Compendium II – 1988 adding Chapters 600 and 1900 (607 pages plus index)

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# COMPENDIUM OF COPYRIGHT OFFICE PRACTICES

Under the Copyright Law Which
Became Fully Effective on
January 1, 1978, Including
Title 17 of the United States
Code and Amendments Thereto

This Compendium (designated as Compendium II) reflects
Copyright Office practices under the copyright law which became
fully effective on January 1, 1978, including Title 17 of the
United States Code and amendments thereof.

An earlier Compendium (now called Compendium I) was
issued a number of years ago to reflect Copyright Office prac-
tices under the Copyright Act of 1909, as amended. Compendium I
applies to Copyright Office actions, in situations which it
covers, where the provisions of the Copyright Act of 1909, as
amended, are dispositive.

The Compendium is a manual intended primarily for the
use of the staff of the Copyright Office as a general guide to
its examining and related practices. It is not a book of rules
that is meant to provide a ready-made answer to all questions
that arise. Any new case presented to the Office may require
special analysis.

The practices of the Copyright Office are subject to
constant review and modification in the light of new experience
and continuing reappraisal. Accordingly, additions, deletions,
and other amendments will be made from time to time. The Copy-
right Office will provide an up-to-date copy of the Compendium
for public inspection and copying. The Office will likewise
maintain a separate record of all material withdrawn from the
Compendium as superseded.

Section 201.1(b) (3) of the Copyright Office Regulations,
Title 37 of the Code of Federal Regulations, which are author-
ized under section 702 of the current copyright law, provides
for a compendium of Office practices.

Copies of Compendium If are available for purchase from
the Superintendent of Documents, United States Government Print-
ing Office, as a looseleaf publication; amendments and supple-
ments will be published by the Superintendent of Documents in
the form of additional or replacement pages as such changes are
made.

Copies of the earlier Compendium (compendium I) may be
purchased from the National Technical Information Service,
United States Department of Commerce.

-000-

)

## TABLE OF CONTENTS

Number

Title

100

BASIC POLICIES

200

COPYRIGHTABLE MATTER: IN GENERAL

300

COPYRIGHTABLE MATTER: NONDRAMATIC LITERARY WORKS

400

COPYRIGHTABLE MATTER: WORKS OF THE PERFORMING ARTS AND SOUND RECORDINGS

500

COPYRIGHTABLE MATTER: PICTORIAL, GRAPHIC AND SCULPTURAL WORKS

600

REGISTRATION PROCEDURES

700

APPLICATIONS AND FEES

800

DEPOSIT FOR REGISTRATION

900

PUBLICATION

1000

NOTICE OF COPYRIGHT

1100

ELIGIBILITY

1200

MANUFACTURING PROVISIONS

1300

RENEWAL OF COPYRIGHT

1400

GROUP REGISTRATIONS [IN PREPARATION]

1500

CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT OFFICE RECORDS ; SUPPLEMENTARY REGISTRATIONS

1600

RECORDATION OF TRANSFERS AND OTHER DOCUMENTS PERTAINING TO A COPYRIGHT

1900

RECORDS, INDEXES, AND DEPOSITS OF THE COPYRIGHT OFFICE; INSPECTION, COPYING, ADDITIONAL CERTIFICATES, AND OTHER CERTIFICATIONS

----

INDEX TO COMPENDIUM II

[1988]

)

## BASIC POLICIES

### Outline of Topics

101

Basic policies.

102

The constitutional provision.

103

The copyright law.

The Copyright Office.

104
105
106
107

Statutory authority for examination.

The establishment, maintenance, and availability
of a public record.

108

The examination process.

108.01

Nature of examination.

108.02

Scope of examination.

108.03

Comparison of works.

108.04

Extent of copyright claims.

108.05

Factual determinations.

108.06

Adverse claims.

108.07

Rule of doubt.

108.08

Cautionary or warning letters.

108.09

Refusal to register.

108.10

Obscene or pornographic works.

108.11

Works containing classified information.

109

Communications between the applicant and the
Copyright Office.

109.01

In general.

109.02
Copyright Office communications.

109.03

Opinions and advice.

109.04

One letter concerning more than one application.

109.05

Communications from applicants.

109.06
Languages.

110

### Applicants.

110.01

Minors.

110.02

Mental incompetents.

110.03

Prisoners.

110.04

Paupers.

110.05

Agents.

110.06

Attorneys.

110.07

Palse representation.

111

Territorial limitations.

112

Recordations and Import Statements.

Basic policies. Set forth below are the policies
upon which the examining and related practices of
the Copyright Office are based.

101
102
The constitutional provision. The Constitution
of the United States provides, in Article 1,
Section 8, that the "Congress shall have Power
. . . To promote the Progress of Science and
useful Arts, by securing for limited Times to
Authors and Inventors the exclusive Right to
their respective Writings and Discoveries."

103

The copyright law. The U.S. copyright law is
based upon the above provision of the Consti-
tution, especially as it relates to the
"Writings" of "Authors." The current copyright
law is the Copyright Act which became fully
effective on January 1, 1978, including Title
17 of the United States Code, and amendments
thereof. The previous law was the Copyright
Act of 1909, as amended.

104

The Copyright Office. The copyright law provides
that all administrative functions and duties which
it imposes are, except as otherwise specified, the
responsibility of the Register of Copyrights as
director of the Copyright Office of the Library of
Congress and that the Register, together with sub-
ordinate officers and employees of the Office,
shall be appointed by the Librarian of Congress and
shall act under the Librarian's general direction
and supervision. See 17 U.S.C. 701(a) . The Copy-
right Office is a department of the Library of
Congress, and the Register of Copyrights is also
Assistant Librarian of Congress for Copyright
Services. In addition to its principal function,
which is the performance of all duties relating to
the registration of copyrights, the policies and
practices of the Copyright Office are also designed
to promote the overall objectives of the Library of
Congress. See the Library of Congress Regulations,
LCR 215.

106

Statutory authority for examination. Section
410(a) of the current law specifies that when,
"after examination, the Register determines that
the material deposited constitutes copyright-
able subject matter and that the other legal and
formal requirements . . . have been met, the
Register shall register the claim and issue to the
applicant a certificate of registration under the
seal of the Copyright Office." Section 410 (b)
provides that in "any case in which the Register
of Copyrights determines that . . . the material
deposited does not constitute copyrightable subject
matter or that the claim is invalid for any other
reason, the Register shall refuse registration and
shall notify the applicant in writing of the
reasons for such refusal." Section 205(a) states
that any "transfer of copyright ownership or other
document pertaining to a copyright may be recorded
in the Copyright Office." These provisions,
together with other pertinent sections of the law,
constitute the statutory basis for the examining
and related practices of the Copyright Office.

Copyright Office Regulations. The Register of
Copyrights is authorized by section 702 of the
copyright law to establish, subject to the approval
of the Librarian of Congress, regulations not
inconsistent with law for the administration of
the functions and duties made the responsibility of
of the Register. The Copyright Office Regulations,
including those relating to examination, registra-
tion, and recordation, are embodied in Title 37 of
the Code of Federal Regulations.

107

The establishment, maintenance, and availability of
a public record. The foregoing constitute the
basis for the establishment and maintenance by the
Copyright Office of a reliable and useful public
record which includes all registrations of copy-
right claims and recordations of documents
pertaining to copyrights. This record is made
available to the public by the Copyright Office
through (1) the issuance of certificates of copy-
right registration which attest that registration

## 100-3

107

The establishment, maintenance, and availability of a public record. (cont'd)

has been made and which may constitute prima facie evidence of the validity of the copyright and of the facts stated in the certificate, (2) the publication of the Catalogs of Copyright Entries, which provide the basic facts of registration for all registered works, (3) the issuance of certi- ficates certifying that transfers of copyright ownership or other documents pertaining to copy- rights have been recorded, (4) the issuance of certified copies of applications, deposit copies, documents, and various other materials submitted to the Copyright Office in connection with registra- tions and recordations, (5) the maintenance in the Copyright Office of the Copyright Card Catalog, for public use in searching for completed registrations and recorded documents, and (6) the providing of a Copyright Office reference service to furnish, by means of written search reports, the facts of registration and recordation contained in the files of the Office. This system depends, for its reliability and usefulness, primarily upon the examination process.

108

The examination process. The examination process, which is the principal means of creating and main- taining a reliable and useful public record, includes the examination of (1) the copies or phonorecords of works submitted for registration, (2) the application for registration, (3) all other material and correspondence submitted with the claim, and (4) copies of any Copyright Office correspondence relating to the registration of the claim.

108.01

Nature of examination, Examination is made

to determine (1) whether or not the work for which registration is sought constitutes copy- rightable subject matter and (2) whether or not the other legal and formal requirements have been met, including those set forth in the Copyright Office Regulations and in the Com- pendium of Copyright Office Practices.

108 The

examination process. (cont'd)

108.02

Scope of examination. The Copyright Office registers claims to copyright whenever the requirements of the law appear to be met. It does not grant copyrights.

108.03

Comparison of works. The Copyright Office does not generally make comparisons of copyright deposits to determine whether or not particular material has already been registered.

108.04

Extent of copyright claims. In general the registration of a claim to copyright is con- sidered to extend to all the component parts of the work which are the subject matter of copy- right and in which the applicant has the right to claim on the basis of the particular appli- cation under consideration. Where part of the work was previously published or was covered by a previous registration, the copyright claim as reflected in the application should generally be limited to the new material covered by the claim being registered. Also, where a work contains material which is unpublished and unregistered, and where the claim does not extend to such material, the application should reflect this limitation in the scope of the registration. Moreover, the coverage of a registration cannot, subject to certain exceptions, extend beyond the material deposited to make that registration.

108.05

Factual determinations. In connection with Its examining and related activities, the Copyright Office does not ordinarily make findings of fact with respect to publication Office. or any other thing done outside the Copyright

108.05 (a)

Requests for explanation. The Copyright Office reserves the right to request, in appropriate cases, explanations of state- ments made by an applicant.

108 The

examination process. (cont'd)

108.05

Factual determinations. (cont'd)

108.05 (b) 108.06

Administrative notice. The Copyright Office may take notice of matters of general knowledge. It may use such knowl- edge as the basis for questioning applica- tions that appear to contain or be based upon inaccurate or erroneous information.

Adverse claima. The sequence of receipt in the Copyright Office of separate claims by two or more applicants plays no part in determining registrability. Where the Copyright Office is aware that two or more persons or organizations are adversely claiming copyright in, and are seeking separate registrations for, the same material, the Office may inform each applicant of the existence of the other claim(s) and inquire concerning the basis of each claim, All such claims will be registered if they are reasserted and if they are in order as con- firmed by the response to the Copyright Office inquiry. The Copyright Office does not conduct "opposition" or "interference" proceedings such as those provided by the Federal trademark and patent laws.

108.07

The rule of doubt. The Copyright Office will register the claim even though there is a reasonable doubt about the ultimate action which might be taken under the same circum- stances by an appropriate court with respect to whether (1) the material deposited for registration constitutes copyrightable subject matter or (2) the other legal and formal requirements of the statute have been met.

108.08

Cautionary or warning letters. When regis- tration is made under the rule of doubt, the Copyright Office will ordinarily send a letter to the applicant cautioning that the claim may not be valid and stating the reason; and such letter may warn, where appropriate, that the

## 100-6

108

The examination process. (cont'd)

108.08

Cautionary or warning letters. (cont'd)

problem may exist for future works and point out how it can be avoided. The Office may send the letter and withhold the application until specifically authorized by the applicant to make registration, or it may make registra- tion before sending the letter.

108.09

Refusal to register. The Copyright Office will not register a claim where (1) the material deposited does not constitute copyrightable subject matter or (2) the claim is invalid for any other reason. See also section 108.07 above concerning the rule of doubt. The Office will notify the applicant in writing of the reasons for such refusal.

108.10

Obscene or pornographic works. The Copyright Office will not ordinarily attempt to examine a work to determine whether it contains material that might be considered obscene or pornographic.

108.11

Works containing classified information. When, in examining or processing materials received in the Copyright Office, it is noted that such material contains, or reasonably appears to contain, information classified by the U.S. Government for such reasons as national defense or national security, (1) the appropriate security official of the Library of Congress should be immediately notified through super- visory channels, (2) the material should be held or disposed of in accordance with instructions from that official, and (3) the examination or other processing of the material by the Copyright Office should be suspended until the matter is resolved.

109

Communications between the applicant and the Copy-

right Office. Communications between the Copyright Office and applicants may be by letter or other written means, by telephone, or by personal inter- view.

109

right Office. (cont'd) Communications between the applicant and the Copy-

109.01

In general. As a general policy the Copyright Office may register claims without communica- ting with the applicant whenever possible. The Copyright Office will communicate with the applicant before registration only when the claim as a whole is not in substantial compli- ance with the practices of the Copyright Office as reflected in this Compendium.

109.02

Copyright Office communications. All Copyright Office communications should be clear in meaning. concise in statement, and polite in tone.

109.03

Opinions and advice. Copyright Office communi- cations that result from the examination of claims should be limited to questions concern- ing registration and related matters. They should conform to the general policy of the Copyright Office by avoiding the expression of opinions or the offer of advice on such matters as the rights of persons in connection with contracts or alleged infringements. Also, there should be no offer or undertaking to resolve disputes concerning conflicting claims to copyright or similar matters. See section 108.06 above, concerning adverse claims.

109.04

One letter concerning more than one applica-

tion. When more than one application is sub- mitted to the Copyright Office by an applicant in one package, the Office will ordinarily attempt to deal in a single letter with all of those applications which require correspon- dence, rather than produce a separate letter for each one. Also, the Office may deal in one letter with materials received separately from a single applicant.

109.05

Communications from applicants. The Copyright Office will generally consider all statements and materials submitted by applicants, However, any abusive or scurrilous written materials

109

Communications between the applicant and the Copy-

right Office. (cont'd)

109.05 109.06 110

Communications from applicants. (cont'd)

directed to the Office or any of its employees will be returned unanswered; see 37 C.F.R. 201.2(c) (4). Similarly, Copyright Office employees will terminate any conversation or interview, if an applicant makes abusive or scurrilous statements, or engages in threatening behavior.

Languages. The Copyright Office will ordi- narily write to applicants only in the English language and will ordinarily conduct conver- sations and interviews with applicants only in English. As a general rule, the Office is willing to entertain applications and record documents that are in languages other than English, and to deal with correspondence from applicants which is in a language other than English. In special cases, however, the Office may require the submission of an English translation of statements on applicatione, documents, or correspondence before it takes action. Applicants. The applicant for registration may be the author or other copyright claimant, or the owner of exclusive right(s) in the work. Moreover, a duly authorized agent may apply for registration on behalf of such author, claimant, or owner.

110.01

Minors. The author, claimant, or owner can be a minor, even though State law may regulate or control business dealings involving minors. The Copyright Office will generally accept an application submitted either by a minor or by the minor's parents or guardian, if it is otherwise in order.

110.02

Mental incompetents. The author, claimant, or owner can be a mentally incompetent person. If a committee or guardian has been appointed for a person adjudged to be incompetent, such committee or guardian should generally serve as agent of the applicant.

## 100-9

110

Applicants. (cont'd)

110.03

Prisoners. The author, claimant, or owner can be an inmate of a prison or other penal insti- tution. The Copyright OFfice will generally accept an application submitted by such a person as applicant, if it is otherwise in order.

110.04

Paupers. There is no provision of law which requires or permits the waiver or reduction of the registration fee or any other registration requirement of the copyright law on the grounds that the applicant is a pauper or is otherwise impecunious.

110.05

Agents. Any duly authorized agent may act on behalf of the applicant. The Copyright Office will generally accept the statement of a person that he or she is acting as the agent of the author, claimant, or owner, However, the Office may, in special cases, request such agent to submit documentation showing that he or she is empowered to act for the author, claimant, or owner. Where such author, claimant, or owner is other than a natural person ( for example, where a corporate entity is the claimant), the application must be sub- mitted by a natural person acting as agent. The name of a corporate entity or other organi- zation is not acceptable as the signature of the applicant or agent unless it is accompanied by the signature of a natural person authorized to sign on behalf of such entity or organiza- tion.

110.06

Attorneys. The Copyright Office does not require that the author, claimant, or owner be represented by an attorney, although the Office may suggest in special cases that the applicant consider seeking the advice of an attorney. No special qualifications or test is imposed on lawyers as a condition to dealing with the Copyright Office.

110

Applicants. (cont'd)

110.07

False representation. The copyright law pro- vides that any person who knowingly makes a false representation of a material fact in an application for registration, or in any written statement filed in connection with an appli- cation, shall be guilty of a criminal offense and shall be fined not more than $2,500. See 17 U.S.C. 506(e).

111 112

Territorial limitations. The U.S. copyright law has no extraterritorial effect in that generally its provisions with respect to infringement extend only to violations occurring in the United States. Since the practices of the Copyright Office spring solely from the U.S. law, ordinarily the Compendium of Copyright Office Practices deale only with U.S. copyright, unless it expressly states otherwise. Recordations and Import Statements. The basic policies set forth above also apply, with some few alterations and exceptions, to the recordation of transfers of copyright ownership and other docu- ments pertaining to copyrights, and to requests for the issuance of Import Statements. See Chapter 1200: MANUFACTURING PROVISIONS, and Chapter 1500: CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY REGISTRATIONS.

[END OF CHAPTER 100]

### Outline of Topics

201
202

Copyrightable matter: in general.
Original works of authorship.

202.01
202.02

Originality.
Authorship.

203
204

Fixation.

Compilations and derivative works.

204.01

Compilations defined.

204.02

Derivative works defined.

204.03
Standards for copyrightability of compilations
and derivative works.

204.04
Status of compilations and derivative works
unlawfully employing preexisting copyrighted
material.

204.05

Musical arrangements made under the compulsory
license for phonorecords.

204.06

Ephemeral recordings.

205

National origin.

206

Government works.

206.01

Edicts of government.

206.02

U.S. Government works.

206.03

Copyrightable government works.

Copyrightable matter: in general. The clause of
the U.S. Constitution cited in section 102 of Chap-
ter 100: BASIC POLICIES, as the basis for the copy-
right law empowers Congress to secure to authors
the exclusive right in their writings. Based on
this provision, the current copyright law, which
took full effect on January 1, 1978, provides that
copyright protection subsiste in original works of
authorship fixed in any tangible medium of expression
now known or later developed, from which they can
be perceived, reproduced, or otherwise communicated,
either directly or with the aid of a machine or
device; and the law specifies that works of author-
ship include the following categories: (1) literary
works; (2) musical works, including any accompanying
words; (3) dramatic works, including any accompanying
music; (4) pantomimes and choreographic works; (5)
pictorial, graphic, and sculptural works; (6) motion
pictures and other audiovisual works; and (7) sound
recordings. See 17 U.S.C. 102(a).

202

Original works of authorship. In order for a
work to be the subject matter of copyright under
the current law, it must be an original work of
authorship. Quality, aesthetic merit, ingenuity,
and uniqueness are not considered in determining
the copyrightability of a work.

202.01

Originality. A work must owe its origin to
the author in order for it to be original in
the copyright sense. The work must neither be
one in the public domain nor be copied from any
other work. The work need not be "novel, " that
is, new to the world; to be original it need
only be new to the author, that is, not taken
from any other source.

202.02
Authorship. In order to be an original work
of "authorship, " the work must contain at least
a certain minimum amount of original creative
expression.

202 Original

works of authorship. (cont'd)

202.02

Authorship. (cont'd)

202.02 (a)

De minimis. Works that lack even a certain minimum amount of original authorship are not copyrightable. Such works are often described as "de minimis, " in reference to the principle embodied in the Latin maxim "de minimis non curat lex."

202.02 (b)

Human author. The term "authorship" implies that, for a work to be copyrightable, it must owe its origin to a human being. Materials produced solely by nature, by plants, or by animals are not copyrightable.

202.02(c)

Ideas. The copyright law specifies that copyright protection does not extend to any idea, procedure, process, system, method of operation, concept, principle, or discovery, regardless of the form in which it is de- scribed, explained, illustrated, or embodied in a work. See: 17 U.S.C. 102 (b).

202.02(d)

Facts and events. A fact or event, as distinguished from the manner in which it is described in a particular work, is not copyrightable.

202.02 (e)

Computations and the like. To be an original work of authorship, the work must not be a mere computation based upon a concept or formula, or be the mere extrapo- lation or application of an idea or system, which would always produce substantially the same result whenever done correctly by anyone. For example, the computation of interest based upon a particular rate is not copyrightable, nor is the mere trans- position of music from one key to another. In connection with transposition, see Chapter 400: COPYRIGHTABLE MATTER - WORKS OF THE PERFORMING ARTS AND SOUND RECORDINGS.

202

Original works of authorship. (cont'd)

202.02

Authorship. (cont'd)

202.02 (f)

Useful articles. No copyright can subsist in a "useful article" as defined by the copy- right law. However, elements incorporated or embodied in a useful article that can be identified separately from, and are capable of existing independently of, the useful article may be copyrightable. See Chapter 500+ COPYRIGHTABLE MATTER - PICTORIAL, GRAPHIC, AND SCULPTURAL WORKS.

202.02 (g)

Blank forms. Blank forms, such as time cards, graph paper, account books, bank checks, scorecards, address books, report forms, order forms, and the like, which are designed for recording information and do not in themselves convey information or contain other copyrightable matter are not copyrightable. See 37 C.F.R. 202.1 (c).

202.02 (h)

Information that is common property. Works consisting entirely of information that is common property containing no original author- ship, such as, for example, standard calendars, height and weight charts, tape measures and rulers, schedules of sporting events, and lists or tablas taken from public documents or other common sources are not copyright- able. See 37 C.F.R. 202.1 (d) .

202.02 (i)

Words and short phrases. Words and short phrases such as names, titles, and slogans are not copyrightable. See 37 C.F.R. 202.01 (a).

202.02(j)

Familiar symbols, typeface, and design of printed material. Familiar symbols or designs, and mere variations of typographic ornamentation, lettering, or coloring, are

202

Original works of authorship. (cont'd)

202.02

Authorship. (cont'd)

202.02(j)

Familiar symbols, typeface, and design of printed material. (cont 'd) not copyrightable. See 37 C.F.R. 202.1(a) . Typeface is not copyrightable, nor is the design, format, or layout of books and other printed material. See Chapter 300: COPYRIGHTABLE MATTER - NONDRAMATIC LITERARY WORKS.

202.02 (k)

Listings. The mere listing of ingredients or contents is not copyrightable. See 37 C.F.R. 202.1 (a).

202.02(1)

Characters. The copyright law does not provide for the copyright registration of characters as such. However, original works of authorship describing, depicting, or embodying a character are registrable if otherwise in order.

202.02 (m)

Use of protected characters, names, and slogans. Occasionally, works incorpo- rate names, titles, or slogans whose utilization is subject to restrictions by other laws. As these restrictions have nothing to do with copyright, the incorporation of these elements does not prevent registration. Where the Copy- right Office is aware that a use of certain elements within a work may be in violation of existing law, it may inform the applicant of the possible restric- tion and direct the applicant to the agency involved. Some examples of re- stricted names and characters are: "Olympic," "Olympiad," (36 U.S.C. 380); "Wooday Owl" (18 U.S.C. 711a) ; and "Smokey Bear" (18 U.S.C. 711).

Original works of authorship. (cont'd)

202.03

Works in the public domain. Works in the
public domain in the United States cannot
be the subject of U.S. copyright protection.
Since such works may be copied and used by
anyone insofar as the U.S. copyright law
is concerned, they may be freely combined
with new matter or otherwise incorporated
or embodied in compilations or in abridg-
ments, adaptations, arrangements, drama-
tizations, translations, or other derivative
forms. If the new matter contains sufficient
original authorship to support a copyright,
registration may be based on such new matter.
However, in any such case, copyright extends
only to the new material and does not imply
any exclusive right in the public domain
material. Works in the public domain
include those whose once valid U.s. copyright
has expired and works otherwise dedicated to
the public either voluntarily or by operation
of law. Also considered part of the public
domain are edicts of government, which are
uncopyrightable for reasons of public policy:
see section 206.01 below. In addition, works
of the U.S. Government, that is, works prepared
by officers or employees of the U.S. Govern-
ment as part of such persons' official duties
are not copyrightable; see section 206.02
below.

203

Fixation. In order to be subject to copyright
registration, a work must be fixed in a tangible
medium of expression by or under the authority of
the author. A work consisting of sounds, images,
or both, that are being transmitted, is "fixed" if
a fixation of the work is being made simultaneously
with its transmission. See 17 U.S.C. 101 and 102.
Special problems with respect to the fixation of
sound recordings are treated in Chapter 400: COPY-
RIGHTABLE MATTER - WORKS OF THE PERFORMING ARTS
AND SOUND RECORDINGS.

204

Compilations and derivative works. The copyright law specifies that the subject matter of copyright includes compilations and derivative works but that copyright for a work employing preexisting material in which copyright subsists does not extend to any part of the work in which such material has been used unlawfully. See 17 U.S.C. 103(a). The law also specifies (1) that copyright in a compilation or derivative work extends only to the material contributed by the author of such work and does not imply any exclusive right in the preexisting material and (2) that the copyright in such work is independent of, and does not affect or enlarge the scope, duration, or subsistence of, any copyright in the preexisting material. See 17 U.S.C. 103 (b).

204.01

Compilations defined. The copyright law defines a "compilation" as a work formed by the collection and assembling of preexisting materials or of data that are selected, coordinated, or arranged in such a way that the resulting work as a whole constitutes an original work of authorship. The law also states that the term "compilation" includes "collective works, " which are works, such as a periodical issue, anthology, or encyclopedia, in which a number of contributions, constituting separate and independent works in themselves, are assembled into a collective whole, Hence, in effect, compilations are either (1) col- lective works, or (2) other compilations, the latter being works consisting of the collection and assembling of preexisting materials or data other than separate and independent works. See 17 U.S.C. 101.

204.02

Derivative works defined. The copyright law defines a derivative work" as a work based upon one or more preexisting works, such as a translation, musical arrangement, dramatization, fictionalization, motion picture version, sound recording, art reproduction, abridgment, con- densation, or other form in which a work may be recast, transformed, or adapted. The law also states that a work consisting of editorial

204
204.02

#### Compilations and derivative works. (cont'd)

Derivative works defined. (cont'd)

revisions, annotations, elaborations, or other
modifications which, as a whole, represent an
original work of authorship, is a derivative
work. See 17 U.S.C. 101.

204.03

##### Standards for copyrightability of compilations

and derivative works. The standards for the
copyrightability of compilations and derivative
works include the following requirements: (1)
they must be original works of authorship, and
(2) they must comply with the other provisions
of the law.

204.04

Status of compilations and derivative works
unlawfully employing preexisting copyrighted
material. Copyright protection for a work
employing preexisting material in which copy-
right subsists does not extend to any part of
the work in which such material has been used
unlawfully. See 17 U.S.C. 103 (a) .

\- This means that where a work is based on a
preexisting work, without authorization of
the copyright owner and unlawfully, the new
material may be subject to copyright pro-
tection only to the extent that it can be
separated from the preexisting work.

\- Where the new matter ( such as certain
editorial revisions, translations, and
musical arrangements) is inextricably
integrated with the preexisting work,
without authorization of the copyright
owner, registration for the new matter
cannot be made.

\- However, where the new matter ( such as new
lyrics set to an existing melody) is capable
of existing separately, registration may be
possible, even though the use may be an
infringement of the copyright in the pre-
existing work.

204

Compilations and derivative works.

(cont 'd)

204.05

Musical arrangements made under the compul- sory license for phonorecords. Where phono- records of nondramatic musical works are made under the compulsory license provisions of 17 U.S.C. 115, a new arrangement of the musical work may be made without the consent of the copyright owner of the preexisting work. However, such arrangement is not subject to copyright protection as a derivative work without the express consent of the copyright owner of the preexisting work, See Chapter 400: COPYRIGHTABLE MATTER - WORKS OF THE PERFORMING ARTS AND SOUND RECORDINGS.

204.06

Ephemeral recordings. The copyright law pro- vides that ephemeral recordings may lawfully be made of certain copyrighted works without the authority of the owners of copyright. However, transmission programs embodying such works are not subject to copyright protection as deri- vative works without the express consent of the owners of copyright in the preexisting works. See 17 u.s.c. 112.

205

National origin. The copyright law provides that all unpublished works otherwise subject to copy- right protection are registrable without regard to the nationality or domicile of the author. How- ever, the law provides that published works are subject to copyright protection and eligible for registration only under certain specified con- ditions relating to their national origin. See Chapter 1100: ELIGIBILITY.

206

Government works. Certain government works are subject to special rules.

206.01

Edicts of government. Edicts of government, such as judicial opinions, administrative rulings, legislative enactments, public ordinances, and similar official legal docu- ments are not copyrightable for reasons of public policy. This applies to such works whether they are Federal, State, or local as well as to those of foreign governments.

### Government works.

206.02 206.02(a)

U.S. Government works. The copyright law provides that works of the U.S. Government, defined in the law as works prepared by an officer or employee of the U.S. Government as part of that person's official duties, are not copyrightable. This provision applies to such works whether they are edicts of government or otherwise, However, the fact that a copyright may have been transferred to the U.S. Government is not determinative of its status. U.S.C. 101 and 105. Similarly, the fact that the work has been printed by the u.s. Government does not determine its copyright status.

Standard Reference Data Act. Under the Standard Reference Data Act, 15 U.s.c. 290e, the Secretary of Commerce may secure copyright on behalf of the United States as author or proprietor of any standard reference data that the Secretary prepares or makes available under the Act.

206.02 (b)

U.S. Postal Service. Works of the U.S. Postal Service, as now constituted, are not considered U.S. Government works.

206.02{a)

District of Columbia. Works of the govern- ment of the District of Columbia, as now constituted, are not considered U.S. Govern- ment works.

206.02 (d)

Commonwealth of Puerto Rico. Works of the government of Puerto Rico are not considered to be U.S. Government works.

206.02 (e)

Territorial areas under the jurisdiction of the U.S. Government, Works of the govern- mente of the organized territories" under the jurisdiction of the U.S. Government are acceptable for registration under the rule

206

Government works. (cont'd)

206.02

U.S. Government works. (cont'd)

206.02 (e)

Territorial areas under the jurisdiction of the U.S. Government. (cont 'd)

of doubt. Works of the territorial areas under the U.S. Government are U.S. Government works, ELIGIBILITY.

governments of other the jurisdiction of considered to be See Chapter 1100;

206.03

Copyrightable government works. Works (other than edicta of government) prepared by officers or employees of any government (except the U.S. Government) including state, local, or foreign governments, are subject to registration if they are otherwise copyrightable. In addi- tion, the copyright law specifies that works first published by the United Nations or any of its specialized agencies, or by the Organi- zation of American States, are subject to copy- right protection. See 17 U.S.C. 104 (b) (3); see also Chapter 1100: ELIGIBILITY.

[END OF CHAPTER 200]

COPYRIGHTABLE MATTER:
NONDRAMATIC LITERARY WORKS

Outline of Topics

301

Applicability of this chapter.

302

Definition: literary works.

303

Definition; nondramatic literary works.

304

Copyrightable literary expression.

305

Noncopyrightable material.

305.01

Names, titles, slogans, and other short
phrases.

305.02

Ideas, methods, or systems.

305.03

Measuring and computing devices.

305.04

Works consisting entirely of information
that is common property.

305.05

Blank forms.

305.06

Format or layout.

305.07

Book design.

305.08

Limits on copyrightability.

305.09

Use of protected characters, names, slogans,
symbols, and seals.

306

### Derivative works.

306.01
306.02

Extent of claim.
Types of nondramatic literary derivative
works.

307

Compilations.

307.01

307.02

Registrability.
Telephone books, directories, price lists,
and the like.

307.03

Coordination and arrangement.

308

Collective works.

308.01

In general.

308.02

Collective works made for hire.

308.03

Registration of collective works.

308.04

Periodicals other than daily newspapers.

308.05

Daily newspapers: various editions.

309

Certain periodicals not collective works.

310

Contributions to collective works.

310.01

All rights to an independent contribution owned by claimant of collective work.

311

Unit registration for contributions to periodi-

cals.

312

Book jackets.

[Number 313 is reserved].

314

Tests and answer material for tests.

315

Secure tests.

316

316.01

Letters and diaries.

317

Interviews.

318

Facts, historical data, and "news."

318.01

Research.

319

Author deceased before date of creation of work.

320

Machine-readable works.

320.01

Literary works embodied in machine-readable form.

321

Computer programs.

321.01

Source code.

321.02

Object code.

321.03

Relationship between source code and object code.

322

Copyrightable subject matter.

323

Derivative computer programs.

323.01

Registrability of a derivative computer program.

324

Deposit for registration: identifying material.

324.01

Title on identifying material.

324.02

Notice on identifying material.

324.03

Source code as best deposit.

324.04

Rule of doubt.

324.05

Special relief.

324.06

Specific deposit examples.

325

Completing the application form.

325.01

Asserting a claim in a derivative computer program.

325.02

Nature of authorship and extent of claim.

326

Glossary of terms.

327

Instructional booklets, flowcharts, and the

like.

328

Automated data bases.

)

Applicability of this chapter. This chapter
concerns itself solely with nondramatic literary
works.

301
302
Definition: literary works. Literary works are
defined as works, other than audiovisual works,
expressed in words, numbers, or other verbal or
numerical symbols or indicia, regardless of the
nature of the material objects, such as books,
periodicals, manuscripts, phonorecords, film,
tapes, disks, or cards, in which they are embod-
ied. 17 U.S.C. 101.

303

Definition nondramatic literary works. A

nondramatic literary work is one that explains,
describes, or narrates a particular idea, theme,
or subject; it does not usually employ dialog or
action to represent or give directions for rep-
resenting all or a substantial portion of a
story as actually occurring.

304
Copyrightable literary expression. To be regis-
trable, a nondramatic literary work must contain
at least a certain minimum amount of literary
expression owing its origin to the author. See
Chapter 200; COPYRIGHTABLE MATTER - IN GENERAL.

305

Noncopyrightable material. The following are
not copyrightable and therefore cannot serve as
a basis for registration.

305.01

Names, titles, slogans, and other short
phrases. Names, titles, slogans, and other
short phrases or expressions are not copy-
rightable, even if such expressions are
novel, distinctive, or lend themselves to a
play on words. Similarly, a mere listing of
ingredients or contente is not copyright-
able. See 37 C.F.R. 202.1(a) .

305

Noncopyrightable material. (cont'd)

305.02

Ideas, methods, or systems. Ideas, methods, systems, or the like are not copyrightable, regardless of the form in which they may be described, explained, or embodied in a work. In no case does copyright protection for an original work of authorship extend to any idea, procedure, process, system, method of operation, concept, principle, or discovery, regardless of the form in which it is de- scribed, explained, illustrated, or embodied in such work. See 17 U.S.C. 102 (b) .

305.03

Measuring and computing devices. Devices and similar articles designed for computing and measuring are not copyrightable. Common examples of such devices are slide rules, wheel dials, and nomograms that contain insufficient original literary or pictorial expression.

305.04

Works consisting entirely of information that is common property. Examples of these kinds of works include standard calendars, height and weight charts, tape measures and rulers, schedules of sporting events, and lists or tables taken from public documents or other common sources. However, such a work may contain sufficient copyrightable material, such as instructional text, to warrant a registration, but such a registra- tion would not extend protection to the uncopyrightable material. See 37 C.F.R. 202.1 (d) .

305.05

Blank forms. Blank forms, such as time cards, graph paper, account books, diaries, bank checks, scorecards, address books, report forms, order forms, and the like, which are designed for recording informa- tion, and do not in themselves convey infor- mation, are not copyrightable. See 37 C.F.R. 202.1(c) . However, the Copyright

300-3

305

Noncopyrightable material. (cont'd)

305.05

Blank forms. (cont'd)

Office will register a work containing a certain minimum amount of original, creative expression, regardless of whether the work contains uncopyrightable elements designed for simple recordation of information. Thus, textual works, such as contracts, insurance policies, and the like, and bank checks containing pictorial authorship, may be registrable if they contain a sufficient amount of original literary or artistic expression.

305.06

Format or layout. Copyright does not pro- tect either the general format or layout, or the idea expressed by either of these.

305.07

Book design. Book designs may include choice of style and size of typeface, lead- ing ( space between lines of type), placement of folio (page numbers), arrangement of type on pages, and placement, spacing, and juxta- position of text and illustrative matter -- in short, all the physical and visual at- tributes of a book. After having issued a notice of proposed rulemaking and having held a hearing, the Copyright Office decided not to change its long-standing practice of not registering claims to copyright in book design. The Office concluded that "the arrangement, spacing, or juxtaposition of text matter which is involved in book design falls within the realm of uncopyrightable ideas or concepts." See 46 Fed. Reg. 30651 (1981) .

305.08

Limits on copyrightability. Certain catego- ries of nondramatic literary works are not copyrightable, even though they may contain a substantial amount of textual material. They include the following:

[1984]

305 Noncopyrightable

material. (cont'd}

305.08 Limits

on copyrightability. (cont'd)

305.08 (a)

Works in the public domain. Works in the public domain in the United States cannot be the subject of u.S. copyright protection. See section 203 of Chapter 2001 COPYRIGHTABLE MATTER - IN GENERAL.

305.08(b)

Nondramatic literary works unlawfully

employing other works under copyright

protection. Nondramatic literary works that unlawfully employ another work under copyright protection are not them- selves subject to copyright protection if they are inseparably intertwined with the preexisting work. See 17 U.s.C. 103(a) and H.R. Rep. 94-1476, 94th Cong., 2d Sess. 57-8 (1976). For exam- ple, an unlawful English-language trans- lation that cannot be separated from the original French-language version would not be registrable. However, the Copy- right office does not generally investi- gate the copyright status of preexisting material or whether it has been used lawfully. Where a work unlawfully em- ploys preexisting copyrighted material that is separate from the new material, the new work is registrable.

305.08(c)

Works of the U.S. Government. Works of the U.S. Government are works prepared by an officer or employee of the u.s. Government as part of that person's official duties. Ordinarily, such works are in the public domain in the United States. See section 206 of Chapter 200: COPYRIGHTABLE MATTER -- IN GENERAL.

300-5

305

Noncopyrightable material. (cont'd)

305.08

Limits on copyrightability. (cont'd)

305.08(c)

Works of the U.S. Government. (cont'd)

305.08(c)(1)

Standard Reference Data Act. An exception exists under the Standard Reference Data Act (15 U.S.C. 290e) for any standard reference data that the Secretary of Commerce prepares or makes available under the Act. Claims registered under this Act should be annotated to read as follows: "Claim registered under the Standard Reference Data Act, P.L. 90-396 (15 U.s.C. 290e)."

305.08(c) (2)

Transfer of copyright to the U.S.

Government. The fact that copyright protection is not possible for works authored by officers or employees of the U.S. Government, except as stated in section 305.08 (c) above, does not prevent the U.S. Government from receiving and holding copy- rights transferred to it. See 17 U.S.C. 105.

305.08 (d)

Edicts of government. Edicts of govern- ment, such as judicial opinions, admin- istrative rulings, legislative enact- ments, public ordinances, and similar official legal documents, are not copy- rightable for reasons of public policy. This applies to such works whether they are Federal, State, or local as well as to those of foreign governments.

305.09 or

Use of protected characters, names, slogans,

symbols, and seals. Occasionally, works Incorporate names, titles, slogans, symbols, seals whose utilization is subject to restrictions by other laws. As these re- strictions have nothing to do with copy- right, the incorporation of these elements

305

Noncopyrightable material. (cont'd)

305.09

Use of protected characters, names, slogans,

symbols, and seals. (cont "d) does not prevent registration. Where the Copyright Office is aware that a use of certain elements within a work may be in violation of existing law, it may inform the applicant of the possible restriction and direct the applicant to the agency involved. Some examples of restricted names and char- acters are "Olympic," "Olympiad" (36 U.S.C. 380); "Woodsy Owl" (18 U.S.C. 711a); and "Smokey Bear" (18 U.S.C. 711).

306

Derivative works. A derivative work is a work based upon one or more preexisting works, such as a translation, musical arrangement, dramati- zation, fictionalization, motion picture ver- sion, sound recording, art reproduction, abridgment, condensation, or any other form in which a work may be recast, transformed, or adapted. A work consisting of editorial revi- sions, annotations, elaborations, or other modi- fications which, as a whole, represent an original work of authorship, is a "derivative work." 17 U.S.C. 101.

306.01

Extent of claim. The copyright in a deriva- tive work extends only to the material con- tributed by the author of such work, as distinguished from the preexisting material employed in the work, and does not imply any exclusive right in the preexisting material. The copyright in such work is independent of, and does not affect or enlarge the scope, duration, ownership, or subsistence of, any copyright protection in the pre- existing material. 17 U.S.C. 103(b), Where a work contains a substantial amount of previously registered, published, or public domain material, the application should contain a statement of the preexisting mate- rial as well as the new copyrightable mate- rial.

300-7

306

Derivative works. (cont'd)

306.02 306.02 (a)

Types of nondramatic literary derivative works. Examples of nondramatic literary derivative works are as follows: Translations. A translation is a ren- dering of a work from one language to another, as, for example, a work trans- lated from Russian into French, or from German into English. However, trans- literations and similar processes by which letters or sounds from one alpha- bet are converted to another are not copyrightable since the conversion is merely a mechanical act. Thus, merely changing a work from the Cyrillic to the Roman alphabet would not be copyright- able.

306.02 (b)

Fictionalizations. A fictionalization is a treatment of a factual work in which the elements are recast, trans- formed, or adapted to produce a work of fiction. A work which is only loosely based on the ideas or facts found in an earlier work, is not considered to be a derivative work.

306.02 (c)

Abridgments. An abridgment is commonly defined as a shortened or condensed version retaining the general sense and unity of the original work. An abridg- ment of a nondramatic literary work may be registrable, but more selectivity is required than merely omitting a section from the beginning or end.

307

Compilations. A "compilation" is a work formed by the collection and assembling of preexisting materials or of data that are selected, coordi- nated, or arranged in such a way that the re- sulting work as a whole constitutes an original work of authorship. The term "compilation" includes collective works. 17 U.S.C. 101.

307

Compilations. (cont'a)

307.01

Registrability. A compilation is regis- trable if its selection, coordination, or arrangement as a whole constitutes an origi- nal work of authorship. The greater the amount of material from which to select, coordinate, or order, the more likely it is that the compilation will be registrable. Where the compilation lacks a certain mini- mum amount of original authorship, registra- tion will be refused. Any compilation consisting of less than four selections is considered to lack the requisite original authorship. See also section 625 of Chapter 600: REGISTRATION PROCEDURES. Examples :

(1)

The selection and ordering of 20 of the best short stories of 0, Henry would be registrabla as a compilation.

(2)

Where all three of an author's plays were previously published and the prasent publication consists of all three plays, no registration based on compilation authorship is possible.

307.02

Telephone books, directories, price lists, and the like. Telephone books, directories, price lists, and the like may be registered if they contain sufficient authorship in the form of compilation or other copyrightable material.

307.03

Coordination and arrangement, Reference to "coordinated" or arranged," as used in the definition of a "compilation" in 17 U.S.C. 101, does not refer to format, but to the original ordering or grouping of the items.

308

Collective works. A collective work is a work,

such as a periodical issue, anthology, or ancy- clopedia, in which a number of contributions, constituting separate and independent works in themselves, are assembled into a collective whole. 17 u.s.c. 101.

308

## Collective works. (cont'd)

308.01

In general. Generally, collective works
incorporate two different types of material:
first, the collective work as a whole, which
includes the elements of compilation, revi-
sion, editing, and similar authorship that
goes into putting the work into final form;
and secondly, any individual, self-contained
contributions.

308.02

Collective works made for hire. The collec-
tive work as a whole is often a work made
for hire, and in such cases, the author is
the employer or other person for whom the
work was prepared. See 17 U.S.C. 201 (b).

308.03

Registration of collective works. For a
collective work, the application should
generally contain the title of the collec-
tive work, and the volume, number, and issue
date, if any, in the appropriate space on
the application form.

308.04

Periodicals other than daily newspapers. The
following practices govern the registra-
bility of periodicals other than daily news-
papers:

308.04 (a)

Separate editions. Where an issue of a
periodical is published in two or more
separate editions containing different
copyrightable matter, separate registra-
tions may be made.

Examples :

1\) English, Spanish, and French edi-
tions of a magazine.

2\)
Eastern, Midwestern, and West Coast
editions of a weekly news magazine,
in which some of the contents are
changed to correspond with the re-
gional interests of readers.

# 300-10

308

Collective works. (cont'd)

308.04 308.04 (b)

Periodicals other than daily newspapers. (cont'd)

Difference in advertising matter. Where the only difference between the editions is in advertising matter, separate reg- istrations will not be made unless the advertisements are asserted to belong to the copyright claimant for the periodi- cal.

308.04(c)

Difference in uncopyrightable elements. Where the only difference between the editions is in uncopyrightable elements such as typography, size, coloring, paper stock, or the like, separate reg- istrations will not be made.

308.05

Daily newspapers: various editions, A sin- gle registration may be made for the various editions of a daily newspaper or for a daily newspaper which contains different regional supplements. If the application for regis- tration refers to the various editions or supplements, the deposit must include such editions or supplements.

309

Certain periodicals not collective works, Cer- tain periodicals are not collective works since they consist entirely of a single contribution. The application should, in such event, assert a basis of claim in "text," if original, rather than "collective work."

310

Contributions to collective works. An indi- vidual contribution that was written indepen- dently and not as a "work made for hire" is con- sidered a separately copyrightable work. See 17 U.S.C. 201(c). Where the owner of copyright in a collective work has not obtained ownership of all rights initially belonging to the author of a particular contribution, such person cannot be the "claimant" of copyright in that contribu- tion. See 37 C.F.R. 202.3(a) (3). To register

Contributions to collective works. (cont'd)

such a contribution, a separate application must
be submitted naming as claimant the author of
the contribution, or the person or organization
that has obtained ownership of all rights in the
contribution that the author originally owned .

310.01
All rights to an independent contribution
owned by claimant of collective work, Where
the copyright claimant in a collective work
is also the owner of all rights in a par-
ticular contribution, the author of that
contribution may be included as an author in
the appropriate space on the application
form. If such an individual author is iden-
tified on the application, the transfer
space should be completed showing how the
claimant obtained all rights in the contri-
bution. However, the Copyright Office does
not require that all authors of contribu-
tions covered by the copyright claim be
identified on the application.

311
312

Unit registration for contributions to periodi-
cals, The practices concerning unit regis-
Eration for contributions to periodicals will be
dealt with in Chapter 1400: GROUP REGISTRATIONS.

Book jackets. Book jackets often contain sev-
eral kinds of authorship such as text, illustra-
tions, and photographs. A claim in a book
jacket may be registered if it contains a suffi-
cient amount of copyrightable authorship. Where
the copyright claimant of the authorship in the
book jacket is not the same as the claimant in
the book, a separate registration must be made
for the book jacket. Where the claim in a book
jacket is based solely on "design," that is, the
arrangement, spacing, and juxtaposition of un-
copyrightable elements, registration will be
refused. See section 305.07 above.

Teste and answer material for tests. The Copy-
right Office will register claims to copyright
in tests and machine scorable answer sheets
provided the works contain a minimum level of
original textual or compilation expression. The
work may consist of a test, a test accompanied
by an answer sheet, or merely an answer sheet,
In a case where the work consists of an answer
sheet lacking textual expression, registration
can only be considered on the basis of substan-
tial compilation authorship and the application
should describe the extent of the claim as com-
pilation. All such registrations are made under
the rule of doubt. Answer sheets having insuf-
ficient elements on which to base a claim of
compilation authorship are not registrable. This
practice is in accord with the decision in
Harcourt, Brace & World, Inc. v. Graphic Con-
trols Corp., 329 F.Supp. 517, 38 C.O.Bull. 312
(S.D.N.Y. 1971) .

315

Secure tests. Secure tests are nonmarketed
tests administered under supervision at speci-
fied centers on specific dates, all copies of
which are accounted for and either destroyed or
returned to restricted locked storage following
each administration. For these purposes a test
is not marketed if copies are not sold but it is
distributed and used in such a manner that own-
ership and control of copies remain with the
test sponsor or publisher. This category encom-
passes tests used in conjunction with admissions
to educational institutions, high school
equivalency, placement in or credit for under-
graduate and graduate course work, awarding of
scholarships and professional certification.
See 37 C.F.R. 202.20(b) (4). In the case of
tests, and answer material for tests, published
separately from other literary works, the de-
posit of one complete copy will suffice in lieu
of two copies. In the case of any secure test,
the Copyright Office will return the deposit to
the applicant promptly after examination, pro-
vided that sufficient portions, description, or
the like are retained so as to constitute a
sufficient archival record of the deposit. See
37 C.F.R. 202.20(c) (2) (vi). For further infor-
mation on deposit, see Chapter 800: DEPOSIT POR
REGISTRATION.

Copyright ownership as distinct from ownership
of material object, Ownership of a copyright,
or of any of the exclusive rights under a copy-
right, is distinct from ownership of any mate-
rial object in which the work is embodied.
Transfer of ownership of the material object
does not of itself convey any rights in the
copyrighted work, nor, in the absence of an
agreement, does the transfer of ownership of a
copyright convey property rights in any material
object. See 17 U.S.C. 202.

316.01

Letters and diaries. In the case of let-
ters, the author of the letter and not the
recipient or possessor has the right to
claim copyright. Similarly, the mere pos-
session of a diary does not entitle the
possessor to claim copyright, regardless of
whether the material object was purchased or
found. Letters and diaries are often pub-
lished with additional new material such as
a foreword or explanatory notes; registra-
tion may be made for this new material,
provided that it represents at least a cer-
tain minimum amount of copyrightable author-
ship. However, applications for works con-
sisting of letters or diaries should contain
information regarding the author of these
works only where the claimant named on the
application is authorized to claim copyright
in this material. Where the author of the
letter or diary is named on the application
and is not also the claimant, the applica-
tion must state how the rights in the letter
or diary were transferred to the claimant.

317

Interviews. A work consisting of an interview
often contains copyrightable authorship by the
person interviewed and the interviewer. Each
has the right to claim copyright in his or her
own expression in the absence of a valid agree-
ment to the contrary. Where an application for
such a work names only the interviewee or the
interviewer as author and claimant, and where

317

Interviewe.
(cont'd)

the nature of authorship is described as "entire
text," it is unclear whether the claim actually
extends to the entire work, or only to the text
by the interviewee or the interviewer. In any
case where the extent of the claim is not clear,
the Copyright Office must communicate with the
applicant for clarification.

318

Facts, historical data, and "news." Works are
often submitted for registration which contain
"news" or other factual data, or which recount
historical events. A distinction should be made
between the original expression which the author
uses and the noncopyrightable data, news, or
facts which are set forth in the work. If it
appears that the applicant is seeking to extend
the claim to such uncopyrightable material, the
Copyright Office will generally communicate with
the applicant for clarification.

Research. The function or activity which
constitutes "research" is not copyrightable.
However, the expression embodied in the
product or result of research may be
copyrightable if it contains at least a
certain minimum amount of original author-
ship.

Author deceased before date of creation of work.

Where the application names as author an indi-
vidual who was deceased on the date of creation
of the work, and who is alleged to have dic-
tated his or her writings "from the beyond," the
Copyright Office will generally write to explain
the requirements of the law regarding authorship
and ownership. Ordinarily, works of this kind
will contain additional material, such as an
introduction, and registration may be made for
this material, provided there is sufficient
copyrightable authorship. Where the only author
named was deceased on the date of creation and
that person is named as claimant, the Office

318.01
319

319

Author deceased before date of creation of work.
{cont'd)

will refuse to register the claim, since a de-
ceased person cannot be a copyright claimant.
Where the deceased person is named as the only
author and another person or an organization is
named as claimant, the Office will also refuse
registration, since any "transfer" from the
deceased author to the claimant could not ful-
fill the requirement of the copyright law that
transfers of copyright ownership be in writing
and signed by the transferor.

320
Machine-readable works. A machine-readable work
is either an unpublished work which is fixed, or
a published work which is published only in the
form of machine-readable copies from which the
work cannot ordinarily be perceived except with
the aid of a machine or device. Works published
in a form requiring the use of a machine or
device for purposes of optical enlargement ( such
as film, filmstrips, slide films, and works pub-
lished in any variety of microform), and works
published in visually perceptible form but used
in connection with optical scanning devices, are
not within this category. Examples of nondra-
matic literary works which are machine-readable
are computer programs and data bases. Such
works may be embodied in the form of magnetic
tapes or disks, computer chips, punched cards,
or the like. See 37 C.F.R. 202. 20 (c) (2) (vii) .

320.01
321

Literary works embodied in machine-readable
form. Nondramatic literary works embodied
In machine-readable form include computer
programs and data bases, as well as other
textual works, such as, instructional
manuals, educational coursework, and the
like.

Computer programs. A "computer program" is a
set of statements or instructions to be used
directly or indirectly in a computer in order to
bring about a certain result. 17 U.S.C. 101.

321

Computer programs.
( cont'd)

Because computer programs do not generally con-
tain textual information, the claim to copyright
in a computer program is generally made on the
basis of authorship expressed in "numerical
symbols or indicia" contained in the program.
Computer programs are ordinarily considered
"literary works" and can be considered for reg-
istration on Form TX.

Examples:

1\) A program that calculates the orbit of a
rocket.

2\) A program that computes wages and salaries
for a payroll.

3\)
A self-teaching mathematics program for
elementary students.

321.01

Source code. Source code is the computer
program code as the programmer writes it,
using a particular programming language,
generally a program written in high-level
language, such as, BASIC, COBOL, or FORTRAN.
A program in source code must be changed
into object code before the computer can
execute it. This change is accomplished by
a separate program within the computer
called an assembler or a compiler to enable
the program to be run on a particular brand
and model computer (e.g., a compiler on a
TRS-80 Model III would enable source code to
be executed on that particular brand and
model computer).

321.02
Object code. Object code is the representa-
tion of the program in machine language
(e.g., binary coding using zeros and ones or
hexadecimal coding using letters and numbers
or octal coding using 0 to 7) which the
computer executes.

## Computer programs. ( cont 'd)

321.03

Relationship between source code and object
code. The Copyright Office considers source
code and object code as two representations
of the same computer program. For registra-
tion purposes, the claim is in the computer
program rather than in any particular repre-
sentation of the program. Thus separate
registrations are not appropriate for the
source code and object code representations
of the same computer program. However,
where a work in source code is registered in
unpublished form, and the published version
of the same work is submitted for registra-
tion in object code form, registration will
be made .

322

Copyrightable subject matter. To be registra-
ble, a computer program must contain at least a
certain minimum amount of original authorship in
the form of statements or instructions.

323

Derivative computer programs. A derivative
computer program is one that is based on or
incorporates material from a previously pub-
lished or registered or public domain program
that has been revised, augmented, abridged, or
otherwise modified so that the modifications, as
a whole, represent an original work of author-
ship. See also section 306 above.

## 323.01

## Registrability of a derivative computer

program. Registration for a derivative
computer program covers only the additions,
changes, or other new material appearing in
the program for the first time. Therefore,
the new material itself must be original and
represent copyrightable authorship. Where
only a few minor revisions or additions have
been made, or where those that were made are
of a rote nature predetermined by the
functional considerations of the hardware,
registration for the new material is not
possible.

## Derivative computer programs. (cont'd)

### 323 323.01 Registrability of a derivative computer program. (cont'd)

#### Examples :

1\) A derivative program would be registra-
ble where a substantial new program code
has been added to a previously published
program to enable it to accomplish addi-
tional functions.

2\)
A student-programmer translates a previ-
ously published program from COBOL to
FORTRAN [both are source-code program-
ming languages]. The resulting transla-
tion would represent a copyrightable
derivative work.

3\)
A previously published program is
adapted to run on a different model or
brand of computer. The Office will
question the nature and extent of the
adaptation to determine registrability.
If the changes were functionally prede-
termined, registration will be refused.

4\)
An applicant files two applications for
the same program: one specifically for
the source code and the other for the
object code. Since the object code
version does not contain copyrightable
differences, there is no basis for a
separate registration for the object
code. The Office will communicate with
the applicant suggesting a single
registration for the computer program.

324

### Deposit for registration: identifying material.

Where a computer program is fixed or published
only in the form of machine-readable copies, the
deposit for registration purposes shall consist
of one copy of identifying portions of the pro-
gram, reproduced in a form visually perceptible
without the aid of a machine or device, either
on paper or in microform. For these purposes,

## 324 Deposit for registration: identifying material. (cont'd)

"identifying portions" shall mean either the
first and last 25 pages or equivalent units of
the program if reproduced on paper, or at least
the first and last 25 pages or equivalent units
of the program if reproduced in microform, to-
gether with the page or equivalent unit contain-
ing the copyright notice, if any. See 37
C.P.R. 202.20 (c) (2) (vii). If the computer pro-
gram is less than 50 pages in length, the entire
program should be deposited. For registration
of a derivative computer program, identifying
portions of the new material should be included
in the deposit.

NOTE: Works fixed or published in both
machine-readable and visually-perceptible form
are not considered machine-readable works for
purposes of deposit for registration. The
appropriate deposit requirements for the
visually-perceptible form apply. See section
806.12 of Chapter 800: DEPOSIT FOR REGISTRA-
TION.

324.01

Title on identifying material. The identi-
fying material deposited should bear a title
clearly identifying the work for which reg-
istration is sought. Where the title is
given on the application but not on the
identifying material ( for a published or
unpublished work), the Copyright Office will
add the title to the identifying material if
it is clear that the identifying material
represents the work specified on the appli-
cation.

324.02

Notice on identifying material. The identi-
fying material should include the page or
equivalent unit containing the copyright
notice if copies of the computer program
were published with notice. Where the copy-
right notice is encoded within the object

# 300-20

324

Deposit for registration: identifying material.

(cont'd)

324.02

Notice on identifying material. (cont'd) code so that its presence and content are not readily discernible, the notice should be underlined or highlighted and its con- tents decoded.

324.03

Source code as best deposit, The Copyright Office considers the source code to be the best representation of the copyrightable authorship in a computer program. Thus the identifying material deposited for a com- puter program should be in source code.

324.04

Rule of doubt. Where the applicant is unable or unwilling to deposit identifying material in source code, depositing only object code instead, registration for the computer program will be made under the rule of doubt if the applicant confirms in writ- ing that the work as deposited contains copyrightable material. See also section 108.07 of Chapter 100: BASIC POLICIES. NOTE: Because object code is basically unintelligible to copyright examiners, it is not possible to examine the deposit to de- termine the presence of copyrightable au- thorship. The doubt in this instance does not concern the copyrightability of computer programs in general.

324.05

Special relief. Special relief is a proce- dure which allows the Register of Copyrights to grant the requester the option of depositing less than or other than that which is required under the general deposit provisions. Special relief is an option available to computer program applicants when they are unable or unwilling to deposit the usual identifying material in source code format. See section 808 of Chapter 800: DEPOSIT FOR REGISTRATION; see also 37 C.F.R. 202. 20 (d) .

300-21

324

Deposit for registration: identifying material.

(cont 'd)

324.05

Special relief. (cont'd)

324.05 (a)

Trade secrets and special relief. When a computer program contains trade se- crets or other confidential material that the applicant is unwilling to dis- close by depositing the first and last 25 pages in source code, the Copyright Office is willing to consider special relief requests enabling the applicant to deposit less than or other than the usual 50 pages of source code. Special relief requests for the following three deposit options are presently being granted upon receipt of the applicant's written request for special relief: 1) First and last 25 pages of source code with some portions blocked out, provided that the blocked-out portions are proportionately less than the material still remaining.

2) At least the first and last ten pages of source code alone (with no blocked-out portions).

3) First and last 25 pages of object code plus any ten or more consecu- tive pages of source code (with no blocked-out portions).

324.06

Specific deposit examples. The following examples concern various deposit situations. 1) Source code and object code with one application. Where the first and last 25 pages each of source code and object code ( total of 100 pages) are deposited with one application on Form TX for a single computer program, the registra- tion is made using the combined source code and object code identifying mate- rial.

300-22

324

Deposit for registration: identifying material.

324.06

(cont'd)

Specific deposit examples. (cont'd) 2) Object code only. When the identifying material is deposited only in object code, the Copyright Office will corre- spond with the applicant requesting either the deposit of source code or, as a prerequisite to registration under the rule of doubt, the applicant's written confirmation that the computer program represented by the object code deposit contains copyrightable authorship. 3) Object code plus other clearly copy- rightable material. If the deposit consists of identifying material in object code for a computer program plus other clearly copyrightable material ( such as a user's manual) and the single claim is in the entire work, there is still doubt as to the presence of copy- rightable authorship in the computer program even though the claim includes clearly copyrightable text in the man- ual. The Copyright Office will communi- cate with the applicant about the de- posit of object code and request either the deposit of source code or, as a prerequisite to the computer program portion of the claim being registered under the rule of doubt, the applicant 's written assurance that the computer program as deposited represents copy- rightable authorship.

4) Incomplete deposit of identifying mate- rial. If the identifying material is less than 50 pages in length, the Copy- right Office will consider that the deposit constitutes the entire program for which registration is sought. How- ever, if there is information to the contrary ( such as missing page numbers or obvious wide gaps in line numbers), the Office will inquire as to the com- pleteness of the deposit.

## 324 Deposit for registration: identifying material. (cont 'd) 324.06 Specific deposit examples. ( cont'd)

5\)
Single application for computer program
and manual published as a unit. When
the deposit consists of one copy of
identifying material plus one copy of
the published manual, the Copyright
Office will not require deposit of a
second copy of the published manual,

6\)
Separate applications for computer pro-
gram and manual published as a unit. If
the deposit for these two claims con-
sists of one copy of identifying mate-
rial for the computer program and one
copy of the published manual, the Copy-
right Office will raquest a second copy
of the published manual.

325

Completing the application form. An application
for registration of a computer program should be
completed with regard to the copyrightable au-
thorship in the computer program. For example,
an application describing the authorship or
extent of claim as "object code" will be ques-
tioned.

325.01

Asserting a claim in a derivative computer
program. ordinarily, the application for a
derivative computer program should limit the
claim to the copyrightable new material,
excluding the preexisting material that was
previously registered or published or that
is in the public domain. To limit the claim
appropriately in such cases, the "material
added" statement on the application should
be completed.

300-24

325

Completing the application form. (cont'd)

325.01

Asserting a claim in a derivative computer program. (cont'd)

325.01 (a)

When a "material added" statement is not required. When the preexisting material has never been registered or published or when the amount of preexisting mate- rial is not substantial, the "material added" statement on the application need not be completed. Examples:

1) A computer program entitled "X-103 Program, Version 3" incorporating material from two earlier develop- mental versions that remained un- registered and unpublished would not be considered a derivative computer program for registration purposes. No "material added" statement would be required.

2) The application for a derivative program containing a total of 5,000 lines of program text, 50 of which were published previously, would not be required to give a "material added" statement. However, if such a statement were given, the Office would not ask to have it deleted.

325.01 (b)

When a "material added" statement is

required. The Copyright Office will require a "material added" statement on an application for a derivative computer program only when the previously pub- lished or registered or public domain material contained in the new version of the program is substantial or, in rela- tion to the work as a whole, represents a significant portion of the work.

### Completing the application form. (cont'd)

325.02
Nature of authorship and extent of claim.

'In an application for an entirely new com-
puter program, the "nature of authorship"
space is intended not only to describe the
authorship but is also intended to delineate
the extent of the claim. In an application
for a derivative computer program, the
"material added" statement generally
delineates the extent of the claim. NOTE:
For specific definitions of the terms listed
below, see the Glossary of Terms in section
326 below. The following lists are illus-
trative and not exhaustive.

## 325.02 (a)

Copyrightable elements. The following
descriptions of authorship or of mate-
rial added will ordinarily not be ques-
tioned:

\- computer program

\- entire computer code

\- entire program

\- entire program code

\- entire text

\- entire work

\- module, new modules, revised modules

\- program

\- program instructions

\- program listing

\- program text, programming text

\- revised program

\- routine, new routines, revised rou-
tines

\- software, computer software

\- subroutine, new subroutines, revised
subroutines

\- text

\- text of computer game

\- text of . . . (except "text of object
code" or "text of algorithm")

\- text of program

\- translation from ( one programming
language) to (another programming
language )

\- wrote program

325.02
Nature of authorship and extent of claim.
( cont d)

325.02 (b)

Unclear elements. The following terms
as commonly used with reference to com-
puter software may or may not represent
copyrightable authorship. Therefore,
the Copyright Office will generally
question an application describing the
claim or the authorship in these terms:

adaptation or translation (where
program appears to have been adapted
merely to run on different hardware)
compilation

debugging
enhancements

error corrections

-features

patching

translation (listed alone)

325.02 (c)

Noncopyrightable elements. Where the
Copyright Office has determined that the
claim is based only on the following,
registration will be refused:

\- algorithm (or text of algorithm)

analysis

cassette

chip

disk

encrypting

\- EPROM

firmware

\- formatting

functions

language (alone)

\- logic

mnemonics

printout

PROM

ROM

software methodology

system

system design(er)

326

Glossary of terms. The following is a list of
terms commonly used with reference to computer
programs.

## ALGORITHM

-- A prescribed set of well
defined rules or proc-
esses for the solution
of a problem.

## ASSEMBLER

-- A computer program that
changes assembly lan-
guage into the language
that the computer oper-
ates on directly -- the
"object code."

## ASSEMBLY LANGUAGE

-- A language -- verbs,
nouns, syntax, etc.
-- used by programmers to
write computer programs.
It is relatively "low
level" in that the pro-
grammer must keep many
machine details in mind.
The source language for
an assembler.

## BASIC

-- A rather simple program-
ming language that is
widely used with the new
micro-computers.

BUG

-- A mistake or malfunc-
tion.

## CARTRIDGE

-- A very ambiguous term
meaning some form of
removable magnetic data
storage medium, used
along with a fixed
(non-removable) medium.
It may use magnetic tape
or magnetic disk as the
medium.

Glossary of terms. ( cont'd)

CASSETTE

A small, self-contained volume of magnetic tape used for data storage. Similar to a sound- recording cassette.

CHIP

In microcircuitry, a single device, either a transistor or a diode, that has been cut from a larger wafer of sili- con.

COBOL (Common Business Oriented Language)

-- A high-level language developed in the early 1960's and used primarily for business applications.

CODE

Can be used as verb or noun. As a noun, it can apply to (1) the data, meaning the series of bits used to represent the characters, or (2) the programs, meaning the computer instruc- tions as written in the programming language. As a verb, it means creating the coded data or programs.

CODING

The act of actually writing program state- ments.

COMPILE

-- To prepare a machine language program from a computer program written in another programming language by making use

Glossary of terms.

