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Federal Register / Vol. 86, No. 186 / Wednesday, September 29, 2021 / Proposed Rules
unable to use the electronic filing and document management system may initiate a proceeding by using printed A. Initiating a Claim forms and alternative submission To initiate a proceeding before the instructions. In addition to the statutory CCB, a claimant shall, subject to such requirements to submit the claim and additional requirements as may be filing fee to the CCB, the Office is prescribed in regulations established by proposing that the claimant be required the Register of Copyrights, file a claim to submit a completed initial notice that 1 includes a statement of form with the claim form. This proposal material facts in support of the claim;
allows a Copyright Claims Attorney to 2 is certified under 17 U.S.C.
review the initial notice and address 1506y1; and 3 is accompanied by any issues during compliance review, a filing fee in such amount as may be and issue the signed notice under prescribed in regulations established by Copyright Office seal upon approving the Register of Copyrights. 10 The the claim.15
legislative history states that the Office The proposed rule sets forth the should establish a process that is required information for the claim form.
accessible especially for pro se parties It generally requires the claimant to and those with little prior formal identify the parties, the claim asserted exposure to copyright laws. 11
under section 1504c, and the harms Parties provided comments on several experienced as a result of the dispute matters relating to the contents of a subject to the proceeding. Then, the claim. Commenters emphasized the claimant must identify certain facts 12
need for plain language, suggested that relevant to the claim and provide a the forms should be available, at a statement describing the dispute in minimum, in English and Spanish,13
more detail. The claimant will be asked and encouraged the use of fillable to be as detailed as possible, but, as forms.14 The Office agrees with these contemplated by Congress, the CCB will suggestions, and intends to use plainconstrue liberally any information in language fillable forms throughout the claim to satisfy regulatory various stages of CCB proceedings, requirements during claim review.16
including for the filing of a claim.
The Office received one substantive The Office proposes that to initiate a comment arguing that the claim should proceeding, a claimant must: First, require more than is required by notice complete a claim form provided by the pleading as set forth in the Federal CCB; second, complete an initial notice Rules of Civil Procedure.17 Such a form, also provided by the CCB; and, heightened pleading standard, however, finally, submit the completed forms and would go against congressional intent.
required filing fee through the Boards The legislative history explains that electronic filing and document many of the terms and processes used management system. A claimant who is in the CASE Act are drawn from preexisting, related state and federal 10 Id. at 1506e.
statutory language, the Federal Rules of 11 H.R. Rep. No. 116252, at 17; see also S. Rep.
Civil Procedure, and established case No. 116105, at 910.
law, and emphasizes that the CCB is 12 Sen. Dick Durbin, Sen. John Kennedy & Rep.
intended to be an efficient, effective, Hakeem Jeffries Initial NOI Comments at 1 stating that CCB forms should be user-friendly, with and voluntary alternative to simplified forms and guidance provided in such a litigation.18 As a general rule, therefore, way that parties will not feel compelled to hire an practice before the CCB should be less attorney to understand and assist them with the process emphasis omitted; Am. Bar Assn Intell.
complex than practice in the federal Prop. L. Sec. ABAIPL Reply NOI Comments at courts, and certainly not more complex.
2; Patreon Initial NOI Comments at 2.
Further, to the extent there are 13 Am. Intell. Prop. L. Assn AIPLA Initial statements in the claim that clearly do NOI Comments at 2; Copyright Alliance, Am.
not state facts upon which relief can be Photographic Artists, Am. Socy for Collective Rights Licensing, Am. Socy of Media granted, the CCB anticipates that the Photographers, The Authors Guild, CreativeFuture, compliance review process typically Digital Media Licensing Assn, Graphic Artists will resolve such issues. Finally, the Guild, Indep. Book Pubs. Assn, Music Creators N.
Am., Natl Music Council of the United States, Natl claimant must certify that the Press Photographers Assn, N. Am. Nature information provided in the claim form lotter on DSK11XQN23PROD with PROPOSALS1

related to later stages of a proceeding in subsequent rulemakings.

Photography Assn, Prof. Photographers of Am., Recording Academy, Screen Actors Guild-Am. Fed.
of Television and Radio Artists, Socy of Composers & Lyricists, Songwriters Guild of Am. & Songwriters of N. Am. Copyright Alliance, et al. Initial NOI
Comments at 10; Engine Initial NOI Comments at 3; Niskanen Center Initial NOI Comments at 2.
14 Copyright Alliance, et al. Initial NOI Comments at 11; Coalition of Visual Artists Initial NOI
Comments at 58; ABAIPL Reply NOI Comments at 2.

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15 The Office has modeled the procedures governing issuance of the initial notice on those pertaining to issuance of a summons under Rule 4
of the Federal Rules of Civil Procedure. See H.R.
Rep. No. 116252 at 22.
16 Id.
17 Google Initial NOI Comments at 1 referring to Federal Rule of Civil Procedure 12.
18 H.R. Rep. No. 116252, at 23.

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is accurate and truthful 19 to the best of the certifying partys knowledge.
The proposed rule also allows optional documentation to be attached to the claim form, including copies of the works involved. While some commenters suggested that additional documentation should be a requirement for filing a claim and serving notice,20
the Office believes that requiring such information at the initial claim stage would discourage claimants from initiating a proceeding and would be more burdensome than the requirements for litigation in the federal courts.
Documentary evidence will be a focus of the standard requests for production that the Office will propose in a future rulemaking addressing discovery.
The proposed rule does not address matters relating to the layout or presentation of questions on the form, as the Office seeks to preserve the flexibility to adjust those items as circumstances warrant. The Office intends to make proposed forms available in advance of the CCBs commencement of operations.
B. Review of the Claim by Officers and Attorneys 1. Compliance Review After the claimant files a claim, the claim shall be reviewed by a Copyright Claims Attorney to ensure that the claim complies with chapter 15 and applicable regulations. 21 If the claimant is proceeding pro se, i.e., they are not represented by an attorney, the claim and assertions are to be construed liberally in favor of adjudicating applicable claims and defenses. 22
If the claim is found to comply with the statute and regulations, the CCB
shall notify the claimant and provide instructions to proceed with service of the claim.23 If the claim is found not to comply, the CCB is required to provide the claimant with a notice of deficiency and an opportunity to file an amended claim within 30 days after receiving the notice.24 The amended claim is then reviewed, and the claimant is either notified of the sufficiency of the claim or directed to file an additional amended complaint in that 30-day period. This second amended complaint is reviewed a final time, with the CCB
19 17

U.S.C. 1506y.
e.g., Ben Vient Initial NOI Comments at 2;
Copyright Alliance, et al. Initial NOI Comments at 13; Univ. of Mich. Library Initial NOI Comments at 1.
21 17 U.S.C. 1506f1.
22 H.R. Rep. No. 116252, at 22.
23 17 U.S.C. 1506f1A.
24 Id. at 1506f1B.
20 See,
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