GW Law Faculty Publications & Other Works Faculty Scholarship 2015 Transforming Document Recordation at the United States Copyright Ofce Robert Brauneis The George Washington University Law School, u n i t e d s t a t e s c o p y r i g h t o f f i c e Transforming Document Recordation at the United States Copyright Office a report of the abraham l. kaminstein scholar in residence december 2014 Electronic copy available at: http://ssrn.com/abstract=2611481 u n i t e d s t a t e s c o p y r i g h t o f f i c e Transforming Document Recordation at the United States Copyright Office a report of the abraham l. kaminstein scholar in residence december 2014 Electronic copy available at: http://ssrn.com/abstract=2611481 Transforming Document Recordation at the United States Copyright Office: A Report to the Register of Copyrights Robert Brauneis Abraham L. Kaminstein Scholar in Residence, U.S. Copyright Offic e Professor of Law, The George Washington UniversityL aw School December 31, 2014 About the Abraham L. Kaminstein Scholar in Residence Program Through its Abraham L. Kaminstein Scholar in Residence Program, the Copyright Office brings leading academics with a demonstrated commitment to the study of copyright law and policy to the Copyright Office, at the invitation of the Register, to conduct research and/or work on mutually beneficial projects for a sustained period of time. Abe Kaminstein served as the sixth Register of Copyrights, from 1960 to 1971. He was a leading force in adapting the copyright registration system to the public interest, and in laying the groundwork for the general revision of copyright law. Table of Contents I. Introduction. ................................................................................................................................. 7 A. Process. ................................................................................................................................... 8 B. Roadmap. ................................................................................................................................ 8 C. Reference Abbreviations and Locations. ................................................................................ 9 D. Acknowledgments. ............................................................................................................... 10 II. The Recording of Documents Pertaining to Copyright: History and Current State ................. 11 A. The Statutory Framework: A Brief History and Outline. ..................................................... 11 B. The Recordation Process. ...................................................................................................... 15 1. Receipt and Initial Processing: the In-Processing Section, Copyright Information Section, and Accounts Section. ............................................................................................. 15 2. Screening. .......................................................................................................................... 17 a. The Requirements for which Documents are Screened. ................................................ 17 i. Signatures. ............................................................................................................... 17 ii. “Pertaining to Copyright.” ................................................................................... 18 iii. Completeness. ...................................................................................................... 18 iv. Legibility. ............................................................................................................. 18 v. Payment of Fees. .................................................................................................. 19 vi. Documents That Purport to Accomplish “Transfers of Copyright Ownership.” . 19 c. A Screening and Correspondence Study. ..................................................................... 20 3. Cataloging. ......................................................................................................................... 22 a. The Cataloging Process: Transcription, Description, Creation. .................................... 22 i. Transcription. .............................................................................................................. 22 ii. Description. ............................................................................................................... 23 iii. Creation. ................................................................................................................... 23 b. The Legal Framework of Cataloging. ............................................................................ 23 4. Correspondence with Remitters. ........................................................................................ 25 5. Marking and Imaging of Documents. ................................................................................ 25 6. Creation of Recordation Certificate, and Sending of Certificate and Document. ............. 25 C. Recordation from a Searcher’s Perspective: The Document Repository and Catalog. ........ 26 1. An Historical Review of Recorded Document Repositories and Finding Aids. ............... 26 3 a. Repositories. .................................................................................................................. 26 b. Finding Aids. ................................................................................................................. 26 2. The Current Document Repository. ................................................................................... 28 3. The Current Document Catalog. ........................................................................................ 28 a. The Voyager Search Interface. ...................................................................................... 29 b. Document Types. ........................................................................................................... 29 c. Registration Numbers. ................................................................................................... 31 d. Types of Works Transferred. ......................................................................................... 32 D. Recordation Fees, Staffing, and Processing Times. ............................................................. 32 1. Recordation Fees. .............................................................................................................. 32 2. Staffing. ............................................................................................................................. 34 3. Processing Times. .............................................................................................................. 34 III. The Big Picture: Trends in Document Recordation and Case Law Since 1978 ...................... 36 A. Document Recordation, 1978-2009. ..................................................................................... 36 B. Case Law Regarding Recordation under the 1976 Act. ........................................................ 