to know members, and so the Office tentatively concludes within DLC membership and within their that the proposed rule offers a reasonable companies’’). alternative. 59 DLC Initial at 23; DLC Reply at 28. 55 While the DLC’s approach would limit 56 DLC Initial at 23; see also DLC Reply at 28. 60 MLC Reply at 41–42. disclosure to board and committee members only to 57 See DLC Reply at 28, Add. A–22. 61 National Association of Independent information labeled ‘‘MLC Confidential 58 MLC Reply at 41–42. Songwriters (‘‘NOIS’’) et al. Initial at 16 (‘‘The

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The MLC states that it ‘‘intends to more prudent approach is to restrict the available to the [MLC] by digital music provide users who submit confidential MLC’s disclosure of confidential providers engaged in covered activities data to the MLC an ability to voluntarily information to its vendors, even with under a blanket license.’’ 66 While the ‘opt in’ to share that data for general use ostensible permission, to activities Copyright Office will address records by its primary royalty processing related to a given vendor’s work for the maintenance in connection with a vendor, the Harry Fox Agency,’’ but that MLC. For parity, the proposed rule separate rulemaking addressing data ‘‘MLC users will not be required to opt includes a similar provision for DLC collection and reporting obligations by in to any such sharing in order for the vendors, as well as board and committee digital music providers,67 the proposed MLC to fully process and pay all members, employees, agents, rule provides that any written royalties due to them under the blanket consultants, and independent confidentiality agreements relating to license.’’ 62 The MLC did not further contractors of either the MLC or DLC. the use or disclosure of confidential detail what it means by ‘‘general use,’’ The Office invites public comment on information must be maintained and but presumably, such shared this aspect of the proposed rule. stored by the relevant parties for at least information may potentially include C. Safeguarding Confidential the same amount of time that certain payment information by copyright Information digital music providers are required to owners, including self-published maintain records of use pursuant to 17 songwriters, who sign up through the Both the MLC and DLC propose U.S.C. 115(d)(4)(A)(iv). MLC’s online portal. Without more having the MLC and DLC implement information as to the intended use and policies and procedures to prevent E. Confidentiality Designations anticipated benefit to MLC stakeholders, unauthorized access and/or use of The proposed rule does not impose a the Office is disinclined at this time to confidential information, an approach requirement that confidential adopt the MLC’s proposal, and so the that seems necessary to effectuate the information necessarily bear a proposed rule would not permit MLC intent of the proposed regulations.64 designation of confidentiality, although vendors to use confidential information Accordingly, the proposed rule states the MLC or DLC could presumably for purposes other than for duties that the MLC, DLC, and any person or impose such a requirement in their own performed during the ordinary course of entity authorized to receive confidential policies. work for the MLC, e.g., including the information from either of those entities, administration of voluntary bundled must implement procedures to F. Nondisclosure Agreements licensing of performance and safeguard against unauthorized access to The MLC and DLC disagree as to mechanical uses that the MLC itself is or dissemination of confidential whether DLC representatives should be prohibited from administrating.63 information using a reasonable standard required to sign nondisclosure Alternatively, where users of the MLC of care, but no less than the same degree agreements (‘‘NDAs’’) in their personal would have voluntarily opted-into of security that the recipient uses to capacities. The DLC suggests that only ‘‘general use’’ of their information by protect its own confidential information the DLC as an organization should be the MLC’s vendors, the Office or similarly sensitive information.65 In bound, and not the DLC representatives considered whether to propose language addition, the proposed rule states that in their personal capacities or as requiring the MLC to provide such the MLC and DLC shall each implement representatives of their employers.68 information to other third parties, and enforce reasonable policies Instead, the DLC contends, perhaps restricted to those offering or governing the confidentiality of its confidentiality obligations for the MLC administering music licensing services, records. and DLC should operate at ‘‘an for a reasonable cost. This approach D. Maintenance of Records organization-to-organization level,’’ 69 as would have the potential benefit of ‘‘some companies prohibit [DLC leveraging the unique nature of the MLC The MMA requires the Copyright representatives from] taking on such database in other aspects of the music Office to issue regulations ‘‘setting forth personal liability for actions taken in the requirements under which records of ecosystem, without potentially affecting scope of employment.’’ 70 The MLC the competitive landscape in ways use shall be maintained and made disagrees, stating that if only the DLC, unrelated to the section 115 license. which is relatively assetless, is bound This approach, however, could also 64 MLC Initial at 29 (stating ‘‘protection of such confidential, private, proprietary or privileged by a confidentiality agreement, there begin to implicate broader questions of information may be accomplished through a would be no recourse against the DLC data privacy and sharing that are less regulation that requires the MLC and the DLC to for breach of confidentiality, and that central to the MMA’s goals, and the implement confidentiality policies that prevent such a proposal ‘‘disincentives Office tentatively concludes that the improper or unauthorized use of such material by their directors, committee members, and individuals on the MLC Board and personnel’’); DLC Reply Add. at A–21–22 committees from protecting confidential vendors for the MLC should not be . . . able to use (proposing that the MLC and DLC (and any person information, as there will be no penalty information and data that the MLC will gather and authorized to receive confidential information) for unlawful disclosure.’’ 71 control to their competitive advantage. If they are ‘‘must implement procedures to safeguard against in competition with other entities considered to be unauthorized access to or dissemination of While the Office acknowledges the similar in nature or can use the data to their own Confidential Information using a reasonable DLC’s concerns, having confidentiality unique proprietary advantage, they should not be standard of care, but no less than the same degree obligations operate at an MLC-to-DLC eligible to be selected as a vendor.’’); Lowery Reply of security that the recipient uses to protect its own at 12 (‘‘If the Copyright Office does not prohibit Confidential Information or similarly sensitive 66 17 U.S.C. 115(d)(4)(A)(iii), (iv)(I). HFA from selling for other commercial purposes the information’’). 67 See U.S. Copyright Office, Notice of Proposed data it acquires through its engagement by MLC to 65 See 37 CFR 380.5(d) (‘‘[SoundExchange] and Rulemaking, Music Modernization Act Notices of facilitate the compulsory blanket license, the any person authorized to receive Confidential License, Notices of Nonblanket Activity, Data Congress will have just handed HFA a near Information from [SoundExchange] must Collection and Delivery Efforts, and Reports of insurmountable advantage over its competitors.’’). implement procedures to safeguard against Usage and Payment, Dkt. No. 2020–5, published 62 MLC Ex Parte Letter #1 at 4. unauthorized access to or dissemination of elsewhere in this issue of the Federal Register. 63 See 37 CFR 380.5(b) (prohibiting Confidential Information using a reasonable 68 SoundExchange from using ‘‘any Confidential standard of care, but no less than the same degree DLC Initial at 23. Information for any purpose other than royalty of security that the recipient uses to protect its own 69 Id. collection and distribution and activities related Confidential Information or similarly sensitive 70 DLC Ex Parte Letter #2 at 6. directly thereto’’). information.’’). 71 MLC Reply at 41.

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level presents some potential Similarly, the DLC maintains that the penalty for disclosure? If so, how? shortcomings. For example, if DLC Office’s regulations ‘‘should be the The Office welcomes suggestions of representatives are not bound in their ceiling on any confidentiality preferable alternative solutions that personal capacities, what recourse requirements’’ by the MLC.74 For its would balance the interests identified would be available should a former DLC part, the MLC states that it should have above to allow DLC representatives to representative disclose or misuse discretion to impose additional participate on the MLC committees confidential information, including after confidentiality requirements for board without creating disincentives to protect having left a DLC member company? or committee participation, as it would confidential information, or present Moreover, as the DLC would like its ‘‘allow[ ] the MLC to fill in inevitable issues should a DLC representative end representatives to be able to share gaps to ensure that confidential employment with a DLC member confidential information with information is kept confidential . . .’’ 75 company. employees of DLC member companies— Under the proposed rule, the MLC List of Subjects in 37 CFR Part 210 who themselves do not serve on a DLC may not impose additional restrictions board or committee—ensuring that such relating to the use or disclosure of Copyright, Phonorecords, Recordings. confidential information is not confidential information, beyond those Proposed Regulations improperly disclosed or misused may imposed by the Office’s regulations, as seem to necessitate employees of DLC a condition for participation on a board For the reasons set forth in the member companies signing or committee. The DLC is similarly preamble, the Copyright Office proposes nondisclosure agreements in their restricted. In addition, the proposed rule amending 37 CFR part 210 as follows: personal capacities. In examining the states that the use of confidentiality PART 210—COMPULSORY LICENSE analogous context of preventing agreements by the MLC and DLC is FOR MAKING AND DISTRIBUTING confidential information produced subject to the Office’s confidentiality PHYSICAL AND DIGITAL through litigation discovery from being regulations, and that neither entity can PHONORECORDS OF NONDRAMATIC improperly disclosed or misused, the permit broader use or disclosure of MUSICAL WORKS Copyright Office observes that model confidential information than what is protective orders appear to bind permitted under the Office’s regulations. ■ 1. The authority citation for part 210 individuals in their personal continues to read as follows: 72 III. Subjects of Inquiry capacities. Accordingly, at this time, Authority: 17 U.S.C. 115, 702. the Office is disinclined to require that The Copyright Office seeks additional confidentiality obligations for the MLC public comment on all aspects of the Subpart B—Blanket Compulsory and DLC operate at an organization-to- proposed rule, including the specific License for Digital Uses, Mechanical organization level. Instead, the proposed subjects below: Licensing Collective, and Digital rule states that the various categories of 1. Should the proposed rule further Licensee Coordinator individuals to receive confidential limit access to confidential material by information do so subject to an MLC board and committee members? §§ 210.30 through 210.32 [Reserved] appropriate written confidentiality What about access to confidential ■ 2. Add reserved §§ 210.30 through agreement. The Copyright Office invites material by employees at companies of 210.32. public comment on this aspect of the MLC and DLC board members? ■ 3. Add § 210.33 to read as follows: proposed rule. 2. In addition to a ‘‘Confidential Information’’ designation, should the § 210.33 Treatment of confidential and In addition, a few commenters regulations provide for a ‘‘Highly other sensitive information. expressed concern about the MLC’s Confidential Information’’ designation (a) General. This section prescribes ability to require NDAs for its board and to provide an additional layer of the rules under which the mechanical committee members. The National protection for certain documents and licensing collective (MLC) and digital Association of Independent Songwriters information that only the employees, or licensee coordinator (DLC) shall ensure (‘‘NOIS’’), joined by individual employees, agents, and vendors of the that confidential, private, proprietary, or stakeholders, contend that there ‘‘must MLC, may access (i.e., not members of privileged information received by the be a rejection of any incremental NDA the board or committees of either the MLC or DLC or contained in their put forth by the MLC to its board and/ MLC or DLC)? If so, should the records is not improperly disclosed or or committee members that requires proposed rule specify which types of used, in accordance with 17 U.S.C. anything not mandated by the MMA.’’ 73 information and documents should be 115(d)(12)(C), including with respect to eligible for the ‘‘Highly Confidential actions of the board of directors, 72 See, e.g., United States District Court for the committee members, and personnel of Northern District of California, Model Protective Information’’ designation, or provide the Orders, https://www.cand.uscourts.gov/forms/ MLC with flexibility to establish such the MLC or DLC. model-protective-orders/ (last visited Mar. 25, policies, and how would that (b) Definitions. For purposes of this 2020); United States District Court for the Southern section: District of New York, Model Protective Order, designation relate to permitted use of such material? (1) Unless otherwise specified, the https://nysd.uscourts.gov/sites/default/files/ terms used have the meanings set forth practice_documents/Judge%20Parker%20Model 3. Should the Office’s regulations %20Protective%20Order%205-21-19% address instances of inadvertent in 17 U.S.C. 115. (2) ‘‘Confidential Information’’ 20%281%29.pdf (last visited Mar. 25, 2020). disclosure? If so, how? 73 NOIS et al. Initial at 16. The NOIS comment includes sensitive financial or business did not provide any information regarding 4. If DLC representatives are not permitted to sign confidentiality information, including information membership of the National Association of relating to financial or business terms Independent Songwriters; many of the individual agreements in their personal capacities, signatories were previously affiliated with the should the Office’s regulations address that could be used for commercial American Music Licensing Collective (‘‘AMLC’’), advantage, trade secrets, or sensitive and do not all appear to be songwriters based on personal information, including but not information previously submitted by the AMLC. 0&dct=PS&D=COLC-2018-0011&refD=COLC-2018- See AMLC Proposal at 35, U.S. Copyright Office 0011-0001. limited to, an individual’s Social Dkt. No. 2018–11, available at https:// 74 DLC Reply at 28. Security number, taxpayer identification www.regulations.gov/docketBrowser?rpp=25&po= 75 MLC Reply at 42. number, financial account number(s), or