( cont 'd)

COMPILE (cont'd)

-- of the overall logic structure of the pro- gram, or generating more than one machine in- struction for each sym- bolic statement, or both, as well as per- forming the function of an assembler.

COMPILER

- A computer program that is used to change a high-level programming language into machine language. It is similar to an assembler.

COMPUTER

A data processor that can perform substantial computation, including numerous arithmetic or logic operations, with- out intervention by a human operator during the run.

DEBUGGING

The process of detecting and removing the errors in a computer program or a set of programs. Typically, errors are detected by trying to run a program with a series of transactions designed to test the main portions of the program, and observing the correctness of results.

Glossary of terms. ( cont'd) DISK -- The popular form of bulk data storage with rapid access capabilities. Data is recorded in tracks on a magnetic medium on the disk surface. The two main forms are "floppy disks" and "hard disks." DUMP - The term applied to the process of making a copy of some or all data stored in a storage device, usually for backup purposes.

ENCRYPTION

-- The process of system- atically turning mes- sages ( information) into gibberish, as a security measure. The inverse process of decryption is needed for recovering the original messages.

ENHANCEMENTS

Changes or refinements made to an existing computer program.

EPROM (Erasable Programmable Read- Only Memory)

-- A type of computer memory device for storing data within a computer; can be erased and repro- grammed .

FEATURES

Particular capabilities or functions of a given computer program.

### FIRMWARE

This term is applied to
computer programs that
are stored in a type of
memory ( a ROM) that can
in general only be read,
not erased or changed
easily. Firmware is
used both for protection
and for higher speed.

FLOPPY DISK

A thin plastic disk,
usually 5-1/4 inches or
8 inches in diameter,
enclosed in a square,
protective envelope,
with a magnetic surface
for storing information;
a diskette.

## FORTRAN

The FORmula TRANslation
programming language,
originally developed in
the late 1950's for
engineering and scien-
tific programming. It
is still the most widely
used language for these
types of programs.

## HARDWARE

The term applied to the
computer equipment --
the processor unit, the
storage devices, input
devices, printers, etc.
Hardware is differenti-
ated from "software" and
"firmware."

## INTERPRETER

A computer program in
the same general class
as "assembler" and
"compiler." All three

326

## INTERPRETER (cont'd)

--
\- translate or change a
programmer's source code
into the object code
that the computer uses.

## LANGUAGE

--
In the computer field,
the term generally means
a programming language
used by a programmer for
writing a computer pro-
gram. This program
usually must be trans-
lated or changed (assem-
bled, compiled, inter-
preted) into object code
before the computer can
execute the program.

MACHINE LANGUAGE
(MACHINE CODE
OR OBJECT CODE)

--
The instructions the
machine actually
executes.

MNEMONIC CODE

-- Symbols used in program-
ming to assist the human
memory, e.g., an abbre-
viation such as "MPY"
for "multiply."

MODULE

--
A series or group of
related instructions
within a computer pro-
gram, analogous to a
chapter of a book.

OBJECT CODE

--
This is the program in
actual machine language
which the computer exe-
cutes. It has been
changed from the pro-
gramming language used
by the programmer by
means of an "assembler,"
"compiler," or "inter-
preter."

Glossary of terms.

( cont'd)

PATCH, PATCHING

-- Segments of program code (individual statements or routines) added to the body of a completed computer program to enhance or amend the program.

PRINTOUT

A visually perceptible printed copy. Is used variously to mean a listing of the computer instructions that form a program or the product resulting from the op- eration of the computer program.

PROM (Programmable Read-Only Memory)

-- A programmable ROM.

RAM (Random-Access Memory)

Computer storage device in which words may be "written" ( stored) or "read" (recovered) in any order at random. Conventional internal memory.

ROM (Read-Only Memory)

-- A computer device con- taining a program or data permanently stored when the unit was made. In theory, it can apply to either internal memory or large-volume, exter- nal data storage. To- day, it is applied to the former. Programs stored in ROM cannot be changed easily and they

Glossary of terms.

(cont'd)

ROM (cont'd)

-- execute faster; see also above entry under FIRM- WARE.

ROUTINE OR PROGRAMMED ROUTINE

-- A series or group of instructions usually contained within a main program; analogous to a paragraph within a textual work.

SOFTWARE

A set of computer pro- grams, procedures, and possibly associated documentation concerned with the operation of a data processing system, e.g., compilers, library routines, manuals, cir- cuit diagrams. Con- trasts with hardware.

SOURCE CODE

This is the computer program code as the programmer originally writes it, in the pro- gramming language being used. It must be changed into object code before the computer can execute it, unless the program was originally written in object code.

SUBROUTINE

A routine that can be part of another routine; analogous to a sentence within a paragraph of narrative text.

TAPE, MAGNETIC

Large volume data storage medium for computers.

327

Instructional booklets, flowcharts, and the
like. Registration of claims to copyright may
be made for instructional booklets, flowcharts,
and other material related to the development or
explanation of the computer program. Because
the authorship in such material is generally
visually perceptible rather than machine-read-
able, identifying materials may not be submitted
in lieu of an actual copy or copies.

328

Automated data bases. An automated data base is
a body of facts, data, or other information
assembled into an organized format, suitable for
use in a computer and comprising one or more
files. Where all the data in an automated data
base has been previously published or regis-
tered, or is in the public domain, the claim
would be limited to the authorship involved in
the compilation. Where the data is substan-
tially or wholly new, the claim could include
additional text, compilation and revised text,
updates, or the like.

[END OF CHAPTER 300]

[1984]

)

Outline of Topics

401

Musical works: in general.

402

Music defined.

403

Elements of music.

403.01

Definitions.

404
Musical content.

404.01
No numerical standard.

404.02
Words and short phrases.

404.03

Transposition.

404.04

Works consisting entirely of information that
is common property.

404.05

"Melodiousness" and harmony.

405

Physical embodiment of musical works.

405.01

Physical embodiment: copies.

405.02

Physical embodiment; soundtracks.

405.03

Physical embodiment: phonorecords.

406

Limitations on copyrightability.

406.01

406.02

Certain musical arrangements.

406.03

Chord charts.

406.04

Musical works unlawfully employing other works
under copyright protection.

407
408

Use of protected characters, names, and slogans.

Musical derivative works.

408.01

Musical arrangements.

408.02

Adaptation.

408.03

Setting.

408

Musical derivative works.
( cont'd)

408.04

408.05

Variations.
Editing.

408.06

Additional music.

408.07

Abridgment.

408.08

"As a Whole" criterion.

409

Compilations.

409.01

Collective works.

409.02
Method books.

[Numbers 410 through 416 are reserved. ]

417

Words accompanying music.

418

Claim in literary content.

419
Literary content.

420
Nondramatic literary works prepared for performance.

420.01
Song lyrics.

420.02
Comedy sketches.

420.03

Embodiment of nondramatic literary works prepared
for oral delivery.

[Numbers 421 through 429 are reserved. ]

430

Dramatic works.

431
Dramatic works defined.

432
Characteristic features of dramatic works.

432.01
Plot.

432.02
Characters.

432.03

Dialog.

432.04

Directions for action.

432.05

Drama without words.

433

Amount of dramatic content necessary.

434

Works not registrable as dramas.

435

Embodiment of dramatic works.

436

Dramatic derivative works.

437

Compilations.

438

Music accompanying dramas.

439

Components of dramatico-musical works.

[Numbers 440 through 449 are reserved. ]

450

Choreographic works.

450.01

Definition.

450.02

Presentation before an audience.

450.03

Characteristics of choreographic works.

450.04

Abstract choreography.

450.05

Requirement for registration.

450.06

Choreographic content: social dance steps and
simple routines.

450.07

Embodiment of choreography.

450.08

Derivative choreographic works.

450.09

Status of improvisation.

[Numbers 451 through 459 are reserved. ]

460

Pantomimes.

460.01

Definition.

461

Pantomime content.

462

Distinction between pantomime and choreography.

Embodiment of pantomimes.

[Numbers 464 through 469 are reserved. ]

470

Audiovisual works.

471

A motion picture is a kind of audiovisual work.

472

Series of related images.

473

Sounds accompanying an audiovisual work.

474

Forms of embodiment.

475

Authorship in an audiovisual work.

475.01

Visually perceptible authorship.

475.02

Aurally perceptible authorship.

476

Derivative audiovisual works.

477

Multimedia works.

477.01

Classification of multimedia works.

[Numbers 478 and 479 are reserved. ]

480

Motion pictures.

480.01

Requirement of fixation.

480.02

Forms of embodiment.

480.03

Copyrightable subject matter.

480.04

Motion pictures as derivative works and compi- lations.

[Numbers 481 through 484 are reserved. ]

485

## Motion pictures: special problems.

485.01

485.02

Fixation as it relates to publication.
Works made for hire.

486

Deposit requirements for motion pictures.

486.01

Description required.

486.02
Unpublished motion pictures.

486.03

Published motion pictures.

486.04
Definition of "best edition."

486.05
Definition of "complete."

486.06

Motion Picture Agreement.

486.07
Motion Picture Agreement: Standard Modification.

486.08
Motion Picture Agreement: Supplemental Property
Agreement

487

Separately registrable works of authorship fixed
in film, videotape, or the like.

[Numbers 488 and 489 are reserved. ]

490

Sound recordings.

491
Sound recording distinct from underlying work.

492
Sound recording distinct from sounds accompanying
audiovisual work.

492.01

Classification.

492.02
Extent of claim.

493
Forms of embodiment.

493.01

Statutory definition of phonorecords.

493.02

Types of phonorecords.

493.03

Distinction between phonorecords and sound
recordings.

493.04

Distinction between phonorecords and copies.

494

Date of fixation as it affects eligibility.

494.01

Definition of fixation.

494.02

State protection for sound recordings
fixed before February 15, 1972.

495

## Copyrightable subject matter.

495.01

495.02

495.03

Types of copyrightable authorship.
Authorship on the part of the performer.
Authorship on the part of the producer.

496

Sound recordings as derivative works.

496.01

Derivative sound recordings.

496.02

Types of derivative sound recordings.

496.03

Registrability of derivative authorship.

497
Compilations.

497.01

Registrable compilations.

497.02

Non-registrable compilations.

498

Multimedia works.

498.01

498.02

Audiovisual multimedia works.
Nonaudiovisual multimedia works.

[Numbers 498.03 through 498.99 are reserved. ]

499

Glossary of terms.

# COPYRIGHTABLE MATTER: WORKS OF THE PERFORMING ARTS AND SOUND RECORDINGS

401

Musical works; in general. Musical works,
including any accompanying words, are regis-
trable without regard to aesthetic standards.
The range of registrable works consists of music
produced by traditional and electronic means,
including works whose production involves the
use of a computer. An electronic composition
utilizing tones produced by synthesizer or
altered by omitting characteristics of its
timbre, such as omitting decay or attack, may
be registered. A discussion of the elements of
musical works, criteria for copyrightability,
forms of embodiment, and derivative musical
works follows.

402

Music defined. Music is a succession of pitches
or rhythms, or both, usually in some definite
pattern.

403

Elements of music. The elements of music are
melody, rhythm, and harmony. They are defined
below.

403.01

Definitions. Melody: a succession of single
tones: rhythm: a grouping of pulses accord-
ing to emphasis and length; harmony: the
combination, simultaneously, or nearly so,
of different pitches. These tones are spaced
at certain prescribed distances from one
another in related progressions. Although a
musical work will be registered if any of
these three elements can be considered to
constitute a work of authorship, melody, the
predominant element by which a work is per-
ceived, usually determines whether a work
is copyrightable. Even melody, however, may
be too minimal for copyright protection, as
it is in "Johnny One-Note," (excluding the
"break"), while other elements, such as the
rhythm and harmony in this composition,
supply all or substantially all of the
copyrightable content.

Musical content. The criteria for copyright-
ability of music are: 1) The work must contain
at least a minimum amount of creative musical
expression; 2) The work must not have been
copied from another source. See Chapter 200:
COPYRIGHTABLE MATTER - IN GENERAL.

404.01
No numerical standard. There is no pre-
determined number of notes or measures that
will automatically qualify a work for copy-
right registration.

404.02
Words and short phrases. Words and short
phrases, such as names, titles, and slogans,
are not subject to copyright. 37 C.F.R.
202. 1(a). Just as words and short phrases
cannot be registered, phrases consisting of
only a few musical notes, such as clock
chimes, i.e., "mi do re sol, sol re mi do"
cannot be registered.

404.03

Transposition. Transposition is the act of
transferring music from one key to another,
note for note. Compare "My Bonnie" in Ft

with "My Bonnie" in B V:

etc.
Since the relationship of all the notes to
one another remains the same, and all that
is required is the mere act of measuring
intervals, transposition is a mechanical act
and, as such, is not subject to copyright
protection. There is no creative musical
expression in a transposition. This turn-
about four-note pattern repeated at a
certain melodic interval from the preceding
statement is essentially a transposition,
and therefore is not registrable.
O

404

Musical content: (cont'd)

404.04

Works consisting entirely of information that Is common property. Works consisting entirely of information that is common property are not subject to copyright. 37

C.F.R. 202.01 (d) . Diatonic and chromatic acales, as such are considered works con- sisting entirely of information that is common property. Thus, works of this kind are excluded from copyright protection. D

404.05

"Melodiousness" and harmony, "Melodious- ness and conventional (triadic) harmony ard not criteria for registration. A musical composition based on a tone row, or a quarter-tone scale, for example, may be accepted for registration. Claims to copy- right in composition with harmony based on

intervals of seconds, fourths, or any other combination of tones may also be registered.

405

Physical embodiment of musical works. Music may

be embodied in either copies or phonorecords. No basic registration is possible, however, without some kind of physical representation of the work -- a copy, or phonorecord, or, where applicable, identifying material. See Chapter 800: DEPOSIT FOR REGISTRATION.

405.01

Physical embodiment: copies. The term copies includes every kind of embodiment of the work acceptable for registration, except phonorecords and certain identifying material.

405.01 (a)

Copies required before 1978. Until 1978, a copy was the only form in which a musical work could be accepted for registration. Various kinds of copies, however, were acceptable.

[1984]

405

Physical embodiment of musical works. (cont'd)

405.01

Physical embodiment: copies. (cont'd)

405.01 (b)

Copies: musical notation. Standard musical notation, using the five-line, four-space staff is the form most fre- quently employed to embody musical works. Precision equal to that offered by conventional notation is not required, although the deposit should constitute as precise a representation of the work as possible. Any graphic representation of pitch, rhythm, or both, suffices as long as the notation is capable of being performed. Examples: graphically drawn hand signals, fret notation, staves with more or fewer lines than the conventional staff, and "new music, " combining graphic art with music notation.

405.01 (c)

Copies: literary description. A copy may be in the form of textual instruc- tions for performance, e.g., a descrip- tion of notes and rhythms. However, in order to be registrable as a musical composition, such instructions must be specific enough for the work to be par- formed.

405.02

Physical embodiment: soundtracks. Where music is embodied in a motion picture sound- track, the motion picture is the copy. Although the deposit ordinarily required would be the motion picture, an exception to the deposit requirements permits the deposit of identifying material instead of a copy. See Chapter 800: DEPOSIT FOR REGISTRATION. NOTE: Music published in a soundtrack before 1978 can be registered apart from the motion picture as a whole, only if the motion picture bore a separate copyright notice for the music. Music published in a soundtrack after 1977 may be registered apart from the motion picture, without a notice of copyright on the motion picture in the name of the music claimant.

405

Physical embodiment of musical works. (cont'd)

405.03

Physical embodiment: phonorecords. on January 1, 1978, phonorecords, including tapes, disks, sound sheets, soundwheels, and piano rolls, became acceptable deposits for registering claims to copyright in music recorded on them. Moreover, music embodied only in phonorecords before 1978 is now acceptable for registration in that form. If such phonorecords were available for sale or public distribution on January 1, 1978, after having been sold or publicly distrib- uted earlier, the musical work would be considered published and the date of such publication is January 1, 1978. See section 909, Chapter 900: PUBLICATION.

406

Limitations on copyrightability. By reason of certain Limitations in the copyright law, some works are not registrable though they might otherwise appear to be the subject matter of copyright.

406.01

Copyright term expired. A work whose copy- right tarm has expired is not subject to copyright protection. Once a work has entered the public domain, its term cannot be extended or the protection revived. See section 103, Transitional and Supplementary Provisions of the current Act.

406.02

Certain musical arrangements. Musical arrangements embodied in a phonorecord and made pursuant to a compulsory license to make and distribute phonorecords of non- dramatic music are not subject to copyright protection without the express consent of the copyright owner. See 17 U.S.C. 115(a) (2).

406.03

Chord charts. Chord charts ordinarily contain a significant number of public domain standard chords. To be registrable, works embodying chord charts must qualify as a compilation or as some other original work of authorship. See section 408.02 below.

## Limitations on copyrightability. (cont'd)

406.04

407

Musical worka unlawfully employing other
works under copyright protection. Musical
works that unlawfully employ another work
under copyright protection are not them-
selves subject to copyright protection if
they are inseparably intertwined with the
preexisting work. See 17 U.S.C. 103 (a) and
H.R. Rep. No. 94-1476, 94th Cong., 2d Sess.
57-8 (1976). For example, an unlawful four-
part reharmonization of "All The Things You
Are" that cannot be separated from the
previous melody and harmony would not be
registrable. However, the Copyright Office
does not generally investigate the copyright
status of preexisting material or whether it
has been used lawfully. Where a work unlaw-
fully employs preexisting copyrighted mate-
rial that is separable from the new mate-
rial, the new work is registrable.

Use of protected characters, names, and slogans.
Occasionally musical works incorporate names,
titles, or slogans whose utilization is subject
to restrictions under other Federal laws, but
the incorporation of such items does not prevent
copyright registration. Where the Copyright
Office is aware that a use of certain elements
within a work may be in violation of existing
law, it may inform the applicant of the possible
restriction and direct the applicant to the
Government agency that deals with the item in
question. Some examples of restricted names
and characters are: "Olympic," "Olympiad, " (36
U.S.C. 380); "Woodey Owl" (18 U.S.C. 71la); and
"Smokey Bear" (18 U.S.C. 711).

408

Musical derivative works. A derivative work is
a work based upon one or more preexisting works,
such as . . . musical arrangements. 17 U.S.c.
101. In the case of derivative works, only
certain kinds of preexisting material need be
excluded from the claim on an application for

408

## Musical derivative works. (cont'd)

copyright registration, namely, that which con-
stitutes a significant amount of previously
registered published, or public domain mate-
rial.

1\) Where the work does not incorporate any
preexisting copyrightable material, but
is merely based on a preexisting idea, the
work is considered a new work, and not a
derivative work.

Example :

A song about crossing a river inspired
by the painting, "Washington Crossing
the Delaware."

2\)
Where the work incorporates only a negligible
amount of previously registered, published, or
public domain material, the work is considered
a new work; thus, the claim to copyright need
not exclude the preexisting material.

Example :

A musical work incorporating only the first
three notes of "Also sprach Zarathustra, "
by Richard Strauss.

3 )
Where a work incorporates preexisting mate-
rial that was theretofore unregistered and
unpublished, the work is considered a new
work, for purposes of most registrations.

Examples:

a)
An author writes song lyrics in 1978 and
files them away in his home. In 1981,
the author sets the lyrics to new music.
Even though the lyrics were preexisting
when the music was composed, the lyrics
are not considered a preexisting work,
for purposes of registration.

## Musical derivative works. (cont'd)

### 3) (cont'd)

Examples: (cont'd)

b) A composer receives authority to set to
music unpublished song lyrics that have
never been registered, but is not
authorized to claim copyright in the
lyrics. Since the lyrics have not been
previously published or registered, they
are not considered a preexisting work
for purposes of registration, but they
should nevertheless be excluded from the
claim.

408.01

Musical arrangements. A musical arrangement
is a work that results from the addition of
new harmony to a preexisting work. The
standard of originality for arrangements
takes into consideration the fact that a
melody carries with it a certain amount of
implied harmony.

#### 408.01 (a)

Harmonic chord symbols. Chord symbols
represent the presence of three or
more specific notes. However, the
individual notes in the chords are not
specifically distributed as are chord
members in a written-out harmony or in
harmony recorded on a phonorecord. To
reach the "minimal amount" require-
ments, harmonic chord symbols must go
beyond standard chords in common
sequences.

Example :

Chord symbols C (major), a (minor),
d (minor), and G (major) are sub-
mitted with original words. The
harmony is not registrable because
this chord sequence is both too
short and standard. The words, if
substantial enough, may be regis-
tered.

408.01

408.01 (b)

Musical derivative works.
( cont'd)
Musical arrangements. (cont'd)

Instrumentation. Music may also be
arranged by distributing or redistrib-
uting harmonic elements among different
instruments.

Examples :

1\)
An orchestration of Debussy's
"Reverie, " a work originally com-
posed for piano.

2\) A marching band arrangement of
Beethoven's String Quartet in G
major, Opus 18, No. 2.

Transpositions are not copyrightable.
See section 404.03 above. Therefore,
the Copyright Office will not make
multiple registrations for the same work
in different keys.

Example:

"Madame Evanti's Solfege Songs" is sub-
mitted in a different key each for High,
Medium, and Low voice. The applicant may
select the version to be registered, but
only one registration may be made.

Moreover, the notation of a musical work
necessary to enable transposing instruments
to play in the same key is not copyrightable.

Example:

The transposition of the standard
four-part setting of the hymn "Abide
With Me" for E-flat, A-flat, and
B-flat saxophones and C clarinet,
assigning a different part to each
instrument, is not registrable.

408.02

## Musical derivative works. (cont'd)

Adaptation. An adaptation results from
reworking a preexisting melody, possibly
including rhythmic variation as well. An
example might be a jazz version of the
"Battle Hymn of the Republic." This defi-
nition of adaptation is not as widely known
as the definition of arrangement; thus, the
Copyright Office will accept a claim on
adaptation where the primary change is in
the harmony. Where there is no registrable
harmony, an application stating the claim as
arrangement will not be accepted, but the
Copyright Office will request that the basis
of the claim be changed to adaptation, if
appropriate.

408.03

Setting. A setting is a harmonization, or
arrangement of a preexisting melody, or
entirely new music set to preexisting words.
Settings are similar to arrangements, except
that they are more closely associated with
preexisting words and chorale-type harmony.

408.04

Variations. Variations are adaptations and
arrangements of one basic theme in various
moods and styles. The basic theme is
usually the preexisting work. Variations
are treated as new works for purposes of
registration, where the treatment results in
substantial divergence from the preexisting
material, or where the new material over-
whelmingly predominates in comparison to the
theme, such as where the theme or motive
consists of only a few notes.

Example:

Because of substantial divergence from
the theme, utilization of the Paganini
motive in this phrase of Rachmaninoff's
"Rhapsody on a Theme of Paganini, " Opus
43,

Htc.

400-11

408

Musical derivative works. (cont'd)

408.04

Variations. (cont'd) Example: (cont'd) would not have prevented the Rachmaninoff work from being registered as a new work.

408.05

Editing. Music editing generally consists of markings for the performance of music, such as additional or altered fingering, accents, dynamics, and the like.

408.06

Additional music. Additions of music can be registered, such as the completion of an unfinished work or a reconstruction of missing music.

408.07

Abridgment. An abridgment of a musical work may be registrable provided that there is a substantial amount of selectivity, for example, more than merely omitting a section from the beginning or end.

408.08

"As a Whole" criterion, A derivative musical work may be registrable in the aggregate, even though the individual changes, examined separately, may not be. Example: A revision consisting of a change of fingering in two measures, added dynamics in four measures, and three measures of additional music could, in the aggregate, constitute a derivative musical work.

409

Compilations. A compilation is a work formed by the collection and assembling of preexisting materials or of data that are selected, coordi- nated, or arranged in such a way that the resulting work as a whole constitutes an orig- inal work of authorship. The term "compilation" includes collective works. 17 U.S.C. 101.

409.01

Compilations. (cont'd)

Collective works. A collective work is
a work . . . in which a number of contri-
butions, constituting separate and indepen-
dent works in themselves, are assembled into
a collective whole. 17 U.S.C. 101.

Example:

A folio of selected Rodgers and
Hammerstein songs.

However, a work will be rejected for regis-
tration if the claim is on compilation,
unless it appears that enough basic material
has been compiled.

Example :

A compilation claim on Sides 1 and 2 of
a 45-r.p.m. phonorecord containing a
musical selection on each side will be
refused. A claim in the music, however,
will be accepted if the music appears to
meet the standards of originality. See
section 404 above.

409.02
Method books. Method books that contain
only previously published material, such as
public domain chords, scales, exercises, and
other information that is common property,
may be registered as compilations if the
works contain at least a certain minimum
amount of compilation authorship. In view
of the limited protection available, the
Copyright Office will not suggest a compi-
lation claim on its own initiative unless
the contribution is obviously substantial.

[Numbers 410 through 416 are reserved. ]

417

Words accompanying music. Words accompanying
music are considered an integral part of the
musical work. There is no specific manner in
which words shall accompany music. The words
may be narrated to background music, sung to
music on a phonorecord, set above the notes to
which they are to be sung on a notated copy, or
may be written on a separate sheet with no
instructions as to how they are to be performed.
The Copyright Office will question whether
words accompany music only where it appears
improbable that the words and music are meant
to be performed or otherwise used together.

418

Claim in literary content. The words must be
sufficiently substantial in themselves to
support a claim on words. If the words are
insufficient, the Copyright Office will request
that the claim on words be deleted from the
application. The words may still be included as
part of the deposit.

419

Literary content. In addition to ordinary words
used in the conventional manner, nonsense syl-
lables, nonsyntactical words, or coined words
may be registered. The verbal expression, how-
ever, must have been originated by a human being
and be of a sufficient amount.

420

Nondramatic literary works prepared for perfor-
mance. Nondramatic literary works prepared for
performance may be registered in Class PA. Non-
dramatic literary works not intended for per-
formance should be registered in Class TX. See
Chapter 300; COPYRIGHTABLE MATTER -- NONDRAMATIC
LITERARY WORKS.

420.01

Song lyrics. Song lyrics, unaccompanied by
music, may be registered in published or un-
published form in Class PA.

420.02
Comedy sketches. Jokes and other comedy
routines may be registered if they contain
at least a certain minimum amount of orig-
inal expression in tangible form. Short
quips and slang expressions consisting of no
more than short phrases are not registrable.

420
Nondramatic literary works prepared for perfor-
mance. (cont'd)

420.03

Embodiment of nondramatic literary works
prepared for oral delivery. Nondramatic
literary works intended for oral delivery
may be embodied in copies or phonorecords.
Human or mechanical agents, including com-
puters, may be used to fix the words in
tangible form.

[Numbers 421 through 429 are reserved. ]

430

Dramatic works. The term "dramatic works"
Includes plays prepared for stage presentation,
as well as those prepared for cinema, radio, and
television. Applications for registration of
claims to copyright in dramatic works should
be submitted on Form PA.

431

Dramatic works defined. A dramatic composition
is one that portrays a story by means of dialog
or acting and is intended to be performed. It
gives directions for performance or actually
represents all or a substantial portion of the
action as actually occurring, rather than
merely being narrated or described. Examples
of narration or description alone might be:
the Bible story of Shadrach, Meshach, and
Abednego, or a narration of the "Three Little
Pigs." If the narrator is to devise or
improvise his or her own action, the dramatic
content is not fixed and thus the work is not
a drama.

432

Characteristic features of dramatic works. Some
of the features which are characteristic of
dramas are the following:

432.01

Plot. A drama contains a thread of consecu-
tively related events, either as a theme or
in segments. A story delivered by narration
alone, however, should be registered as a
nondramatic work.

## Characteristic features of dramatic works. ( cont'd)

432.02

Characters. A work may be considered a
drama even though it contains only one
character. The script of a soliloquy or
monolog that tells a story may be registered
as a drama, provided that it includes suffi-
ciently explicit stage directions from which
it can be performed.

Example:

A poem, such as "Invictus, " with direc-
tions for acting out the story.

432.03
Dialog. Dialog alone will constitute a
drama only if characters and a plot are
inherent therein.

432.04
Directions for action. While directions
for action by themselves do not constitute a
drama, such instructions (or the actual
representation of the action) are essential
to drama.

Drama without words. A drama may be
represented silently, provided there is
visual dramatic action or pantomime, as for
example, a new drama in the Noh style.
However, a still tableau depicting a story
incident does not meet this criterion.

432.05
433

Amount of dramatic content necessary. The work
should have enough action to avoid the conclu-
sion that the dramatic contribution is too
minimal for copyright protection as a dramatic
work. While a mere outline or narrative summary
of the idea for a drama is not registrable as a
dramatic work, every element of the drama need
not be set out. A scenario may be registered as
a dramatic work if it is adequate to serve as
the basis for directing its action, even though
the directions are brief and some details are

Amount of dramatic content necessary. (cont'd)

left unspecified. Also, a recorded narration
coupled with directions for the dramatic repre-
sentation of some story incidents is registrable
as a drama.

Example:

The script for a children's radio program
narrating a visit to the zoo, containing
detailed instructions to actors for charac-
terizations of various animal antics.

434

Works not registrable as dramas. Simple
directions for using scenery, stage settings,
or ideas for sound effects do not in themselves
constitute dramatic content. Where the version
submitted is not an acting version, the work
will not be registered as a drama. However, a
work that does not meet the criteria for regis-
tration as a dramatic work may contain enough
copyrightable content in another category to be
registrable on some other basis.

435

Embodiment of dramatic works. A drama may be
embodied in manuscript, typescript, or printed
copy, on a video-recording, such as a video-
cassette, or another form of copy, or in a
phonorecord. The fixation of a drama may be
made simultaneously with ite transmission or
live performance.

436

Dramatic derivative works. Copyrightable addi-
tions or other changes to dramatic works may be
made in one or more of several categories. Where
a drama is translated, the work remains dramatic
in nature and can be described as such on the
application. Since the copyrightable addition
is not dramatic, the new claim is on translation
and not on drama. Where a drama is made into a
novel, the addition is not dramatic and thus
neither is the new work. Where a novel is made
into a drama, the copyrightable new material is
dramatic. Where a preexisting drama has been

436

## Dramatic derivative works. (cont'd)

substantially revised or new dramatic material
has been added, the result is a dramatic deriva-
tive work.

437

Compilations. A collection of dramas can be
registered as a collective work. If the indi-
vidual selections consist of dramatic works, the
collection can be registered in Class PA, even
though the dramas are not then under copyright
protection.

438

Music accompanying dramas. To be a dramatico-
musical composition, a sufficiently substantial
part of the dramatic action or dialog should be
combined with the music.

Examples :

Singspiel, musical comedy, operetta, and
opera, including music drama.

A group of songs with instructions for expres-
sive delivery, however, is not a dramatico-
musical work. Where music is to accompany a
dramatic work, such music must be fixed in the
deposit and must be copyrightable on its own to
support a claim in music; it need not be inter-
woven with drama, however, as long as it is
intended to form an integral part of the drama.

439

Components of dramatico-musical works, The
music and book of a dramatico-musical work are
registrable together as one unit, or they may be
registered separately. Components that are not
copyrightable cannot be registered separately.

[Numbers 440 through 449 are reserved. ]

450 of

Choreographic works. Under the current law, choreography is included as a specified category works in which copyright subsists. See 17 U.S.C. 102(a) (4); see also section 460 below.

450.01

Definition. Choreography is the composition and arrangement of dance movements and patterns, and is usually intended to be accompanied by music. Dance is static and kinetic successions of bodily movement in certain rhythmic and spatial relationships. Choreographic works need not tell a story in order to be protected by copyright.

450.02

Presentation before an audience. Although some reference works define choreography as "dancing, especially for the stage," presentation before an audience is not required for registration as a choreo- graphic work.

450.03

Characteristics of choreographic works. Most choreography includes the following general characteristics:

450.03 (a)

Compositional arrangement. Choreo- graphy represents a related series of dance movements and patterns organized into a coherent whole. The movements must be more than mere exercises, such as "jumping jacks" or walking steps.

450.03 (b)

Movement or execution. Choreography is primarily executed by the torso, limbs, or both, in rhythm.

450.03 (c)

Capacity for performance. The specific movements of dancers are set out in a form from which the work can be per- formed. See section 450.06 below.

450.04

Abstract choreography. The Copyright Office will register claims to copyright in all choreographic works, including abstract choreographic works, that constitute orig- inal works of authorship fixed in tangible form.

450

Choreographic works. (cont'd)

450.05

Requirement for registration. To be registrable, the choreographic work must contain at least a certain minimal amount of copyrightable matter in the form of dance steps or other movements in a coherent compositional arrangement. It must also be capable of performance as submitted.

450.06

Choreographic content: social dance steps and simple routines. Social dance steps and simple routines are not copyrightable under the general standards of copyright- ability. Thus, for example, the basic waltz step, the hustle step, and the second position of classical ballet are not copy- rightable. However, this is not a restric- tion against the incorporation of social dance steps and simple routines, as such, in an otherwise registrable choreographic work. Social dance steps, folk dance steps, and individual ballet steps alike may be utilized as the choreographer's basic material in much the same way that words are the writer's basic material.

450.07

Embodiment of choreography. Broad outlines in which the movements of the dancers have not been set out with any certainty are not registrable as choreography. If the basic movements of the dancers have been fixed, however, registration will not be refused simply because there is room for improvisation, or because some improvisa- tion is intended. See section 450.09 below.

450.07(a)

Choreographic works embodied in motion- picture form. A choreographic work may be embodied in motion-picture form. If such a motion picture constitutes the deposit for registration, the registra- tion extends only to what is disclosed therein.

# 400-20

450

Choreographic works. (cont'd)

450.07

Embodiment of choreography. (cont'd)

450.07 (b)

Notation systems. Labanotation, Sutton Movement Shorthand, Benesch Choreology, and other systems of notation are appropriate forms of embodiment to represent the precise movements of the dancers. Such notation, however, is considered a system, and, therefore, is not registrable. See 17 U.S.C. 102(b).

450.07(c)

Textual description. Precise explana- tions in narrative form, whether in copies or phonorecords, are acceptable if the description is specific enough to indicate detailed movements of the dancers. Where the description is not sufficiently specific, it cannot be registered as a choreographic work, but may be registrable as a literary work.

450.07 (a)

Combinations of various formats. A description might include a combination of forms of embodiment, for example, pictorial or graphic diagrams, or detailed verbal descriptions narrated to music on a phonorecord.

450.08

Derivative choreographic works. When sub- stantial new choreographic material has been added to preexisting choreography, it may be registered as a new choreographic work. Example:

An addition of a new section to Petipa's "Don Quixote."

When the only preexisting material is a few public domain steps, for example, a waltz, or ballet positions, the work is not considered derivative. See section 450.05 above.

450

Choreographic works. (cont 'd)

450.08

Derivative choreographic works. (cont'd)

450.08(a)

Other derivative works based on choreo- graphy. Nonchoreographic additions may be made to a choreographic work, for example, where a nonchoreographic comedy routine is interspersed between choreo- graphic scenes. In this case, the claim should be made on the new nonchoreo- graphic material. As a practical matter, however, the added material may dictate changes in the choreography as well, especially when new music or new dramatic scenes are added.

450.09

Status of improvisation. Registration can- not be made for improvisation to be provided by the dancer unless such improvisation is fixed.

[Numbers 451 through 459 are reserved. ]

460

Pantomimes. Pantomimes are distinct from chore- ographic works, and thus their registrability does not depend on choreographic criteria.

460.01

Definition, Pantomime is the art of imi- tating or acting out situations, characters, or some other events with gestures and body movement. Mime is included under this cate- gory. Pantomimes need not tell a story or be presented before an audience to be pro- tected by copyright.

461

Pantomime content, To be registrable, panto- mimas must include more than a few stock ges- tures. As there is no copyright protection for ideas in general, a style of movement imitating mechanical dolls, for example, would not be protectible. A significant amount of copyright- able matter in the form of specific gestures in

[1984]

461

Pantomime content. (cont'd)

such style and embodied in some tangible form,
however, may be registered. Tableaux employing
less than a minimum amount of action are not
registrable as pantomimes. See section 433
above.

462

Distinction between pantomime and choreography.
In general, pantomime movement is more restricted
than dance although, within its narrower scope,
pantomime employs more gestures of the arms and
facial expressions. Also, pantomime is usually
more representational than choreography, in that
it imitates or is a caricature of some event or
situation. Pantomime movement is synchronized
with music less often than is choreography. In
fact, pantomimes are often performed without
music, and any accompanying sound is dictated
by the situation being portrayed. Most often,
however, pantomimes are performed without sound
or measured rhythm.

463

Embodiment of pantomimes. Unlike choreography,
pantomimes are not usually fixed using a speci-
fic form of symbolic notation. Conceivably,
however, the same systems could be used for
notating pantomimes as for dance. To register
a work as a pantomime, the movements must be
described in sufficient detail to enable the
work to be performed from such description, or
an actual performance must be captured on some
form of film or videotape. Subject to this
requirement, any form of copy or a narrative
description on a phonorecord will suffice.

[Numbers 464 through 469 are reserved. ]

470

Audiovisual works. Audiovisual works are works
that consist of a series of related images which
are intrinsically intended to be shown by the use
of machines or devices such as projectors, viewers,
or electronic equipment, together with accompany-
ing sounds, if any, regardless of the nature of the
material objects, such as films or tapes, in which
the works are embodied. 17 U.S.C. 101.

471

A motion picture is a kind of audiovisual work.
Motion pictures are audiovisual works consis-
ting of a series of related images which, when
shown in succession, impart an impression of
motion, together with accompanying sounds, if
any. 17 U.S.C. 101. For a separate discussion
of motion pictures, see section 480 et seg.
below. It is possible for the series of
related images to be embodied in a medium that
is traditionally used for motion pictures, for
example, film or videotape, and not impart an
impression of motion. In such cases, the work
is audiovisual, but not a motion picture. A
series of related photographs or drawings
embodied in the film stock would not be con-
sidered a motion picture, unless, when shown,
the images give an impression of motion. Such
an impression of motion could be accomplished
by incorporating certain cinematic techniques,
such as panning in and out and dissolving.

472

Series of related images. It is the presence
of the series of related images embodied in a
filmstrip slides, or the like, which generally
determines that a work is audiovisual even where
this element does not predominate. For example,
Where a work consists of a series of related
pictorial images, accompanied by a set of
booklets containing nondramatic literary printed
matter, the claim is usually appropriately
registered in Class PA, even though the printed
matter predominates.

473

Sounds accompanying an audiovisual work. When
sounds are present, they do not need to be
physically integrated with the series of related
images to be considered "accompanying sounds, "
for example, a filmstrip with a separate audio
cassette. By definition, there is a distinction
between the "accompanying sounds" of an audio-
visual work and the series of sounds in a "sound
recording." While sound recordings are works
that result from the fixation of a series of
musical, spoken, or other sounds, such sounds do
not include "sound accompanying a motion picture
or other audiovisual work."

474

Forms of embodiment. The series of related
images in an audiovisual work may be embodied
in several different media, for example, a
filmstrip, slides, or transparencies. Any
accompanying sounds may be embodied in an audio
cassette, reel-to-real tape, or disk. They
may also be physically integrated with the
related images, for example, in a cartridge.
For embodiments of audiovisual works which are
motion pictures, see section 480.02 below.

475

Authorship in an audiovisual work. Audiovisual
works embody several categories of authorship.

475.01

Visually perceptible authorship. Any kind
of visually perceptible material such as
photographs and artwork may be embodied
in the related images of the audiovisual
work.

475.02
Aurally perceptible authorship. If an aural
element is present, it may embody several
kinds of authorship such as dramatic or
nondramatic literary material, or music
which is recorded, as well as the "accom-
panying sounds."

476

Derivative audiovisual works. For registration
purposes, a derivative audiovisual work is a
work that incorporates previously published,
registered, or public domain material. If an
audiovisual work contains some photographs by
Mathew Brady as well as some new photographs,
the Form PA should be completed to show the
extent of the claim. or, if the text recorded
in the aural element contains numerous Biblical
quotations, the quotations should be excluded
from the claim.

477

Multimedia works. A multimedia work is one
which combines two or more kinds of authorship
in two or more media, for example, a filmstrip
and cassette, or a booklet and slides.

Multiple works. (cont'd)

477.01

Classification of multimedia works. The
content of the multimedia work determines
which class is appropriate for registration.
For example, the presence of a series of
related images makes the work audiovisual in
nature, and registration is generally appro-
priate in Class PA. See section 490 et
seq. for a discussion of multimedia works
that do not include an audiovisual element.

[Numbers 478 and 479 are reserved. ]

480
Motion pictures. Motion pictures are audio-
visual works consisting of a series of related
images which, when shown in succession, impart
an impression of motion, together with accom-
panying sounds, if any. 17 U.S.C. 101.

480.01
Requirement of fixation. To be eligible
for copyright protection, a motion picture
must be fixed. See Chapter 200; COPYRIGHT-
ABLE MATTER -- IN GENERAL. A telecast
transmission of a live performance is not
considered a "motion picture." However, a
motion picture is created when an authorized
fixation is made of a live performance or
telecast.

480.02
Forms of embodiment. Motion picture authorship
may be embodied in several different forms,
including the following:

1\)
Film - a thin sheet or strip of flexible
cellulose material coated with a photo-
sensitive emulsion.

2\)
Videotape - a magnetic tape containing
video signals or picture information
recorded by a television camera system.

3 )
Videodisk - a magnetic alloy-plated
aluminum disk on which picture infor-
mation is recorded.

480

Motion pictures. (cont'd)

480.02

Forms of embodiment. (cont'd)

4) Hologram - a special photographic film or plate which, when developed and illuminated from behind by a coherent light beam, produces an intangible three-dimensional image in space. NO visual image appears on the film or plate whose function is to record photo- graphically a light-wave interference pattern made by intersecting beams of coherent light.

480.03

Copyrightable subject matter. A motion picture may embody the contributions of many persons whose efforts are brought together to make a cinematographic work of author- ship. Some examples of copyrightable elements might be camerawork, directing, editing, sound engineering, and other cinematographic contributions. By contrast, however, mere mechanical acts cannot serve as the basis for copyright registration; for example, a claim based on conversion from 35-mm film to one-half-inch videocassette is not subject to registration.

480.04

Motion pictures as derivative works and compilations. Generally, motion pictures by their nature are derivative works. For registration purposes, the motion picture is considered derivative only when it incor- porates previously registered, published, or public domain material. In these cases, the application should identify such pre- existing material incorporated in the work and also include a "material added" state- ment . The following examples reflect how this should be stated in the appropriate space on the application form:

## Motion pictures. (cont'd)

480.04
Motion pictures as derivative works and
compilations.
(cont'd)

Preexisting
material

"Material added"
statement

1\)
Previously published
film footage from a
1924 silent movie.

1\)
All other cinema-
tographic material.

2\)
Novel: "The Ghost
of Hawk Mountain."

2\)
Television dramati-
zation.

3\)
Screenplay regis-
tered in 1960.

3\)
Cinematographic
material.

Compilation authorship in a motion picture
is generally combined with editing authorship.
The following example reflects how this can
be stated on an application for registra-
tion:

Preexisting
material

"Material Added"
statement

Assorted newsreel foot-
age, still photographs,
and radio commentaries
from 1938 to 1940, drawn
from various sources.

Compilations and editing
of old materials, plus
new script and narra-
tion, and some new cine-
matographic material.

[Numbers 481 through 484 are reserved.]

485
Motion pictures: special problems. Discussed
below are special problems and policies that are
peculiar to motion pictures.

485.01

Fixation as it relates to publication. The
definition of publication includes the
offering to distribute copies . . . to a
group of persons for purposes of further
distribution, public performance, or public

## Motion pictures: special problems. (cont'd)

485.01
Fixation as it relates to publication.
Teont'a)

display. 17 U.S.C. 101. This sentence is
generally recognized as including motion
picture distribution practices. Inherent
within the definition as a whole is the
presumption that copies are in existence
and ready for distribution before a work
can be published. Thus, offers in the
form of advertising, and catalog or other
distribution offers made before or during
production of the motion picture, do not
constitute publication. For a general
discussion of fixation, see Chapter 100:
BASIC POLICIES.

485.02
Works made for hire. A "work made for hire"
is a work prepared by an employee within the
scope of his or her employment; or . . . a
work specially ordered or commissioned for
usa . . . as a part of a motion picture or
other audiovisual work . . . if the parties
expressly agree in a written instrument
signed by them that the work shall be con-
sidered a work made for hire. 17 u.s.c.
101. Ordinarily, a motion picture embodies
the contributions of a number of persons who
are employees in a work made for hire,
either by virtue of being employees working
within the scope of their employment, or by
special written agreement that their contri-
bution shall be considered a work made for
hire. In the case of a work made for hire,
the employer, and not the individual
employees who actually created the work, is
considered the "author" for copyright
purposes. For a general discussion of
authorship, sea Chapter 200: COPYRIGHTABLE
MATTER -- IN GENERAL.

486

Deposit requirements for motion pictures. The
deposit required to accompany an application
for registration of copyright claims for pub-
lished and unpublished motion pictures is
discussed below. For a discussion of deposit
requirements for motion pictures, see Chapter
800: DEPOSIT FOR REGISTRATION, sections 806.13
and 807.

486.01

Description required. In all cases, whether
the motion picture is published or unpub-
lished, the deposit must include a written
description of the contents of the motion
picture. This may be a shooting script or
continuity, a pressbook, or a detailed
synopsis. 37 C.F.R. 202.20 (c) (2) ( ii) . The
separate description should contain full,
complete, and detailed information about the
work, including the running time. When the
Copyright Office is asked, it will encourage
the deposit of a shooting script as the
description. NOTE: This description does
not in any way extend the registration
coverage beyond the material fixed in the
motion picture.

486.02
Unpublished motion pictures. The deposit
required to accompany an application for
registration of a copyright claim in an
unpublished motion picture, in addition to
the description, can be either of the
following :

1\) One complete copy of the motion picture
containing all the visual and aural
elements that the registration covers;
or

2\)
Identifying material consisting of one
of the following:

a) An audio cassette or other audio
recording reproducing the entire
soundtrack or other sound portion
of the motion picture; or

486

## Deposit requirements for motion pictures. (cont'd)

486.02
Unpublished motion pictures. (cont'd)

### 2 ) ( cont'd)

b) A set of prints consisting of one
frame enlargement or similar visual
reproduction from each ten-minute
segment of the motion picture. Where
the work is a videorecording, prints
taken from the viewing monitor are
the preferred form of deposit.

486.03

Published motion pictures. The deposit
required to accompany an application for
registration of a claim to copyright in a
published motion picture, in addition to the
written description, is one complete copy of
the best edition.

486.04
Definition of "best edition." The "best
edition" is that edition published in the
United States at any time before the date
of deposit that the Library of Congress
determines to be most suitable for its
purposes. 37 C.F.R. 202. 20 (b) (1) and
202.19 (b) (1). The criteria, listed in
descending order of preference, are:

1\) Film rather than any other medium.

a) Preprint material, by special
arrangement

b)
Most widely distributed film gauge

c) 35 mm rather than 16 mm

d}
16 mm rather than 8 mm

e)
Special formats ( for example, 70 mm)
only in exceptional cases

f)
Open reel rather than cartridge or
cassette

400-31

486

Deposit requirements for motion pictures. Toont a) Definition of "best edition." (cont'd) 2) Videotape rather than videodisk a) Most widely distributed tape gauge b) Two-inch tape c) One-inch tape d) Three-quarter-inch tape cassette e) One-half-inch tape cassette

486.04

486.05

See generally Appendix, 43 Fed. Reg. 763-771 (1978) .

Definition of "complete. " A copy of any published or unpublished motion picture is "complete" if the reproduction of all of the visual and aural elements comprising the copyrightable subject matter in the work is clean, undamaged, undeteriorated, and free of splices, and if the copy itself and its physical housing are free from any defects that would interfere with the performance of the work or that would cause mechanical, visual, or audible defects or distortions. 37 C.F.R. 202 . 20 (b) (2) (vi) .

486.06

Motion Picture Agreement. The Copyright Office Regulations permit copyright depos- itors of published motion pictures to enter into an agreement with the Library of Con- gress allowing for the return of deposit copies to such depositors under certain conditions. 37 C.F.R. 202.20 (c) (2) (ii). The Motion Picture Agreement provides that after copyright registration has been com- pleted, the deposit copy will be returned to the depositor (upon written request and at the depositor's expense) and is subject to recall for the collections of the Library of Congress within a period of two years. The depositor, in signing the Motion Picture

486

Deposit requirements for motion pictures.

( cont'd)

486.06

Motion Picture Agreement. (cont'd) Agreement, agrees to provide the Library of Congress with a copy of archival quality if and when such a copy is requested. See 43 Fed. Reg. 12, 320-4 (1978) and Chapter 800: DEPOSIT FOR REGISTRATON.

486.07

Motion Picture Agreement: Standard Modifi- cation. Works initially published outside the United States, but later published in the United States prior to the date of deposit are governed by the basic Motion Picture Agreement. Works published only outside the United States may be made subject to the Motion Picture Agreement if the Standard Modification is executed by the depositor in addition to the basic Motion Picture Agreement. See Chapter 800: DEPOSIT FOR REGISTRATION.

486.08

Motion Picture Agreement; Supplemental Property Agreement. The purpose of the Supplemental Property Agreement is to allow the depositor to submit something other than the "best edition" for registration. See Chapter 800: DEPOSIT FOR REGISTRATION. By filing a Supplemental Property Agreement, the depositor agrees to submit a best- edition copy of archival quality, if the Library calls for a copy of the motion picture under the terms of the Motion Picture Agreement. See 43 Fed. Reg. 12,320-4 (1978).

487

Separately registrable works of authorship fixed in film, videotape, or the like. For a dis- cussion of deposit requirements for separately registrable works of authorship fixed in film, videotape, or the like, see Chapter 800: DEPOSIT FOR REGISTRATION, section 806. 13 (b) (4).

Sound recordings. Sound recordings are works
that result from the fixation of a series of
musical, spoken, or other sounds, but not
including the sounds accompanying a motion
picture or other audiovisual work, regardless
of the nature of the material objects, such as
disks, tapes, or other phonorecords, in which
they are embodied. 17 U.S.C. 101.

491

Sound recording distinct from underlying work.

Copyright in a sound recording relates only to
the particular series of sounds constituting the
recording. It is not the same as, nor is it a
substitute for, copyright in a musical, dramatic,
or literary work, the performance of which is
recorded.

492

Sound recording distinct from sounds accom-
panying audiovisual work. Sounds accompanying
audiovisual works, whether physically integrated
with the audiovisual work ( such as a soundtrack
on a motion picture) or fixed on a separate
tape, disk, or other such object, are not sound
recordings under the statute.

492.01

Classification. Where a sound recording
claim is asserted in sounds accompanying an
audiovisual work, and the complete audio-
visual work is being registered, the Copy-
right Office will request a new application
in the class appropriate to audiovisual
works. See section 470 et seq. above.

Example :

A multimedia kit containing a filmstrip
and an accompanying cassette tape is sub-
mitted in Class SR with a claim on "sounds,
text, and photographic material." Since
this is an audiovisual work, the sounds
are not considered a "sound recording,"
and are not registrable as such. The
claim to copyright should be registered
in Class PA as an audiovisual work. See
sections 470 and 477 above.

Sound recording distinct from sounds accompany-
ing audiovisual work. (cont d)

492.02
Extent of claim. Where a sound recording
contains sounds previously published as part
of a motion picture, the claim must be
limited to the material not contained in the
motion picture. See section 496.03 below.

Example:

Album jacket states "original soundtrack
recording," and application asserts an
unlimited claim in sounds. The Copy-
right Office will question whether the
sounds are the same as those originally
fixed in the motion picture, or whether
they have been altered. If the sounds
are unchanged, they are not considered a
"sound recording," and the claim cannot
be registered as a sound recording. (The
sounds could be, and generally are,
covered by the registration for the
motion picture.) However, if the sounds
are substantially altered from those in
the motion picture, perhaps remixed from
the original multi-track tapes, a claim
in the sounds may be registered, but it
must be limited to the new material, as
for example, the remixing.

Forms of embodiment. Sound recordings are
embodied in phonorecords.

## 493.01

Statutory definition of phonorecords.

Phonorecords are material objects in which
sounds, other than those accompanying a motion
picture or other audiovisual work, are fixed
by any method now known or later developed,
and from which the sounds can be perceived,
reproduced, or otherwise communicated, either
directly or with the aid of a machine or
device. The term "phonorecords" includes the
material object in which the sounds are first
fixed. 17 U.s.C. 101.

493.02

Forms of embodiment. (cont'd)

Types of phonorecords. Examples include the
following:

1\)
Vinyl disks: common types are 45-r.p.m.
and 33-r.p.m.

2\)
Audio tapes: open reels, cartridges, and
cassettes.

3\)
Player piano rolls; perforated sheets on
a roll.

4\)
Sound cards: cards with sound embodied
in horizontal tape strip.

5\)
Sound sheets: paper backed with an oxide
cover .

6\)
Perforated metal disks such disks
include sprocketed disks often used in
music boxes.

493.03

Distinction between phonorecords and sound

recordings. The term phonorecord" refers
only to the material object in which a work
is embodied; the phonorecord itself is not a
work of authorship. A "sound recording, " on
the other hand, is a work of authorship,
regardless of the type of phonorecord in
which it is embodied.

493.04

Distinction between phonorecords and copies.
"Copies" are material objects, other than
phonorecords, in which a work is fixed. See
17 U.s.C. 101. The term "copy" usually
applies to a material object from which a
work can be visually perceived (with or
without the aid of a device or machine),
but may also refer to a material object in
which sounds accompanying a audiovisual work
are fixed. The term "phonorecord" applies
to a material object in which sounds are
fixed, other than those sounds accompanying
an audiovisual work.

Date of fixation as it affects eligibility. No
sound recording fixed before February 15, 1972,
is subject to Federal copyright protection. See
17 U.S.C. 301 (c) . Any sounds fixed before
February 15, 1972, must be excluded from the
claim. Where it appears that all or a substan-
tial part of the sounds may have been fixed
before February 15, 1972, the basis of the claim
will be questioned.

494.01

Definition of fixation. A work is "fixed"
in a tangible medium of expression when its
embodiment in a copy or phonorecord, by or
under the authority of the author, is suffi-
ciently permanent or stable to permit it to
be perceived, reproduced, or otherwise
communicated for a period of more than
transitory duration. 17 U.S.C. 101.

Examples :

1\) Phonorecord jacket states: "Recorded
live in 1970." The Copyright Office
will question the date of fixation.

2\)
Phonorecords indicate that the work is a
compilation of disk jockey radio shows
of the 1940's with some new musical and
narrative material. The Copyright
Office will question the fixation date
of the sounds from the disk jockey radio
shows. If fixed before February 15,
1972, these sounds should be excluded
from the claim.

3\)
Phonorecords state that the work consists
of some of the last live performances of
a musician who died before February 15,
1972. The Copyright Office will question
the date of fixation. If all sounds were
fixed before February 15, 1972, the only
possible claim is in the compilation.

494 494.01

Date of fixation as it affects eligibility. Tcont'd)

Definition of fixation. (cont'd) 4) The work recorded is an opera. Phono- records state: "The famous radio broad- cast of this opera on December 7, 1940, is made available for the first time." The Copyright Office will question the date of fixation. If the sounds in the radio broadcast were fixed at the time of original transmission, the sound recording is not registrable.

494.02

State protection for sound recordings fixed before February 15, 1972. With respect to sound recordings fixed before February 15, 1972, any rights or remedies under the common law or statutes of any State shall not be annulled or limited by the copyright 301 (c) . law until February 15, 2047. 17 U.S.C.

495

Copyrightable subject matter. To be regis- trable, there must be an appreciable amount of original sound recording authorship. Registra- tion as a sound recording is not authorized if original authorship is lacking, as for example, where there is no human authorship and the recording results from a purely mechanical process.

495.01

Types of copyrightable authorship. Sound recording authorship may be contributed by the performer or the record producer. Usually, authorship is contributed by both performer and producer. The Copyright Office will accept an application naming the performer or the producer or both as author(s) of the sound recording, provided it is clear that the author(s) named con- tributed copyrightable authorship.

495 Copyrightable

subject matter. (cont'd)

495.02 Only the

Authorship on the part of the performer. a human performer can contribute per- formance authorship. Such performance will presumably result in a sound recording when performance is fixed on a phonorecord.

495.02 (a)

Musical sounds. Included are sounds produced by vocalists and instrumental- ists.

Examples:

1) A recording of a vocalist performing selected songs of a well-known contemporary composer.

2) A recording of a pianist performing a Beethoven sonata.

495.02(b)

Spoken sounds. Included are sounds spoken by an actor, orator, lecturer, or the like. Examples :

1) A recording of an actor portraying Hamlet.

2) A recording of a preacher delivering a sermon.

495.03 type and

Authorship on the part of the producer. This of authorship involves capturing and elec- tronically processing the sounds, and compiling editing them to make the final recording.

495.03 (a)

Producer's contribution in the recording

of musical or spoken sounds. Where there

Is sound recording authorship on the part of the performer, the producer may have also contributed copyrightable sound engineering authorship to the sound recording.

400-39

495

Copyrightable subject matter. (cont'd)

495.03

Authorship on the part of the producer. ( cont'd)

495.03 (b) 496

Producer's contribution in the recording of other sounds. In some cases, for example where sounds are produced by nature or non-human sources, the copy- rightability of the sound recording depends on the contribution of the record producer in selecting, recording, and mixing the sounds. Examples:

1) Recording of bird calls.

2) Recording of sounds of racing cars.

Sound recordings as derivative works. A deri- vative work is one based upon one or more pre- existing works, such as a translation, musical arrangement, dramatization, fictionalization, motion picture version, sound recording, art reproduction, abridgment, condensation, or any other form in which a work may be recast, trans- formed, or adapted. A work consisting of edi- torial revisions, annotations, elaborations, or other modifications which, as a whole, represent an original work of authorship, is a derivative work. 17 U.S.C. 101. A sound recording usually embodies a pre-existing musical composition or literary work, and in that sense is usually a derivative work.

496.01

Derivative sound recordings. For registra- tion purposes, a derivative sound recording is one in which previously published or registered recorded sounds are rearranged, remixed, or otherwise altered in sequence or character. A sound recording consisting of an entirely new and independent fixation of original sounds is not a derivative sound recording for registration purposes. This

496

Sound recordings as derivative works. (cont'd)

496.01

Derivative sound recordings. (cont'd)

distinction is important since it determines when a "material added" statement will be required on the application. Examples : 1) A sound recording of a Beethoven symphony may be considered a derivative work under the definition in the statute, in the sense that it embodies a preexisting musical composition. If it is an entirely new recording, however, the Copyright Office does not regard it as a derivative sound recording for registration purposes. 2) If a previously released recording of a Beethoven symphony was later remixed, the resulting sound recording would be a deri- vative sound recording.

496.01 (a)

When a "material added" statement will not be required. On an application for registration, a statement of material added will not be required for a sound recording consisting of an entirely new fixation where the authorship statement refers only to the sound recording.

496.01 (b)

When a "material added" statement will be required. On an application for registration, the Copyright Office will require a statement of material added for a sound recording containing pre- viously published or registered sounds, or sounds fixed before February 15, 1972. The Copyright Office will also require a statement of material added if the authorship statement on the appli- cation refers to element (s) other than the sound recording ( for example, the underlying work or artwork on the record jacket) which have been previously pub- lished or registered.

496

Sound recordings as derivative works. (cont'd)

496.02

Types of derivative sound recordings. These include sound recordings with additional recorded material or preexisting sounds recast.

496.03

Registrability of derivative authorship. A new version is registrable only if it con- tains at least a certain minimum amount of recast sounds or new recorded material. Where only a few slight variations or minor additions of no substance have been made, registration is not possible. Also, where the changes are the result of mechanical rather than creative processes, registration will be refused.

496.03 (a)

Additional recorded material. Where more than a certain minimum amount of new recorded material is added to pre- viously released or registered sounds, the new version is registrable. The claim should be limited accordingly.

496.03 (b)

Preexisting sounds recast. This Includes recordings reissued with sub- stantial editorial revisions or abridg- ments of the recorded material. NOTE: For specific definitions of terms listed below, see the Glossary of Terms in section 499 below.

## 496.03 (b) (1)

Copyrightable elements. The
following elements are acceptable
as descriptions of material added:

-- Remixed

-- Remixed for quad from original multi-
track sound sources

-- Remixed for continuity and balance
-- Resequencing

-- Sweetening
-- New mix

-- Remixed for stereo

496

Sound recordings as derivative works. (cont'd)

496.03

Registrability of derivative authorship.

Tcont'd)

496.03 (b)

Preexisting sounds recast. (cont'd)

496.03 (b) (1)

Copyrightable elements. (cont'd)

-- Remixed for monaural sound -- Compilation ( see also section 497 below) .

496.03 (b) (2)

Noncopyrightable elements. Claims based solely on the following elements will be refused : -- New master cut -- Remastering Enhanced stereo Encoding a two-track master onto four channels -- Reprocessing Compatible stereo -- Simulated stereo -- Electronically rechanneling for stereo (or quad) -- Electronically enhanced Derived 4-channel -- Declicking -- Reissue -- Dolbyized

NOTE: Any claim in a sound recording originally fixed before February 15, 1972, must be limited to whatever sound recording authorship may have been added on or after February 15, 1972. See section 494 above. Where the original fixation was in a mono- phonic recording, the possibility of adding copyrightable authorship by editing or mixing in the course of reprocessing is minimal or non- existent, so that the copyrightable

496

Sound

recordings as derivative works. (cont'd)

496.03

Registrability of derivative authorship.

(cont"a)

496.03 (b)

Preexisting sounds recast. (cont'd)

496.03(b) (2)

Noncopyrightable elements. (cont'd)

NOTE: (cont'd) content of the original sounds and the new ones remains essentially unchanged. In such a case, the date the original recording was made is the date of fixation, and there is generally no new sound recording authorship ( except compilation, where appropriate) on which to base a claim. Most recordings made before 1960 fall into this cate- gory.

496.03 (b)

(3)

Minimal contributions. The follow- ing elements may involve effort, but registration based on them alone will be refused. However, where they are included in addition to clearly copyrightable new material, the claim should be registered. -- Changing the treble (highs) and bass ( lows) -- Equalization -- Reverberation -- Balancing

496.03 (b) (4)

Elements whose registrability is subject

to question. These include the following:

1) ) Editing. The Copyright Office will question "editing" when this is the only statement of new material. A claim based on "editing" should be defined in terms of specific sound engi- neering techniques employed.

## Sound recordings as derivative works, (cont'd)

496.03

Registrability

of derivative authorship.

(cont d)

496.03 (b)

Preexisting sounds recast. (cont'd)

496.03(b) ( 4)

Elements whose registrability is subject to question. (cont a)

Abridgment, Such a claim will not be questioned unless there is reason to doubt ita substan- tiality.

Overdub. If there is newly recorded material added, the Copyright Office will register the claim; otherwise, an expla- nation of the nature and extent of the claim will be requested,

4) Re-engineering. The Copyright Office will request an explana- tion.

496.03(b) (5)

Ambiguous or unfamiliar terms. The Copyright Office will question am- biguous or unfamiliar terms.

497

497.01

Registrable compilations. A collection of previously published or registered sound recordings, or of sound recordings fixed

before February 15, 1972, in which the assembling, selection, or combination of

works represents original authorship, con- stitutes a registrable compilation.

497
Compilations. (cont'd)

497.01

Registrable compilations. (cont'd)

Examples:

1\)
"The Greatest Country & Western
Recordings of 1975"

2\)
"The Greatest Recordings of the Nine
Beethoven Symphonies" (a recording of
the nine Beethoven symphonies, each
performed by a different orchestra and
conductor)

497.02
Non-registrable compilations. A mere re-
publication together of several previously
released or registered sound recordings,
where no appreciable degree of original
authorship was involved in putting the
sound recordings together, does not con-
stitute a registrable compilation.

Examples:

1\)
Combination of three previously released
recordings. The Copyright Office will
refuse a claim in compilation, since the
compilation of only three selections
does not represent enough authorship to
support such a claim.

2\)
A well-known conductor's recordings of
the Nine Beethoven Symphonies with the
same orchestra, where all nine sympho-
nies have been previously released sepa-
rataly. The Copyright Office will
refuse to register the claim in compila-
tion. Merely grouping together a single
conductor's recordings of the nine
Beethoven symphonies with the same
orchestra does not represent enough
original authorship to support a claim.

498

Multimedia works. A multimedia work is one which, excluding the physical housing of its components, combines two or more kinds of authorship in two or more of the following media: phonorecords, copies from which the work may be visually perceived without the aid of a machine or device, and copies from which the work is intrinsically intended to be perceived with the aid of a machine or device.

498.01 498.02

Audiovisual multimedia works. These incor- porate an audiovisual work; any accompanying sound element is not registrable as a sound recording. See sections 492 and 470 above.

Nonaudiovisual multimedia works. A non- audiovisual multimedia work generally incor- porates a sound recording accompanied by material which can be perceived visually without the aid of a machine or device ( for example, textual material in a booklet). The sound recording and any material published with it, such as underlying text, or accom- panying text or illustrations, may be regis- tered together in Class SR. For registra- bility of various elements, see sections appropriate to each such element.

[Numbers 498.03 through 498.99 are reserved. ]

499

Glossary of terms. The following is a list
of terms commonly used with reference to sound
recordings.

BALANCE

-- relative level or volume, for example, between different or instruments, bass and treble, or different tracks or channels.

BALANCING

-- adjusting the relative levels of voices or instruments, bass and treble, or recorded tracks.

499

Glossary of terms. ( cont'd)

CARTRIDGE

-- an enclosed package containing a continuous loop of magnetic tape and its winding apparatus, thus removing the need for handling the tape.

CASSETTE

-- a sealed package containing a length of magnetic tape and winding apparatus which can be loaded into a player without handling or threading the tape.

CHANNEL

-- a single recording path, for example, from microphone to speaker.

DECLICKING

-- in reprocessing sounds from an old 78-r.p.m. recording, the process of eliminating the noises or "clicks" pro- duced by groove irregulari- ties, by manually or elec- tronically removing them from the tape made from the old recording.

DECODING

-- transforming information from a form suitable for trans- mission to a form suitable for use. Frequently used in reference to quadraphonic recordings, which require an electronic "decoder" for playback.

DOLBYIZED

-- refers to a recording pro- cessed through a particular noise reduction device (a "dolby"). The dolby achieves noise reduction by raising the volume of quiet passages while recording and lowering them to proper levels while playing back.

DUB

to duplicate a sound recording by making an exact recording from that recording; or a duplication of a recording made by dubbing; to dub may also mean to add sounds to a recording or to combine two or more sources of sound (at least one of which is a recording) into one record.

EDITING

cutting and splicing tape to rearrange recorded material, thus changing content, form, or replacing undesirable material.

