Administrative Appeals

Chapter 1700 : 1 	09/29/2017
C O M P E N D I U M : Chapter 1700
Administrative Appeals
Contents
1701 	What This Chapter Covers ................................................................................................................................................. 3
1702 	Registration Refused After Examination ..................................................................................................................... 3
1703 	First Request for Reconsideration ................................................................................................................................. 4
1703.1 	Filing the Request .................................................................................................................................................................. 4
1703.2 	Review of the First Request for Reconsideration .................................................................................................... 5
1704 	Second Request for Reconsideration ............................................................................................................................ 5
1704.1 	Filing the Second Request for Reconsideration ........................................................................................................ 5
1704.2 	Review of the Second Request for Reconsideration ............................................................................................... 6
1705 	Effective Date of Registration ........................................................................................................................................... 7
1706 	Final Agency Action .............................................................................................................................................................. 7
1707 	Retention of Records ............................................................................................................................................................ 8
1708 	General Requirements for First and Second Requests for Reconsideration................................................ 8
1708.1 	Filing Fee ................................................................................................................................................................................... 8
1708.2 	Address for Delivery ............................................................................................................................................................. 8
1708.3 	Deadline for Submitting a Request for Reconsideration ...................................................................................... 9
1708.4 	Withdrawing a Request for Reconsideration ............................................................................................................ 9
1708.5 	Amending the Application During an Administrative Appeal ...............................................................................
1708.6 	No Expedited Review ........................................................................................................................................................ 10
1708.7 	6 	No Adverse Proceedings .................................................................................................................................................. 10
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , ThirdEdition
Chapter 1700 : 2 	09/29/2017
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

Chapter 1700 : 3 	09/29/2017
C O M P E N D I U M : Chapter 1700
Administrative Appeals
1701 	What This Chapter Covers
This Chapter discusses the process for appealing a refusal to register a copyright claim
within the U.S. Copyright Office.
1702 	Registration Refused After Examination
The U.S. Copyright Office does not register all claims to copyright. The Office may refuse
to register claims that do not meet the statutory requirements for copyright
registration, including on the following grounds:
• 	The applicant failed to submit a complete application, complete filing fee, and/or
complete deposit copy(ies).
• 	The work is not fixed in a tangible medium of expression.
• 	The work lacks human authorship.
• 	The applicant asserts a claim to copyright in a work that is not covered by U.S.
copyright law. See 17 U.S.C. §§ 102, 103.
• 	The work was not independently created.
• 	The work lacks the minimum level of creative authorship to support a copyright
claim.
• 	The work is in the public domain.
• 	The work is a sound recording that was fixed before February 15, 1972 (i.e., the date
on which sound recordings became eligible for federal copyright protection).
• 	The work is an architectural work created before December 1, 1990 (i.e., the date on
which architectural works became eligible for federal copyright protection), or the
application to register the architectural work does not otherwise meet the
requirements set forth in Copyright Office regulations. See 37 C.F.R. § 202.11.
• 	The work is ineligible for copyright protection in the United States based on the
author’s citizenship or domicile, based on the nation of first publication, or any
other factor set forth in Section 104 of the Copyright Act.
• 	The work does not meet the eligibility requirements for a particular registration
option.
• 	The applicant is not authorized to register a claim in the work.
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , ThirdEdition
Chapter 1700 : 4 	09/29/2017
• 	The claimant named in the application is not a proper copyright claimant.
• 	The work unlawfully employs preexisting material that is under copyright
protection. See 17 U.S.C. § 103(a); see also Chapter 300, Section 313.6(B).
• 	The applicant failed to submit a bona fide copy of the work. See , Section 1503.2.
If the Office determines that the work does not constitute copyrightable subject matter
or that the other formal and legal requirements have not been met, the Office will refuse
to register the claim. The registration specialist assigned to the application will notify
the applicant in writing and will explain the reasons for the Office’s decision. See 17
U.S.C. § 410(b). The Office will send the notification to the correspondent listed in the
Correspondent section of the application.
1703 	First Request for Reconsideration
1703.1 	Filing the Request
If the applicant disagrees with a refusal to register the entire work or a refusal to
register a specific element of the work, the applicant may appeal that decision within the
U.S. Copyright Office. This is an administrative procedure known as a first request for
reconsideration.
A request for reconsideration must be in writing. The request should specify the reasons
that the applicant believes that registration was improperly refused, including any legal
arguments or supplementary information that support the applicant’s position. 37 C.F.R.
