[Federal Register: May 4, 1995 (Volume 60, Number 86)]

[Rules and Regulations]               

[Page 21983-21984]

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LIBRARY OF CONGRESS



Copyright Office



37 CFR Part 202



[Docket No. 95-4]



 

Modification of Appeal Procedure



AGENCY: Library of Congress, Copyright Office.



ACTION: Notice of policy decision.



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SUMMARY: The Copyright Office of the Library of Congress issues this 

Policy Decision modifying the appeal procedure regarding refusals to 

register a copyright claim. Currently, this procedure is specified in 

Compendium II of Copyright Office Practices and an applicant whose 

claim is rejected is entitled to two reconsiderations, each handled 

within the Examining Division. The modified procedure establishes an 

interim system with a Board of Appeals to reconsider the second appeal 

that is the final agency action.



EFFECTIVE DATE: June 5, 1995.



FOR FURTHER INFORMATION CONTACT: Marilyn J. Kretsinger, Acting General 

Counsel, Copyright GC/I&R, P.O. Box 70400, Southwest Station, 

Washington, D.C. 20024. Telephone: (202) 707-8380. Telefax: (202) 707-

8366.



SUPPLEMENTARY INFORMATION:



I. Background



    One of the most significant responsibilities assigned the Copyright 

Office by Title 17 of the U.S. Code is the registration of copyright 

claims. Currently, the Copyright Office registers slightly more than 

600,000 copyright claims annually, and refuses to register a small 

percentage of these.

    Subsections 410(a) and (b) of the copyright law determine the 

parameters of the registration system:



    (a) When, after examination, the Register of Copyrights 

determines that, in accordance with the provisions of this title, 

the material deposited constitutes copyrightable subject matter and 

that the other legal and formal requirements of this title have been 

met, the Register shall register the claim and issue to the 

applicant a certificate of registration under the seal of the 

Copyright Office. The certificate shall contain the information 

given in the application, together with the number and effective 

date of the registration.

    (b) In any case in which the Register of Copyrights determines 

that, in accordance with the provisions of this title, the material 

deposited does not constitute copyrightable subject matter or that 

the claim is invalid for any other reason, the Register shall refuse 

registration and shall notify the applicant in writing of the 

reasons for such refusal.



    In administering these provisions, the Copyright Office usually 

accepts as true the facts given by the applicant.<SUP>1 The decision to 

register or not rests on a determination of whether a prima facie valid 

copyright claim has been submitted under the provisions of the 

Copyright Act.



    \1\Section 108.05 of Compendium II of Copyright Office Practices 

provides: ``Factual determinations. In connection with its examining 

and related activities, the Copyright Office does not ordinarily 

make findings of fact with respect to publication or any other thing 

done outside the Copyright Office.'' This practice is qualified by 

section 108.05(b) providing: ``Administrative notice. The Copyright 

Office may take notice of matters of general knowledge. It may use 

such knowledge as the basis for questioning applications that appear 

to contain or be based upon inaccurate or erroneous information.''

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    An applicant may appeal a refusal to register using the appeal 

procedure specified in the Compendium of Copyright Office Practices. 

Under this practice, an applicant whose claim has been denied 

registration is entitled to two reconsideration, each handled within 

the Examining Division. Specifically, the procedure provides:



    Refusal to register: request for reexamination. When the 

Copyright Office has refused a claim as submitted, it notifies the 

applicant in writing of the refusal to register. After such 

notification, the applicant may set forth in writing his or her 

objections to the refusal and request that the Office reconsider its 

action. If the claim is refused [[Page 21984]] after 

reconsideration, the head of the appropriate Examining Division 

section will send the applicant written notification of the reasons 

for refusal. The applicant may again request reconsideration. If the 

claim is refused again, the Chief of the Examining Division will 

notify the applicant in writing of the reasons. The Division Chief's 

decision constitutes final agency action.



Section 606.04 Compendium II of Copyright Office Practices.



II. Circumstances Leading to Modification



    Although the Office's practice concerning appeals is long-standing, 

we have periodically considered modifying it. A number of commentators 

have criticized the current practice on the grounds that containment 

within the Examining Division leads to an overly closed system. Even 

under the existing practice, however, there has been some discussion of 

particular cases with the General Counsel or the Register. More 

recently, the Library of Congress appointed an Advisory Committee on 

Copyright Registration and Deposit, (ACCORD); in their meetings, 

members of this Committee criticized the appeals procedure and 

suggested that it be changed. Library of Congress, Advisory Committee 

on Copyright Registration and Deposit, 31 (1993).

    The Copyright Office is committed to improving this procedure and 

will be publishing a Notice of Proposed Rulemaking seeking public 

comment on legal and administrative issues associated with establishing 

a more formal procedure at a later date. Meanwhile, as a first step, 

the Office has decided to establish a Board of Appeals within the 

Copyright Office as an interim system. By instituting this Board, we 

will gain experience in administering an alternative system.

    After the Office has some practical experience with the new system, 

we will make a detailed proposal and seek public comment. Following 

review of these comments, the Copyright Office will publish the new 

appeal procedure as a regulation. Although we are now adopting as an 

interim system the Board of Appeals described below, the precise nature 

of the final appeal procedure will not be established until we publish 

final rules. Anyone who wishes to suggest specific guidelines for our 

consideration before the proposed rulemaking should submit them to the 

Board of Appeals, Copyright GC/I&R, P.O. Box 70400, Southwest Station, 

Washington, D.C. 20024.



III. Policy Decision



    The Copyright Office's appeal procedure set out in Sec. 606.04 of 

the Compendium is amended to read as follows:



    Appeals of refusal to register: request for reconsideration. 

When the Copyright Office has refused to register a claim as 

submitted, it notifies the applicant in writing of the refusal to 

register. After such notification, the applicant may set forth in 

writing his or her objections to the refusal and request that the 

Office reconsider its action. The appeal letter should be addressed 

to the appropriate section of the Examining Division, Copyright 

Office, Washington, D.C. 20559. The first request for 

reconsideration must be received in the Copyright Office within 120 

days of the date of the Office's first refusal to register, and the 

envelope containing the request should be clearly marked: FIRST 

APPEAL/EXAMINING DIVISION.

    If the claim is refused after reconsideration, the head of the 

appropriate section of the Examining Division sends the applicant 

written notification of the reasons for refusal. The applicant may 

again request reconsideration in writing. This second appeal must be 

received in the Copyright Office within 120 days of the date of the 

Office's refusal of the first appeal, and be directed to the Board 

of Appeals at the following address: Copyright GC/I&R, P.O. Box 

70400, Southwest Station, Washington, D.C., 20024. The Board of 

Appeals shall consist of the Register of Copyrights, the General 

Counsel, and the Chief of the Examining Division, or their 

respective designees. The Board shall consider the second appeal and 

render a final decision. The designated Chair of the Board of 

Appeals will write the applicant setting out the reasons for 

acceptance or denial of the claim. The Appeals Board's decision 

constitutes final agency action.



    Dated: April 27, 1995.

Marybeth Peters,

Register of Copyrights.

    Approved by:

James H. Billington,

The Librarian of Congress.