ENCODING

to convert (as a body of information) from one system of communication into another; especially to convert infor- mation into code; for example, reprocessing a stereo record- ing into a quadraphonic for- mat which can be played on equipment with a quadraphonic decoder to produce a quadra- phonic effect.

EQUALIZATION

the process of boosting treble during recording and boosting bass during playback, so as to compensate for losses in record- ing and reproduction, usually with the intent of achieving a result as close to the original performance as possible.

LOOP

a length of tape with its ends spliced together for continuous playback.

MASTER --

may refer to the original recording made directly from recording microphones, the final mixed-down tape from which other recordings are made, or the lacquer disk from which stampers are made for vinyl pressings.

MIXING --

combining many separate tracks into fewer tracks, usually one, two, or four.

MONOPHONIC --

recorded on a single channel or played back from a single sound source.

MULTI-TRACK --

refers to a recorder which produces, or a recording which contains, more than two tracks or channels of rec- orded information, generally eight or more.

OVERDUB --

mixing previously recorded material with new material.

QUADRAPHONIC --

four-channel sound reproduc- tion.

REMASTERING --

cutting a new master from the original recording, usually without remixing.

REMIXING --

mixing down from multiple tracks to one, two, or four tracks for the second or any subsequent time.

REVERBERATION --

prolongation of sounds by repetition, resulting from sound reflections in a large hall or simulating such reflections.

STEREOPHONIC
\--
sound reproduction on two or
more channels.

COMPATIBLE STEREO -- refers to
a recording which may be
played on either stereophonic
or monophonic equipment with-
out loss of quality.

ENHANCED STEREO -- refers to
a stereo recording in which
the stereo effect has been
augmented by increasing or
heightening the separation
between channels.

SIMULATED STEREO -- refers to a
recording originally made mono-
phonically, reprocessed so as
to get a stereo effect.

## SWEETENING

--
the addition of strings, brass,
background vocals, etc. to a
previously recorded tape.

[END OF CHAPTER 400]

## COPYRIGHTABLE MATTER: PICTORIAL, GRAPHIC, AND SCULPTURAL WORKS

### Outline of Topics

501

## Pictorial, graphic, and sculptural works! in general.

## 501.01

Forms of embodiment.

502

works of art.

503

Registration requirements for drawings, paintings,
other pictorial works, and sculpture.

503.01
503.02

Style and artistic merit,
Copyrightable pictorial, graphic, and sculp-
tural expression.

503.03

Works not capable of supporting a copyright
claim.

504

## Registration requirements for two-dimensional

useful articles, three-dimensional works of
artistic craftsmanship, and models.

504.01
504.02

Material not subject to registration.
Examples.

505

Registration requirements for the shapes of three-
dimensional useful articles.

505.01
Definition of useful article.

505.02
Separability test.

505.03

Separability test: conceptual basis.

505.04

Separability test: physical basis.

505.05

Separability test: factors not relevant in
determining registrability.

506

## Prints.

506.01

Registration requirements.

506.02
Pictorial or graphic material.

506.03
Uncopyrightable elements.

507

Reproductions of pictorial, graphic, or soulp-
tural works.

507.01

Registration requirements.

507.02

Derivative works.

507.03

Reproductions not capable of supporting a
registration.

508

Photographs, holograms, and individual slides.

508.01

Registration requirements.

508.02

Uncopyrightable works.

509

Maps.

509.01

Registration requirements.

509.02

Compilations and derivative works.

509.03

Elements not capable of supporting a copyright.

510

## Scientific works: architectural and technical drawings and models.

510.01

Registration requirements.

510.02

Uncopyrightable works.

510.03

Ideas, processes, or systems.

510.04

Subjects depicted.

# COPYRIGHTABLE MATTER: PICTORIAL, GRAPHIC, AND SCULPTURAL WORKS

501

Pictorial, graphic, and sculptural works: in

general. The copyright law defines "pictorial,
graphic, and sculptural works" as including
two-dimensional and three-dimensional works of
fine, graphic, and applied art, photographs,
prints and art reproductions, maps, globes,
charts, technical drawings, diagrams, and
models. Such works shall include works of
artistic craftsmanship insofar as their form
but not their mechanical or utilitarian aspects
are concerned; the design of a useful article,
as defined in this section, shall be considered
a pictorial, graphic, or sculptural work only
if, and only to the extent that, such design
incorporates pictorial, graphic, or sculptural
features that can be identified separately
from, and are capable of existing independently
of, the utilitarian aspects of the article. See
17 U.S.C. 101.

501.01

Forms of embodiment. Registrable pictorial,
graphic, or sculptural authorship may be
embodied in a wide variety of forms. These
include works of fine, graphic, and applied
art; prints; photographs, holograms, and
individual slides; art reproductions; maps,
globes, and charts; architectural and tech-
nical drawings; diagrams, patterns, models,
and the like, and advertisements. Motion
pictures, film strips, slide presentations,
and other audiovisual works are not "pic-
torial works" for the purpose of registration.

502

Works of art. These include works of the fine
arts, such as paintings, other pictorial works,
and sculpture, as well as works of artistic
craftsmanship, such as jewelry, glassware,
ceramic figurines, table service patterns, wall
plaques, grave markers, toys, dolls, stuffed
toy animals, models, and the separable artistic
features of two-dimensional and three-dimen-
sional useful articles.

Registration requirements for drawings, paint-
ings, other pictorial works, and sculpture.
Generally, in order to be entitled to regis-
tration, such works must contain original pic-
torial, graphic, or sculptural authorship. If
the work consists entirely of uncopyrightable
elements, registration is not authorized. On
the other hand, the mere presence of uncopy-
rightable elements in a work will not prevent
registration on the basis of features that are
copyrightable under the statute. Thus a
design, otherwise original, may be registrable
even though it incorporates uncopyrightable
standard forms, such as circles and squares.

503.01
Style and artistic merit, The registrability
of a work of the traditional fine arts is not
affected by the style of the work or the form
utilized by the artist. Thus, the form of
the work can be representational or abstract,
naturalistic or stylized. Likewise, the regis-
trability of a work does not depend upon artistic
merit or aesthetic value. For example, a child's
drawing may exhibit a very low level of artistic
merit and yet be entitled to registration as a
pictorial work.

503.02

Copyrightable pictorial, graphic, and sculp-
tural expression. A claim to copyright in a
work of the traditional fine arts will be
registrable if the work contains at least a
certain minimum amount of pictorial, graphic,
or sculptural expression owing its origin
to the author. If the expression is pictorial,
the authorship could be expressed, for example,
in the linear contours of a drawing, the
assemblage of diverse fragments forming a
collage, or the arrangement and juxtaposition
of pieces of colored stone in a mosaic portrait.
If the expression is sculptural, the authorship
could, for example, be expressed by means of
carving, cutting, molding, casting, shaping,
or otherwise processing the material into a
three-dimensional work of sculpture.

Registration requirements for drawings, paint-
ings, other pictorial works, and sculpture.
Tcont'd)

## 503.02 Copyrightable pictorial, graphic, and sculp- tural expression. (cont'd)

503.02 (a)

Minimal standards: pictorial or graphic
material. A certain minimal amount of
original creative authorship is essen-
tial for registration in Class VA or
in any other class. Copyrightability
depends upon the presence of creative
expression in a work, and not upon
aesthetic merit, commercial appeal, or
symbolic value. Thus, registration
cannot be based upon the simplicity of
standard ornamentation such as chevron
stripes, the attractiveness of a con-
ventional fleur-de-lys design, or the
religious significance of a plain,
ordinary cross. Similarly, it is not
possible to copyright common geometric
figures or shapes such as the hexagon
or the ellipse, a standard symbol such
as an arrow or a five-pointed star.
Likewise, mere coloration cannot
support a copyright even though it may
enhance the aesthetic appeal or com-
mercial value of a work. For example,
it is not possible to copyright a new
version of a textile design merely
because the colors of red and blue
appearing in the design have been
replaced by green and yellow, respec-
tively. The same is true of a simple
combination of a few standard symbols
such as a circle, a star, and a tri-
angle, with minor linear or spatial
variations.

Examples :

1\) An unpublished design for textile
fabric is submitted for registra-
tion in Class VA. The design con-
sists of a standard unembellished

Registration requirements for drawings, paint-
ings, other pictorial works, and sculpture.
(cont'd)

### 503.02

Copyrightable pictorial, graphic, and sculp-
tural expression. (cont'd)

503.02 (a)

Minimal standards; pictorial or graphic
material. (cont'd)

Examples: (cont'd)

#### 1) (cont'd)

character of Chinese calligraphy
painted upon horizontally striated
grass cloth. Practice: Registra-
tion is not authorized in this
case. Like typography, calligraphy
is not copyrightable as such, not-
withstanding the effect achieved by
calligraphic brush strokes across a
striated surface.

2\)
An applicant for registration has
developed a novelty item consisting
of transparently clear plastic
sheets bonded together around their
periphery, and having a small
amount of colored liquid petroleum
in the air space between the
laminated sheets. Any slight
pressure upon the external surface
results in the formation of undula-
ting patterns and shapes, no two of
which are ever identical. Practice:
Since the specific outlines and
contours of the patterns and shapes
formed by the liquid petroleum do
not owe their origin to a human
agent, it is not possible to claim
copyright in such patterns and
shapes. The novelty of the idea
embodied in the work and the
effects achieved by the action of
the petroleum under pressure like-
wise do not warrant registration.

Registration requirements for drawings, paint-
inga, other pictorial works, and sculpture.
Toont dy

503.02
Copyrightable pictorial, graphic, and sculp-
tural expression.
( cont 'd)

503.02 (b)
Minimal standards: sculptural material.
The requisite minimal amount of origi-
nal sculptural authorship necessary for
registration in Class VA does not
depend upon the aesthetic merit, com-
marcial appeal, or symbolic value of a
work. Copyrightability is based upon
the creative expression of the author,
that is, the manner or way in which the
material is formed or fashioned. Thus,
registration cannot be based upon
standard designs which lack original-
ity, such as common architecture
moldings, or the volute used to
decorate the capitals of Ionic and
Corinthian columns. Similarly, it is
not possible to copyright common
geometric figures or shapes in three-
dimensional form, such as the cone,
cube, or sphere. The mere fact that a
work of sculpture embodies uncopyright-
able elements, such as standard forma
of ornamentation or embellishment, will
not prevent registration. However,
the creative expression capable of
supporting copyright must consist of
something more than the mere bringing
together of two or three standard forms
or shapes with minor linear or spatial
variations. In no event can registra-
tion rest solely upon the fact that an
idea, method of operation, plan, or
system has been successfully communi-
cated in three-dimensional form. In
every case, it is the creative expres-
sion of the author which must be able
to stand alone as an independent work
apart from the general idea which
informs it.

Registration requirements for drawings, paint-
ings, other pictorial works, and sculpture.
{cont'd)

503.02

Copyrightable pictorial, graphic, and sculp-
tural expression. (cont'd)

503.02 (b)
Minimal standards: sculptural material.
Tcont'd)

##### Examples :

1\)
Registration in Class VA is re-
quested for a design or model of a
table lamp. Cast in plaster of
Paris, the design features the head
of a horse mounted on an iron
horseshoe with toe and heel calks
which supports the entire fixture.
Electrical wiring is concealed
within the plaster casting.
Practice: If the head of the horse
is original, registration may be
considered on that basis. However,
the general idea of embellishing a
lighting fixture with a work of art
is not copyrightable. The same is
true of the decorative idea of
using a horseshoe as support for a
lamp base, regardless of the
pleasing effect thereby achieved.

2 )
A toy manufacturer conceives a
novel idea for a toy consisting of
multicolored geometrical spheres,
cubes, and cylinders of varying
sizes. All of these parts or
pieces are magnetized, and will
adhere to one another when placed
in close proximity. Thus, it is
possible to construct an indefinite
variety of shapes and figures by
means of the magnetized parts or
pieces. The manufacturer desires
to protect the three-dimensional
aspects of the toy before publica-
tion occurs. He applies to the

Registration requirements for drawings, paint-
ings, other pictorial works, and sculpture.
(cont'd)

### 503.02

Copyrightable pictorial, graphic, and sculp-
tural expression.
( cont 'd)

503.02(b)
Minimal standards: sculptural material.
(cont 'd)

Examples: (cont'd)

2\) (cont'd)

Copyright Office for registration
of a design for an unpublished
sculptural work of art. His appli-
cation Form VA is accompanied by
one complete set of magnetized
spheres, cubes, and cylinders
arranged in a plain box according
to size and color. Practice: We
will refuse a registration in Class
VA based solely upon the unassem-
bled toy, even though its component
parts or pieces are potentially
capable of being arranged in copy-
rightable shapes and forms. The
general idea of the toy is uncopy-
rightable, regardless of its novelty
or uniqueness.

3\)
A work described as a "mobile"
consists of nine pieces of trans-
lucent colored glass each of which
is suspended by wire from an over-
head rack designed to rotate about
a pivot in a horizontal plane. The
suspension wires vary in length and
no two pieces of glass share the
same shape or outline. Registra-
tion is sought in Class VA on the
basis of the overall effect pro-
duced by the play of light upon the
suspended glass components of a
work which the applicant describes
as "three-dimensional." No copy-
rightable authorship is claimed in
the design of the individual pieces

Registration requirements for drawings, paint-
ings, other pictorial works, and sculpture.
(cont"a)

#### 503.02

Copyrightable pictorial, graphic, and sculp-
tural expression. (cont 'd)

503.02 (b)

Minimal standards; sculptural material.
[cont'd)

Examples: (cont'd)

3\) (cont'd)

of glass. Practice: Registration
based upon the cumulative effect
produced by the component members
of the mobile will be refused. If
these members had contained copy-
rightable authorship, registration
could have been considered on the
basis of the two-dimensional design
features displayed by the pieces of
glass.

503.03

Works not capable of supporting a copyright
claim. Claims to copyright in the following
works cannot be registered in the Copyright
Office:

503.03 (a)

Works not originated by a human author.

In order to be entitled to copyright
registration, a work must be the product
of human authorship. Works produced by
mechanical processes or random selection
without any contribution by a human author
are not registrable. Thus, a linoleum
floor covering featuring a multicolored
pebble design which was produced by a
mechanical process in unrepeatable, random
patterns, is not registrable. Similarly,
a work owing its form to the forces of
nature and lacking human authorship is
not registrable; thus, for example, a
piece of driftwood even if polished and
mounted is not registrable.

Registration requirements for drawings, paint-
ings, other pictorial works, and sculpture.
(cont d)

503.03

## Works not capable of supporting a copyright claim. (cont'd)

503.03 (b)

Works containing insufficient expression.

No registration is possible where the
work consists solely of elements which
are incapable of supporting a copyright
claim. Uncopyrightable elements include
common geometric figures or symbols,
such as a hexagon, an arrow, or a
five-pointed star, as pointed out in
section 503.02(a) above.

### 503.03 (c)

Ideas and concepts. Mere ideas and
concepts cannot support a copyright claim.
In order to be registrable, a work must
contain original copyrightable expression.
Thus, for example, neither the idea of
folding a five-pointed star in a manner
that enables it to stand upright, nor the
star so folded is registrable.

504

Registration requirements for two-dimensional
useful articles, three-dimensional works of
artistic craftsmanship, and models. The regis-
trability of two-dimensional useful articles
is determined by the presence of at least a
certain minimum amount of pictorial or graphic
authorship. Por three-dimensional works of
artistic craftsmanship falling outside the
definition of useful articles, such as jewelry,
toys, and wall plaques, the authorship may be
either sculptural or pictorial in nature, such
as carving, cutting, molding, casting, shaping
the work, arranging the elements into an origi-
nal combination, or decorating the work with
pictorial matter. Three-dimensional works of
artistic craftsmanship are registrable either
in assembled form, or in unassembled component
pieces, as for example, an unassembled model
airplane.

Registration requirements for two-dimensional
useful articles, three-dimensional works of
artistic craftsmanship, and models. (cont'd)

504.01

Material not subject to copyright. Standard
elements, as such, are not registrable. Thus,
registration cannot be made for glassware de-
void of copyrightable ornamentation, or for
fabric designs consisting only of polka dots.
Moreover, the mechanical or utilitarian
aspects of a three-dimensional work of applied
art are not subject to copyright protection.
Hence, the serrated edge of a knife could not
be the basis of a copyright registration.

504.02
Examples. The following are examples of the
principles governing the registrability of
such works :

1\) A textile design consisting of nothing
more than polka dots is not registrable.
However, a representational image pro-
duced by the use of dots is registrable.

2\)
A jeweled pin consisting of three parallel
rows of stones is not registrable, while
a pin consisting of a sculpted bee is
registrable.

3\)
A copyright claim in an original stuffed
toy lion is registrable, while a plain
red cushion shaped as a five-pointed
star is not.

505

Registration requirements for the shapes of
three-dimensional useful articles. Under the
definition of pictorial, graphic, and sculp-
tural works" in the copyright law, the "design
of a useful article" is copyrightable only if,
and only to the extent that, such design incor-
porates pictorial, graphic, or sculptural
features that can be identified separately
from, and are capable of existing independently
of, the utilitarian aspects of the article.
See 17 U.S.C. 101.

500-11

505

Registration requirements for the shapes of

three-dimensional useful articles. (cont 'd)

505.01

Definition of useful article. A "useful article" is an article having an intrinsic utilitarian function that is not merely to portray the appearance of the article or to convey information. An article that is normally a part of a useful article is considered a "useful article." 17 U.s.c. 101. Examples of useful articles include automobiles, boats, household appliances, furniture, work tools, garments, and the like.

505.02

Separability test. Registration of claims to copyright in three-dimensional useful articles can be considered only on the basis of separately identifiable pictorial, graphic, or sculptural features which are capable of independent existence apart from the shape of the useful article. Determin- ation of separability may be made on either a conceptual or physical basis.

505.03

Separability testi conceptual basis. Con- ceptual separability means that the pic- torial, graphic, or sculptural features, while physically inseparable by ordinary means from the utilitarian item, are never- theless clearly recognizable as a pictorial, graphic, or sculptural work which can be visualized on paper, for example, or as free-standing sculpture, as another example, independent of the shape of the useful article, i.e., the artistic features can be imagined separately and independently from the useful article without destroying the basic shape of the useful article. The artistic features and the useful article could both exist side by side and be per- ceived as fully realized, separate works -- one an artistic work and the other a useful article. Thus, carving on the back of a chair, or pictorial matter engraved on a glass vase, could be considered for regis- tration. The test of conceptual separa- bility, however, is not met by merely

## Registration requirements for the shapes of three-dimensional useful articles. (cont'd)

505.03
Separability test: conceptual basis.
(cont'd)

analogizing the general shape of a useful
article to works of modern sculpture, since
the alleged "artistic features" and the
useful article cannot be perceived as
having separate, independent existences.
The shape of the alleged "artistic fea-
tures" and of the useful article are one
and the same, or differ in minor ways; any
differences are de minimis. The mere fact
that certain features are nonfunctional or
could have been designed differently is
irrelevant under the statutory definition
of pictorial, graphic, and sculptural works.
Thus, the fact that a lighting fixture
might resemble abstract sculpture would not
transform the lighting fixture into a copy-
rightable work.

505.04

Separability test; physical basis. The
physical separability test derives from the
principle that a copyrightable work of
sculpture which is later incorporated into
a useful article retains its copyright pro-
tection. Examples of works meeting the
physical separability test include a
sculptured lamp base of a Balinese dancer,
or a pencil sharpener shaped like an antique
car. However, since the overall shape of a
useful article is not copyrightable, the
test of physical separability is not met by
the mere fact that the housing of a useful
article is detachable from the working parts
of the article.

505.05

Separability test: factors not relevant in
determining registrability. In applying the
test of separability, the following are not
relevant considerations: 1) the aesthetic
value of the design, 2) the fact that the
shape could be designed differently, or 3)
the amount of work which went into the

505

Registration requirements for the shapes of three-dimensional useful articles. (cont 'd)

505.05 506

Separability test: factors not relevent in determining registrability. (cont 'd) making of the design. Thus, the mere fact that a famous designer produces a uniquely shaped food processor does not render the design of the food processor copyrightable.

Prints, "Prints" include a wide variety of pictorial prints and illustrations produced by means of lithography, photoengraving or other printing processes, including reproductions of representational and abstract designe and color reproductions of photographic prints. Examples of such works include greeting cards, picture postcards, posters, decals, stationery, table place mats, advertisements, various kinds of wrappers, billboards, shopping bags, and labels.

506.01

Registration requirements. In order to be entitled to registration as a print, the work must contain at least a certain minimum amount of original pictorial or graphic authorship.

506.02

Pictorial or graphic material. Registra- tion is appropriate for original pictorial or graphic material, such as illustrations and representational or abstract design, as well as photographe reproduced in color by lithography, photoengraving, or other printing processes. Although the copyrightability of such material does not depend upon artistic merit or aesthetic value, the material must contain at least a certain minimum amount of original pictorial or graphic expression to be eligible for registration.

506.03

Uncopyrightable elements. In determining the registrability of a print, the copy- right claim cannot be based solely upon mere variations of typographic ornamenta- tion, lettering, or coloring. Likewise,

the arrangement of type on a printed page cannot support a copyright claim. However,

506

Prints. (cont'd)

506.03

Uncopyrightable elements. (cont'd)

if the type is so arranged as to produce a pictorial representation, the resulting image is registrable. Thus, an advertise- ment which utilized lettering to achieve a pictorial representation of a person can be registered.

507

Reproductions of pictorial, graphic, or aculp- tural works. Material comprising reproductions of pictorial, graphic, or sculptural works" include reproductions of existing works of art. Examples of such reproductions are photoengravings, collo- types, silk-screen prints, mezzotints, and three- dimensional reproductions of sculpture.

507.01

Registration requirements. In order to be registrable, an art reproduction must contain at least a certain minimum amount of original authorship. This authorship may consist of drawing, lithography, photoengraving, etching, original sculpturing or molding, and the like. For example, a reproduction of Rodin's "Hand of God" achieved through sculpturing a minia- ture version of the original is registrable.

507.02

Derivative works. Art reproductions are derivative works because, by their nature, they are based on preexisting works. Accord- ingly, a statement identifying the preexisting artistic work and indicating the nature of the authorship in the reproduction should be given in the appropriate spaces on the application form. However, in those cases where the author and claimant of the reproduction are also the author and claimant of the original work of art that has been reproduced, and the original work has not bean previously registered or published, registration should be made as an original pictorial, graphic, or sculptural work.

### Reproductions of pictorial, graphic; or sculp- tural works. (cont'd)

507.03

Reproductions not capable of supporting a
registration. Claims to copyright in the
following works cannot be registered in the
Copyright Office:

507.03 (a)

Underlying work not a pictorial, graphic,
or sculptural work. Where the underlying
work is not a pictorial, graphic, or sculp-
tural work, no registration is possible on
the basis of reproduction authorship. For
example, a lithographic reproduction of a
letter of the alphabet is not registrable.

507.03(b)

Mechanical or photomechanical processes.

Reproductions made through the mere opera-
tion of mechanical or photomechanical
processes are not registrable. For
example, a photocopy of an original pen
and ink drawing is not registrable as
an art reproduction.

50B

Photographs, holograms, and individual slides.

Works considered for registration on the basis
of photographic authorship include still photo-
graphic prints, holograms, and individual slides.

508.01

Registration requirements, To be entitled
to copyright registration, a photograph, holo-
gram, or slide must contain at least a certain
minimum amount of original expression. Gener-
ally, original photographic or holographic
authorship depends on the variety and number
of the elements involved in the composition
of the photograph or hologram. However, the
nature of the thing depicted or the subject
of the photograph or hologram, as distinguished
from ite composition or arrangement, is not
regarded as a copyrightable element. original
photographic composition capable of supporting
registration may include such elements as time
and light exposure, camera angle or perspective
achieved, deployment of light and shadow from
natural or artificial light sources, and the
arrangement or disposition of persons, scenery,
or other subjects depicted in the photograph.

500-16

508

Photographs, holograms, and individual slides.

508.01

{cont'd) Registration requirements. (cont'd) In the case of holography, original authorship depends largely upon the selection, arrange- ment, and disposition of scene and object.

508.02 509

Uncopyrightable works. Where images are produced through the operation of mechanical or photomechanical processes with no appreciable element of artistic expression, the work is not registrable. Examples:

1) A microfilm merely reproducing public domain textual matter is not registrable.

2) The photocopy of a public domain pictorial work is not registrable.

Maps. The term "map" refers to cartographic representations of area. Common examples include terrestrial maps and atlases, marine charts, celes- tial maps, and such three-dimensional works as globes and relief models.

509.01

Registration requirements. To be regis- trable, a map must contain at least a certain minimum amount of original carto- graphic material. Examples of original cartographic material include drawings or pictorial representations of area based on original surveying or carto-graphic field work and compilations resulting from the original selection and arrangement of essentially cartographic features, such as roads, lakes or rivers, cities, political or geographic boundaries, and the like.

509.02

Compilations and derivative works. The preparation of many maps involves the use of previously published source material to a significant degree, and the copyrightable

500-17

509 Maps.

(cont'd)

509.02

Compilations and derivative works. (cont'd) authorship, therefore, is generally based upon elements such as additional compilation and drawing. Additional authorship of this kind may include cartographic representations such as new roads, historical landmarks, or zoning boundaries. Where any substantial portion of the work submitted for registra- tion includes previously published or regis- tered material, or material that is in the public domain, statements describing both the preexisting material as well as the new copyrightable authorship should be given at the appropriate spaces on the application form. See Chapter 700: APPLICATIONS AND FEES.

509.03

Elements not capable of supporting a copy- right, A mere reprint of public domain or previously published material is not regis- trable. Likewise, a claim based upon an obvious selection and arrangement of mater-

ials is not registrable. For example, an outline map of the United States containing nothing more than the names of the state capitals does not contain the necessary authorship to support registration.

510 entific nomical

Scientific works: architectural and technical

drawings and models. Material comprising sci- works includes architectural blueprints, mechanical drawings, engineering diagrams, astro- charts, anatomical models, scientific and architectural models, and similar works.

510.01

Registration requirements. In order to be entitled to registration, architectural and technical drawings must contain at least a certain minimum amount of original graphic or pictorial matter. A scientific or archi- tectural model must contain at least a certain minimum amount of original sculptural material.

## Scientific works: architectural and technical drawings and models. (cont'd)

510.02
Uncopyrightable works. Claims to copyright
in the following works cannot be registered in
the Copyright Office:

510.02 (a)

Devices. Devices and similar articles,
designed for computing and measuring,
cannot be registered. Common examples of
such works include slide rules, wheel dials,
and nomograms that contain insufficient
original literary or pictorial material.
The printed material of which a device
usually consists (lines, numbers, symbols,
calibrations, and their arrangement) cannot
be copyrighted, because this material is
necessarily dictated by the uncopyrightable
idea, principle, formula, or standard of
measurement involved.

510.02 (b)

Blank forms. Blank forms and similar
works which are designed for recording
information and do not in themselves con-
vey information, cannot be registered.
Common examples include: forms calibrated
for use in conjunction with a machine or
device, report forms, graph paper, account
books, scorecards, order forms, vouchers,
and the like. See 37 C.F.R. 202.1(c).

510.03

Ideas, processes, or systems. Copyright
protection does not extend to ideas, pro-
cesses, or systems. Scientific or tech-
nical works are registrable only if they
contain the requisite original copyright-
able expression. The following are not
protectible by copyright and do not offer a
basis for copyright registration: 1) ideas
or procedures for doing, making, or build-
ing things; 2) scientific or technical
discoveries or methods; 3) business
operations or procedures; 4) mathematical
principles; or 5) any other concept, pro-
cess, method of operation, or plan of
action. See 17 U.S.C. 102 (b) .

## 510 Scientific works: architectural and technical drawings and models. (cont'd)

510.04
Subjects depicted. Where registration is
sought for a scientific or technical work,
the application should describe only the
authorship contained in the work and not
bear any statements which suggest that
registration extends to the subjects
depicted. Thus, the application for
registration of a claim to copyright in an
architectural drawing of a building should
contain no statements which imply that the
registration extends to the building. See
17 U.S.C. 113 (b).

[END OF CHAPTER 500]

)

# CHAPTER 600

## REGISTRATION PROCEDURES

### OUTLINE OF TOPICS

601

Applicability of this chapter.

602

Registration: in general.

602.01

Registration: when necessary to preserve

602.02 602.03

Registration distinguished from recordation.

603

Elements required for basic registration.

604

Application forms.

604.01

Application forms: continuation sheets.

605

Examination process.

605.01

Examination process: communications about registration requirements.

605.02

Examination process : variances.

605.03

Examination process : annotations.

605.04

The examination process: response from applicant.

605.05

Examination process: "rule of doubt."

605.06

Examination process: cautionary or warning letters.

605.07

Examination process : not diminished by special handling.

606 Refusal

to register.

606.01 606.02

Refusal to register: unregistrable material.

Refusal to register: failure to meet other Legal requirements of copyright.

606.03

Refusal to register: applicant unauthorized.

606.04

Refusal to register: request for reexamina- tion.

607

Registration as a single unit.

607.01 607.02

Registration as a single unit: published Registration as a single unit: unpublished works. collections.

608

Works containing elements that are separately

owned.

609

One basic registration per work.

609.01 609.02

One registration per work: exceptions. Separate applications for separately iden- tifiable parts.

610

Registering different versions of a work.

610.01

Registering different copyrightable versions of a work: unpublished works.

610.02

Registering different copyrightable versions of a work: published works.

610.03

Registering different versions of an unpub- lished work; versions containing uncopy- rightable differences.

610.04

Registering different versions of a published work: versions containing uncopyrightable differences.

610.05

Registering different versions of an unpub- lished work: overlapping or duplicate claims in different versions, one version more com-

610.06 610.07

Registering different versions of a published plete. work: one version more complete.

Registering different versions of a work published at the same time: overlapping ver- sions.

[Number 611 is reserved.]

#### 612 Examining practices in regard to spaces on appli- cation form.

612.01 612.02 612.03

General policy: location of Information. General policy: minimum standards. General policy: correspondence to cover all informalities.

613

Title of the work.

613.01

Title of the work: omitted.

613.02

Title of the work: nondescriptive titles.

613.03

Title of the work: foreign-language titles.

613.04

Title of the work: variances.

613.05

Title of the work: unpublished collections.

613.06

Title of the work: contributions to published

collections.

613.07

Title of the work: previous or alternative titles.

614

Nature-of-work space.

614.01

Nature-of-work space: both nature-of-work and

Nature-of-authorship statements omitted.

614.02

Nature-of-work space: elements not contained

614.03

in deposit. Nature-of-work space: reference to uncopy- rightable elements.

615

Name of author.

615.01

Name of author : anonymous and pseudonymous works.

615.02

Name of author: performing group designated

by a single fictitious name.

615.03

Name of author: identity of the author.

615.04

Name of author: works made for hire.

615.05

Name of author: separate or Independent

works.

615.06

Name of author: collective work authorship.

615.07

Name of author: form of name.

615.08

Name of author: when authorship is deter- mined.

616 Dates

of birth and death.

616.01

Date of birth.

616.02

Date of death.

617

Government works.

617.01

United States Government works.

617.02

Government works: edicts of government.

617.03

Government works: copyrightable government works.

617.04

Government works: copyrightable elements combined with uncopyrightable government works.

618

Author's nationality or domicile.

618.01 618.02

Author's nationality or domicile: corpora- Author's nationality or domicile: works tions. published under 1909 Copyright Act.

619

Nature-of-authorship statement.

619.01

Nature-of-authorship statement: location on application.

619.02

Nature of authorship: appropriate descrip- tion.

619.03

Nature of authorship: nonspecific descrip- tion.

619.04

Nature-of-authorship statement: omitted.

619.05

Nature of authorship: percentage.

619.06

Nature of authorship: claim in unregistrable material.

619.07

Nature-of-authorship statement at variance with statement on deposit,

619.08

Nature-of-authorship statement at variance with deposit.

619.09

Nature-of-authorship statement: unclear.

619.10

Nature-of-authorship statements: derivative works.

\- 5 -

619

Nature-of-authorship statement. (cont'd)

619.11

Nature-of-authorship statements: compila- tions.

620 Date

of creation.

620.01

Date of creation : creation over a period of

620.02 620.03

Date of creation: multiple versions of a time. work. Date of creation: apparently incorrect.

621

Publication.

621.01

No publication information given.

621.02

Publication information given.

621.03

Publication: extraneous statements on application.

621.04

Publication: place of publication given without date.

621.05

Publication: complete date of publication.

621.06

Publication: more than one date given.

621.07

Publication: errors and inconsistencies in date of publication.

621.08

Publication: nation of first publication omitted.

621.09 621.10

Publication: identification of nation of first publication.

Publication: first published in different countries on the same day.

622 Claimant

: defined,

622.01

Name of claimant; required, with address.

622.02

Claimant: variance between claimant on application and name in notice of copyright.

622.03

Claimant: abbreviated names at the claimant space.

622.04

Claimant: pseudonym at claimant space.

622.05

Claimant: alternative claimants at the claimant space.

622.06

Claimant: future and contingent Interests.

622.07

Claimant: corporation sole at claimant space,

622

Claimant: defined. (cont'd)

622.08 622.09

Claimant: legal and equitable owners at claimant space. Claimant: Incorporation of claimant's name by reference.

622.10

Claimant: designation of groups at claimant

622.11

Claimant: owner for limited term. space.

622.12

Claimant: deceased person named at claimant

622.13

Claimant: clarity of number of claimants. space.

622.14

Claimant: number of claims.

623

Transfers of copyright.

623.01

Transfere of copyright: transfer statements on the application distinguished from docu- ments.

623.02

Transfer statements: non-author as claimant.

623.03

Transfer statements: acceptable.

623.04

Transfer statements: unacceptable.

623.05

Transfer statement: extraneous information.

624

Previous registration space on the application.

624.01 624.02

Previous registration question answered "Yes:" practices. Previous registration: question answered "No."

625

Compilations.

625.01

Compilations: appropriate application form.

625.02

Compilations: registrable.

625.03

Compilations: unregistrable.

625.04

Compilation statements.

625.05

Compilation statements: acceptable.

626

Derivative works: definition.

626.01

Derivative works: general practices.

626.02

Preexisting material : when statement required.

626

Derivative works: definition,

(cont'd)

626.03

Derivative-work statement "Preexisting Material" or This Work" space.

given in either "Material Added to

626.04

Derivative works: material-added statement.

626.05

Material-added statement: material.

unregistrable

626.06

Material-added statement: minimal elements.

description of

[Number 627 is reserved.]

628

#### Reproduction for use of blind or physically- handicapped individuals.

629

##### Certification by applicant.

629.01

Certification by applicant: authority to
submit application.

629.02

Certification by applicant: owner of exclu-
sive rights.

629.03

Certification by applicant: form of signa-
ture.

629.04

Certification by applicant: date of certifi-
cation.

630

Effective date of registration.

630.01

630.02

630.03

630.04

Effective date application.

of registration:

acceptable

Effective deposits.

date

of registration:

acceptable acceptable

Effective

date

of registration:

Effective date of registration: effect of fee. receiving necessary minimal elements.

631
632

Referrals.

Cancellation.

632.01

632.02

632.03

General policy.
Circumstances under which a registration will
be cancelled.
Cancellation of renewal claim.

601

Applicability of this chapter. This chapter
states the Copyright Office practices and pro-
cedures for registering original claims to
copyright. For renewal registrationa, dee
Chapter 1300: RENEWAL OF COPYRIGHT. For sup-
plementary registrations, see Chapter 1500:
CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT
OFFICE RECORDS; SUPPLEMENTARY REGISTRATIONS.

602

Registration: in general. Copyright registration
Is Intended to make a public record of the basic
facts of a particular copyright. In general, the
copyright law does not require registration as a
condition of copyright protection; but see sec-
tion 602.01 below. Registration may, however,
provide important advantages to copyright owners.
Among these advantages are the following :

Registration establishes a public record of
the copyright claim.

b) Ordinarily registration is necessary before a
copyright action for Infringement may be
filed In court. See 17 U.S.C. 411 (a).

c)
If made before or within five years of
publication registration is prima facie
evidence of the validity of the copyright and
of the facts stated in the certificate. See
17 U.S.C. 410(c).

d)
Statutory damages and attorney's fees may be
awarded to the copyright owner in a court
action, if registration is made before
infringement occurs or if registration ia
made within three months after publication.
See 17 U.S.C. 412.

See also Chapter 100: BASIC POLICIES.

602

Registration: in general. (cont'd)

602.01

Registration: when necessary to preserve copyright. Copyright registration is re- quired to preserve &amp; copyright that would otherwise be invalidated because one or more of the required elements in the notice was omitted, or because the notice contained an error equivalent to no notice under the stacute.

602.02

Registration: when registration may be made. In general, registration may be made at any time during the life of the copyright. See 17 U.S.C. 408(s) and 302-305, With the exception of certain foreign works protected under provisions that implement the Universal Copyright Convention, works published before 1978 must be registered during the first term of copyright to be eligible for renewal registration. During the last year of the first term, an original and renewal claim for a work may be submitted together. See Chapter 1300: RENEWAL OF COPYRIGHT.

602.03

Registration distinguished from recordation. Registration and recordation are two separate acts: claims to copyright are registered; documents are recorded. For registration, the copyright owner sends a deposit, together with an application form and filing fee, in order to make the information concerning the claim to copyright a part of the Copyright Office records; but it is not generally required in order to obtain registration chat a document of transfer be submitted. For recordation, the actual document (for example, a transfer or license) is sent. Applications or deposit copies or phonorecords do not serve this purpose.

602.03

###### Registration distinguished from recordation. (cont'd)

See 17 U.S.C. 205 and Chapter 1600: RECOR-
DATION OF TRANSFERS AND OTHER DOCUMENTS
PERTAINING TO A COPYRIGHT. In addition, the
Office will not accept an application for the
dual purpose of registering a claim and
recording a document. See section 623 below.

603

Elements required for basic registration. The
elements required for basic registration are 1) a
completed application form; 2) the statutory fee;
and 3) the appropriate deposit. See Chapter 700:
APPLICATIONS AND FEES, and Chapter 800: DEPOSIT
FOR REGISTRATION. These three elements should be
sent to the Copyright Office in the same package.
In general, if these elements are not sent
together, the Office will not begin the regis-
tration process. Instead it will return the
partial submission and will send the applicant
instructions on how to apply for copyright
registration. Published deposits received
without an accompanying application and either a
fee or a deposit account notation, will be
forwarded to the appropriate department of the
Library of Congress for use or disposal. Such
deposits will not thereafter be available for
registration. See 37 C.F.R. 202.19(f).

604

Application forms. The Copyright Office pre-
scribes five basic registration forms: Form SE
for serials, Form TX for other nondramatic
literary works, Form PA for works of the per-
forming arts (musical works, dramatic works,
choreographic works, pantomines, motion pictures,
and other audiovisual works), Form SR for sound
recordings, and Form VA for works of the visual
arts (pictorial, graphic, and sculptural works).
In general, the application should be submitted
in the class most appropriate to the type of
authorship that predominates in the work being
registered. See Chapter 700: APPLICATIONS AND
FEES.

###### 604 Application forms. (cont'd)

604.01

Application forms: continuation sheets. In most cases, there is ample space on the principal application form for all the necessary information. Where there is not, the applicant should use an official con- tinuation sheet provided by the Copyright Office. If the required information is given only on the continuation sheet, the Copyright Office may add it to the principal applica- tion (if the application has been signed) and file the continuation sheet, or it may use the continuation sheet with the principal application. If the continuation sheet con- tains solely duplicate material, the Copy- right Office will use only the principal application in making registration. In such cases, the continuation sheet may be dis- carded.

605

Examination process. When the Copyright Office determines that the material deposited consci- tutes copyrightable subject matter and that the other legal and formal requirements of the copyright law have been met, it will register the claim and send to the applicant a certificate of registration under the seal of the Copyright Office. See 17 U.S.C. 410(a).

605.01

Examination process: communications about registration requirements. Generally, where the registration material is unacceptable or subject to question, the Copyright Office will communicate with the applicant. See Chapter 100: BASIC POLICIES. In general, the Office will not question the accuracy of a statement made on an application. However, the Copyright Office will communicate with the applicant where the material is subject to question, as for example, where the application is ambiguous, substantially incomplete, in conflict with other infor- mation in the registration material, or with

605

Examination procesa. (cont'd)

605.01

Examination process : communications about registration requirements. (cont 'd) information of which the Copyright Office may take administrative notice, or indicates mis- understanding of registration requirements. See also Chapter 100: BASIC POLICIES, section 108.5.

605.02

Examination process : variances. A variance exists when contradictory information is present in the registration materials.

605.02(a)

Variancea: disregard. Where the variance Is Immaterial, the Copyright Office will disregard it. Example : The application names John Thomas James as author. The phonorecords deposited for registration give the author's name as Jon T. Thomas. The Copyright Office will accept the application.

605.02(b)

Variances: annotate. Where the variance Is not immaterial but can be resolved for the purposes of registration, the Copy- right Office will annotate the applica- tion to show the varying information. See section 605.03 below. Examples :

1) The title of the work on the phono- record deposited for registration is "The Quick Brown Fox." The applica- tion gives the title as "The Brown Quick Fox." The Copyright Office

605
605.02

605.02(b)

Examination process. (cont'd)

Examination process : variances. (cont'd)

Variances: annotate. (cont'd)

Examples: (cont'd)

1\)
(cont'd)
will annotate the application to
reflect the title appearing on the
phonorecords.

2\)
The title on the copies is "On
Nuclear Rearmament"; the application
gives the title as, "No Nuclear
Rearmament." The Copyright Office
will annotate the application to
reflect the title appearing on the
copies.

605.02(c)

Variances: communicate. Where the
variance is substantial, the Copyright
Office will communicate with the appli-
cant.

Example :

The application gives the name of the
author as "Mary Smith"; the name of
the author on the copy is "Jane
Amber." In the absence of infor-
mation that one of the names is a
pseudonym or that the work was made
for hire, the Copyright Office will
ask the applicant to explain the
variance in the author's name.

605.03

Examination process: annotations. An anno-
tation is a statement added to the applica-
tion by the Copyright Office to amplify the
record of facts affecting the copyright
claim. Specifically, annotations are made
for the following purposes :

605
605.03

#### Examination process. (cont'd)

Examination process: annotations. (cont'd)

1\)
To reflect certain variances, as noted at
section 605.02 above.

2\)
To add missing information, for example,
from the deposit, a continuation sheet or
a rider to the application, a previous
application, a letter from the applicant,
a telephone conversation, or a personal
interview.

3\)
To add comments to the application, for
example, to note an antedated copyright
notice, to note overlapping claims, to
note references by applicant to previous
correspondence as "previous registra-
tion," to note references to riders or
documents, or to note grants of special
relief.

4\)
Where authorized by applicant or where
otherwise appropriate, to correct or
delete errors on the application.

605.03 (a)

Annotations: form. Annotations should be
typewritten or stamped in the space
marked "For Copyright Office Use Only,"
and should Include the source of the
information. Amendments should be keyed
by asterisks to numbered spaces on the
application.

605.04
The examination process: response from
applicant. In general, after the Copyright
Office has communicated with the applicant
about an error or question, the applicant
must respond within a reasonable time, or
the file will be closed. Once the file has
been closed, the applicant must submit a
new application, deposit, and filing fee
before the Office can reconsider registra-
tion.

605.05

Examination process: "rule of doubt." The
Copyright Office will register a claim even
though there is a reasonable doubt about the
ultimate action which might be taken under
the same circumstances by an appropriate
court with respect to whether (1) the mate-
rial deposited for registration constitutes
copyrightable subject matter or (2) the other
legal and formal requirements of the statute
have been met. See Chapter 100: BASIC
POLICIES.

605.05

Examination process: cautionary or warning
letters. When registration is made under the
rule of doubt, the Copyright Office may send
a letter to the applicant cautioning that the
claim may not be valid and stating the
reason; and such a letter may warn, where
appropriate, that the problem may exist for
future works and point out how it can be
avoided.

Examination process: not diminished by spec-
Iel handling. Notwithstanding the expedited
treatment accorded special handling cases,
these cases receive full examination by the
Copyright Office.

605.07
606

Refusal to register. In any case in which the
Register of Copyrights determines that, in
accordance with the copyright law, the material
deposited does not constitute copyrightable
subject matter or that the claim is invalid for
any other reason, the Copyright Office will
refuse registration and will notify the applicant
in writing of the reasons for such refusal. See
17 U.S.C. 410(b), and Chapter 100: BASIC POLI-
CIES.

## Refusal to register. (cont'd)

606
606.01
Refusal to register: unregistrable material.
Unregistrable material Includes the follow-
ing:

a )
Published works ineligible because of the
nationality of the author or place of
first publication. See 17 U.S.C. 104 (b),
Chapter 1100: ELIGIBILITY.

b)
Works not fixed in a tangible medium of
expression; see Chapter 200: COPYRIGHT-
ABLE MATTER - IN GENERAL.

c)
Sound recordings fixed before February
15, 1972. See 17 U.S.C. 301 (c), and
Chapter 40D: COPYRIGHTABLE MATTER - WORKS
OF THE PERFORMING ARTS AND SOUND RE-
CORDINGS.

d)
Works that are not "original works of
authorship." See 17 U.S.C. 102 (a), and
Chapter 200: COPYRIGHTABLE MATTER - IN
GENERAL.

e)
Works whose term of copyright has ex-
pired.

f)
Works of the United States Government.
See 17 U.S.C. 101 and 105.

8\)
Certain works that unlawfully employ pre-
existing copyrighted material. See 17
U.S.C. 103 (a).

h)
Musical arrangements made under a com-
pulsory license without the express
consent of the copyright owner of the
preexisting work. See 17 U.S.C. 115.

606

Refusal to register. (cont'd)

606.01

Refusal to register: unregistrable material. (cont 'd)

i) Derivative works made under 17 U.S.C. 112(e) without the express permission of the copyright owner of the preexisting works employed In the transmission pro- gram. See 17 U.S.C. 112(e).

606.02

Refusal to register: failure to meet other legal requirements of copyright. Where the claim Is Invalid because certaIn other legal requirements have not been met, the Copyright Office will refuse registration. Examples include :

1) A work that went into the public domain before 1978, as determined by the law of 1909, as amended. See section 103 of the Transitional and Supplementary Provisions

of the current Act and Compendium I.

2) In certain cases, works published under the current act without the required notice which were not registered within

five years after such publication. See 17 U.S.C. 405(a), and Chapter 1000: NOTICE OF COPYRIGHT.

606.03

Refusal to register : applicant unauthorized.

An application for registration can be sub- mitted only by a person entitled to do so. See 37 C.F.R. 202.3(c) (1). The Copyright

Office will refuse to register a claim when it has knowledge that the applicant is not authorized to submit the claim. See section 629.01 below.

600-11

606

Refusal to register. (cont'd)

606.04 607 607.01 607.02

Refusal to register: request for reexamina- Elon. When the Copyright Office has refused a claim as submitted, it notifies the appli- cant in writing of the refusal to register. After such notification, the applicant may set forth in writing his or her objections to the refusal and request that the Office reconsider its action. If the claim is refused after reconsideration, the head of the appropriate Examining Division section will send the applicant written notifica- tion of the reasons for refusal. The applicant may again request reconsidera- tion. If the claim is refused again, the Chief of the Examining Division will notify the applicant in writing of the reasons. The Division Chief's decision constitutes final agency action.

Registration as a single unit. Single unitary works are ordinarily registered with one appli- cation, deposit, and fee. Under Copyright Office regulation, certain other works may also be registered as a single unit. See 37 C.F.R. 202.3(b) (3).

Registration as a single unit: published works. Works that are otherwise recognizable as self-contained may be registered on a single application and upon payment of a single fee, if they are first published in a single unit of publication and the copyright claimant of all works in the unit is the same. See 37 C.F.R. 202.3(b) (3) (A) ; see also 37 C.F.R. 202.3(b) (5).

Registration as a single unit: unpublished collections. For the purpose of registration on a single application and payment of a single fee, a number of unpublished works may be registered as a single work, if:

607
Registration as a single unit. (cont'd)

607.02
Registration as a single unit: unpublished
collections. (cont 'd)

1\)
The elements are assembled in an orderly
form:

2\)
The combined elements bear a single title
identifying the collection as a whole;

3\)
The copyright claimant in all of the
elementa, and in the collection as a
whole, is the same; and

4\)
All of the elements are by the same
author; or, if they are by different
authors, at least one of the authore has
contributed copyrightable authorship to
each element.

See 37 C.F.R. 202.3(b) (3) (1) (B).

607.02(a)
Unpublished collections: conditions not
met. Where it is reasonably clear that
the conditions for registering unpub-
lished collections have not been met, the
application will be questioned. However,
where two or more titles are given in the
title space on the application, the Copy-
right Office will annotate the applica-
tion to show that the collection is
indexed only under the first title.

Examples :

1\) An application is submitted for four
selections naming A as an author of
all four selections and B as a co-
author of two selections. The
copyright notices name A as the

## Registration as a single unit. (cont'd)

607
607.02
Registration as a single unit: unpublished
collections. (cont'd)

607.02(a)
Unpublished collections: conditions not
met. (cont d)

Examples: (cont'd)
1)
(cont'd)

sole claimant of the selections of
which he or she was sole author, and
che notices for the other two selec-
tions name A and B. The Copyright
Office will communicate with the
applicant to determine whether all
four selections are the subject of a
single claim.

2\)
Seven works are submitted with an
application naming A and B as authors
and claimants. A wrote the first
three works in the collection, and B
wrote the other four selections. The
Copyright Office will request chat
the applicant regroup the works and
submit applications and fees for two
collections. Or, the applicant may
wish to submit separate applications
and fees for each work.

3\)
Form SR gives author A as author of
words, music, and performance for all
songs in the collection and author B
as author of words and music only.
The claimants are A and B. The
Copyright Office @f11 communicate
with the applicant to verify whether
author B (apparently having contri-
buted no sound recording authorship),
is a joint claimant of the sound
recording. If author B is a joint

600-14

607

Registration as a single unit. (cont'd)

607.02

Registration as a single unit: unpublished collections. (cont 'd)

607.02(a)

Unpublished collections: conditions not met. (cont'd) Examples: (cont'd) 3) (cont'd) claimant, a transfer statement will be requested. See section 623 below. If he or she is not, the common claimant requirement has not been met as to the sound recording. In chat case, the Copyright Office will request a separate Form PA for the words and music and a separate Form SR for the sound recording, as well as an additional fee. Unpublished collections: extent of claim. Registration of an unpublished collection extends to each copyrightable element in the collection and to the authorship, if any. involved in selecting and assembling the collection. See 37 C.F.R. 202.03 (b) (3) (1) (B).

607.02(b)

608

Works containing elements that are separately owned. Works embodied in a single unit that are separately owned must be registered separately. Example:

A book containing a literary work by one author and pictorial illustrations by another author is submitted with an application naming both authors as authors and claimants. An accompanying letter states that each

Works containing elements that are separately
owned. (cont 'd)

Example: (cont'd)

author is the owner of his or her respective
contribution. The Copyright Office will
request for each work a separate fee and
separate application containing appropriate
limiting statements. One appropriate deposit
will suffice. See Chapter 800: DEPOSIT FOR
REGISTRATION.

609
One basic registration per work. In general, the
copyright owner may make only one basic registra-
tion per work. See 37 C.F.R. 202.3(b) (6).

609.01
One registration per work: exceptions. The

rule of one basic registration per work is
subject to certain exceptions, for example :

1\)
A work registered in unpublished form is
later published without change. See 37
C.F.R. 202.3(b) (6) (1) :

2\) After another claimant has registered the
work, the author seeks another basic
registration, naming the author as
claimant. See 37 C.F.R. 202.3(b) (6)
(ii); see also section 624.01 (a) below;

3\) A qualified applicant states that an
earlier registration was unauthorized
and invalid. See 37 C.F.R. 202.3(b)
(6) (LEL) .

See also Chapter 100: BASIC POLICIES, section
108.06.

609.01 (a)

Applications that overlap in part rece-
Ived at the same time on behalf of the
same claimant for the same work in
different classes. In general, where the

609

## One basic registration per work. (cont'd)

### 609.01 (a)

One registration per work: exceptions.
(cont d)

Examiner is aware that applications that
overlap in part were received at the same
time on behalf of the same claimant in
different classes, the Copyright Office
will register both claims and indicate by
annotation that the claims overlap in
part.

Examples:

1\)
Forms PA and SR, submitted for unpub-
lished works on behalf of the same
claimant, are received in the Copy-
right Office on the same day. Each
application describes the claim as
"Music and Sound Recording." Both
claims will be registered. The Form
PA will be annotated to state: "Sound
recording registered separately in
Class SR." The Form SR will be anno-
tated to state: "Music registered
separately in Class PA."

2\)
A corporation submits two applica-
tions, one on Form VA and the other
on Form TX, for two posters published
on the same day. One poster contains
artwork: the other contains the same
artwork plus copyrightable text. The
Form TX will be annotated to state:
"Artwork registered separately in
Class VA."

609.02
Separate applications for separately iden-
EIFiable parts. Separate applications will
be accepted for separately Identifiable parts
of & work.

## One basic registration per work. (cont'd)

### 609.02 Separate applications for separately identi- Fiable parts. (cont 'd)

Example:

A multimedia kit, including a motion pic-
ture and a workbook, is submitted along
with two applications, a Form PÅ stating
a claim on the motion picture, and a Form
TX stating a claim on the workbook. Each
application names the same claimant.
Both of the applications are acceptable.

610

Registering different versions of a work. The
definition of created (17 U.S. C. 10) states
that different versions constitute separate
works. When registration is sought for different
versions and separate applications are submitted
to the Copyright Office at the same time, the
manner of registering these works depends on
whether they contain copyrightable differences
distinguishable under the copyright law, and
whether they have been published.

610.01

Registering different copyrightable versions
of a work: unpublished works. Where two or
more unpublished versions of a work are
submitted together and each version contains
different copyrightable material sufficient
to support a claim on its own, the Copyright
Office will register the claims separately,
if separate applications and fees are sub-
mitted. The applications need contain no
limiting statements to account for the
similar material being registered in the
other versions. See section 621 below. If a
single application, fee, and single title are
provided for the works and the other require-
ments are met, the Office will register the
different versions as an unpublished collec-
tion.

610

Registering different versions of a work. (cont'd)

610.01

Registering different copyrightable versions of a work: unpublished works. (cont 'd)

Examples :

Applicant submits three applications and three versions of an unpublished musical composition for SSA, SATB, and SAB voice groupings, the three versions containing essentially the same melody and rhythm. If the versions contain copyrightable differences -- if, for example, they contain different harmonic arrangements -- each claim may be registered without limitations.

A single application and fee are sub- mitted with a group of T-shirt designa. The artwork on several of the designa is identical, except that the captions are different. The claim is in "artwork." The claim will be registered as sub- mitted.

610.02

of or

Registering different copyrightable versions a work: published worka. As a rule, works published separately must be registered sepe- rately, including versions which have been published separately on the same day. An exception to this rule is made for news-

papers, which may be registered with one

application and fee, provided the editions

sections were published on the same day.

### 610 Registering different versions of a work. (cont d)

610.02
Registering different copyrightable versions
of a work: published works. (cont'd)

Examples :

1\) A single application giving a single date
of publication is submitted with copy-
rightably different versions of the same
musical composition -- for SSA, SAB, and
SATB. If there is no indication that
these versions were not first published
as a unit, the Copyright Office will
register the claims.

2\)
An application giving a single date of
publication is submitted with a news-
paper, "The Washington Daily," and
regional inserts from Prince George's
County, Montgomery County, and the
District of Columbia. The application
and deposit will be considered accept-
able.

3\)
An application is submitted with two
versions of a newspaper, the Morning
Edition and the Late Edition of the
"Baltimore Post." Although the editions
were published at different times during
the day, the application will be con-
sidered acceptable.

610.03

Registering different versions of an unpub-
lished work: versione containing uncopy-
rightable differences. Where two or more
unpublished versions of a work contain only
uncopyrightable differences, the applicant

610.03

Registering different versions of an unpub-
Ished work: versions containing uncopy-
righcable differences. (cont d)

may make only one registration. All versions
of the work, however, may be included in one
deposit.

Example:

An applicant submits three Christmas
cards with the same visual and textual
content; each card is a different color.
Three applications and fees are submit-
ted. The Copyright Office will communi-
cate with the applicant stating that only
one registration may be made, but that
all versions may be included in a single
registration.

610.04

Registering different versions of a published
work: versions containing uncopyrightable
differences.

. Where two or more versions containing the
same copyrightable content have been pub-
lished in the same unit, the Copyright
Office will make only one registration,
including all components.

. Where the versions have been published
separately but at the same time, the
Office will register only one claim. In
such cases, the applicant should deposit
the best edition. See 43 Fed. Reg. 766
and Chapter 800: DEPOSIT FOR REGISTRATION.
If none of the published versions can be
considered better than the others, the
applicant may choose the version he or she
wishes to deposit and register.

610.04
Registering different versions of & published
work: versions containing uncopyrightable
differences. (cont'd)

. Where the versions have been published
separately at different times, the Office
will register only one claim. The appli-
cation should give the date of first pub-
lication, and In such cases, the applicant
should deposit the best edition. If none
of the published versions can be consid-
ered better than the others, the applicant
may submit whichever version he or she
prefers.

Examples :

1\)
An application, filing fee, and iden-
tifying material for jewelry designs are
received for a published collection of
earrings, bracelet, pendant, and pin.
All components of the set contain the
same copyrightable authorship. The
Copyright Office will register the claim
as submitted, accepting the set as the
unit of publication. See 37 C. F. R.
202.3 (b) (3) (A).

2\)
Three applications are submitted with
high, medium, and low voice versions of a
book of musical selections entitled
"Wedding Classics." The date of publi-
cation on each application is the same.
Since the only difference among the
versions is that they are in different
keys, the Copyright Office will register
only one claim. The appropriate deposit
depends on the unit of publication. If
the versions were published together, the
Copyright Office will accept all the

610

Registering different versions of a work.
(cont 'd)

610.04
Registering different versions of a published
work: versions containing uncopyrightable
differences. (cont 'd)

Examples: (cont'd)

2\) (cont'd)

components in making one registration.
If they were published separately, the
applicant may deposit the version he or
she prefers.

3\)
Separate applications are received for
two books of poems. The literary and
pictorial content of the books is the
same; however, one edition is published
in hardcover, while the other edition is
paperback. The applications indicate
that the hardcover edition was published
two months after the paperback edition.
Only one claim will be registered. The
Copyright Office will use the application
giving the first date of publication and
the hardcover edition as the best edition
as of the date of deposit.

610.05

Registering different versions of an unpub-
lished work: overlapping or duplicate claims
in different versions, one version more
complete, Where an applicant submits two or
more versions of the same unpublished work,
separate registrations may be made if the
versions contain copyrightable differences.
If there are no copyrightable differences,
registration will be made for the most
complete version, or a single registration
may be made for all of the versions, if the
conditions for an unpublished collection are

Registering different versions of a work.
(cont d)

610.05

Registering different versions of an unpub-
Ilshed work: overlapping or duplicate claims
In different versions, one version more
complete. (cont'd)

met. See section 607.02 above. However, if
there are separable types of authorship into
which the work may be divided, separate
claims may be registered provided the
applications clearly define the extent of
each claim.

Examples :

1\)
Two versions of an unpublished Kiwanis
Song Book with separate applications and
fees are submitted, one containing only
song lyrics, the other containing the
song lyrics set to music. Both versions
may be registered with an annotation to
the application for the most complete
version stating "Song lyrics registered
separately."

2\)
Two applications and fees are submitted
for an unpublished black and white line
drawing and a color version containing
the same copyrightable content. The
Copyright Office will register only one
claim but will include both versions in
the deposit for registration.

3\)
Two applications and fees are submitted
with two versions of a drama: a two-act
version and a three-act version. The
two-act work is a registrable abridgment.
Both applications will be accepted.

Registering different versions of a work.
(cont 'd)

610.06

Registering different versions of a published
work: one version more complete. The manner
of registering published versions -- where
one version embodies the entire copyrightable
content of another version and also contains
additional copyrightable material -- dependa
on when the versions were published.

610.06 (a)

Registering different versions of a
published work: lesa complete version
published first. If the less complete
version was published first, both ver-
sions may be registered. The claim in
the more complete version should cover
only the material not previously pub-
lished, that is, the application should
contain a statement limiting the claim.

Example :

A book of photography is submitted
with an application giving a publi-
cation date of June 2, 1983. The
claim is in "Photographe." Another
book containing the same photographs
and some sketches is submitted at the
same time. The application for this
work gives the publication date as
June 15, 1983. The claim is in
"Photographs and drawings." Both
claima may be registered. The
application for the book containing
the photographs alone may be accepted
aa submitted. The Copyright Office
will communicate with the applicant
for a limitation of the claim on the
application for the later published
book.

#### 610 Registering different versions of a work. (cont a) 610.06 Regiatering different versions of a published work: one version more complete. (cont 'd)

610.06(b)
Registering different versions of a

published work: more complete version
published first. If the more complete
version is published first, the Less
complete version may not be registered;
the Copyright Office will not knowingly
register a claim in a work where all of
the copyrightable content has been pre-
viously published.

Example :

Separate applications are received
for the Teacher 's and Student's
Edition of a textbook. The Teacher's
Edition contains all of the text and
pictorial material in the Student's
Edition, plus additional instruc-
tions, questions, answers, and
commentary. The application for the
Teacher's Edition gives January 22.
1980 as the publication date. The
date of publication for the Student's
Edition is February 1, 1980. The
Copyright Office will register the
Teacher's Edition but will refuse to
register the claim in the Student's
Edition.

610.06(c)

Registering different versions of a pub-
Ilshed work where one verslon more com-
plete: versions published at the same
time. Where two or more versions are
published separately, but at the same
time, with one version being more
complete, one registration may be made

Registering different versions of a work.
(cont 'd)

610.06
Registering different versions of a published
work: one version more complete. (cont'd)

610.06(c)
Registering different versions of a pub-
Ilshed work where one version more com-
plete: versions published at the same
time. (cont 'd)

for the most complete version. IF the
applicant wishes, and the more complete
versions contain additional copyrightable
material, separate registrations may be
made. In such case, the applications,
preferably at the title space, should
clearly distinguish the versions from one
another.

Examples :

1\)
Separate applications are submitted
for two versions of a musical com-
position that are published on the
same day. One version contains music
and lyrics in the English language,
the other contains Spanish lyrics in
addition to the English lyrics and
music. Both applicationa claim in
"music and lyrics." The Copyright
Office will annotate the application
for the Spanish version stating:
"English lyrics and music registered
separately."

2\)
Separate applications are submitted
for two versions of a racetrack pro-
gram: one, a photograph of "Swale,"
the 1984 winner of the Kentucky
Derby, and another containing that
same photograph plus a second photo-
graph depicting his trainer. Both

Registering different versions of a work.
(cont 'd)

610.06
Registering different versions of a published
work: one version more complete. (cont d)

610.06(c)

Registering different versions of a pub-
Iished work where one version more com-
plete: versions published at the same
time. (cont d)
Examples: (cont'd)

2\) (cont'd)

applications will be accepted, but
the application for the version con-
taining the two photographs will be
annotated: "Authorship in photograph
of horse registered separately.

610.07

Registering different versions of a work
published at the same time: overlapping
versions. Where different versions are
publIshed separately but at the same time,
and the elements of one version are not
completely subsumed In another version,
separate registrations may be made without
annotating the applications or otherwise
limiting the claims.

Example:

Separate applications are submitted for
two versions of a book published on the
same day: one in English with illustra-
tions, and the other in Swedish, con-
taining the same illustrations, Both
applications state: "Text and illustra-
tions" as the basis of claim. The
applications will be accepted as sub-
mitted.

[Number 611 is reserved.]

612
Examining practices in regard to space on appli-
cation form. The following states the general
examining practices for each space on the appli-
cation form.

612.01
General policy: location of information. In
general, although the required Information
should be given in the appropriate space, the
Copyright Office will not require a new
application where the required information is
given elsewhere on the application form or on
a "rider." Riders do not remain with the
application after the Office has registered
the claim. See section 605.03 above.

612.02
General policy: minimum standards. The
practices stated below represent minimum
standards for the acceptance by the Copyright
Office of completed applications. The Office
will register a claim where it believes the
record of facts about the copyright meets
these standards. Where an applicant seeks
advice from the Office before preparing the
application, however, the Office will suggest
that the application be completed in such a
manner as to put an optimum claim on record,
See Chapter 100: BASIC POLICIES, section
109.03(a).

612.03
General policy: correspondence to cover all
Informalities. When it is determined that
correspondence is required, the Copyright
Office may point out all problems raised by
the application or deposit, even if those
problems standing alone would not be a
sufficient reason to delay registration.

613

Title of the work. The application for copyright
registration shall include the title of the work,
together with any previous or alternative titles
by which the work may be identified. See 17
U.S.C. 409(6). In any case where the Office
cannot determine that the application and deposit
relate to the same work, the Office will
communicate with the applicant.

Examples :

1\) Title on application: "A History of France"
Deposit: Untitled. (Manuscript appears
unrelated to the title.)

The Copyright Office will communicate with
the applicant.

2\)
Title on copy: "Davidson's Biology for
Preparatory Study"

Title on application: "Poems for Shona and
Liletha"

The Copyright Office will communicate with
the applicant.

613.01
Title of the work: omitted. Both the appli-
cation and the deposit material should give
the title of the work. In general, where the
title is given in the registration materials,
but is omitted from the application or
deposit, the Copyright Office will add the
title where it is missing, except to pub-
Lished printed material. See section
613.01 (c) below.

613.01 (a)

Title of the work: omitted from applica-
tion. Where the title is not given on
the application but is given in other
registration material, the Copyright
Office will add the title to the appli-
cation at the title space with an anno-
tation reading "Added by C.O. from
[source] ."

##### Title of the work. (cont'd)

613.01 Title

of the work: omitted, (cont'd)

613.01 (b)

Title of the work: omitted from unpub- Iished deposit. Where the title is not given on the deposit for an unpublished work, but is given on the application, the Copyright Office will add the title to the deposit or to a separate page and attach it to the deposit. The title should be keyed by asterisk to the following annotation: "Added by C.O. from appl." Where space is limited, che Copyright Office will add the ticle to a sticker or tag and attach it to the deposit. The citle should be added in the following form: "[title] *C.O."

613.01 (c)

Title of the work: omitted from published deposit. Where the title is omitted from the deposit of a published work, but a title is given on the application, the Copyright Office will annotate the appli- cation with a statement: "No title on deposit." Where the work consists of multiple parts, the annotation should include the number of components, title of first component, if available, and such other identifiers, e.g., numbers or letters, as are available. If the deposit is a print or other visual arts material without text, the citle can be added lightly in pencil to the reverse of the deposit. If the deposit is identify- ing material, the title will be added to the deposit by annotation: "[title] *C.O." or "Added by C.O. from appl."