§ 202.5(b)(1). The filing fee set forth in 37 C.F.R. § 201.3(d)(4)(i). must accompany the
request, and the Office must receive the request within three months of the date set
forth in the refusal. See Sections 1708.1 and 1708.3.
The applicant must provide the following information in the subject line on the first
page of the request:
• 	A statement that the document is a “FIRST RECONSIDERATION.”
• 	The ten digit case number/service request number that the Office assigned to the
claim and the seven digit correspondence ID number that appears in the subject line
of the letter refusing to register the work.
• 	The name of the copyright claimant(s) specified in the application and the title(s) of
the work exactly as it appears in the application.
The pages of the first request should be numbered, including any attachments or
exhibits thereto. The applicant should send one copy of the request to the address
specified in Section 1708.2, together with one copy of the reply sheet that was attached
to the refusal to register.
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , ThirdEdition
Chapter 1700 : 5 	09/29/2017
The applicant should send one copy of the request to the address specified in Section ,
together with one copy of the reply sheet that was attached to the refusal to register,
and the set forth in 37 C.F.R. § 201.3(d)(4)(i).
The request and the filing fee must be postmarked or dispatched by a commercial
carrier, courier, or messenger within three months of the date set forth in the refusal.
See Sections 1708.1 and 1708.3.
See generally 37 C.F.R. § 202.5(b)(1)-(3) (setting forth the procedure for submitting a
first request for reconsideration).
1703.2 	Review of the First Request for Reconsideration
The first request for reconsideration will be reviewed by a U.S. Copyright Office staff
attorney in the Registration Program office who did not participate in the initial
examination of the claim. The Office will base its decision on the applicant’s submission
and the administrative record. If the Office needs additional information in order to
make its decision, the staff attorney will notify the applicant in writing. The Office will
not hear oral argument in support of a first request for reconsideration.
The refusal to register is subject to de novo review, which means that the Office will take
a fresh look at whether the work meets the statutory requirements for copyright
registration.
If the Office decides to register the work, it will notify the applicant in writing. This
notification will be sent to the individual who submitted the first request for
reconsideration, rather than the correspondent listed in the application. A certificate of
registration will be sent separately to the mailing address specified in the application.
See Chapter 600, Section 622.4.
If the Office upholds the refusal to register, it will notify the applicant in writing and will
explain the reasons for its decision. This notification will be sent to the individual who
submitted the first request for reconsideration.
The Office will respond to the first request within four months after the date that the
first request was received. If the deadline falls on a weekend or a federal holiday, the
deadline will be extended to the next federal work day. In no case shall a failure to
respond within four months after the date that the first request was received result in
the registration of the applicant’s work.
See generally 37 C.F.R. § 202.5(b)(4) (discussing the procedure for reviewing a first
request for reconsideration).
1704 	Second Request for Reconsideration
1704.1 	Filing the Second Request for Reconsideration
If the U.S. Copyright Office refuses to register a work after reviewing a first request for
reconsideration, the applicant may submit a second request for reconsideration.
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , ThirdEdition
Chapter 1700 : 6 	09/29/2017
A second request for reconsideration must be in writing. The request should specify the
reasons that the applicant believes that registration was improperly refused, including
any legal arguments or supplementary information that support the applicant’s position.
The applicant must specifically address the Office’s reasons for upholding the refusal to
register following the applicant’s first request for reconsideration. See 37 C.F.R. §
202.5(c)(1). The filing fee set forth in 37 C.F.R. § 201.3(d)(4)(ii) must accompany the
second request, and the Office must receive the second request within three months of
the date set forth in the Office’s response to the first request for reconsideration. See
Sections 1708.1 and 1708.3.
The applicant must provide the following information in the subject line on the first
page of the request:
• 	A statement that the document is a “SECOND RECONSIDERATION.”
• 	The ten digit case number/service request number that the Office assigned to the
claim and the seven digit correspondence ID number that appears in the subject line
of the Office’s response to the applicant’s first request for reconsideration.
• 	The name of the copyright claimant(s) specified in the application and the title(s) of
the work exactly as it appears in the application.
The pages of the second request should be numbered as well as any attachments or
exhibits thereto.
The applicant should send one copy of the request to the address specified in
Section ,1708.2, together with a copy of the reply sheet that was attached to the Office’s
response to the applicant’s first request for reconsideration, and the filing fee set forth
in 37 C.F.R. § 201.3(d)(4)(i).
The second request and the filing fee must be postmarked or dispatched by a
commercial carrier, courier, or messenger within three months of the date set forth in
the Office’s response to the first request for reconsideration. See Sections 1708.1 and
1708.3.
