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830 1.1

Title 37-Patents, Trademarks, and copyrights



Subpart K-Rate Adjustment Proceedings

301.00 Scope. Subpart A-Organization

301.61 Commencement of adjustment pro

ceedinga. Sec.

301.02 Content of petition. 301.1 Purpose.

301.63 Consideration of petition. 301.2 Address for Information.

301.64 Disposition of petition. 301.3 Composition of the Tribunal.

301.65 Rate adjustment proceedings. 301.4 The Chairman.

301,88 Publication of proposed rate deter: 301.5 Standing committee.

mination. 301.8 Administration of the Tribunal.

301.67 Final determination. 301.7 Proceedings.

301.68 Reopening of proceedings.

301.89 Effective date of final determina. Subpart B-Public Access to Tribunal Mootings tlon. 301.11 Open meetings.

Subpart Go-Royalty fees Distribution 301.12 Conduct of open meetings.

Proceedings 301.13 Closed meetings. 301.14 Procedure for closing meetings. 301.70 Scope. 301.15 Transcripts of closed meetings. 301.71 Commencement proceedings. 301.16 Requests to open or close meetings. 301.72 Determination of controversy. 301.17 Ex parte communication.

301.73 Royalty distribution proceedings.

301.74 Publication of proposed royalty disSubpart C--Publle Access to and Inspection of tribution determination. Records

301.75 Final determination.

301.76 Reopening of proceedings. 301.21 Public records.

301.77 Effective date of final determina301.22 Public access.

tion, 301.23 Freedom of Information Act.

AUTHORITY: 17 U.S.C. 803(a). 301.24 Privacy Act.

SOURCE: 43 FR 53719, Nov. 17, 1978, unless Subpart D-Equal Employment Opportunity otherwise noted. 301.31 Purpose. 301.32 Recruitment and hiring.

Subpart A-Organization 301.33 Complaint procedures. 301.34 Third party allegation of discrimi.. $301.1 Purpose. nation.

The Copyright Royalty Tribunal 301.36 Business relations.

(Tribunal) is an independent agency in

the Legislative Branch, created by Subpart E-Procedures and Regulations

Pub. L. 94-553 of October 19, 1978. 301.40 Scope.

The Tribunal's statutory responsibil. 301.41 Formal hearings.

ities are: 301.42 Suspension, amendment, or walver of rules.

(a) To make determinations concern. 301.43 Notice of proposed rulemaking.

ing copyright royalty rates in the 301.44 Conduct of proceedings.

areas of cable television covered by 17 301.46 Declaratory rulings.

U.S.C. 111. 301.46 Testimony under oath or affirma. (b) To make determinations concern. tion.

ing copyright royalty rates for phon301.47 Transcript and record.

orecords (17 U.S.C. 115) and for coin. 301.48 Closing the hearing.

operated phonorecord players (juke301.49 Documents.

boxes) (17 U.S.C. 116). 301.80 Reopening of proceedings, modifica

(c) To establish and later make de. tion or setting. 301.61 Rules of evidence.

terminations concerning royalty rates 301.62 Participation in any proceeding.

and terms for non-commercial broad301.83 Examination, cross-examination,

casting (17 U.S.C. 118). and rebuttal,

(d) To distribute cable television and 301.84 Proposed findings and conclusions. Jukebox royalties under 17 U.S.C. 111 301.66 Promulgallon of rules or orders. nnd 17 U.S.C. 110 deposited with the 301.86 Public suggestions and commenta. Register of Copyrights.

Chapter III-Copyright Royalty Tribunal

$ 301.11 8 301.2 Address for information. •

8 301.6 Administration of the Tribunal. The official address of the Copy. The administration of the Tribunal right Royalty Tribunal is 1111 20th denotes chiefly the maintenance of Street NW., Washington, DC 20036, the Tribunal records and the custodi. until March 31, 1979. Office hours are anship of Tribunal propylThe Monday through Friday, 8:30 a.m. to records to be maintained include legal 5:30 p.m., excluding legal holidays. and public records, a current index of

opinions, orders, policy statements, 9 301.3 Composition of the Tribunal. procedures, and rules of practice, and The Tribunal is composed of five

instructions that affect the public. members appointed by the President

Also, announcements of Tribunal acwith the advice and consent of the

tions must be published in the FEDERSenate.