613.01 (d)

Title of the work: omitted from appli- cation and deposit. In general, where there is no title given for a work on any of the registration materials, the Copy- right Office will ask the applicant for

600-31

613 Title

of the work. (cont'd)

613.01

Title of the work: omitted. (cont'd)

613.01 (d)

Title of the work: omitted from applica- tion and deposit. (cont'd) che title of the work. When this infor- mation is received, the Copyright Office will add it to the work or will annotate the application according to the prac- tices described in section 613.01(b) or (c) above. Where the work has been given a nondescriptive title, such as "Unti- tled," the Copyright Office will accept the application as submitted, See section 613.02 below.

613.02

Title of the work: nondescriptive ticles. For registration purposes, there is no requirement that the title of a work be descriptive. Thus, nondescriptive citles, such as "Untitled. " "Print No. 1," or "Study in Black," (for a painting in cones other than black), are acceptable titles. Also, ticles consisting solely of letters or numbers, such as "L-1011" and "MX" are acceptable. However, an application whose principal title consists solely of non- alphanumeric characters will not be cataloged under such title. Instead, the work will be cataloged as "nonprintable data."

613.03

Title of the work: foreign-language citles. A title of a work may be given in a foreign language. Works in foreign languages using the Roman alphabet will be cataloged under their foreign language titles. Other foreign-language titles will be translit- erated into the Roman alphabet by the Cata- loging Division.

613

Title

of the work. (cont'd)

613.04

Title the the given for both minor at where work,

applicant. of the work: variances. When partial variances occur between the application and deposit, the Copyright Office may annotate application if the more complete form of title is given on the deposit. Where complete variances occur between the title on the application and on the deposit &amp; work, but it is clear that the appli- cation and deposit are for the same work, the Office will annotate the application to show titles. Any title variance, including typographical errors, will be annotated the option of the Office. In any case the Office cannot determine that the application and deposit relate to the same the Office will communicate with the

Examples :

Title on copy: "The Quest for Rest Among Insomniace"

Title on application: "Rest Quest"

The application will be accepted with the full title added by annotation.

Title on copy: "The Quest for Rest Among Insomniaca

Title on application: "The Quest for Rest"

The application may be accepted without annotation.

613.04(a)

Variances involving generic titles. Where the title on the deposit adds substan- tially to the identity of the work and the title given on the application is a generic title, the Copyright Office will add the full title to the application in an annotation.

613
613.04

Title of the work. (cont'd)

Title of the work: variances. (cont'd)

613.04(a)

Variances involving generic titles.
(cont d)

Example :

Title on

application: "Ballade"

Title on minor"

copy: "Ballade No. 6 in E

The application will be accepted with
an annotation.

613.05
Title of the work: unpublished collections.
Where a number of selections are being regis-
tered as an unpublished collection, the
application should give one title for the
whole collection, but chat title may also be
the title of one of the individual selec-
tions. Individual titles may be given at the
space marked: "Previous or Alternative
Titles," or preferably, on the continuation
sheet. The application and any continuation
sheets form part of the registration records
for the work; therefore, the Examiner should
forward all such sheets for registration.
Individual titles generally are not indexed
unless they are later made the subject of a
supplementary registration. See Chapter
1500: CORRECTIONS AND AMPLIFICATIONS OF
COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY
REGISTRATIONS. Where two or more titles are
given in the registration materials for an
unpublished collection and no single title is
designated, the Copyright Office will add an
asterisk to the first title on the applica-
tion and add the following annotation:
"Collection indexed under first title."

600-34

613 Title of the work. (cont'd)

613.06

Title of the work: contributions to published collections. If one or more individual con- tributions to a published collection are being registered, as distinguished from the collective work itself, the application should give the Individual ticles of the contributions being registered, followed by the title of the collection. Example:

613.06(a)

"'A Song for Malinda' and '01 Ballou'" in "Ballada for Jazz Singers"

Title of contributions to published col- lections: same title as collection. Where the individual title of a contribu- tion and the collective work title are the same, the Copyright Office will not communicate with the applicant unless it is unclear whether the applicant intende to register the individual work or the collective work and registration as either an individual work or a collective work would require correspondence. Examples :

1) Title on application: "Celebrating You."

Title on phonorecord album: "Cele- brating You." The album also con- tains an individual selection en- titled "Celebrating You," along with eight other songa. The author named on the application wrote all songs on the album; two phonorecorda are de- posited. The application is accept- able without annotation since the Office assumes that the entire col- lective work is being registered.

613.06
Title of the work: contributions to published
collections. (cont d)

613.06 (a)
Title of contributions to published col-
lections: same title as collection.
(cont 'd)
Examples: (cont'd)

2\) Title on application: "Lovers and
Friends."

Phonorecord title of album: "LOVERS
AND FRIENDS" contains an individual
selection also entitled "Lovers and
Friends." The Individual selection
is by the author named on the appli-
cation; other works by different
authors are included. One record is
deposited. The Copyright Office will
annotate the application stating "as
contained in LOVERS AND FRIENDS."

3\)
Title on application: "The Pink
Giraffe."

Title on collection of plays: THE
PINK GIRAFFE. The collection con-
taing a play by that name and four
other plays. The author named on the
application wrote three plays,
including the one entitled "The Pink
Giraffe." Different authors wrote
the other two plays. Where the other
plays by the author named on the
application are not excluded from the
claim elsewhere on the application,
che Copyright Office will communicate
with the applicant to determine
whether the claim covers only the
play entitled "The Pink Giraffe" or
whether it also extends to the other
two plays by that author.

613
Title of the work. (cont'd)

613.06
Title of the work: contributions to published
collections. (cont'd)

613.06 (b)
Title of the work: collection title

omitted. Where the collection title and
Che title of the individual work are not
the same and the application gives the
title of the individual selection being
registered but does not give the title of
the collection, the application is
acceptable without annotation.

613.06 (c)

Ticle of the work: completion of "Publi-
cation as a Contribution space. Where
the application contains a space marked
"Publication as a Contribution" and the
application omits information about the
collective work, the Copyright Office
will add the missing information by
annotation except where the work being
registered is an advertisement. See
section 613.06(d) below. Where the work
being registered is clearly &
contribution to a collective work, but
neither the application nor the deposit
copy includes information about the
collective work, the Office may request
that Information.

NOTE: A space for "Publication as a
Contribution" is Included on Forms VA and
TX. See also Form SE.

613.06 (d)

Title of the work: completion of col-
lective work Information where advertise-
ment is being registered. Where the work
being registered is an advertisement, but
the "Publication as a Contribution" space
is not completed, the application is
acceptable without annotation.

Title of the work. (cont'd)

613.06
Title of the work: contributions to published
collections. (cont d)

613.06 (@)
Title of the work: variance in collective
work Information. Where the Publication
as & Contribution" space contains publi-
cation information that varies entirely
from the information on the deposit, the
application is acceptable wichout anno-
tation if the deposit conforms with the
requirement of the "best edition" and
this edition contains the same copyright-
able content as that in which the work
was first published. Where there is a
partial variance between the application
and deposit such as between issue or
volume number, or page numbers, on which
the contribution appears, the Copyright
Office will annotate the application.

613.07
Title of the work: previous or alternative
Citles. Previous or alternative Eities serve
as additional means of identifying the work
being registered. These titles may also
assist in accounting for variances between
che title on the deposit and the title given
in the title space on the application. The
"Previous or Alternative Titles" space on the
application refers to the work being regis-
tered rather than to any other version of the
work. If, however, someone searching for a
registration might be likely to look under
citles of other versions, they may appropri-
ately be listed in that space. In any event,
the Copyright Office will not initiate corre-
spondence with the applicant regarding these
titles.

NOTE: A space for previous or alternative
titles is not included on all forms.

614
Nature-of-work space. Forms PA and VA contain a
nature-of-work space. This space should give a
description of the general nature and character
of the work being registered. A description of
the physical form of the work is generally
acceptable, Ordinarily, the Copyright Office
will not consider the omission or incorrect
completion of information in the nature-of-work
space as a reason, in itself, for communicating
with the applicant. The nature-of-work statement
may be considered an adequate statement of the
basis of the claim where the authorship space is
blank or the statement of authorship is not
specific. See sections 519 and 626 below.
Examples of acceptable nature-of-work statements:
1 )

PA Applications:

VA Applications:

"Audiovisual work" "Choreography" "Drama" "Motion Picture"

"Charcoal drawing" "Etching" "Fabric design" "Jewelry design"

"Music"

"Map"

"Song lyrics"

"Oil painting" "Photograph' "Sculpture" "Technical drawing"

614.01
Nature-of-work space: both nature-of-work and
nature-of-authorship statements omitted.

Where both the nature-of-work and the
nature-of-authorship statements are nonde-
scriptive or are omitted altogether, but the
extent of the claim is clear, the Copyright
Office will annotate the nature-of-work space
and describe the deposit.

Examples of annotations :

1\)
"Deposit contains artwork."

2\)
"Lyrics and music deposited."

3\)
"Deposit consists of identifying material
for soft sculpture."

Nature-of-work space. (cont'd)

614
614.01
Nature-of-work space: both nature-of-work and
nature-of-authorship statements omitted.
(cont d)

614.01 (a)

Nature-of-work and nature-of-authorship

statements omitted: claim unclear. Where
the nature of work and the nature of
authorship statements are omitted from
the application, or where the statements
are nondescriptive, and the extent of the
claim is not clear from the deposit, the
Copyright Office will communicate with
the applicant.

Example:

An application Form VA gives no
nature-of-work statement and the
nature-of-authorship statement is
"Entire work." The deposit is &
drawing of a three-dimensional useful
article. Because it is not clear from
the application and depoatt whether
the drawing is the subject of the
claim or whether it is Identifying
material for the useful article, the
Office will communicate with the
applicant.

614.02
Nature-of-work space: elements not contained
In deposit. The nature-of-work statement on
the application should refer only to elements
contained in the deposit. Where the nature-
of-work statement describes copyrightable
material that is not included in the deposit
and it appears clear that a claim is asserted
in the missing material, the Copyright Office
will communicate with the applicant. Where
the terms used to describe the nature of the
work broadly imply the presence of elements
not contained in the deposit, but the extent
of the claim is clear from statements else-
where on the application, the application

614.02
Nature-of-work space: elements not contained
In deposit. (cont d)

will be accepted. Where the nature-of-work
statement refers to a future use of the work,
rather than accurately describing the work
being registered, but the claim is described
elsewhere, the application is acceptable,
generally, without annotation. In such
cases, the Office will annotate only if the
nature-of-work statement clearly raises a
question concerning the nature of the work
being registered.

Examples :

1\)
Nature-of-work stacement: "Music and
lyrics"

Nature of authorship: "Entire work"

Deposit: lyrics only

The Copyright Office will communicate
with the applicant unless the claim is
limited elsewhere on the application.

2\) Nature of work: Dramatico-musical
Nature of authorship: Book and lyrics
The application is acceptable.

3\)
Nature of work: "Dramatico-musical"

Nature of authorship: "Space left blank"

Deposit : Book and lyrics

The Office will annotate the application:
"Book and lyrics deposited."

Nature-of-work space. (cont'd)

614.02
Nature-of-work space: elements not contained
In depomit. (cont'd)

Examples: (cont'd)

4\) Nature of work: "Motion picture"

Nature of authorship: "Screenplay"

Deposit: Screenplay in textual form

The Office will annotate the application
as follows: "Deposit contains screenplay
in textual form."

614.03
Nature-of-work space: reference to uncopy-
Fightable elements. Where the nature-of-work
statement on the application refers to
elements that are not within the subject of
copyright, as listed in 17 U.S.C. 102(b) or
37 C.F.R. 202.1, but the claim is appropri-
ately stated elsewhere, che Copyright Office
will annotate the application to make it
clear that copyright does not extend to the
uncopyrighteble matter. In general, it will
not correspond with the applicant where there
is an error in describing the kind of work
being registered if the claim to copyright is
clear.

Examples:

1\) Nature of work: "drill press concept"
Nature of authorship: "technical drawing"

The Copyright Office will annotate the
application with a statement reading:
"Concepts not copyrightable. 17 U.S.C.
102(b)."

Nature-of-work space. (cont'd)

614.03
Nature-of-work space: reference to uncopy-
rightable elements. (cont d)

Examples: (cont'd)

2\) Nature of work: "cartoon character"
Nature of authorship: "cartoon drawing"
The application is acceptable.

615

Name of author. The application shall include,
except In the case of an anonymous or pseudony-
mous work, the name of the author or authors.
See 17 U.S.C. 409(2). In general, the name of
each author should be given in a separate block
on the application. Where the application names
two or more authors in the same block, the
application will be accepted if sufficient
information is given about each author. See
section 615.04(a) (3) below.

615.01

Name of author: anonymous and pseudonymous
works. An anonymous work is a work on the
copies or phonorecords of which no natural
person is identified as author. A "pseudony-
mous work" is a work on the copies or phono-
records of which the author is identified
under a fictitious name. See 17 U.S.C. 101.
In general, the Copyright Office will not
correspond with the applicant about the
failure to complete the anonymous or
pseudonymous questions on the application in
an appropriate manner unless there is an
unresolvable variance in authorship state-
ments.

615.01 (a)

Name of author: anonymous works -- com-

pleting the space. Where a work La
anonymous, the applicant may: 1) leave
the name-of-author space blank on the
application, and check the appropriate
box, 2) state "anonymous," or 3) reveal
the author's identity.

615
Name of author. (cont'd)

615.01
Name of author: anonymous and pseudonymous
works. (cont 'd)

615.01 (b)
Name of author: pseudonymous works --
completing the space. Where a work Is
pseudonymous, the applicant may: 1)
leave the name-of-author space blank on
the application and check the pseud-
onymous box: "Yes," 2) give the pseudonym
and identify it as such, or 3) give the
author's legal name, preferably making
clear which is the real name and which Is
the pseudonym, as for example: "Judith
Barton, whose pseudonym is Madeline
Elster." See 17 U.S.C. 302 (c).

615.02
Name of author: performing group designated
by a single fictitious name. Where the name
of a performing group is given on the copy or
phonorecord, that group may be named as the
author. Where such a group name is designa-
ted on the application as a pseudonym, the
Copyright Office will not question whether
the name Identifies all members of the group
nor question whether each member contributed
copyrightable authorship to the work. If,
however, there is any indication that each
and every member of the group did not con-
tribute copyrightable authorship, the Office
will request the names of individual authors
who did contribute copyrightable authorship.
Where the name of the author designates an
organization for which the work was made for
hire, the pseudonymous status is not appli-
cable. Instead, the work-made-for-hire
question on the application should be
answered: "Yes." See sections 615.01 above
and 615.05 below.

Name of author. (cont'd)

615.02
Name of author: performing group designated
by a single fictitious name. (cont d)

Example :

An application Form SR is submitted to
register a claim in "performance." The
author is named as "The Mighty Five" on
the application and the phonorecords.
The pseudonymous question is answered :
"Yes." The Copyright Office will consider
the application acceptable. However, a
different result occurs where an appli-
cation Form VA is received for a logo
consisting of substantial pictorial
authorship, and the name given as author
on the application and on the copy is :
"National Telephone and Telegraph
Company." Although the name does not
appear to be that of a performing group.
the pseudonymous question is answered:
"Yes," and the "work for hire" statement
is blank. In this case, the application
will be questioned.

615.03

Name of author: identity of the author.

Where a work is made for hire, the employer
or other person for whom the work was pre-
pared is considered the "author." In all
other cases, the individual who actually
contributes the copyrightable material is the
author. Thus, for registration purposes,
these two categories constitute the entire
range of authors.

615.04

Name of author: works made for hire. If the
work is made for hire, the application should
contain a statement to that effect. See 17
U.S.C. 409(4), A work is made for hire if it
is: (1) prepared by an employee within the
scope of his or her employment, or (2)
specially ordered or commissioned as speci-
fied in the statute, but only if there is a
written agreement to consider it & "work

615 Name

of author. (cont'd)

615.04

Name of author: works made for hire. (cont d)

made for hire." See 17 U.S.C. 101 and section 615.05(c) below. The applicant, not the Copyright Office, determines whether a work is made for hire. Where the facts presented do not appear to be consistent with the statutory definition, however, the Office will communicate with the applicant.

615.04(a)

Works made for hire: employer-employee relationships. The Copyright Office will not require confirmation that a standard employer-employee relationship exista. In general, the Office will not question an application where it appears that an unpaid volunteer contributed to a work made for hire. Examples :

1) An application naming Faith Church as an author of "sound recording per- formance" states that the work was made for hire. In an accompanying letter, the applicant states that the sound recording performance was by unpaid choir members. The applica- tion is acceptable.

2) An application Form SE for a schol- arly journal names the journal as author of editing. The Copyright Office is informed that the editor contributed authorship on behalf of the journal on a volunteer basis. The Office will register the claim as submitted.

615
Name of author. (cont'd)

615.04

Name of author: works made for hire.
(cont d)

615.04(b)

Works made for hire: within the scope of

duties. Questions may arise whether the
employee performed the work within the
scope of his or her duties. In such
cases, the Copyright Office will ordi-
marily accept the applicant's assertion.
Where the applicant seeks advice from the
Office, it will suggest that factors to
be considered Include the intended agree-
ment between the employer and employee,
and the custom and usage In the particu-
lar trade involved.

615.04 (c)

Works made for hire: specially ordered or
commissioned works. The statute desig-
natea nine categories of specially
ordered or commissioned worky that can be
considered works made for hire:

1\)
A contribution to a collective work;

2\)
A part of a motion picture or other
audiovisual work;

3\)
A translation :

4\)
A compilation;

5\)
An instructional text defined as a
literary, pictorial, or graphic work
prepared for publication and with the
purpose of use in systematic instruc-
tional activities;

6\)
A cest ;

7\)
Answer material for a test ;

8\)
An atlas;

615
Name of author. (cont'd)

615.04

Name of author: works made for hire.
(cont 'd)

615.04 (c)
Works made for hire: specially ordered or
commissioned works. (cont d)

9\)
A supplementary work, defined as a
work prepared for publication as a
secondary adjunct to & work by
another author for the purpose of
introducing, concluding, illustra-
ting, explaining, revising, com-
menting upon, or assisting in the use
of the other works, such as fore-
words, afterwords, pictorial illus-
trationa, maps, charta, tables,
editorial notes, musical arrange-
ments, answer material for tests,
bibliographies, appendixes, and
indexes.

615.04 (c) (1)

Specially ordered or commissioned
works: not within designated cate-
gories. Where the Office has
knowledge that a work was specially
ordered or commissioned but the work
does not appear to be within the nine
categories of works listed above, the
application will be questioned.

615.04 (c) (2)

Specially ordered or commissioned
works: written agreement. For a
specially ordered or commissioned
work to be considered a work made for
hire, the statute requires an agree-
ment signed by both parties stating
that the work is to be considered &
work made for hire. In general,
however, the Copyright Office will
not ask the applicant to specify
whether a particular work was
commissioned or was created by an

615

Name of author. (cont'd)

615.04

Name of author : works made for hire.
(cont 'd)

615.04(c)

Works made for hire: specially ordered or
commissioned worka. (cont d)

615.04(c) (2'

Specially ordered or commissioned
works: written agreement. (cont'd)

employee, nor will it, when it is
clear that the work is specially
ordered or commissioned, ask the
applicant to verify the existence of
a written agreement.

615.04(d)

Works made for hire: general practices.

The Following are general practices
relating to the work-made-for-hire
question on the application.

615.04(d) (1)

General practices: organization named
as author. Works authored by an
organization are necessarily created
by employees or commissioned parties ;
therefore, whenever an organization
is the author, the applicant should
answer "Yes" to the "for-hire" ques-
tion. If the application indicates
that such a work is not made for
hire, the Copyright Office will
communicate with the applicant.

Examples :

1\) The application names the author
as "XYZ Corporation," and the
work-made-for-hire question is
answered: "No." The application
is not acceptable.

2\)
The application names "XYZ Cor-
poration" as the author. The
work-made-for-hire question is

615
Name of author. (cont'd)

615.04

Name of author: works made for hire.
(cont d)

615.04(d)

Works made for hire: general practices.
(cont 'd)

615.04 (d) (1)

General practices: organization named
as author. (cont d)

Examples: (cont'd)

2\) (cont'd)

not answered. The application
will be accepted as submitted on
the assumption that the work Le
made for hire. NOTE: This prac-
tice pertains only to corpora-
tions. Applications for noncor-
porate organizations will be
questioned to clarify whether the
name of the author is correct.

615.04(d) (2)

General practices: individual named
as author. Where an applicant names
an Individual as author and does not
answer the work-made-for-hire ques-
cion, the application will be
accepted on the assumption that the
named individual created the work in
his or her own right. Where the
applicant answers "Yes" to the "for-
hire" question and the named author
appears to be a natural person
(rather than an organization), the
Copyright Office will communicate
with the applicant only if such a
relationship seems unlikely according
to the information presented by the
registration materials.

615
Name of author. (cont'd)

615.04

Name of author: works made for hire.
(cont'd)

615.04(d)

Works made for hire: general practices.
(cont d)

615.04(d) (2)

General practices: individual named
as author. (cont 'd)

Examples :

1\)
Individual is named as producer
of motion picture, and the work-
made-for-hire question ia
answered: "Yes." The Copyright
Office will accept the assertion
without question.

2\)
An application for a drama names
Sue Smith as author of a work for
hire. The Copyright Office may
ask the applicant whether Ms.
Smith created the work in her own
right or was the employer or
other person for whom the work
was made for hire. If, after
auch inquiry, the applicant indi-
cates that she is the employee,
the Office will request a new
application naming the correct
author.

615.04(d) (3)

General practices: individual and
unincorporated business organization
named as authors. The application
should name only one entity in any
particular authorship block. How-
ever, where an individual and an
apparently unincorporated business
association are named in the same
block and it seems likely that the
organization is merely a trade name

615
Name of author. (cont'd)

615.04

Name of author: works made for hire.
(cont'd)

615.04(d)

Works made for hire: general practices.
(cont 'd)

615.04(d) (3)

General practices: individual and
unincorporated business organization
named as authors. (cont 'd)

or other assumed name of the indi-
vidual, the application will be
accepted. The Copyright Office will
consider the individual and the non-
corporate organization as the same
legal entity where the relationship
is stated in the registration mate-
rials, or where the individual and
organization are related by name.
Where any organization, however,
corporate or not, as distinguished
from a person using an assumed name,
is clearly the author, but the appli-
cant answers: "No" to the work-for-
hire statement, the application will
be questioned.

Examples :

1\)
The application names as author
"Pamela Bethel, doing business aa
Parti Bell Music." No answer is
given to the work-made-for-hire
question. The application will
be accepted.

2\)
The application names as author
"Jane Smith, trading as Acme
Company." The work-made-for-hire
question is answered: "No." The
application will be accepted on
the assumption that Jane Smith is
an individual author in her own
right-

615
615.04

Name of author. (cont'd)

Name of author: works made for hire.
(cont'd)

615.04(d)

Works made for hire: general practices.
(cont d)

615.04(d) (3)

General practices: Individual and
unincorporated business organization
named as author. (cont 'd)

Examples : (cont'd)

3\)
An application names as author
"Associated Advertisers (Virginia
McDonald)" on the same line in
the authorship space. The work-
for-hire question is not an-
swered. The application will be
questioned.

615.04(d) (4)

General practices: individuals and
Incorporated organizations named 88
authors. Where an application namea
as author an individual in combina-
tion with an incorporated organiza-
tion, the Copyright Office will not
consider the organization to be an
assumed or trade name of the indi-
vidual. Instead, it will consider
the individual and the organization
as separate entities. Therefore, if
the application does not make clear
the identity of the author or whether
or not the work is made for hire, the
Office will communicate with the
applicant. On the other hand, where
it is clear that the organization ia
the author and that the relationship
between the individual and the
organization is merely descriptive,
the application will not be ques-
tioned.

615

Name of author. (cont'd)

615.04

Name of author: works made for hire.
(cont d)

615.04(d)

Works made For hire: general practices.
(cont'd)

615.04(d) (4)

General practices: individuals and
Incorporated organizations named as
authors. (cont d)

Example :

An application names as author
"Richard Smith, doing business as
Smith Publishing Company, Inc."
Regardless of how the work-for-
hire question is answered, for
registration purposes, the
Copyright Office does not
consider these two names to
represent a single entity. The
Office will communicate with the
applicant to clarify both whether
the work was made for hire and
whether the author is Mr. Smith
or the Smith Publishing Company,
Inc.

615.04(e)

General practices: song service organi-
zations. The following practices re-
lating to works made for hire apply to
works by song service organizations.

615.04(e) (1)

Song service organizations: defined.
Although song service organizations
may offer a variety of music related
services -- "vanity publishing,"
"ghost writing," composing music and
lyrics -- the primary business of
these organizations appears to be
providing music for song lyrics

615

Name of author. (cont'd)

615.04 Name of (cont 'd)

author: works made for hire.

615.04(e)

zations. (cont'd) General practices: song service organi-

615.04(e) (1)

Song service organizations; defined.

(cont'd) written by individuals. The lyriciets pay a fee for the service. They may be offered a choice of musical settings, but usually there is no collaboration between the lyricist and the organization's staff composer .

615.04(e) (2)

Song service organizations: prac- tices. Because these organizations usually maintain that the music provided by their staff Is made for hire on behalf of the lyricist and not on behalf of the organization itself, the Copyright Office will not question statements on the applica- tion naming the Individual as the author for whom music or both words and music were prepared for hire. See sections 623 and 619.08 below.

##### Examples :

1\)
) The application names "Jane Doe"
as individual author of "words."
The work-made-for-hire question
in this block is not answered.
In a separate block, "Jane Doe"
is named as author of "music,"
and the "work-made-for-hire
question In this block la
checked: "Yes." The application
will be accepted.

615
Name of author. (cont'd)

615.04
Name of author : works made for hire.
(cont 'd)

615.04(e)

General practices: song service organi-

zationg. (cont 'd)

615.04(e) (2)

Song service organizationa: prac-
tices. (cont 'd)

Examples: (cont'd)

2\) The application names Jane Doe as
author of "words and music." The
work-made-for-hire question is
checked: "Yes." The application
will be accepted.

615.05
Name of author: separate or independent

works. Individual contributions embodied in
one unit may constitute separate and inde-
pendent works. In such cases, an application
is acceptable even if it accounts for only
one separate contribution. See section
609.02 above.

Examples :

1\) A published reproduction of a work of art
is deposited with an application. The
name of the author of the reproduction is
given, but the author of the original
painting is not named. The application
will be accepted.

2\)
An application Form TX claiming in
"poems" is received for a book of poems
containing substantial artwork; the
illustrator is not named on the appli-
cation. The Copyright Office will accept
the application as submitted on the
assumption that the contributions of the
poet and the illustrator are separate and
independent works.

Name of author. (cont'd)

615.06

Name of author: collective work auchorship.

A collective work is a work, such as a
periodical issue, anthology, or encyclopedia,
in which a number of contributions, consti-
tuting separate and independent works in
themselves, are assembled into a collective
whole. See 17 U.S.C. 101. Where a collec-
tive work is being registered, the applica-
cion should name the author of the collective
work. The names of the Individual authors of
separate contributions being registered as
part of the claim need not be given on the
application. The registration may cover (a)
che collective work authorship, (b) any
contribution created by the employee or other
party commissioned by the author of a work
made for hire, and (c) any other contri-
butions that the claimant of the collective
work obtained by transfer.

615.07

Name of the author: form of name. If the
work is not anonymous or pseudonymous, the
author's full legal name should be given; the
Copyright Office will not communicate with
the applicant, however, if the author's full
name is not given. If a fuller form of the
author's name is given on the deposit mate-
rial, the Office may add that information to
the application by annotation. Where the
work is made for hire, the name of the
employer or other person for whom the work
was prepared must be given as author.
Stating the name of the employee or com-
missioned party on the application is
optional, but where it is included, his or
her status should be clearly indicated, for
example: "Freemont Enterprises, Inc ..
employer of L.B. Jeffries."

615.07(a)

Name of author: when required. Gener-
ally, an application for a work that is
not anonymous or pseudonymous should give
the name of the author. See section

615 Name of author. (cont'd)

615.07

Name of author: form of name. (cont'd)

615.07(a)

Name of author: when required. (cont'd)

615.02 above. Where a derivative work is being registered, the name of the author of the derivative material should be given. The name of the author of the material on which the derivative work is based is not required.

615.07(b)

Name of author: omissions. Where the application does not indicate that the work is anonymous and omits the author's name, and the name is not evident anywhere in the registration materials, the application will be questioned.

615.07(b)(1)

Work by one author. Where an appli- cation for a work by one author omits the name of the author, but the author's name appears elsewhere in the registration materials, the application will be annotated. It should be noted that this practice does not apply to anonymous or pseudonymous works or to works made for hire. See sections 615.01 and 615.02 above.

615.07(b)(2)

Work by two or more authors. Where an application for a work by more than one author omits an author's name, the application will ordinarily be questioned, even though the authors are named in other registra- tion materials, unless the nature of each author's contribution (included in the claim) is evident.

615.07(b)(3)

Work by a large number of authors. If Che work being registered was created by a large number of authors, the application will be considered

615
Name of author. (cont'd)

615.07
615.07(b)

Name of the author: form of name. (cont'd)

Name of author: omissions. (cont'd)

615.07(b)(3)
Work by a large number of authors.
(cont d)

acceptable if it names at least three
of those authors, followed by a
statement such as "and [number ]
others." The Office prefers, how-
ever, that the application name all
authors, using as many continuation
sheets as necessary.

See sections 619.03 and 619.04 below.

Examples :

1\) An application for a novel gives
as the nature of authorship
"Text." The name of the author
ia not given and there is no
indication that the work Is
anonymous or pseudonymous. The
copies of the work name Raymond
Cudloe as author. The Copyright
Office will annotate the appli-
cation and register the claim.

2\)
An application for a musical work
names "Samuel Smith" in the first
block as author of the words. In
the second block, the application
names no author, but gives the
author's contribution as "Music."
The copies of the music state "By
Samuel Smith and John Franklin."
The application will be
annotated.

615

Name

of author.

(cont'd)

615.07

Name of the author: form of name. (cont'd)

615.07(b)

Name of author: omissions.

(cont'd)

615.07(b)(3)

Work by a large number of authors. (cont 'd)

Examples: (cont'd) 3) An application Form VA is sub- mitted naming two authors but giving "sculptural bas-relief" as a nature-of-authorship statement for only one. The nature-of- authorship statement for the second author is blank. The deposit consists of identifying material for a drinking glass containing sculptural authorship separate and apart from the shape of the glass. Because it is not clear that the second author con- tributed copyrightable author- ship, the Copyright Office will communicate with the applicant to ascertain that author's contri- bution. 4) A choreographic work is submitted with an application naming as authors three of 17 choreogra- phers named as authors in the credits of the motion picture deposited to register the choreographic work. After the third author's name, the appli- cation states : "and 14 others." The application is acceptable.

615.07(c)

Name of author: variances between appli-

cation and other registration material. Generally, authorship information on the

615
Name of author. (cont'd)

615.07

615.07(c)

Name of the author: form of name. (cont'd)

Name of author: variances between appli-
cation and other registration material.
(cont d)

application and the deposit material
should be consistent, although strict
agreement is not required. Ordinarily,
the Copyright Office will communicate
with the applicant about variances only
where variances between the authorship
statement on the application and other
deposit material are substantially
inconsistent.

Examples :

1\)
Author on application: Joe Graziella;
author on copy: Joltin' Joe. The
application is acceptable.

2\)
Authors on application: Francis Keyes
and Sandra Booze; suchor on copy of
two-part manuscript of a textbook:
Part I by Francis Keyes. The appli-
cation is acceptable; the statement
on the copy does not purport to
account for the entire work.

3\)
Names of authors on application: Fig
Arrow and Cozy Phantuti. Audiovisual
work consists of booklet and film-
strip; script states "written by Cozy
Phantuti ; " filmstrip names no author;
The Barber Company is named in the
notice of copyright on the filmstrip.
The application is acceptable, since
the law does not require that the
author be named on the copies or
phonorecords of the work. See also
section 626 below.

615
Name of author. (cont'd)

615.07

Name of the author: form of name. (cont'd)

615.07(c)

Name of author: variances between appli-
cation and other registration material.
(cont 'd)
Examples : (cont'd)

4\) An application names Edward Jackson
as author. The copy of the published
novel names Edward Jackson and Joan
Jackson as authors, further describ-
ing Joan Jackson as the creator of
the layout of the book. Since the
creator of uncopyrightable material
should not be named, the application
is acceptable as submitted.

5\) A phonorecord states: "Words by Sue
Smith and music by Mack Jones." The
application states : "Words and music
by Mack Jones." There is no indica-
tion that the work is a derivative
work or that any part of the work was
made for hire. The Copyright Office
will communicate with the applicant.

615.07(d)
Name of author: authorship not part of

claim. If an author's name is omitted
from an application, and it is not clear
that the material contributed by that
author is included in the claim, the
application, if otherwise acceptable,
will not be questioned.

Examples :

1\) An application names the author of a
novel. The novel names another Indi-
vidual as illustrator. The Copyright
Office will not ask the applicant to
include the name of the illustrator
on the application.

615
Name of author. (cont'd)

615.07

Name of the author : form of name. (cont'd)

615.07(d)

Name of author : authorship not part of
claim. (cont 'd)

Examples: (cont'd)

2\) A unit of publication contains three
one-act plays by different authors.
From the title and the claimant
spaces on the application, it is
clear that the claim extends to only
one of the plays. The application
naming the author of that play is
acceptable.

3\)
An application is submitted for a
contribution to a collective work,
naming only the author of the con-
tribution. The application is
acceptable.

615.07(e)

Name of author: authorship is insubstan-
tial. Where an author 's name Is omitted
from an application and it appears likely
that the material contributed by that
author would constitute an insubstantial
part of the claim, the application, if
otherwise acceptable, will not be ques-
tioned.

Examples :

1\) An application names "Arthur Aye,
author of words and music;" the lead
sheet states : "words and muale by
Arthur Aye, arrangement by Grady
Bea." The arrangement consists of
registrable chord symbols. The
Copyright Office will not communicate
with the applicant for the name of
the arranger.

615
615.07

Name of author. (cont'd)

Name of the author: form of name. (cont'd)

615.07(e)
Name of author: authorship is insubstan-
tial. (cont'd)

Examples: (cont'd)

2\) An application names "Arthur Aye" as
author of "music;" the folio states :
"Music by Arthur Aye, arrangement by
Grady Bea." The arrangement Is a
substantial jazz band arrangement.
The Copyright Office may communicate
with the applicant for the name of
the arranger.

3\)
A sound recording is submitted with
an application Form SR naming only
some of the performers. The claim is
in "performance." The application
will be accepted if the principal
performers appear to be named.

4\)
A sound recording is submitted with
an application Form SR naming only
one sound engineer. The claim is
"sound recording." Other engineers
are named on the phonorecord. The
application will be accepted as
submitted.

5\)
An unpublished collection of twelve
musical selections, meeting the
common authorship requirements, names
four authors, one of whom co-authored
one song. The application omits that
author's name, although it names the
other authors and their contribu-
tions. The application will be
accepted.

Name of author. (cont'd)

615.08

Name of author: when authorship is deter-
mined. For registration purposes, the author
Is determined when the work is created. This
practice has particular implications for
works made for hire.

Example:

An application is submitted by a company
naming itself as the author and claimant.
An accompanying letter explains that this
company acquired the interest of a prede-
cessor company. The Copyright Office
will request that the author be named as
the organization for which the work was
created, even if that organization no
longer exists at the time the application
is submitted.

NOTE: Whether a "for-hire" relationship
exists is determined by the relevant facts at
the time of creation of the work. Ordinarily,
any written agreement establishing the "for-
hire" relationship must be executed on or
before the date of creation.

616

Dates of birth and death. The spaces on the
application designated For dates of birth and
death should be completed only if the contribu-
tion to the work is not made for hire. However,
if such information is given on the application
for a work made for hire, ordinarily the appli-
cation will not be questioned.

616.01

Date of birth. In cases where the author is
a natural person, a birth date may be useful
information as s form of identification, but
it is not required on the application. Ordi-
narily, the Copyright Office will not com-
municate with the applicant about a birth
date,

616.02

Dates of birth and death. (cont'd)

Date of death. If one or more of the authors
Is dead, the application should include the
date or dates of death. See 17 U.S.C.
409(2). Where the Copyright Office has
information that the author is deceased and
the year of the author's death is omitted
from the application, the application will be
questioned if this information may determine
the term of copyright. If the exact year of
death cannot be determined, the Office will
accept the applicant's best estimate, quali-
fied by "on or about, " "approximately," or
the like.

617

Government works. The following are the
principles relating to the registrability of
government works.

617.01

United States Government works. Except for
the works dealt with In section 617.01 (a)
below, an application will be questioned if
it names as author of a work the United
States Government, any of its agencies,
officers, or employees, in their official
capacity. Since works prepared by officers
or employees of the U.S. Government as part
of their official duties are not protected
under the U.S. copyright law, the Copyright
Office will refuse to make registration for
such material. See also section 206.02 of
Chapter 200: COPYRIGHTABLE MATTER - IN
GENERAL.

Examples :

1\)
Where the subject of the work is military
defense and the author is identified as a
Department of Defense employee, the claim
will be questioned even if the claimant
is a private publisher and the work was
privately printed.

617

Government works. (cont'd)

617.01

United States Government works. (cont'd)

Examples: (cont'd)

Registration will not be refused for a motion picture created by the employees of a motion picture company even though the film was financed by a U.S. Govern- ment agency and the copyright transferred to the agency.

Registration will not be refused for a work written by a U.S. Government official in his or her private capacity.

Registration will not be refused for a work prepared by officers or employees of the U.S. Postal Service since that organization, as presently constituted, is not considered to be a U.S. Government agency. See section 106.02(b) of Chapter 200: COPYRIGHTABLE MATTER - IN GENERAL.

Registration will not be refused for &amp; work prepared by an officer or employee of the Smithsonian Institution, If such person was paid from the Smithsonian trust fund.

617.01 (a)

United States Government works: Standard

Reference Data Act. The Copyright Office

can make registration under the Standard Reference Data Act, 15 U.S.C. 290e, where the Secretary of Commerce is named as author or proprietor of any standard reference data that the Secretary prepares or makes available under that Act.

Government works. (cont'd)

617.01

United States Government works. (cont'd)

617.01 (a)
United States Government works: Standard
Reference Data Act. (cont 'd)

Example :

An application received for a work of
standard reference data names the
author as "The Secretary of Com-
merce," and is accompanied by a
letter indicating that the material
is submitted for registration under
the Standard Reference Data Act. The
Copyright Office will annotate the
application, "Claim authorized by
Standard Reference Data Act," key the
annotation to the authorship space,
and register the claim.

617.02

Government works: edicts of government. An
application will be questioned If the claim
appears to extend to any edict of government,
such as judicial opinions, administrative
rulings, legislative enactments, public
ordinances, and similar Legal documents.
whether Federal, State, local, or foreign,
since such materials are not copyrightable
for reasons of public policy. See also
section 206.01 of Chapter 200: COPYRIGHTABLE
MATTER - IN GENERAL.

Example :

Application is submitted for registration
of a work consisting entirely of a State
statute. Registration will be refused.

617.03

Government works: copyrightable government
works. Government works other than those
specified above as uncopyrightable are sub-
ject to registration if they are otherwise

##### Government works. (cont'd)

617.03

Government works: copyrightable government
works. (cont d)

copyrightable. See also section 206.03 of
Chapter 200: COPYRIGHTABLE MATTER - IN
GENERAL.

Examples :

1\)
Registration can be made for a magazine
for tourists published by the State of
Arizona and written by State employees.

2\)
A map of a U.S. city created by the
employees of the transportation
department of the city government is
registrable.

3\)
A publication of a foreign government
written by Its employees which consists
of descriptions of the wines of the
country is registrable.

617.04
Government works: copyrightable elements com-
bined with uncopyrightable government works.
Registration can be made for works In which
copyrightable elements are combined with
uncopyrightable government material, but the
claim cannot extend to the uncopyrightable
material. The application should give an
appropriate disclaimer or limitation of
claim.

Examples :

1\)
Registration can be made for an annotated
compilation of the statutes of a State
done by a private publishing firm, but
the claim cannot extend to the statutes
themselves.

Government works. (cont'd)

617.04
Government works: copyrightable elements
combined with uncopyrightable government
works. (cont 'd)

Examplea: (cont'd)

2\) Registration may be made for a trans-
lation into English of the statutes of a
foreign country that are in a language
other than English, but che claim cannot
extend to the statutes themselves as
written in the original language.

618
Author's nationality or domicile. The appli-
cation should Include the nationality or domicile
of the author regardless of whether the work is
anonymous or pseudonymous, by a natural person or
by some other legal entity. See 17 U.S.C. 409(2)
and (3). Where a work is created by more than
one author, the application should give the
nationality or domicile for at least one author.
However, where the nationality or domicile of the
author of an unpublished work is not given on the
application, the application will not be ques-
tioned. See 17 U.S.C. 104(a). Where a published
work is being registered, and the author's
nationality or domicile is not given, the appli-
cation will be questioned if, by reason of
national origin, the work does not appear to be
eligible for registration. See 17 U.S.C. 104(b).
See also Chapter 1100: ELIGIBILITY.

618.01

Author's nationality or domicile: corpo-

rations. Where the author is a corporation,
the country under the laws of which it was
created may be given as its "nationality."
Such an organization may give the country of
its principal place of business as its
domicile. See Chapter 1100: ELIGIBILITY, and
Chapter 200: COPYRIGHTABLE MATTER - IN
GENERAL, sectiona 205 and 206.

##### Author's nationality or domicile. (cont'd)

618.02
Author's nationality or domicile: works
published under 1909 Copyright Act. WIch
respect to eligibility for registration,
works published before 1978 are governed by
the law in effect at the time of first
publication. Both citizenship and domicile
may be required to determine the eligibility
of such works. See the complete discussion
of this topic in Compendium I.

619
Nature-of-authorship statement. In general, the
nature of authorship defines the scope of the
registration; therefore, it represents an
important copyright fact.

619.01
Nature-of-authorship statement: location on
application. The nature-of-authorship
statement on an application should be given
at the block designated "Author of," or
"Nature of Authorship." In cases where the
nature of an author's contribution is indi-
cated elsewhere on the application, the
application will be accepted if the extent of
the claim is clear. See section 626.03(a)
below.

619.02
Nature of authorship: appropriate descrip-

tion. The nature-of-authorship statement is
a brief general statement of the nature of
the author's contribution to the work. In
general, the author's contribution may be
described in terms of the categories speci-
fied in the copyright law, including: non-
dramatic literary work, musical work, musical
work with words, dramatic work, dramatic work

with music, pantomime, choreographic work,
pictorial, graphic, and sculptural work,
audiovisual work (including a motion
picture), or a sound recording. Other
acceptable descriptive terms are: computer
program, book, periodical, lecture, sermon,
map, work of art, reproduction of a work of

###### 619.02 Nature of authorship: appropriate descrip- tion. (cont 'd)

art, technical drawing, print, and label for
advertising. Where the Copyright Office can
ascertain the nature of authorship from a
physical description of the material object
in which the work is embodied, auch
descriptions will be acceptable, e.g.,
newspaper, cartoon, model, globe, chart,
film, puppet, hologram. See Chapter 500:
COPYRIGHTABLE MATTER - PICTORIAL, GRAPHIC.
AND SCULPTURAL WORKS, Chapter 300; COPY-
RIGHTABLE MATTER - NONDRAMATIC LITERARY
WORKS, and Chapter 400: COPYRIGHTABLE MATTER
\- WORKS OF THE PERFORMING ARTS AND SOUND
RECORDINGS. Other appropriate descriptions
include --

Class VA:

Class TX:

artwork

collective work

cartographic work

compilation

drawing

data base

fabric design

instructions

greeting card artwork

magazine article

Illustration

novel

jewelry design

poetry

lithography

text

oil painting

photograph

reproduction of

work of art

sculpture

soft sculpture technical drawing

619
Nature-of-authorship statement. (cont'd)

619.02
Nature of authorship: appropriate descrip-
Clon. (cont d)

Class PA

(In general) :

Class PA
(Multimedia kits) :

dance
drama

filmstrip
illustrations

instrumental music

printed text

music and lyrics

play

recorded text
sounds

sermon

workbook

song lyrics

Class PA (Motion pictures and motion picture
components) :

cinematic work
cinematography
entire work
music

narration
screenplay
script

sound track

Class SR
(In general) :

Class SR (Multi-
medie kits without
& visual element) :

performance
sound recording

sound recording
engineering

performance
sound recording
text
workbook

619.03

Nature of authorship: nonspecific

description. In general, an application
giving a nonspecific description, such as
entire work, " is adequate to define the
nature of authorship in a new work. Where
more than one work is present in one deposit,

###### 619.03 Nature of authorship: nonspecific descrip- tion. (cont'd)

a nonspecific authorship statement may be
acceptable if there is no evidence that the
claim does not extend to all elements. For
Form SR, the Copyright Office will consider
the claim to cover the underlying work, the
sound recording, and any other authorship in
the deposit. The application will be
annotated to indicate the content of the
deposit. No annotation will be made,
however, if the material-recorded statement
at space 1 specifically lista all elements in
the deposit, or space | correctly indicates
that the work recorded is wholly literary.
(A sound recording cannot be considered part
of the claim registered in any class other
than Class SR.)

Examples :

1\)
Form SR is submitted stating "Everything"
as the nature of the author a
contribution. The nature of the material
recorded is stated as "musical." The
phonorecord contains recorded words and
music. The Copyright Office will
register the claim with an annotation on
the application as follows: "Deposit
contains words, music, and sound
recording."

2\)
Work deposited Is an educational film.
The nature-of-authorship statement for
each of its four authors is "Entire
work." In the absence of a conflict with
the film credits, the statement is
acceptable.

3\)
The work deposited ia a pamphlet con-
taining text and illustrations and the
nature-of-authorship statement is given

619.03
Nature of authorship: nonspecific descrip-
tion. (cont'd)

Examples: (cont'd)
3) (cont'd)

as: "Pamphlet." In the absence of a
conflict with any statements on the
deposit, the authorship statement is
acceptable.

## 619.03(a)

Nonspecific description: derivative
works. The nature-of-authorship
statement for a derivative work or
compilation should describe more
specifically the kind of authorship on
which the claim being registered is
based. (See sections 615.06 above and
625 and 626 below.) For derivative works
other than motion pictures or sound
recordings, a description which is
limited to the statement "entire work" is
ordinarily not acceptable unless the
derivative-work space adequately defines
che claim. See section 619.10(b) below.

## 619.03(b)

Nonspecific description: author's con-
tribution given at nature-of-work space.
In general, If the description at the
nature-of-authorship space is insuffi-
cient to describe the claim, but state-
mente at the nature-of-work space des-
cribe the authorship in the deposit, the
application will be accepted.

Example:

A copy of a choreographic work is
submitted with an application Form
PA. One author is named on the

619
Nature-of-authorship statement. (cont'd)

619.03
Nature of authorship: nonspecific descrip-
tion. (cont'd)

619.03(b)
Nonspecific description: author's con-
tribution given at nature-of-work space.
(cont 'd)

Example: (cont'd)

application, but the "Author of"
space givea only the title of the
work. The statement given in the
nature-of-work space is "Choreo-
graphy." The application will be
accepted.

619.04
Nature-of-authorship statement: omitted.
Where the nature of an author's contribution
is omitted from the application, but the
author's name is given, whether or not the
application will be accepted will depend upon
whether the extent of the claim is reasonably
clear, and whether the nature of authorship
is clearly identifiable from the deposit.
Where the application contains no information
about the nature of the authorship but the
author's contribution is identifiable from
the deposit, the Copyright Office will accept
the application, annotating where appro-
priate.

Examples: (assume that the works are entirely
new.)

1\) A Form VA application is submitted for a
two-dimensional original watercolor. The
application names the suthor, but no
nature-of-authorship statement is given.
The nature-of-work statement is "Paint-
ing." The application will be accepted
without annotation.

619
Nature-of-authorship statement. (cont'd)

### 619.04 Nature-of-authorship statement: omitted. (cont 'd)

Examples: (cont'd)

2\) A Form PA is received with a radio broad-
caat script. Neither a nature-of-author-
ship statement nor a nature-of-work
statement is given. The deposit contains
the statement : "Script by John Doe." The
application will be annotated.

3\)
An application Form TX is submitted with
& game board, a map, and a computer
program. The application contains no
indication of the extent of the claim,
but Compuzese Company is named as author
of a work made for hire. The application
is acceptable on the assumption that the
company's employees contributed the
entire copyrightable content.

4\)
An application Form S& is submitted
naming Jill Maddox as author, but giving
no description of her authorship. In the
nature-of-material-recorded space,
"Musical" is checked. The phonorecord
contains a musical composition consisting
of words and music. The Copyright Office
will communicate with the applicant co
determine whether the claim is in the
musical composition, the sound recording,
or both.

619.04[a)

Nature-of-authorship statement omitted:
multiple authors. The application should
give a specific nature-of-authorship
statement for each author contributing
copyrightable material to the work being

619
Nature-of-authorship statement. (cont'd)

619.04

Nature-of-authorship statement : omitted.
(cont a)

619.04(a)
Nature-of-authorship statement omitted:
multiple authors. (cont 'd)

registered. But where the nature-of-
authorship statement is not given, the
application will be acceptable if copy-
rightable authorship on the part of all
authors is evident, even though specific
authorship information is not given in
other registration materials. See
section 615.08 above.

Examples :

1\)
A TX application naming A and B as
authors gives A's contribution as
"poems." No nature-of-authorship
statement is given for B; and there
is no indication that the work is not
entirely new. The copy of the book
states : "Poems by A & B." The appli-
cation is acceptable without annota-
cion.

2\)
A book of children's stories is
submitted with an application Form
TX. The title is "Nippy, and Other
Children's Stories by Mary and Martha
Hill." There is no indication that
the work is not entirely new. The
application names the authors but
gives no nature-of-authorship state-
ments. The application will be
accepted as submitted.

3\)
A cassette of children's atories is
submitted on Form SR. The title is
"Nippy and Other Children's Stories."
Mary and Martha Hill are named as

619
Nature-of-authorship statement. (cont'd)

619.04

Nature-of-authorship statement: omitted.
(cont d)

619.04(a)

Nature-of-authorship statement omitted:
multiple authors. (cont 'd)

Examples : (cont'd)

3\) (cont'd)

authors, but no nature-of-authorship
statements are given. The applica-
tion will be questioned.

4\)
An application Form TX names A and B
as authors. No nature-of-authorship
statements are given. The copy, a
book of poetry, states: "By A & B."
The application is acceptable without
annotation.

5\)
A Form PA is submitted for a motion
picture treatment. The copy states :
"Treatment by A, Concept by B." The
application names A and B without
indicating the nature of the author-
ship. The application will be ques-
tioned.

619.05

Nature of authorship: percentage. Where a
description of the nature of authorship ia
accompanied by statements apportioning con-
tributions between coauthors, an application
will generally be accepted.

Example :

The application states the authors' con-
tributions : "Worda and music by Joe
Goldie (50 percent) ; words and music by
Pepe Greenwald (50 percent)." The appli-
cation will be accepted. However, see
section 622.14 below.

619.06
Nature of authorship: claim in unregistrable
material. The nature-of-authorship statement
on the application should describe only the
registrable matter. Where the author's con-
tribution is described solely in terms of
uncopyrightable matter, and the claim appears
to be limited to that material, the Copyright
Office will refuse to register the claim.

Examples :

1\)
The application names a single author of
"typeface, format, and book design." The
Copyright Office will refuse to register
the claim. See 37 C.F.R. 202.1 (a).

2\)
The application names two individuals as
authors of a work designated as "shape of
trousers." The deposit is a photograph
of the trousers. Because the work sought
to be registered is a utilitarian object
having no separable pictorial, graphic,
or sculptural authorship, the Copyright
Office will refuse to register the claim.
See the definition of "Pictorial,
graphic, and sculptural works" in 17
U.S.C. 101.

619.06(a)
Claim in unregistrable material: deposit
contains registrable matter, Where the
author's contribution, as described, is
uncopyrightable, but it appears that the
author may have contributed copyrightable
material, the Copyright Office will
request a new application that appro-
priately describes the author's contri-
bution.

Examples :

1\) An application Form TX describes the
author's contribution as "Story
idea." The deposit is a novel. The

#### Nature-of-authorship statement. (cont'd)

619.06

Nature of authorship: claim in unregistrable
material. (cont d)

## 619.06(a)

Claim in unregistrable material: deposit
contains registrable matter. (cont'd)

Examples: (cont'd)

### 1) (cont'd)

Copyright Office will communicate
with the applicant, stating that a
claim cannot be registered in a
"story idea" and suggesting that if
the author contributed literary
material, a new application should be
submitted describing the author's
contribution in those terms. See
Chapter 300: COPYRIGHTABLE MATTER -
NONDRAMATIC LITERARY WORKS.

2\)
An application Form PA gives an
author's contribution as "New process
for suturing." The deposit is a
videotape which depicts a doctor
performing surgery with voice-over
commentary. The Copyright Office
will communicate with the applicant,
explain that processes are not
copyrightable under 17 U.S.C. 102(b),
and suggest that the applicant submit
a new application to register the
narration, the cinematography, or
both. If the applicant is not
entitled to, or does not wish to
register the copyrightable material,
no claim will be registered.

619.06(b)

Claim in unregistrable material: combined
With claim in registrable matter. Where
an author s contribution, as described,
consists of copyrightable material as

619.06
Nature of authorship: claim in unregistrable
material. (cont 'd)

619.06(b)

Claim in unregistrable material: combined
with claim in registrable matter.
(cont 'd)

well as material that the statute or
regulations specifically state is not
within the subject matter of copyright,
the Copyright Office will register the
claim and refer by annotation to the
applicable statute or regulation.

Examples :

1\)
The nature-of-authorship statement,
describing a single author's contri-
bution, reada "Idea and drawing."
The deposit is pen and ink drawing.
The application will be annotated:
"Ideas not copyrightable. 17 U.S.C.
102 (b)."

2\)
The nature-of-authorship statement
describes a single author's contri-
bution as "Sound recording and name
of performing group." The Copyright
Office will annotate the application
stating "Names not copyrightable. 37
C.F.R. 202.1."

619.06(c)

Claim in unregistrable matter: author's

aole contribution. In cases where an
author 's sole contribution is unregis-
trable matter, an application naming that
person as author of the unregistrable
contribution will not be accepted, even
if another author has contributed copy-
rightable matter.

619 Nature-of-authorship statement. (cont'd)

619.06

Nature of authorship: claim in unregistrable material. (cont 'd)

619.06(c)

Claim in unregistrable matter: author's

sole contribution. (cont'd)

Example:

An application names Susan Oakes as author of a "Novel" and John Oakes as contributor of "Title of novel." The Copyright Office will request &amp; new application omitting reference to John Oakes, if the title is his aole contribution.

619.06 (d)

Claim in unregistrable matter: de minimis material. Where the Copyright Office determines that the author's contribution is de minimis, it will refuse to register the claim.

Example :

An application names the author of song lyrics; the deposit consists of three words : "I love you." The Copy- right Office will refuse to register the claim.

619.06(e)

Unregistrable matter: claim covers both de minimis and registrable matter. The following practices relate to claims intended to cover both de minimis and registrable material.

619.06(e) (1)

De minimis and registrable matter: general practice. Where the nature- of-authorship statement on an appll- cation describes both de minimis and registrable material, the Copyright Office will request a new application that omits reference to the de minimis material.

Nature-of-authorship statement. (cont'd)

519.06
Nature of authorship: claim in unregistrable
material. (cont 'd)

619.06(=)

Unregistrable matter: claim covers both
de minimis and registrable matter.
(cont d)

619.06(e) (2)

De minimis and registrable material.

Where a work contains de minimis
material in one category of author-
ship but registrable material in
another category, the Copyright
Office will refuse to register a
claim specifically in the de minimis
element. Generally, the Office will
request a new application describing
only the registrable material.

Example:

The nature-of-authorship state-
ment names A as author of "words
and music." The only words con-
tained in the deposit are "I Love
You, " repeated several times.
The Copyright Office will request
a new application omitting refer-
ence to "words."

619.06(e)(3)

De minimis and registrable material:
unitary work. Where the nature-of-
authorship statement gives: "Entire
work," and the copy contains both de
minimis text and copyrightable mate-
rial by one author, the application
will be accepted on the basis of che
copyrightable content of the work.

619
Nature-of-authorship statement. (cont'd)

619.05

Nature of authorship: claim in unregistrable
material. (cont 'd)

619.06(e)

Unregistrable matter: claim covers both
de minimis and reglatrable matter.
(cont 'd)

619.06(e)(3)

De minimis and registrable material:
unitary work. (cont'd)

Example :

An application names Shirley
Wonder as author of "Entire
work." The deposit is a greeting
card depicting & Panda and con-
taining the words "FONZ helps
UNESCO, Won't You?" The Copy-
right Office will accept the
application as submitted.

619.07
Nature-of-authorship statement at variance
with statement on deposit. In general, where
there is an unexplained variance between the
nature-of-authorship statement and statements
made on the deposit material, the Copyright
Office will generally communicate with the
applicant.

Examples :

1\) The application for a musical composition
names Alfred Archway as author of words
and Bob Barter as author of "music." The
copy states: "Words by Bob Barter and
music by Alfred Archway." The Copyright
Office will communicate with the appli-
cant.

2\)
The application names Alfred Archway an
author of music in a work made for hire,
and also author of the words, not made

Nature-of-authorship statement. (cont'd)

619.07
Nature-of-authorship statement at variance
with statement on deposit. (cont 'd)
Examples: (cont'd)
2) (cont'd)

for hire. The phonorecord states : "By
Alfred Archway and Bob Barter." The
Copyright Office will accept the appli-
cation on the assumption that Bob Barter
is the employee for hire of Alfred
Archway.

619.08

Nature-of-authorship statement at variance
with deposit. In general, where the appIT-
cation describes the author's contribution
as including material not present in the
deposit, the Copyright Office will communi-
cate with the applicant.

Examples :

1\)
The application gives the nature of
authorship as literary material and
artwork. The deposit consists only of
text. The Copyright Office will ask the
applicant to submit the missing material
or to amend the application.

2\)
The application gives the nature-of-
authorship statement as audiovisual work;
the deposit is a literary work explaining
how to make filmstrips. The Copyright
Office will communicate with the appli-
cant, unless the registration materials
indicate that the material in the deposit
is all that the applicant intends to
register. In that case, the Copyright
Office will annotate the application.

#### 619.08 Nature-of-authorship statement at variance with deposit. (cont 'd)

Examples: (cont'd)

) The application gives the nature of the
authorship as a motion picture; the
applicant explains in an accompanying
letter that he plans a motion picture for
the future, but that only a short aynop-
sis is completed. The synopsis is
deposited, The Copyright Office will
annotate the application.

619.08(a)

Variances with deposit material: more
material present than claimed. Where the
deposit material contains more authorship
than is claimed on the application, the
Copyright Office will ordinarily register
the claim as submitted, without
annotation. If, however, the work is by
one author and the deposit contains a
specific statement crediting that author
with all elements, the application will
be annotated to reflect the authorship
statement on the deposit. Where the
application names only one person as
author of one element and the deposit
names another person as both co-author of
that element and as sole author of a
second element, the Office will
communicate with the applicant to
determine the extent of the claim.

##### Examples :

1\) A musical composition consisting of
words and music is deposited with an
application naming only the author of
the music. The words are not
otherwise accounted for on the
application. The Copyright Office
will accept the application as
submitted.

619

Nature-of-authorship statement. (cont'd)

619.08

Nature-of-authorship statement at variance

with deposit. (cont 'd)

619.08(a)

Variances with deposit material: more

material present than claimed. (cont'd)

Examples: (cont'd)

An application names John Doe as author of "music." The deposit contains words and music and states "Words and Music by John Doe." The Copyright Office will register the claim with an annotation on the application reflecting the authorship statement given on the deposit.

A musical composition consisting of words and music is deposited with an application naming only John Doe as author of "words." The deposit names John Doe and Mary Smith as co-authors of words and Mary Smith as author of music. The Copyright Office will communicate with the applicant to determine the extent of the claim.

An application for a literary work is submitted claiming only "Text." The deposit also contains a few pictorial illustrations. The Copyright Office will register the claim as submitted.

619.09

Nature-of-authorship statement: unclear. Where the nature-of-authorship statement does not describe the registrable material in the deposit, the Copyright Office will communi - cate with the applicant.

619.09
Nature-of-authorghip statement: unclear.
(cont d)

Examples :

1\) An application for an historical novel
givea the nature-of-authorship statement
as "Facts." The Copyright Office will
communicate with the applicant for
clarification of the author's contri-
bution.

2\)
A Form VA describes the author's contri-
bution as "Structure." The deposit is an
architectural blueprint. The Copyright
Office will ask the applicant to clarify
the description by stating "Technical
drawing," or the like, if applicable.

3\)
An applicant describes the author's con-
tribution as "Game" in a work consisting
of audiovisual pictorial Images and
sounds. The Copyright Office will
request that the applicant describe the
author's contribution as "Audiovisual
work."

619.09(a)
Nature-of-authorship statements: clari-
fied by reference to deposit. Where the
nature-of-authorship statement is unclear
but can be determined by reference to the
deposit or other registration materials,
the Copyright Office may annotate the
application, or it may register the claim
without annotation.

Examples :

1\)
A nature-of-authorship statement on
Form SR describes a claim in "Pro-
duction." The deposit is & phono-
record. The Copyright Office will

619
Nature-of-authorship statement. (cont'd)

619.09
Nature-of-authorship statement: unclear.
(cont'd)

619.09(b)

Nature-of-authorship statements: not
clarified by reference to deposit.
(cont 'd)
Examples : (cont'd)

1\) (cont'd)

2\) A nature-of-authorship statement
describes the author's contribution
as "Conceived play." The deposit is
a drama. The Copyright Office will
register the claim, if the author
named apparently wrote the play.

619.09(b)
Nature-of-authorship statemente: not
clarified by reference to deposit. Where
the nature of authorship Is unclear when
compared with the deposit material, the
Copyright Office will communicate with
the applicant. If the scope of the
claim, however, is reasonably clear, the
application will be accepted as submit-
ted.

Examples :

1\) A Form TX is submitted with a phono-
record. The nature-of-authorship
statement is given as "Literary
work." The Copyright Office will
accept the application if the
phonorecord contains literary mate-
rial, and will not ask the applicant
whether & claim in sound recording La
intended.

619
Nature-of-authorship statement. (cont'd)

#### 619.10 Nature-of-authorship statement: derivative works. (cont'd)

Examples : (cont'd)

2\)
Form TX is submitted for a book
jacket containing copyrightable text
and de minimis artwork. The author's
contribution Is stated as "Design."
The Copyright Office will request
from the applicant a clear statement
of authorship.

3\)
An application Form VA is submitted
with a photograph of a flower. The
nature-of-authorship statement is
stated as "Photosynthesis." The
Copyright Office will communicate
with the applicant.

619.10
Nature-of-authorship statements: derivative
worke. Where the work being registered
Incorporates material that has been pre-
viously registered, previously published, or
is in the public domain, the nature-of-
authorship statement on the application
should describe the new copyrightable
material in which copyright is claimed.
Where the nature-of-authorship statement
describes only the preexisting material, the
Copyright Office will communicate with the
applicant.

Example :

The application names an author and
states "Original oil painting" in the
nature-of-authorship space. At the
material-added space, "Art reproduction"
is given. The deposit is a lithographie
reproduction. The Copyright Office will

619.10
Nature-of-authorship statement: derivative
works. (cont d)

Example: (cont'd)

ask the applicant to describe the author-
ship in the lithographic reproduction at
the "Author of" space and to name the
author if different from the author of
the oil painting. See sections 615.01
and 615.09 above.

## 619.10(a)

Nature-of-authorship statement: appro-
priate description of derivative works.
Because the registration will cover only
part of the material contained in a deri-
vative work, the nature of the author's
contribution for such works must be made
clear. In general, it is not sufficient
to give the author's contribution simply
as "derivative work" unless the statement
in the nature-of-the-work space or the
material-added space clearly and compre-
hensively describes the new material.

Example:

An application states at the nature-
of-authorship space "Derivative mate-
rial," and at the material-added
space "Musical arrangement." The
deposit is apparently a new arrange-
ment of an old folk song. The appli-
cation is acceptable.

619.10(b)

Nature-of-authorship statemenu: same
author of preexisting and derivative
material. Where the author of the
preexisting material and the derivative
work appears to be the same, and the
nature-of-authorship statement on the

619.10
Nature-of-authorship statement: derivative
WORKS. (cont d)

619.10(b)

Nature-of-authorship statement: same
author of preexisting and derivative
material. (cont 'd)

application is broad enough to encompass
both the preexisting and new material,
the Copyright Office will register the
claim.

## Examples :

1\) The nature-of-auchorship statement on
an application for a musical composi-
tion consisting of words, music, and
arrangement names a single author
whose contribution is "Entire work;"
the material-added statement notes
"New arrangement." The Copyright
Office will register the claim.

2\)
An application Form VA describes the
authorship as "advertisement." The
material-added statement is: "Addi-
tional artwork." The application
will be accepted.

3\)
An application Form TX is submitted
giving no nature-of-authorship state-
ment. The material-added statement
Ls: "Revisions throughout." In the
absence of a contradictory statement
of authorship on the deposit, the
application is acceptable.

619.11
Nature-of-authorship statements: compila-

Clone. Generally, where the claim consIsts
principally or solely of compilation author-
ship, the nature-of-authorship statement
should include "Compilation, " or a comparable

619.11
Nature-of-authorship statements: compila-
tions. (cont'd)

statement, such as "Selection," or "Arrange-
ment." Where the application does not
clearly describe the authorship as
"compilation" or an acceptable alternative,
and no other basis of claim is apparent, the
Copyright Office will communicate with the
applicant.

Examples :

1\) The applicant submits a series of public
domain charts with answer sheets. The
application does not describe the nature
of authorship, The Copyright Office will
communicate with the applicant.

2\)
An application Form TX describes the
authorship as "Entire work." The deposit
is a data base. The Copyright Office
will communicate with the applicant to
determine the basis of the claim.

619.11 (a)
Nature-of-authorship statements: col-

lective works. Where a collective work
Is being registered, the compilation and
other authorship included in the claim
need not be stated with particularity; a
statement that the work is a collective
work is sufficient to cover the work as a
whole, Including elements of compilation,
revision, editing, arrangement, and any
other material prepared by employees of
the author as contributions to the
collective work. See also section 626
below.