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date of birth (other than year). documents or information by that (ii) Representatives of the DLC who Confidential Information specifically originating party. serve on the board of directors or includes usage data and other sensitive (c) Disclosure and Use of Confidential committees of the MLC may receive data used to compute market shares Information by the MLC and DLC. (1) Confidential Information from the MLC, when distributing unclaimed accrued The MLC, including its employees, only to the extent necessary for such royalties, sensitive data shared between agents, consultants, vendors, persons to know such information, only the MLC and DLC regarding any independent contractors, and non-DLC when necessary to carry out their duties significant nonblanket licensee, and members of the MLC board of directors for the DLC, and subject to an sensitive data concerning voluntary or committees, shall not use any appropriate written confidentiality licenses or individual download Confidential Information for any agreement. licenses administered by and/or purpose other than determining (iii) Representatives of the DLC who disclosed to the MLC. ‘‘Confidential compliance with statutory license serve on the board of directors or information’’ also includes information requirements, royalty calculation, committees of the MLC, and receive submitted by a third party that is collection, matching, and distribution, Confidential Information, may share reasonably designated as confidential by and activities related directly thereto, in such information with the following the party submitting the information, performing their duties during the persons: subject to the other provisions of this ordinary course of their work for the (A) Employees, agents, consultants, section. ‘‘Confidential Information’’ MLC. Access and use of Confidential vendors, and independent contractors of does not include: Information by the MLC shall be further the DLC, only to the extent necessary for (i) Documents or information that are limited as follows: the purpose of performing their duties public or may be made public by law or (i) Employees of the MLC may receive during the ordinary course of their work regulation, including but not limited to Confidential Information, subject to an for the DLC, and persons otherwise information made publicly available appropriate written confidentiality authorized by the MLC to receive through: agreement. Confidential Information, only to the (A) Notices of license, excluding any (ii) Agents, consultants, vendors, and extent necessary for such persons to addendum that provides a description independent contractors of the MLC know such information, subject to an of any applicable voluntary license or may receive Confidential Information, appropriate written confidentiality individual download license the digital only when necessary to carry out their agreement. music provider is, or expects to be, duties during the ordinary course of (B) Individuals serving on the board operating under concurrently with the their work for the MLC and subject to of directors and committees of the DLC, blanket license. an appropriate written confidentiality only to the extent necessary for such (B) Notices of nonblanket activity, the agreement. persons to know such information and MLC’s online database, and information (iii) Non-DLC members on the MLC only when necessary to carry out their disclosable through the MLC bylaws, board of directors or committees may duties for the DLC, subject to an annual report, audit report, or the MLC’s receive Confidential Information from appropriate written confidentiality adherence to transparency and the MLC, only to the extent necessary agreement. accountability with respect to the for such persons to know such (C) Individuals otherwise employed collective’s policies or practices, information, only when necessary to by members of the DLC, only to the including its anti-commingling policy, carry out their duties for the MLC, and extent necessary for such persons to pursuant to 17 U.S.C. subject to an appropriate written know such information and only when 115(d)(3)(D)(ii),(vii), and (ix). confidentiality agreement. necessary for the DLC to perform its Confidential Information also excludes (2) The DLC, including its employees, duties, subject to an appropriate written information made publicly available by agents, consultants, vendors, confidentiality agreement. the MLC or DLC pursuant to independent contractors, members of (D) Persons otherwise authorized by participation in proceedings before the the DLC board of directors or the MLC to receive Confidential Copyright Office or Copyright Royalty committees, and representatives serving Information, only to the extent Judges, including proceedings to on the board of directors or committees necessary for such persons to know redesignate the MLC or DLC. of the MLC, shall not use any such information and only when (ii) Documents or information that Confidential Information for any necessary for the MLC to perform its may be made public by law or that at purpose other than determining duties, subject to an appropriate written the time of delivery to the MLC or DLC compliance with statutory license confidentiality agreement. is public knowledge, or is subsequently requirements, royalty calculation, (d) Disclosure of Confidential disclosed by the party to whom the collection, matching, and distribution, Information to Non-MLC and Non-DLC information would otherwise be and activities related directly thereto, in Persons and Entities. In addition to the considered confidential. The party performing their duties during the permitted use and disclosure of seeking information from the MLC or ordinary course of their work for the Confidential Information in paragraph DLC based on a claim that the DLC. Access and use of Confidential (c) of this section, the MLC and the DLC information sought is a matter of public Information by the DLC shall be further may disclose Confidential Information knowledge shall have the burden of limited as follows: to: proving that fact. (i) Employees, agents, consultants, (1) A qualified auditor or outside (iii) Top level, compilation data vendors, and independent contractors of counsel, pursuant to 17 U.S.C. presented in anonymized format that the DLC may receive Confidential 115(d)(4)(D), who is authorized to act on does not allow identification of such Information from the MLC, only when behalf of the mechanical licensing data as belonging to any digital music necessary to carry out their duties collective with respect to verification of provider, significant nonblanket during the ordinary course of their work royalty payments by a digital music licensee, or copyright owner. for the DLC and subject to an provider operating under the blanket (iv) Documents or information created appropriate written confidentiality license, subject to an appropriate by a party with respect to usage of such agreement. written confidentiality agreement;

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(2) A qualified auditor or outside LIBRARY OF CONGRESS comments are available on the counsel, pursuant to 17 U.S.C. Copyright Office website at https:// 115(d)(3)(L), who is authorized to act on U.S. Copyright Office copyright.gov/rulemaking/mma- behalf of a copyright owner or group of transparency. If electronic submission copyright owners with respect to 37 CFR Part 210 of comments is not feasible due to lack of access to a computer and/or the verification of royalty payments by the [Docket No. 2020–8] mechanical licensing collective, subject internet, please contact the Office using to an appropriate written confidentiality Transparency of the Mechanical the contact information below for agreement; and Licensing Collective and Its Database special instructions. (3) Attorneys and other authorized of Musical Works Information FOR FURTHER INFORMATION CONTACT: agents of parties to proceedings before Regan A. Smith, General Counsel and AGENCY: U.S. Copyright Office, Library Associate Register of Copyrights, by federal courts, the Copyright Office, or of Congress. email at [email protected] or Anna the Copyright Royalty Judges, or when ACTION: Notification of inquiry. Chauvet, Associate General Counsel, by such disclosure is required by court email at [email protected]. Each can SUMMARY: order or subpoena, subject to an The U.S. Copyright Office is be contacted by telephone by calling appropriate protective order or issuing a notification of inquiry (202) 707–8350. agreement. regarding the Musical Works SUPPLEMENTARY INFORMATION: (e) Safeguarding Confidential Modernization Act, title I of the Orrin G. Hatch–Bob Goodlatte Music Information. The MLC, DLC, and any I. Background Modernization Act. Title I establishes a person or entity authorized to receive blanket compulsory license, which On October 11, 2018, the president Confidential Information from either of digital music providers may obtain to signed into law the Orrin G. Hatch-Bob those entities, must implement Goodlatte Music Modernization Act, make and deliver digital phonorecords 1 procedures to safeguard against of musical works. By statute, the blanket H.R. 1551 (‘‘MMA’’). Title I of the unauthorized access to or dissemination license, which will be administered by MMA, the Musical Works of Confidential Information using a a mechanical licensing collective, will Modernization Act, substantially reasonable standard of care, but no less become available on January 1, 2021. modifies the compulsory ‘‘mechanical’’ than the same degree of security that the The MMA specifically directs the license for making and distributing recipient uses to protect its own phonorecords of nondramatic musical Copyright Office to adopt a number of 2 Confidential Information or similarly regulations to govern the new blanket works under 17 U.S.C. 115. Prior to the sensitive information. The MLC and licensing regime, including prescribing MMA, licensees obtained a section 115 DLC shall each implement and enforce categories of information to be included compulsory license on a per-work, song- reasonable policies governing the in the mechanical licensing collective’s by-song basis, by serving a notice of confidentiality of their records, subject musical works database, as well as rules intention to obtain a compulsory license (‘‘NOI’’) on the relevant copyright owner to the other provisions of this section. related to the usability, interoperability, and usage restrictions of the database. (or filing it with the Copyright Office if (f) Maintenance of records. Any the Office’s public records did not written confidentiality agreements Congress has indicated that the Office should exercise its general regulatory identify the copyright owner) and then relating to the use or disclosure of authority to, among other things, help paying applicable royalties Confidential Information must be accompanied by accounting ensure that the collective’s policies and 3 maintained and stored by the relevant practices are transparent and statements. The MMA amends this parties for at least the same amount of accountable. The Office seeks public regime most significantly by time that certain digital music providers comment regarding the subjects of establishing a new blanket compulsory are required to maintain records of use inquiry discussed in this notification, license that digital music providers may pursuant to 17 U.S.C. 115(d)(4)(A)(iv). namely, issues related to ensuring obtain to make digital phonorecord deliveries (‘‘DPDs’’) of musical works, (g) Confidentiality agreements. The appropriate transparency of the including in the form of permanent use of confidentiality agreements by the mechanical licensing collective itself, as downloads, limited downloads, or MLC and DLC shall be subject to the well as the contents of the collective’s public musical work database, database interactive streams (referred to in the other provisions of this section, and statute as ‘‘covered activity,’’ where shall not permit broader use or access, and database use. This notification is being published such activity qualifies for a compulsory disclosure of Confidential Information license).4 Instead of licensing one song than permitted under this section. The concurrently with a related notice of proposed rulemaking related to MLC and DLC may not impose 1 Public Law 115–264, 132 Stat. 3676 (2018). confidentiality considerations with additional restrictions relating to the use 2 See S. Rep. No. 115–339, at 1–2 (2018); Report or disclosure of Confidential respect to the operation and records of and Section-by-Section Analysis of H.R. 1551 by the the collective. Chairmen and Ranking Members of Senate and Information, beyond those imposed by DATES: House Judiciary Committees, at 1 (2018), https:// this provision, as a condition for Written comments must be www.copyright.gov/legislation/mma_conference_ participation on a board or committee. received no later than 11:59 Eastern report.pdf (‘‘Conf. Rep.’’); see also H.R. Rep. No. Time on June 8, 2020. 115–651, at 2 (2018) (detailing the House Judiciary Dated: April 15, 2020. ADDRESSES: For reasons of government Committee’s efforts to review music copyright Regan A. Smith, laws). efficiency, the Copyright Office is using 3 See 17 U.S.C. 115(b)(1), (c)(5) (2017); U.S. General Counsel and Associate Register of the regulations.gov system for the Copyright Office, Copyright and the Music Copyrights. submission and posting of public Marketplace 28–31 (2015), https:// [FR Doc. 2020–08374 Filed 4–17–20; 4:15 pm] comments in this proceeding. All www.copyright.gov/policy/musiclicensingstudy/ copyright-and-the-music-marketplace.pdf BILLING CODE 1410–30–P comments are therefore to be submitted (describing operation of prior section 115 license). electronically through regulations.gov. 4 17 U.S.C. 115(d)(1), (e)(7); see H.R. Rep. No. Specific instructions for submitting 115–651, at 4–6 (describing operation of the blanket