See generally 37 C.F.R. § 202.5(c)(1)-(3) (setting forth the procedure for submitting a
second request for reconsideration).
1704.2 	Review of the Second Request for Reconsideration
The second appeal will be reviewed by the Review Board. The Review Board consists of
the Register of Copyrights and the General Counsel of the U.S. Copyright Office (or their
respective designees) and a third individual designated by the Register. 37 C.F.R. §
202.5(f).
The Review Board will base its decision on the applicant’s written submission and the
administrative record. Specifically, the Board will consider the arguments and evidence
set forth in the applicant’s second request for reconsideration, as well as the application
and the deposit copy(ies). In addition, the Board may consider any prior
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , ThirdEdition
Chapter 1700 : 7 	09/29/2017
correspondence between the applicant and the Office, or may take administrative notice
of matters of general knowledge or matters known to the Office or the Review Board. If
the Board needs additional information to review the second request, it will notify the
applicant in writing. The Review Board will not hear oral argument on a second request
for reconsideration.
Both the decision made by the registration specialist and the decision to uphold the
refusal to register following the applicant’s first request for reconsideration are subject
to de novo review, which means that the Board will take a fresh look at whether the
work meets the statutory requirements for copyright registration.
A majority of the Review Board’s members must agree to uphold or reverse a refusal to
register. A decision issued by the Review Board has no precedential value, nor is any
decision binding upon the Board in any other appeal.
If the Review Board decides to register the applicant’s work, it will notify the applicant
in writing. This notification will be sent to the individual who submitted the second
request for reconsideration, and the certificate of registration will be sent separately to
the mailing address specified in the application. See Chapter 600, Section 622.4.
If the Review Board decides to uphold the refusal to register, it will notify the applicant
in writing and will explain the reasons for its decision. This notification will be sent to
the individual who submitted the second request for reconsideration. If the Review
Board has been notified that the work is involved in litigation, the Review Board will
send a copy of its decision to counsel of record for the parties in that dispute.
See generally 37 C.F.R. § 202.5(c)(4) (discussing the procedure for reviewing a second
request for reconsideration).
1705 	Effective Date of Registration
If the U.S. Copyright Office registers a work following a first or second request for
reconsideration, the Office will assign an effective date of registration (“EDR”) to the
registration. The effective date of registration is the day on which the Office receives an
acceptable application, deposit copy(ies), and filing fee, which are later determined by
the Register of Copyrights or by a court of competent jurisdiction to be acceptable for
registration. 17 U.S.C. § 410(d).
As a general rule, if the applicant made a reasonable, good faith effort to complete the
relevant fields/spaces in the application, the effective date of registration is the date that
the Office received the application, provided that the applicant submitted the
appropriate deposit copy(ies) and paid the applicable filing fee as of that date. See
Chapter 600, Section 625.
1706 	Final Agency Action
A decision issued by the Review Board in response to a second request for
reconsideration constitutes the final agency action with respect to the issues addressed
therein. 37 C.F.R. § 202.5(g).
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , ThirdEdition
Chapter 1700 : 8 	09/29/2017
If the U.S. Copyright Office upholds the refusal to register following a request for
reconsideration, an applicant may appeal that decision under the Administrative
Procedure Act (“APA”) by instituting a judicial action against the Register of Copyrights
in federal district court. See 5 U.S.C. § 500 et seq.
An applicant does not need to appeal a refusal to register under the APA in order to
institute an infringement action in federal district court. See 17 U.S.C. § 411(a). However,
the applicant must serve a copy of the infringement complaint on the Register, and
“[t]he Register may, at his or her option, become a party to the action with respect to the
issue of registrability of the copyright claim by entering an appearance within sixty days
after such service ….” Id.
1707 	Retention of Records
The U.S. Copyright Office maintains records of all documents and correspondence
relating to a first or second request for reconsideration.
1708 	General Requirements for First and Second Requests for Reconsideration
1708.1 	Filing Fee
The applicant must submit the appropriate filing fee together with both the first or the
second request for reconsideration. See 37 C.F.R. § 202.5(b)(2), (c)(2). The current filing
fees are set forth in the U.S. Copyright Office’s fee schedule in the field marked “Requests
for reconsideration” (www.copyright.gov/docs/fees.html).
The applicant must pay a separate filing fee for each claim that has been refused
registration, even if the Office refused to register two or more claims in the same letter.