## Nature-of-authorship statement. (cont'd)

619.11

Nature-of-authorship statements: compila-
Cions. (cont d)

619.11 (a)
Nature-of-authorship statements: col-
Lective works. (cont'd)

Example :

Application for a magazine is submit-
ted on Form SE with the "collective
work" box checked. The application
will be accepted.

Date of creation. The application shall include
Che year in which the work was created. See 17
U.S.C. 409(7). A work is considered "created"
when it is fixed by or under the authority of the
author for the first time. Where a work has been
prepared over a period of time, the part of the
work existing in fixed form on a particular date
constitutes the created work on that date. See
37 C.F.R. 202.3(b) (3) (11). Where the year of
creation is omitted, the Copyright Office will
communicate with the applicant for the missing
information. Where the applicant cannot deter-
mine the exact year of creation, qualifying
Language is permitted, such as "approximately,"
"on or about," or "on or before."

620.01

Date of creation: creation over a period of
time. Where a work is prepared over a period
Of Cime, the portion of it that has been
fixed at any particular time constitutes the
work as of that time. See 17 U.S.C. 101.
Where a single version is being registered,
the application should give as the year of
creation the latest year when copyrightable
material was added to the version being
registered. If multiple dates are listed,
however, the Copyright Office will register
the claim as submitted.

620.02
Date of creation: multiple versions of a
work. Where a work has been prepared In
different versions, each version constitutes
a separate work. See 17 U.S.C. 101. Where
different versions of a work are being
registered separately, each application
should give the year of creation for the
particular version being registered. Where
it appears that the application does not give
the year of creation for that version, the
Copyright Office will communicate with the
applicant. See section 610 above.

Example:

The application for a derivative work
gives 1972 as the year of creation and
the year of previous registration. The
publication date is January 1, 1978, and
there are two notices on the copies: "@
1972 Miller Music," followed by "Musical
Arrangement @ 1978 by John Dee Music."
The derivative claim is based on a new
arrangement. The Copyright Office will
ask the applicant whether the year of
creation refers to the new arrangement.

620.02(a)

Date of creation: multiple dates, with
single registration of multiple versions
of a work, In cases where several ver-
sions of a work are being registered
together, the applicant should give the
date of creation of the latest version.
However, if the applicant gives the date
of creation of each version, the applica-
tion will be accepted. See also section
610 above.

620.03
Date of creation: apparently incorrect. Where
The date of creation is inconsistent with
other dates appearing on the application or
the deposit, the Copyright Office will com-
municate with the applicant.

620

Date of creation. (cont'd)

620.03

Date of creation : apparently incorrect. (cont d) Examples :

1) An application states that the author died in 1980, but gives the year of creation as 1982. The Copyright Office will ask the applicant if this informa- tion is correct, and if so, to explain the circumstances.

2) An application gives the date of publi- cation as 1979. The year of creation is given as 1982. The Copyright Office will ask the applicant to review the informa- tion and correct the publication or crea- tion date.

621

Publication. The application for copyright

registration shall include, in the case of published works, the date and nation of first publication. See 17 U.S.C. 409(8). For the definition of publication under the current law, see 17 U.S.C. 101. For practices concerning publication under the current Act, see Chapter 900: PUBLICATION. For practices regarding publication under the 1909 Copyright Act, as amended, see Compendium I.

621.01

No publication information given. Usually, where an application gives no date or place of publication, the Copyright Office will register the claim as unpublished without

question. Where, however, the deposit or registration materials suggest that publi- cation information was omitted from the

application by mistake or misunderstanding,

the Office will communicate with the appli- cont before registering the claim. To cor-

rict the registration records for a work

621.01
No publication information given. (cont'd)

erroneously registered as unpublished, a
supplementary registration generally cannot
be made. Instead, the applicant must make a
new basic registration and submit the appro-
priate deposit. See section 621 above, and
Chapter 1500: CORRECTIONS AND AMPLIFICATIONS
OF COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY
REGISTRATIONS. Although an application may
give no date of publication, the Copyright
Office may question whether publication has
occurred in cases such as the following. If
the applicant satisfactorily explains che
statement causing the question to arise, the
Office will register the claim as submitted,
except In Examples 5, 6, and 7 below.

Examples :

1\)
A periodical issue is deposited, giving a
date that has passed.

2\)
A photograph is deposited along with an
advertising catalog in which the photo-
graph is offered for sale.

3\)
A musical score is deposited bearing the
stamped legend : "For rental only."

4\)
Two copies of commercially produced sheet
music are deposited by a publishing
company .

5\)
Motion pictures are deposited for epi-
sodes of a television series known to be
in syndication.

6\)
A 45-rpm disc phonorecord states : "From
the album . . . ," and the Copyright
Office is aware that the album has been
advertised in trade magazines.

621
Publication. (cont'd)

621.01
No publication information given. (cont'd)
Examples : (cont'd)

7\) A novel is known to be listed in trade
publications on & Best Seller list.

621.01 (a)
No publication information given: possi-
ble eligibility problem if published.
Where the Copyright OFFice questions
whether publication has occurred, its
letter will point out the possible con-
sequences of publication if the Office is
aware that the work may be unregistrable
when published.

Examples :

1\) An application submitted in 1984
containa no date of publication and
gives the date of creation as 1978.
Two copies of a commercially produced
book are deposited by a publishing
company bearing a 1978 imprint. The
copies contain no notice of copy-
right. The Copyright Office will
point out that the work may not be
registrable if it was published in
1978\.

2\)
The application names citizens of
Iran as authors. The deposit copy
states "Prepared in Iran and pub-
lished under the auspices of the
Iranian Government." The application
was submitted in 1983. The Copyright
Office, in questioning publication,
will point out that a work by an
Iranian citizen might not be eligible
for registration if first published
in Iran.

Publication. (cont'd)

621.01

No publication information given. (cont'd)

621.01 (b)

No publication information given: state- ment by applicant. Where the application contains a statement that work is unpub- lished, (such as, "Unpublished, " "N/A," or "No" in the publication block), the Copyright Office will consider it less likely that the applicant overlooked the question of publication. Applicants making registrations of commercially prepared material in unpublished form may Bend a letter to this effect to the Copy- right Office. In these cases, the Office will generally not inquire whether publi- cation has occurred.

621.01 (c)

No publication information given: re- strictive legenda. Where the application contains no date of publication and the deposit contains a restrictive legend, such as "Use of the material is strictly controlled," or where the applicant asserts that the deposit contains trade secret material, the Copyright Office will not ordinarily question whether publication has occurred.

621.02

Publication Information given. In general, Che Copyright Office will not question an assertion of publication unless statements on the application or other deposit materials clearly suggest that the work has not been published. Although the publication block on the application contains a date and place of publication, the Office may question whether publication has in fact occurred in cases such as the following :

1\) Where the application states: "performed"
or "broadcast."

621.02
Publication information given. (cont'd)

2\)
Where one homemade cassette is submitted
for a work for which the appropriate
deposit ie two phonorecorda.

3\) Where handwritten copies are deposited.

4\)
Where letter accompanying the deposit
states that the date given is the date
the material was printed, and that the
applicant is waiting to get his certi-
ficate before distributing copies.

5\)
Where an application for an original
painting states in the publication block:
"Public exhibition date: April 1, 1981."

621.03
Publication: extraneous statements on appli-
cation. The date of publication should be
given on an application without any quali-
fying statemente. However, the Copyright
Office will accept the application without
correspondence if the information given is
not inconsistent with other information on
the application or other registration mate-
riala.

Examples :

1\) An application states: "Televised," in
the publication block and gives no date
or place of publication. The application
La acceptable for registration in unpub-
lished form.

2\) An application form for a motion picture
states in the publication space: "Re-
leased December 3, 1982." The applica-
tion is acceptable.

Publication. (cont'd)

621.04
Publication: place of publication given with-
out date. Where the application gives a
place of publication without a date, the
entire application, deposit, and correspon-
dence will be considered in deciding whether
to communicate with the applicant to ascer-
tain whether publication has occurred.

621.05

Publication: complete date of publication.

The application should give the exact monch,
day, and year when publication first occur-
red. Where one of these elements is omitted,
the Copyright Office will communicate with
the applicant.

Example :

An application gives the date of publi-
cation as "January, 1980." The Copyright
Office will ask the applicant to provide
the precise date of publication.

621.05(a)

Complete date of publication: exact date
unknown. In cases where the applicant
cannot determine the exact date of first
publication, the date may be qualified by
"approximately," "not later than," "not
before," or the like; in any case, it is
preferable that the applicant give one
specific date of publication without
qualifying language.

621.06

Publication: more than one date given. In
general, the applicant should give only one
date of publication -- the date publication
first occurred. Where more than one date of
publication is given, the Copyright Office
will communicate with the applicant to ascer-
tain the date of first publication for the
work being registered.

Publication. (cont'd)

621.07
Publication: errors and inconsistencies in
date of publication. Occasionally, the
application may give a date of publication
that does not exist or that is impossible in
light of other registration information. In
such cases, the Copyright Office will com-
municate with the applicant.

Examples :

1\)
The date of publication given on the
application is February 30, 1982.

2\)
The date of publication is earlier than
the date of the author's birth.

621.08
Publication: nation of first publication
omitted, Where a work has been published,
the application should give the nation of
first publication. However, if the nation of
first publication is omitted and only the
place of first publication will provide a
basis for the claim's eligibility for regis-
tration, and the place of publication is not
given elsewhere in the registration mate-
riala, the Copyright Office will communicate
with the applicant. Where the registration
materials state a basis for eligibility other
than the nation of first publication, an
application giving no nation of publication
will be accepted.

Examples :

1\)
) An application, giving no place of
publication, states that the author is
domiciled in the United States. The date
of publication is given as September 1,
1983. Two copies are deposited. The
application is acceptable.

Publication. (cont'd)

621.08
Publication: nation of first publication
omitted. (cont 'd)
Examples: (cont'd)

2\)
An application giving no nation of publi-
cation states that the author is a citt-
zen and domiciliary of Nepal. Two copies
are deposited. The Copyright Office will
communicate with the applicant.

621.09
Publication: identification of nation of

First publication. The name of the nation of
Frat publication should generally be given
and must be given if the work is eligible
only on the basis of the nation of first
publication. Where the nation of first
publication is identified on the application
in terms other than its formal name, but the
country is clearly Identified by that name,
the Copyright Office will consider that name
acceptable to identify that country. See
Chapter 1100: ELIGIBILITY.

Example:

An application gives a date of first
publication and states that the work was
published in Wales. The application is
acceptable, even though the preferable
name would be the United Kingdom.

621.10
Publication: first published in different
countries on the same day. If first pub-
Ilcation took place in the United States and
one or more other countries on the same day,
the applicant should state "USA" as the place
of first publication. See Chapter 900: PUB-
LICATION. Although it is preferable for the
application to give only one country, an
application for an eligible work giving two
or more countries will be accepted.

Claimant: defined. For purposes of registration,
& copyright claimant is either (1) the author of
a work; or (2) a person or organization that has
obtained ownership of all United States rights
which initially belonged to the author under the
United States copyright law. This latter cate-
gory includes a person or organization that has
obtained, from the author or from an entity that
has obtained ownership of all rights under the
copyright, the contractual right to claim legal
title to the copyright in an application for
copyright registration. See 37 C.F.R. 202.3(a)
(3). With respect to unpublished works and works
first published on or after January 1, 1978, the
application should name the claimant or claimants
as of the time the application is filed. NOTE:
For works first published before 1978, see
Compendium I, Chapter 4, Section 4.2.3.

622.01
Name of claimant: required, with address.
The application for registration shall
include the name and address of the copyright
claimant. See 17 U.S.C. 409(1), Where the
claimant's name is not given, the Copyright
Office will communicate with the applicant.
Generally, where the claimant's address is
not given, the return or correspondence
address will suffice. In any case where
neither the claimant's address nor a satis-
factory substitute is given in the registra-
tion materials, the Office will attempt to
communicate with the applicant by telephone.
If the applicant cannot be reached, but the
application is otherwise acceptable, regis-
tration will be completed even though the
certificate may not be mailed.

622.02
Claimant: variance between claimant on appli-
cacion and name in notice of copyright. With
respect to works first published on or after
January 1, 1978, the name of the claimant
given on the application should be either the
name of the owner of all United States rights

622
Claimant: defined. (cont'd)

622.02
Claimant: variance between claimant on appll-
cation and name In notice of copyright.
(cont d)

on the date the application Is filed, or the
author. Ordinarily, the Copyright Office
will not communciate with the applicant
because the name given in the notice of
copyright for a work published on or after
January 1, 1978, differs from the name of che
claimant on the application. The Office will
communicate about such a variance, however,
if such work was published before 1978.

Examples :

1\) An application for an unpublished work
names Patrick Mink as author and claim-
ant. The copy contains a notice of
copyright stating: "º 1983 Mark Music
Company." The application is acceptable.

2\)
An application for registration of a
published work is submitted. The copies
contain a notice of copyright stating: "e
1983 Excelsior Music Company." The
application names "Frank Music Company"
as claimant. The application is accept-
able.

622.03

Claimant: abbreviated names at the claimant

space. The application should give the
claimant's full legal name. However, an
application will be accepted with an abbre-
viated version of the claimant's name if
there is no doubt whether that name could
identify the claimant to the public. On the
other hand, an application designating the
claimant solely by his or her surname ordi-
narily will be questioned. In any case,

622
Claimant: defined. (cont'd)

622.03
Claimant: abbreviated names at the claimant
space. (cont d)

where the name designating the claimant on
the application does not sufficiently iden-
tify the claimant but other registration
materials clarify his or her identity, the
Copyright Office will add this information to
the application.

Examples :

1\)
An application names "Sonny" Bell and
"Scooter" McCall as co-claimants. The
application is acceptable.

2\) An application names "Mr. Bell and Mrs.
McCall," as claimants. The registration
materials do not contain any information
concerning the given name of the claim-
ant. The application will be questioned.

3\)
An application gives "Mr. T" as the name
of the claimant. An accompanying letter
states that the claimant's full name is
Terry Thompson Tipley. The Copyright
Office will annotate the application to
give the claimant's full name.

622.03(a)
Abbreviated names: initials at the claim-
ant space. If the identity of the claim-
ant Is known to the public by certain
initials, an application will be accept-
able giving those initials as the name of
the claimant. Where the initials do not
so identify the claimant, the Copyright
Office will request a new application
giving the claimant's legal name.

622
Claimant: defined. (cont'd)

622.03
Claimant : abbreviated names at the claimant
space. (cont d)

622.03(a)
Abbreviated names: initials at the claim-
ant space. (cont'd)

Examples :

1\)
An application submitted by General
Motors gives the claimant's name as
"GM." The application is acceptable.

2\)
An application naming the claimant as
"FIG" is accompanied by a transmittel
letter stating that the initials
designate the name "Fruit Is Good
Company," and that the initials are a
proposed name change for a company
now doing business under the name
"Fantastic Fruit Company." The
Copyright Office will ask the
applicant whether "FIG" currently
identifies the claimant to the
public.

622.04
Claimant: pseudonym at claimant space. The
application should give the claimant's full
Legal name. Where a pseudonym is given,
however, the Copyright Office will not
question the applicant in the absence of
information that the claimant's pseudonym
does not identify him or her to the public.

622.05
Claimant: alternative claimants at the
claimant space. The claimant should be
Identified clearly. Therefore, where
alternative claimants are given disjunc-
tively, the Copyright Office will communicate
with the applicant.

Examples (unacceptable) :

1\) "John or Mary Doe"

2\) "John Doe and/or Mary Doe"

622
Claimant: defined. (cont'd)

622.05
Claimant: alternative claimants at the
Claimant space. (cont d)

Examples (acceptable) :

1\) "John Doe - Mary Doe"

2\) "Foster Music/Dear Music"

3\) "Stiller/Hyson Graphics"

622.06
Claimant: future and contingent interests.

Persons or organizations with a future
Interest in the copyright or those who may
obtain ownership of the copyright upon a
contingency should not be named as claimants.
The following are examples of unacceptable
statements at the claimant space.

1\) "John Doe, or, upon his death, Mary Doe".

2\) "John Doe, and after ten years, Sam Doe"

3\) "John Doe, or if she survives, Mary Doe"

4\)
"John Doe Company or, should its
corporate headquarters move to Iowa,
Howard Doe Company."

622.07
Claimant: corporation sole at claimant space.
Where an individual Is a copyright claimant
in his or her capacity as a corporation sole,
and that legal status is indicated on the
application, the application will be accep-
ted. Even where successors are mentioned, a
corporation sole is considered to designate
one entity.

NOTE: A corporation sole is defined as a
corporation consisting of one person only,
and his or her successors in some particular
office incorporated by law in order to give

622.07
Claimant: corporation sole at claimant space.
(cont d)

each of them in succession some Legal capa-
city and advantages, particularly that of
perpetuity, which as natural persona they
could not have.

Examples :

1\) The claimant space states: "John Doe, a
corporation sole."

2\) The claimant space states: "John Doe and
his successors, a corporation sole."

622.08
Claimant: legal and equitable owners at
claimant space. Where a trustee holda
copyright property, the name of the trustee,
as the legal owner, should be given at the
claimant space. However, an application
giving either the names of only the equitable
owners of the copyright, or the names of
equitable and legal owners together will be
accepted.

Example :

Riggins National Bank holds in trust the
copyright in a motion picture screenplay
whose equitable owners are investors in a
motion picture venture. The application
for the screenplay names "Riggins
National Bank, Trustee" as sole claimant.
The application is acceptable.

622.09

Claimant : incorporation of claimant's name by
reference. As a rule, the claimant should be
Identified on the face of the application
without reference to other records. Where
the claimant can be identified only by
reference to a source outside the registra-
tion materials, the Copyright Office will
communicate with the applicant.

622

Claimant: defined. (cont'd)

622.09

Claimant: incorporation of claimant's name by

reference. (cont'd) Example : An application names the claimant aa "Owners of Plat B, Square 464 on page 844 of Record Book 501, Office of the Recorder of Deeds, Mexia, Texas." The Copyright Office will request a new application giving the names of the claimants.

622.10

Claimant: designation of groups at claimant space. The claimant named on the application should be an entity capable of holding copy- right. In general, where the claimant's name designates a group of persons, the applica- tion will be accepted without question, if it can be assumed that the membership of the group was determined before or at the time the application was submitted. An applica- tion is not acceptable, however, where the identity of the claimant is vague or ambigu- ous.

Examples :

1) An application names "Greencastle Combo" as claimant. The application is accept- able.

2) An application gives as claimant, "The 1982 Graduating Class of Summer Glen Elementary School." The application is acceptable on the assumption that class membership was fixed when the application was filed.

3) "The James Martin Family" is named as claimant on the application. Since the designation "family" is an open class whose membership was not determined, the application is unacceptable.

622
Claimant: defined. (cont'd)

622.10
Claimant: designation of groups at claimant
space. (cont 'd)

Examples: (cont'd)

4\) An application names as claimant: "A11
Right Thinking People." Since the claim-
ants are not identified, the application
is unacceptable.

622.11
Claimant: owner for limited term. An appli-
cation that names as claimant an owner of all
rights to the copyright for a limited term of
years may be registered. However, where
there is an indication that the application
Is submitted outside the period of ownership,
the application will be questioned.

Examples :

1\)
An application names John Doe as claim-
ant; the transfer space notes: "By
written contract for a period of three
years." No other contract information is
given. The application is acceptable.

2\) An application is submitted naming John
Doe as claimant and giving the transfer
statement, "By written contract for three
years." The application is received on
April 22, 1983, together with a document
attached as a rider. The examiner notes
that the three-year period began on Janu-
ary 1, 1979. The application will be
questioned.

3\)
An application is submitted naming "John
Doe Recording Company" as the claimant
and giving as the transfer statement, "By
written contract obtained all United
Statea rights for a period of ten years."

622.11
Claimant: owner for limited term.
(cont'd)

Examples: (cont'd)

3\) (cont'd)

The document of transfer, simultaneously
submitted by the applicant, indicates
that the ten-year period has not expired.
The application is acceptable.

## 622.12 Claimant: deceased person named at claimant

space. An application that names a deceased
person as claimant is not acceptable. When
the Copyright Office has knowledge that a
claimant died before the date of receipt of
the application, the Office will request a
new application naming the current owner of
all rights to the copyright. It may name as
the copyright claimant an heir of the
decedent, the estate, or the executor,
administrator, or personal representative of
the decedent.

622.13
Claimant: clarity of number of claimants.

The application should make clear the number
of copyright claimants. Where the number of
claimants is unclear, the Copyright Office
will communicate with the applicant.

622.13(=)
Clarity of number of claimants: indivi-
qual and related unincorporated company
named at claimant space. Where the
applicant wishes to indicate that an
individual and his unincorporated company
are the same legal entity, che applica-
tion should show the relationship between
the two, for example by stating "doing
business as," "solely owned by," or the
like. Otherwise, the number of claimants
may be unclear. In such cases, the Copy-
right Office will communicate with the

622
Claimant: defined. (cont'd)

622.13
Claimant : clarity of number of claimants.
(cont d)

## 622.13(a)

Clarity of number of claimants: Endivi-
dual and related unincorporated company
named at claimant space. (cont'd)

applicant. In general, for registration
purposes, the Office will presume that an
individual and a name-related, unincor-
porated organization are the same entity,
and an application naming an individual
and such an organization at the claimant
space will be accepted without question.
On the other hand, in some cases the
registration materials may indicate that
the two related names designate two
separate entities. In such cases, the
application will be examined accordingly.
See section 623.02 below.

Examples :

1\) An application names as employer in a
work made for hire "John Doe Publish-
ing Company." The claimant space on
the application gives "John Doe dba
[doing business as] Doe Publishing
Company." The application is accept-
able.

2\)
An application names as author "John
Doe." The claimant space gives "John
Doe Publishing, solely owned by John
Doe" with a separate address for
each. The transfer statement is "by
contract." The application is
acceptable.

3\) An application names Bill Jones as
author and Jones Company as the
claimant. No transfer statement is

622
Claimant: defined. (cont'd)

### 622.13 Claimant: clarity of number of claimants. (cont d)

622.13(a)
Clarity of number of claimants: indivi-
qual and related unincorporated company
named at Claimant Space. (cont d)

Examples: (cont'd)

3\)
(cont'd)

given. The Copyright Office will
register the claim on the assumption
that the author and claimant are the
same legal entity. NOTE: This
result would not obtain if the Jones
Company had been designated as a
corporate entity.

4\)
An application names John Doe as
author and notes "John Doe, Smith
Publishing Company" at the claimant
space. There is no indication of the
relationship between these two names,
or a transfer statement showing how
Smith Publishing Company obtained
rights to the copyright. The Copy-
right Office will communicate with
the applicant.

622.13(b)
Clarity of number of claimants: unrelated
names at the claimant space. Where two
or more unrelated names are given at the
claimant space on the application, the
Copyright Office will assume that the
names represent separate claimants unless
one name represents part of the address
or it is otherwise clearly indicated that
the names are not Intended to designate
separate claimants.

622
Claimant: defined. (cont'd)

622.13
Claimant: clarity of number of claimants.
(cont d)

622.13(b)
Clarity of number of claimants: unrelated
names at the claimant space. (cont 'd)

Example :

An application names Joan Doe,
author. At the claimant space, the
following information appears :

"Joan Doe
c/o Smith Publishing Company
468 Enterprise Avenue
Waukegan, Illinois 12345."

The application is acceptable. In
the example above, the company name
would be considered part of the
address even if the "c/o" were not
present.

622.14
Claimant: number of claims. Only one claim
can be registered on a single application.
Where more than one claim is being regis-
tered, each claim should be submitted on a
separate application with a separate fee.
Because statements describing the nature of
authorship or royalty agreements may be
Interpreted as statements asserting separate
claima, the applicant should not give such
statements in the claimant space. In
general, however, the Copyright Office will
not question such statements if it seems
clear that the applicant does not intend to
assert more than one claim on an application.

Examples of statements given in the claimant
space :

1\) John Doe -- wrote words
Mary Doe -- wrote music

The application is acceptable.

622
Claimant: defined. (cont'd)

#### 622.14 Claimant : number of claims. (cont'd)

Examples (cont'd)

2\)
John Doe -- one-half share
Mary Doe -- one-half share
The application is acceptable.

3\) John Doe -- owner of words
Mary Doe -- owner of music

The Copyright Office will ask the
applicant (s) to submit two separate
applications.

623

Transfers of copyright. For works published on
or after January 1, 1978, if the copyright claim-
ant is not the author, the application should
contain a brief statement of how the claimant
obtained ownership of the copyright. See 17
U.S.C. 409(5) and section 622 above. The
applications for basic registration provide a
space for transfer statementa. Preferably, these
statements should clearly reflect acte of trans-
fer. However, an application will be accepted
where there is a transfer statement from which a
transfer in writing may be inferred. See section
623.03(b) below.

Example :

In 1984, an application for a work created in
1966, but not published until 1975, is regis-
tered by the claimant who is not the author.
The transfer statement is "By oral agree-
ment." The application is acceptable because
the author could have transferred the copy-
right wichout & written instrument.

##### Transfere of copyright. (cont'd)

623.01

Transfers of copyright : transfer statements
on the application distinguished from docu-
ments. A statement of transfer is to be
distinguished from an instrument conveying
the copyright. Generally, the instrument of
conveyance, or document, need not be submit-
ted in support of the transfer statement.
Moreover, a document alone is not an accept-
able substitute for a transfer statement.
Generally, an application cannot incorporate
by reference other documents, but, where an
application also indicates the means of
transfer, the application will be accepted
despite references to "attached document."
In such cases, the application will be
annotated to show that the document was
removed and did not form part of the regis-
tration record.

Examples :

1\) An application and document pertaining to
the same work are submitted together.
The application names different persons
as claimant and author, but contains no
transfer statement. The document is a
contract purporting to convey the copy-
right interest in the work. Since the
application itself does not contain a
transfer statement, the application is
not acceptable. When communicating with
the applicant, the Copyright Office will
suggest "by written contract" as an
appropriate transfer statement.

2\)
An application and a document pertaining
to the copyright in the same work are
submitted together. The application
contains an appropriate transfer state-
ment. The applicant submits a single
fee. The Copyright Office will register
the claim and return the unrecorded docu-
ment, informing the applicant of the pro-
cedure and fee for recordation.

##### Transfers of copyright. (cont'd)

623.01
Transfers of copyright: transfer stacements
on the application distinguished from docu-
ments. (cont d)

## 623.01 (a)

Transfer statements: application and
document contradictory. As a rule, the
Copyright Office does not interpret docu-
ments. Examiners are not required as a
matter of course to analyze documents.
However, all materials submitted in con-
nection with registration may be read.
When documents submitted with the appli-
cations appear to contradict the transfer
described, the Office may communicate
with the applicant before making regis-
tration.

Example :

An application and a document per-
taining to the copyright in the same
work are submitted together. The
transfer statement on the application
is, "By written agreement." The
document grants the individual named
as claimant permission to publish
under restricted conditions. The
Copyright Office will communicate
with the applicant stating the
difference between the grant des-
cribed in the application and the
grant in the document. If the
applicant's explanation is satis-
factory, the Office will register the
claim.

623.02
Transfer statements: non-author as claimant.
Where & claimant (or co-claimant) Is not the
author or the same legal entity as the
author, the matter of whether a transfer
statement is required depends upon whether
the author, an authorized agent, or someone

## Transfers of copyright. (cont'd)

623.02
Transfer statements : non-author as claimant.
(cont d)

else signed the application. If the
application names both an author and a non-
author as co-claimants and if the application
is signed by the author or an authorized
agent thereof, the claim may be registered
without a transfer statement. However, if
the application is signed by a non-author, or
such person's authorized agent, or someone
else, the application must contain a transfer
statement.

623.02(a)
General requirements: transfers from one
co-author of a joint work or a work
consisting of only one element. Where
the work being registered is a joint work
or consists of only one element, and has
more than one author, a transfer
statement need show only how the claimant
obtained copyright ownership from one
co-author.

Examples :

1\) A musical composition consisting of
words and music is submitted. The
application names A as author of
words and B as author of music. C is
named as claimant. The transfer
statement reads: "By written
agreement from A." The application
will be accepted.

2\)
A Form TX is submitted for an essay
co-authored by A and B. The
copyright claimant is C. The
transfer statement reads: "Copyright
assignment from B." The application
is acceptable.

## Transfers of copyright. (cont'd)

623.02
Transfer statements : non-author as claimant.
(cont d)

623.02(b)
General requirements: transfers from one
co-author of a work that Is not a joint
work but consists of more than one
element. Where a unit embodies more than
one work, the transfer statement given on
the application should relate to each
work covered by the claim being
registered.

Examples :

1\)
An application for a published work
names A as author of original oil
painting and 8 as author of
"reproduction of a work of art." C
ia named as the claimant. The
transfer statement reads: "By
contract from A." The Copyright
Office will question whether C has
obtained ownership of the
reproduction. If so, the Office will
request an additional transfer
statement. If not, the Office will
ask the applicant to limit the scope
of the claim.

2\)
The application names A as author of
a diary, and B as author of a commen-
tary on the dTary. B is named as the
claimant and no transfer statement ia
given. The Copyright Office will ask
the applicant to clarify the extent
of B's ownership. If B is not claim-
ing copyright in the diary, the
claimant space may be limited by a
statement such as "Copyright claimed
on commentary only."

## Transfers of copyright. (cont'd)

623.02
Transfer statements : non-author as claimant.
(cont d)

623.02(b)
General requirements: transfers from one
co-author of a work that is not a joint
work but consists of more than one
element. (cont 'd)

Examples: (cont'd)

3\) An application Form SR names A, an
individual, as author of words and
music, and B, a record company, as
author of the sound recording. A and
B are named as co-claimants. The
Copyright Office will ask the appli-
cant whether A and B are joint owners
of the musical work and the sound
recording.

4\)
An application Form PA names C as
author of an unpublished choreo-
graphic work and D aa author of
commentary and other material that
was added after the choreographer
died. C and D are named as co-
claimants. The Copyright Office will
communicate with the applicant.

5\)
An application Form VA names E as
author of an original oil painting
and F as author of a lithographic
reproduction of the oil painting. E
and F are named as co-claimants. The
Copyright Office will communicate
with the applicant.

623.02(c)

General requirements: co-authors named as
Claimants. Where an application for a
work having more than one author names a
single author as the sole claimant, the

623

Transfers of copyright. (cont'd)

623.02

Transfer statements: non-author as claimant. (cont'd)

623.02(c)

General requirements: co-authors named as

claimants. (cont'd)

application will be accepted without a transfer statement unless the claim appears to cover two separate works.

623.02(d)

General requirements: individuals and business organizations. In general, an application is acceptable without a transfer statement where the claimant space names an author in conjunction with a name under which the author is doing business. However, where the individual author and the business organization are separate legal entities, a transfer statement is required. Examples :

1) An application names "Joan Doe" as author and gives "Joan Doe (Smith's Haute Couture)" as claimant. The transfer statement is: "Author is sole owner of Smith's Haute Couture." The application Is acceptable.

2) An application names "Joan Doe" as author and "Joan Doe (Doe Publishing Company, Inc.)" as claimant. The transfer statement reads : "Author is sole owner of Doe Publishing." Since a corporate organization and an indi- vidual are separate legal entities, the application will be questioned.

623.02(e)

General requirements: derivative works and compilations. A transfer statement Is required where the claimant is not the author of the compilation or the new

## Transfers of copyright. (cont'd)

623.02
Transfer statements: non-author as claimant.
(cont'd)

### 623.02(e) General requirements: derivative works and compilatione. (cont 'd)

material in a derivative work. There-
fore, where the author of the preexisting
material and the author of the new mate-
rial are different persons, and the
author of the preexisting material is the
claimant of the new work, the application
should indicate how he or she obtained
ownership of copyright in the new
materiel. However, if the derivative
work is a "joint work, " registration may
be made without a transfer statement.

623.02(f)
General requirements: collective works
registered with individual contributions.

A collective work may be registered
together with individual contributions to
the collective work on a single applica-
tion with a single fee where the claimant
of the collective work and the individual
contributions is the same. In such
cases, the application must give a trans-
fer statement relating to the ownership
of the individual contributions, where
they have been authored by persons other
than the author of the collective work.

623.03

Transfer statements: acceptable. The follow-
Ing transfer statements are acceptable to
indicate how the claimant obtained ownership
of the copyright. In most cases, variant
forms of these terms are also acceptable.

## Transfers of copyright. (cont'd)

Transfer statements: acceptable. (cont'd)

623.03

### 623.03(a)

Conveyance of copyright: acceptable. An
application Is acceptable where it aug-
gests that a conveyance of the copyright
was made to the claimant by a written
instrument. Examples include the follow-
ing as transfer statements :

1\) "By written agreement."

2\)
"Assignment."

3\)
"By contract."

4\)
"By transfer of title."

5\)
"By transfer of all rights."

6\)
"By author's grant of contractual
right to claim legal title in an
application for copyright registra-
tion."

7\)
"By agreement with publisher."

8\)
"By gift agreement."

9\)
"By assignment to the United States
Government."

10\)
"By assignment from the United
States Government."

11\)
"By trust instrument."

12\)
"By assurance" (ancient legal term,
meaning writing under seal).

3\) "By bill of sale."

623
623.03

#### 623.03(a)

Transfers of copyright. (cont'd)

Transfer statements : acceptable. (cont'd)

Conveyance of copyright : acceptable.
(cont d)

Examples: (cont'd)

14\)
"Memorandum of oral agreement."
section 623.04(a) below.

See

15\)
"By written contract."

16\)
"By will."

17\)
"By exclusive songwriter's agree-
ment."

18\) "By transfer of all U. S. rights."

623.03(b)
Conveyance of copyright: written transfer
Inferred. An application is acceptable
If a written transfer can be inferred
from the transfer statement. The follow-
ing examples of transfer statements are
acceptable unless there is information to
the contrary:

Examples :

1\)
"By transfer."

2\)
"By purchase."

3\)
"By gift" (acceptable where an
organization is the giver or
receiver, or both; not acceptable as
a transfer between two individuals) .

4\)
"By agreement."

5\)
"By conveyance."

Transfers of copyright. (cont'd)

623.03

Transfer statements: acceptable. (cont'd)

623.03(b)

Conveyance of copyright: written transfer
Inferred. (cont d)

Examples: (cont'd)

6\) "By empowerment" (written grant of
authority).

623.03(c)

Transfer statements: transfer by opera-
tion of law. Whenever the application
Indicates that the copyright has been
transferred by operation of law, the
requirement for a transfer statement will
be considered fulfilled. Examples in-
clude the following:

1\) "By inheritance."

2\) "By intestate succession."

3\)
"Heir under state law."

4\)
"By operation of state community
property law."

5\) "Partnership agreement."

623.03(d)

Transfer statements: transfer by opera-
tion of law not specifically stated.
Where a transfer by operation of law can
be inferred, or where the author and
claimant can be considered the same en-
tity, no formal transfer statement is
necessary .

Examples :

1\)
Author's spouse is included on the
application as co-claimant. The
address is in one of the following

##### 623.03(d)

## Transfers of copyright. (cont'd)

Transfer statements: acceptable. (cont'd)

Transfer statements: transfer by
operation of law not specifically stated.
(cont 'd)
Examples: (cont'd)

1\) cont'd

community property states: Arizona,
California, Idaho, Louisiana, Nevada,
New Mexico, Texas, or Washington.

2\)
The application names William Smith
and Edward Brown as authors; the
claimant space states: Smith-Brown
Company, a partnership.

3\)
Application states author is de-
ceased; the claimant space gives the
name of the claimant and states
"Heir."

## 623.03(e)

Transfer statements: written instruments
by third parties. On occasion, a trans-
fer statement referring to a written
Instrument made by a third party is
acceptable.

Examples :

1\)
"Deed from trustee in bankruptcy."

2\)
"Bylaws of a school board indicate
employment of instructors ia con-
dicioned upon ownership of copyright
in works created by the instructors
during duty hours."

3\) "By mortgage foreclosure."

Transfers of copyright. (cont'd)

623.03

Transfer statements: acceptable. (cont'd)

623.03(e)
Transfer statements: written instruments
by third parties. (cont d)
☒
Examples: (cont'd)

4\) "From mortgagee after foreclosure."

5\) "By court order."

623.03(£)

Transfer statement: chain of title. In
general, a transfer statement is accept-
able where it gives only the last act of
transfer to the claimant, unless there is
some doubt about the validity of that
transfer. However, where a claim is
submitted in the work of a long-deceased
or well-known deceased author, and there
is no indication that the claimant is
related to that author, the Copyright
Office may request that the applicant
submit a supplementary statement des-
cribing the chain of title from author to
claimant, Where such a statement is
provided, the application will be
accepted reflecting only the last act of
transfer. The supplementary statement
will be maintained in the correspondence
file relating to registration of that
work.

Example :

A newly discovered musical composi-
tion by a well-known composer who
died in 1918 published with intro-
ductory text is submitted for regis-
tration. The application names a
music publisher as copyright claim-
ant. The transfer statement reads:

## Transfers of copyright. (cont'd)

### Transfer statements: acceptable. (cont'd)

#### 623.03(f)

Transfer statements: chain of title.
(cont'd)

Example: (cont'd)

"By assignment." The Copyright
Office will request that the appli-
cant submit a letter indicating the
chain of title from the composer (or
his successors in interest) to the
current claimant.

623.04
Transfer statements: unacceptable. An
application is not acceptable in the first
Instance if it (1) indicates that the
transfer took place solely by means of an
oral agreement (but see section 623 above),
(2) describes the cliffant's relationship to
the author in terms chat do not operate to
transfer the copyright, or (3) shows that
less than all rights were transferred.

## 623.04(a)

Unacceptable transfer statements: oral
agreement. Generally, an oral agreement
without a written note or memorandum is
not sufficient to transfer copyright in
works statutorily copyrighted on or after
January 1, 1978. See 17 U.S.C. 204(s) .
Where an application for such a work
states that the copyright has been
transferred by an oral contract, the
Copyright Office will ask the applicant
whether the transfer was confirmed in
writing and, if such transfer is so
confirmed, the Office will annotate the
transfer statement accordingly. If the
transfer was not confirmed in this
manner, the applicant may seek regis-
tration after obtaining a written
confirmation.

## Transfers of copyright. (cont'd)

623.04(b)
Unacceptable transfer statements: trans-
fer of material object. A transfer of
the material object In which a work is
embodied does not of itself convey any
copyright interest in the work. See 17
U.S.C. 202. Therefore, statements chat
refer only to the transfer of the
material object will be questioned.

Examples :

1\) "John Doe gave me this copy."

2\) "I bought the painting."

623.04(c)
Unacceptable transfer statements: pos-
session Of material object. A transfer
statement suggesting that the person
named as claimant on the application
obtained mere possession of the material
object is not acceptable.

Examples:

1\)
"Found in attic trunk."

2\) "Discovered in a warehouse."

3\)
"The author sent these love letters
to me when we were young."

4\) "Author asked me to keep it for him."
Unacceptable transfer statements: status
or special relationship. In general, a
statement that the claimant enjoyed a
certain status or special relationship to
the author is not sufficient as a trans-
fer statement.

623.04(d)

623

Transfers of copyright. (cont'd)

623.04

Transfer statements: unacceptable. (cont'd)

623.04(d)
Unacceptable transfer statements: status
or special relationship. (cont 'd)

Examples of unacceptable statements :

1\)
"Author is president of claimant cor-
poration." The transfer statement is
not acceptable.

2\)
"Claimant is daughter of the deceased
author." The Copyright Office will
communicate with the applicant and
will suggest, where appropriate, a
new transfer statement, such as,
"Heir under state law" or "By will."

3\)
"Author owna 100 percent of the cor-
poration's stock."

4\)
"Claimant is author's agent."

5\)
"Claimant produces all of author's
artistic works."

6\) "Claimant is author's publisher."

7\) "Rules of contest."

623.04(e)
Unacceptable transfer statements : less
than all rights. For registration
purposes, a conveyance of Less than all
rights to the copyright claimant, such as
non-exclusive rights or a single exclu-
sive right, is not a sufficient convey-
ance to create the status of "claimant."
Therefore, where the transfer space on
the application reflects a transfer of
less than all rights of ownership under
the U.S. copyright law, the Copyright

623
623.04

Transfers of copyright. (cont'd)

Transfer statements: unacceptable. (cont'd)

623.04(e)
Unacceptable transfer statements: less
then all rights. (cont d)

Office will communicate with the appli-
cant. Examples of such unacceptable
transfer statements Include:

1\)
"By designation."

2\)
"By license."

3\)
"By permission."

4\)
"By request."

5\)
"By transfer of right of first
publication."

6\)
"By purchase of option."

7\)
"Broadcast rights."

8\)
"Agreement to prepare derivative
work."

9\)
"By lease."

10\)
"Transfer of world rights except for
copyright in the U.S.A."

11\)
"By consignment."

12\)
"Transfer of all rights except the
exclusive right of performance."

13\)
"Obtained all motion picture
rights."

14\)
"Transfer of serial rights."

Transfers of copyright. (cont'd)

623.04

Transfer statements: unacceptable. (cont'd)

623.04(e)

Unacceptable transfer statements: less
than all rights. (cont'd)
Examples : (cont'd)

15\) "Dedicated to."

16\) "By consent."

17\) "By release."

623.04(f)

Unacceptable transfer statements :
reserved rights related to copyright.
Where a transfer statement reflects a
reservation of rights that could relate
to exclusive rights in the copyright, the
statement will be questioned. After
satisfactory explanation, however, the
claim will be registered with an anno-
tation.

Example :

In an application for registration of
a claim in an audiovisual work,
Sonsui Concepts, Ltd. is named as the
author of a work made for hire. The
claimant is noted as "Great American
Games." The transfer statement
reads : "Transfer of all United States
rights except to create hand-held
version." The Copyright Office will
communicate with the applicant.

623.05

Transfer statement: extraneous information.
Gratuitous information given regarding a
transfer of copyright will generally be
disregarded, unless it either contradicts or
explains the apparent means of transfer.

## Transfers of copyright. (cont'd)

## 623.05

Transfer statement : extraneous information.
(cont'd)

Examples :

1\) The employer in the case of a work made
for hire is named as claimant. The
transfer space states : "By contract."
Since the statement could refer to a
"for-hire" agreement, the Copyright
Office will not regard the transfer
statement as contradictory.

2\) A corporation is named as claimant and an
individual is named as author. The
transfer space states: "Author is
president of the corporation, owns all
stock, and has voluntarily transferred
all rights." The Copyright Office will
regard the statement as acceptable.

624

Previous registration space on the application.
The application form poses the question: "Has
registration for this work, or for an earlier
version of this work, already been made in the
Copyright Office?" If the work or part of the
work for which registration is sought was
registered previously in the United States
Copyright Office, the applicant should check
"Yes." In such cases, the applicant should check
also the appropriate box relating to the basis
for new registration. However, where the boxes
are not checked, but the material-added statement
(or a statement elsewhere on the application)
makes the claim clear, the application is
acceptable. Where the question regarding
previous registration is not answered, the
application will be accepted if the work being
registered appears to be a new work.

624
Previous registration space on the application.
(cont'd)

Previous registration question answered

624.01
"Yes: "practices. If the question, "Has
registration for this work, or for an earlier
version of this work, already been made in
the Copyright Office?" is checked "Yes," the
following practices apply.

624.01 (a)

registration practices

: answers

to questions

clearly erroneous.

Where

the previous registration question is

checked "Yes," but the answer clearly is

in error or does not relate to regis-

tration in the United States Copyright

Office, the Office will annotate the

application and register the claim without correspondence.

Examples :

1\) The previous registration question is
checked "Yes." Because of an error
on a prior application, the applicant
was asked to submit a new one. When
resubmitting, the applicant refers to
a previous application as a "Previous
registration." The Copyright Office
will annotate the application and
register the claim.

2\)
The previous registration question is
checked "Yes" and "in Canada" is
added. With the registration mate-
rials, the applicant includes a copy
of a Canadian copyright certificate.
The Copyright Office will annotate
the application and register the
claim.

3\) The previous registration question is
checked "Yes." In a letter of trans-
mittal, the applicant explains that

624 (cont

'd) Previous registration space on the application.

624.01 624.01 (a)

Previous registration question answered "Yes:" practices. (cont'd)

Previous registration practices: answers to questions clearly erroneous. (cont'd) Examples : (cont'd)

3) (cont'd)

she registered the screenplay pre- viously with the Screenwriters' Guild. The Copyright Office will annotate the application and register the claim.

624.01 (b)

Previous registration practices : first published edition. Where the previous registration question is answered "Yes" and the basis for new registration is the first published edition of a work pre- viously registered as unpublished, the applicant should check the appropriate block in the "Previous Registration" space and should give complete informa- tion in the "Publication" space. Where it appears that this basis for registra- tion is not appropriate, the Copyright Office will communicate with the appli- cant.

## Example :

The previous registration question on
an application is checked "Yes," and
the basis for new registration is
given as "First published edition."
The book jacket, deposited with each
copy of the book, states that the
work had been previously published in
the United Kingdom but this is the
first edition of the work published

Previous registration space on the application.
(cont'd)

624.01

Previous registration question answered
"Yes :" practices. (cont'd)

624.01 (b)
Previous registration practices: first
published edition. (cont 'd)

Example: (cont'd)

in the United States. The Copyright
Office will communicate with the
applicant.

624.01 (c)
Previous registration practices : basic
registration by author as copyright
claimant. Where the previous regis-
tration question is answered "Yes" and
the basis for new registration is the
author's first application as copyright
claimant for the work in question, the
application is acceptable if: (1) it
shows that the author or co-author and
claimant are the same, and (2) previous
registration was made on or after January
1, 1978. An author of a work registered
before 1978 in the name of another claim-
ant cannot make a second basic registra-
tion for that work. Moreover, if the
work was published before 1978, an author
whose name was not in the notice of copy-
right for that work cannot register it in
his or her own name.

Example :

The previous registration question is
answered "Yes," and the basis for new
registration is given as "The first
application submitted by this author
as copyright claimant." The previous
registration number and year are
"EU75312" and "1977," respectively.

624

(cont'd) Previous registration space on the application.

624.01

Previous registration question answered "Yes:" practices. (cont'd)

624.01 (c)

Previous registration practices: basic

registration by author as copyright

claimant. (cont'd)

Example: (cont'd)

The Copyright Office will communicate with the applicant. If the facts stated on the application are cor- rect, the Office will refuse to register the claim.

624.01 (d)

Previous registration practices: revised version. Where the previous registration question is answered "Yes" and the basis for new registration is that the pre- viously registered work has been revised to the extent that the new version con- stitutes an "original work of author- ship," the derivative-work block on the application should be completed.

624.01 (e)

Previous registration practices: adverse claims. Where an applicant states that an earlier registration for the same work was unauthorized and is legally invalid, the previous registration question should not be checked "Yes." However, where the question is answered "Yes" and the basis for new registration is given, the appli- cation will be accepted. An appropriate statement on the application might be : "This application is for a work, the earlier registration of which was unauthorized." If such a statement is not given and the previous registration question is answered "Yes," but the basis for registration is clear, the Copyright

(cont'd)

624.01

Previous registration question answered
"Yes. " practices. (cont'd)

624.01 (e)
Previous registration practices: adverse
claims. (cont'd)

Office may annotate the application with-
out correspondence. See 37 C.F.R. 202.3
(6) (iii).

624.01 (f)
Previous registration practices: new
registration to correct certain errors.

Where an applicant has previously regis-
tered a claim and the registration
contains certain errors that the
Copyright Office could not have
recognized, the errors are ordinarily
corrected by making a supplementary
registration. Certain errors may be
corrected by a new basic registration.
Errors that may be corrected by a new
basic registration include registrations
for published works erroneously
registered as unpublished. See Chapter
1500: CORRECTIONS AND AMPLIFICATIONS OF
COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY
REGISTRATIONS; see also sections 631 and
632 below.

Example :

Applicant submits letter requesting
form for correcting an error in the
previous registration. Sheet music
was registered as unpublished but was
in fact published when originally
submitted. One copy was submitted
with the original registration mate-
rials. The Copyright Office will
suggest a new basic registration on
Form PA, with the previous registra-
tion question checked "Yes." In the

624.01

Previous registration question answered
"Yes: "practices. (cont 'd)

624.01 (f)
Previous registration practices : new
registration to correct certain errors.
(cont'd)

Example: (cont'd)

same space, the applicant should give
a statement, such as, "To amend the
registration records for a published
work erroneously registered as unpub-
lished." (If such a statement is not
provided, the Office will annotate
the application.)

624.01 (g)

Previous registration practices : no pre-
vious registration number or year given.
Where previous registration is indicated,
along with a basis for new registration,
the application should give the registra-
tion number and year of the most recent
previous registration. If this informa-
tion is not provided, however, the appli-
cation may ordinarily be accepted without
communicating with the applicant.

Previous registration: question answered

624.02
"No." The Copyright Office will question a
negative answer to the previous registration
question where the answer is clearly contra-
dictory or otherwise implausible.

Example :

Applicant has answered the previous
registration question "No" and has
indicated "This is the first published
edition of a work previously registered
in unpublished form." The application
will be questioned.

625

Compilations. The subject matter of copyright
includes compilations that as a whole constitute
original works of authorship. The copyright in a
compilation is independent of any copyright
protection in the preexisting material. See 17
U.S.C. 101, 102, and 103.

625.01
Compilations : appropriate application form.
Registration of a claim in a compilation
should be made on the application form most
appropriate to the preexisting material.
However, the Copyright Office may accept a
compilation claim on another one of the
application forms for basic registration,
provided that the form has some relationship
to the category of material compiled.

625.02
Compilations: registrable. A compilation is
registrable if its organization, arrangement,
or selection as a whole constitute an ori-
ginal work of authorship.

Examples :

1\) Two Forms PA, each claiming in "Compila-
tion" are received with a folio and a
phonorecord containing the same 15
musical selections. The order of the
selections, however, is substantially
different. The applications will be
accepted.

2\)
Form SR claiming on "Compilation" is
submitted for a recording of a new album
entitled "Johnny Mash: Live at Billy
Jack's." The Copyright Office will
question whether the work contains an
original compilation of previously
recorded sounds since a live performance
indicates that the sounds were recorded
in a single continuous session.

## Compilations. (cont'd)

625.03

Compilations: unregistrable. Where it
appears that the compilation does not
constitute an original work of authorship or
that it is not subject to copyright pro-
tection for any other reason, the Copyright
Office will refuse to register the claim.

Examples :

1\) A compilation of two songs on a 45-rpm
disc is submitted for registration. The
Copyright Office will refuse to register
the claim in a compilation.

2\)
A previously registered compilation is
resubmitted as a new compilation. The
authorship statement reads: "Last three
selections deleted." The Copyright Office
will refuse to register the claim.

3\)
A claim in compilation is submitted for a
feature writer's weekly contribution to
"The Times" over a period of six months.
The compilation is arranged in chrono-
logical order. The Copyright Office will
refuse to register the claim in a compi-
lation.

4\)
Form TX is submitted with the complete
published collection of Arthur Conan
Doyle's Sherlock Holmes stories arranged
chronologically. The Copyright Office
will refuse to register the claim in a
compilation.

625.03(a)

Unregistrable compilations : unlawful
employment of preexisting copyrighted
material. Protection for a compilation
employing preexisting material in which
copyright subsists does not extend to any
part of the work in which such material
has been used unlawfully. See 17 U.S.C.

625

Compilations. (cont'd)

625.03

Compilations: unregistrable. (cont'd)

625.03(a)

Unregistrable compilations : unlawful employment of preexisting copyrighted material. (cont 'd) 103(a). This applies to compilations which are made up entirely of preexisting copyrighted material, the use of which is unauthorized. Where it appears that such a compilation is submitted for registra- tion, the application may be questioned.

625.04

Compilation statements. The following prac- tices apply to information given on the application regarding compilations.

625.04(a)

Compilation statements : nature and loca- tion of statement on the application. The application for a compilation should contain a statement describing both the material that has been compiled and the compilation itself. However, if the claim is clear from the registration materials, the application may be accepted as submitted, or in appropriate cases, annotated. Annotation is appro- priate where the claim is clear from registration materials other than the application. Example :

Compilation of certain 1917 speeches by Woodrow Wilson.

625.04(b)

Compilation statements: registering a claim in compilation and derivative work.

In the case where the applicant wishes to claim on both compilation and derivative work authorship, the compilation author- ship should be included on the appli- cation at the "Material Added" space.

Compilations. (cont'd)

625.04

Compilation statements. (cont'd)

625.04(b)

Compilation statements: registering a
claim in compilation and derivative work.
(cont'd)

If, however, the "Material Added" space
is blank, but the nature of the new
material is included elsewhere on the
application, the application is accept-
able.

625.05

Compilation statements: acceptable. The
following are examples of statements that are
acceptable to describe registrable compila-
tion authorship.

1\)
"Compilation of poems by William Henry
Harrison."

2\)
"A compilation of 1930 recordings by
Chicago Big Bands."

3\)
"Compilation of authentic songs of the
American Revolution."

4\)
"Collection of 19th Century political
cartoons ."

5\)
"Selection and coordinating of numerical
data."

6\)
"Ordering and reorganization of all of
Mozart's Symphonies."

7\)
"Compilation of previously published film
footage."

8\)
"Anthology of previously published short
stories."

Derivative works: definition. A "derivative
work" is a work based upon one or more pre-
existing works, such as a translation, musical
arrangement, dramatization, fictionalization,
motion picture version, sound recording, art
reproduction, abridgment, condensation, or any
other form in which a work may be recast, trans-
formed, or adapted. A work consisting of edi-
torial revisions, annotations, elaborations, or
other modifications which, as a whole, represent
an original work of authorship, is a "derivative
work." See 17 U.S.C. 101.

626.01
Derivative works: general practices. The
following practices relate to the spaces on
the application form designated "Preexisting
Material" and "Material Added to This Work"
under the general heading of "Derivative Work
or Compilation."

626.01 (a)
Derivative works: when statement not
required. No statement will be required
unless a substantial amount of the mate-
rial incorporated in the derivative work
is in the public domain or has been
registered or published previously.

626.01 (b)
Derivative works: statement of claim
elsewhere. Where an application for a
derivative work contains no statement at
the derivative-work space, but the
material excluded from the claim and the
new material are clearly indicated else-
where on the application, the application
will be accepted. Where other registra-
tion materials make clear the extent of
the claim, the application will be anno-
tated and the claim will be registered.
Otherwise, the Copyright Office will
communicate with the applicant.

626

Derivative works: definition. (cont'd)

626.01

Derivative works: general practices. (cont d)

626.01(b)

Derivative works: statement of claim

elsewhere. (cont 'd) Examples : 1) The title-of-work space states : "Marva Thompson's New Band Arrange- ments of J.S. Bach Fugues." The authorship space names "Marva Thompson." No nature of authorship or derivative work statement is given. The Copyright Office will register the claim. 2) The nature-of-authorship space states : "New Foreword to Latville's College Algebra." The derivative- work space has been left blank. The Copyright Office will register the claim in the new literary material.

626.01 (c)

Derivative works: statement incomplete. Where the statement appearing in the derivative-work space on the application does not appear to describe all the copyrightable authorship on which the claim is based, the Copyright Office will not ordinarily communicate with the applicant, if a clear basis of claim is stated.

626.02

Preexisting material: when statement is required. An application for a work that incorporates substantial amounts of pre- viously registered, previously published, or public domain material should contain a statement identifying such material in the derivative-work space marked "Preexisting Material."

Derivative works: definition. (cont'd)

626.02
Preexisting material: when statement is
required. (cont'd)

However, the Copyright Office will not
question an application where insubstantial
amounts of such material are not accounted
for in the derivative-work space.

626.02(a)
Preexisting material: previously pub-
lished material. Where a work contains
material that was published before the
date the work being registered was
submitted for registration, the appli-
cation should contain a statement
identifying the previously published
material. Such a statement should be
given regardless of whether the material
for which registration is being sought
was created before or after the date of
creation of the previously published
work.

Examples :

1\)
Form TX with a date of publication is
submitted with two copies of a text-
book. The copies state: "Second
edition." The application gives no
derivative-work statement. The
application will be questioned.

2\)
Form PA is submitted for the original
version of an English play. In a
telephone communication, the appli-
cant has explained to the Copyright
Office that a French translation of
the work was made from the English
version and that the French version
had been previously published in
France. The Copyright Office will
ask the applicant to add to the
application a statement identifying
the previously published material.

626.02
Preexisting material: when statement is
required. (cont'd)

626.02(a)
Preexisting material: previously pub-
lished material. (cont'd)

Examples : (cont'd)

3\)
Form PA is submitted for the screen-
play of a previously published motion
picture. The application states that
the screenplay is unpublished, and
the derivative-work space is blank.
The Copyright Office will request
that the applicant limit the claim to
portions of the screenplay that were
not published in the motion picture.

4\)
Form TX is submitted for a literary
work. No derivative-work statement
appears on the application. The
applicant explains that the work
being registered is an original
unpublished draft of a work that was
substantially revised and then pub-
lished. The Copyright Office will
ask the applicant to describe the
previously published material at the
derivative-work space and identify
the additional (previously unpub-
lished) material.

5\)
In 1978, John Smith publishes the
first version of a textbook con-
sisting of three chapters. In 1979,
he published a revised version con-
sisting of older chapters two and
three and a new chapter four. In
1984, he submits an application for
the 1978 version with an explanation.
The application does not include a

Derivative works : definition. (cont'd)

626.02
Preexisting material: when statement is
required. (cont'd)

626.02(a)
Preexisting material: previously pub-
lished material. (cont'd)

Examples : (cont'd)
5) (cont'd)

new matter statement. The applica-
tion is correct because, as of 1978,
chapters two and three had not been
"previously published."

626.02(b)

Preexisting material: previously regis-
tered material. Where a work contains
material that has been previously
registered, the application should
contain a statement identifying the
previously registered material.

Example :

An application Form PA claiming in
words and music is submitted for
registration of eight musical selec-
tions. The application contains no
derivative-work statement, but the
space designated "Previous Registra-
tion" indicates that two selections
were registered previously. The
Copyright Office will communicate
with the applicant.

626.02(c)

Preexisting material: public domain
material. An application of a claim to
copyright in a work incorporating a
substantial amount of public domain
material requires a derivative-work
statement.

Derivative works: definition. (cont'd)

626.02
Preexisting material: when statement is
required. (cont d)

626.02(c)
Preexisting material: public domain
material. (cont 'd)

Examples :

1\) An applicant submits a songbook con-
taining songs from the 18th through
20th Century. Many of these songs
are in the public domain, but several
are entirely new. The application
contains no derivative-work state-
ment. The Copyright Office will
request that the applicant add a
statement to the derivative-work
space describing the new material.

2\)
A deposit consists of a set of town-
ship maps including a substantial
number of public domain maps. No
derivative-work statement is given.
The Copyright Office will communicate
with the applicant.

626.03

Derivative-work statement given in either
"Preexisting Material" or "Material Added to
This Work" space. Where a statement, des-
cribing both the material added and the
preexisting material, is given in either part
of the derivative-work space, the application
will be accepted. The following statements
appearing at either part of the derivative-
work space are acceptable.

Examples :

1\)
"New lyrics added to previously published
words and music."

2\) "Revised chapter 4 and entirely new
chapter 5 of previously registered
manuscript."

626

Derivative works: definition. (cont'd)

626.04

Derivative works: material-added statement. In addition to describing substantial material that has been previously registered, previously published, or in the public domain, the application for a derivative work should describe the material added to that work in which copyright is claimed. If the application does not describe such material at the derivative-work space, the Copyright Office may communicate with the applicant. See section 626.01 (b) above. The "Material Added to This Work" statement should describe all of the material in the particular version being registered that satisfies the following criteria:

1) The material must be owned by the copy- right claimant.

2) The material must contain sufficient original authorship to be copyrightable.

3) The material must not be in the public domain in the United States.

4) The material must not have been pre- viously published in the United States or elsewhere.

5) The material must not have been pre- viously registered for United States copyright in unpublished form.

626.04(a)

Material-added statement: not clearly de- fined. Where an application for regis- tration of a derivative work does not clearly describe the new material and the previously registered, published, or public domain material, the Copyright Office will communicate with the appli- cant.

Derivative works: definition. (cont'd)

626.04

Derivative works : material-added statement.
(cont'd)

626.04(a)

Material-added statement: not clearly de-
fined. (cont'd)

Example :

A hymnal containing several public
domain hymns is submitted with Form
PA, naming several authors of new
hymns. No statement of preexisting
material is given, but the "Material
Added to This Work" statement notes
"new hymn book." The Copyright
Office will ask the applicant to add
a statement of preexisting material
and to give a clear description of
the new material.

626.04(b)

Material-added statement: extent of

claim. All new authorship to be included
in the claim should be described at the
"Material Added to This Work" space. In
cases where the material-added statement
describes substantially all the material
that might be covered by the claim, the
Copyright Office will register the claim
as submitted. In addition, where
material referred to in the registration
materials or contained in the deposit has
not been described at the space on the
application marked "Material Added to
This Work" and is clearly not within the
scope of the claim, the application will
be accepted. Where, however, the
material-added statement omits reference
to substantial elements described
elsewhere in the registration materials
that might appropriately be part of the
claim, the Office may communicate with
the applicant before making registration.

626.04
Derivative works: new-material statement.
(cont'd)

626.04(b)
Material-added statement: extent of
claim. (cont'd)

Examples :

1\)
The nature of authorship is given as
"Words, music and arrangement." The
material-added space states "New
words." The deposit copy of the
derivative work consists of words and
music. The Office will register the
claim as submitted.

2\)
An application gives the nature of
the work as "Reproduction of an
original work of art." The nature-
of-authorship statement gives only
the name and contribution of the
author of the reproduction. The
material-added space is not com-
pleted. The Copyright Office will
register the claim as submitted.

3\)
A collection of seven songs is sub-
mitted. The preexisting-material
space shows that one song has been
previously registered. The mate-
rial-added statement shows that the
lyrics of that previously registered
song are new, but no reference is
made to the other six songs. The
Copyright Office will ask the appli-
cant whether the additional six songs
were intended to be included in the
claim. If they are not, they should
be disclaimed either at the pre-
existing-material space -- if pre-
viously registered, previously pub-
lished, or in the public domain -- or

Derivative works: definition. (cont'd)

626.04

Derivative works: material-added statement.
(cont'd)

626.04(b)

Material-added statement: extent of
claim. (cont'd)

Examples : (cont'd)
3) (cont'd)

at the claimant space, if previously
unregistered but not part of the
claim. In the latter case, the
application should contain a limita-
tion such as "Copyright claimed on
or "No copyright claimed on

4\)
The application describes the nature
of the work as "A brochure." The
nature-of-authorship space describes
the author's contribution as "Photo-
graphy, text, and artwork;" the pre-
existing material is given as "Some
text was previously registered," and
the material added is "Additional and
revised text." The Copyright Office
will ask the applicant to account for
the photography and artwork.

626.04(c)

Material-added statement: more than one
element of authorship in a single work.
Where more than one element of authorship
is being registered in a single work, the
"Material Added to This Work" statement
for a derivative work should describe
each element covered by the claim. Where
a major element is not referred to in the
derivative-work statement, but it appears
that the applicant intended it to be part
of the claim, the Copyright Office may
question the application.

Derivative works: definition. (cont'd)

626.04

Derivative works: material-added statement.
(cont'd)

626.04(c)

Material-added statement: more than one
element of authorship in a single work.
(cont'd)

Examples :

1\)
A Form PA submitted for a motion
picture contains several choreo-
graphic works with substantial com-
mentary. The nature-of-authorship
statement names the motion picture
producer as author of "Entire work;"
the "Preexisting Material" statement
is: "Some previously registered film
footage," and the "Material Added to
This Work" statement is: "Cinema-
tography." The Copyright Office will
register the claim on the assumption
that the underlying choreography is
not part of the claim.

2\)
A phonorecord is submitted with a
Form SR. The nature-of-authorship
statement on the application reads :
"Words, music, and sound recording."
The "Preexisting Material" statement
reads : "Previously registered songs."
The material-added space describes
the new music. The Copyright Office
will ask the applicant whether the
sound recording is part of the
material covered by the claim.

626.05
Material-added statement: unregistrable mate-
rial. In general, the "Material Added to
This Work" statement should only describe
material that, taken as a whole, is
registrable. Where the material-added

626

Derivative works: definition. (cont'd)

626.05

Material-added statement: unregistrable mate- rial. (cont 'd) statement describes only unregistrable material, the Copyright Office will refuse to register the claim as submitted. If a derivative work contains no new registrable material, the Office will refuse to make registration.

626.05(a)

Material-added statement: claim indicates

unregistrable material. In cases where a claim refers to a category of unregis- trable material enumerated in 17 U.S.C. 102(b) or 37 C.F.R. 202.1(a), and such material is included in a claim with other clearly registrable material, the Copyright Office will register the claim and annotate the application citing the statute or the regulation. Where the claim includes material that is otherwise unregistrable, the Copyright Office will request that the applicant omit reference to those elements. Examples :

1) The material-added statement reads : "Idea and four new chapters." The Copyright Office will annotate the application with a statement, such as, "Ideas not copyrightable. See 17 U.S.C. 102(b)," and register the claim.

2) The material-added space states: "New literary character, revised novel." The Copyright Office will ask the applicant to amend the application by deleting the reference to "literary character."

Derivative works: definition. (cont'd)

626.05
Material-added statement: unregistrable mate-
rial. (cont'd)

626.05(a)

Material-added statement: claim indicates
unregistrable material. (cont 'd)

Examples : (cont'd)

3\)
The material-added space states :
"Book design on cover and editorial
revisions throughout." The book
cover consists of an arrangement of
letters in standard typeface. The
Copyright Office will ask the appli-
cant to delete the reference to "book
design."

626.06

Material-added statement: description of
minimal elements. The material-added
statement should describe only the material
in which copyright is claimed. The statement
may include descriptions of revisions,
deletions, or additions that individually may
be insufficient to support a claim to
copyright but that as a whole are
registrable.

Example :

A textbook by a single author is sub-
mitted with an application describing the
authorship as "Editorial revisions." The
material-added space states : "Revised
foreword, typographical errors deleted,
new chapter heading, and new compilation
of four maps." While it is clear that
some of these changes are not registrable
alone, the Copyright Office will accept
the application based on its considera-
tion of the revision as a whole.

628

Reproduction for use of blind or physically-
handicapped individuals. The space marked
"Reproduction for use of blind and physically-
handicapped individuals" on the Form TX relates
only to nondramatic literary works, and concerns
a voluntary nonexclusive license to the Library
of Congress for use by the blind and physically
handicapped. See 17 U.S.C. 710 and 37
C.F.R.201.15. Provisions for such voluntary
licenses have been made for the sole purpose of
facilitating the procedures for the National
Library Service for the Blind and Physically
Handicapped, a department of the Library of
Congress. Because this procedure is not related
to the registration process of the Copyright
Office, in no case will the Office correspond
with the applicant in regard to license infor-
mation given in or omitted from this space.