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at a time by serving NOIs on individual Congress acknowledged that ‘‘operat[ing] in a transparent and copyright owners, the blanket license ‘‘[a]lthough the legislation provides accountable manner’’ 17 and ensuring will cover all musical works available specific criteria for the collective to that its ‘‘policies and practices . . . are for compulsory licensing and will be operate, it is to be expected that transparent and accountable.’’ 18 Indeed, centrally administered by a mechanical situations will arise that were not some Members of Congress noted that a licensing collective (‘‘MLC’’), which has contemplated by the legislation,’’ and key aspect of the MMA is bringing been designated by the Register of that ‘‘[t]he Office is expected to use its transparency to the music industry.19 Copyrights.5 best judgement in determining the The MLC itself has expressed its By statute, digital music providers appropriate steps in those situations.’’ 13 commitment to transparency, both by will bear the reasonable costs of Legislative history further states that including transparency as one of its four establishing and operating the MLC ‘‘[t]he Copyright Office has the key principles underpinning its through an administrative assessment, knowledge and expertise regarding operations on its current website,20 and to be determined, if necessary, by the music licensing through its past in written comments to the Office.21 For 6 Copyright Royalty Judges (‘‘CRJs’’). As rulemakings and recent assistance to the example, the MLC noted its permitted under the MMA, the Office Committee[s] during the drafting of this ‘‘commitment to working with, and designated a digital licensee coordinator legislation.’’ 14 Accordingly, in under the oversight of, the Office to (‘‘DLC’’) to represent licensees in designating the MLC, the Office stated ensure that issues relating to its policies proceedings before the CRJs and the that it ‘‘expects ongoing regulatory and and procedures are transparent and Copyright Office, to serve as a non- other implementation efforts to . . . appropriate, including with respect to voting member of the MLC, and to carry extenuate the risk of self-interest,’’ and 7 addressing and mitigating conflicts of out other functions. that ‘‘the Register intends to exercise her interest, maintaining diversity, A. General Regulatory Background and oversight role as it pertains to matters of representing the entire musical works Importance of Transparency governance.’’ 15 Additionally, the Office community, and ensuring board and stated that it ‘‘intends to work with the committee member service complies MLC to help it achieve the[] goals’’ of 22 The MMA enumerates several will all relevant legal requirements.’’ ‘‘engagement with a broad spectrum of regulations that the Copyright Office is musical work copyright owners, Further, the MMA specifically directs specifically directed to promulgate to including from those communities’’ and the Copyright Office to promulgate govern the new blanket licensing musical genres that some commenters in certain regulations related to the MLC’s regime, and Congress invested the the designation proceeding asserted are creation of a free database to publicly Copyright Office with ‘‘broad regulatory underrepresented.16 disclose musical work ownership authority’’ 8 to ‘‘conduct such This notification of inquiry is focused information and identify the sound proceedings and adopt such regulations on considerations to ensure appropriate recordings in which the musical works as may be necessary or appropriate to 23 transparency and public disclosure of are embodied. As discussed more effectuate the provisions of [the MMA 9 information by the mechanical licensing pertaining to the blanket license].’’ The 17 collective. Fostering increased S. Rep. No. 115–339, at 7. legislative history contemplates that the 18 transparency is an animating theme of 17 U.S.C. 115(d)(3)(D)(ix)(I)(aa). Office will ‘‘thoroughly review[ ]’’ 10 19 the MMA, which envisions the MLC See 164 Cong. Rec. S6292, 6293 (daily ed. Sept. policies and procedures established by 25, 2018) (statement of Senator Hatch) (‘‘I need to the MLC and its three committees, of thank Chairman Grassley, who shepherded this bill regulatory language,’’ but ‘‘urg[ing] the Office to through the committee and made important which the MLC is statutorily bound to balance this concern for pragmatism and flexibility contributions to the bill’s oversight and ensure are ‘‘transparent and against the need to provide as much clear guidance transparency provisions.’’); 164 Cong. Rec. S 501, accountable,’’ 11 and promulgate and oversight as possible to encourage trust’’). All 504 (Senator Chris Coons stating ‘‘[t]his important regulations that ‘‘balance[ ] the need to rulemaking activity, including public comments, as piece of legislation will bring much-needed well as educational material regarding the Music transparency and efficiency to the music protect the public’s interest with the Modernization Act, can currently be accessed via marketplace.’’); 64 Cong. Rec. H 3522, 3541 need to let the new collective operate navigation from https://www.copyright.gov/music- (Representative Steve Chabot stating ‘‘[t]his without over-regulation.’’ 12 modernization/. Comments received in response to legislation provides much-needed updates to bring the September 2019 notification of inquiry are music licensing into the digital age, particularly available at https://www.regulations.gov/docket improving market efficiencies and transparency to license and the mechanical licensing collective); S. Browser?rpp=25&po=0&dct=PS&D=COLC-2019- reflect the modern music marketplace.’’); see also Rep. No. 115–339, at 3–6 (same). 0002&refD=COLC-2019-0002-0001. References to Conf. Rep. at 6 (‘‘Music metadata has more often 5 17 U.S.C. 115(d)(1), (3); 84 FR 32274 (July 8, these comments and letters are by party name been seen as a competitive advantage for the party 2019). (abbreviated where appropriate), followed by either that controls the database, rather than as a resource 6 17 U.S.C. 115(d)(7)(D). ‘‘Initial,’’ ‘‘Reply,’’ or ‘‘Ex Parte Letter,’’ as for building an industry on.’’). 7 Id. at 115(d)(5)(B); 84 FR at 32274; see also 17 appropriate. Guidelines for ex parte 20 The MLC, Mission and Principles, https:// U.S.C. 115(d)(3)(D)(i)(IV), (d)(5)(C). communications, along with records of such themlc.com/mission-and-principles (last visited 8 H.R. Rep. No. 115–651, at 5–6; S. Rep. No. 115– communications, are available at https:// Apr. 10, 2020) (‘‘The MLC will build trust by 339, at 5; Conf. Rep. at 4. www.copyright.gov/rulemaking/mma- operating transparently. The MLC is governed by a 9 17 U.S.C. 115(d)(12)(A). implementation/ex-parte-communications.html. board of songwriters and music publishers who will 10 H.R. Rep. No. 115–651, at 5–6, 14; S. Rep. No. The Office encourages parties to refrain from help ensure our work is conducted with integrity.’’). 115–339, at 5, 15; Conf. Rep. at 4, 12. The requesting ex parte meetings on this notification of See also The MLC, The MLC Process, https:// Conference Report further contemplates that the inquiry until they have submitted written themlc.com/how-it-works (last visited Apr. 10, Office’s review will be important because the MLC comments. As stated in the guidelines, ex parte 2020) (‘‘The MLC is committed to transparency. The must operate in a manner that can gain the trust of meetings with the Office are intended to provide an MLC will make data on unclaimed works and the entire music community, but can only be held opportunity for participants to clarify evidence and/ unmatched uses available to be searched by liable under a standard of gross negligence when or arguments made in prior written submissions, registered users of The MLC Portal and the public carrying out certain of the policies and procedures and to respond to questions from the Office on at large.’’). adopted by its board. Conf. Rep. at 4. those matters. 21 See, e.g., MLC Reply at 42–43 (‘‘The MLC is 11 17 U.S.C. 115(d)(3)(D)(ix)(I)(aa). 13 H.R. Rep. No. 115–651, at 14; S. Rep. No. 115– committed to transparency and submits that, while 12 H.R. Rep. No. 115–651, at 5–6, 14; S. Rep. No. 339, at 15; Conf. Rep. at 12. seeking to enact regulations is not an efficient or 115–339, at 5, 15; Conf. Rep. at 4, 12. See also 14 H.R. Rep. No. 115–651, at 14; S. Rep. No. 115– effective approach, the MLC will implement SoundExchange Initial at 15; Future of Music 339, at 15; Conf. Rep. at 12. policies and procedures to ensure transparency.’’). Coalition (‘‘FMC’’) Reply at 3 (appreciating 15 84 FR at 32280. 22 MLC Initial at 30–31. ‘‘SoundExchange’s warning against too-detailed 16 Id. at 32279. 23 See 17 U.S.C. 115(d)(3)(E), (e)(20).

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below, the statute requires the MLC’s doing.31 As the Recording Academy suggested that it would be more fruitful public database to include various types suggested, the publication of these to allow the MLC room to ‘‘fully of information, depending upon bylaws ‘‘are key to establishing trust, develop[] its policies and procedures’’ whether a musical work has been and will help assuage any outstanding and ‘‘provide them to the Office for matched to a copyright owner.24 For concerns amongst songwriters about the review’’ before considering whether both matched and unmatched works, MLC’s operations.’’ 32 Indeed, the MLC regulation in this area is advisable.38 the MLC’s database must also include itself recognizes that making its bylaws Sixth, the MLC must ‘‘identify a point ‘‘such other information’’ ‘‘as the publicly available ‘‘promotes of contact for publisher inquiries and Register of Copyrights may prescribe by transparency.’’ 33 Second, and as noted complaints with timely redress.’’ 39 regulation.’’ 25 The database must ‘‘be below, the MLC must publish an annual Seventh, the MLC must ‘‘establish an made available to members of the public report detailing its operations; while anti-comingling policy for funds’’ in a searchable, online format, free of this notice seeks input on whether it collected and those not collected under charge,’’ 26 as well as ‘‘in a bulk, would be appropriate to further specify section 115.40 Seventh, the MLC must machine-readable format, through a contents of that report, this statutory fulfill a statutory mandate to outreach to widely available software application,’’ obligation already serves as a mandate songwriters and generally ‘‘publicize, to certain parties, including blanket for the MLC to disclose various throughout the music industry’’ its work licensees and the Copyright Office, free categories of information. Third, every and procedures by which copyright of charge, and to ‘‘[a]ny other person or five years, the MLC will submit itself to owners may claim their accrued entity for a fee not to exceed the periodic public audits to ensure it does royalties.41 Finally, the five-year marginal cost to the mechanical not ‘‘engage in waste, fraud and designation process established by the licensing collective of providing the abuse,’’ 34 and so some concerns about statute provides another avenue for the database to such person or entity.’’ 27 transparency may be addressed through Office to periodically review the the statutorily-mandated exercise of this mechanical licensing collective’s B. Non-Regulatory Requirements and audit provision.35 Fourth, in a separate performance.42 Incentives for Transparency provision, copyright owners may also In some instances, the Office While this notice is directed at audit the MLC to verify the accuracy of understands that the MLC has already exploring ways in which the Copyright royalty payments paid by the MLC.36 begun working to communicate to the Office may reasonably and prudently Fifth, the MLC must ensure that its public regarding its transparency of exercise regulatory authority to facilitate policies and practices ‘‘are transparent operations, such as by launching an appropriate transparency and public and accountable’’ 37; the MLC has initial website and participating in disclosure, it is important to note that various industry conferences.43 The both the statutory language as well as 31 MLC Reply at 42–43 (‘‘The publication of the Office presumes these efforts will grow MLC’s bylaws is directly addressed by the statute, more robust as the license availability the MLC’s structure separately include with which the MLC will of course comply . . .’’). aspects that promote disclosure absent 32 Recording Academy Initial at 4. date approaches, and anticipates additional regulation. While the 33 The MLC, Transparency, https://themlc.com/ continued discussions with both the Copyright Office does not agree with the faqs/categories/transparency (last visited Apr. 10, MLC and DLC on ways to cooperate on MLC that regulations regarding issues 2020) (noting that the MLC will ‘‘promote education and outreach. In other cases, transparency’’ by ‘‘[m]aking The MLC governing related to transparency ‘‘may be bylaws public’’). the MLC has adopted policies that bear premature’’ because the MLC’s ‘‘policies 34 Conf. Rep. at 6 (‘‘To ensure that the collective upon issues related to disclosure and and procedures are still being does not engage in waste, fraud and abuse, the governance, including by adopting a developed’’ 28—including because the collective is required to submit to periodic audits conflict of interest policy ‘‘for to examine its operations and procedures.’’); 17 appropriately managing conflicts of statute directs the Office specifically to U.S.C. 115(d)(3)(D)(ix)(II). Beginning in the fourth promulgate regulations concerning full calendar year after the MLC’s initial interest in accordance with legal contents of the public database 29—the designation, and in every fifth calendar year requirements and the MLC’s goals of Office does recognize that any thereafter, the MLC is required to retain a qualified accountability and transparency.’’44 The auditor to ‘‘examine the [MLC’s] books, records, and regulatory language would be additive operations’’ and ‘‘prepare a report for the [MLC’s] U.S.C. 115(d)(3)(F)(i), and for purposes of to this existing scheme, and should be board of directors,’’ which must also be provided transparency, how the MLC should confirm or to the Register of Copyrights. Id. at considered within the full context of the reject notices of license, and terminate blanket 115(d)(3)(D)(ix)(II)(aa), (cc). statutory goals. licenses. Specifically, the rule proposes that the 35 First, the statute requires the MLC to For each audit, the collective must retain a MLC maintain a current, free, and searchable public qualified auditor to ‘‘examine the books, records, make its bylaws publicly available,30 list of all blanket licenses, including various details, and operations of the collective’’; ‘‘prepare a report such as information from notices of license, which the MLC has committed to for the board of directors of the collective’’; and whether a notice of license has been rejected and ‘‘deliver the report . . . to the board of directors of why, and whether a blanket license has been the collective.’’ 17 U.S.C. 24 Id. at 115(d)(3)(E)(ii), (iii). terminated and why. U.S. Copyright Office, Notice 115(d)(3)(D)(ix)(II)(aa)(AA)–(CC). Each report must 25 of Proposed Rulemaking, Music Modernization Act Id. at 115(d)(3)(E)(ii)(V), (iii)(II). address the collective’s ‘‘implementation and 26 Id. at 115(d)(3)(E)(v). Notices of License, Notices of Nonblanket Activity, efficacy of procedures’’ ‘‘for the receipt, handling, Data Collection and Delivery Efforts, and Reports of 27 Id. and distribution of royalty funds, including any Usage and Payment, Dkt. No. 2020–5, published 28 MLC Initial at 31 (‘‘The MLC believes that the amounts held as unclaimed royalties’’; ‘‘to guard elsewhere in this issue of the Federal Register. promulgation of regulations concerning the Office’s against fraud, abuse, waste, and the unreasonable 38 MLC Initial at 31. role in overseeing and regulating the MLC’s use of funds’’; and ‘‘to protect the confidentiality of 39 operations and policies would be more fruitful once financial, proprietary, and other sensitive Id. at 115 (d)(3)(D)(ix)(I)(bb). the MLC has fully developed its policies and information.’’ Id. at 115(d)(3)(D)(ix)(II)(bb)(AA)– 40 Id. at 115 (d)(3)(D)(ix)(I)(cc). procedures and is able to provide them to the Office (CC). And the collective must deliver each report 41 Id. at 115(d)(3)(J)(iii)(II). for review.’’). to the Register of Copyrights and make it publicly 42 See id. at 115(d)(3)(B)(ii). 29 17 U.S.C. 115(d)(3)(E)(ii)(V), (iii)(II); see also available. Id. at 115(d)(3)(D)(ix)(II)(cc). 43 See The MLC, https://themlc.com (last visited U.S. Copyright Office, Notice of Proposed 36 Id. at 115(d)(3)(L)(i). Apr. 10, 2020). Rulemaking, Royalty Reporting and Distribution 37 Id. at 115(d)(3)(D)(ix)(I)(aa). In connection with 44 MLC Opening Submission—Part II at 21, U.S. Obligations of the Mechanical Licensing Collective, a separate notice of proposed rulemaking Copyright Royalty Board, Determination and Dkt. No. 2020–6, published elsewhere in this issue concerning reports of usage, notices of license, and Allocation of Initial Administrative Assessment to of the Federal Register. data collection efforts, among other things, the Fund Mechanical Licensing Collective, Docket No. 30 17 U.S.C. 115(d)(3)(D)(ii)(II). Office is addressing the MLC’s obligations under 17 19–CRB–0009–AA, available at https://app.crb.gov/