See Copyright Office Fees, 78 Fed. Reg. 18,742, 18,745 (Mar. 28, 2012).
1708.2 	Address for Delivery
Each request for reconsideration (including requests that are delivered by mail, by
courier, or by hand) should be addressed on the outside of the envelope as follows:
FIRST or SECOND REQUEST FOR RECONSIDERATION
U.S. Copyright Office
RAC Division
P.O. Box 71380
Washington, DC 20024–1380.
For instructions on delivering a request for reconsideration to the U.S. Copyright Office
by hand or by courier, see 37 C.F.R. § 202.5(d).See 37 C.F.R. §§ 201.1(c)(4), 202.5(d) .
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , ThirdEdition
Chapter 1700 : 9 	09/29/2017
1708.3 	Deadline for Submitting a Request for Reconsideration
A first request for reconsideration must be postmarked or dispatched by a commercial
carrier, courier, or messengerreceived in the U.S. Copyright Office no later than three
months from the date that appears in the written notice from the Office of its decision to
refuse registration. 37 C.F.R. § 202.5(b)(3).
A second request for reconsideration must be postmarked or dispatched by a
commercial carrier, courier, or messengerreceived in the Office no later than three
months from the date that appears in the written notice from the Office of its decision to
uphold the refusal to register following the applicant’s first request for reconsideration.
37 C.F.R. § 202.5(c)(3).
The Office will not consider a second request for reconsideration if the applicant failed
to submit the first request in a timely manner.
If the deadline for submitting a first or second request falls on a weekend or a federal
holiday, the deadline will be extended until the next federal work day. See 37 C.F.R. §
202.5(b)(3), (c)(3). If a request for reconsideration was sent in a timely manner, but
arrived in the Office after the relevant deadline, the Office may apply the regulation on
postal disruptions to determine the timeliness of the filing. See 37 C.F.R. § 201.8.
The deadline for submitting a first or second request may be suspended or waived, in
whole or in part, by the Register of Copyrights upon a showing of good cause. The
request for a suspension or waiver should be made in writing, it should indicate
whether the request involves a “FIRST” or “SECOND” request for reconsideration, and it
should be sent to the address specified in Section 1708.2. A suspension or waiver may
be granted only with respect to a specific request for reconsideration, and shall not be
considered in connection with any other request from that applicant or any other
applicant. See 37 C.F.R. § 202.5(e).
1708.4 	Withdrawing a Request for Reconsideration
An applicant may submit a request to withdraw a first or second request for
reconsideration at any time before the U.S. Copyright Office has issued its decision. The
request should be made in writing, it should indicate whether the requested withdrawal
involves a “FIRST” or “SECOND” request, and it should be sent to the address specified in
Section 1708.2. The decision whether to approve or deny the request will be made at the
discretion of the Office. The filing fee will not be refunded and the Office will not
reinstate a request for reconsideration once it has been withdrawn.
1708.5 	Amending the Application During an Administrative Appeal
When evaluating a first or second request for reconsideration, the U.S. Copyright Office
will focus on the type of authorship claimed in the application, such as “2-D artwork” or
“text.” As a general rule, the Office will not consider any type of authorship that was not
expressly claimed in the application when the claim was refused. That said, the Office
may allow an applicant to amend the application during a first or second appeal if the
failure to include this information was the result of an honest omission or mistake.
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , ThirdEdition
Chapter 1700 : 10 	09/29/2017
Example:
An application is submitted for a children’s book titled The
Empty Piñata. The work contains artwork and a de minimis
amount of text, but the applicant only asserted a claim in “text.”
The registration specialist refuses registration. On appeal, the
applicant admits that the words are uncopyrightable, and states
that the applicant inadvertently failed to include a claim in “2-d
artwork.” The Office will uphold the refusal to register the claim
in “text,” and will consider whether the artwork contains a
sufficient amount of creative expression to support a
registration.
1708.6 	No Expedited Review
Special handling is a procedure for expediting the examination of an application to
register a claim to copyright or the recordation of a transfer or other document
pertaining to copyright. The U.S. Copyright Office offers this service in certain
circumstances where a copyright owner or other interested parties have a compelling
reason for the expedited issuance of a certificate. As discussed in Chapter 600, Section
623.2, the Office will not grant a request for special handling in connection with a first or
second request for reconsideration.
1708.76 	No Adverse Proceedings
The U.S. Copyright Office does not invite, and generally does not consider, arguments or
evidence submitted by or on behalf of any party other than the applicant or the
applicant’s duly authorized agent.
This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.