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 section 1201 rulemaking: Fifth Triennial Proceeding to Determine Exemptions to the Prohibition on Circumvention recommendation of the register of copyrights october 2012 Section 1201 Rulemaking: Fifth Triennial Proceeding to Determine Exemptions to the Prohibition on Circumvention Recommendation of the Register of Copyrights Table of Contents I. Background ............................................................................................................................. 3 A. Section 1201(a)(1) ............................................................................................................................ 3 B. Responsibilities of the Register of Copyrights and Librarian of Congress ...................................... 5 C. Defining a class ................................................................................................................................ 9 II. History of 2012 proceeding .................................................................................................. 11 A. Commencement .............................................................................................................................. 11 B. Notice of Proposed Rulemaking .................................................................................................... 11 C. Public hearings and written questions ............................................................................................ 12 D. Consultation with NTIA ................................................................................................................. 12 III. Discussion .............................................................................................................................. 13 A. Proposed Class 1: Literary works in the public domain – digital access ...................................... 13 B. Proposed Class 2: Literary works distributed electronically – assistive technologies .................................................................................................................................... 16 C. Proposed Class 3: Video game consoles – software interoperability (“jailbreaking”) .............................................................................................................................. 26 D. Proposed Class 4: Personal computing devices – software interoperability ............................................................................................................................... 52 E. Proposed Class 5: Wireless telephone handsets – software interoperability (“jailbreaking”) ..................................................................................................... 65 F. Proposed Class 6: Wireless telephone handsets – interoperability with alternative networks (“unlocking”) ................................................................................................ 81 G. Proposed Classes 7 and 8: Motion picture excerpts – commentary, criticism, and educational uses ..................................................................................................... 101 H. Proposed Class 9: Motion pictures and other audiovisual works – captioning and descriptive audio .................................................................................................. 143 I. Proposed Class 10: Motion pictures and other works on DVDs and other media – space shifting .................................................................................................................. 157 i Section 1201 Rulemaking: Fifth Triennial Proceeding to Determine Exemptions to the Prohibition on Circumvention Recommendation of the Register of Copyrights* Introduction The Digital Millennium Copyright Act (“DMCA”), enacted by Congress in 1998,1 governs many aspects of the digital marketplace for copyright owners by establishing “a wide range of rules . for electronic commerce” and “defin[ing] whether consumers and businesses may engage in certain conduct, or use certain devices, in the course of transacting electronic commerce.”2 Title I of the Act, which added a new Chapter 12 to Title 17 of the U.S. Code, prohibits circumvention of technological measures employed by or on behalf of copyright owners to protect their works (also known as “access controls”). Specifically, Section 1201(a)(1)(A) provides, in part, that “[n]o person shall circumvent a technological measure that effectively controls access to a work protected under this title.”3 But Congress qualified the language of subparagraph (B) to ensure that the public can still engage in noninfringing uses of copyrighted works, such as fair use.4 Subparagraph (B) thus provides that the circumvention prohibition “shall not apply to persons who are users of a copyrighted work which is in a particular class of works, if such persons are, or are likely to be in the succeeding 3-year period, adversely affected by virtue of such prohibition in their ability to make noninfringing uses of that particular class of works under this title,” as determined in a rulemaking proceeding that takes place every three years.5 The Librarian of Congress, upon the recommendation of the Register of Copyrights, who consults with the Assistant Secretary for Communications and Information of the Department of Commerce, determines which classes of works are entitled to an exemption from the prohibition on circumvention.6 The resulting * Maria A. Pallante. 