629

Certification by applicant. By signing the
application, the applicant certifies that the
statements made are true to the best of his or
her knowledge.

629.01

Certification by applicant: authority to
submit application. To be acceptable, an
application must be certified by the author,
another copyright claimant, an owner of one
or more exclusive rights, or a duly author-
ized agent of such applicant. The certifi-
cation space should designate the authority
by which the applicant is signing the appli-
cation. The application will be accepted
without a statement of the applicant's
authority where nothing indicates that the
authority should be questioned.

629
Certification by applicant. (cont'd)

629.01
Certification by applicant: authority to
submit application. (cont 'd)

Examples :

1\)
The person certifying the application is
neither author nor claimant, but is iden-
tifiable in a cover letter as an employee
of the claimant organization. The Copy-
right Office will accept the application
without annotating or corresponding.

2\)
The application names both the author of
the new material and the author of the
preexisting material upon which the
derivative work is based. The appli-
cation is signed by the author of the
preexisting material. No certification
boxes are checked on the application.
The Copyright Office will accept the
application as submitted.

3\)
The space designated "Authorized agent
of" is completed at the certification
space indicating that the person signing
the application is an agent of the named
organization. The organization's name
appears nowhere else in the registration
materials. The application is acceptable
as submitted on the basis that the named
organization may be the owner of one or
more exclusive right (s).

629.02
Certification by applicant: owner of exclu-
sive rights. For registration purposes, an
owner of exclusive rights is distinguished
from the copyright claimant by his or her
ownership of one or more but not all of the
exclusive rights which belonged originally to
the author. For these purposes, an owner of
exclusive rights is authorized by regulation
to submit an application for registration but
may not be named as the claimant. See 37
C.F.R. 202.3(c). See also section 622 above.

Certification by applicant. (cont'd)

629.03

Certification by applicant: form of signa-
ture. The certification space must bear the
original handwritten signature of a person
authorized to submit the application. In
general, a photocopied signature or a stamp
is not an acceptable substitute for the
required signature ...

629.04

Certification by applicant: date of certifi-
cation. The application should bear a date
of certification. However, the Copyright
Office will not correspond with the applicant
if the date of certification is omitted.
Nevertheless, an application is unacceptable
if it gives a date of certification that is
earlier than the date of publication or
creation.

Effective date of registration. An application,
deposit, and fee must be submitted before regis-
tration can be made. When the work is passed for
registration, the Copyright Office assigns to the
application an effective date of registration.
The effective date of a copyright registration is
the day on which an application, deposit, and
fee, which are later determined by the Register
of Copyrights or by a court of competent juris-
diction to be acceptable for registration, have
all been received in the Office. See 17 U.S.C.
410(d) .

Examples :

1\) An acceptable application and fee are rece-
ived on January 4, 1982, with instructions to
hold for deposit sent under separate cover;
the motion picture deposit is not received
until March 1, 1982. The effective date of
registration will be March 1, 1982.

Effective date of registration. (cont'd)

Examples : (cont'd)

2\) An application and fee are received on
January 4, 1982 without a deposit. They are
returned to the sender with instructions on
how to apply for registration. The appli-
cation and fee are returned with copies of
the work on May 3, 1982. If the three
elements are acceptable, the effective date
of registration will be May 3, 1982. See
sections 630.01 through 630.04 below.

630.01
Effective date of registration: acceptable
application. For purposes of establishing
the effective date of registration, the
application or other registration material
must contain the elements listed below. If
these registration materials do not contain
this information, the Copyright Office will
communicate with the applicant. In such
cases, the effective date of registration
will not be established until the date the
Office receives the information listed below.
Any basic registration form prescribed by the
Copyright Office is sufficient to establish
the effective date for basic registration.
But see Chapter 1300: RENEWAL OF COPYRIGHT;
and Chapter 1500: CORRECTIONS AND AMPLIFI-
CATIONS OF COPYRIGHT OFFICE RECORDS; SUPPLE-
MENTARY REGISTRATIONS. The required informa-
tion is as follows :

1\) A title by which the work can be iden-
tified; the work may also be identified
by a title given in the deposit material.

2\) A basis for eligibility; for example, an
indication that the work is unpublished,
or, if published, the nationality or
domicile of the author or the place of
first publication.

## Effective date of registration. (cont'd)

630.01
Effective date of registration: acceptable
application. (cont'd)

3\)
The name of at least one claimant; this
includes the name of the author, if it is
later determined that the author was the
claimant in the particular registration
being made. NOTE: For purposes of
assigning an effective date to works
published before 1978, the name of the
claimant may be established from the name
in the copyright notice on copies or
phonorecords of sound recordings depos-
ited for registration.

630.01 (a)

Effective date of registration: informa-
tion received by telephone. Where the
registration material does not give the
elements necessary for establishing the
effective date, but the Examining Divi-
sion receives such information by tele-
phone, the effective date of registration
will be the date of the telephone conver-
sation. In such cases, the application
will be annotated to reflect the date of
the telephone conversation and the
authority of the person providing the
information. Where the claimant is the
author, see section 630.01 above.

630.02

Effective date of registration: acceptable
deposits. For purposes of establishing an
effective date of registration, a deposit is
acceptable if it contains all the copyright-
able content of the work to be registered.

Examples :

1\) On February 7, 1983, an acceptable
application and fee are submitted with
one copy of a work published in the
United States. The appropriate deposit

630.02
Effective date of registration: acceptable
deposits. (cont'd)

Examples: (cont'd)

1\) (cont'd)

for the work is two copies. The Copy-
right Office calls the applicant for a
second copy. An additional copy is
received March 3, 1983. The Office will
register the claim giving February 7,
1983 as the effective date of registra-
tion.

2\)
On April 7, 1983, the Copyright Office
receives an acceptable application and
fee with a phonorecord of a musical
composition. The application gives the
nature of the author's contribution as,
"Words and music." The phonorecord
contains only music. The Copyright
Office will inform the applicant of the
discrepancy. If a new phonorecord is
submitted containing words and music, the
effective date will be the date the
Office receives the new phonorecord. If
the description of the authorship should
have been limited to music, and the
applicant submits a new application, the
effective date of registration will be
April 7, 1983.

3\)
On July 15, 1983, an acceptable fee and
application Form TX for registration of a
claim to copyright in a computer program
are submitted with a printout of the
first and last five pages of the program
as the deposit. No request for special
relief is submitted. The Copyright
Office requests the additional pages of
the appropriate deposit as defined in the

Effective date of registration. (cont'd)

630.02
Effective date of registration: acceptable
deposits. (cont 'd)

Examples : (cont'd)

3\) (cont'd)

regulation regarding machine-readable
works. See 37 C.F.R.202. 20(c) (2) (vii)
and (d). The additional material is
submitted on August 3, 1983. The Office
will register the claim giving August 3,
1983 as the effective date.

4\)
On May 2, 1983, an acceptable application
and fee are submitted with a deposit copy
of a work published in France in 1960.
Four pages are missing from the deposit
copy. The applicant also submits a
letter requesting special relief, stating
that no other copies are available. If
the request for special relief is
granted, the effective date of regis-
tration will be May 2, 1983.

630.03

Effective date of registration: acceptable
fee. The effective date is not established
until the full filing fee is received. The
Special Handling fee is not part of the
filing fee. Therefore, if the Special
Handling fee is submitted after the filing
fee is received, the effective date of
registration will be the earlier date. See
Chapter 700: APPLICATIONS AND FEES.

630.03(a)

Effective date of registration: deposit
accounts, fees acceptable. The Copyright
Office will determine whether a deposit
account has sufficient funds to register
a claim when the application is sub-
mitted. If sufficient funds for regis-
tration are not available in the account,
the claim will not be forwarded to the

630

Effective date of registration. (cont'd)

630.03

Effective date of registration: acceptable fee. (cont 'd)

630.03(a)

Effective date of registration: deposit accounts, fees acceptable. (cont'd) Examining Division but will be held by the Accounting Unit, which will notify the Deposit Account holder. If the funds arrive within two weeks, the date of receipt of the funds (assuming prior receipt of the application and deposit) will be the effective date of registra- tion. If funds do not arrive within that time, the Copyright Office will follow its procedure for handling incomplete claims; see section 754, Chapter 700: APPLICATIONS AND FEES.

630.03(b)

Effective date of registration: insuf- ficient funds for multiple claims. Where an applicant submits a fee that is suffi- cient to register one or more but not all of the works submitted for registration, the Copyright Office will not communicate with the applicant about which claims to register first.

630.03(c)

Effective date of registration: unaccept- able remittance. An unacceptable remit- tance will prevent establishment of the effective date of registration. Such remittances include postage stamps, unsigned checks, postdated checks, mutilated checks, and illegible checks. In addition, a registration fee made payable in foreign currency is not acceptable. In all such cases, the fee will be returned to the sender. The effective date of registration will not be established until an acceptable fee is received. See section 753.02, Chapter 700: APPLICATIONS AND FEES.

630

Effective date of registration. (cont'd)

630.04

Effective date of registration: effect of receiving necessary minimal elements. The minimal information necessary to establish the effective date of registration does not of itself satisfy all of the requirements for registration. The actual registration will not be made and the certificate will not be issued until all legal and formal require- ments have been met. Example : On May 3, 1982, an application giving the minimal elements is submitted, accompa- nied by the proper deposit and fee. How- ever, the publication date is given on the application as June 1, 1982. When the issue of publication has been re- solved, the claim will be registered giving May 3, 1982, as the effective date, even though a new application is ultimately necessary.

631

Referrals. If, after a work has been registered, the Copyright Office discovers an informality, it will correspond with the applicant and attempt to correct the informality by means of a new or amended application. If the applicant does not reply, the Copyright Office will leave the claim on record unless the circumstances require can- cellation. See section 632 below. In certain cases, the Office will make the correction and issue a new certificate without requesting a new application.

632

Cancellation. Cancellation is an action taken by the Copyright Office to invalidate a registration applying to a particular registration number. A new registration may be made under a different class and number, or the registration may remain invalidated. See 37 C.F.R. Sec. 201.7.

Cancellation. (cont'd)

632.01

General policy. The Copyright Office will
cancel a completed registration only in those
cases where: (1) It is clear that no
registration should have been made because
the work does not constitute copyrightable
subject matter or fails to satisfy the other
legal and formal requirements for obtaining
copyright; (2) Registration may be authorized
but the application, deposit material, or fee
does not meet the requirements of the law and
Copyright Office regulations, and the Office
is unable to get the defect corrected; or (3)
An existing registration in the wrong class
is to be replaced by a new registration in
the correct class.

632.02

Circumstances under which a registration will
be cancelled. The Copyright Office will
cancel registrations in four different
instances.

632.02(a)

Authorship not subject to copyright.
Where the Copyright Office becomes aware
after registration that a work is not
copyrightable, either because the author-
ship is de minimis or the work does not
contain authorship subject to copyright,
the registration will be cancelled. The
copyright claimant will be notified by
correspondence of the proposed cancella-
tion giving the reasons for such cancel-
lation. The claimant has 30 days from
the date the Copyright Office letter is
mailed to show cause in writing why the
cancellation should not be made. If the
claimant fails to respond within the 30
day period, or if the Office after
considering the response, determines that
the registration was made in error and
not in accordance with the Copyright Act,
the registration will be cancelled.

## Cancellation. (cont'd)

632.02 632.02(b)

Circumstances under which a registration will

be cancelled. (cont'd)

Uncollectible checks. When a check received in payment of a registration fee is returned to the Copyright Office marked "insufficient funds" or is otherwise uncollectible, the Copyright Office will immediately cancel any registration(s) for which the dishonored check was submitted. The Office will notify the remitter that the registration has been cancelled because the check was returned as uncollectible.

632.02(c)

Cancellation to make a new registration. Where registration is made in the wrong class, the Copyright Office will cancel the first registration, replace it with a new registration in the correct class, and issue a corrected certificate.

Example :

A sound recording is registered in Class PA. The Office discovers that the work includes a claim on sounds and should have been registered in Class SR. The Class PA registration will be cancelled and a new regis- tration made in Class SR.

632.02(d)

Apparent substantive defects. Where registration is made for a work which appears to be copyrightable but after registration the Copyright Office becomes aware that on the administrative record before the Office, the statutory require- ments have apparently not been satisfied, or that information essential to regis- tration has been omitted entirely from

Cancellation. (cont'd)

632.02

Circumstances under which a registration will

be cancelled. (cont'd)

632.02(d)

Apparent substantive defects. (cont'd)

632.02(d) (1)

the application or is questionable, or correct deposit material has not been deposited, the Office will correspond with the copyright claimant in an attempt to secure the required information or deposit material, or to clarify the information previously given on the application.

Major substantive defects. Where the registration contains substantive defects such as those listed below, the copyright claimant has 30 days after the date the letter is mailed to respond appropriately. If no response is received within that time, or if the response does not resolve the substantive defect, the registration will be cancelled. The Office correspondence notifying the claimant of the problem will include the reason(s) for the cancellation. The following are instances where a completed registration will be cancelled unless the substantive defect in the registration can be cured : (1) Eligibility for registration has not been established;

(2) A work was registered more thar 5 years after the date of first publication and the deposit copy or phonorecord does not contain a statutory copyright notice;

632

Cancellation. (cont'd)

632.02

Circumstances

under which a registration will

be cancelled.

(cont'd)

632.02(d)

Apparent substantive defects. (cont'd)

632.02(d) (1)

Major substantive defects. (cont'd)

(3)

The deposit copies or phono- records of a work published before January 1, 1978, do not contain a copyright notice or the notice is defective;

(4)

A renewal claim was registered after the statutory time limits for registration had apparently expired;

(5)

The application and copy (copies) or phonorecord(s) do not match each other and the Office cannot locate a copy or phonorecord as described in the application elsewhere in the Copyright Office or the Library of Congress ;

(6)

The application for registration does not identify a copyright claimant or it appears from the transfer statement on the application or elsewhere that the "claimant" named in the application does not have the right to claim copyright;

(7)

A claim to copyright is based on material added to a preexisting work and a reading of the application in its totality indicates that there is no copyrightable new material on which to base a claim;

632

Cancellation. (cont'd)

632.02

Circumstances under which a registration will

be cancelled.

(cont'd)

632.02(d)

Apparent substantive defects. (cont'd)

632.02(d) (1)

Major substantive defects. (cont'd)

(8)

A work subject to the manufacturing provisions of the Act of 1909 was apparently published in violation of those provisions ;

(9)

For a work published after January 1, 1978, the only claimant given on the application was deceased on the date the application was certified;

(10)

A work is not anonymous or pseudonymous and statements on the application and/or copy vary so much that the author cannot be identified; and

(11)

Statements on the application conflict or are so unclear that the claimant cannot be adequately identified.

632.02(d)

(2)

No cancellation required for minor errors. Where a registration includes minor substantive errors or omissions which would generally have been rectified before registration, the Office will attempt to rectify the error through correspondence with the remitter. Except in those cases enumerated in section 632.02(a), (b), (c), and (d) (1), if the Office is unable for any reason to obtain the correct information or deposit copy,

Cancellation. (cont'd)

632.02

Circumstances under which a registration will
be cancelled. (cont'd)

632.02(d)

Apparent substantive defects. (cont'd)

632.02(d) (2)
No cancellation required for minor
errors. (cont'd)

the registration record will be
annotated to state the nature of the
formality and show that the Office
attempted to correct the
registration.

632.03

Cancellation of renewal claim. Where a
renewal claim has been registered and it is
subsequently discovered that the claim was
not registrable, the Copyright Office will
cancel the registration.

Example :

Music Company A submits a renewal
application on behalf of B as author,
within the appropriate time limits. The
claim is registered. Later, but within
the renewal period, Music Company D
submits a renewal claim for the same work
on behalf of C as author. At that time,
the Copyright Office discovers that the
original registration named only C as
author. Since the Office should have
checked the original registration records
and discovered that B had no basis in the
registration records upon which to claim
the renewal, the previous renewal
registration was in error. The Office
will cancel the renewal claim for B, but
will register the renewal claim on behalf
of C as author.

[END OF CHAPTER 600]

## APPLICATIONS AND FEES

### Outline of Topics

701
701.01
701.02

#### Application forms.

Statutory authorization.
Statutory requirements.

#### Basic application forms.

702
702.01

Class TX, Form TX: Nondramatic Literary Works
Other Than Serials.

702.02

Class TX, Form SE: Serials.

702.03

Class PA, Form PA: Works of the Performing Arts.

702.04

Class VA, Form VA: Works of the Visual Arts.

702.05

Class SR, Form SR: Sound Recordings.

703
704

Renewal application: Form RE.

#### Registration forms for special cases.

704.01
704.02

Form CA: Supplementary Registration.
Form GR/CP: Group Registration for Contribu
tions to Periodicals.

705

Import Statement.

Form IS: Request for Issuance of an Import
Statement.

705.01
706
707
708

Submission of material.

Quality and legibility of application forms.

707.01

Only application forms issued by the Copyright
Office may be used.

707.02

Information given on the application forms
should be typewritten or legibly printed in
black ink.

Selection of most appropriate application form.

708.01
708.02

Nature of authorship determinative.
Two forms seem appropriate: song lyrics,
speeches, and other works prepared for oral
delivery.

708

Tcont'd) Selection of most appropriate application form.

708.03 708.04 708.05

Contributions to collective works.

Derivative works.

Works in which the claim includes two or more categories of authorship.

709

Classification for administrative purposes only.

[Numbers 710 through 749 are reserved. ]

750

Fees.

750.01 750.02

Applicability of fees to U.S. Government. Refunds.

751

Effective date of fee schedule under the current

Act.

752

Submission of registration fees.

753

Form of payment.

753.01 753.02

Fees remitted from outside the United States or Currency. made payable in foreign currency.

754

Deposit Accounts.

754.01

Minimum requirements for Deposit Accounts.

755

Cancellation of registration in cases of dishonored

checks.

756

Fees not specified in section 708 of the current Act.

# Chapter 700 APPLICATIONS AND FEES

701
Application forms. The following are the statutory
provisions relating to the application forms.

701.01
Statutory authorization. The Register of Copy-
rights is authorized to specify by regulation
the administrative classes into which works are
to be placed for purposes of deposit and regis-
tration. This administrative classification of
works has no significance with respect to the
subject matter of copyright or the exclusive
rights provided by the copyright law. See 17
U.S.C. 408 (c) (1).

701.02
Statutory requirements. Section 409 of the
copyright law specifies that the application for
copyright registration shall be made on a form
prescribed by the Register of Copyrights and
that it shall include:

1\)
the name and address of the copyright claim-
ant;

2\)
in the case of a work other than an anony-
mous or pseudonymous work, the name and
nationality or nation of domicile of the
author or authors, and, if one or more of
the authors is dead, the dates of their
deaths;

3\)
if the work is anonymous or pseudonymous,
the nationality or nation of domicile of
the author or authors;

4\)
in the case of a work made for hire, a
statement to the effect that it is such a
work;

5\)
if the copyright claimant is not the au-
thor, a brief statement of how the claimant
obtained ownership of the copyright;

6\)
the title of the work, together with any
previous or alternative titles under which
the work can be identified,

701

## Application forms. (cont'd)

701.02
Statutory requirements. (cont'd)

7\)
the year in which creation of the work was
completed;

8\)
if the work has been published, the date
and nation of its first publication;

9\)
in the case of a compilation or derivative
work, an identification of any preexisting
work or works that it is based on or incor-
porates, and a brief, general statement of
the additional material covered by the
copyright claim being registered;

10\)
in the case of a published work containing
material of which copies are required by
section 601 of the current Act to be manu-
factured in the United States, the names of
the persons or organizations who performed
the processes specified by subsection (c)
of section 601 with respect to that mate-
rial, and the places where those processes
were performed; and

11\)
any other information regarded by the Reg-
ister of Copyrights as bearing upon the
preparation or identification of the work
or the existence, ownership, or duration of
the copyright.

702

Basic application forms. Pursuant to the statutory
authority given to the Register of Copyrights, the
Copyright Office has established basic classes for
original registrations with corresponding application
forms. These classes are as follows:

702.01

Class TX, Form TX: Nondramatic Literary Works Other
Than Serials. This category includes published and
unpublished nondramatic literary works. Examples
include fiction, nonfiction, poetry, textbooks,
reference works, directories, catalogs, advertising
copy, computer programs, and compilations of infor-
mation, including data bases.

## Basic application forms. (cont'd)

702.02
Class TX, Form SE: Serials. A serial is defined
as a work issued or intended to be issued in
successive parts bearing numerical or chrono-
logical designations and intended to be con-
tinued indefinitely, such as periodicals,
newspapers, annuals, journals, and proceedings
of societies.

NOTE: A contribution to a serial is not registered
on Form SE. See section 708.01 below.

702.03
Class PA, Form PA: Works of the Performing Arts.
This category includes published and unpublished
works prepared for the purpose of being performed
directly before an audience or indirectly by means
of a device or process. Examples are musical
works, including any accompanying words; dramatic
works, including any accompanying music; pantomimes
and choreographic worker and motion pictures and
other audiovisual works, including accompanying
sounds, if any.

702.04

Class VA, Form VA: Works of the Visual Arts. This
category includes published and unpublished pic-
torial, graphic, and sculptural works. Examples
are two-dimensional and three-dimensional works
of fine, graphic, and applied arts, photographs,
prints and art reproductions, maps, globes, and
charts, technical drawings, diagrams, and models,
as well as pictorial or graphic labels and adver-
tisements.

702.05

Class SR, Form SR: Sound Recordings. This category
Includes all published and unpublished sound re-
cordings fixed on or after February 15, 1972. In
addition, claims to copyright in literary, dramatic,
and musical works embodied in a phonorecord may be
registered in Class SR if the claimant for both the
sound recording and the underlying work is the same
and the application covers both the sound recording
and the underlying material. "Sound recordings"
are works that result from the fixation of a series
of musical, spoken, or other sounds. The audio
portions of audiovisual works, such as a motion
picture soundtrack or an audio cassette accompany-
ing a filmstrip, are considered an integral part of
the audiovisual work and are registrable in Class
PA rather than Class SR.

703

Renewal application: Form RE. The current Act provides
For renewal of copyright in works already in their
first term of copyright on January 1, 1978. See 17
U.S.C. 304. Form RE is appropriate for all renewal
registrations, regardless of the class in which the
original registration was made.

704

Registration forms for special cases. In addition to
the forms listed above, the copyright Office has estab-
lished two registration forms for use in special cases.

704.01
Form CA: Supplementary Registration. This form is
used to apply for supplementary registration under
section 408(d) of the current Act, in order to
correct an error in a copyright registration or to
amplify the information given in a registration.
See Chapter 1500: CORRECTIONS AND AMPLIFICATIONS OF
COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY REGISTRA-
TIONS.

704.02
705

Form GR/CP: Group Registration for Contributions
to Periodicals. This form is used as a adjunct
to a basic application on Form TX, Form PA, or Form
VA where the applicant is making a single registra-
tion under section 408(c) (2) of the current Act
for a group of contributions to periodicals.

Import Statement. Section 601 (b) (2) of the current
Act permits the importation of 2000 copies of a
foreign manufactured edition of a work consisting
preponderantly of nondramatic literary material that
is in the English language and is protected under the
current Act, upon presentation to the United States
Customs Service of an Import Statement. See Chapter
1200: MANUFACTURING PROVISIONS.

705.01

Form IS: Request for Issuance of an Import State-
ment. This form implements the statutory pro-
visions prescribing an Import Statement. Copy-
right owners of works that are subject to the
manufacturing restrictions must use this form to
secure issuance of an Import Statement.

706

Submission of material. In order to consider regis-
tration of a claim to copyright, the Copyright Office
should receive a completed application form together
with the required fee and deposit. The application
should contain the required information and be duly
certified. Incomplete, inaccurate, or illegible appli-
cations may delay the registration process.

707

Quality and legibility of application forms. Appli-
cation forma accepted for registration become permanent
parts of the official records of the Copyright Office
and must meet archival standards and be legible.

707.01

Only application forms issued by the Copyright
Office may be used. Copyright Office forms meet
strict archival standards; therefore, only forms
issued by the Office may be used to make regis-
tration. Photocopies or other reproductions of
Copyright Office forms cannot be accepted for
registration.

707.02

Information given on the application form should
be typewritten or legibly printed in black ink.
Information required by the forms must be legible
and should be typewritten or printed in black
ink. Applicants who anticipate filing a large
number of applications may place certain repeti-
tive information on the application forms they
submit by using a printing process. Carbons of
applications or applications completed in pencil
are generally not acceptable.

708

Selection of most appropriate application form. The
appropriate form is generally determined by the nature
of the authorship in which copyright is claimed. For
most works, one form will clearly be the most appro-
priate.

708.01

Nature of authorship determinative. The nature
of the authorship determines which application form
should be used for registration rather than the
material object in which the work is embodied.

Example:

A filmstrip or set of slides containing only
text should be registered on Form TX, not on
Form PA.

708

## Selection of most appropriate application form. Tcont'd)

708.02

Two forms seem appropriate: song lyrics, speeches,

and other works prepared for oral delivery. For song lyrics, speeches, and other works prepared for oral delivery, two forms appear to be appropriate because the nature of authorship is literary and because the work was prepared for the purpose of performance. Although the Copyright Office will accept either Form PA or TX, Form PA is more appropriate.

708.03

Contributions to collective works. In the case of contributions to collective works, applications should be submitted in the class representing the copyrightable authorship in the contribution. Examples :

1) A pictorial cartoon published in a weekly magazine should be registered on Form VA. 2) A short story published in a monthly magazine should be registered on Form TX.

708.04 708.05

Derivative works. In the case of derivative works, applications should be submitted in the class most appropriately representing the copyrightable authorship involved in recasting, transforming, adapting, or otherwise modifying the preexisting work. Example : A motion picture version of a previously pub- lished novel should be registered on Form PA.

Works in which the claim includes two or more cate- gories of authorship. For works in which the claim includes copyrightable material in two or more classes, the type of such material that predominates generally determines the class for registration.

708

708.05
709

# Selection of most appropriate application form. (cont'd)

Works in which the claim includes two or more
categories of authorship. (cont 'd)

Example :

A game contains pictorial material on a game
board, sculptural authorship in game pieces,
and textual authorship in the game instruc-
tions. If the pictorial and sculptural
authorship predominates, Form VA should be
used. If the textual material predominates,
Form TX should be used.

NOTE: As an exception, where the claim includes
sound recording authorship, Form SR must be used
regardless of the nature of the other material or
which type of authorship predominates. See
section 702.05 above.

Examples:

1\) A kit consisting of a booklet and a cassette
tape with a claim in text and sound recording
must be registered on Form SR.

2\) A phonorecord with a claim in words, music, and
sound recording must be registered on Form SR.

Classification for administrative purposes only. The
current Act specifies that the classification system
adopted by the Copyright Office is solely for adminis-
trative purposes and has no significance with respect
to the subject matter of copyright or the exclusive
rights under the current Act. See 17 U.S.C. 408(c) (1).
However, the Copyright Office may request submission
of a new application in the correct class where regis-
tration was originally sought on an inappropriate
form.

[Numbers 710 through 749 are reserved].

750

Fees. The fees for registration, recordation, and
certain other services are prescribed or authorized
by the current Act. See 17 U.S.C. 708(a) .

750

Fees. ( cont'd)

750.01

Applicability of fees to U.S. Government. The fees prescribed or authorized by the current Act are also applicable to the United States Government and any of its agencies, employees, or officers; how- ever, the law specifies that the Register of Copy- rights has discretion to waive this requirement in occasional or isolated cases involving relatively small amounts. See 17 U.S.C. 708(b).

750.02

Refunds. Money remitted to the Copyright Office for original, basic, supplementary, or renewal registration will not be refunded if the claim is rejected because the material deposited does not constitute copyrightable subject matter or because the claim is invalid for any other reason. Payments made by mistake or in excess of the statutory fee will be refunded, but amounts of $5 or less will not be refunded unless specifically requested, and refunds of less than $1 may be made in postage stamps. 37 C.F.R. 201.6(c).

751 752

Effective date of fee schedule under the current Act. Applications for copyright registration and requests for other fee services of the Copyright Office received on or after January 1, 1978, are governed by the fee schedule of the current Act. In cases where an appli- cation, deposit, and fee were received before January 1, 1978, but processing was not completed until after Janu- ary 1, 1978, the fees established in accordance with title 17 as it existed on December 31, 1977, shall apply. See section 109, Transitional and Supplementary Provisions of the current Act.

Submission of registration fees. Registration fees should be submitted in the same envelope or package with the application and deposit. With regard to fees submitted to establish or replenish Deposit Accounts, see section 754 below.

753

COPYRIGHTS. Form of payment. The Copyright Office urges that all remittances mailed to it be in the form of a check, money order, or bank draft, payable to REGISTER OF

753

Form of payment. (cont'd)

753.01

Currency. The Copyright Office will accept currency
but does not assume any responsibility for monies sent
in payment of fees which are lost before receipt in
the Copyright Office.

753.02

Fees remitted from outside the United States or made
payable in foreign currency. The Copyright office
does not accept checks drawn on foreign banks or
made payable in foreign currencies. Foreign
remittances must be in the form of an International
Money Order or Bank Draft payable in United States
dollars.

754

Deposit Accounts. The Copyright Office maintains a
system of Deposit Accounts for the convenience of those
who frequently use the services of the Office. The
system allows an individual or firm to establish a
Deposit Account in the Copyright Office and to make
advance deposits into the Account. Charges for regis-
tration, recordation, or other fee services will be
deducted from the outstanding balances in such Accounts.

754.01

Minimum requirements for Deposit Accounts. The
following are the minimum requirements for estab-
lishing and maintaining a Deposit Account in the
Copyright Office:

1\)
) When the Account is opened, the initial deposit
must amount to at least $250.

2\)
All later deposits into the Account must also
be $250 or more.

3\) There must be at least 12 transactions a year.

4\)
If fees are to be charged against a Deposit
Account, the exact name and number of the
Account should be given on all applications
for registration or other requests for fee
services.

5\)
The Deposit Account holder must maintain a
sufficient balance to cover all charges against
the Account.

Cancellation of registration in cases of dishonored
checks. When a check received in payment of the
registration fee is returned to the Copyright Office
marked "insufficient funds" or is otherwise marked
uncollectible, the Copyright Office will cancel any
registration for which the dishonored check was
submitted; the Office will notify the applicant in
writing that the check was returned to the Copyright
Office as uncollectible, that the registration has been
cancelled, and that the certificate of registration
should be returned to the Copyright Office. When a
registration is cancelled, appropriate notations are
placed in the original record to show that the
registration has been cancelled.

756

Fees not specified in section 708 of the current Act.
Certain fees for Copyright Office services under the
Freedom of Information Act and the Privacy Act are not
established in title 17, U.S.C. See 37 C.F.R. 203.6
and 204.6.

# DEPOSIT FOR REGISTRATION

Outline of Topics

801
802
803
804
805

## Applicability of this chapter.

Statutory provisions.

Quantity and content of material deposited: in general.

Unpublished works.

804.01
804.02

Unpublished works: the meaning of "complete."
Unpublished works: nature of copy.

Published works.

805.01

805.02

805.03

Published works: number of copies or phonorecords.
Published works: the meaning of "complete."
The meaning of "best edition."

806

Quantity and content of material deposited: special
situations.

806.01
Works reproduced in or on three-dimensional objects.
806.02
Oversize copies.

806.03

Holograms.

806.04

Unpublished pictorial or graphic works.

806.05

Pictorial or graphic works published in certain
limited editions.

806.06

Published commercial prints or labels.

806.07

Published tests and answer material.

806.08

Secure tests.

806.09

Pictorial or graphic works reproduced in or on
sheetlike materials.

806.10

Pictorial or graphic works reproduced on sheet-
like materials published only in or on three-
dimensional objects.

806.11

Separate registration for work embodied only in
a motion picture soundtrack.

806.12

Machine-readable works.

806.13
Motion pictures.

Chapter 800

DEPOSIT FOR

REGISTRATION

Outline of Topics

807

Motion Picture Agreement.

807.01

Who may enter into the Agreement.

807.02

Who may sign the Agreement.

807.03

Return of deposit copy under the Agreement.

807.04

Recall of the deposit copy under the Agreement.

807.05

Quality of copy deposited under the Agreement.

807.06

Supplemental Property Agreement.

807.07

Termination of the Motion Picture Agreement.

808

Special relief from the deposit requirements for

registration.

808.01

Special relief: in general.

808.02

Special relief: criteria.

808.03

Special relief: procedures.

808.04

Special relief: continuous or ongoing grants.

809

Relationship of deposit for registration to mandatory

deposit under 17 U.S.C. 407.

810

Appendix.

801
802

Applicability of this chapter. The provisions of
this chapter are applicable to works for which an
application for copyright registration is made on
or after January 1, 1978.

Statutory provisions. At any time during the sub-
sistence of copyright in any published or unpub-
lished work, the owner of copyright or of any
exclusive right in the work may apply for regis-
tration of the copyright claim by delivering to
the Copyright Office the application and fee
specified by sections 409 and 708 of the copyright
law ( see Chapter 700: APPLICATIONS AND FEES),
along with the deposit specified in section 408 of
the copyright law and explained in this chapter.
See 17 U.S.C. 408(a). Except as modified by the
Copyright Office Regulations adopted pursuant to
the provisions of 17 U. S.C. 408(c), the deposit
for registration shall consist of:

1\)
For an unpublished work, one complete copy or
phonorecord;

2\)
For a work first published in the United States
before January 1, 1978, two complete copies or
phonorecords of the work as first published;

3\)
For a work first published in the United States
on or after January 1, 1978, two complete copies
or phonorecords of the best edition;

4\)
For a work first published outside the United
States, one complete copy or phonorecord as so
published;

5\)
For a contribution to a collective work, one
complete copy or phonorecord of the best edition
of the collective work.

See 17 U.S.C. 408(b) .

802

## Statutory provisions. (cont'd)

NOTE: The Register of Copyrights is authorized by
the law to specify by regulation the administrative
classes into which works are to be placed for pur-
poses of deposit and registration and the nature of
the copies or phonorecords to be deposited in the
various classes specified. The regulations may
require or permit the deposit of identifying material
instead of copies or phonorecords, the deposit of
only one copy or phonorecord where two would normally
be required, or a single registration and an atten-
dant deposit for a group of related works. See 17
U.S.C. 408(c) (1). The Register is directed by the
law to establish regulations specifically permitting,
under certain conditions, a single registration for
a group of contributions to periodicals by the same
author published within a twelve-month period. See
17 U.S.C. 408(c) (2) .

803

Quantity and content of material deposited: in gen-
eral. The statute authorizes the Register of Copy-
rights to specify by regulation the quantity and
content of the material to be deposited. The regu-
lations lessen the requirements in many cases by
reducing the necessary deposit for published works
from two copies or phonorecords to one, by permitting
the deposit of identifying material instead of a copy
or phonorecord, and by providing for specially
tailored relief from the deposit requirements in
cases of unnecessary hardship or in unusual circum-
stances, through the mechanism of "special relief."
These regulations also require, in some cases, the
deposit of identifying material instead of the
copy or phonorecord otherwise required. Exceptions
to the basic deposit requirements are explained in
detail in sections 804 through 806 below.

804

Unpublished works. The statute requires for
unpublished works that one copy or phonorecord be
deposited, and that the single copy or phonorecord
be "complete." See 17 U.S.C. 408 (b) (1).

804.01

Unpublished works: the meaning of "complete."
Generally, the requirement that an unpublished
copy or phonorecord be "complete" means that

804

Unpublished works. (cont'd)

804.01
Unpublished works: the meaning of "complete."
(cont 'd)

it must embody the entire copyrightable content
of the work for which registration is sought.
See 37 C.F.R. 202.20 (b) (2) (i) . For unpublished
motion pictures, the deposit regulations give the
term "complete" a special meaning as set forth in
section 806.13(a) below.

804.02
Unpublished works: nature of copy. The
general rule that only one complete copy is
required is modified for certain types of
works. For some works, identifying material
may or must be substituted for the actual copy
required. In other cases, additional material
must accompany the single copy deposited. The
special requirements for each specific type of
work are explained later in this chapter, at
the sections cited below.

804.02 (a)

Identifying material. If the following are
unpublished, identifying material may or must
be submitted:

1\)
Certain pictorial and graphic works
( see sections 806.04 and 806.05
below) ;

2\)
Machine-readable works such as com-
puter programs and data bases ( see
section 806.12 below) ;

3\)
Works on sheetlike materials ( see
sections 806.09 and 806.10 below) ;

4\)
Three-dimensional works ( see section
806.01 below) ;

5\)
Works as embodied in a motion picture
soundtrack ( see section 806.11 below) ;

6\)
Oversize copies of any type ( see sec-
tion 806.02 below) ;

7\)
Motion pictures (see sections 804.02(b)
and 806.13(a) below).

804

Unpublished works. (cont'd)

804.02

Unpublished worksi nature of copy. (cont'd)

804.02 (b)

Additional material. The following are
unpublished works for which the deposit of
a single copy must be accompanied by addi-
tional material of some kind:

1\) Motion pictures ( see section 806.13
below) ;

2\) Holograms ( see section 806.03 below) .

805

Published works, Three general requirements apply
to the deposit of works first published in the United
States: (1) two copies or phonorecords must be
deposited; (2) the copies or phonorecords must be
"complete"; and (3) the copies or phonorecords
must be the "best edition" of the work, as defined
by the statute. See 17 U.S.C. 408 (b) (2).

805.01

Published works: number of copies or phono-
records. Although two copies or phonorecords
are generally required for registration of
published works, the statute empowers the
Register of Copyrights to specify that the
deposit shall be one copy or phonorecord for
particular types of works. See 17 U.S.C.
408(c)(1). The deposit regulations (37 C.F.R.
202.20(c) (2) (i)) state that the deposit of
only one copy or phonorecord will suffice in
lieu of two copies or phonorecords for certain
works:

1\)
Published three-dimensional cartographic
representations of area, such as globes
and relief models;

2\)
Published diagrams illustrating scientific
or technical works or formulating scien-
tific or technical information in linear
or other two-dimensional form, such as an
architectural or engineering blueprint, or
a mechanical drawing;

3\)
Published greeting cards, picture postcards,
and stationery;

805

## Published works. (cont'd)

805.01
Published works: number of copies or phono-
records. (cont 'd)

4\)
Lectures, sermons, speeches, and addresses
published individually, and not as a col-
lection of the works of one or more authors;

5\)
Published contributions to a collective
work;

6\)
Musical compositions published in copies
only or in both copies and phonorecords,
if the only publication of copies took
place by rental, lease, or lending;

7\)
Published multimedia kits which are pre-
pared for use in systematic instructional
activities and which include literary
works, audiovisual works, sound record-
ings, or any combination of such works;

8\)
Works consisting of multiple parts that are
packaged and published in a flat-sided box or
similar container, of no more than 12 by 24
by 6 inches, and that include among the copy-
rightable elements of the work, in addition
to any copyrightable element on the box or
other container, three or more three-dimen-
sional, physically separable parts. See 37
C.F.R. 202.20(c) (2) (i) (H), 37 C.F.R. 202.20
(c) (2) (ix) (B)(5), and section 806.01 (a) (4)
below; and

9\)
Motion pictures.

805.02

Published works: the meaning of "complete".
In general, the requirement that published
copies or phonorecords be "complete" means
that they should be physically undamaged and
include all elements of the applicable unit
of publication of the work, including elements
that, if considered separately, would not be
copyrightable subject matter. See 37 C.P.R.
202 . 20 (b) (2) ( ii ) .

805

Published works. (cont'd)

805.02

Published works: the meaning of "complete". (cont'd)

805.02 (a)

Complete copies: missing parts. Where certain physically separable elements are missing from the deposit, a copy or phono- record will still be accepted as a complete copy, if:

1) All the parts of the work for which registration is sought are present; and

2) The removal of the missing elements did not physically damage the copy or phono- record or garble its contents; and 3) The work is exempt from mandatory deposit under section 407 of the copyright law ( see 17 U.S.C. 407, and 37 C.F.R. 202.19 (c) ) or the copy deposited consists entirely of a container, wrapper, or holder which is exempt from the identifying material requirements because it can be stored flat. See section 806.01 (a) below.

805.02 (b)

Complete copies: special situations. In particular situations, the deposit regula- tions give a special definition of the word "complete" when it applies to certain pub- lished works.

805.02(b)

(1) Contributions to collective works. A complete copy or phonorecord of a pub- lished contribution to a collective work is either the entire collective work, in- cluding the contribution or, if the col- lective work is a newspaper, the entire section of the paper which includes the contribution. See 37 C.F.R. 202. 20 (b) (2) (iii).

800-7

805

Published works. (cont'd)

805.02

(cont'd) Published works: the meaning of "complete."

805.02 (b)

Complete copies: special situations. (cont'd)

805.02 (b)

(2)

Published sound recordings. In the case of a published sound recording, a com- plete phonorecord includes the phono- record and any visually perceptible material which is published with it, such as text or pictorial matter on album covers on record sleeves, or leaflets or booklets included in an album. See 37 C.F.R. 202.20 (b) (2) ( iv) . Example : A phonorecord is published with an album cover, a sleeve with text, and a poster picturing the performing artist. The complete deposit of the sound recording is the phonorecord plus all the additional material described above as the unit of publication.

805.02(b)

(3)

Music published only by rental, lease, or lending. In the case of a musical compo- sition published in copies only, or in both copies and phonorecords, if the only publication of copies took place by the rental, lease, or lending of a full score and parts, a full score is a complete copy; and if the only publication of copies took place by the rental, lease, or lending of a conductor's score and parts, a conductor's score is a complete copy. See 37 C.F.R. 202 . 20 (b) ( 2) (v) .

805.02 (b)

(4)

Motion pictures. A special definition of "complete" applies to published motion pictures. A copy of a motion picture is complete if:

805

Published works. (cont'd)

805.02

Published works: the meaning of "complete."

(cont'd)

805.02(b)

Complete copies: special situations. (cont'd)

805.02(b)

(4)

Motion pictures. (cont'd) -- the reproduction of all of the visual and aural elements constituting the copyrightable subject matter in the work is clean, undamaged, undeterio- rated, and free of splices, and -- the copy itself and its physical housing are free of any defects that would interfere with the performance of the work or that would cause me- chanical, visual, or audible defects or distortions. See section 806.13 below.

805.03

The meaning of "best edition." The copyright law generally requires that a deposit of a published work be the "best edition" of the work. See 17 U.S.C. 408(b) (2). The "best edition" of a published work is "the edition, published in the United States at any time before the date of deposit, that the Library of Congress determines to be most suitable for its purposes." See 17 U.S.C. 101.

805.03 (a)

Library of Congress statement of policy. The Library of Congress has published a policy statement entitled "Best Edition of Published Copyrighted Works for the Collections of the Library of Congress" (referred to hereinafter as the "Best Edition Statement" or the "Statement"). This policy statement is not a part of the copyright statute, nor is it a Copyright Office regulation. It expresses, by listing the criteria for choosing among several editions of a work, part of the current acquisitions policies of the Library of Congress with respect to certain works.

805

805.03

805.03 (a)

Published works. (cont'd)

The meaning of "best edition." (cont'd)

## Library of Congress statement of policy. (cont'd)

### Examples :

1\)
In 1978, a copyright owner publishes a
novel in both paperback and hardback
editions. There was no difference in the
content of the book between the paperback
and the hardback. The Best Edition State-
ment was used to choose between the two.
According to the criteria listed in the
Best Edition Statement, the hardback was
determined to be the best edition.

2\)
In 1980, a copyright owner published an
architectural treatise on ordinary paper
and on archival quality paper. According
to the criteria specified in the Best
Edition Statement, the archival quality
paper was chosen as the best edition.

NOTE: The text of the "Best Edition of Pub-
lished Copyrighted Works for the Collections
of the Library of Congress" may be found in
the Appendix to this chapter.

805.03 (b)

If no specific criteria in Best Edition

Statement. Where no specific criteria for
selection of the best edition are included
in the Best Edition Statement for a given
work, and where the Copyright Office is aware
that two or more editions of a work have been
published, the Office will consult with appro-
priate officials in the Library of Congress.

Example:

Where an audiovisual work was published
in two editions, one on a filmstrip and
the other as a set of slides, the Office
will consult with appropriate officials
in the Library of Congress, since this
situation is not covered in the Best
Edition Statement.

## Published works. (cont'd)

805.03

The meaning of "best edition." (cont'd)

805.03 (c)

Difference in copyrightable content. Where there is a difference in copyrightable con- tent between two or more editions of a work, each edition which contains new copyrightable authorship is subject to separate deposit and registration. Consequently, the Best Edition Statement, based on such differences, does not apply. Example: In 1978, a copyright owner published a novel in hardback without annotations, and later published the novel in hardback with extensive annotations. In this case, new copyrightable matter was added to the second book. Thus, the second book is considered a separate work for purposes of deposit and registration, and therefore the Best Edition Statement, based on such differences, does not apply.

805.03 (d)

Exceptions to the requirement of the best edition. There are two important exceptions to the general requirements of the best edi- tion explained above. These exceptions are for works first published before January 1, 1978, but submitted for registration after that date, and works first published outside the United States, whenever published.

805.03 (d) (1)

A work first published in the United States before January 1, 1978. Generally the required deposit for any work which was first published in the United States before January 1, 1978, is two complete copies or phonorecords of the work as first published. See 37 C.F.R. 202.20 Te) (I)(11).

800-11

805

Published works.

(cont'd)

805.03

The meaning of "best edition." (cont'd)

805.03 (d)

Exceptions to the requirement of the best

edition. (cont'd)

805.03 (d) ( 2)

A work first published outside the United

States at any time. Generally, the re- quired deposit for works first published outside the United States, whenever pub- lished, is one complete copy or phono- record of the work as first published. See 37 C.F.R. 202 . 20 (c) (1) ( iv) .

805.03 (d)

(3)

Works first published simultaneously within and outside the United States. If a work was first published simultaneously within and outside the United States, it is considered, for the purposes of this section, to have been first published in the United States. See 37 C.F.R. 202.20 (c) (1) (iv) .

NOTE: "First published simultaneously, " for this purpose, means first published on the same date.

806

Quantity and content of material deposited: special situations. The following are special situations with respect to the quantity and content of material deposited for registration.

806.01

Works reproduced in or on three-dimensional objects. In the case of works reproduced in or on three-dimensional objects, identifying material is required as a deposit.

806.01 (a)

Works reproduced in or on three-dimensional objects: when this modification applies. Identifying material must be submitted instead of a copy or copies when the deposit would ordinarily be a three-dimensional sculptural work. Examples are statues, carvings, ceramics, and models. This requirement applies to both unpublished and published works. Subject to the exceptions

Quantity and content of material deposited: special
situations.
(cont'd)

806.01

Works reproduced in or on three-dimensional

objects. (cont'd)

806.01 (a)

Works reproduced in or on three-dimensional
objects: when this modification applies.
{cont 'd)

below, the requirement also applies to any
two-dimensional or three-dimensional work
which has been fixed (if unpublished) or
published only in the form of jewelry, toys,
dolls, games, or any three-dimensional useful
articles. See 37 C.P.R. 202. 20(c) (2) ( ix) (A) .

NOTE: The following are exceptions to the
general requirements of submitting identi-
fying material instead of an actual copy or
copies:

1\)
Works that are reproduced by intaglio or
relief printing methods on two-dimen-
sional materials such as paper or fabrics.

2\)
Three-dimensional cartographic represen-
tations of area, such as globes and
relief models. In the case of a globe,
one actual copy of the three-dimensional
globe, and the stand or any material pub-
lished with it, is the complete deposit.

3\)
Works that have been fixed or published
in or on a useful article which is one of
the elements of the unit of publication
of a multimedia kit (an educational or
instructional kit which also includes a
literary or audiovisual work, a sound
recording, or any combination of such
works). See 37 C.F.R. 202. 20 (c) ( ix)
(B) (3).

4\)
Works consisting of multiple parts that
are packaged and published in a flat-
sided box or similar container, of no
more than 12 by 24 by 6 inches, and that

806

Quantity and content of material deposited; special
situations. (cont'd)

806.01
Works reproduced in or on three-dimensional
objects. (cont 'd)

806.01 (a)
Works reproduced in or on three-dimensional
objects: when this modification applies.
(cont'd)

NOTE:
( cont 'd)

4\)
(cont'd)
include among the copyrightable elements
of the work, in addition to any copy-
rightable element on the box or other
container, three or more three-dimen-
sional, physically separable parts.

5 )
Works reproduced on three-dimensional
containers which are capable of flat
storage and which, when opened, slit, or
folded, do not exceed 96 inches in any
dimension. The container must be capable
of being flattened in such a way that the
copyrightable material on the container
is not damaged.

806.01 (b)

Works reproduced in or on three-dimensional
objects: what must be deposited. When
identifying material is required, it must
comply with the specifications below. See 37
C.F.R. 202.21.

806.01 (b) (1)

Type of material. Identifying material
consists of a two-dimensional reproduc-
tion or rendering of the work in some
form which is visually perceivable with-
out the aid of a machine or device. The
identifying material may consist of photo-
graphic prints, transparencies, photo-
copies, drawings, or a similar rendering
of the work.

806

Quantity and content of material deposited: special situations. ( cont 'd)

806.01

Works reproduced in or on three-dimensional

objects. (cont 'd)

806.01 (b)

Works reproduced in or on three-dimensional objects: what must be deposited. (cont'd)

806.01 (b) (2)

Number of pieces. One set, of as many pieces as are necessary to show clearly the entire copyrightable content of the work for which registration is sought, is required.

806.01 (b) (3)

Content of pieces.

* Copyrightable content. The identi- fying material must clearly show the entire copyrightable content of the work for which registration is sought. * Copyright notice. In the case of works published with notice of copy- right, the notice and its position on the work must be clearly shown on at least one piece of identifying mate- rial. Such piece shall show the exact appearance and content of the notice, and its specific position on the work. Where necessary because of the size or position of the notice, a separate drawing or similar reproduction shall be submitted.

* Title and dimensions. At least one piece of identifying material must indicate, on its front, back, or mount, the title of the work, and an exact measurement of one or more dimensions of the work.

* Image size. Generally, except in the case of photographic transparencies, the image of the work must be lifesize or larger. However, if less than lifesize, the image must be large enough to show clearly the entire copyrightable con- tent of the work.

### 806 Quantity and content of material deposited: special situations. (cont'd)

806.01
Works reproduced in or on three-dimensional
objects. (cont'd)

806.01 (b)

Works reproduced in or on three-dimensional

objects: what must be deposited. (cont'd)

806.01 (b) (3)
Content of pieces. (cont'd)

\* Color. Generally, the identifying
material may be in black and white or
may consist of a reproduction of the
actual colors of the work. However,
if the work reproduced in or on the
three-dimensional object is pictorial
or graphic, the identifying material
must reproduce the actual colors
employed in the work.

806.01(b) (4)

#### Size of pieces.

\* Uniform size. All pieces, except
separate drawings or similar repro-
ductions of the copyright notice, must
be of uniform size.

\* Photographic transparencies. Photo-
graphic transparencies must be at least
35mm in size, and if 3 by 3 inches or
less, they must be mounted in card-
board, plastic, or similar mounts to
facilitate identification, handling,
and storage. If the transparencies
are larger than 3 by 3 inches, the
Copyright Office prefers that they be
mounted for easy handling, and may
require such mounting in particular
cases.

\* All pieces except photographic trans-
parencies. The preferred size for all
pieces except photographic transpar-
encies is 8 by 10 inches, but in no
case may a piece be smaller than 3 by
3 inches or larger than 9 by 12 inches.

800-16

806

Quantity and content of material deposited: special

situations. (cont'd)

806.02

Oversize copies. In the case of any copy which is oversize, identifying material is required as a deposit.

806.02 (a)

Oversize copies: when this requirement applies. Identifying material must be submitted in lieu of an actual copy or copies whenever any single dimension of a deposit otherwise required under the regulations is larger than 96 inches. See 37 C.F.R. 202.20(c) (2) ( ix) .

806.02 (b)

Oversize copies: what must be deposited. When identifying material is required, it must comply with the specifications below. See 37 C.F.R. 202.21.

806.02 (b) ( 1)

Type of material. Identifying material consists of a two-dimensional reproduction or rendering of the work in some form which is visually perceived without the aid of a machine or device. The identifying material may consist of photographic prints, transparencies, photocopies, drawings, or a similar rendering of the work.

806.02 (b)

( 2)

Number of pieces. One set, of as many pieces as are necessary to show clearly the entire copyrightable content of the work for which registration is sought, is required.

806.02 (b) (3)

Content of pieces. * Copyrightable content. The identi- fying material must clearly show the entire copyrightable content of the work for which registration is sought. * Copyright notice. In the case of works published with notice of copyright, the notice and its position on the work must be clearly shown on at least one piece of identifying material. Such piece

806

Quantity and content of material deposited: special
situations. (cont'd)

806.02

Oversize copies. (cont'd)

806.02 (b)

Oversize copies: what must be deposited.
(cont'd)

806.02(b) (3)
Content of pieces. (cont'd)

\* Copyright notice. (cont'd)

shall show the exact appearance and con-
tent of the notice, and its specific
position on the work. Where necessary
because of the size or position of the
notice, a separate drawing or similar
reproduction shall be submitted.

\* Title and dimension. At least one
piece of identifying material must
indicate, on its front, back, or mount,
the title of the work, and an exact
measurement of one or more dimensions
of the work.

\* Image size. Generally, except in the
case of photographic transparencies, the
image of the work must be lifesize or
larger. However, if less than life-
size, the image must be large enough
to show clearly the entire copyright-
able content of the work.

800-18

806

Quantity and content of material deposited: special situations. (cont'd)

806.02

Oversize copies.

806.02 (b)

Oversize copies: what must be deposited.

(cont'd)

806.02 (b) (4)

Size of pieces.

* Uniform size. All pieces, except separate drawings or similar repro- ductions of the copyright notice, must be of uniform size. * Photographic transparencies. Photo- graphic transparencies must be at least 35mm in size. If the trans- parencies are 3 by 3 inches or less, they must be mounted in a way that makes them easy to handle and pre- serve; and the Copyright Office may require such mounting in particular cases. All pieces except photographic trans- parencies. The preferred size for all. pieces except photographic transpar- encies is 8 by 10 inches, but in no case may a piece be smaller than 3 by 3 inches or larger than 9 by 12 inches.

806.03

Holograms. In the case of any work deposited in the form of a hologram, identifying material which complies with the specifications below must be submitted with the required copy or copies of the hologram. See 37 C. F.R. 202. 20 (c) (2) ( iii) .

806.03 (a)

Holograms: when this modification applies. This requirement applies to both unpublished and published holograms.

### Quantity and content of material deposited: special situations. (cont'd)

806.03

Holograms. (cont'd)

806.03 (b)

Holograms: what must be deposited. In addi-
tion to the copy or copies required to be
deposited for registration, there shall also
be deposited for each such copy one set of
additional items. The sets shall consist of
the following: (1) precise instructions for
displaying the image fixed in the hologram;
and (2) identifying material which clearly
shows the displayed image and complies with
the requirements set forth below.

## 806.03 (b) (1)

Type of material.Identifying material
consists of a two-dimensional reproduction
or rendering of the work in some form which
is visually perceivable without the aid
of a machine or device. The identifying
material may consist of photographic
prints, transparencies, photocopies,
drawings, or a similar rendering of the
work.

806.03 (b) (2)

Number of pieces. As many pieces as are
necessary to show clearly the displayed
image are required.

806.03(b) (3)

Content of pieces.

\* Copyrightable content. The identi-
fying material must clearly show the
displayed image.

\* Copyright notice. In the case of
holograms published with notice of
copyright, the notice and its position
on the hologram must be clearly shown
on at least one piece of identifying
material. Such piece shall show the
exact appearance and content of the
notice on the hologram, and its
specific position on the hologram.

806

Quantity and content of material deposited: special
situations. (cont'd)

806.03

Holograms. (cont'd)

806.03 (b)

806.03(b) (3)

Holograms: what must be deposited. (cont'd)

Content of pieces. (cont'd)

\* Copyright notice. (cont'd)

Where necessary because of the size or
position of the notice, a separate
drawing or similar reproduction shall
be submitted.

\* Title. At least one piece of identi-
fying material must indicate, on its
front, back, or mount, the title of
the work.

\* Image size. The identifying material
must be large enough to show clearly
the displayed image.

806.03 (b) (4)

Size of pieces.

\* Uniform size. All pieces must be of
uniform size.

\* Photographic transparencies. Photo-
graphic transparencies must be at
least 35mm in size. If the trans-
parencies are 3 by 3 inches or less,
they must be mounted in a way that
makes them easy to handle and pre-
serve; and the Copyright Office may
require such mounting in particular
cases.

\* All pieces except photographic trans-
parencies. The preferred size for all
pieces except photographic transparen-
cies is 8 by 10 inches, but in no case
may a piece be smaller than 3 by 3
inches or larger than 9 by 12 inches.

800-21

806

Quantity and content of material deposited: special

situations. (cont'd)

806.04

graphic works. Unpublished pictorial or graphic works. Identi- fying material may be deposited instead of an actual copy for all unpublished pictorial or

806.04 (a)

Unpublished pictorial or graphic works; when this modification applies. This provision applies to all unpublished pictorial or graphic works.

806.04 (b)

Unpublished pictorial or graphic works: what must be deposited. Identifying material for unpublished works is material which complies with the specifications given below.

806.04 (b)

(1)

Type of material. Identifying material consists of a two-dimensional reproduction or rendering of the work in some form which is visually perceivable without the aid of a machine or device. The identi- fying material may consist of photo- graphic prints, transparencies, photo- copies, drawings, or a similar rendering of the work.

806.04(b)

(2)

Number of pieces. One set, of as many pieces as are necessary to show clearly the entire copyrightable content of the work for which registration is sought, is required.

806.04(b)(3)

Content of pieces.

* Copyrightable content. The identi- fying material must clearly show the entire copyrightable content of the work for which registration is sought. Title and dimensions. At least one piece of identifying material must indicate, on its front, back, or mount, the title of the work, and an exact measurement of one or more dimensions

of the work.

806

Quantity and content of material deposited: special
situations. (cont'd)

806.04
Unpublished pictorial or graphic works. (cont'd)

806.04 (b)
Unpublished pictorial or graphic works: what
must be deposited. (cont'd)

806.04 (b) (3)
Content of pieces. (cont'd)

\* Image size. Generally, except in the
case of photographic transparencies,
the image of the work must be lifesize
or larger. However, if less than
lifesize, the image must be large
enough to show clearly the entire
copyrightable content of the work.

\* Color. The identifying material must
reproduce the actual colors employed
in the work.

806.04 (b) (4)

Size of pieces.

\* Uniform size. All pieces except sepa-
rate drawings or similar reproductions
of the copyright notice, if any, must
be of uniform size.

\* Photographic transparencies. Photo-
graphic transparencies must be at
least 35mm in size. If the transpar-
encies are 3 by 3 inches or less, they
must be mounted in a way that makes
them easy to handle and preserve; and
the Copyright Office may require such
mounting in particular cases.

806.05

Pictorial or graphic works published in certain
limited editions. The deposit of either one
complete copy of the work or identifying material
complying with the specifications given below may
be made in the case of pictorial or graphic
works published in certain limited editions. See
37 C.F.R. 202.20 (c) (2) (iv).

806.05 (a)

Pictorial or graphic works published in
certain limited editions: when this modifi-
cation applies. This modification applies to
published pictorial or graphic works only if
the individual author is the owner of copy-
right in the work, and either: (1) less than
five copies of the work have been published,
or (2) the work has been published and sold
or offered for sale in a limited edition
consisting of no more than 300 numbered
copies.

806.05 (b)

Pictorial or graphic works published in
certain limited editions: what must be
deposited. The applicant may deposit either
one complete copy of the work or identifying
material which complies with the specifica-
tions given below. NOTE: It is not neces-
sary that the copy deposited be one of the
numbered copies of the limited edition.

806.05 (b) ( 1)

Type of material. Identifying material
consists of a two-dimensional reproduc-
tion or rendering of the work in some
form which is visually perceivable with-
out the aid of a machine or device. The
identifying material may consist of
photographic prints, transparencies,
photocopies, drawings, or a similar
rendering of the work.

806.05 (b) (2)

Number of pieces. One set, of as many
pieces as are necessary to show clearly
the entire copyrightable content of the
work for which registration is sought, is
required.

806

Quantity and content of material deposited: special
situations.
(cont'd)

806.05

Pictorial or graphic works published in certain
limited editions. (cont'd)

806.05 (b)

Pictorial or graphic works published in
certain limited editions: What must be
deposited. (cont'd)

806.05 (b) ( 3)
Content of pieces.

\* Copyrightable content. The identi-
fying material must clearly show the
entire copyrightable content of the
work for which registration is sought.

\* Copyright notice. In the case of
works published with notice of copy-
right, the notice and its position on
the work must be clearly shown on at
least one piece of identifying mate-
rial. Such piece shall show the exact
appearance and content of the notice,
and its specific position on the work.
Where necessary because of the size
or position of the notice, a separate
drawing or similar reproduction shall
be submitted.

\* Title and dimension. At least one
piece of identifying material must
indicate, on its front, back, or
mount, the title of the work, and
an exact measurement of one or more
dimensions of the work.

\* Color. The identifying material must
reproduce the actual colors employed
in the work.

800-25

806

Quantity

and content of material deposited: special

situations. (cont'd)

806.05

Pictorial or graphic works published in certain

limited editions. (cont'd)

806.05 (b)

Pictorial or graphic works published in

certain limited editions! what must be

deposited. (cont'd)

806.05(b)

(4)

Size of pieces.

* Uniform size. All pieces except sepa- rate drawings or similar reproductions of the copyright notice must be of uniform size.

* Photographic transparencies. Photo- graphic transparencies must be at least 35mm in size. If the transpar- encies are 3 by 3 inches or less, they must be mounted in a way that makes them easy to handle and preserve; and the Copyright Office may require such mounting in particular cases.

* All pieces except photographic trans- parencies. The preferred size for all pieces except photographic transparen- cies is 8 by 10 inches, but in no case may a piece be smaller than 3 by 3 inches or larger than 9 by 12 inches.

806.06

202.20 erally, the work this

(c) (2) (v) . Published commercial prints or labels. Gen- in the case of prints, labels, and other advertising matter published in connection with rental, lease, lending, licensing, or sale of articles of merchandise, works of authorship, or services, the deposit of one complete copy of the will suffice. There are two exceptions to general rule set forth below. See 37 C.F.R.

806.06 (a)

Commercial prints or labels published in a larger work. In the case of a print or label published In a larger work, such as a news- paper or other periodical, one copy of the entire page or pages upon which it appears may be submitted in lieu of the entire larger work.

# Quantity and content of material deposited: special situations. (cont 'd)

806.06

Published commercial prints or labels. (cont'd)

806.06 (a)

Commercial prints or labels published in a

larger work. (cont'd)

Example:

A soap company has published a half-page advertisement in a newspaper, and submits an application, fee, and the entire page on which the advertisement appears, taken from the newspaper. The deposit is acceptable.

806.06 (b)

Commercial print or labels that are physi-

cally inseparable from a three-dimensional

object. In the case of a print or label Which is physically inseparable from a three-dimensional object, identifying mate- rial which complies with the following specifications must be submitted rather than an actual copy unless the work is reproduced on three-dimensional containers which are capable of flat storage, and when opened, slit, or folded, do not exceed 96 inches in any dimension. In a case of this kind, the container must be capable of being flattened in such a way that the copyrightable matter on the container is not damaged. See 37 C.F.R. 202.20(c)(ix) (B) (6).

806.06 (b) ( 1)

Type of material. Identifying material consists of a two-dimensional reproduc- tion or rendering of the work in some

form which is visually perceivable with-

out the aid of a machine or device, The

identifying material may consist of

photographic prints, transparencies, photocopies, drawings, or a similar rendering of the work.

806.06(b) (2)

Number of pieces. One set, of as many pieces as are necessary to show clearly the entire copyrightable content of the work for which registration is sought, is required.

806
806.06

Quantity and content of material deposited: special
situation. (cont'd)

Published commercial prints or labels. (cont'd)

806.06 (b)

Commercial prints or labels that are physi-
cally inseparable from a three-dimensional
object. (cont'd)

806.06 (b) (3)

Content of pieces.

\* Copyrightable content. The identi-
fying material must clearly show the
entire copyrightable content of the
work for which registration is sought.

\* Title and dimension. At least one
piece of identifying material must
indicate, on its front, back, or
mount, the title of the work, and
an exact measurement of one or more
dimensions of the work.

\* Color. Generally, the identifying
material may be in black and white or
may consist of a reproduction of the
actual colors of the work. However,

806

## Quantity and content of material deposited: special situations. (cont'd)

806.06

Published commercial prints or labels. (cont'd)

806.06 (b)

Commercial prints or labels that are physi-

cally inseparable from a three-dimensional

object. (cont'd)

806.06 (b) (3)

Content of pieces. (cont'd) * Color. (cont'd) if the work reproduced in or on the three-dimensional object contains any pictorial or graphic matter, the iden- tifying material must reproduce the actual colors employed in the work.

806.06 (b) (4)

Size of pieces.

* Uniform size. All pieces except sepa- rate drawings or similar reproductions of the copyright notice must be of uniform size. * Photographic transparencies. Photo- graphic transparencies must be at least 35mm in size. If the transpar- encies are 3 by 3 inches or less, they must be mounted in a way that makes them easy to handle and preserve; and the Copyright Office may require such mounting in particular cases. * All pieces except photographic trans- parencies. The preferred size for all pieces except photographic transparen- cies is 8 by 10 inches, but in no case may a piece be smaller than 3 by 3 or larger than 9 by 12.

806.07

Published tests and answer material. In the case of tests and answer material for tests which have been published separately from other literary works, one complete copy may be deposited in lieu of two copies. See 37 C.F.R. 202. 20 (c) (2) (vi) .

800-29

806

Quantity and content of material deposited: special

situations. (cont 'd)

806.08

Secure tests. A special deposit procedure is available for "secure tests." See 37 C.F.R. 202.20 (c) (2) (vi) .

806.08 (a)

Secure tests: when this modification applies. This procedure applies to secure tests.A secure test is defined as a nonmarketed test administered under supervision at specified centers on specified dates, all copies of which are accounted for and either destroyed or returned to restricted locked storage following each administration. For this purpose a test is considered as "not marketed" if copies are not sold but it is distributed and used in such a manner that ownership and control of copies remain with the test spon- sor or publisher. See 37 C.F.R. 202.20 (b) (4) .