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MLC advises that it intends to make this notification of inquiry specifically asked and the public musical works database, policy public.45 for public input on any issues that may be appropriate. Finally, some commenters raised should be considered regarding Having reviewed and carefully questions about board governance, information to be included in the MLC’s considered all relevant comments, the particularly with respect to musical works database (e.g., which Office now seeks additional comment appointments and succession.46 The specific additional categories of on the areas of inquiry below. In many initial designation process for MLC information might be appropriate to areas, the Office has already received board and committee members, include by regulation), as well as the valuable information in response to the including those members’ usability, interoperability, and usage September 2019 notification of inquiry, qualifications, was detailed in the restrictions of the MLC’s musical works but is providing another opportunity for Office’s July 2019 designation of the database (e.g., technical or other specific comment before moving forward with a MLC and DLC, as well as the numerous language that might be helpful to proposed rule. Commenters are public comments received, including consider in promulgating these reminded that while the Office’s 47 the MLC’s detailed submission. In regulations, discussion of the pros and regulatory authority is relatively broad, addition to the MLC’s bylaws, which it is obviously constrained by the law cons of applicable standards, and 55 necessarily detail its approach to board whether historical snapshots of the Congress enacted. After reviewing the and committee members, the Copyright comments received in response to this database should be maintained to track Office’s website publicizes MLC and notification of inquiry, the Office is ownership changes over time).50 In DLC contact information, as well as the likely to publish a notice of proposed addition, the notification of inquiry procedure by which vacancies to the rulemaking. In recognition of the start- sought public comment on any issues MLC board of directors, statutory up nature of the collective and current that should be considered relating to the committees, or nonvoting board seats 51 transition period, as the discussion and are filled, including the process by general oversight of the MLC. factual development progresses, the which the Librarian of Congress, upon In response, many commenters Office will also consider whether the recommendation of the Register of emphasized the importance of fashioning an interim rule, rather than Copyrights, appoints successive voting transparency of the MLC’s operations a final rule, may be best-suited to ensure members to the MLC board.48 and its public database,52 and urged the a sufficiently responsive and flexible Office to exercise ‘‘expansive’’ 53 and C. Solicitation of Additional Public regulatory structure. ‘‘robust’’ 54 oversight. Given these To aid the Office’s review, it is Comment public comments, and the MLC’s own requested that where a submission Against that backdrop, the Copyright recognition of the importance of responds to more than one of the below Office seeks additional input on issues transparency, the Office believes clear categories, it be divided into discrete related to transparency and public guidance at this time on certain areas, sections that have clear headings to disclosure of information by the MLC. such as those related to annual reporting indicate the category being discussed in On September 24, 2019, the Office each section. Comments addressing a issued a notification of inquiry seeking 50 Id. at 49972. single category should also have a clear public input on a variety of aspects 51 Id. at 49973. heading to indicate which category it related to implementation of title I of 52 See MAC Initial at 2 (indicating ‘‘the need for discusses. The Office welcomes parties the MMA, including considerations in more transparency’’ regarding the MLC’s structure); to file joint comments on issues of facilitating an appropriate balance Music Innovation Consumers (‘‘MIC’’) Coalition common agreement and consensus. between promoting transparency and Initial at 3 (‘‘All stakeholders in the music marketplace benefit when current and accurate While all public comments are public access while protecting information about copyright ownership is easily welcome, the Office encourages parties confidential information, as well as the accessible.’’); Screen Composers Guild of Canada to provide specific proposed regulatory scope and manner of the Office’s (‘‘SCGC’’) Reply Comments at 2, U.S. Copyright language for the Office to consider and oversight role.49 The September 2019 Office Dkt. No. 2018–11, available at https:// www.regulations.gov/docketBrowser?rpp=25& for others to comment upon. po=0&dct=PS&D=COLC-2018-0011&refD=COLC- Concurrent with this notification of case/viewDocument/7865; id. (‘‘The Conflict of 2018-0011-0001 (‘‘We urge you to make the choice inquiry, the Office issued a notice of Interest Policy contains clear provisions requiring that gives us transparency in the administration and proposed rulemaking identifying disclosure of actual, potential or perceived financial oversight of our creative works, and a fair chance or other conflicts of interest, and lays out clear at proper compensation for those works, now and appropriate procedures to ensure that procedures for assessing such conflicts and in the future.’’); Iconic Artists LLC Initial Comments confidential, private, proprietary, or ensuring the integrity and fairness of the MLC’s at 2, U.S. Copyright Office Dkt. No. 2018–11, privileged information contained in the business transactions.’’). See Songwriters Guild of available at https://www.regulations.gov/ records of the mechanical licensing America, Inc. (‘‘SGA’’) Reply at 5 (‘‘[T]he mandating docketBrowser?rpp=25&po=0&dct=PS&D=COLC- of adoption by the MLC of conflict of interest 2018-0011&refD=COLC-2018-0011-0001 (‘‘In the collective and digital licensee policies in coordination with the USCO and the current paradigm there is a need for greater coordinator is not improperly disclosed Librarian of Congress would likewise be a wise and transparency and accuracy in reporting.’’); DLC or used.56 The Office encourages welcome development.’’). Reply at 28 (noting that ‘‘transparency will be 45 interested commenters in connection MLC Ex Parte Letter Apr. 3, 2020 (‘‘MLC Ex critical to ensuring that the MLC fulfills its duties Parte Letter #4’’) at 11. in a fair and efficient manner’’). with this notification of inquiry to 46 See Recording Academy Initial at 4 (‘‘[T]he 53 SGA Initial at 6 (urging the Register ‘‘to Copyright Office should articulate clear standards exercise the expansive oversight authority granted 55 See, e.g., Nat’l Cable & Telecomms. Ass’n v. for the MLC board regarding board operations and . . . under the MMA’’). Brand X Internet Servs., 545 U.S. 967, 980 (2005) governance, including appointments and 54 FMC Reply at 2 (stating ‘‘the Copyright Office’s (‘‘[A]mbiguities in statutes within an agency’s succession.’’); Music Artists Coalition (‘‘MAC’’) oversight of the MLC’s activities should be robust’’). jurisdiction to administer are delegations of Initial at 2 (expressing concern regarding the See also Recording Academy Initial at 4 (‘‘the authority to the agency to fill the statutory gap in selection and makeup of the MLC board of directors Copyright Office should articulate clear standards reasonable fashion.’’) (citing Chevron, U.S.A., Inc. v. and statutory committees). for the MLC board regarding board operations and Nat. Res. Def. Council, Inc., 467 U.S. 837 (1984)). 47 84 FR at 32276–95. governance . . .’’); DLC Reply at 28 (encouraging See also Conf. Rep. at 4, 12. 48 U.S. Copyright Office, MLC and DLC Contact ‘‘the Copyright Office to vigilantly exercise its 56 U.S. Copyright Office, Notice of Proposed Information, Boards of Directors, and Committees, ongoing authority under the MMA to ensure the Rulemaking, Treatment of Confidential Information https://www.copyright.gov/music-modernization/ success of this enterprise’’); Lowery Reply at 2 by the Mechanical Licensing Collective and Digital mlc-dlc-info/ (last visited Apr. 10, 2020). (stating ‘‘the Copyright Office shouldn’t delay Licensee Coordinator, Dkt. No. 2020–7, published 49 84 FR 49966, 49973 (Sept. 24, 2019). establishing the rules of the road’’). elsewhere in this issue of the Federal Register.

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review that separate notice carefully and MLC will distribute unclaimed licensing collective.67 The MLC’s consider commenting on that notice as royalties,61 development updates and annual report could thus serve as a well. certifications related to its IT systems,62 means for the collective to publicly and the MLC’s efforts to identify address issues related to vendor II. Subjects of Inquiry copyright owners.63 These comments selection criteria and performance. A. Transparency of MLC Operations; suggest that comprehensive annual Similarly, in addition to the Annual Reporting reporting may be a key means though information provided in the MLC’s One avenue for transparency with which visibility into MLC operations bylaws, which will be made publicly respect to the MLC is through its annual occurs, and thus certain information (in available, the annual report could report. The MMA requires the MLC to addition to statutorily required further address issues related to MLC publish an annual report no later than information) should be included for full board and committee selection criteria. June 30 of each year after the license transparency. Indeed, the MLC itself The annual report could thus disclose availability date, setting forth recognizes that its annual report is one any actual or potential conflicts raised information regarding: (1) Its way in which it intends to ‘‘promote with and/or addressed by its board of 64 operational and licensing practices; (2) transparency.’’ directors, if any, in accordance with the how royalties are collected and As part of analyzing whether it may MLC’s policy.68 distributed; (3) budgeting and be beneficial to flesh out the level of The Office seeks public input on any expenditures; (4) the collective total detail required in the MLC’s annual issues that should be considered costs for the preceding calendar year; (5) report through a rule, commenters may relating to the substance of the MLC’s the MLC’s projected annual budget; (6) consider specific types of additional annual reports, including any proposed aggregated royalty receipts and information the MLC should include. regulatory language. The Office payments; (7) expenses that are more For example, a few commenters welcomes views regarding any than ten percent of the MLC’s annual expressed a desire for more information additional considerations or proposed budget; and (8) the MLC’s efforts to about the MLC’s vendor selection regulatory approaches to address issues locate and identify copyright owners of 65 process. While the Office may raised in the public comments beyond unmatched musical works (and shares consider the MLC’s capabilities, the annual reporting mechanism. of works).57 The MLC must deliver a including through its vendors, during Further, and in light of the MLC’s copy of the annual report to the Register the re-designation process as part of its position that regulatory language may be of Copyrights and make this report duty to confirm whether the collective premature, the Office invites the MLC to publicly available.58 has ‘‘the administrative and publicly share with greater particularity The annual report thus functions as a technological capabilities to perform the operational and communications statutorily-prescribed outlet for the MLC 66 required functions’’ of the collective, planning information, such as notional to provide much of the information the statute vests the MLC itself with schedules, beta wireframes, or other requested by parties in response to the authority to ‘‘[i]nvest in relevant documentation, to provide context to September 2019 notification of inquiry. resources, and engage for services of MLC stakeholders in the months leading Some commenters recognized the role outside vendors and others, to support up to the license availability date. that the annual reporting would play in the activities of the mechanical facilitating the transparency envisioned B. Categories of Information in the by the MMA and the MLC itself. The 61 Lowery Reply at 8 (expressing concern about MLC’s Musical Works Public Database DLC, for example, suggested that manner in which the MLC will distribute although the ‘‘the MMA generally unclaimed royalties based on market share); Monica The MLC must establish and maintain specifies that the MLC’s annual report Corton Consulting Reply at 3 (same). a free public database of musical work 62 Lowery Reply at 5 (expressing concern about ownership information that also must ‘‘set[ ] forth information regarding manner in which the MLC will disclose system . . . the operational and licensing updates). identifies the sound recordings in which 69 practices of the collective,’’ ‘‘how 63 SGA Initial at 6 (asking for the Office to the musical works are embodied, a royalties are collected and distributed,’’ ‘‘mandate the undertaking through the institution of function expected to provide and ‘‘the efforts of the collective to best practices, bona fide and easily reviewable transparency across the music efforts by the MLC to identify as great a percentage industry.70 For musical works that have locate and identify copyright owners of of the proper owners of unmatched royalties and unmatched musical works (and shares titles as possible’’). of works),’’ it ‘‘will be crucial for the 64 The MLC, Transparency, https://themlc.com/ 67 Id. at 115(d)(3)(C)((i)(VII). See 84 FR at 32287 Office to ensure that the MLC follows faqs/categories/transparency (last visited Apr. 10, (discussing MLC applicants’ proposed approaches 2020) (noting that the MLC will ‘‘promote to using vendors). not just the letter of these requirements transparency’’ by ‘‘[p]roviding an annual report to 68 See also Lowery Reply at 8 (asserting that the 59 but their spirit.’’ Other commenters the public and to the Copyright Office detailing the MLC, including board members, officers, and key similarly asked for MLC oversight to operations of The MLC, its licensing practices, employees, should disclose financial incentives or ensure disclosure of information in collection and distribution of royalties, budget and benefits received ‘‘from any person or entity MLC specific areas the statute envisions the cost information, its efforts to resolve unmatched does business with’’). royalties, and total royalties received and paid 69 17 U.S.C. 115(d)(3)(E), (e)(20). annual report addressing, though out’’). 70 See 164 Cong. Rec. H3522 at 3542 (daily ed. without directly linking such oversight 65 National Association of Independent Apr. 25, 2018) (statement of Rep. Norma Torres) to the annual report: board Songwriters (‘‘NOIS’’) et al. Initial at 16 (‘‘Complete (‘‘Information regarding music owed royalties governance,60 the manner in which the transparency through public documents and test would be easily accessible through the database results in regards to the selection of the vendors created by the Music Modernization Act. This must be provided. This should include the transparency will surely improve the working 57 17 U.S.C. 115(d)(3)(D)(vii)(I)(aa)–(hh); Conf. methodology used for selection along with the relationship between creators and music platforms Rep. at 7. results of any Request For Proposals, test results, and aid the music industry’s innovation process.’’). 58 17 U.S.C. 115(d)(3)(D)(vii)(II). pricing structure, rates and additional criteria.’’); See also The MLC, Transparency, https:// 59 DLC Initial at 24. MAC Initial at 3 (‘‘The need for a fully transparent themlc.com/faqs/categories/transparency (last 60 Recording Academy Reply at 2 (encouraging process is also deeply important in the RFI/RFP visited Apr. 10, 2020) (noting that the MLC will the Copyright Office to ‘‘make oversight of the MLC process to select a vendor.’’); Lowery Reply at 3, 12; ‘‘promote transparency’’ by ‘‘[p]roviding a priority, particularly with regard to establishing SGA Reply at 4–5. unprecedented access to musical works ownership processes and procedures for board governance’’). 66 17 U.S.C. 115(d)(3)(A)(iii). information through a public database’’).