AL REGISTER as required, and the ob

servance by the Tribunal of appropri. 8 301,4 The Chairman.

ate administrative procedure must be (a) On December 1st of each year

supervised, as well as the disposition

of Tribunal correspondence, From the Chairman will be designated for a

time to time other administrative reterm of 1 year from the most senior

sponsibilities may emerge. To manage Commissioner who has not yet previ.

the above, the Tribunal may choose to ously served as Chairman, or, if an the

install an Administrative Officer: how. Commissioners have served, the most

ever, if not, it will be the Chairman's senior Commissioner who has served

duty to see that these responsibilities the least number of terms will be des

are met. Ignated Chairman.

(b) The responsibilities of the Chair 8 301.7 Proceedings. man are, first, to preside at meetings and hearings of the Tribunal, and

(a) Location. The Tribunal will nor

mally hold all proceedings at its prinsecond, to represent the Tribunal offi

cipal office, except under exceptional cially in all external matters. In matters of legislation and legislative re

circumstances, in which case the Triports, the Chairman will represent the

bunal may perform its duties any.

where in the United States. The Tri. majority opinion of the Tribunal; however, any Commissioner with a minori.

bunal's proceedings will all be public, ty or supplemental opinion may have

except as exempted in $ 301.15. that opinion represented also. The

(b) Quorum. A majority of the memChairman is the initial authority for

bers of the Tribunal constitutes & all communications with other govern

quorum. ment officials or agencies and is the

(c) Voting. Each Commissioner's contracting officer; however, another

vote shall be recorded separately, and Commissioner or subordinate official

the votes of the Commissioners shall may be designated to act in his stead.

be taken in order of their seniority, The Chairman shall convene a meet

except that the Chairman shall vote ing of the Tribunal upon the request

last. No proxy votes will be recorded. of a majority of the Commissioners.

Subpart B-Public Access to Tribunal 8 301.5 Standing committee.

Meetings The Tribunal may establish standing or temporary committees to act in

8 301.11 Open meetinga. whatever capacity the Tribunal feels is (a) The purpose of this chapter is to appropriate. Said committees are au comply with the Government in the thorized, in the areas of their jurisdic Sunshine Act, Pub. L. 94-409; 90 Stat. tion, to conduct hearings, meetings, 1241 et seq., 5 U.S.C. 522(b), and insure and other proceedings, but no such that all Tribunal meetings shall be subdivision shall be authorized to act open to the public. The conditions on behalf of the agency as a whole · under which meetings, as an excep. within the official meeting of 6 v.8.c. llon, may be closed. nre listed in . 552(a)(1).

$ 301.13

$ 301.12.

Title 37-Patents, Trademarks, and Copyrights (b) Each meeting announcement by (b) If the matter relates solely to the the Tribunal shall be made at least 7 internal personnel rules and practices calendar days in advance in the FEDER. of the Tribunal; AL REGISTER and shall state the time (c) If the matter has been specificaland place of the meeting, the subject ly exempted from disclosure by statute to be discussed, whether the meeting (other than 6 U.S.C. 552) and there is is to be open or closed, and the name no discretion on the issue; and telephone number of the person (d) If the matter involves privileged to contact for further information. or confidential trade secrets or finan.

(c) If amendments are made to the clal information; original announcement, they must be (e) If the result might be to accuse placed in the FEDERAL REGISTER AS any person of a crime or formally cen. soon as practicable. Changes in time sure him; and place may be made simply by (f) If there would be a clearly unwarmaking such an announcement, but å ranted invasion of personal privacy; change in subject matter requires a re (g) If there would be disclosure of in. corded vote by Commissioners, with vestigatory records compiled for law the results of that vote appearing in enforcement, or information which if the announcement of the amendment. written would be contained in such

(d) If It is decided that a meeting records, and to the extent disclosure must be held on shorter notice than 7 would (1) interfere with enforcement days, that decision must be made by proceedings, (2) deprive a person of recorded vote of Commissioners and the right to a fair trial or impartial adIncluded in the announcement.

judication, (3) constitute an unwar.

ranted Invasion of personal privacy. 8 301.12 Conduct of open meetings. (4) disclosure the identify of a confl.

