Proposed Exemptions Denied
建议的豁免被驳回
One proposed new exemption that the Office ultimately recommended against in the final rule was the subject of a petition filed by joint educators to exempt circumvention of TPMs on DVDs, Blu-ray discs and digitally transmitted video for use in online learning platforms for upskilling and retraining, such as Khan Academy or LinkedIn Learning. According to the final rule, the Office found the proposal lacked support for expanding the exemption to cover such for-profit entities. Opponents said the petitioners “failed to meet their evidentiary burden, including that the conduct at issue would be noninfringing.”
该办公室最终在最终规则中建议反对的一项拟议新豁免是由联合教育工作者提出的一项请愿，要求豁免规避 DVD、蓝光光盘和数字传输视频上的技术保护措施（TPM），以用于在线学习平台的技能提升和再培训，如可汗学院或领英学习。根据最终规则，该办公室认为该提案缺乏将豁免范围扩大到此类营利实体的支持。反对者称，申请人 “未能履行其举证责任，包括证明相关行为不构成侵权”。
A petition by Jonathan Weiss sought a Section 1201 exemption to allow circumvention of access controls on generative AI platforms to enable security research into inherent biases programmed into AI platforms. The proposed exemption would have also covered the sharing of research findings, methodologies and techniques for exposing and addressing bias in AI models. Weiss’ petition noted that inherent biases in generative AI models “have the potential to perpetuate or even exacerbate systemic issues related to race, gender, ethnicity, and other sensitive factors.” However, the Office ultimately recommended denying the proposal, explaining that the Register “acknowledges the importance of AI trustworthiness research as a policy matter and notes that Congress and other agencies may be best positioned to act on this emerging issue.”
乔纳森·韦斯（Jonathan Weiss）提出申请，要求获得第 1201 条的豁免，允许规避生成式人工智能平台的访问控制，以便对人工智能平台编程中固有的偏见进行安全研究。拟议的豁免还包括共享研究成果、方法和技术，以揭露和解决人工智能模型中的偏见。乔纳森·韦斯的请愿书指出，生成式人工智能模型中的固有偏见 “有可能延续甚至加剧与种族、性别、民族和其他敏感因素相关的系统性问题”。不过，该办公室最终建议拒绝该提案，并解释说，《登记册》“承认人工智能可信度研究作为政策事项的重要性，并指出国会和其他机构可能最适合就这一新出现的问题采取行动”。
Suzy Wilson, General Counsel and Associate Register of Copyrights said on a press briefing today that the Office found the identification of what was causing the adverse effects were actually not TPMs but a number of rules that the software provider had set forth in terms of service or safety guidelines. Thus, an exemption would not actually solve the problem. “We looked at each of the alleged adverse effects and determined that in fact an exemption would not resolve or ameliorate the adverse effects being experienced or identified in the petition,” Wilson explained. “It’s not a statement by us regarding the underlying policy around the proposed research, it simply is not within the scope of 1201…but it may be a place where other agencies or congress may want to act.”
版权总顾问兼副注册官苏西·威尔逊（Suzy Wilson）在今天的新闻发布会上说，版权局发现造成不良影响的原因实际上并不是 TPM，而是软件提供商在服务条款或安全指南中规定的一些规则。因此，豁免实际上并不能解决问题。“威尔逊解释说："我们逐一研究了所称的不利影响，并确定豁免实际上并不能解决或改善正在经历的或在申请中确定的不利影响。“威尔逊解释说："这并不是我们对围绕拟议研究的基本政策的声明，它根本不在 1201 的范围之内......但这可能是其他机构或国会想要采取行动的地方。
The Office also denied proposals for new exemptions relating to revising the text of the exemption for excerpts of audiovisual works to incorporate language used in the fourth triennial section 1201 rulemaking and “[e]xpansion of the exemption for preservation of computer programs and video games, except with respect to clarifying the single-user limitation in the current computer program preservation exemption to reflect that preservation institutions can allow a copy of a computer program to be accessed by as many individuals as there are circumvented copies legally owned.”
该办公室还拒绝了关于修订视听作品节选豁免文本以纳入第四个三年期第 1201 条规则制定中使用的语言的新豁免提案，以及 “扩大计算机程序和视频游戏的保存豁免，但澄清当前计算机程序保存豁免中的单用户限制以反映保存机构可以允许合法拥有的规避拷贝数量越多的个人访问计算机程序拷贝越好 ”的提案。
New Exemptions
新的豁免
The Office recommended adopting or expanding exemptions in four total categories as set forth in the final rule:
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Class 3(a) and 3(b): Expansion of the exemption for audiovisual and literary works, for the purpose of text and data mining for scholarly research and teaching by allowing researchers affiliated with other nonprofit institutions of higher education to access corpora for independent research and by modifying the provisions concerning security measures and viewing the contents of copyrighted works within
a corpus.