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been matched, the statute requires the same time, the Office is mindful of the and making publicly available MLC’s database to include: MLC’s corresponding duties to keep songwriter and composer information, 1. The title of the musical work; confidential business and personal with SGA for example noting, ‘‘[w]hile 2. The copyright owner of the musical information secure and inaccessible; for the names of copyright owners and work (or share thereof), and the ownership example, data related to computation of administrators associated with a percentage of that owner; market share is contemplated by the musical work may change on a constant 3. Contact information for such copyright statue as sensitive and confidential, basis, and other variables and data owner; and despite some comments suggesting that points are subject to frequent 4. To the extent reasonably available to the this information should be publicly adjustment, the title and the names of MLC, (a) the ISWC for the work, and (b) shared.76 Recognizing that a robust the creators never vary from the date of identifying information for sound recordings 79 in which the musical work is embodied, musical works database may contain a work’s creation forward.’’ Others including the name of the sound recording, many fields of information, the Office echoed the strong need for the database featured artist, sound recording copyright tentatively concludes that this to include songwriter/composer owner, producer, ISRC, and other rulemaking may be most valuable in information, and the MLC and DLC both information commonly used to assist in establishing a floor of required proposed regulatory language including associating sound recordings with musical information, that copyright owners and this field.80 The Office finds these 71 works. other stakeholders can reliably expect to comments persuasive in light of the For unmatched musical works, the access in the public database, while statute, and is inclined to require that statute requires the database to include, providing the MLC with flexibility to songwriter and composer information be to the extent reasonably available to the include additional data fields that it publicly available in the MLC’s MLC: finds helpful.77 database, to the extent known to the 1. The title of the musical work; The September 2019 notification of MLC. inquiry asked which specific additional 2. The ownership percentage for which an 2. Studio Producer owner has not been identified; categories of information, if any, should 3. If a copyright owner has been identified be required for inclusion in the MLC’s The statute requires the database to but not located, the identity of such owner database, and stakeholder comments, include ‘‘producer,’’ to the extent and the ownership percentage of that owner; generally furthering mandating reasonably available to the MLC.81 4. Identifying information for sound inclusion of additional information, are Initially, there appeared to be confusion recordings in which the work is embodied, discussed by category below.78 To the about the meaning of this term, with the including sound recording name, featured extent additional categories of MLC originally believing that artist, sound recording copyright owner, producer, ISRC, and other information information should be made publicly ‘‘producer’’ referred to ‘‘the record label commonly used to assist in associating sound available in the MLC’s database, but are or individual or entity that recordings with musical works; and not discussed below, the Office invites commissioned the sound recording.’’ 82 5. Any additional information reported to public comments regarding those Following comments and discussion the MLC that may assist in identifying the additional categories. with Recording Academy and the work.72 1. Songwriter or Composer Recording Industry Association of For both matched and unmatched America, Inc. (‘‘RIAA’’), who works, the MLC’s database must also Multiple commenters noted the compellingly suggest that the legislative include ‘‘such other information’’ ‘‘as importance of the database including intent was that the term mean refer to the Register of Copyrights may prescribe the studio producer, the MLC updated 73 ‘‘efficient and accurate collection and distribution its understanding.83 The MLC contends, by regulation.’’ The ‘‘Register shall of royalties’’). use its judgement to determine what is 76 17 U.S.C. 115(d)(3)(J)(i)(II)(bb) (‘‘the however, that ‘‘the studio producer of a an appropriate expansion of the mechanical licensing collective shall take sound recording is not a data item that required fields, but shall not adopt new appropriate steps to safeguard the confidentiality and security of usage, financial, and other sensitive 79 See SGA Initial at 2. fields that have not become reasonably data used to compute market shares in accordance 80 See Barker Initial at 2 (urging inclusion of ‘‘data accessible and used within the industry with the confidentiality provisions prescribed by fields for songwriters for each musical work,’’ for the Register of Copyrights’’). See MLC Initial at 24 unless there is widespread support for matched and unmatched works); FMC Reply at 2 the inclusion of such fields.’’ 74 (contending that not all information contained in its database ‘‘would be appropriate for public (‘‘We agree that it’s of utmost importance that the In considering whether to prescribe disclosure,’’ and that it ‘‘should be permitted to MLC database contain songwriter/composer the inclusion of additional fields exercise reasonable judgment in determining what names.’’); The International Confederation of information beyond what is statutorily required Societies of Authors and Composers (‘‘CISAC’’) & beyond those statutorily required, the the International Organisation representing Office will focus on fields that would should be made available to the public’’); MAC Reply at 2–3 (suggesting ‘‘data relating to market Mechanical Rights Societies (‘‘BIEM’’) Reply at 6 advance the goal of the MLC’s database: share determinations and voluntary licenses’’ (‘‘CISAC and BIEM strongly support the need for Reducing the number of unmatched should be publicly shared). the inclusion of creators’ names in the MLC Database since it is the safest information to 77 Compare U.S. Copyright Office, Notice of works by accurately identifying musical identify a work (publishers may change, creators work copyright owners so they can be Proposed Rulemaking, Royalty Reporting and Distribution Obligations of the Mechanical never change . . .’’); MLC Reply at 32 (agreeing with paid what they are owed by digital Licensing Collective, Dkt. No. 2020–6, published inclusion of songwriter information for musical music providers operating under the elsewhere in this issue of the Federal Register works); DLC Reply at 26 (agreeing ‘‘with several section 115 statutory license.75 At the (proposing a floor of categories of information to be commenters that songwriter and composer required in periodic reporting to copyright owners, information should be collected and included in the but noting that the MLC expects to include database’’). 71 17 U.S.C. 115(d)(3)(E)(ii). 81 additional information). 17 U.S.C. 115(d)(3)(E)(ii)(IV), (iii)(I)(dd). 72 Id. at 115(d)(3)(E)(iii). 82 78 84 FR at 49972. See, e.g., SoundExchange MLC Initial at 13 n.6. 73 Id. at 115(d)(3)(E)(ii)(V), (iii)(II). Initial at 6 (‘‘[T]he data fields recited in the statute 83 Recording Academy Initial at 3 (urging Office 74 Conf. Rep. at 7. should be viewed as a minimal and vaguely to ‘‘clarify that a producer is someone who was part 75 See id. (noting that the ‘‘highest responsibility’’ described set of data for understanding rights with of the creative process that created a sound of the MLC’s includes ‘‘efforts to identify the respect to a musical work in a crowded field where recording’’); RIAA Initial at 11 (stating ‘‘producer’’ musical works embodied in particular sound there are many millions of relevant works with should be defined as ‘‘the primary person(s) recordings,’’ ‘‘identify[ing] and locat[ing] the similar titles in different languages and complicated contracted by and accountable to the content owner copyright owners of such works so that [the MLC] ownership structures to understand and for the task of delivering the recording as a finished can update the database as appropriate.’’ and communicate.’’). product’’); MLC Reply at 35.

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is needed operationally by the MLC,’’ available to the MLC.92 For its part, available to the MLC, ‘‘all additional and that the ‘‘producer’’ field is not SoundExchange asserts that the ‘‘CWR entities involved with the licensing or included in the Common Works standard contemplates a much richer set ownership of the musical work, Registration (‘‘CWR’’) format or the of information about ‘interested parties’ including publishing administrators and DDEX DSRF format(s) that the MLC linked to CISAC’s Interested Party aggregators, publishers and sub- plans to use.84 Should the MLC be Information (‘IPI’) system, including publishers, and any entities designated provided ‘‘a single feed of authoritative information about songwriters and to receive license notices, reporting, sound recording data,’’ the MLC publishers at various levels,’’ and so the and/or royalty payment on the copyright ‘‘proposes that the ‘studio producer’ database should include and make owners’ behalf.’’ 97 Similarly, information be included to the extent available a full set of information about SoundExchange observes that available.’’ 85 interested parties involved in the ‘‘[c]ommercialization of musical works The term ‘‘producer’’ relates not only creation and administration of the often involves chains of publishing, sub- to the public database, but also to other musical work, including shares and publishing and administration open rulemakings, including identifiers.’’ 93 agreements that determine who is information provided by digital music The MLC plans to include the IPI entitled to be paid for use of a work,’’ providers in reports of usage. In number and ISNI in the public database, and that the CWR standard connection with its separate NPRM but does not believe it should be contemplates gathering this information, concerning reports of usage, notices of required to do so through regulation.94 such that the MLC database should also license, and data collection efforts, The MLC also plans to create its own collect and make available this among other things, the Office is proprietary identifier for each musical information.98 currently proposing an overarching work in the database, and while it does The MMA does not specifically call definition that applies throughout its not identify which, the MLC ‘‘is giving out music publishing administrators, section 115 regulations to clarify that careful consideration to the virtue of that is, entities responsible for managing ‘‘producer’’ refers to the studio also including third party proprietary copyrights on behalf of songwriters, producer.86 musical work identifiers to aid including administering, licensing, and 3. Unique Identifiers interoperability of its database.’’ 95 collecting publishing royalties without The Office seeks public input on receiving an ownership interest in such As noted, the statute requires that issues relating to the inclusion of copyrights. One music publishing ISRC and ISWC codes, when available, unique identifiers for musical works in administrator noted that because ‘‘the be included in the MLC database.87 the MLC’s database, including whether copyright owner may not necessarily be According to the legislative history, regulations should require including IPI the entity authorized to control, license, ‘‘[u]sing standardized metadata such as or ISNI, the MLC’s own standard or collect royalties for the musical ISRC and ISWC codes, is a major step identifier, or any other specific work,’’ the MLC’s database should forward in reducing the number of additional standard identifiers include information identifying the unmatched works.’’ 88 The legislative reasonably available to the MLC, along administrators or authorized entities history also notes that ‘‘the Register may with supporting rationale. who license or collect on the behalf of at some point wish to consider after an musical work copyright owners.99 He appropriate rulemaking whether 4. Information Related to Ownership also proposes that because ‘‘a copyright standardized identifiers for individuals and Control of Musical Works owner’s ‘ownership’ percentage may would be appropriate, or even audio By statute, the MMA database must differ from that same owner’s ‘control’ fingerprints.’’ 89 include information related to the percentage,’’ the MLC’s database should The DLC proposes that the MLC’s ownership of the musical work as well database should include ‘‘any standard include separate fields for ‘‘control’’ as the underlying sound recording, 100 identifiers . . . used for creators and versus ‘‘ownership’’ percentage. The including ‘‘the copyright owner of the 101 copyright owners themselves,’’ such as MLC agrees with this approach. work (or share thereof), and the In addition, with respect to specific Interested Parties Information (IPI) 90 or ownership percentage of that owner,’’ ownership percentages, which are International Standard Name Identifier required by statute to be made publicly (‘‘ISNI’’),91 to the extent reasonably or, if unmatched, ‘‘the ownership percentage for which an owner has not available, SoundExchange raises the 96 question of how the database should 84 MLC Reply at 35. been identified.’’ The statute also 85 Id. at 35–36. requires a field called ‘‘sound recording best address ‘‘the frequent situation 86 U.S. Copyright Office, Notice of Proposed copyright owner,’’ the meaning of which (particularly with new works) where the Rulemaking, Music Modernization Act Notices of is discussed further below. various co-authors and their publishers License, Notices of Nonblanket Activity, Data The DLC proposed that the MLC have, at a particular moment in time, Collection and Delivery Efforts, and Reports of Usage and Payment, Dkt. No. 2020–5, published database should include, to the extent collectively claimed more or less than elsewhere in this issue of the Federal Register. 100% of a work.’’ 102 Noting that it may 87 17 U.S.C. 115(d)(3)(E)(ii)–(iii). creators, performers, producers, publishers, be difficult for the MLC to withhold 88 Conf. Rep. at 7. aggregators, and more. A different ISNI is assigned information regarding the musical work 89 Id. for each name used. ISNI is not widely in use across the music industry.’’ U.S. Copyright Office, until shares equal 100% (the practice of 90 IPI is ‘‘[a] unique identifier assigned to rights Glossary, https://www.copyright.gov/policy/ other systems), it suggests the MLC holders with an interest in an artistic work, unclaimed-royalties/glossary.pdf. including natural persons or legal entities, made ‘‘make available information concerning 92 known to the IPI Centre. The IPI System is an DLC Initial at 21; DLC Reply Add. at A–16. the shares claimed even when they total international registry used by CISAC and BIEM 93 SoundExchange Initial at 8; see id. at 7–8 more than 100% (frequently referred to societies.’’ U.S. Copyright Office, Glossary, https:// (‘‘Reflecting all applicable unique identifiers in the www.copyright.gov/policy/unclaimed-royalties/ MLC Database will allow users of the MLC Database 97 DLC Reply Add. at A–16. glossary.pdf. readily to match records in the database to other 98 SoundExchange Initial at 8. 91 ISNI is ‘‘[a] unique identifier for identifying the databases when ISWC is not included in one or the 99 public identities of contributors to creative works, other of the databases.’’). Barker Initial at 2. regardless their legal or natural status, and those 94 MLC Reply at 33. 100 Id. at 3. active in their distribution. These may include 95 Id. at 34. 101 MLC Reply at 32. researchers, inventors, writers, artists, visual 96 17 U.S.C. 115(d)(3)(C)(E)(ii)–(iii). 102 SoundExchange Initial at 8–9.