1 Pub. L. 105-304 (1998). 2 TOM BLILEY, REPORT OF THE HOUSE COMMITTEE ON COMMERCE ON THE DIGITAL MILLENNIUM COPYRIGHT ACT OF 1998, H.R. REP. NO. 105-551, pt. 2, at 22 (1998) [hereinafter Commerce Comm. Report]. 3 17 U.S.C. § 1201(a)(1)(A). 4 See Commerce Comm. Report at 25-26, 35. 5 17 U.S.C. § 1201(a)(1)(B). 6 17 U.S.C. § 1201(a)(1)(C); see HOWARD COBLE, REPORT OF THE COMMITTEE OF CONFERENCE ON THE DIGITAL MILLENNIUM COPYRIGHT ACT, H.R. REP. NO. 105-796, at 64 (1998) [hereinafter Conference Report]. 1 Section 1201 Rulemaking: Fifth Triennial Proceeding October 2012 Recommendation of the Register of Copyrights regulations, which are issued by the Librarian of Congress,7 announce “any class of copyrighted works for which the Librarian has determined, pursuant to the rulemaking conducted under subparagraph (C), that noninfringing uses by persons who are users of a copyrighted work are, or are likely to be, adversely affected, and the prohibition contained in subparagraph (A) shall not apply to such users with respect to such class of works for the ensuing 3-year period.”8 The 2012 proceeding is the fifth triennial Section 12019 rulemaking. The previous rulemakings culminated in regulations that exempted certain classes of works from the prohibition against circumvention of access controls.10 Based on the Register’s recommendations, the Librarian must render a new determination on potential exemptions every three years. When making this determination, the Librarian must conduct a de novo review of each proposed exemption and cannot rest his decision on the records in prior rulemaking proceedings. Based on the record in this proceeding, the Register recommends that the Librarian adopt exemptions with respect to certain classes of works, as discussed and more specifically set forth below: • Literary works distributed electronically, to permit blind and other persons with print disabilities to use screen readers and other assistive technologies • Computer programs on wireless telephone handsets, to enable interoperability of software applications (“jailbreaking”) 7 Exemption to Prohibition on Circumvention of Copyright Protection Systems for Access Control Technologies, 75 Fed. Reg. 43,825 (July 27, 2010) (codified at 37 C.F.R. 201.40) [hereinafter 2010 Final Rule]; Exemption to Prohibition on Circumvention of Copyright Protection Systems for Access Control Technologies, 71 Fed. Reg. 68,472 (Nov. 27, 2006) (formerly codified at 37 C.F.R. 201.40) [hereinafter 2006 Final Rule]; Exemption to Prohibition on Circumvention of Copyright Protection Systems for Access Control Technologies, 68 Fed. Reg. 62,011 (Oct. 31, 2003) (formerly codified at 37 C.F.R. 201.40) [hereinafter 2003 Final Rule]; Exemption to Prohibition on Circumvention of Copyright Protection Systems for Access Control Technologies, 65 Fed. Reg. 64,555 (Oct. 27, 2000) (formerly codified at 37 C.F.R. 201.40) [hereinafter 2000 Final Rule]. 8 17 U.S.C. § 1201(a)(1)(D). 9 All references to numerical Sections herein refer to Title 17 of the U.S. Code. 10 Recommendation of the Register of Copyrights in RM 2008-8, Rulemaking on Exemptions from Prohibition on Circumvention of Copyright Protection Systems for Access Control Technologies (June 11, 2010) [hereinafter 2010 Recommendation], available at www.copyright.gov/1201/2010/initialed-registers- recommendation-june-11-2010.pdf; Recommendation of the Register of Copyrights in RM 2005-11, Rulemaking on Exemptions from Prohibition on Circumvention of Copyright Protection Systems for Access Control Technologies (Nov. 16, 2006) [hereinafter 2006 Recommendation], available at www.copyright.gov/1201/docs/1201_recommendation.pdf; Recommendation of the Register of Copyrights in RM 2002-4, Rulemaking on exemptions from Prohibition on Circumvention of Copyright Protection Systems for Access Control Technologies (Oct. 27, 2003) [hereinafter 2003 Recommendation], available at www.copyright.gov/1201/docs/registers-recommendation.pdf; 2000 Final Rule. 2 Section 1201 Rulemaking: Fifth Triennial Proceeding October 2012 Recommendation of