806.08 (b)

Secure tests: what must be deposited. One complete copy of the test must be deposited with identifying material which constitutes a sufficient archival record of the deposit. The sufficiency of the identifying material is determined by the Copyright Office Exam- ining Division. The actual copy is returned to the applicant after examination; the identifying material is retained as the archival record of the deposit.

806.08 (c)

Secure tests: special procedure. When a secure test is to be registered under this special procedure, the Head of the Literary Section, Examining Division, must be notified in advance by the applicant or authorized representative. The Section Head will then arrange for examination of the material in a nonpublic place with the applicant or autho- rized representative present. The receipt date will be stamped on the appropriate material by the examiner receiving the claim. After examination, the actual copies of the test will be returned to the applicant or authorized representative. The application and the identifying material will then pro- ceed through the registration process in the usual manner.

800-30

806

Quantity and content of material deposited: special

situations. (cont'd)

806.09

Pictorial or graphic works reproduced in or on Sheetlike materials. In the case of any unpub- lished work that is fixed, or any published work that is published only in the form of a two- dimensional reproduction on sheetlike materials such as textile and other fabrics, the deposit shall consist of one copy in the form of an actual swatch or piece of such material suffi- cient to show all elements of the work in which copyright is claimed and the copyright notice, if any, appearing on the work. If the work consists of a repeated pictorial or graphic design, the complete design and at least part of one repeti- tion must be shown. Examples of such works include lace, embroidery, wallpaper, wrapping paper, carpeting, linoleum, and other floor coverings. See 37 C.F.R. 202.20 (c) (2) (viii).

806.10

Pictorial or graphic works reproduced on sheet- Tike materials published only in or on three- dimensional objects, Where a work is reproduced on sheetlike materials which have been published only in or on three-dimensional articles, the deposit must generally consist of identifying materials which meet the following specifications.

806.10 (a) 806.10 (b)

Type of material. Identifying material con- siste of a two-dimensional reproduction or rendering of the work in some form which is visually perceivable without the aid of a machine or device. The identifying material may consist of photographic prints, trans- parencies, photocopies, drawings, or a similar rendering of the work.

Number of pieces. One set, of as many pieces as are necessary to show clearly the entire copyrightable content of the work for which registration is sought, is required.

806.10(c)

Content of pieces.

* Copyrightable content. The identifying material must clearly show the entire copyrightable content of the work for which registration is sought.

806

Quantity and content of material deposited: special
situations. (cont 'd)

806.10

Pictorial or graphic works reproduced on sheet-
like materials published only in or on three-
dimensional objects. (cont'd)

806.10 (c)
Content of pieces. (cont'd}

Copyright notice. In the case of works
published with notice of copyright, the
notice and its position on the work must
be clearly shown on at least one piece of
identifying material. Such piece shall
show the exact appearance and content of
the notice, and its specific position on
the work. Where necessary because of the
size or position of the notice, a separate
drawing or similar reproduction shall be
submitted.

\* Title and dimensions. At least one piece
of identifying material must indicate, on
its front, back, or mount, the title of
the work, and an exact measurement of one
or more dimensions of the work.

\* Image size. Generally, except in the case
of photographic transparencies, the image
of the work must be lifesize or larger.
However, if less than lifesize, the image
must be large enough to show clearly the
entire copyrightable content of the work.

\* Color. The identifying material must
reproduce the actual colors employed in
the work.

806.10 (d)

### Size of pieces.

\* Uniform size. All pieces except separate
drawings or similar reproductions of the
copyright notice must be of uniform size.

\* Photographic transparencies. Photographic
transparencies must be at least 35mm in
size. If the transparencies are 3 by 3
inches or less, they must be mounted in a

806

Quantity and content of material deposited: special
situations. (cont 'd)

## 806.10

Pictorial or graphic works reproduced on sheet-
like materials published only in or on three-
dimensional objects. (cont a)

806.10 (d)
Size of pieces. (cont'd)

Photographic transparencies. (cont'd)

way that makes them easy to handle and
preserve; and the Copyright Office may
require such mounting in particular cases.

\* All pieces except photographic transpar-
encies. The preferred size for all pieces
except photographic transparencies is 8 by
10 inches, but in no case may a piece be
smaller than 3 by 3 inches or larger than
9 by 12 inches.

NOTE: In certain cases where the two-dimen-
sional pictorial and graphic material is
embodied in an article of wearing apparel or
the like, the Copyright Office will accept as
a deposit the actual garment, provided that
its seams have been split and the deposit
includes all the panels utilized in the con-
struction of the garment.

806.11

Separate registration for work embodied only in
a motion picture soundtrack. For separate regis-
tration of an unpublished work that is fixed, or
a published work that is published, only as
embodied in a soundtrack that is an integral part
of a motion picture, identifying material will
suffice in lieu of an actual copy or copies of
the motion picture. Such identifying material
shall consist of:

1\)
A transcription of the entire work, or a
reproduction of the entire work on a phono-
record; and

2\) Photographs or other reproductions from the
motion picture showing the title of the

806

# Quantity and content of material deposited; special situations. (cont'd)

## 806.11

# Separate registration for work embodied only in a motion picture soundtrack. (cont 'd)

2 )
(cont'd)
motion picture, the soundtrack credits, and
the copyright notice, if any, for the
soundtrack.

See 37 C.F.R. 202.21 (f).

## 806.12

Machine-readable works. Where an unpublished
literary work is fixed, or a published literary
work is published only in the form of machine-
readable copies ( such as magnetic tapes or disks,
punch cards, or the like) from which the work
cannot ordinarily be perceived except with the
aid of a machine or device, special deposit
requirements apply. See 37 C.F.R. 202. 20(c)
(2) (vii).

## 806.12 (a)

Machine-readable works: what must be depos-
Ited. The form of deposit varies depending
on the type of machine-readable work sub-
mitted for registration, but generally con-
sists of some type of "identifying portions"
of the work. Deposit of the entire work is
acceptable in limited instances. In all
cases, however, the deposit must be in a form
visually perceptible without the aid of a
machine or device. NOTE: Works published in
a form requiring the use of a machine or
device for purposes of optical enlargement
( such as film, filmstrips, slide films, and
works published in any variety of microform),
and works published in visually perceptible
form but used in connection with optical
scanning devices, are not within this cate-
gory. See 37 C.F.R. 202.20 (c) (2) (vii) (A-B) .

806.12 (a) (1)

Published and unpublished computer pro-
grams. For both published and unpub-
lished computer programs, either one
paper or one microform copy of the first
and last 25 pages, or equivalent units

Quantity and content of material deposited: special
situations.
(cont'd)

806.12

Machine-readable works. (cont'd)

## 806.12 (a)

Machine-readable works: what must be depos-

ited. (cont'd)

806.12 (a) (1)

Published and unpublished computer pro-
grams. (cont'd)

of the program, must be deposited. In
cases where the work is under 50 pages or
equivalent units in total length, the
entire work should be deposited. If the
work is published with a copyright
notice, the applicant must also submit
the page or equivalent unit which con-
tains the copyright notice. The source
code rather than the object code is the
best representation of the authorship,
and therefore should generally be depos-
ited. See 37 C.F.R. 202. 20(c) (2) (vii) (A) .

806.12 (a) (2)

Published and unpublished automated data

bases. Generally, the deposit for pub-
lished and unpublished automated data
bases is a paper or microform copy of the
first and last 25 pages of the work. The
deposit for automated data bases which
are made up of separate and distinct data
files, however, is either 50 complete
data records from each file, or the
entire file, whichever is less. "Data
file" and "file" mean a group of data
records pertaining to a common subject
matter, regardless of the physical size
of the records or the number of data
items included in them. In the case of
revised versions of such data bases, the
portions deposited must contain repre-
sentative data records which have been
added or modified. When 50 complete data
records from each separate file are sub-
mitted, however, a typed or printed
descriptive statement must be submitted
as well. That statement must include:

806

Quantity and content of material deposited: special
situations. (cont'd)

806.12
Machine-readable works. (cont'd)

806.12 (a)

Machine-readable works! what must be depos-
Ited. (cont'd)

806.12 (a) (2)
Published and unpublished automated data
bases. (cont 'd)

1\) The title of the data base,

2\)
The claimant's name and address;

3 )
The name and subject matter content
of each separate file within the data
base, origin of the data, and approx-
imate number of individual records in
the file; and

4\)
A description of the exact contents
of any machine-readable copyright
notice employed in or with the work
and the manner and frequency with
which it is displayed (e.g., at
user's terminal only at sign-on, or
continuously on terminal display, or
on printouts, etc.). If a visually
perceptible copyright notice is
placed on any copies of the work
( such as magnetic tape reels or their
container), a sample of such notice
must also accompany the statement.

See 37 C.F.R. 202.20(c) (2) (vii) (B).

806.13

Motion pictures. The following requirements
apply to unpublished and published motion pic-
tures.

806.13 (a)

Unpublished motion pictures. The applicant
may, for registration, deposit one complete
copy or identifying material. In either
case, a description is also required. See 37
C.F.R. 202.20 (c) (2) ( ii) and 202.21 (g).

Quantity and content of material deposited: special
situations. (cont'd)

## 806.13

## Motion pictures. (cont'd)

### 806.13 (a)

### 806.13 (a) (1)

Unpublished motion pictures. (cont'd)

Deposit of complete copy. If the appli-
cant chooses to deposit an actual copy of
the work, the copy must be complete. A
copy is complete if the reproduction of
the visual and sound elements is clean,
undamaged, undeteriorated, and free of
splices, and if the copy and physical
housing have no defects which would
interfere with performance of the motion
picture or cause mechanical, visual, or
audible defects or distortions. See 37
C.F.R. 202.20 (b) (2) (vi) . The copy must
be accompanied by a separate description
of its contents, which may be a conti-
nuity, a pressbook, or a synopsis. See
37 C.F.R. 202.20(c) (2) (ii) . However,
when the Copyright Office is asked, it
will encourage the deposit of a shooting
script as the description.

## 806.13 (a) (2)

Deposit of identifying material. If the
applicant chooses to deposit identifying
material instead of an actual copy, two
things must be deposited:

1\) A description which may be a continuity,
a pressbook, or a synopsis but which
must include the title or continuing
title of the work and the episode
title, if any; the nature and general
content of the program; the date of
first fixation and whether it took
place simultaneously with first
transmission; the date of first
transmission, if any, running time;
and credits, if any, appearing on the
work, and

2\)
Either an audio cassette or other
phonorecord reproducing the entire
soundtrack or other sound portion of

806

Quantity and content of material deposited: special
situations. (cont 'd)

806.13
Motion pictures. (cont'd)

## 806.13 (a)

Unpublished motion pictures. (cont'd)

## 806.13 (a) (2) Deposit of identifying material. (cont'd)

## 2) (cont'd)

the motion picture, or a set con-
sisting of one frame enlargement or
similar visual reproduction from each
10-minute segment of the motion pic-
ture. Frames clipped from the film
are not acceptable.

806.13 (b)
Published motion pictures. The deposit
requirements for published motion pictures
consist of one complete copy of the best
edition of the motion picture and a
description.

### 806.13 (b) (1)

Deposit of the best edition. The best
edition of a motion picture is determined
by referring to the criteria listed in
the Best Edition Statement. See Appendix
to this chapter.

### 806.13 (b) (2)

Deposit of a complete copy. The copy
must be complete, meaning that the repro-
duction of the visual and sound elements
comprising the copyrightable subject
matter in the work must be clean, un-
damaged, undeteriorated, and free of
splices, and that the copy itself and its
physical housing must be free of any
defects which would interfere with per-
formance of the motion picture, or cause
mechanical, visual, or audible defects or
distortions. See 37 C.F.R. 202.20(b)
(2) (vi).

806.13 (b) ( 3 )

Deposit of description. The copy must be
accompanied by a separate description of
its contents which may be a continuity, a
pressbook, or a synopsis. See 37 C.F.R.
202.20 (c) (2) (ii). However, when the

806

Quantity and content of material deposited: special
situations. (cont 'd)

806.13

## Motion pictures. (cont'd)

806.13 (b)

Published motion pictures. (cont'd)

806.13 (b) (3)
Deposit of description. (cont'd)

806.13 (b) (4)

Separately registrable works of author-
ship fixed in film, videotape, or the
like. A film, videotape, or the like can
constitute the form of embodiment in
which a copyrightable work other than a
motion picture is fixed. Generally, in
such cases the deposit requirements for
the particular work of authorship being
registered govern the form of the deposit,
rather than the deposit requirements for
motion pictures. Examples include the
following:

1\)
Pantomime fixed in a one-half-inch
videocassette.

2\) Choreography fixed in a hologram.

3\)
Resume spoken and fixed in a three-
quarter-inch videocassette.

4\)
Graphic illustrations fixed in Super
8 film.

NOTE: For deposit requirements in the
case of an unpublished work that is fixed
or a published work that is published
only as embodied in a soundtrack that is
an integral part of a motion picture, see
section 806.11 above.

Motion Picture Agreement. The Library of Congress
may, at its sole discretion, enter into an agreement
permitting the return of copies of published motion
pictures to the depositor under certain conditions
and establishing certain rights and obligations with
respect to such copies on the part of both the
depositor and the Library of Congress. The Deposits
and Acquisitions Section of the Acquisitions and
Processing Division of the Copyright Office
administers the Motion Picture Agreement. See 37
C.F.R. 202.20 (c) (2) (ii) .

The Motion Picture Agreement provides that after
copyright registration has been completed the deposit
copy will be returned to the depositor at the de-
positor's expense. However, a copy for addition to
the Library's permanent collections is subject to
recall by the Library of Congress at any time within
a period of two years. In signing the Motion Picture
Agreement, the depositor agrees, if the film is re-
called, to provide the Library with a copy which
meets the archival quality standards set forth in the
Agreement.

807.01

Who may enter into the Agreement. The Agreement
is available upon request to owners of copyright
in published motion pictures or owners of the
exclusive right of publication (including the
exclusive right of distribution in the United
States) who are depositing a copy of the motion
picture in the Copyright Office and to foreign
depositors whose works, although initially pub-
lished outside the United States, have been pub-
lished in the United States before the date of
deposit. NOTE: Foreign depositors whose motion
pictures are published only outside the United
States before the date of deposit may enter into
the Motion Picture Agreement by executing the
basic Agreement, together with a Standard Modi-
fication of the Agreement, provided that the
depositor has an established business office in
the United States, or has designated a United
States agent with express authority to receive
service in the event the Agreement is breached.

807.02

Who may sign the Agreement, An individual
depositor or a legal representative may sign the
Agreement. A business entity depositor may sign

# 800-40

807

Motion Picture Agreement. (cont'd)

807.02

Who may sign the Agreement. (cont'd) the Agreement through a legal representative empowered to bind the business entity, as for example, the officer of a corporation, an attorney-in-fact for the depositor, or another agent of a depositor satisfactory to the Library of Congress. In certain cases, the Standard Modification must be completed; see NOTE in section 807.01 above. Also, in certain cases, a bond signed by the attorney-in-fact for the depositor, which subjects such attorney-in-fact to certain liability under the Agreement, is required in addition to the Agreement.

807.03

Return of deposit copy under the Agreement. The Copyright Office will return the motion picture to the depositor under the Agreement if it receives a specific written request for return of that particular motion picture. In general, the following conditions apply for the return of motion pictures: 1) If a motion picture is to be returned by a private carrier designated by the depositor, shipment instructions must be included with the request for return. The instructions must name the carrier to be contacted, give an account number (if available), indicate that the motion picture is to be returned at the depositor's expense, include a declara- tion of value, and state the amount of insurance required. 2) If the depositor so requests, the motion pic- ture will be shipped collect by means of a private carrier chosen by the Library of Congress, with insurance coverage at the depositor's expense, to the amount of the declared value; if no value has been de- clared, the amount of this insurance will be based on the estimated replacement cost for a copy of identical physical characteristics produced by a commercial laboratory.

807.03

## Motion Picture Agreement. (cont 'd)

Return of deposit copy under the Agreement.
( cont d)

3\)
Unless the Copyright Office is otherwise
directed in writing at the time of deposit,
motion pictures will be returned to the
depositor by Special Fourth Class Mail. In
these cases, the Library of Congress does
not assume any responsibility for providing
insurance. Because of the high risk of loss
with respect to certain films, the Copyright
Office will ordinarily attempt to contact
depositors of 35mm feature films, oversize
deposits, and copies of special value for
instructions for return by private carrier
at the depositor's expense.

807.04

Recall of the deposit copy under the Agreement.
At any time within a period of two years, the
Library of Congress may make a written request
that a copy of archival quality be submitted for
its permanent collections under the terms of the
Motion Picture Agreement. Upon receipt of that
request one complete copy of the film, meeting
the standards set forth in Appendix A of the
Agreement, must be sent to:

Motion Picture Section
Motion Picture Broadcasting and
Recorded Sound Division
The Library of Congress
Washington, D. C. 20540

807.05

Quality of copy deposited under the Agreement.
If a depositor has signed the Motion Picture
Agreement and deposits a copy, but does not
request the return of the copy, it is considered
a "non-agreement" film and is treated as though
there is no Agreement on file. The standards
that govern the quality of such a copy are those
explained in section 806.13 above, and the
special "archival quality" standards which are
set forth in the language of the Agreement, and
Appendix A thereto, do not apply. However, any
copy recalled by the Library of Congress under
the Agreement must meet all the technical guide-
lines set forth in Appendix A to the Agreement.

## Motion Picture Agreement. (cont'd)

807.06

Supplemental Property Agreement. Where a depositor who has entered into a Motion Picture Agreement has deposited for registration a copy of a motion picture which does not represent the form of copy which the Library of Congress wishes to retain for its collections, such copy may be accepted for registration if the depositor speci- fically agrees in accordance with a Supplementary Property Agreement that a copy of archival quality will be delivered on demand under the Motion Picture Agreement.

807.07

Termination of the Motion Picture Agreement.

The Library of Congress may terminate the Motion Picture Agreement for any good cause, including single or repeated instances of breach of the Agreement. If an Agreement is terminated by the Library, the termination applies only to motion pictures deposited after the termination, and does not affect the rights or obligations of either party with respect to any copies already deposited or returned under the Agreement. If the Agreement is terminated by the Library, it is not subject to reinstatement unless the Library believes that reinstatement, or entering into a new Agreement, would be in its best interests. See 37 C.F.R. 202 .20 (c) (2) (ii).

808

Special relief from the deposit requirements for registration, Special relief is a procedure which allows the Register of Copyrights to grant the requestor the option of depositing less than or other than that which is required under the general deposit provisions. See 37 C.F.R. 202.20(d); see also 17 U.S.C. 407(c) and 408(c).

808.01

Special relief: in general. Special relief was devised because it is impossible to establish exemptions or alternatives to cover all cases where the general deposit provisions of the statute might cause unnecessary hardship. Special relief is intended to respond to the legislative directive that deposit provisions be kept flexible "so that there will be no obliga- tion to make deposit where it serves no purpose, so that only one copy or phonorecord may be

800-43

808

Special relief from the deposit requirements for

registration. (cont 'd)

808.01

Special relief: in general. (cont'd)

deposited where two are not needed, and so that reasonable adjustments can be made to meet practical needs in special cases." See H.R. Rep. No. 94-1476, 94th Cong., 2d Sess. at 151 (1976), and S. Rep. No. 94-473, 94th Cong., 1st Sess. at 134 (1975).

808.02

Special relief: criteria, The decision whether to grant special relief is based on the acquisi- tion policies of the Library of Congress in force at the time the request is made and the examining and archival requirements of the Copyright Office.

808.03

Special reliefi procedures. The procedures for special relief are the following.

808.03 (a)

Required elements of request. Requests for special relief must be made in writing to the Chief, Examining Division, Copyright Office. The request must be signed by or on behalf of the person signing the application for regis- tration. The request must set forth the specific reasons that it should be granted. Examples include unavailability of the re- quired deposit, financial burden, confiden- tiality, rarity, fragility, and weight. The request should also state the form of relief desired, e.g., permission to deposit one copy or phonorecord rather than two, permission to deposit alternative identifying material rather than one or two copies or phono- records, permission to deposit incomplete copies or phonorecords rather than those normally constituting the best edition, or (for works first published before 1978) permission to deposit a later printing or lished. edition rather than the work as first pub-

808.03 (b)

Responsibility for decision. The decision to grant or deny special relief is made by the Chief of the Examining Division after con- sultation with the Chief of the Acquisitions and Processing Division of the Copyright Office.

[1984]

## Special relief from the deposit requirements for registration. (cont'd)

808.03

Special relief: procedures.

(cont'd)

808.03 (c)

Special relief granted. When special relief is granted, the application will be anno- tated as follows: "Special relief granted under 37 C.F.R. 202.20(d)." This annotation is keyed with an asterisk to the "DEPOSIT RECEIVED" space on the application for regis- tration.

NOTE: Where the work was first published before 1978, the annotation should also re- flect the nature of the material deposited and refer to the remitter's letter; for example :

1) ) "Photocopies accepted under a grant of special relief in accordance with 37 C.F.R. 202.20 (d) . See correspondence file."

2) "Second printing accepted under a grant of special relief in accordance with 37 C.F.R. 202.20) (d). Re: notice of copyright on copies as first published, see applicant's letter of

808.03 (d)

Special relief denied. Where the special relief is denied, the applicant will be notified in writing, and the letter to the applicant will set forth the reasons for the denial.

808.04

Special relief: continuous or ongoing grants. In some cases a grant of continuous or ongoing special relief is possible. The procedures and criteria for such relief are the same as for one-time special relief. In such cases, however, the applicant is asked to include with each sub- mission a covering letter or memorandum referring to such grant and the date thereof. Any con- tinuous grant may be terminated by the Chief of the Examining Division after consultation with the Chief of the Acquisitions and Processing Division of the Copyright Office. Notice of

808

Special relief from the deposit requirements for
registration.
( cont'd)

808.04

### Special relief: continuous or ongoing grants. (cont 'd)

termination will be in writing and will set forth
the specific date of termination which must be at
least 30 days later than the date the notice is
mailed. This notice is sent to the individual or
organization to whom the grant of special relief
had been given at the last address shown in the
records of the Copyright Office,

809

Relationship of deposit for registration to mandatory
deposit under 17 U.S.C. 407. The deposit for a pub-
Iished work that is acceptable under section 408 of
the current Act, which deals with copyright regis-
tration, also satisfies the deposit requirements of
section 407 of that Act, which deals with deposit for
the use or disposition of the Library of Congress.

810

Appendix. The text of the "'Best Edition' of Pub-
lished Copyrighted Works for the Collections of the
Library of Congress, " mentioned in this chapter,
appears as an APPENDIX which follows this page.

# APPENDIX

## "Best Edition" of Published Copyrighted Works for the Collections of the Library of Congress*

The Copyright Law (Title 17, United States Code) re-
quires that copies or phonorecords deposited in the
Copyright Oflice be of the "best edition" of the work. The
law states that "The 'best edition' of a work is the edition,
published in the United States at any time before the date
of deposit, that the Library of Congress determines to be
most suitable for its purposes."

When two or more editions of the same version of a
work have been published, the one of the highest quality
Is generally considered to be the best edition. In judging
quality, the Library of Congress will adhere to the criteria
set forth below in all but exceptional circumstances.

Where differences between editions represent varia-
tions in copyrightable content, each edition is a separate
version and "best edition" standards based on such dif-
ferences do not apply. Each such version is a separate
work for the purposes of the Copyright Law.

Appearing below are lists of criteria to be applied in
determining the best edition of each of several types of
material. The criteria are listed in descending order of
importance. In deciding between two editions, a
criterion-by-criterion comparison should be made. The
edition which first fails to satisfy a criterion is to be con-
sidered of inferior quality and will not be an acceptable
deposit. For example, if a comparison is made between
two hardbound editions of a book, one a trade edition
printed on acid-free paper and the other a specially
bound edition printed on average paper, the former will
be the best edition because the type of paper is a more
important criterion than the binding.

Under regulations of the Copyright Office, potential de-
positors may request authorization to deposit copies or
phonorecords of other than the best edition of a specific
work (e.g., a microlorm rather than a printed edition of a
serial).

\* This excerpt is taken from Volume 43, No. 2 of the Federal
Register for Wednesday, January 4, 1978 (p. 766) .

### L PRINTED TEXTUAL MATTER

A. Paper, Binding, and Packaging;

1\. Archival-quality rather than less-permanent paper.

2\. Hard cover rather than soft cover.

3\. Library binding rather than commercial binding.

4\. Trade edition rather than book club edition.

5\. Sewn rather than glue-only binding.

6\. Sewn or glued rather than stapled or spiral-bound.

7\. Stapled rather than spiral-bound or plastic-bound.

8\. Bound rather than looseleaf, except when future
looseleaf insertions are to be issued.

9\. Slipcased rather than nonslipcased.

10\. With protective folders rather than without (for
broadsides).

11\. Rolled rather than folded (lor broadsides).

12\. With protective coatings rather than without (except
broadsides, which should not be coated).

B. Ranty:

1\. Special limited edition having the greatest number of
special features

2\. Other limited edition rather than trade edition.

3\. Special binding rather than trade binding.

#### C. Hustrations:

1\. Illustrated rather than unillustrated.

2\. Illustrations in color rather than black and white.

D. Special Features:

1\. With thumb notches or index tabs rather than with-
out.

2\. With aids to use such as overlays and magnifiers
rather than without.

E. Size:

1\. Larger rather than smaller sizes. (Except that
large-type editions for the partially-sighted are not
required in place of editions employing type of more
conventional size.)

### Il. PHOTOGRAPHS

A. Size and finish, in descending order of preference:

1\. The most widely distributed edition.

2.8 × 10-inch glossy print.

3\. Other size or finish.

B. Unmounted rather than mounted.

C. Archival-qualily rather than less-permanent paper
stock or printing process.

# III. MOTION PICTURES

A. Film rather than another medium. Film editions are
listed below in descending order of preference.

1\. Preprint material, by special arrangement.

2\. Film gauge in which most widely distributed.

3.35 mm rather than 18 mm.

4\. 16 mm rather than 8 mm.

5\. Special formats (e.g., 85 mm) only in exceptional
cases.

6\. Open reel rather than cartridge or cassette.

B. Videotape rather than videodisc. Videotape editions
are listed below in descending order of preference.

1\. Tape gauge in which most widely distributed.

2\. Two-inch tape.

3\. One-inch tape.

4\. Three-quarter-inch tape cassette.

5\. One-half-inch tape cassette.

# IV. OTHER GRAPHIC MATTER

A. Paper and Printing:

1\. Archival quality rather than less-permanent paper.

2\. Color rather than black and while.

8\. Size and Content:

1\. Larger rather than smaller size.

2\. In the case of cartographic works, editions with the
greatest amount of information rather than those
with less detail.

C. Rarity:

1\. The most widely distributed edition rather than one
of limited distribution.

2\. In the case of a work published only in a limited.
numbered edition, one copy outside the numbered
series but otherwise identical.

3\. A photographic reproduction of the original, by spe-
cial arrangement only.

D. Text and Other Materials:

1\. Works with annotations, accompanying tabular or
textual matter, or other interpretative aids rather than
those without them.

E. Binding and Packaging:

1\. Bound rather than unbound.

2\. If editions have different binding. apply the criteria in
I.A.2-I.A.7, above.

4\. Rolled rather than folded.

5\. With protective coatings rather than without.

# V. PHONORECORDS

A. Disc rather than tape.

B. With special enclosures rather than without.

C. Open-reel rather than cartridge.

D. Cartridge rather than cassette.

E. Quadraphonic rather than stereophonic.

F. True stereophonic rather than monaural.

G. Monaural rather than electronically rechanneled
stereo.

# VI. MUSICAL COMPOSITIONS

A. Fullness of Score:

1\. Vocal music:

a. With orchestral accompaniment-

i. Full score and parts, if any, rather than conductor's
score and parts, if any. (in cases of compositions
published only by rental, lease, or lending, this re-
quirement is reduced to full score only.]

ii. Conductor's score and parts, il any, rather than con-
densed score and parts. if any. (In cases of compo-
sitions published only by rental, lease, or lending,
this requirement is reduced to conductor's score
only.)

b. Unaccompanied: Open score (each part on separate
staff) rather than closed score (all parts condensed
to two slaves).

2\. Instrumental music:

a. Full score and parts, If any, rather than conductor's
score and parts, if any. (In cases of compositions
published only by rental, lease, or lending, this re-
quirement is reduced to full score only.)

b. Conductor's score and parts, If any, rather than con-
densed score and parts, if any. (In cases of compo-
sitions published only by rental, lease, or lending, this
requirement is reduced to conductor's score only.)

B. Printing and Paper:

1\. Archival-quality rather than less-permanent paper.

C. Binding and Packaging:

1\. Special limited editions rather than trade editions.

2\. Bound rather than unbound.

3\. If editions have different binding, apply the criteria in
I.A.2-I.A.12, above.

4\. With protective folders rather than without.

# VII. MICROFORMS

A. Raleted Materials:

1\. With indexes, study guides, or other printed matter
rather than without.

B. Permanence and Appearance:

1\. Silver hallde rather than any other emulsion.

2\. Positive rather than negative.

3\. Color rather than black and white.

C. Format (newspapers and newspaper-formatted
serials):

1\. Reel microfilm rather than any other microform.

D. Format (all other materials):

1\. Microliche rather than reel microfilm.

2\. Reel microfilm rather than microform cassettes.

3\. Microfilm cassettes rather than micro-opaque prints.

E. Size:

1\. 35 mm rather than 16 mm.

# VIII. WORKS EXISTING IN MORE THAN ONE MEDIUM

Editions are listed below in descending order of prefer-
ence.

A. Newspapers, dissertations and theses, newspaper-
formatted serials:

1\. Microform.

2\. Printed matter.

B. All other materials:

1\. Printed matter.'

2\. Microform.

3\. Phonorecord.
(Effective: January 1, 197B.)

[END OF CHAPTER 800]

# PUBLICATION

## Outline of Topics

901
902
903
904
905

## Applicability of this chapter.

Statutory provision.

Authorization by the copyright owner.

General policy concerning publication.

Distribution as publication.

905.01
905.02

Multiple copies or phonorecords.

To the public.

905.03

Deposit in a public library.

905.04
Deposit for registration in the Copyright Office.
905.05
By sale or other transfer of ownership, or by
rental, lease, or lending.

906

Offering to distribute as publication.

906.01
906.02
906.03

No existing copies or phonorecords.
To a group of persons.

For purposes of further distribution, public
performance, or public display.

907
908

Alternative forms of publication.

Public performance or display not a publication.

908.01

To perform.

908.02
To display.

908.03

Public or private.

909

Publication of recorded material first distributed
before January 1, 1978.

910

## Date and nation of first publication.

910.01

General policy concerning date and nation of
first publication.

910.02

Choice of a date of first publication.

910.03

Release date.

910.04

Embodiment of previously unpublished material
in another work.

910.05

Publication of part of a work,

910.06

Publication in serial form.

910.07

Publication of separate parts or installments.

910.08

Previous registration and new versions.

910.09

Works first published outside the United States.

911

Problems relating to date of publication.

911.01

No date of publication.

911.02

Incomplete date.

911.03

Impossible or improbable date.

911.04

Other calendrical systems.

911.05

Separate parts or installments.

911.06

Previous edition or version.

912
912.01

Indicia of publication.

Appearance of deposited material.

901

902
903

Applicability of this chapter. The provisions of this
chapter are applicable only to acts which occurred on
or after January 1, 1978. Copyright Office practices
concerning publication before January 1, 1978, are
stated in Compendium I and generally still apply.

Statutory provisions. Publication is the distribution
of copies or phonorecords of a work to the public by
sale or other transfer of ownership, or by rental,
lease, or lending. The offering to distribute copies
or phonorecords to a group of persons for purposes of
further distribution, public performance, or public
display, constitutes publication. A public performance
or display of a work does not of itself constitute
publication. 17 U.S.C. 101.

Authorization by the copyright owner. Not included in
the statutory definition of publication" but implicit
in the meaning of the term as applied to copyright
registration and related activities is the requirement
that acts constituting publication must be by the copy-
right owner or under his or her authority. The
unauthorized acts of others do not result in such
publication. section 106 of the current Act explicitly
provides that the owner of copyright has the sole power
to authorize distribution of "copies or phonorecords of
the copyrighted work to the public by sale or other
transfer of ownership, or by rental, lease, or
lending." See 17 U.S.C. 106(3).

904

General policy concerning publication. The following
points represent the general policy of the Copyright
Office concerning publication:

1\)
The Office will ordinarily not attempt to decide
whether or not publication has occurred but will
generally leave this decision to the applicant.

2\)
The Office will not attempt to make factual
investigations to determine whether or not
publication has occurred.

3 )
When asked for advice, the Office will ordinarily
refrain from taking a definite position, but will
quote the statutory definition and discuss the
meaning of publication in general terms.

904

## General policy concerning publication. (cont'd)

4\)
Where the applicant provides the Office with
a statement of facts on the basis of which
the applicant concludes that publication has
occurred, registration will be made as a pub-
lished work, unless the facts as stated by
the applicant clearly show that publication,
as defined by the copyright law, has not taken
place.

5\)
Where the applicant seeks registration as an
unpublished work and provides the Office with
a statement of facts which clearly show that
publication has occurred, the Office will not
register a claim to copyright in the work as
unpublished.

6\)
Where the Office has information which is at
variance with a statement concerning publica-
tion provided by the applicant, or where the
appearance of the copy or phonorecord deposited
seems clearly inconsistent with such statement,
the Office will correspond with the applicant.

905

Distribution as publication. Works are published when
copies or phonorecords are distributed by the copyright
owner or under his or her authority to the public by
sale or other transfer of ownership, or by rental,
lease, or lending.

905.01

Multiple copies or phonorecords. The statutory
definition refers to the distribution of "copies
or phonorecords." A work which exists in only
one copy or phonorecord is generally not regarded
as published when the single existing copy or
phonorecord is transferred by sale or otherwise,
or when it is rented, leased, or lent. However,
where multiple copies are available for distri-
bution, the transfer, rental, lease, or lending
of a single copy or phonorecord will be suffi-
cient for registration to be made as a published
work.

Examples :

1\) If an original oil painting is sold to a
private collector, that sale does not con-
stitute publication.

905
Distribution as publication. (cont'd)

905.01
Multiple copies or phonorecords. ( cont'd)

Examples: (cont'd)

2\) Where a manufacturer of pottery places copies
of its work on sale at a roadside stand next
to the factory and sells a single copy, publi-
cation does take place.

905.02
To the public. In order for publication to occur
by the distribution of copies or phonorecords, such
distribution must be "to the public" rather than a
more limited distribution. Generally, members of
the public are persons who are under no implied or
express restriction with respect to disclosure of
the work's contents. See H.R. Rep. 94-1476, 94th
Cong., 2d Sess. 138 (1976).

Examples :

1\)
The distribution of copies on a busy street
corner is publication.

2\)
The unrestricted gift of copies constitutes
publication.

3\)
Leaving copies in a public place for anyone
to take is publication.

4\)
Distributing texts at a seminar for use only by
the recipiente is ordinarily not publication.

NOTE: The fact that the copies bear a statement
indicating that their distribution has been
restricted or limited in some way will generally
not constitute a sufficient basis for questioning
whether or not publication occurred.

Examples :

1\)
"Confidential -- these specifications are

for subscribers'
use only.'

2\)
"Not for general distribution."

3\)
"For professional use only."

905

## Distribution as publication. (cont'd)

905.03

Deposit in a public library. Where a copy or
phonorecord of a work is deposited in a public
library for unrestricted access by the public, the
Copyright Office will not refuse registration as a
published work. In such a case, the Office will
assume that access to the deposit was unrestricted
unless it has information to the contrary.

905.04

Deposit for registration in the Copyright Office.
Deposit for registration in the Copyright Office
will not be considered to constitute publication.

905.05

By sale or other transfer of ownership, or by
rental, lease, or lending. Publication occurs
by the sale or other transfer of ownership of
copies or phonorecords or by their rental, lease,
or lending.

906

Offering to distribute as publication. The offering
by the copyright owner, or under his or her authority,
to distribute copies or phonorecords to a group of
persons for purposes of further distribution, public
performance, or public display, constitutes publica-
tion. See 17 U.S.C. 101. The statutory definition
implies that the offering to distribute must be of
existing multiple copies or phonorecords.

Examples :

1\)
The offering of a new line of greeting cards that
are in existence to retail outlets is publication.

2\)
The offering by a film exchange to distribute
prints of an existing motion picture for perfor-
mance in theatres is publication.

3\)
Offering a work, such as a cartoon or column, to
a number of syndicators for purposes of further
distribution would normally constitute publica-
tion.

906

Offering to distribute as publication. (cont'd)

906.01
No existing copies or phonorecords. The offering
to distribute copies or phonorecords before any are
available in a form ready for distribution does not
constitute publication.

Examples :

1\)
The offering to distribute a motion picture
that is still in production does not constitute
publication.

2\)
The offering to distribute a sound recording
which has not been fixed in its final form is
not publication.

906.02

To a group of persons. The offering to dis-
tribute copies or phonorecords must be to a
group of persons.

Example;

The offering to distribute musical scores to a
group of band directors for purposes of public
performance is publication.

906.03

For purposes of further distribution, public per-
Formance, or public display. The purpose of the
offering must be further distribution, public
performance, or public display. Hence an offering
to distribute to a group of persons for their pri-
vate use, private performance, or private display
is not a publication,

Example:

The offering to distribute classical phono-
records to various radio stations for broad-
cast constitutes publication.

Alternative forms of publication. Since the statutory
definition of publication is in two parts, one relating
to direct distribution to the public and the other
relating to the offering to a group for certain
purposes, publication occurs if the facts fit either
alternative.

## Alternative forms of publication. (cont'd)

Examples :

1\)
The actual distribution of 350 copies of a print
to the public is publication, regardless of whether
or not the prints were distributed for purposes
of private or public display.

2\)
The offering to distribute fine art prints to a
group of persons for public display constitutes
publication, whereas the offering to distribute
such material for private display is not a publi-
cation.

908

Public performance or display not a publication. A
public performance or public display of a work does
not of itself constitute publication. See 17 U.S.C.
101. Therefore, publication will be questioned where
words such as "performed," "televised," "broadcast,"
"posted, " "exhibited," etc., have been added to the
publication space of the application.

908.01

To perform. To "perform" a work means to recite,
render, play, dance, or act it, either directly or
by means of any device or process or, in the case
of a motion picture or other audiovisual work, to
show its images in any sequence or to make the
sounds accompanying it audible. 17 U.S.C. 101.

908.02

To display. To "display" a work means to show a
copy of it, either directly or by means of a film,
slide, television image, or any other device or
process or, in the case of a motion picture or
other audiovisual work, to show individual images
nonsequentially. 17 U.S.C. 101.

908.03

Public or private. Since the copyright law
provides that the "public" performance or dis-
play of a work is not publication, it seems
clear that performances and displays which are
not public do not constitute publication. Thus,
in effect, no private performance or display can
amount to publication.

Examples :

1}
Where a pictorial, graphic, or sculptural work
was created in 1978 and placed on public dis-
play without any restrictions against copying,
it is considered unpublished under the current
Act.

908

908.03

Public performance or display not a publication.
(cont d)
Public or private. (cont'd)

Examples: (cont'd)

2\) A jazz band performing an original song as
part of its act on a network television show
is not publication.

3\)
It is not publication for a composer to perform
his work in his home or in public.

909

## Publication of recorded material first distrib-

uted before January 1, 1978. Where a musical, dra-
matic, or literary work was distributed only in the
form of phonorecords before January 1, 1978, such
musical, dramatic, or literary work was not
registerable as a published work under the Act of
1909, as amended. Under the present law, the public
distribution of phonorecords on or after January 1,
1978, publishes the musical, dramatic, or literary
works recorded thereon. Therefore, if publication of
a pre-1978 phonorecord continued on January 1, 1978,
that date is considered to be the date of first pub-
lication of the underlying work for purposes of
copyright registration.

910

Date and nation of first publication. A statement
of the date of first publication is required on appli-
cations for registration of claims to copyright in
published works. The nation of first publication
should also be given.

910.01

General policy concerning date and nation of first
publication. The Copyright Office will generally
accept without question the date of first publica-
tion given by the applicant. Although the Office
may offer general guidelines concerning the selec-
tion of a date, the final choice is ordinarily left
to the applicant. The Office will generally
decline to accept the date given only if a state-
ment made by the applicant clearly shows that first
publication did not occur on that date. The Office
will correspond with the applicant if it has
information inconsistent with the statement used
by the applicant as the basis for the date given.

910

Date and nation of first publication. (cont'd)

910.01

General policy concerning date and nation of first publication. (cont 'd) Similarly, the Copyright Office will generally accept the statement of the applicant on nation of first publication, unless it appears to be clearly inconsistent with the facts stated by the applicant or the information which the Office has with respect to the place of first publication.

910.02

Choice of a date of first publication. When the

applicant is uncertain as to the date to be given in the application, the Copyright Office may out- line the following factors to be considered: 1) Where the applicant is uncertain as to which of several possible dates to choose, it is generally advisable to choose the earliest date, to avoid implication of an attempt to lengthen the copyright term, or any other period prescribed by the statute.

2) When the exact date is not known, the best approximate date may be chosen. In such cases, qualifying language such as "approximately," "on or about, " "circa," "no later than, " and "no earlier than," will generally not be ques- tioned.

NOTE: The date given on the application as the date of first publication is important. It may determine the three-month grace period of 17 U.s.c. 412(2) and the five-year period provided in 17 U.S.C. 405(a) (2) for works published without a notice of copyright. It may also determine the copyright term for works made for hire and for anonymous and pseudonymous works.

910.03

Release date. If copies or phonorecords are put into the stream of commerce" on one date, for release by distribution "over the counter" to the public on a later date, the Copyright Office will accept either date as first publication.

910.04

Date and nation of first publication. (cont'd)

Embodiment of previously unpublished material in
another work. The inclusion of an unpublished work
In another work that is later published results in
the publication of the first work to the extent
that it is disclosed in the published work.

Examples :

1\)
Where a preexisting unpublished screenplay is
embodied in a motion picture, those elements
of the screenplay disclosed in the motion
picture are considered to be published at the
same time the motion picture is published.

2\)
The publication of copies of a lithograph that
reproduce a previously unpublished original oil
painting, publishes the oil painting to the
extent that it is disclosed in the lithograph.

3\)
Where an unpublished sculptural work is embodied
in a published motion picture, an application
for registration of the sculpture may assert
that the work is unpublished; in such a case,
space 6 on the application form need not be
completed. NOTE: It is the view of the Copy-
right Office that ordinarily the publication of
a motion picture would not result in sufficient
disclosure of a sculptural work embodied in the
motion picture to effect a publication of such
work in the copyright sense.

910.05

Publication of part of a work. Publication of a
portion of a work does not necessarily mean that
the work as a whole has been published.

Examples :

1\)
Publication of a detailed plot summary of a
play does not constitute publication of the
play as a whole.

2\)
Publication of a movie version of an unpub-
lished story publishes only those elements
of the story embodied in the motion picture.

910 Date

and nation of first publication. (cont'd)

910.06

Publication in serial form. Where a work first appears in serial form and later comes out as à book, its appearance in serial form is considered first publication. Registration of a claim to copyright in the book would depend upon the existence of new copyrightable material appearing for the first time in the book.

910.07

Publication of separate parts or installments. Where various parts or installments of a work are first published separately, each part or install- ment is regarded as a separate work, and if regis- tered, must be registered separately. However, where a work is first published as a unit, the fact that parts of the work are also distributed separately will not preclude a single registration for the work.

910.08

Previous registration and new versions, Where the work in question is the first published edition of a work previously registered in unpublished form, the application should give the date of first publication. This is true even if the published edition contains no new matter and the copyright term is not computed from the date of publication. If the work is a new version of a previously published work, the application should give the date of publication of the new version, rather than that of the previously published edition.

910.09

Works first published outside the United States. An application covering a work First published outside the United States should state the date of first publication there, and should be accompanied by a copy or phonorecord of the foreign edition as first published. As a rule, registration for a later published U.S. edition of such work depends upon whether or not new copyrightable material has been added.

911

Problems relating to date of publication. The
following are problems relating to the date of
publication.

911.01
No date of publication. An application in which
no date of publication is given will ordinarily not
be questioned, even though the copies appear to be
in published form. In such cases, registration may
be made without correspondence unless it seems
clear that the applicant fails to understand the
registration requirements and actually wishes
registration of the work as published.

911.02

Incomplete date, An application lacking one or
more of the three necessary elements of the date
of publication (month, day, and year) will not be
accepted. Where the element is missing from the
appropriate space on the application, the Copy-
right Office may either request the information
and add it to the application, or request a new
application. Similarly, an application containing
a date extending over a period of time will not be
accepted.

Examples of unacceptable statements:

1\)
"January, 1981."

2\) "July 20-26, 1981."

3\)
) "Last week of December, 1980."

911.03
Impossible or improbable date. A date of publi-
cation that is impossible, such as "February 30,
1981," is not acceptable. If a date is given on
the application which, if correct, would signify
that the work is in the public domain in the
United States, as for example, "March 3, 1867,"
such application will be questioned.

911.04
Other calendrical systems. When a date of publi-
cation is given which appears to be in terms of a
calendrical system other than the current Gregorian
calendar, the Copyright Office will ask that the
date be stated by the applicant in accordance with
the current Gregorian calendar.

Problems relating to date of publication. (cont 'd)

911
911.05
Separate parts or installments. An application
giving more than one date of publication for the
same work is not acceptable. See section 910.07
above.

911.06

Previous edition or version. An application giving
only the date of publication of a previous edition
or version is not acceptable. See section 910.08
above.

912

Indicia of publication. In general, the presence
of a date of publication in the application will
be accepted as indicating that publication has taken
place, unless information furnished by the applicant,
other information known to the Copyright Office, or
the deposited material raises questions as to whether
publication actually has taken place. In such cases,
the Office will communicate with the applicant.

912.01

Appearance of deposited material. Material sub-
mitted as published will not generally be ques-
tioned on the single ground that such material
is handmade or in preliminary form, e.g.,
photocopies, mimeographed copies, etc., if
publication in that form appears normal in the
light of the nature of the work. However, such
material may be questioned when the copies con-
tain deletions or insertions, or when the copies
appear to be incomplete.

Examples :

1\) Artist's handmade drawing of a commercial
label will be questioned.

2\) Mimeographed copies of a play would normally
not be questioned.

## [END OF CHAPTER 900]

# NOTICE OF COPYRIGHT

Outline of Topics

1001

Applicability of this chapter.

1002

Unpublished works.

1003

Published works.

1003.01

Visually perceptible copies.

1003.02

Phonorecords.

1003.03

Contributions to collective works.

1004

Form of the copyright notice.

1004.01

Visually perceptible copies.

1004.02

Phonorecords of sound recordings.

1004.03

Special provision concerning U.S. Government

works.

1004.04

Limitations in juxtaposition to the copyright
notice.

1004.05

Restricted notice.

1005

Variants of word, symbol, or abbreviation.

1005.01

Visually perceptible copies.

1005.02

Phonorecords of sound recordings.

1006

Year date in the copyright notice.

1006.01

Form of year date.

1006.02
Omitted where required.

1006.03

Earlier than year of publication (antedated).

1006.04

Later than year of publication (postdated) .

1006.05

Dispersed notice: year date.

1006.06
More than one year in notice.

1007

Name in copyright notice.

1007.01

Name as claimant on application.

1007.02

Sound recordings: presumption as to producer's
name in notice.

1007.03

Abbreviation or alternative designation.

1007.04

Unacceptable variants of name, abbreviation,
or alternative designation.

1007.05

Pseudonym in notice.

1007

Name in copyright notice. (cont'd)

1007.06

Deceased person named in notice at time of publication.

1007.07

Identity by reference.

1007.08

Additional names in notice.

1007.09

Separated name.

1008

Omission of copyright notice.

1008.01

Registration.

1009

Error in name.

1010

Error in date.

1010.01

Earlier date.

1010.02

Later date.

1011

Omission of name or date.

1011.01

Separated name.

1011.02

Separated date.

1011.03

Identity by reference.

1012

Publication incorporating United States Government

works.

1013

Affixation and position of the copyright notice.

1013.01

Copies.

1013.02

Phonorecords.

1013.03

Notice not properly affixed.

1013.04

Works published in book form.

1013.05

Periodicals or other serials.

1013.06

Musical works.

1013.07

Single-leaf works.

1013.08

Contributions to collective works.

1013.09

Works reproduced in machine-readable copies.

1013.10

Motion pictures and other audiovisual works.

1013.11

Pictorial, graphic, and sculptural works.

1013.12

Separable parts published in permanent con- tainer.

1013.13

Dust jackets on books.

1013.14

Sound recordings.

1013.15

Multi-part works.

1014

Handwritten, typewritten, or rubber-stamped copy- right notice on published copies or phonorecords.

1015

Legibility of copyright notice.

1016

Microscopic copyright notice.

1017

Concealed copyright notice.

1017.01

Notice visible upon ordinary use.

1018

1019

Notice of renewal copyright.

1020

Notices extraneous to the claim being registered.

[1984]

١
☒

)
☒

1001

Applicability of this chapter. The provisions
of this chapter are applicable only to works first
published on or after January 1, 1978. The Copy-
right Office practices concerning the copyright
notice as it relates to works first published
before that date are found in Compendium I, which
is still in effect for such works.

1002

Unpublished works. No notice of copyright is re-
quired on unpublished works. An unpublished work
which does not bear a notice of copyright will be
accepted for registration. Registration will be
made without correspondence by the Copyright office
for an unpublished work which bears a notice of
copyright, even though the notice may be defective
if used on the work when published.

1003

Published works. As a general rule whenever works
protected under the copyright law are published in
the United States or elsewhere by authority of the
copyright owner, the notice of copyright prescribed
by the law should appear on all publicly distributed
copies from which the work can be visually perceived
and on all publicly distributed phonorecords of sound
recordings. See 17 U.s.C. 401 (a) and 402(a). If a
work is published without notice or with a fatally
deficient notice by authority of the copyright
owner, and if more than five years have elapsed
since such publication, registration is not
possible. See section 1008.01 below.

1003.01

Visually perceptible copies. A visually per-
ceptible copy is one in which a work is fixed
and from which such work can be visually per-
ceived, either directly or with the aid of a
machine or device. Examples of visually
perceptible copies include books, sheet music,
and photographs. Examples of works not embodied
in visually perceptible form include literary,
dramatic, or musical matter fixed in the re-
corded sounds accompanying a motion picture
or other audiovisual work or in phonorecords.
When auch works are published in phonorecords,
no copyright notice is required for the
literary, dramatic, or musical material
embodied in the phonorecords.

## Published works. ( cont'd)

1003.02

Phonorecords. A phonorecord is a material object in which sounds, other than those accompanying a motion picture or other audio- visual work, are fixed and from which the sounds can be perceived, reproduced, or other- wise communicated, either directly or with the aid of a machine or device. Examples include disks, open reels, cassettes, and cartridges. If the sound recording is protected by copy- right, the appropriate notice for a sound recording should be used. See 17 U.S.C. 101, for the definition of sound recordings; see also section 1004.02 of this chapter.

1003.03

Contributions to collective works. A separate contribution to a collective work may bear its own notice of copyright, or a single notice applicable to the collective work as a whole may be sufficient for the separate contribu- tions it contains but not including advertise- ments inserted on behalf of persons other than the owner of copyright in the collective work. See 17 U.S.C. 404 (a). A collective work is one in which a number of separate and independent works are assembled into a collective whole, such as a periodical issue, anthology, or encyclopedia.

1004 Form

of the copyright notice. The form of the notice prescribed by the copyright law.

1004.01

Visually perceptible copies. For visually perceptible copies the notice of copyright shall consist of: 1) the symbol @ (the letter C in a circle), or the word "Copyright," or the abbreviation "Copr.," 2) the year of first publication of the work, and 3) the name of the owner of copyright in the work, or an abbrevia- tion by which the name can be recognized, or a generally known alternative designation of the owner. The year date may be omitted where a pictorial, graphic, or sculptural work, with accompanying text matter, if any, is reproduced in or on greeting cards, postcards, stationery, jewelry, dolls, toys, or any useful articles. See 17 U.S.C. 401 (b).

1004 Form

of the copyright notice.

1004.02 1004.03

Phonorecords of sound recordings. For phono- records of sound recordings the notice shall consist of: 1) the symbol @ (the letter P in a circle), 2) the year date of first publication of the sound recording, and 3) the name of the owner of copyright in the sound recording, or an abbreviation by which the name can be recognized, or a generally known alternative designation of the owner; if the producer of the sound recording is named on the phono- record labels or containers, and if no other name appears in conjunction with the notice, the producer's name shall be considered a part of the notice. See 17 U.S.C. 402 (b) .

Special provision concerning U. S. Govern- ment works. In the case of a work published in copies or phonorecords and consisting pre- ponderently of one or more works of the United States Government, the notice of copyright shall also include a statement identifying, either affirmatively or negatively, those portions of the copies or phonorecords embodying any work or works protected under title 17. 17 U.s.c. 403. If such a limitation is not reflected on the application for registration, the Copyright Office may request the applicant to amend the application. The absence of the statement on the copies or phonorecords, when required, will be considered an omission of notice. See section 1008 of this chapter; see also the definition of a "work of the United States Government" in 17 U.S.C. 101.

1004.04

Limitations in juxtaposition to the copyright

notice. Even though a claim to copyright, as shown in the application, is limited to a portion of the work ( such as new matter), the notice need not specify such a limitation. Where the copyright claim covers less than the entire work, a general notice, e.g., "@ 1981 John Doe, " is sufficient. Where a statement in juxtaposition to the notice limits the claim to portions or features of the work that are copyrightable, the notice

## Form of the copyright notice. (cont'd)

1004.04

Limitations in juxtaposition to the copyright

notice. (cont'd) is sufficient, e.g., "Introduction and Illustrations Copyright 1981 by Popular Publishing Co.," or "Arrangement Copyright 1981 by Newstyle Music Co.". If such limita- tions are not reflected on the application for registration, the Copyright Office will corres- pond to establish the extent of the claim and to have the application amended, if necessary. If the limitation is incorrect, the Copyright Office will annotate the application as follows: "on copyright deposit: [quote statement on deposit]. Application correct; see corres- pondence file."

1004.05

Restricted notice. Even though a statement in juxtaposition to the notice refers only to noncopyrightable matter, the claim will be registered if the application clearly shows that the claim is based on copyrightable subject matter. The same is true where the position of the copyright notice itself indi- cates restriction of the claim to a noncopy- rightable element. In such cases the Copyright Office will send a cautionary letter. If the application does not clearly refer to copy- rightable subject matter, the Copyright Office may either refuse registration or, in appro- priate cases, correspond to determine the basis of the claim. For works published before

January 1, 1978, however, see toplo 4.4.4.II.b of Compendium I.

1005

Variants of word, symbol, or abbreviation.

Unacceptable variants of the symbol @ or the word "Copyright," or of the abbreviation "Copr.," will be treated as an omission of notice. See section 1008 of this chapter. An acceptable

variant will be treated as if the correct symbol,

word, or abbreviation appeared as a part of the notice.

NOTE: In the case of an acceptable variant of the symbols @ or Ø, where registration is sought more than five years after first publication, the claim will be registered under the rule of doubt.

1005

Variants of word, symbol, or abbreviation.
(cont'd)

1005.01

Visually perceptible copies. The notice on
visually perceptible copies should include the
symbol @ ( the letter C in a circle), or the word
"Copyright," or the abbreviation "Copr." 17
U.S.C. 401 (b) (1).

1005.01 (a)

A misspelled or variant form of "Copyright"
or "Copr." may be accepted if it is clear
that copyright is meant. Examples of
variants which are acceptable:

1\)
Copyrighted

2\)
Copywrite

3 )
Copywritten

4\)
Copyright Pending

5 )
Copyright Applied For

6\)
Copyright and Registered

7\)
Registered U. S. Copyright Office

8\) Copy.

9\) Copyr.

1005.01 (b)

The term "All Rights Reserved," or the
like, is not acceptable as an element of
the copyright notice prescribed by U. S.
law. The same is true for such statements
in other languages, e.g., the Spanish
"Todos los Derechos Reservados." However,
the use of such terms in juxtaposition to
an acceptable copyright notice will not
invalidate the notice.

1005.01 (c)
A variant of the symbol @ is accepted only
where it resembles the @ closely enough to
indicate clearly that the copyright symbol
is meant.

Acceptable variants include:

1\) @

2\)
C

3\) (c

4\) c)

5\) @

6\) (c)

1005

Variants of word, symbol, or abbreviation. (cont'd)

1005.01

Visually perceptible copies. (cont'd)

1005.01 (c)

( cont'd)

Unacceptable variants include:

1) co

2) C

3) c/O

4) @ ☒

5) G

6) ☒ a

7) [c]

1005.02

Phonorecords of sound recordings. The notice

on phonorecords of sound recordings should include the symbol @ ( the letter p in a circle) . A variant of the symbol @ is acceptable only where it resembles the @ closely enough to indicate clearly that the sound recording copyright symbol is meant.

Acceptable variants include:

1) ₱

2) P

3) (P

4) P)

5) P

6) (P)

Unacceptable variants include:

1) ₽

2) ☒ P

3) [P]

4) @, or any variant form of the standard copyright symbol

5) "Copyright, " "Copr.," or any variant thereof 6) Audible notices

1006

Year date in the copyright notice. As a general

rule the copyright notice both for copies (17 U.S.C. 401 (b) (2)) and for phonorecords of sound recordings (17 U.S.C. 402 (b) (2) ) must include the year of first publication of the work. The notice on copies of a compilation or derivative work incorporating

# 1000-7

1006

Year date in the copyright notice. (cont'd)

previously published material requires only the year date of first publication of the compilation or derivative work. 17 U.S.C. 401(b) (2). The year date may be omitted where a pictorial, graphic, or sculptural work, with accompanying text, if any, is reproduced in or on greeting cards, postcards, stationery, jewelry, dolls, toys, or any useful articles. 17 U.S.C. 101 and 401 (b) (2). NOTE: A label is not considered a useful article, from which the year date may be omitted. Those textiles and fabrics which are useful articles do not require a year date; however, where a copyright notice applicable to a textile or a fabric which is a useful article is contained on a label affixed to the textile or fabric, and the year date is omitted from the notice, such notice shall be acceptable insofar as it applies to the textile or fabric. See section 1013.11(4) (iii) below.

1006.01

Form of year date. A year date is acceptable In any of the following forms: 1) Arabic numerals, e.g., 1981; 2) abbreviations of Arabic numerals, e.g., '81; 3) Roman numerals e.g., MCMLXXXI; 4) spelled out in words instead of numerals, e.g., Nineteen Hundred Eighty-One.

1006.02

Omitted where required. Where copies or phono- records publicly distributed by authority of the copyright owner contain no date that could reasonably be regarded as a part of the notice, the work is considered to have been published without any notice. 17 U.S.C. 405; see also section 1008 of this chapter.

1006.03

Earlier than year of publication (antedated). Where the year date in the notice on copies or phonorecords is earlier than the year in which publication first occurred (see section 1010 of this chapter), it is considered to be an error in date governed by 17 U.S.C. 406(b) . The application will be annotated to indicate the date in the notice. A warning letter may be sent to the applicant pointing out the error in date and the consequences it may

1006 Year

date in the copyright notice. (cont'd)

1006.03

Earlier than year of publication (antedated. (cont a) have. These rules apply equally to those works which do not require a year date in the notice but which contain a year date earlier than the year in which first publi- cation occurred.

1006.04

Later than year of publication (postdated). Where the year date in the notice on copies or phonorecords is no more than one year later that the year in which publication first occurred, the claim will be registered without annotation or correspondence. Where the year is more than one year later than the year in which publication first occurred, the work is considered to have been published without any notice under 17 U.S.C. 406(c) and is governed by 17 U.S.C. 405. See section 1008 of this chapter. Thus, if the application is submitted within five years of first publication, the claim will be registered without annotation; however, a warning letter will be sent. If registration is requested after five years measured from the date of first publication, registration will be refused. These rules apply equally to those works which do not require a year date in the notice, but which contain a year date which is later than the year in which first publication occurred. 17 U.S.C. 401(b) (2); see also section 1010 of this chapter.

1006.05

Dispersed notice: year date. The elements of notice, Including the year date when required, should preferably appear together as a single continuous statement, e.g., @ 1981 ABC Corporation. However, a year date that is present but separated from the rest of the notice is acceptable if it is an appropriate date and is reasonably identi- fiable as part of the notice. Such a year date is clearly acceptable if it is the

1006.05

Year date in the copyright notice. ( cont'd)

Dispersed notice: year date. (cont'd)

only one appearing on the same page as the
other elements. Also, an appropriate year
date prominently displayed elsewhere than
on the same page as the other elements is
acceptable, if it can reasonably be con-
sidered part of the notice. Examples of
acceptable year dates include the year
date in the Library of Congress Catalog
Card Number and the year in the issue date
on a periodical. The presence of intervening
matter need not necessarily preclude con-
sidering a year date a part of the notice.
In those cases where a year date is required
and no year date can be reasonably identi-
fied as part of the notice, the work will be
considered to have been published without
notice and will be governed by 17 U.S.C. 405.
See section 1008 of this chapter; see also
section 1011.01 concerning separated names.

1006.06

More than one year date in notice. A notice
may sometimes contain, in addition to the year
date of first publication of the version being
registered, earlier year dates indicating an
earlier unpublished registration, or the
presence of previously published matter in the
work; or they might signify nothing. Where
there is more than one year date in the notice
and none of them is the year date of first
publication, the Copyright Office will dis-
regard, for purposes of determining the
adequacy of the notice, all but the most recent
date.

1007

Name in copyright notice. As a general rule the
copyright notice for both copies and phonorecords
of sound recordings must include the name of the
owner of copyright in the work, or an abbrevia-
tion by which the name can be recognized, or a
generally known alternative designation of the
owner. 17 U.S.C. 401(b) (3) and 402(b) (3). ordi-
narily, the Copyright Office will not question
a name appearing as part of the notice, if it
appears sufficient to identify the owner of
copyright.

1007

Name in copyright notice. (cont'd)

1007.01

Name as claimant on application. The copyright
"claimant" for registration purposes is the
author of the work for which registration is
sought, or a person or organization that has
obtained ownership of all rights under the
copyright initially belonging to the author.
See 37 C.F.R. 202.3(a) (3). The names given
in the notice as owner of copyright and in
the application as claimant may be completely
different and yet both may be correct. The
Copyright Office will ordinarily not question
an application unless information from the
copies or phonorecords, from the application,
or from other sources indicates that the name
given as claimant on the application may not be
the owner of copyright or the author.

1007.02

Sound recordings: presumption as to producer's
name in notice. If the producer of a sound
recording is named on the phonorecord labels
or containers, and if no other name appears
in conjunction with the notice, the producer's
name shall be considered as part of the notice.
17 U.S.C. 402(b) (3) . The producer need not
be identified as producer on the labels or
containers.

Example :

On left side of the label on a 45 rpm disk:
₾ 1981

On the right side of the label:
Doe Recording Company
Produced and arranged by Jay Jones
Along the bottom of the label :
Mfg. by Doe Recording Co.

Application names Doe Recording Co. as
author by virtue of being the employer
in a work made for hire.

Name in copyright notice. (cont'd)

1007.02

Sound recordings: presumption as to producer's
name in notice. (cont'd)

Example: (cont'd)

There is no name that could reasonably be
considered a part of the notice; therefore,
the producer presumption applies. Since
Doe Recording Co. is an employer in a work
made for hire, it would be considered the
producer and its name would be considered
as a part of the notice.

1007.03

Abbreviation or alternative designation. The
statute permits the use of an abbreviation by
which the copyright owner can be recognized
or a generally known alternative designation.
17 U.S.C. 401 (b) (3) and 402 (b) (3). In such a
case, the application should give the legal
name of the claimant, and preferably should
specify the relationship between the name and
what appears in the notice. A generally known
alternative designation may be either part of
the full name, e.g., "Atlantic" for Atlantic
Recording Corporation, or a completely differ-
ent name, e.g., "Melodium" for Genius Recording
Co., or well known initials, e.g., "NBC" for
National Broadcasting Company. An abbreviation
by which the name of the copyright owner can be
recognized should generally include an abbrevi-
ated part of each significant word in the full
name, e.g., "Merc. Rec." for Mercury Records
Corporation. If what is in the notice reasonably
appears to identify the copyright owner to those
likely to come in contact with distributed copies
or phonorecords, the notice will be considered
acceptable. If this is not the case, the same
action is taken as where there is no name in
the notice. See section 1011 of this chapter.

1007.04

Unacceptable variants of name, abbreviation,
or alternative designation. Where the name,
abbreviation of the name, or an alternative
designation of the owner in the notice is so

1007

Name in copyright notice. (cont'd)

1007.04

Unacceptable variants of name, abbreviation, or alternative designation. (cont'd)

vague, truncated, or ambiguous that it could not be considered to identify any person or entity as an owner of the copyright, the same action is taken as when no name appears in the notice. See 17 U.S.C. 406(c); see also section 1011 of this chapter.

1007.05

Pseudonym in notice. A pseudonym is a fictitious or assumed name. Where the name appearing in the copyright notice is known to be a pseudonym, the Copyright Office will inquire as to whether or not the individual is generally known by that name. Where the individual is generally known by the pseudonym appearing in the notice, the copyright notice will be considered accept- able. Where, however, the individual is not generally known by the name in the notice, the work will be treated as being published with no name in the notice. See section 1011 below.

1007.06

Deceased person named in notice at time of publication. Where the Copyright Office has knowledge that the person named in the notice died before publication of the work, the same action is taken as when there is an error in the name in the notice. 17 U.S.C. 406 (a) ; see section 1009 of this chapter.

1007.07

Identity by reference. See section 1011 of this chapter.

1007.08

Additional names in notice. Ordinarily, where two or more names appear in the notice, but only one is given as claimant in the appli- cation, the claim will be accepted for regis- tration without correspondence.

1007.09

Separated name. See section 1011 of this chapter.

## 1000-13

1008

Omission of copyright notice. Where the notice is omitted from more than a relatively small number of copies or phonorecords distributed by authority of the copyright owner, and registration is being made within five years of the date of publication without notice, the Copyright Office may warn that the law requires, in addition to registration, that a reasonable effort must be made to add the notice to all copies or phonorecords that are distributed to the public in the United States after the omission has been discovered. See 17 U.S.C. 405 (a) . Registration. Registration is not possible for works published without notice or with a fatally deficient notice by authority of the copyright owner, if more than five years have elapsed since such publication. There are, however two exceptions to this general rule: 1) where the notice has been omitted from no more than a relatively small number of copies or phonorecords distributed to the public; or 2) where the notice has been omitted in vio- lation of an express requirement in writing that, as a condition of the copyright owner's authorization of the public distribution of copies or phonorecords, they contain the prescribed copyright notice. In these two instances, there is no need for registration to correct the omission. Registration in these cases may be made at any time during the subsistence of the copyright. See 17 U.S.C. 405 (a).