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as an ‘overclaim’) or less than 100% relating to track duration, version, and Here, too, the Office would like to (frequently referred to as an release date of sound recording.108 avoid a regulatory approach that ‘overclaim’).’’ 103 The MLC acknowledges the merits of discourages the MLC from including The Office tentatively concludes that including such information, noting it additional fields that it determines may it will be beneficial for the database to ‘‘recognizes CWR as the de facto be useful to include in the public database. The Office invites further include information related to all industry standard used for registration public comment on these issues, persons or entities that own or control of claims in musical works, and intends including whether a regulatory structure the right to license and collect royalties to use CWR as its primary mechanism similar to that proposed for the MLC’s related to musical works in the United for the bulk electronic registration of provision of data in royalty statements musical works data.’’ 109 While States, including that music publishing to copyright owners is appropriate cautioning that it ‘‘continues to believe administrator and control information regarding information to be made that overregulation is unnecessary and would be valuable additions. With publicly available in the MLC’s respect to the question SoundExchange may be detrimental to the MLC’s ability database, including what, if any, raises regarding works that may reflect to adapt its musical works database as additional fields should be required as underclaiming and overclaiming of necessary to ensure its usefulness in part of a regulatory floor. shares, the Office suggests that the identifying musical works,’’ 110 it MLC’s dispute resolution committee amended its proposed regulatory 6. Performing Rights Organization may be an appropriate forum to language to clarify that the database Affiliation consider this issue, as part of the would include ‘‘alternative titles of the A few commenters contend that the committee’s charge to establish policies musical work, and to the extent MLC’s database should include and procedures related to resolution of available to the mechanical licensing performing rights organization (‘‘PRO’’) disputes related to ownership interests collective, the track duration, version affiliation, with MIC Coalition for in musical works.104 In general, the title and release date of any sound example asserting that ‘‘[a]ny data Office seeks public input on any further recordings embodying a particular solution must not only encompass issues related to inclusion of this musical work.’’ 111 The MLC’s proposal mechanical rights, but also provide information in the public musical works would also require the database to information regarding public database, including proposed regulatory include additional fields ‘‘reported to performance rights, including PRO approaches. the mechanical licensing collective as affiliation and splits of performance may be useful for the identification of rights.’’ 115 The MLC points out that its 5. Additional Information Related to musical works that the mechanical ‘‘primary responsibility is to engage in Identifying Musical Works and Sound licensing collective deems appropriate the administration of mechanical rights Recordings to publicly disclose.’’ 112 In a separate and to develop and maintain a concurrent notice of proposed mechanical rights database,’’ and that Commenters proposed that the public rulemaking, the Office has proposed ‘‘gather[ing], maintain[ing], updat[ing] database include various other fields to requiring that the MLC report certain and includ[ing] . . . performance rights identify the musical work at issue or the data fields in royalty statements information—which rights it is not sound recording in which it is provided to copyright owners to the permitted to license—would require embodied. With respect to musical extent such information is ‘‘known’’ to significant effort which could imperil works, some commenters pointed to the MLC as a regulatory floor, while [its] ability to meet its statutory fields included in the existing Common encouraging the MLC to report obligations with respect to mechanical Works Registration (CWR) format, and additional information.113 And the rights licensing and administration by supported inclusion of information Office has issued a notice of proposed the [license availability date].’’ 116 FMC relating to alternate titles for musical rulemaking regarding the circumstances agrees, and further notes the challenge works,105 whether the work utilizes under which digital music providers in keeping PRO affiliation information samples and medleys of preexisting must provide these and other fields to accurate and up-to-date.117 The largest works,106 and opus and catalogue the MLC in reports of usage.114 PROs, The American Society of numbers and instrumentation of Composers, Authors, and Publishers classical compositions.107 With respect 108 See MLC Reply at 33, App. E (agreeing with (‘‘ASCAP’’) and Broadcast Music, Inc. to sound recordings, commenters inclusion of duration, version, and release year of (‘‘BMI’’), similarly object that because the sound recording, to the extent available to the ‘‘music performing rights organizations suggested inclusion of information MLC); Recording Academy Initial at 3 (noting such information would ‘‘help distinguish between songs such as BMI and ASCAP all have 103 Id.; see id. at 15 (‘‘[U]sers of the MLC Database that have been recorded and released under comprehensive databases on musical should be able to access information about different titles or by different artists multiple situations in which there are conflicting claims to times’’); RIAA Initial at 6–7 (same);. RIAA Usage and Payment, Dkt. No. 2020–5, published a work, including an overclaim (i.e., a situation recommends revising the ‘‘sound recording name’’ elsewhere in this issue of the Federal Register. field to ‘‘sound recording track title,’’ or in the where putative copyright owners have claimed 115 MIC Coalition Initial at 2. See DLC Initial at alternative, ‘‘sound recording name/sound shares that collectively amount to more than 100% 20 (suggesting that including PRO affiliation ‘‘will recording track title.’’ Id. at 10–11. of the work), so as to be able to understand the ensure that the MLC’s database is fully usable, 109 extent of the overlap and the rightsholders whose MLC Reply at 38. including as a resource for direct licensing claims are involved.’’). 110 Id. at 32. activities); see Barker Initial at 8–9. 104 17 U.S.C. 115(d)(3)(K). 111 Id. at App. E. 116 MLC Reply at 36. 105 See RIAA Initial at 8 (‘‘Sometimes the official 112 Id. 117 FMC Reply at 3 (‘‘[I]t’s difficult to see how title of a song includes an alternate title, or a 113 U.S. Copyright Office, Notice of Proposed including PRO information in the MLC database primary title followed by a second, parenthetical Rulemaking, Royalty Reporting and Distribution could work—as the MLC won’t be paying PROs, it’s title.’’); MLC Reply at 32 (agreeing with inclusion Obligations of the Mechanical Licensing Collective, hard to envision what would incentivize keeping of alternate titles for musical works). Dkt. No. 2020–6, published elsewhere in this issue this data accurate and authoritatively up to date. 106 SoundExchange Initial at 9 (noting that the of the Federal Register. Repertoire transparency is important, but it is not CWR standard contemplates provision of such 114 U.S. Copyright Office, Notice of Proposed the Copyright Office’s job to facilitate MIC’s information). Rulemaking, Music Modernization Act Notices of members’ efforts to bypass Performing Rights 107 Id. (noting that the CWR standard License, Notices of Nonblanket Activity, Data Organizations that offer songwriters collective contemplates provision of such information). Collection and Delivery Efforts, and Reports of representation.’’).

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works ownership rights, and these Understanding that termination issues language, including through the policies databases are publicly available,’’ can be complex, the Copyright Office and practices adopted by its dispute ‘‘administration of data with respect to notes that presumably, any requirement resolution and operations committees, the licensing of public performing rights to denote whether termination rights are and by establishing digital accounts does not require government relevant should be conditioned upon through which copyright owners can intervention.’’ 118 information provided to the MLC, and/ view, verify, or adjust information. Because the MMA explicitly restricts or otherwise reasonably available to it. the MLC from licensing performance The Copyright Office seeks public input The Office seeks further public input rights, it seems unlikely to be prudent on issues that should be considered on any issues that should be considered or frugal to require the MLC to expend relating to whether the proposed rule relating to the identification of data resources to maintain PRO affiliations should address the inclusion of sourcing in the MLC’s database, for rights it is not permitted to termination information in the MLC’s including whether (and how) third- license.119 Having considered these database. party data should be labeled. comments, the statutory text, and 9. Historical Data legislative history, the Office tentatively 8. Data Provenance concludes against requiring the MLC to The DLC contends that if the MLC’s Again pointing to the CWR standard, include PRO affiliation in its database. database includes third-party data, ‘‘it 125 SoundExchange asserts that the MLC This conclusion does not inhibit PRO should be labeled as such.’’ The database should ‘‘maintain and make DLC’s proposed language suggests that access or use of the database for their available historical interested party for musical work copyright owner own efforts, and explicitly permits bulk information so it is possible to know access for a fee that does not exceed the information, the MLC’s database should who is entitled to collect payments for MLC’s marginal cost to provide such indicate ‘‘whether the ownership information was received directly from shares of a work both currently and at access; nor does it restrict the MLC from 130 optionally including such the copyright owner or from a third any point in the past.’’ As noted information.120 party.’’ 126 SoundExchange agrees, above, the DLC has also proposed that stating that ‘‘the MLC Database should the MLC database include ‘‘information 7. Terminations identify the submitters of the regarding each entity in the chain of Title 17 allows, under certain information in it, because preserving copyright owners and their agents for a circumstances, authors or their heirs to that provenance will allow the MLC and particular musical work’’ as well as terminate an agreement that previously users of the MLC to make judgments ‘‘relational connections between each of granted one or more of the author’s about how authoritative the information these entities for a particular musical exclusive rights to a third party.121 One is.’’ 127 Others commenters noted that work.’’ 131 The MLC sought clarity about commenter suggests that to the extent for sound recordings, first-hand data is the DLC’s specific proposal, suggesting terminations of musical work grants more likely to be accurate.128 ‘‘[i]t is unclear whether the DLC . . . is have occurred, the MLC’s database Separately, the Copyright Office is referring to the entire historical chain of should include ‘‘separate iterations of addressing certain sourcing issues with title for each musical work. If so, the musical works with their respective respect to data collection efforts and MLC objects that ‘‘such information is copyright owners and other related information provided by digital music voluminous, burdensome to provide information, as well as the appropriately providers in a parallel rulemaking and maintain, and in this context matched recording uses for each proceeding.129 iteration of the musical work, and to The Office appreciates that issues unnecessary and must not be 132 make clear to the public and users of the related to data sourcing, confidence in required.’’ The MLC intends, database the appropriate version eligible data quality, accurate copyright however, to maintain information in its for future licenses.’’ 122 Separately, as ownership information, and agency or database about ‘‘each and every entity addressed in a parallel rulemaking, the licensing arrangements, can be nuanced. that, at any given point in time, owns a MLC has asked that the Office require The Office tentatively believes that the share of the right to receive mechanical digital music providers to include server MLC may be better-suited to explore the royalties for the use of a musical work fixation dates for sound recordings, best way to promote accuracy and in covered activities.’’ 133 contending that this information will be transparency in issues related to data The Copyright Office tentatively helpful to its determination whether provenance without such regulatory agrees with the MLC’s approach to focus particular usage of musical works is on current relationships with respect to affected by the termination of grants Presentation at 15; DLC Ex Parte Letter Feb. 24, this rulemaking, but welcomes further under this statutory provision.123 The 2020 (‘‘DLC Ex Parte Letter #2’’) at 4; DLC Ex Parte public input.134 The Office notes that DLC has objected to this request.124 Letter Mar. 4, 2020 (‘‘DLC Ex Parte Letter #3’’) at 5. separately, the MLC must maintain all 125 DLC Initial at 20. material records of the operations of the 118 ASCAP & BMI Reply at 2. 126 DLC Reply Add. A–15–16. 119 17 U.S.C. 115(d)(3)(C)(iii) (limiting 127 SoundExchange Initial at 10–11. mechanical licensing collective in a administration of voluntary licenses to ‘‘only [the] 128 The American Association of Independent secure and reliable manner, and such reproduction or distribution rights in musical works Music (‘‘A2IM’’) & RIAA Reply at 2 (asserting MLC information will also be subject to for covered activities.’’). should be required to obtain its sound recording 135 120 audit. Id. at 115(d)(3)(E)(v). See Barker Initial at 9. data from a single authoritative source); Jessop 121 17 U.S.C. 203, 304(c), 304(d). Initial at 3 (‘‘The MLC should obtain sound 122 Barker Initial at 4. recording information from as close to the source 130 SoundExchange Initial at 10. 123 MLC Reply at 19, 55. See also U.S. Copyright as possible. In practice this means from the record 131 DLC Initial at 20. label or someone directly or indirectly authorized Office, Notice of Proposed Rulemaking, Music 132 MLC Reply at 34. Modernization Act Notices of License, Notices of to manage this information for them.’’). 133 Id. Nonblanket Activity, Data Collection and Delivery 129 U.S. Copyright Office, Notice of Proposed 134 Efforts, and Reports of Usage and Payment, Dkt. No. Rulemaking, Music Modernization Act Notices of The Office does not envision language 2020–5, published elsewhere in this issue of the License, Notices of Nonblanket Activity, Data prohibiting the MLC from providing such historical Federal Register. Collection and Delivery Efforts, and Reports of information. 124 DLC Ex Parte Letter Feb. 14, 2020 (‘‘DLC Ex Usage and Payment, Dkt. No. 2020–5, published 135 17 U.S.C. 115(d)(3)(M)(i); id. at Parte Letter #1’’) at 3; DLC Ex Parte Letter #1 elsewhere in this issue of the Federal Register. 115(d)(3)(D)(ix)(II)(aa).