49 1. Straightforward Applications of Priority Rules. ................................................................ 50 2. Notice – Particularly Inquiry Notice. ................................................................................ 50 3. Registrations in the Context of Recordation. ..................................................................... 50 4. Bankruptcy and the Perfection of Secured Interests. ......................................................... 52 5. The Former § 205(d) Requirement of Recording Before Filing a Lawsuit ....................... 53 IV. An Electronic Recordation System: Detailed Evaluation and Recommendations .................. 54 A. Shortcomings of the Current Recordation System. .............................................................. 54 1. Fees. ................................................................................................................................... 54 2. Processing Time. ............................................................................................................... 54 3. Difficulties and Mismatches with Business Practices in the Recording Process. ............. 55 4. Inaccuracies in Cataloging Recorded Documents. ............................................................ 55 B. The Principal Features of an Electronic Recordation System. ............................................. 57 1. Optional Electronic Submission of Documents. ................................................................ 59 2. Allowing Identifiable, Discrete Electronic Signatures on Recorded Documents. ............ 60 a. The Statutory Interpretation Issue: Can Electronic Signatures be “Actual Signatures” Within the Meaning of §205(a)? ....................................................................................... 64 4 b. Copyright Office Electronic Signature Regulations for Remitted Documents: “Discrete and Identifiable” Signatures. ............................................................................................. 65 3. Requiring Remitters to Submit Sworn, Electronically-Signed Certifications. .................. 67 a. Remitter Certifications. .................................................................................................. 67 b. Contents of the Certification. ......................................................................................... 68 c. User Account Creation and Electronic Signatures on Certifications. ............................ 71 4. A Public Digital Document Repository: Preserving Documents in Portable Document Format and Making Them Available on the Internet. ........................................................... 72 a. The Advantages of a Digital Document Repository. ..................................................... 73 b. The Portable Document Format Standard. .................................................................... 75 c. Making Documents Available on the Internet. .............................................................. 76 i. Personally Identifiable Information. ........................................................................... 77 ii. Sensitive Financial and Non-Copyright Terms. ........................................................ 79 iii. Proposals for Limited Internet Access. .................................................................... 81 iv. Retrospective Availability. ....................................................................................... 82 5. Copyright Office Screening of Documents and Remitter Certification of Document Compliance. ........................................................................................................................... 83 6. Remitter Provision of Cataloging Information. ................................................................. 88 a. Templates. ...................................................................................................................... 88 b. Bulk Submission of Titles, Registration Numbers and other Work Identifiers. ............ 88 c. Interactive Guidance. ..................................................................................................... 90 d. Structured Electronic Documents. ................................................................................. 92 e. Legal Authority for Requiring Remitters to Provide Cataloging Information. ............ 93 7. Remitter Responsibility for Constructive Notice that Requires Both Satisfactory Documents and Accurate Cataloging. ................................................................................... 97 a. The Legal Framework for Remitter Responsibility for Accurate Catalog Information ......................................................................................................................................... 101 b. Copyright Office Regulations Regarding Recordation. .............................................. 108 8. Remitter Receipt of Recordation Certificate and Labeled Document in Electronic Form ............................................................................................................................................. 108 a. The Statutory Framework. ........................................................................................... 109 9. New Legal Incentives to Record. .................................................................................... 110 5 C. Amending the Copyright Act. ............................................................................................. 112 D. Additional Recommendations. ........................................................................................... 114 1. Information Gathering and Handling. ............................................................................. 114 a. Data Collection in an Electronic Recordation System. ................................................ 114 b. Data Format Consistency and Parsing. ........................................................................ 115 c. Change Logs. ............................................................................................................... 117 2. Registration Numbers in Recorded Document Records. ................................................. 117 3. Interoperability and Third-Party Enhanced Services. ...................................................... 119 a. Standard Identifiers. ..................................................................................................... 120 b. Application Programming Interfaces. .......................................................................... 121 4. Section 508 Litigation Notifications. ............................................................................... 123 5. Updating Contact and “Rights and Permissions” Information: A New Model. .............. 127 V. Conclusion. ............................................................................................................................. 129 Appendix: An Overview of the Proposed Recordation Process .................................................. 130 6