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 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 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 Office Professor of Law, The George Washington University Law 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. ....................................................