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C. Sound Recording Copyright Owner information.140 UMG suggested that the publicly listed as ‘‘Party Delivering the Information and Disclaimers or MLC’s inclusion of a field labeled Sound Recording to the DMP’’ and the Disclosures in MLC Public Database ‘‘sound recording copyright owner’’ LabelName, listed as ‘‘Releasing Party (if might confuse relations between the provided).147 Finally, since these RIAA, and individual record labels, actual copyright owner and the record concerns connect directly to the ERN expressed concern about which label conveying information to the DMP, standard, the Office welcomes any information will populate and be where the label is functioning as a non- information regarding whether it is displayed to satisfy the statutory copyright owner distributor through a requirement to include ‘‘sound likely that the ERN standard may evolve licensing or press and distribution in a relevant manner, and again recording copyright owner’’ (SRCO) in (P&D) arrangement.141 Sony Music the MLC’s database. Specifically, RIAA reiterates its commitment to ensuring (‘‘Sony’’) expressed similar concerns, appropriate regulatory flexibility. explained that under current industry suggesting that the Office’s regulations Relatedly, the Office also notes that it practice, digital music providers send specify how the ‘‘sound recording has received persuasive comments royalties pursuant to information copyright owner’’ line in the MLC’s requesting that the MLC be required to received from record companies or database should be labeled or defined to include a conspicuous disclaimer others releasing recordings to DMPs minimize confusion.142 Specifically, regarding sound recording copyright ‘‘via a specialized DDEX message Sony suggested that three fields—DDEX ownership information in its database. known as the ERN (or Electronic Release Party Identifier (DPID), LabelName, and For example, RIAA suggests that the Notification),’’ which is ‘‘typically PLine—may provide indicia relevant to populated with information about the determining sound recording copyright MLC should be required to ‘‘include a party that is entitled to receive royalties ownership, noting that ‘‘DIY artists and clear and conspicuous disclaimer on the (who may or may not be the actual legal aggregators serving that community’’ home screen of the public database that copyright owner), because that is the may be most likely to populate the DPID it does not purport to provide information that is relevant to the field.143 In reply comments, A2IM & authoritative information regarding business relationship between record RIAA also identified these same three sound recording copyright owner 136 148 labels and DMPs.’’ In short, fields.144 information.’’ A2IM & RIAA, CISAC information in ‘‘the ERN message is not The Copyright Office received no & BIEM, and SoundExchange agree that meant to be used to make legal comments disputing the labels’ the MLC’s database should display such 137 determinations of ownership.’’ RIAA description of industry practice. As the a disclaimer.149 And the MLC itself has notes the potential for confusion MMA also requires ‘‘sound recording agreed to display a disclaimer that its stemming from the SRCO field in the copyright owner’’ to be reported by database should not be considered an MLC database being populated from the DMPs to the MLC in monthly reports of authoritative source for sound recording labels’ ERN messages—for both the MLC usage, the Office has separately information.150 Similarly, given the (i.e., the MLC could ‘‘inadvertently proposed a rule regarding which current record regarding these issues, misinterpret or misapply SRCO data’’), information should be included in such the Office is not presently inclined to and users of the free, public database reports to satisfy this requirement. That require that the MLC include (i.e., they could mistakenly assume that rule proposes that DMPs can satisfy this information relating to sound recording the sound recording copyright owner obligation by reporting information in copyright owner with the same information is authoritative with respect each of the fields identified by the prominence as other information related 138 to ownership of the sound recording). labels: DDEX Party Identifier (DPID), to matched and unmatched musical Separate but relatedly, SoundExchange LabelName, and PLine.145 The Office works. The Office invites comment on notes that it ‘‘devotes substantial seeks public comment regarding which these issues. resources’’ to tracking changes in sound data the proposed rule should require recording rights ownership, suggesting D. Access to Public Information in the including in the MLC database to satisfy MLC’s Database that inclusion of this field ‘‘creates a the statutory requirement, including 139 potential trap for the unwary.’’ whether to require inclusion of multiple As noted above, the statute directs the Those concerns were echoed in ex fields to lessen the perception that a Copyright Office to ‘‘establish parte meetings with individual record single field contains definitive data requirements by regulations to ensure labels. Universal Music Group (‘‘UMG’’) regarding sound recording copyright the usability, interoperability, and usage explained that ‘‘actual copyright ownership information.146 The Office restrictions of the [MLC’s] musical ownership is irrelevant’’ in the digital also welcomes comments related to the works database.’’ 151 The database must supply chain, as ‘‘DMPs only need to labelling of such field(s). For example, ‘‘be made available to members of the know who to pay and, maybe, who to contending that in many cases, the public in a searchable, online format, call,’’ whereas record companies PLine names an individual who may separately track copyright ownership wish not to be listed in a public 147 A2IM & RIAA Reply at 9–10. database, A2IM & RIAA suggest that the 148 RIAA Initial at 10. 136 RIAA Initial at 2. Although the RIAA’s initial MLC database include the DPID name, 149 A2IM & RIAA Reply at 9 (urging Office to comments suggested that the ERN feed included a require ‘‘a strong, prominent disclaimer’’ to field labeled sound recording copyright owner ‘‘make[ ] it explicitly clear that the database does 140 UMG & RIAA Ex Parte Letter at 2. (SRCO), upon reply, it clarified that there is no such not purport to provide authoritative information 141 specific field. See A2IM & RIAA Reply at 8 n.5. Id. at 2–3. about sound recording copyright ownership’’); 137 RIAA Initial at 2. 142 Sony & RIAA Ex Parte Letter at 1–2. CISAC & BIEM Reply at 8 (‘‘CISAC and BIEM also 138 Id. at 3; see id. (‘‘If database users seek out and 143 Id. encourage the use of appropriate disclaiming enter into sound recording licenses with the wrong 144 A2IM & RIAA Reply at 8–10. language in regard to the content of the database, parties and/or make payments to the wrong 145 U.S. Copyright Office, Notice of Proposed where necessary.’’); SoundExchange Initial at 12 parties—because they misunderstand what the data Rulemaking, Music Modernization Act Notices of (‘‘At a minimum, the MLC Database should at least in the SRCO column of the MLC database actually License, Notices of Nonblanket Activity, Data include a disclaimer that the MLC Database is not represents—that would negatively impact our Collection and Delivery Efforts, and Reports of an authoritative source of sound recording rights member companies and the artists whose Usage and Payment, Dkt. No. 2020–5, published owner information.’’). recordings they own and/or exclusively license.’’). elsewhere in this issue of the Federal Register. 150 MLC Reply at 37. 139 SoundExchange Initial at 11–12. 146 17 U.S.C. 115(d)(3)(E)(ii), (iii). 151 17 U.S.C. 115(d)(3)(E)(vi).

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free of charge.’’ 152 The MLC must make statute. For example, SoundExchange assertion that providing APIs would be the data available ‘‘in a bulk, machine- replied that ‘‘[w]eekly downloads of a financially burdensome, stating that ‘‘it readable format, through a widely copy of the database are distinctly is not obvious that there would be a available software application,’’ to different and less useful than real-time significant cost difference between digital music providers operating under access to current data,’’ noting that the providing full API access and the valid notices of license, compliant MLC will be making constant updates diminished access the DLC significant nonblanket licensees, and thus a weekly download would describes.’’ 165 Sound Exchange also authorized vendors of such digital quickly become out of date.160 notes that in the designation of the music providers or significant SoundExchange asserts that failure to mechanical licensing collection, the nonblanket licensees, and the Copyright provide real-time access ‘‘could unfairly Office stated that both applicants Office, free of charge, and to ‘‘[a]ny distort competition for musical work intended to develop APIs.166 other person or entity for a fee not to license administration services by At this time, the Office is tentatively exceed the marginal cost to the giving the MLC and its vendors disinclined to regulate the precise mechanical licensing collective of preferred access to current data,’’ and format in which the MLC provides bulk providing the database to such person or that the Office should ‘‘maintain[ ] a access to its database (e.g., APIs), so as entity.’’ 153 The legislative history level playing field in the market for to provide the MLC flexibility as stresses the importance of the MLC’s musical work license administration technology develops in providing database and making it available to ‘‘the services.’’ 161 A2IM & RIAA also note database access. The Office notes, public without charge, with the that it would be ‘‘damaging to the entire however, that Congress clearly exception of recovery of the marginal music ecosystem for third parties to envisioned use of the MLC’s database by cost of providing access in bulk to the utilize stale data, especially if they use entities other than digital music public.’’ 154 It adds that ‘‘[i]ndividual it in connection with some sort of providers and significant nonblanket lookups of works shall be free although public-facing, data-related business or to licensees.167 Moreover, the MLC’s the collective may implement drive licensing or payment database is meant to serve as an reasonable steps to block efforts to decisions.’’ 162 authoritative source of information bypass the marginal cost recovery for Further, RIAA, SoundExchange, FMC, regarding musical work ownership bulk access if it appears that one or MAC, and the Recording Academy all information,168 and provide more entities are attempting to stress the importance of real-time access transparency. These goals support real- download the database in bulk through to the MLC’s database through APIs.163 time access to the MLC’s database, repeated queries.’’ 155 And it further MAC asserts that having API access and either via bulk access or online song-by- states that ‘‘there shall be no ensuring interoperability ‘‘with other song searches.169 requirement that a database user must systems is the best way to make certain The Office seeks public input on any register or otherwise turn over personal the MLC database becomes part of the issues that should be considered information in order to obtain the free overall music licensing ecosystem.’’ 164 relating to access to the MLC’s database, access required by the legislation.’’ 156 SoundExchange challenges the DLC’s including proposed regulatory language that would facilitate the MLC’s 1. Method of Access 160 SoundExchange Reply at 4–5, 7 (noting that its provision of real-time access to the The DLC maintains that the MLC Rights Management Department is ‘‘devoted to database (bulk and online song-by- ensuring that our rights management database is song). should not be required to provide more always populated with the most current than ‘‘[b]ulk downloads (either of the information about who is entitled to be paid for use 2. Marginal Cost entire database, or of some subset of the sound recordings in our repertoire database,’’ thereof) in a flat file format, once per and that they ‘‘make changes to our rights Despite the statute and legislative management database all day every day’’); see history stating third parties may be week per user,’’ and ‘‘[o]nline song-by- SoundExchange Initial at 13–14 (‘‘no third party song searches to query the database, e.g., maintaining a local musical work repertoire 165 SoundExchange Reply at 8. through a website.’’ 157 The DLC also database will ever be able to obtain and maintain 166 Id. at 3 (citing 84 FR at 32289). In its contends that ‘‘it would be unreasonable ownership information as current and accurate as the MLC’s. Providing robust API access to the MLC September 2019 notification of inquiry, the Office for digital music providers and Database will discourage the creation and noted that ‘‘[MLC] stated that it strongly support[s] the adoption of standards, formats, and frameworks significant nonblanket licensees to foot maintenance of less accurate local alternatives, that allow information to be easily and accurately promoting accurate licensing of and payment for the bill for database features that would shared throughout the industry, and that good musical works.’’). only benefit entities or individuals who systems functioning and architectural practices 161 are not paying a fair share of the MLC’s SoundExchange Reply at 9. See also id. at 5 instruct that components should have proper APIs.’’ (‘‘Making only last week’s data available to bulk costs,’’ 158 and that APIs are ‘‘not needed 84 FR at 49972. users would also result in a curious situation where 167 See 17 U.S.C. 115(d)(3)(E)(v) (granting bulk by digital music providers and members of the public with free access to the MLC access to the MLC’s database to ‘‘[a]ny other person significant nonblanket licensees.’’ 159 Database to search for information on individual or entity for a fee not to exceed the marginal cost In response, multiple commenters works would seem to have access to more current to the mechanical licensing collective of providing assert that real-time access to the MLC’s data than commercial users with bulk access, who the database to such person or entity’’). See also in some cases would have to pay for such access.’’). RIAA Initial at 11 (asserting that record labels database—not merely a weekly file—is 162 A2IM & RIAA Reply at 7. ‘‘anticipate making frequent use of the MLC necessary to meet the goals of the 163 RIAA Initial at 11 (‘‘To facilitate efficient database’’). business-to-business use of the MLC database, the 168 See 17 U.S.C. 115(d)(3)(E), (e)(20). 152 Id. at 115(d)(3)(E)(v). regulations should require the MLC to offer free API 169 See MIC Coalition Initial at 3 (‘‘The 153 Id. at 115(d)(3)(E)(v). access to registered users of the database who opaqueness of the current music marketplace request bulk access.’’); SoundExchange Reply at 4– 154 H.R. Rep. No. 115–651, at 8; S. Rep. No. 115– creates uncertainty that disproportionately harms 5; FMC Reply at 3 (concurring with 339, at 8; Conf. Rep. at 7. small artists and independent publishers and stifles SoundExchange’s recommendations about API 155 H.R. Rep. No. 115–651, at 8; S. Rep. No. 115– innovation. All stakeholders in the music access, ‘‘including the recommendations that API marketplace benefit when current and accurate 339, at 8–9; Conf. Rep. at 7. access include unique identifiers, catalog lookup, 156 information about copyright ownership is easily H.R. Rep. No. 115–651, at 8; S. Rep. No. 115– and fuzzy searching’’); Recording Academy Initial accessible. We believe this transparency is a 339, at 9; Conf. Rep. at 7. at 4 (‘‘ensuring that the database has a user-friendly necessary baseline in creating a more sustainable 157 DLC Initial at 21. API and ‘machine-to-machine’ accessibility is and equitable system, and a good step toward 158 Id. important to its practical usability’’). supporting greater fairness in the music 159 DLC Reply at 26. 164 MAC Initial at 2. marketplace.’’).