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Class 5: New exemption for computer programs that control retail-level commercial food preparation equipment for purposes of diagnosis, maintenance, and repair.18
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Class 7: New Exemption for computer programs, for purposes of accessing, storing, and sharing operational data, including diagnostic and telematics data, of motorized land vehicles, marine vessels, and commercial and agricultural vehicles or vessels.
经讨论，建议采纳或扩大最终规则中规定的四类豁免：
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3(a)和 3(b)类： 扩大视听和文学作品的豁免范围，允许隶属于其他非营利性高等教育机构的研究人员访问语料库进行独立研究，并修改有关安全措施和查看语料库中受版权保护作品内容的规定，从而为学术研究和教学进行文本和数据挖掘。
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第 5 类：为诊断、维护和修理目的控制零售级商业食品制作设备的计算机程序的新豁免。
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第 7 类：新增对计算机程序的豁免，其目的是获取、存储和共享陆上机动车辆、船舶、商业和农 业车辆或船舶的运行数据，包括诊断数据和远程信息处理数据。
With respect to the category 3(a) and 3(b) exemptions, the final rule explained that institutions can “provide outside researchers with credentials for security and authentication to use a corpus that is hosted on its servers” but cannot disseminate a copy of a corpus (or copyrighted works included therein) to outside researchers or give outside researchers the ability to download, make copies of, or distribute any copyrighted works.”
关于第 3(a)类和第 3(b)类豁免，最终规则解释说，机构可以 “向外部研究人员提供安全和认证凭证，以使用托管在其服务器上的语料库”，但不能向外部研究人员传播语料库副本（或其中包含的版权作品），也不能让外部研究人员下载、复制或传播任何版权作品。
As to class 5, the Register said “proponents sufficiently showed, by a preponderance of the evidence, adverse effects on the proposed noninfringing uses” of computer programs related to retail-level commercial food preparation but declined to extend the exemption to the broader category of software-enabled industrial devices. Wilson said today that the Office simply didn’t receive enough specific examples and evidence about where efforts to repair were being frustrated by TPMs. Furthermore, the opposing comments received indicated a concern that all industrial equipment was too broad of a class “without more specifics regarding adverse effects.”
至于第 5 类，注册局表示，“支持者通过大量证据充分证明了 ”与零售级商业食品制作相关的计算机程序 “对拟议的非侵权用途的不利影响”，但拒绝将豁免范围扩大到更广泛的软件工业设备类别。威尔逊今天说，该局根本没有收到足够的具体事例和证据来说明 TPM 在哪些方面阻碍了维修工作。此外，在收到的反对意见中，有人担心所有工业设备的类别过于宽泛，“没有更具体的不利影响”。
Finally, the Class 7 exemption was recommended because the Register determined that “the prohibition on circumvention adversely affects the ability of lawful owners and lessees, or those acting on their behalf, to access, store, and share operational and telematics data, which are likely to be noninfringing.” The rule further recommended that regulatory provisions “mirroring those within the Repair Exemption regarding the applicability of the exemption to other laws, separate subscription services, and unauthorized access to other copyrighted works” be adopted.
最后，之所以建议第 7 类豁免，是因为注册机构认为 “禁止规避行为会对合法所有者和承租人或代表他们的人访问、存储和共享操作数据和远程信息处理数据的能力产生不利影响，而这些数据很可能是非侵权数据”。该规则还建议采用 “与维修豁免中有关豁免适用于其他法律、单独订阅服务和未经授权访问其他版权作品的规定相一致 ”的监管规定。
According to a footnote in the final rule, the Office did not receive a renewal petition for the “exemption permitting circumvention of video games in the form of computer programs for the purpose of allowing an individual with a physical disability to use alternative software or hardware input methods.” All other exemptions received petitions for renewal and the Register recommended renewal for all of them.
根据最终规则的脚注，对于 “允许以计算机程序形式规避电子游戏，以便允许身体残疾者使用替代软件或硬件输入方法的豁免”，版权局没有收到续期申请。所有其他豁免都收到了续期申请，注册机构建议对所有豁免进行续期。
As part of the requirement under Section 1201(a)(1), the Copyright Office must consult with the National Telecommunications and Information Administration (NTIA) throughout the process. Asked by a member of the press today whether the Office sees the triennial rulemaking process as an efficient long term approach, Wilson said they have streamlined the process considerably over the years but “we do invite Congress to consider permanent exemptions.”
作为第 1201(a)(1)条要求的一部分，版权局必须在整个过程中与国家电信和信息管理局（NTIA）进行磋商。今天有媒体问威尔逊，版权局是否认为三年一次的规则制定过程是一种有效的长期方法，威尔逊说，多年来他们已经大大简化了这一过程，但 “我们确实邀请国会考虑永久性豁免”。
The Librarian of Congress adopted the Register’s recommendations in full. The final rule becomes effective October 28, 2024.
国会完全采纳了注册机构的建议。最终规则于 2024 年 10 月 28 日生效。