(a) Meetings of the Tribunal will be dential source or, in the case of a conducted in a manner to insure both criminal investigation or a national sethe public's right to observe and the curity intelligence investigation, confi. ability of the Tribunal to conduct its dential information furnished only by business properly. The Chairman or vestigative techniques and procedures,

a confidential source, (5) disclosure in. presiding officer will take whatever measures he feels necessary to achieve or (6) endanger the life or safety of this.

law enforcement personnel. (b) The right of the public to be formation would frustrate the Tribu

(h) If premature disclosure of the inpresent does not include the right to nal's action, unless the Tribunal has participate or make comments.

already disclosed the concept or (c) Reasonable access for news media nature of the proposed action, or is rewill be provided at all public sessions quired by law to make disclosure provided that it does not interfere before taking final action. with the comfort of Commissioners,

(1) If the matter concerns the Tribustaff, or witnesses. Cameras will be ad- nal's participation in a civil action or mitted only on the authorization of proceeding or in an action in a foreign the Chairman, and no witness may be court or international tribunal, or an photographed or have his testimony arbitration, or a particular case of recorded for broadcast if he objects. formal agency adjudication pursuant

to 5 U.S.C. 554, or otherwise involving 8 301.13 Cloned meetings.

a determination on the record after In the following circumstances (as opportunity for a hearing. per 5 U.S.C. 552(c), 1-10) the Tribunal may close its meetings or withhold in $ 301.14 Procedure for closing meetings. formation from the public:

(a) Meetings may be closed, or Infor. (a) If the matter to be discussed has mation withheld from the public, only been specifically authorized to be kept by a recorded vote of a majority of the secret by Executive order, in the Inter Commissioners. Each question, either csts of national defense or foreign to close a mecting or withhold infor. policy:

mation, must be voted on separately,

Chapter III-Copyright Royalty Tribunal

$ 301.17 unless a series of meetings is involved, 8301.16 Requests to open or close meet. in which case the Tribunal may vote ings. to keep the discussions closed for 30

(a) Any person may request the Tri. days, starting from the first meetings. bunal to open or close a meeting or If the Tribunal feels that information disclose or withhold information. Such about a closed meeting must be with. a request must be captioned "Request held, the decision to do so must also be to Open" or "Close" a meeting an a the subject of a recorded vote.

specific date concerning a specific sub(b) Before a discussion to close a ject. The requester must state his or meeting or withhold information, the her reasons, and include name and ad. Chairman must certify that, in his dress, and desirably, telephone opinion, such a step is permissible, and number. he shall cite the appropriate exemp. (b) In the case of a request to open a tion under $ 301.13. This certification meeting the Tribunal has previously shall be included in the announcement voted closed,' the Tribunal nust reof the meeting and be maintained as ceive the request within 3 working part of the Tribunal's records.

days of the meeting's announcement. (c) Following such a vote, and by the

If not, it will not be heeded, and the end of the working day, the Chairman

requester will be so notified. Requests must transmit the following informa.

are desired in seven copies. tion to the FEDERAL REGISTER for pub

(c) For the Tribunal to act on a relication:

quest to open or close a meeting, the (1) The vote of each Commissioner;

question must be brought to a vote

before the Tribunal by one of the (2) The appropriate exemption Commissioners. If the request is grantunder $ 301.13;

ed, an amended meeting announce. (3) A list of all persons expected to

ment will be issued immediately and attend the meeting and their affili.

the requester notified. If a vole is not ation.

taken, or if after a vote the request is

denied, the requester will also be nati. 8 301.16 Transcripts of closed meetings.

fied promptly. (a) All meetings closed to the public shall be subject to either a complete 8301.17 Ex parte communication. transcript or, in the case of $ 301.13(1) (a) No person not employed by the and at the Tribunal's discretion, de Tribunal and no employee of the Tri. talled minutes. Detalled minutes shall bunal who performs any Investigative describe all matters discussed, Identify function in connection with a Truall documents considered, summarize bunal proceeding shall communicate, action taken as well as the reasons for directly or indirectly, with any it, and record all rollcall votes as well

member of the Tribunal or with any as any views expressed.