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charged the ‘‘marginal cost’’ of being recovery for bulk access (i.e., abuse), the use in the database,’’ the MLC believes provided bulk access, A2IM & RIAA MLC ‘‘may implement reasonable steps appropriate terms of use should address express concern about making the to block efforts to bypass the marginal potential misuse of information from the MLC’s database available to third parties cost recovery for bulk access if it MLC’s database (rather than ‘‘unless the fee those third parties are appears that one or more entities are regulations).179 required to pay takes into account the attempting to download the database in While the Office agrees that it will be 174 cost for the MLC to acquire that data bulk through repeated queries.’’ Both important for the MLC to develop and all of the costs and hard work that the MLC and DLC propose regulatory reasonable terms of use to address goes into creating, compiling, verifying, language that would provide the MLC potential misuse of information in its deduping, etc. the sound recording data discretion to block efforts to bypass the 175 database and appreciates the role that that will reside within the MLC marginal cost recovery. A2IM & RIAA contractual remedies may play to deter database and the potential opportunity also suggest that the MLC be required to abuse, the MMA directs the Office to costs to [record labels] of having that implement technological protection issue regulations regarding ‘‘usage data available to third parties via the measures (‘‘TPMs’’) to reduce the restrictions,’’ in addition to usability MLC.’’ 170 RIAA contends that otherwise likelihood of third parties ‘‘scraping’’ and interoperability of the database.180 third-party businesses ‘‘would be able to data without paying any fee.176 The The Office is mindful of the risk of access that data at a highly subsidized, Office agrees that, in principle, the MLC misuse. For example, bad actors could below-market price.’’ 171 RIAA asks the should at a minimum have such acquire and misrepresent information, Office to define ‘‘marginal cost’’ to discretion. The Office seeks public or exploit personally identifiable ‘‘include not just the cost of creating input on any issues that should be information (‘‘PII’’) that must be and maintaining the bulk access, but considered relating to regulatory publicly available under the statute also the cost to the MLC of acquiring the language concerning the MLC’s ability (e.g., copyright owner of the musical data, including payment to the data to block efforts to bypass the marginal work (or share thereof), and the source, for the hard work of aggregating, cost recovery, particularly how to avoid verifying, deduping and resolving penalizing legitimate users while ownership percentage of that owner). At conflicts in the data.’’ 172 providing the MLC flexibility to police the same time, the Office recognizes that The Office tentatively declines this abuse, and whether regulatory language potential regulations and any terms of request. It is not clear that ‘‘marginal should address application of TPMs. use issued by the MLC should not be cost’’ is a vague term, and at this point, overly broad or impose unnecessary 181 the Office believes the MLC should be 4. Restrictions on Use restrictions upon good faith users. able to determine the best pricing CISAC & BIEM ask the Copyright The Office seeks public input on any information in light of its operations, Office to issue regulations defining issues that should be considered based on the statutory and legislative ‘‘strict terms and conditions’’ for use of relating to restrictions on usage of history language.173 data from the MLC’s database by digital information in the MLC’s database, music providers and significant 3. Abuse including whether regulatory language nonblanket licensees (and their should address remedies for misuse The Office does welcome comments authorized vendors), ‘‘including (and if so, how and why), or otherwise regarding proposed regulatory language prohibition for DSPs to use data for provide a potential regulatory floor for to deter abusive third-party access to the purposes other than processing uses and the MLC’s terms of use. The Office database. The legislative history states managing licenses and collaborating invites parties to provide specific that in cases of block efforts by third with the MLC in data collection.’’ 177 By proposed regulatory language for the parties to bypass the marginal cost contrast, the DLC maintains that Office to consider and for others to ‘‘licensees should be able use the data comment upon. 170 A2IM & RIAA Reply at 7. they receive from the MLC for any legal 171 Id. purpose.’’ 178 While the MLC ‘‘agrees Dated: April 15, 2020. 172 Id. at 8. that there should be some reasonable Regan A. Smith, 173 See Conf. Rep. at 7 (‘‘Given the importance of limitation on the use of the information General Counsel and Associate Register of this database, the legislation makes clear that it shall be made available to the Copyright Office and to ensure that it is not misappropriated Copyrights. the public without charge, with the exception of for improper purposes’’ and ‘‘intends to [FR Doc. 2020–08376 Filed 4–17–20; 4:15 pm] recovery of the marginal cost of providing access in include such limitation in its terms of BILLING CODE 1410–30–P bulk to the public.’’). See also Music Reports Initial at 5 (‘‘Music Reports notes that the marginal cost 174 H.R. Rep. No. 115–651, at 8; S. Rep. No. 115– 179 of automated daily data delivery protocols is MLC Reply at 37–38. 339, at 8–9; Conf. Rep. at 7. relatively trivial, and calls upon the Office to ensure 180 17 U.S.C. 115(d)(3)(E)(vi). 175 MLC Initial at 25; DLC Reply Add. at A–17. that such automated delivery be made available 181 See Conf. Rep. at 6 (‘‘Music metadata has more 176 A2IM & RIAA Reply at 7. upon the first availability of the MLC’s database, often been seen as a competitive advantage for the 177 CISAC & BIEM Initial at 4. and that the fee schedule scrupulously adhere to party that controls the database, rather than as a the ‘marginal cost’ standard.’’). 178 DLC Initial at 21. resource for building an industry on . . . .’’).

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36...... 20431 860...... 18439 576...... 19884 232...... 22250 39 ...... 18478, 19110, 19113, 862...... 18444 583...... 19884 261...... 19676 19399, 19707, 20203, 20206, 866...... 18444 584...... 19884 272...... 20187 20209, 20211, 20213, 20216, 884...... 18439 588...... 19884 300...... 22250 20447, 20618, 21115, 21334, 900...... 18439 592...... 19884 302...... 22250 21336, 21791 1002...... 18439 594...... 19884 401...... 22250 71 ...... 20450, 20451, 21793, 1300...... 22018 597...... 19884 711...... 19890, 20122 22047 1304...... 22018 598...... 19884 Proposed Rules: 382...... 20889 1306...... 22018 30...... 21340 1308 ...... 19387, 20155, 21320 32 CFR 52 ...... 18160, 18509, 19116, 15 CFR 1310...... 20822 172...... 19392 19408, 20896, 21341, 21351, 732...... 18438 1311...... 22018 716...... 18126 21796, 21797, 22378, 22381, 734...... 18438 Proposed Rules: Proposed Rules: 22384 Proposed Rules: 1...... 19114 68...... 20893 63...... 19412, 20342 4...... 18481 11...... 19114 81 ...... 18509, 20896, 21351, 16...... 19114 33 CFR 21797 16 CFR 129...... 19114 110...... 21773 147...... 20621, 20909 1228...... 21766 130...... 21795 117...... 19658, 19659 180...... 20910, 22065 1232...... 18111 133...... 20891 165 ...... 18446, 19087, 20163, 257...... 20625 Proposed Rules: 886...... 18483, 18490 20593, 20596 320...... 21366 Ch. I ...... 20889 1308...... 19401 328...... 22250 721 ...... 18173, 18179, 21366 255...... 19709 Proposed Rules: 305...... 20218 22 CFR 100 ...... 18157, 19709, 22049 42 CFR 453...... 20453 121...... 18445 117...... 20454 24...... 21780 1015...... 21118 123...... 18445 165...... 20226, 22049 84...... 20598 1112...... 18878 124...... 18445 400...... 19230 1130...... 18878 126...... 18445 34 CFR 405...... 19230 1240...... 18878 129...... 18445 Proposed Rules: 409...... 19230 708...... 20423 Ch. II ...... 20455 410...... 19230 17 CFR Ch. III...... 18508, 19908 412...... 19230 23...... 19878 26 CFR 600...... 18638, 20895 414...... 19230 210...... 21940 1...... 19802 668...... 18638, 20895 415...... 19230 229...... 19884, 21940 301...... 19802 417...... 19230 230...... 19884, 21940 Proposed Rules: 36 CFR 418...... 19230 239...... 21940 1 ...... 18496, 19082, 19858, 251...... 19660 421...... 19230 240...... 19884, 21940 21129, 22049 Proposed Rules: 422...... 19230 249...... 19884, 21940 300...... 21126 1...... 19711 423...... 19230 Proposed Rules: 301...... 18496, 21129 4...... 19711 425...... 19230 23...... 21339 327...... 20460 440...... 19230 43...... 21339, 21516 27 CFR 1192...... 20228 482...... 19230 45...... 21339, 21578 4...... 18704, 20423 510...... 19230 46...... 21578 5...... 18704, 20423 37 CFR Proposed Rules: 49...... 21339, 21578 7...... 18704, 20423 201...... 19666 409...... 20914 19...... 18704, 20423 202...... 19666 412...... 20625, 22065 18 CFR Proposed Rules: 413...... 20914 35...... 20152 29 CFR 210 ...... 22518, 22549, 22559, 418...... 20949 375...... 19384 103...... 18366, 20156 22568 431...... 21811 Proposed Rules: 826...... 19326, 20156 Ch. II ...... 19919 433...... 21811 35...... 18784 1473...... 21770 435...... 21811 4022...... 20829 39 CFR 441...... 21811 19 CFR 501...... 21774 482...... 20625 483...... 21811 Ch. I...... 22352, 22353 30 CFR Proposed Rules: 24...... 22349 56...... 19391 3050...... 21130 43 CFR 57...... 19391 20 CFR 723...... 20830 40 CFR Proposed Rules: 327...... 19386 724...... 20830 52 ...... 18126, 18872, 19087, 420...... 20463 845...... 20830 19089, 19093, 19096, 19668, 8340...... 20229 21 CFR 846...... 20830 19670, 19674, 19888, 20165, 44 CFR 5...... 18439 20178, 20424, 20426, 20427, 500...... 18114 31 CFR 20836, 21325, 21329, 21777, 64...... 18129, 21783 510...... 18114 501...... 19884 22355 328...... 20195, 22021 60...... 18448 520...... 18114, 18125 510...... 19884, 20158 45 CFR 522...... 18114, 18125 535...... 19884 63...... 20838, 20855 524...... 18114 536...... 19884 70...... 21329 160...... 19392, 22024 526...... 18114, 18125 539...... 19884 75...... 22362 164...... 19392, 22024 556...... 18114 541...... 19884 81...... 19096 1168...... 22025 558...... 18114 542...... 19884 110...... 22250 Proposed Rules: 801...... 18439 544...... 19884 112...... 22250 1610...... 20648 803...... 18439 546...... 19884 116...... 22250 1630...... 20648 807...... 18439 547...... 19884 117...... 22250 814...... 18439 548...... 19884 120...... 22250 46 CFR 820...... 18439 549...... 19884 122...... 22250 30...... 21660 821...... 18439 560...... 19884 127...... 20873 150...... 21660 822...... 18439 561...... 19884 180...... 20185 153...... 21660 830...... 18439 566...... 19884 230...... 22250 401...... 20088

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403...... 20088 18...... 19117, 20967 217...... 19716 299...... 21159 404...... 20088 64...... 22099 219...... 19716 1548...... 20234 76 ...... 18527, 20649, 21131 225...... 19716 47 CFR 228...... 19716 50 CFR 1...... 18131, 22028 48 CFR 232...... 19719 10...... 21282 2...... 18131 201...... 19681 236...... 19716 92...... 18455 15...... 18131 202...... 19681 237...... 19716 217...... 18459, 20201 18...... 18131 204...... 19681, 19691 246...... 19716 229...... 21079 22...... 18131 212...... 19681, 19692 250...... 19716 622 ...... 19396, 20611, 22043 24...... 18131 229...... 19698 252 ...... 19716, 19719, 19721, 635 ...... 18152, 18153, 18812, 25...... 18131 232 ...... 19681, 19692, 19699 19722 21789 27...... 18131 252 ...... 19681, 19691, 19692, 802...... 21811 648 ...... 18873, 20615, 22046, 54...... 19892, 20429 19698, 19699 809...... 21811 22374 64...... 21785, 22029 555...... 19393 841...... 21811 679...... 19397 73...... 18131, 21076 Proposed Rules: 842...... 21811 Proposed Rules: 76...... 21076 10...... 21139 852...... 21811 17...... 20967 90...... 18131 12...... 18181 20...... 18532 95...... 18131 36...... 18181 49 CFR 27...... 19418 97...... 18131 43...... 18181 Proposed Rules: 32...... 20030 101...... 18131 52...... 18181 190...... 21140 36...... 20030 Proposed Rules: 203...... 19716 191...... 21820 71...... 20030 1...... 19117, 20967 204...... 19719 192...... 21820 622...... 20970, 22118 2...... 19117, 20967 205...... 19716 194...... 21140 648...... 19126, 19129 4...... 20649 211 ...... 19716, 19721, 19722 195...... 21140 660...... 21372 15...... 18901 212...... 19716 273...... 20466 679...... 20657

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