employee involved in the decisions of (b) Such transcripts or minutes shall the proceeding, with respect to the be kept by the Tribunal for 2 years or

merits of any proceeding before the 1 year after the conclusion of the pro

Tribunal or of a factualiy related proceedings, whichever is later. Any por

ceeding. tion of transcripts of meetings which no employee involved in the decision

(b) No member of the Tribunal and the Chairman does not feel is exempt of a proceeding shall communicate, difrom disclosure under $ 301.13 will or. dinarily be available to the public not employed by the Tribunal or with

rectly or indirectly, with any person within 20 working days of the meeting.

any employee of the Tribunal who Transcripts or minutes of closed meet.

performs an investigative function in ings will be reviewed by the Chairman

connection with the proceeding, with! at the end of each calendar year and If

respect to the merit of any procerding he feels they may at that time bc dis before the Tribnal or of a factually reclosed, he will resubmit the question lated proceeding. to the Tribunal to gain authorization (c) If an ex parte communication is for their disclosure.

made to or by any member of the Tri

8 301.21

Title 37-Patents, Trademarks, and copyrights bunal or employee involved in the de. (4) Personnel, medical, or simllar cision of the proceeding. in violation files whose disclosure would be an inof paragraph (a) or (b) of this section, vasion of personal privacy: such member or employee shall (5) Communications among Commispromptly inform the Tribunal of the sioners concerning the drafting of desubstance of such communciation and cisions, opinions, reports, and findings of the circumstance surrounding it.

on any Tribunal matter or proceeding: The Tribunal shall then take such

(6) Offers of settlement which have action It considers appropriate; provid.

not been accepted unless they have ed that any written ex parte communi.

been made public by the offerer; cation and a summary of any oral er parte communication shall be made

(7) Records not herein listed but

which may be withheld as "exempted" part of the public records of the Tri.

if the Tribunal finds compelling reabunal, but shall not be considered part of the record for the purposes of deci

sons exist. sion unless introduced into evidence

8 301:22 Public access. by one of the parties.

(d) A request for information with (a) Information may be requested respect to the status of proceeding from the Tribunal in person, by tele. shall not be considered an ex parte phone, or by mail. communication prohibited by this sec (b) If the material sought is not a tlon.

Tribunal record, is exempted, or for

some reason is unavailable, the person Subpart C-Public Access To and requesting it will be so informed and, Inspection of Records

in the case of an "exempted record,"

will be explained the reason for the The following is the manner in

exemption and the procedure for which Tribunal opinions, recommend. appeal under the Freedom of Informa. ed decisions, orders, public reports and tion Act, $ 301.13. records shall be made available to the (c) Fees for copies of Tribunal public.

records are: $.15 per page: $10 for each

hour or fraction thereof spent search: 9 301.21 Public records.

Ing for records; $4 for certification of (a) Final official determinations of each document; and the actual cost to the Tribunal will be published in the the Tribunal for any other costs inFEDERAL REGISTER and include the rel curred. evant facts and the reasons for those determinations.

(43 FR 53719, Nov. 11, 1978, as amended at

44 FR 53161, Sept. 13, 1979) (b) An annunl report, required of the Tribunal to be presented to the Presi 301.23 Freedom of Information Act. dent and Congress each fiscal year, along with a detailed fiscal statement

(a) If a request is made under the of account, will be avallable both for

Freedom of Information Act (5 U.S.C. Inspection at the Tribunal and for pur.

552), It must be in writing, be cap. chase from the Superintendent of

tioned "Freedom of Information Act Documents, U.S. Government Printing

Request," and identify as accurately Office, Washington, DC 20402.

as possible, the information desired. (c) All other Tribunal records are

(b) within 10 working days after the avallable, for Inspection or copying at

Tribunal has received such a request, The Tribunal, except:

the Chairman shall inform the re. (1) Records that relate solely to the quester how the records may be in. Internal personnel rules and practices

spected or copled and the cost (as of the Tribunal;

under $ 301.22) of copying. The chair. (2) Records exempted by statute man may, however, extend this time from disclosure;

limit up to 10 working days if: (3) Interoffice memoranda or corre. (1) Records must be located or transspondence not avallable by iaw except ferred; Lo a party In litigation with the Tribu. (2) Voluminous material must be exnal:


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