1008.01

1009

Error in name. Where the person named in the copy- right notice on copies or phonorecords publicly distributed by authority of the copyright owner is not the owner of copyright, the validity and ownership of the copyright are not affected. See 17 U.S.C. 406(a) . In such cases, therefore, registration can be made for the work at any time during the subsistence of the copyright, naming as claimant the owner of copyright at the time of registration. See 37 C.F.R. 202.03(a) (ii), and section 1007.01 of this chapter.

1010

Error in date. Where the year date is required,
the notice of copyright should contain the year
of first publication of the work. See 17 U.S.C.
401(b)(2) and 402(b)(2). The notice provisions
of these sections apply to all copies or phono-
records publicly distributed on or after January 1,
1978. See section 108 of the Transitional and
Supplementary Provisions of the current Act. For
works which were registered as unpublished before
January 1, 1978, and first published after that
date, the copyright notice should contain the year
date in which copyright was secured by registration
in unpublished form. See also Chapter 900: PUBLI-
CATION.

1010.01

Earlier date. Generally, the use in the notice
of a year date that is earlier than the year in
which publication first occurred does not affect
the validity of the copyright. See 17 U.s.c.
406 (b). However, the use of an earlier date
does affect the duration of copyright for
anonymous works, pseudonymous works, and works
made for hire, whose copyright term is computed
under 17 U.S.C. 302(c). In such cases, the
term is computed from the year date appearing
in the notice rather than from the actual year
of first publication. See section 1006.03 of
this chapter for the Copyright Office practice
regarding an earlier year date in the notice.

1010.02

Later date. The use in the notice of a year
date that is later than the year in which pub-
lication first occurred does not result in the
immediate loss of copyright. See 17 U.S.c.
406 (b). However, where the year date is more
than one year later than the year in which
publication first occurred, the work is con-
sidered to have been published without any
notice. See 17 U.S.C. 405; see also section
1006.04 of this chapter for the Copyright
Office practice regarding a later year date in
the notice.

### 1011

Omission of name or date. When copies or phono-
records publicly distributed by authority of the
copyright owner contain no name or no date (when
required) that could reasonably be considered a
part of the notice, the work is considered to have
been published without any notice of copyright and
is governed by 17 u.s.c. 405. See sections 1004.01
and 1008 of this chapter.

1011.01
Separated name. When copies or phonorecords
contain a name, abbreviation by which the name
can be recognized, or a generally known alterna-
tive designation of the copyright owner, that is
separated from the other elements of the notice,
but that could reasonably be considered part of
the notice, the notice is acceptable. Where the
copies or phonorecords contain two or more
names abbreviations, or alternative designa-
tions that are equally identifiable with the
rest of the notice, the notice is sufficient
if any of the names, abbreviations, or alter-
native designations is capable of identifying
any person or entity as an owner of copyright.
If none of the names, abbreviations, or alter-
native designations is identifiable with the
rest of the notice, the same action is taken
as where there is an omission of the copyright
notice. 17 U.S.C. 406 (c). See section 1008
of this chapter.

1011.02

Separated date. See section 1006.05 of this
chapter.

1011.03

Identity by reference. A notice that identi-
fies the copyright owner by reference, such as,
for example, "Copyright by author, " or "Copy-
right by the publisher," is considered accept-
able by the Copyright Office, if the copies or
phonorecords contain a name, abbreviation, or a
generally known designation which is identified
by the reference as the author, publisher, or
other referenced person or legal entity. If no
such name, abbreviation, or generally known
designation can be identified on the copies or
phonorecords, the same action is taken as where
there is an omission of the copyright notice.
17 U.S.C. 406(c) and 405. See section 1008 of
this chapter.

# 1000-16

1012

Publication incorporating United States Government

works. Whenever a work is published in copies or phonorecords consisting preponderantly of one or more works of the United States Government, the notice of copyright shall also include a statement identifying, either affirmatively or negatively, those portions of the copies or phonorecords embodying any work or works protected under title 17, United States Code. See 17 U.S.C. 403. The absence of the required statement is treated as an omission of notice. See 17 U.S.C. 405 and section 1008 of this chapter.

1013

Affixation and position of the copyright notice. The law states that the notice shall be affixed on publicly distributed copies and phonorecords in such manner and location as to give reasonable notice of the claim to copyright. 17 U.S.C. 401(c) and 402(c). The law directs the Register of Copy- rights to prescribe by regulation, as examples, specific methods of affixation and positions of the notice on various types of works that will satisfy this requirement as to copies. These specifications are not to be considered exhaustive. In all cases, the acceptability of a notice depends upon its being permanently legible to an ordinary user of the work, and affixed to the copies in such manner and position that it is not concealed from view upon reasonable examination.

1013.01

Copies. Where, in a particular case, a notice appears in a place on the work other than one of the precise locations prescribed by regula- tion for copies, but the Copyright Office con- siders that a person looking in one of those precise locations would be reasonably certain to find the notice, that notice will be acceptable.

1013.02

Phonorecords. For phonorecords of sound recordings, the law states that the notice must be placed on the surface of the phono- record, or on the phonorecord label or con- tainer, in such manner and location as to give reasonable notice of the claim to copyright. See 17 U.S.C. 402 (c).

1013

Affixation and position of the copyright notice.
Tcont'd)

1013.03

Notice not properly affixed. A notice not
affixed to copies or phonorecords in such
manner and location as to give reasonable
notice of the claim to copyright is treated
as an omission of notice. 17 U.S.C. 405. See
section 1008 of this chapter.

1013.04

Works published in book form. In the case of
works published in book form, a notice repro-
duced on the copies in any of the following
positions is acceptable.

1\) The title page, if any;

2\)
The page immediately following the title
page, if any;

3\)
Either side of the front cover, if any;
or, if there is no front cover, either
side of the front leaf of the copies!

4\)
Either side of the back cover, if any;
or, if there is no back cover, either
side of the back leaf of the copies;

5\)
The first page of the main body of the
work;

6\)
The last page of the main body of the
work;

7\)
Any page between the front page and the
first page of the main body of the work,
if: (i) there are no more than ten pages
between the front page and the first page
of the main body of the work; and (ii) the
notice is reproduced prominently and is set
apart from the other matter on the page
where it appears;

8\)
Any page between the last page of the main
body of the work and back page, if: (i)
there are no more than ten pages between
the last page of the main body of the work

1013

Affixation and position of the copyright notice

(cont 1013.04

a) Works published in book form. ( cont'd)

8) ( cont'd)

and the back page; and (ii) the notice is reproduced prominently and is set apart from the other matter on the page where it appears.

As used in connection with the position of the notice, the term "leaf" means a sheet of paper or the like, which may exist as a separate item or as a part of a book or similar publication. A "page" is a single side of a leaf.

1013.05

Periodicals or other serials. In the case of a work published as an issue of a periodical or other serial, in addition to any of the loca- tions acceptable for works published in book form (see section 1013.04 of this chapter), a notice is acceptable if it is located 1) as part of, or adjacent to, the masthead, or on the page containing the masthead; or 2) adjacent to a prominent heading, appearing at or near the front of the issue, containing the title of the periodical or other serial and any combination of the volume and issue number and date of the issue.

1013.06

Musical works. In the case of a musical work published in visually perceptible copies, in addition to any of the locations acceptable for works published in book form or as a periodical or other serial (see sections 1013.04 and 1013.05 of this chapter), a notice is accept- able if it is located on the first page of music.

1013.07

Single-leaf works. In the case of single-leaf works, a notice reproduced on the copies any- where on the front or back of the leaf is acceptable.

# 1000-19

1013

Affixation and position of the copyright notice.

1013.08

(cont d)

Contributions to collective works. For a separate contribution to a collective work to be considered to "bear its own notice of copyright," as provided by 17 U.s.C. 404, a notice reproduced on the copies in any of the following positions is acceptable:

1) Where the separate contribution is repro- duced on a single page, a notice is accept- able if it appears: i) under the title of the contribution on that page; ii) adjacent to the contribution; or iii) on the same page, if through format, wording, or both, the application of the notice to the par- ticular contribution is made clear ; 2) Where the separate contribution is repro- duced on more than one page of the collec- tive work, a notice is acceptable if it appears: i) under a title appearing at or near the beginning of the contribution; ii) on the first page of the main body of the contribution; iii) immediately following the end of the contribution; or iv) on any of the pages where the contribution appears, if: i) the contribution is reproduced on no more than 20 pages of the collective work; ii) the notice is reproduced prominently and is set apart from other matter on the page where it appears; and iii) through format, wording, or both, the application of the notice to the particular contribu- tion is made clear.

1013.08 (a)

Musical work. Where the separate contri- bution is a musical work, in addition to any of the locations listed above in para- graphs 1 and 2, a notice is acceptable if it is located on the first page of music of the contribution.

# 1000-20

1013

(cont 'd) Affixation and position of the copyright notice.

1013.08

Contributions to collective works. (cont"a)

1013.08 (b)

Alternative position. As an alternative to placing the notice on one of the pages where a separate contribution itself appears, the contribution is considered to "bear its own notice" if the notice appears clearly in juxtaposition with a separate listing of the contribution by full title and author, and is located either: i) on the page bearing the copyright notice for the col- lective work as a whole, if any; or ii) in a clearly identified and readily accessible table of contents or listing of acknowl- edgments appearing near the front or back of the collective work as a whole.

1013.09

Works reproduced in machine-readable copies. For works reproduced in machine-readable copias, such as magnetic tapes or disks, punched cards, or the like, from which the work cannot ordi- narily be visually perceived except with the aid of a machine or device, each of the following constitute examples of acceptable methods of affixation and position of the notice: 1) A notice embodied in the copies in machine-readable form in such manner that on visually perceptible printouts it appears either with or near the title, or at the end of the work; 2) A notice that is displayed at the user's terminal at sign-on;

3) A notice that is continuously on terminal display; or

4) A legible notice reproduced durably, so as to withstand normal use, on a gummed or other label securely affixed to the copies or to a box, reel, cartridge, cassette, or other container used as a permanent recep- tacle for the copies.

## Affixation and position of the copyright notice. (cont d)

### 1013.09

## Works reproduced in machine-readable copies. ( cont'd)

Works published in a form requiring the use of
a machine or device for purposes of optical
enlargement, such as film, filmstrips, slide
films, and works published in any variety of
microform, and works published in any visually
perceptible form but used in connection with
optical scanning devices, are not within this
category. See also section 1017 below.

1013.10

Motion pictures and other audiovisual works.

The following constitute examples of acceptable
methods of affixation and positions of the
copyright notice on motion pictures and other
audiovisual works:

1\) A notice that is embodied in the copies by
a photomechanical or electronic process, in
such a position that it ordinarily would
appear whenever the work is performed in
its entirety, and that is located: (i)
with or near the title; (ii) with the cast,
credits, and similar information; (iii) at
or immediately following the beginning of
the work; or (iv) at or immediately pre-
ceding the end of the work.

2\)
In the case of an untitled motion picture
or other audiovisual work whose duration is
sixty seconds or less, in addition to any
of the locations listed in paragraph (1)
above, a notice that is embodied in the
copies by a photomechanical or electronic
process, in such a position that it ordi-
narily would appear to the projectionist or
broadcaster when preparing the work for
performance is acceptable if it is located
on the leader of the film or tape immedia-
tely preceding the beginning of the work.

# 1000-22

1013

Affixation and position of the copyright notice.

1013.10

(cont d) Motion pictures and other audiovisual works. (cont'd) 3) In the case of a motion picture or other audiovisual work that is distributed to the public for private use, the notice may be affixed, in addition to the locations specified in paragraph (1) above, on the housing or container, if it is a permanent receptacle for the work. See 37 C.F.R. 201.20(h).

1013.11

Pictorial, graphic, and sculptural works. The following constitute examples of acceptable methods of affixation and positions of the copyright notice on various forms of pictorial, graphic, and sculptural works:

1) Where a work is reproduced in two-dimensional copies, a notice affixed directly or by means of a label cemented, sewn, or otherwise attached durably, so as to withstand normal use, on the front or back of the copies, or to any backing, mounting, matting, framing, or other material to which the copies are durably attached, so as to withstand normal use, or in which they are permanently housed, is acceptable.

2) Where a work is reproduced in three- dimensional copies, a notice affixed directly or by means of a label cemented, sewn, or otherwise attached durably, so as to withstand normal use, to any visible portion of the work, or to any base, mounting, framing, or other material on which the copies are durably attached, so as to withstand normal use, or in which they are permanently housed, is accept- able.

## Affixation and position of the copyright notice. (cont'd)

1013.11

Pictorial, graphic, and sculptural works.
(cont'd)

3\)
Where, because of the size or physical
characteristics of the material in which
the work is reproduced in copies, it is
impossible or extremely impractical to
affix a notice to the copies directly or
by means of a durable label, a notice is
acceptable if it appears on a tag that is
of durable material, so as to withstand
normal use, and that is attached to the
copy with sufficient durability that it
will remain with the copy while it is
passing through its normal channels of
commerce.

4\)
Where a work is reproduced in copies con-
sisting of sheet-like or strip material
bearing multiple or continuous reproduc-
tions of the work, the notice may be
applied: (i) to the reproduction itself;
(ii) to the margin, selvage, or reverse
side of the material at frequent and
regular intervals; or (iii) if the material
contains neither a selvage nor a reverse
side, to tags or labels, attached to the
copies and to any spools, reels, or con-
tainers housing them in such a way that a
notice is visible while the copies are
passing through their normal channels of
commerce.

See 37 C.F.R. 201.20 (i) (1-4) .

1013.12

Separable parts published in permanent container.
If the work is permanently housed in a container
such as a game or puzzle box, a notice reproduced
on the permanent container is acceptable.

37 C.F.R. 201.20 (1) (5) .

## Affixation and position of the copyright notice. (cont'd)

1013.13

Dust jackets on books. A notice of copyright on the dust jacket of a book is not acceptable as notice for the book, since the dust jacket is not permanently attached to the book. Also, a notice of copyright appearing in a book, even though referring to a dust jacket or material appearing on a dust jacket, is not acceptable as notice for the dust jacket or any material appearing on that dust jacket. These cases will be treated as omissions of notice. See 17 U.S.C. 405, and section 1008 of this chapter.

1013.14

Sound recordings. In general, in the case of sound recordings the notice should be placed on the surface of the phonorecord, or on the phonorecord label or container. 17 U.S.C. 402 (c). As a rule, a notice anywhere on the surface of the phonorecord, the label, or a container will be acceptable. A container includes the jacket housing a disk or the box housing a reel-to-reel tape, a cartridge, or a cassette, but does not include an outer mailing or packaging box, envelope, or other wrapper intended for disposal once the phonorecord is put into use.

1013.15

Multi-part works. One notice per unit of pub- lication is adequate for both copies or phono- records, provided that a proper notice is used and that it is affixed in a manner and location that gives reasonable notice of the claim to copyright in the entire unit of publication. For example: for a phonorecord a notice on the first disk of a 12-disk collection is accept- able, but a notice only on the middle disk of a 12-disk collection is not acceptable; for music a notice properly positioned on the score of a unit consisting of a score and parts is accept- able for the entire unit, but a notice only on one or more of the parts is not acceptable for the unit; for a multimedia kit, a notice on the permanent container or box in which it is housed is acceptable.

Handwritten, typewritten, or rubber-stamped copy-
right notice on published copies or phonorecords.
Where such notice appears on deposited copies or
phonorecords, the Copyright Office will not ques-
tion the notice, if registration is sought within
five years of first publication. However, where
registration of a claim to copyright is sought more
than five years after the date of first publica-
tion, the Copyright Office will correspond to
determine whether such notice appeared on the
copies or phonorecords as published earlier.

1015
1016

Legibility of copyright notice. A blurred notice
will be acceptable if it is legible. But a notice
so badly blurred as to be illegible will be treated
as an omission of notice. See 17 U.S.C. 405 and
section 1008 of this chapter.

Microscopic copyright notice. In general, a notice
so small that it cannot be read without a magnifying
glass is considered unacceptable, and the claim
will be treated as if publication of the work had
occurred without notice. See 17 U.S.C. 405 and
section 1008 of this chapter. Where, however, the
work itself requires magnification for its ordinary
use, e.g., a microfilm, microcard, or motion
picture film, a notice that is readable when so
magnified is acceptable.

1017

Concealed copyright notice. A notice which is
permanently covered up so that it cannot be seen
without tearing the work apart is considered
unacceptable, and the claim will be treated as
if publication of the work had occurred without
notice. See 17 U.S.C. 405 and section 1008 of
this chapter.

Examples :

1\) A notice which the Copyright Office is told
is on the margin or back of a painting but
which is concealed under a permanent frame
or mat.

2\)
A notice which the Copyright Office is told
is on the bottom of a figurine cemented on a
base that conceals the notice.

1017

Concealed copyright notice. (cont'd)

Examples: (cont'd)

3\) A notice on a print used for a calendar, with
the calendar pad securely pasted down over the
notice.

NOTE: The acceptability of a notice depends upon
its being permanently legible to an ordinary user
of the work under normal conditions of use, and
affixed to the copies in such manner and position
that, when affixed, it is not concealed from view
upon reasonable examination.

1017.01

Notice visible upon ordinary use. A notice
which, though not visible on casual inspection
of the work, becomes visible upon ordinary use
of the work is acceptable.

Examples :

1\) A revolving set of disks on which the notice
( as well as some or all of the copyright
matter) is concealed when the disks are in
starting position, but is revealed upon their
manipulation as directed.

2\) A print used for a calendar, with a calendar
pad suspended over the notice which is seen
when the pad is lifted.

1018

Copyright notice: reverses, Where the deposited
work, such as a mold or decal, is the reverse of
the product that is intended to result from its
use, the notice is acceptable even though printed
in reverse.

1019

Notice of renewal copyright. The copyright law
does not provide for a special or additional copy-
right notice for published works that are in their
renewal term. Thus, the continued use of the
original form of notice on the publicly distributed
copies of published works in their renewal term is
considered sufficient to maintain the validity of

1019

Notice of renewal copyright. (cont'd)

the copyright in such works. However, a notice
which also refers to the fact of renewal may be
used. Such a notice might read as follows:

Notices extraneous to the claim being registered.
The Copyright Office will generally disregard and
refrain from commenting upon copyright notices
having no relationship to the claim for which
registration is being made.

[END OF CHAPTER 1000]

)

# ELIGIBILITY

## Outline of Topics

1101

### Applicability of this chapter.

1101.01

Sound recordings.

1102

Definitions.

1102.01

Author.

1102.02

Domicile.

1102.03

First publication.

1102.04

National.

1102.05

Producer of phonograms.

1102.06

Sovereign authority of a foreign nation.

1102.07

Stateless.

1102.08

United States.

1102.09

Universal Copyright Convention.

1103

### Statutory provisions.

1103.01

Unpublished works.

1103.02

Published works.

1103.03

1104

### Multilateral copyright treaties to which the United States is a party.

1104.01

Mexico City Convention of 1902.

1104.02

Buenos Aires Convention of 1910.

1104.03

Universal Copyright Convention.

1104.04

Phonogram Convention.

1105

Presidential proclamations.

1105.01

Proclamations issued under the current Act.
Continuance of earlier proclamations.

1105.02

1105.03

Coverage of earlier proclamations.

1106

Existence of copyright relations unclear.

1107

1108

Authors: particular situations.

1108.01

More than one author.

1108.02

More than one nationality.

1108.03

Work made for hire.

1108.04

Nationality and domicile of corporations and similar organizations.

1108.05

Compilations and derivative works.

1108.06

Stateless.

1108.07

United States

1108.08

Territorial areas of the United States.

1108.09

Anonymous and pseudonymous works.

1108.10

First publication after death of author.

1109

Time when eligibility is determined.

1109.01

Registered as unpublished: ineligible when published.

1109.02

Change in nationality or domicile after publi- cation.

1109.03

Works distributed only in the form of phono- records before 1978.

1110

Acceptable statements of nationality, domicile,

and nation of first publication.

1111

Some general examples illustrating basic principles.

1101

Applicability of this chapter. This chapter
concerns the registrability of works under the
provisions of the copyright law relating to
national origin. This chapter is applicable
to unpublished works, whenever created, and to
works published on or after January 1, 1978.
Compendium I should be consulted for an explana-
tion of practices concerning eligibility for
works, other than sound recordings, published
before January 1, 1978.

1101.01

Sound recordings. In general, this chapter
applies to sound recordings as well as to
other works. However, sound recordings whose
eligibility for U.S. copyright protection
depends solely upon the provisions of the
Universal Copyright Convention (ucc) are not
registrable. Regarding the UCC, see sections
1102.09 and 1104.03 below.

1102

Definitions. The following are definitions of
terms used in this chapter.

1102.01

Author. The "author" is the person who
prepared the material covered by the copy-
right claim except that in the case of a
work made for hire, the employer or other
person for whom the work was prepared, is
considered to be the author. Thus, where a
work is made for hire, it is the nation-
ality or domicile of the employer or other
person for whom the work was prepared,
rather than the nationality or domicile of
the employee, which may serve as a basis for
determining eligibility for registration.

1102.02

Domicile. "Domicile" is the place where a
person has a fixed and permanent residence
with an intention to continue that residence
for an unlimited time and to which such
person, whenever absent, has the intention
of returning. Mere residence is not the
equivalent of "domicile," and therefore
cannot serve as a basis for determining
eligibility.

1102

Definitions. (cont'd)

1102.03

First publication. The date of "first publication" is the earliest date on which, by authority of the copyright owner, (a) copies or phonorecords of a work are dis- tributed to the public by sale or other transfer of ownership, or by rental, lease, or lending, or (b) an offer is made to distribute copies or phonorecords to a group of persons for further distribution, public performance, or public display. If a work is first published on the same date in more than one country, ordinarily the application for registration may give the name of any such country as the nation of first publication of the work. However, if one of the countries is the United States, the application should give "United States" as the nation of first publication. The Copyright Office will generally not ques- tion a statement in an application giving, as the nation of first publication, a country which is one of those where first publication provides a basis for eligibi- lity, even though the Office is informed that the work was also first published on the same date in one or more other coun- tries where first publication would not offer a basis for eligibility.

1102.04

National. In general, the term "national" means (a) a citizen of a nation, or (b) a person who, although not a citizen, never- theless owes permanent allegiance to a nation. Citizens of the United States are those persons who are citizens in accor- dance with the U.S. Constitution or Federal statutes, including persons born in Guam, the U.S. Virgin Islands, and Puerto Rico; certain persons are by Federal statute nationals but not citizens of the United States, including persons born in the out- lying possessions of the United States; in addition, all U.S. citizens are also nationals of the United States. See 8 U.S.C. 1101.

1100-3

1102

Definitions. (cont'd)

1102.05-

Producer of phonograms. The "producer of a phonogram" is the person who, or the legal entity which, first fixes the sounds of a performance or other sounds. Article 1 (b), Convention for the Protection of Producers of Phonograms Against Unauthorized Dupli- cation of Their Phonograms, 25 U.S.T. 309, 325, T. I.A.S. No. 7808 (Done at Geneva Oct. 29, 1971; entered into force in the United States Mar. 10, 1974).

1102.06

Sovereign authority of a foreign nation. A sovereign authority of a foreign nation" is a governmental agency or subdivision of a foreign nation, e.g., a ministry of the government of Norway, or a province of Canada.

1102.07

Stateless. A stateless person is a person who has no nationality, either as the result of never having acquired nationality in any nation, or as the result of having effec- tively renounced or having been deprived of his or her former nationality without having, as yet, become a national of any nation.

1102.08

United States. The "United States," when used in a geographical sense, comprises the several States, the District of Columbia and the Commonwealth of Puerto Rico, and the organized territories under the juris- diction of the United States Government. 17 U.S.C. 101.

1102.08 (a)

Organized territories. The "organized territories under the jurisdiction of the United States Government" are those for which the Congress has provided organic acts which serve the same purpose as do the constitutions of the States. The organized territories include Guam and the U.S. Virgin Islands.

1102

Definitions. (cont'd)

1102.08

United States. (cont'd)

1102.08 (b)

Other territorial areas. Other terri- torial areas under the jurisdiction of the U.S. Government include: (a) the unorganized territories such as American Samoa, (b) trust territories such as the Trust Territory of the Pacific Islands, and (c) other posses- sions such as numerous small islands. Since the status of a number of the territorial areas which at present are not among the organized territories is in the process of being changed ( such as the status of the Northern Mariana Islands), consultation with other U.S. Government agencies or further study by the Copyright Office may be necessary when registration of a work depends upon the status of such an area.

1102.09

Universal Copyright Convention. The Uni- versal Copyright Convention (UCC) is a multilateral treaty on copyright to which the United States and a considerable number of other nations have adhered. The origi- nal version of the Convention, done at Geneva, entered into force September 16, 1955. The revised version, done at Paris, entered into force July 10, 1974. Since the United States is a party to both versions, adherence by a foreign nation to either version may serve as the basis of eligibility for protection under the provisions of the U.S. copyright law relating to national origin. See also section 1104.03 below. Concerning sound recordings, see section 1101.01 above.

1103

Statutory provisions. The following are the statutory provisions which establish eligibi- lity. If a work is eligible under any of these provisions, the fact that it fails to meet any or all of the others will not prevent regis- tration.

1100-5

1103

Statutory

provisions.

(cont'd)

1103.01

while regard

domicile. See 17 U.S.C. 104(a). Unpublished works. The work of any author, unpublished, is eligible for regis- tration as an unpublished work without to such author's nationality or

1103.02

work

following conditions. Published works. The work of any author published on or after January 1, 1978, is eligible for registration as a published only if it meets at least one of the

1103.02 (a)

U.S. national or domiciliary. On the date of first publication, one or more of the authors is a national or domici- liary of the United States. 17 U.s.C. 104 (b)(1).

1103.02 (b)

Foreign national or domiciliary. On the date of first publication, one or more authors is a national, domicili- ary, or sovereign authority of a foreign nation which is a party to a copyright treaty to which the United States is also a party. 17 U.S.C. 104 (b)(1). See section 1104 below.

1103.02(c)

Stateless person. On the date of first publication, one or more of the authors is a stateless person, wherever that person may be domiciled. 17 U.S.C. 104 (b) (1).

1103.02

(d)

First publication in the United States.

The work is first published in the United States. 17 U.S.C. 101 and 104(b) (2).

1103.02 (e)

First publication in a UCC country. The work is first published in a foreign nation that, on the date of first pub- lication, is a party to either the Geneva or Paris text of the Universal Copyright Convention (ucc) . 17 U.s.c. 104(2), See section 1104.03 below.

1100-6

1103

Statutory provisions. (cont'd)

1103.02

Published works. (cont'd)

1103.02 (f)

United Nations or the Organization of American States. The work is first published by the United Nations or any of its specialized agencies, or by the Organization of American States. 17 U.S.C. 104 (b) (3). NOTE: There is no requirement, as a basis for eligibi- lity, that one of these organizations be the author, copyright claimant, or copyright owner, but only that the work be first published by one such organi- zation.

1103.02 (g)

Presidential proclamation. The work comes within the scope of a Presiden- tial proclamation. 17 U.S.C. 104(b) (4). See section 1105 below.

1103.03

Copyright law extended to certain terri- tories. The U.S. copyright law has been extended by specific statutory enactments to Guam, 48 U.S.C. 1421n; the U.S. Virgin Islands, 48 U.S.C. 1405q; and the Northern Mariana Islands, 48 U.S.C. 1681, together with the Act of Mar. 24, 1976, Pub. L. 94-241, 90 Stat. 263, and Presidential Proclamation No. 4534, 42 Fed. Reg. 56593 (1977).

1104

Multilateral copyright treaties to which the United States is a party. The following are multilateral copyright treaties to which the United States is a party.

1104.01

Mexico City Convention of 1902. This treaty was superseded by the Buenos Aires Convention of 1910 with regard to all members except El Salvador. The copyright law extends eligibility to works by nationals or domiciliaries of El Salvador through this treaty. NOTE: In addition to being a party to the Mexico City Conven- tion, effective June 30, 1908, El Salvador

1100-7

1104

Multilaterial copyright treaties to

which the

United States is a party. (cont'd)

1104.01

Mexico City Convention of 1902. (cont'd) also became a party to both the Geneva and the Paris texts of the Universal Copyright Convention, effective March 29, 1979, and to the Phonogram Convention, effective February 9, 1979. See sections 1104.03 and 1104.04 of this chapter.

1104.02

Buenos Aires Convention of 1910. The copy- right law extends eligibility to works by nationals or domiciliaries of nations which are parties to this treaty. Such works must satisfy all of the legal and formal requirements of title 17, U.S.C.

1104.03

Universal Copyright Convention. The copy- right law extends eligibility to works by nationals or domiciliaries of nations that are parties to this Convention, and to works first published in such nations. Member nations may be parties to the Geneva text only, or to both the Geneva and Paris texts. See section 1102.09 above. Con- cerning sound recording, see section 1101.01 above.

1104.04

Phonogram Convention. The Convention for the Protection of Producers of Phonograms Against Unauthorized Duplication of their Phonograms provides, in Article 2 thereof, that each "Contracting State shall protect producers of phonograms who are nationals of other Contracting States . . . . " 25 U.S.T. 309, 325; T.I.A.S. No. 7808. Where the producer who is an author of a sound recording is a national of a nation that is a member of this Convention, the copyright law extends eligibility to that work. See also section 1102.05 above.

1105

Presidential proclamations. Presidential
proclamations are governed by the following
provisions:

1105.01

Proclamations issued under the current Act.

The President of the United States may by proclamation extend U.S. copyright protec- tion to works of which one or more of the authors is, on the date of first publica- tion, a national, domiciliary, or sover- eign authority of a foreign nation as to which such proclamation has been issued, or to works which were first published in such a nation. See 17 U.S.C. 104(b) (4); see also section 104, Transitional and Supplementary Provisions of the current Act.

1105.02

Continuance of earlier proclamations. The current law provides that all proclamations issued by the President under section 1(e) or 9(b) of title 17 as it existed on Decem- ber 31, 1977, or under previous copyright statutes of the United States, shall con- tinue in force until terminated, suspended, or revised by the President. See section 104, Transitional and Supplementary Pro- visions of the current Act.

1105.03

Coverage of earlier proclamation. Presidential proclamations issued before January 1, 1978, extend eligibility only to the works of authors who were a "citizen or subject" of a proclaimed nation. Such proclamations confer no eligibility on the basis of domicile or publication in a pro- claimed nation, See 17 U.S.C. 1(e) and 9(b), as it existed on December 31, 1977; see also section 13 of the Act of March 3, 1891, 26 Stat. 1106.

1106

Existence of copyright relations unclear. In

some instances the status of copyright rela- tions between the United States and a partic- ular nation is unclear. Registration will be refused in any case where eligibility depends

upon the existence of copyright relations with

that nation. See also section 1109 below.

1107

Copyright Office policy. In general, the
nationality, domicile, or nation of first
publication given by the applicant will be
accepted at face value unless it is clearly
inconsistent with facts stated by the applicant
or with information of which the Copyright
Office has knowledge. The Copyright Office
generally does not attempt to settle questions
of nationality or domicile.

Examples :

1\) An application stating that the author is a
U.S. national will be questioned where the
accompanying letter indicates that he or
she has applied for citizenship, but has
not yet been naturalized.

2\)
An application stating that a currently
prominent European statesman is domiciled
in the United States will be questioned.

1108

Authors: particular situations. For published
works, the nationality or domicile of the author
may determine eligibility for registration.
Special situations include the following:

1108.01

More than one author. The "author" whose
nationality or domicile is determinative in
a particular case may be the author who
prepared only a portion of the material
covered by the copyright claim, and this
may suffice to extend eligibility to all
the material covered by the claim regard-
less of the nationality or domicile of the
other authors.

1108.02

More than one nationality. If the author
of the work covered by the copyright claim
has more than one nationality and if any
such nationality confers eligibility,
registration can be made.

1108.03

Work made for hire. In the case of a work
made for hire, it is the nationality or
domicile of the employer or other person
for whom the work was prepared, rather
than the nationality or domicile of the
employee, which may serve as a basis for
determining eligibility for registration.
See section 1102.01 above.

1100-10

1108

Authors: particular situations. (cont 'd)

1108.04

Nationality and domicile of corporations and similar organizations. In the case of a work made for hire, where the employer or other person for whom the work was prepared is not a natural person but is an artifi- cial person or legal entity, such as a corporation or similar organization, the nationality and domicile of such an organi- zation, for copyright registration purposes, is usually considered to be that of the nation under the laws of which it was created. Thus, the nationality and domicile of a corporation should generally be stated as the United States, if it was incorporated under the law of one of the several States, under Federal law, or under the law of the District of Columbia, the Commonwealth of Puerto Rico, or those organized territories under the jurisdic- tion of the United States which have the power to create corporations.

1108.04 (a)

Members. A corporation or similar organization is ordinarily considered by law to be separate and distinct from the persons who are its members or shareholders, so that the nationality or domicile of such organization may be different from that of such members or shareholders.

1108.04 (b)

Doing business. A corporation may do business in a particular nation without being a national or domiciliary of that nation.

1108.05

Compilations and derivative works. The nationality or domicile of the author of the compilation or derivative work rather than the nationality or domicile of the author(s) of the preexisting material used in the work determines eligibility for registration.

## 1100-11

1108

Authors: particular situations. (cont'd)

1108.06

Stateless. A work of a stateless author is eligible regardless of the author's former or prospective nationality or domicile, and regardless of the place of first publica- tion of the work. See section 1102.07 above.

1108.07

United States. A work of a U.S. national is eligible regardless of his or her domi- cile or the place of first publication. Where an author of a work is domiciled in the United States or the work is first published in the United States, it is eligible for registration regardless of the author's nationality. See sections 1102.03, 1102.04, and 1102.08 above.

1108.08

Territorial areas of the United States. Domicile or first publication in any of the territorial areas under the jurisdiction of the U.S. Government, other than the several States, the District of Columbia and the Commonwealth of Puerto Rico, and the orga- nized territories, does not confer eligi- bility for registration; such areas include the unorganized territories, the trust territories, and other possessions of the United States. See section 1102.08 above. However, works by domiciliaries of, or first published in, these areas may be eligible on the basis of the nationality of the author; and since U.s. nationals include persons born in the outlying possessions of the United States, eligi- bility in such cases may be conferred on this basis. See section 1102.04 above.

1108.09

Anonymous and pseudonymous works. Where eligibility depends on the nationality or domicile of the author, that information must still be given on the application for registration even though the work is anonymous or pseudonymous. However, the identity of the author does not have to be stated in such cases.

1100-12

1108

Authors: particular situations. (cont'd)

1108.10

First publication after death of author. Where a work is first published after the author's death, the Copyright Office will make registration if, at the time of death, the author's nationality or domicile would have conferred eligibility. In no case where a work is first published after the authors death can the nationality or domi- cile of the copyright claimant serve as the basis for eligibility.

1109

Time when eligibility is determined. Where eligibility must be based on the nationality or domicile of the author, it is the author's nationality or domicile and the status of the author's country on the date of first publica- tion that are determinative. See section 1108.08, above, for an exception in the case of works first published after the death of the author.

1109.01

Registered as unpublished: ineligible when published. Even though a work may have been registered as unpublished, it must be eligible at the time of first publication to be registrable as a published work. Example : The author is a national and domiciliary of Iraq, a nation with which the United States has no copyright relations. The work is registered in unpublished form. If that work is later published in a non-UCC country, and the author's citi- zenship and domicile remain unchanged, registration of the claim in the pub- lished version should be refused.

1109.02

Change in nationality or domicile after publication. If a work was eligible for registration at the time of first publica- tion on the basis of the author's nation- ality or domicile, changes in nationality or domicile occurring after that time are not determinative for this purpose.

Time when eligibility is determined. (cont'd)

1109.03

Works distributed only in the form of
phonorecords before 1978. Where musical,
dramatic or literary works were publicly
distributed before January 1, 1978, only in
the form of phonorecords, registration
cannot be made for these works as published
works. However, if distribution of the
phonorecords continued on January 1, 1978,
registration for the underlying works can
be made under the current law as published
works. In such cases the date of first
publication is considered to be January 1,
1978, and it is the nationality or domicile
of the author on that date which determines
eligibility. Eligibility may also be con-
ferred by the nation of publication on that
date.

1110

Acceptable statements of nationality, domicile,
and nation of first publication. Generally,
the application for registration should desig-
nate the name of the nation of which the author
is a national, domiciliary, and in the case of
a published work the name of the nation of
first publication of the work. An application
listing a territory or other political subdivi-
sion, rather than the name of the nation
itself, is generally not acceptable as a basis
for determining registrability. However, where
it is obvious, from the statement given, what
the name of the nation is, the application will
be accepted without correspondence.

Examples of acceptable statements:

England
Great Britain
Wales

Swiss
French

Examples of unacceptable statements:

British Protected Person
Commonwealth Citizen

Some general examples illustrating basic prin-
ciples. The following general examples reflect
some of the principles of eligibility.

1\) A magazine article by an author who is a
national and domiciliary of a nation with
which the United States does not have copy-
right relations either bilaterally or
through an international convention, first
published in the United States or in a
foreign nation which is on that date a
party to the Universal Copyright Conven-
tion, is eligible for registration by
virtue of the place of first publication.
See sections 1102.09, 1103.02(d), and 1109
above.

2\)
A book by an author who, on the date of
first publication, is a national of a
nation with which the United States has
copyright relations, but is domiciled in a
nation that has no copyright relations with
the United States is eligible for registra-
tion by virtue of the author's nationality,
even if the book is first published in a
nation that does not have copyright rela-
tions with the United States. See sections
1102.04, 1103.02, and 1104.

3\)
A musical composition by an author who is a
national of a nation with which the United
States has no copyright relations, but is
domiciled in a foreign nation which, on the
date of first publication, has copyright
relations with the United States by virtue
of the Universal Copyright Convention or
the Buenos Aires Convention of 1910, is
eligible for registration no matter where
the work is first published. See sections
1103.02 (b) and 1104.03.

4\)
A musical composition is jointly authored
by a lyricist who is a national and domi-
ciliary of a nation with which the United
States has no copyright relations and a
composer who is domiciled in a nation

Some general examples illustrating basic prin-
ciples.
( cont'd)

### 4) ( cont'd)

that, on the date of first publication, is
a member of the Universal Copyright Conven-
tion or the Buenos Aires Convention of
1910. By virtue of the domicile of the
composer, the work is eligible for a regis-
tration extending to all the material
covered by the claim, regardless of place
of first publication. See sections
1103.02 (b), 1104.03, and 1108.01.

[END OF CHAPTER 1100]

[1984]

)

# MANUFACTURING PROVISIONS

## Outline of Topics

1201

### Background information.

1201.01

Works published before January 1, 1978.

1201.02
Works published after December 31, 1977.

1201.03
Extension of ad interim copyright to full term.

1201.04
Registration of U.S. edition optional in certain
cases.

1201.05
Manufacture of U.S. edition not required in
certain cases.

1201.06

Ad interim registration made but no u.s.
edition.

1201.07

No ad interim registration made.

1202

Basic requirements under current Act.

1202.01

Two-thousand copy limit.

1203

Works covered by the manufacturing requirements.

1204

Works not covered by the manufacturing require-
ments.

1205

Meaning of the word "preponderantly."

1205.01

Literary material of secondary importance.
Literary material predominant.

1205.02

1205.03

Pictorial and literary material approximately
equal .

1206

Meaning of the word "substantial."

1207
Copies.

1208

Manufacture in the United States.

1209

Situations where the manufacturing requirements
are not applicable.

1209.01

1209.02

Author not U.s. national or domiciliary.
Author domiciled outside the United States for
one year.

1209.03

Employment for hire.

1209.04
Manufacture in Canada.

\- 2 -

1210

Manufacturing processes covered.

1210.01

Copies printed from type.

1210.02

Lithographic or photoengraving process.

1210.03

Printing and binding.

1211

Manufacturing processes not covered.

1212

Entry under an Import Statement.

1212.01

Basic registration required.

1212.02

Import Statement may be issued for published or unpublished work.

1212.03

Import Statement not required.

1213

Who may request an Import Statement.

1213.01

Limit of one basic Import Statement for each work.

1214

Completion of Form IS.

1214.01

Identification of work.

1214.02

Person designated to receive Import Statement.

1214.03

Fee and contact.

1214.04

Certification.

1214.05

Registration number.

1215

New versions.

1201

Background information. The provisions of this
chapter deal with the requirement, as a con-
dition of full copyright protection, that
certain works be manufactured in the United
States or Canada.

1201.01

Works published before January 1, 1978. In
the case of works published before January 1,
1978, and subject to the manufacturing clause
of title 17, U.S.C., as it existed on
December 31, 1977, compliance with that pro-
vision constitutes a condition of copyright
in the United States. Works first published
before January 1, 1978, in violation of such
requirements are in the public domain in the
United States and cannot be registered under
the current Act. However, any work in which
ad interim copyright under that law subsisted,
or was capable of being secured, on December
31, 1977, is accorded copyright protection
for the term or terms provided by section 304
of the current Act, and registration may be
made under section 408 of that Act. Where
applicable, and upon request, an Import
Statement will be issued for such works,
permitting importation of up to 2,000 copies.
See section 107 of the Transitional and
Supplementary Provisions of the current Act.
For fuller explanation of the practices
governing ad interim copyright as well as the
general practices under the manufacturing
clause of the Act of 1909, as amended, see
Compendium I.

1201.02

Works published after December 31, 1977.

In the case of works first published after
December 31, 1977, the manufacturing
requirements of section 601 of the current
Act are applicable. Failure to comply
with the manufacturing requirements may
affect enjoyment of the exclusive rights
of reproduction and distribution of
copies, but such failure has no effect on
any other exclusive rights.

## 1201

## 1201.03

## Background information. (cont'd)

Extension of ad interim copyright to full
term. The Act of 1909, as amended, pro-
vided for the extension of ad interim copy-
rights to full term if both of the following
two conditions were met:

1\) a U.S. edition was produced in compliance
with the manufacturing requirements and
published with the required statutory
copyright notice in the United States
within a five-year period computed from
the date of first publication abroad,
and

2\)
the claim in the U.S. edition was
registered in the Copyright Office.

If registration of the U.S. edition was sought
after expiration of the five-year period, the
Copyright Office would register the claim
under the rule of doubt, if that U.S. edition
had been manufactured and published within the
five-year ad interim term. See Compendium I,
Chapter 8, topic 8.4.6.II.b.

1201.04
Registration of U.S. edition optional in
certain cases. For works manufactured and
first published outside the United States after
December 31, 1972, where ad interim registra-
tion was made and a U.S. edition, substantially
identical with that first published abroad, was
manufactured and published with notice within
the five-year term, a new registration is not
required to extend the copyright to the full
term. See section 107 of the Transitional and
Supplementary Provisions of the current Act.
If, however, the applicant desires to place on
record the facts concerning the U.S. manufac-
tured edition, the Copyright Office will not
refuse regitration.

1201.05
Manufacture of U.S. edition not required in
certain cases, Manufacture of a U.S. edition
is not required for works in which ad interim
copyright was subsisting or was capable of

## 1201

## Background information. (cont'd)

### 1201.05 Manufacture of U.S. edition not required in certain cases. (cont'd)

being secured on December 31, 1977. See
section 107, Transitional and Supplementary
Provisions of the current Act. However, where
a U.S. edition, substantially identical with
that first published outside of the United
States, was manufactured and published within
the five-year term, the Copyright Office will
not refuse registration.

1201.06
Ad interim registration made but no U.S.
edition. With respect to works manufactured
and first published abroad before December 31,
1972, for which ad interim registration was
made but no U.S. edition was manufactured
and published within the five-year ad interim
term, no new registration is possible.

1201.07

No ad interim registration made. Any
English-language book or periodical published
before July 1, 1977, which was subject to the
manufacturing requirements of the Act of 1909,
as amended, for which ad interim registration
was not made, cannot now be registered.

1202

Basic requirements under current Act. Copies of
certain works consisting preponderantly of non-
dramatic literary material in the English language
must be manufactured in the United States or Canada
in order to satisfy the manufacturing requirements
of the current Act. See 17 U.S.C. 601.

1202.01
Two-thousand copy limit. If such a work
has been manufactured outside the United
States or Canada, importation into the
United States is limited to no more than
2,000 auch copies upon issuance of an
Import Statement by the Copyright Office.

Works covered by the manufacturing requirements.

The manufacturing requirements apply to copies
of certain nondramatic literary works in the
English language. Literary works are works,
other than audiovisual works, expressed in words,
numbers, or other verbal or numerical symbols
or indicia. See 17 U.S.C. 101. A nondramatic
literary work is any literary work other than a
drama. A drama is a work that tells a story by
means of dialog or action and represents or gives
directions for representing all or a substantial
portion of a story as actually occurring rather
than merely being narrated or described. See
also section 431 of Chapter 400: WORKS OF THE
PERFORMING ARTS AND SOUND RECORDINGS.

1204

Works not covered by the manufacturing require-
ments. Dramatic, musical, pictorial, and graphic
works, as well as works in languages other than
English and works in the public domain in the
United States, are among the works not included
within the manufacturing requirements. Such works
may thus be imported in unlimited quantities.

Examples :

1\) The acting version of a play, although in book
form, is a dramatic work, and not subject to
the manufacturing requirements.

2\) A painting reproduced by lithographic, mezzotint,
or other process, is not a nondramatic literary
work, and is thus not subject to the manu-
facturing requirements of the current Act.

1205

Meaning of the word "preponderantly. " The
manufacturing requirements apply only to works
which consist "preponderantly" of nondramatic
literary materials in the English language.
According to H.R. Report No. 94-1476, 94th
Cong., 2d Sess. 167, a work consists "prepon-
derantly" of nondramatic literary material, if
such material exceeds the exempted material

1205

Meaning of the word "preponderantly." (cont'd)

in "importance." If a work consists prepon-
derantly of exempted material, e.g., pictures,
photographs, plays, or music, the manufac-
turing requirements do not apply and copies
may be imported in unlimited quantities.
However, in Stonehill Communications, Inc. v.
Martuge, 512 F. Supp. 349 (S.D.N. Y. 1981),
the Court found the "importance" test and the
instructions in the legislative history vague
and difficult to apply. "In the absence of
congressional or duly authorized guidelines,"
stated the Court, "the answer is an objective
test -- in this instance, a 'mechanical' one."
The Court held that in the absence of any
other standards, "a book 'consists of pre-pon-
derantly nondram[a]tic literary material
in the English language' when more than half
of its surface area, exclusive of margins,
consists of English-language text."

1205.01
Literary material of secondary importance.

Where the literary material in a work consists
merely of a foreword or preface, and captions,
headings, or brief descriptions or explanations of
pictorial, graphic, or other nonliterary material,
the manufacturing requirements do not apply, and
the Copyright Office will not issue an Import
Statement.

1205.02
Literary material predominant, Where the pic-
torial, graphic, or other nonliterary material
clearly forms less than one-half of a work in
which nondramatic literary material predomi-
nates, the manufacturing requirements apply to
the textual portion of the work, and an Import
Statement will be issued on request.

1205.03

Pictorial and literary material approximately

equal. If the pictorial material and non-
dramatic literary material are approximately
equal in importance or quantity, it is unclear
whether the import restrictions apply, and
an Import Statement will be issued on request.

1206

Meaning of the word "substantial." If, on the date
importation is sought or public distribution in the
United States is made, the author of any substan-
tial part of such material is neither a national
nor a domiciliary of the United States, the manu-
facturing requirements do not apply. 17 u.s.c.
601 (b) (1). In this context, "substantial" has a
meaning that suggests real worth and importance and
would connote less than "preponderently" (as used
in section 601(a) of the current Act) but more than
incidental or minimal.

Examples :

1\) A two-page preface to a 100-page work presum-
ably would not be considered to be a "substan-
tial" portion of the work.

2\) A 25-page portion of a 90-page article would be
considered "substantial."

1207

Copies. The manufacturing requirements of the
law extend only to copies of a work. "Copies"
are material objects, other than phonorecords,
in which a work is fixed by any method now known
or later developed, and from which the work can be
perceived, reproduced, or otherwise communicated,
either directly or with the aid of a machine or
device. 17 U.S.C. 101. Thus, phonorecords are
outside the scope of the manufacturing require-
ments of the Act.

1208

Manufacture in the United States. The United
States, when used in a geographical sense, com-
prises the several States, the District of Columbia
and the Commonwealth of Puerto Rico, and the
organized territories under the jurisdiction of the
United States Government. 17 U.S.C. 101. The
organized territories include Guam and the U.S.
Virgin Islands. Manufacture in a territorial area
under the jurisdiction of the United States which
is not considered an "organized territory" is not
regarded as manufacture in the United States. See
section 1102.08 of Chapter 1100: ELIGIBILITY.

1209

Situations where the manufacturing requirements
are not applicable. The manufacturing require-
ments are not applicable in the following situa-
tions:

1209.01
Author not U.S. national or domiciliary.

If, on the date when importation is sought
or public distribution in the United States
is made, the author of any substantial part
of the nondramatic literary material in the
English language is neither a national nor
a domiciliary of the United States, the
manufacturing provisions do not apply. Where
a work was previously registered naming as
author a person who was at that time neither
a national nor a domiciliary of the United
States, a request for an Import Statement
for such work will not ordinarily be ques-
tioned, since the nationality or domicile of
the author may have changed between the time
registration was made and the time importation
is sought.

1209.02

Author domiciled outside the United States
for one year. If the author is a national
of the United States but he or she has been
domiciled outside the United States for a
continuous period of at least one year
immediately preceding the date when importa-
tion is sought or public distribution in the
United States is made, the manufacturing
requirements are not applicable.

Examples :

1\) If the author of an English-language book
is a U.S. citizen who has been domiciled
in France for three years before requesting
importation of a book manufactured in the
Netherlands, unlimited importation is
allowed.

2\)
If, with regard to the work mentioned in
the above example, the importation of a
reprint edition is later requested after
the author has changed his domicile to the
United States, an Import Statement would
be required.

1209

## Situations where the manufacturing requirements are not applicable. (cont'd)

1209.03

Employment for hire. If a substantial part of the nonexempt text of a work made for hire was prepared for an employer or other person who is not a national or domiciliary of the United States or a domestic corporation or enterprise, the manufacturing requirements do not apply. Example : If a U.S. citizen prepares an English- language book as an employee for hire of a French citizen or French corporation, unlimited importation would be allowed.

1209.04

Manufacture in Canada. If a copyrighted nondramatic literary work in the English language was printed or reprinted in Canada, copies could be imported into the United States in unlimited numbers on or after January 1, 1978, since Canadian manufacture satisfies the manufacturing requirements of the current Act.

1210

Manufacturing processes covered. Copies produced by one or more of the processes mentioned below are subject to the requirement of manufacture in the United States or Canada.

1210.01

Copies printed from type. If copies are printed directly from type that has been set, or directly from plates made from such type, the setting of the type and the making of the plates must be performed in the United States or Canada.

1210.02

Lithographic or photoengraving process. If the making of plates by a lithographic or photoengraving process is a final or inter- mediate step preceding the printing of the copies, the plates must be made in the United States or Canada. The law permits the making of reproduction proofs ( "repro proofs") abroad, provided that the plates from which the copies are printed are made in the United States or Canada and are not themselves imported. Similarly, the importation of computer tapes from which plates can be prepared is permitted.

1210

## Manufacturing processes covered. (cont'd)

1210.03

Printing and binding. If there is a final
process of producing multiple copies and any
binding of the copies, this must be performed
in the United States or Canada.

1211

Manufacturing processes not covered. Photocopying
is not considered a "printing process." Thus, if
copies have been produced by photocopying, such
reproduction is exempt from the manufacturing
requirements. Copies produced in multiples by
typewriter, by mimeograph, or by hand are also
not covered by the manufacturing requirements.
Copies reproduced in raised characters for the
use of the blind are exempt from the manufacturing
requirements. See 17 U.S.C. 601 (b) (5) .

1212

Entry under an Import Statement. In any case
where issuance of an Import Statement is appro-
priate, importation of 2,000 copies is permitted,
irrespective of the time the work may have been
published, and irrespective of whether registra-
tion was made under the current Act or under the
Act of 1909, as amended. Where the copyright
owner of a work in which ad interim copyright
was subsisting on December 31, 1977, has already
imported the 1, 500 copies allowed under the Act
of 1909, a new Import Statement will be issued
upon request, permitting importation of an addi-
tional 500 copies.

Examples :

1\) For a work by a U.S. author, published and
registered in 1970 as ad interim, where no U.S.
edition was manufactured within five years as
required by the Act of 1909, as amended, no
new Import Statement can be issued because
ad interim copyright was not subsisting on
December 31, 1977.

2\)
For a work manufactured in the United States
and registered in Class A in 1975 for which
no Import Statement has been issued, an Import
Statement could be issued on request, per-
mitting importation of 2,000 copies, if the
work were reprinted outside of the United
States or Canada.

## Entry under an Import Statement. (cont'd)

## 1212.01

Basic registration required. There must be a
basic registration in the Copyright Office for
the work before an Import Statement will be
issued. However, the application for regis-
tration of a claim to copyright may be submitted
simultaneously with the Form IS, which is the
form for requesting issuance of an Import State-
ment.

1212.02

Import Statement may be issued for published
or unpublished work. The Copyright Office will
issue an Import Statement for an unpublished
work on request. Where it appears that the work
to be imported will be substantially different
from the unpublished version in which a claim
was or is being registered, the Copyright Office
may point out that the Import Statement applies
only to the particular work that is registered.
See also section 1215 below.

1212.03

Import Statement not required. If an Import
Statement is requested, but is clearly not
required (e.g., where the nontextual matter
predominates, or the work is in a language
other than English, or the work is in the
public domain in the United States), the Copy-
right Office will not issue the Import State-
ment. 37 C.F.R. 201.8(a) (4). The Copyright
Office will promptly so notify the requester
since copies may be in transit or at a port of
entry. However, in the case of a dispute
between the U.S. Customs Service and the copy-
right owner concerning whether unlimited
importation of copies is permissible under 17
U.S.C. 601, the Copyright Office will, in
proper cases and upon request, issue the Import
Statement. See 37 C.F.R. 201.8(a) (5).

1213

Who may request an Import Statement. An Import
Statement may be requested by the copyright owner
or by the duly authorized agent of such owner.
The copyright owner for this purpose may be :

## Who may request an Import Statement. (cont'd)

1\)
The author of the work ( including, in the
case of a work made for hire, the employer
or other person for whom the work was pre-
pared), or

2\)
A copyright claimant, other than the author,
identified in the registration for the work,
or

3\)
A person or organization that has obtained
ownership of one or more exclusive rights,
initially owned by the author, including
the exclusive right to import copies of
the work into the United States.

See 37 C.F.R. 201.8(b) (2); see also section 1214.04
below.

1213.01

Limit of one basic Import Statement for each
work. As a general rule, only one basic
Import Statement will be issued for the same
work. Exceptional cases will be dealt with
on their particular merits.

1214

Completion of Form IS. There are a number of
spaces on the Form IS to be completed by the
requester. If registration has already been
made for the work, the information provided
should agree with the information in the
certificate of registration, if registration
Is being made simultaneously with the request
for an Import Statement, the information given
should agree with the information in the
application for registration. The spaces
to be completed are as follows.

1214.01

Identification of work. The title of the
work, name( s) of author(s), and name(s) of
copyright claimant (s) should be given.

1214.02

Person designated to receive Import Statement.

The full name and complete mailing address of
the person or organization to whom the Copy-
right Office will issue the Import Statement
should be given, even if the same name and
address appear elsewhere on the form. The
law provides that the Import Statement shall
be issued to the copyright owner or to a
person designated by such owner. See 17
U.S.C. 601 (b) (2).

## Completion of Form IS. (cont'd)

1214.03
Fee and contact. If the requester maintains
a Deposit Account in the Copyright Office,
the Account should be identified. Other-
wise, the required fee should be enclosed
with the request. The name, address, and
telephone number of a person to contact
about the request should also be provided on
the form.

1214.04

Certification. The Form IS must include the
handwritten signature of a person who certifies
that he or she is either the copyright owner
as shown in the records of the Copyright Office,
or the duly authorized agent of the copyright
owner, and that he or she authorizes the issu-
ance of an Import Statement to the designated
person.

1214.05

Registration number. If the work has already
been registered, the applicant should give
the registration number in the appropriate
space on the Form IS. If registration is
being applied for simultaneously with the
request for an Import Statement, the Copy-
right Office will add the registration number
to the Form IS.

1215

New versions. If the version to be imported is
substantially different from the version in which
a claim to copyright was registered, a claim to
copyright in the version to be imported must also
be registered before an Import Statement covering
that version can be issued.

Examples :

1\)
Where an Import Statement is requested for
the fifth revised edition of a textbook, and
the registration number given on the Form IS
is found to be that for the second revised
edition, the Copyright Office will inform
the requester that no Import Statement can
be issued unless registration is made for
the fifth revised edition.

1215

## New versions. (cont'd)

Examples: (cont'd)

2\)
If a novel originally manufactured, published,
and registered in the United States before 1978
is reprinted outside the United States or
Canada with a new pictorial cover, no new
registration is required for an Import State-
ment to be issued. The test for issuance of
the Import Statement is whether there is a
subsisting claim in the nondramatic literary
material, and whether the claim to copyright
in that material has been registered.

3\)
Where a U.S. author translates into English
a Russian-language novel and importation is
sought for the translation, a claim to copy-
right must be registered in the translation
in order for an Import Statement to be issued.
Registration for the Russian-language work is
not a necessary condition for the issuance of
the Import Statement, nor is it required that
the work in Russian be protectible in the
United States.

[END OF CHAPTER 1200]

)

# Chapter 1300 RENEWAL OF COPYRIGHT

## Outline of Topics

1301

Background.

1301.01
Works copyrighted before January 1, 1978.

1302

Time limits for renewal.

1302.01

Informal applications.

1303

Computing term for published works.

1303.01
1303.02

Antedated notice.
Postdated notice.

1304

Computing term for unpublished works.

1305

Amendment after deadline.

1306

Date of receipt.

1306.01

Delay in delivery caused by disruption of
postal or other services.

1307

Application received before the renewal year.

1308

Application received after the renewal year.

1309

Original registration.

1309.01

Exception to requirement for original regis-
tration.

1310

Contributions to periodicals and composite works.

1310.01

First publication basis.

1310.02

Separate claims.

1310.03

Identification of composite work.

1310.04

Different claimants.

1310.05

Group registrations.

Chapter

1300

Renewal of Copyright

Outline of Topics

1311

Works first published abroad in English.

1311.01

Both editions registered.

1311.02

Single renewal application.

1311.03

Separate applications.

1311.04

Installments.

1311.05

Foreign edition never registered.

1311.06

No U.S. edition.

1312

Renewal claimants: authors and their successors.

1313

Renewal claimants: authors.

1313.01

Author still living.

1313.02

Author's name not in records of original regis- tration.

1313.03

Term "author" defined for renewal purposes.

1314

Renewal claimants: widows, widowers, and children.

1314.01

Single class.

1314.02

Definition of widow or widower.

1314.03

Definition of children.

1315

Renewal claimants: executors.

1315.01

Qualification.

1315.02

Personal right.

1315.03

Intestate.

1316

Renewal claimants: next of kin.

1316.01

Definition.

1316.02

Will but no executor.

1317

Renewal claimantsi proprietors.

1317.01

Definition.

1317.02

Derivation of title.

1317.03

Posthumous works.

1317.04

Composite works.

1317.05

Individual contributions.

1317.06

Corporate body.

1317.07

Employer in the case of a work made for hire.

Chapter

1300

Renewal

of Copyright

Outline

of Topics

1318

Joint renewal claimants.

1318.01

Several claimants, same application.

1318.02

Later application, same work.

1318.03

Adverse claims.

1318.04

Adverse claims: conflicts concerning the author and the author's successors.

1318.05

Adverse claims: conflicts concerning proprietors, authors, and authors' successors.

1319

Unacceptable renewal claims.

1319.01

Personal right.

1319.02

Deceased person.

1319.03

Claimants not named, only status given.

1319.04

Claimant fails to qualify.

1319.05

Successors or representatives of claimants.

1319.06

Assignment of renewal interests.

1319.07

Extent of claim.

)

Background. The copyright law of 1909, as amended,
provided for copyright protection for an initial
term of 28 years, with the possibility of a renewal
term of statutory protection if a claim to renewal
copyright was registered in the Copyright Office
during the last year of the first term. However,
a new copyright statute came into full effect on
January 1, 1978; among other things, the new law
makes important changes concerning the length of
copyright protection; for works that are copy-
righted for the first time on or after January 1,
1978, it establishes a single copyright term.
Nevertheless, under the new law, works originally
copyrighted before January 1, 1978, must still be
renewed in order to obtain the fullest period of
copyright protection allowed by the law for such
works. This chapter is applicable only to those
works.

1301.01

Works copyrighted before January 1, 1978.

Section 304 (a) of the copyright law provides
that "any copyright, the first term of which is
subsisting on January 1, 1978," endures for 28
years from the date it was originally secured,
and that a renewal term of copyright lasting 47
years, can be secured by certain designated
claimants if an application for renewal is made
to the Copyright Office "within one year prior
to the expiration of the original term of copy-
right." The law specifies that all such terms
of copyright run to the end of the calendar
year in which they would otherwise expire. See
17 U.S.C. 305. This not only affects the dura-
tion of copyright; it also affects the time
limits for renewal registration. See section
1302 below.

NOTE: For works that were in their renewal term
of copyright on December 31, 1977, the law auto-
matically extended the copyright to last for a
total of 75 years (a first term of 28 years
plus a renewal term of 47 years) measured from

1300-1

1301

Background: (cont'd)

1301.01

Works copyrighted before January 1, 1978. (cont'd) the end of the year in which the copyright was originally secured; no additional renewal is necessary for such works. Time limite for renewal. A copyright may be renewed for a renewal term of 47 years, provided that an acceptable application and fee are received in the Copyright Office or elsewhere in the Library of Congress during the year immediately preceding the expiration date of the original term of copy- right. See 17 U.S.C. 304 (a). * Unless the required application and fee are received during the prescribed period before the first term of copyright expires, the copyright in the work terminates at the expiration of 28 years from the end of the calendar year in which copyright was originally secured. The Copyright Office has no discretion to extend the renewal time limits. See 37 C.F.R. 202.17(c) (1).

1302

1302.01

Informal applications. Whenever a renewal applicant has cause to believe that a formal application for renewal (Form RE) (and in the case of works in which U.S. copyright subsists by virtue of section 9(c) of title 17, U.S.C., in effect on December 31, 1977, an accompany- ing affidavit and submission relating to the subsistence of first-term copyright), if sent to the Copyright Office by mail, might not be received in the Copyright Office before expira- tion of the statutory time limits the appli- cant may apply for renewal registration by telegraphic or similar unsigned written communication. An application made by this method only will be accepted if:

1302

Time

limits for renewals.

(cont'd)

1302.01

Informal

applications.

(cont'd)

(1)

the message is received in the Copyright Office within the specified time limits;

(2)

the applicant adequately identifies the work involved, the date of first publication or original registration, the name and address of the renewal claimant, and the statutory basis of the renewal claim;

(3)

the fee for renewal registration, if not already on deposit, is received in the Copyright Office before the time for renewal registration has expired; and

(4)

a formal application for renewal (Form RE) (and in the case of works in which U.s. copyright subsists by virtue of section 9(c) of title 17, U.S.C., in effect on December 31, 1977, as provided in 37 C.F.R. 202.17(d) (2), an accompanying affidavit and submission relating to sub- sistence of the first-term copyright) are also received in the Copyright Office before February 1 of the following year.

See

37 C.F.R. 202.17 (c) (3).

1303

Computing term for published works. Copyright for works published before January 1, 1978, generally began on the date of first publication. However, under the current Act the original term does not expire until the end of the last day of the 28th calendar year measured from the year of first publication. See 17 U.S.C. 305.

1303.01

Antedated notice. In cases where the year in the copyright notice appearing on the as first published was earlier than the date of publication, the original term copyright is computed from the last day of year given in the notice, and not the date publication. The actual date of publication be given in the renewal application, and

date copies actual of the of should

1303

Computing term for published works.

(cont'd)

1303.01

Antedated notice. (cont 'd)

the Copyright Office will add the annotation: "YEAR DATE IN COPYRIGHT NOTICE: 19 ." Claims to renewal copyright received more than 28 years from the first day in the year given in the copyright notice will be refused registra- tion. See also section 1308 below.

1303.02 1304

Postdated notice. If the year date in the copyright notice appearing on the copies as published was one year later than the actual date of publication, the original term is computed for renewal purposes from the year date of publication. No annotation respecting a postdated notice will be made to the renewal application. Computing term for unpublished works. For unpublished works registered in the Copyright Office before January 1, 1978, statutory copyright began on the date of such registration and lasts for an original term of 28 years. Under the new law the original term does not expire for such works until the end of the last day of the 28th calendar year after registration. The date of registration of unpublished works currently renewable under the new law is the date when the last element (application, copy, fee) was received in acceptable form in the Copyright Office.

1305

Amendment after deadline. If an application that contains a title by which the work may be identified and a correct statement of either the renewal claimant or basis of the renewal claim is received within the proper time limits, but correspondence is required, the claim may be entered after expiration of the original term. However, the Copyright Office will make a special effort to obtain a fully acceptable application before the original term expires.

### Amendment after deadline. (cont'd)

#### Example :

A renewal application for a work by John Doe
received during the 28th year of the first term
identifies the renewal claimant as executrix,
and the Copyright Office has reason to believe
that the claimant is the surviving spouse, e.g.,
the renewal application gives Mrs. John Doe, or
the letter of transmittal indicates that she is
the widow of the author. The Copyright Office
will write for a new application setting forth
the proper basis of claim, even though the
statutory renewal period has expired in the
interim.

1306

Date of receipt. The date of actual receipt in
the Copyright Office determines the acceptability
of a renewal application. See 37 C.F.R. 202.17(c).

\* Receipt of a renewal application or fee else-
where in the Library of Congress is regarded as
equivalent to receipt in the Copyright Office.

\* Mail misdirected or misdelivered to another
Government agency, and delivered to the Copy-
right Office after the deadline will not permit
registration.

\* The date of deposit in the mails is not deter-
minative for this purpose.

1306.01

Delay in delivery caused by disruption of postal
or other services. In any case in which the
Register of Copyrights determines, on the basis
of such evidence as the Register may by regula-
tion require, that a deposit, application, fee,
or any other material to be delivered to the
Copyright Office by a particular date, would
have been received in the Copyright Office in
due time except for a general disruption or
suspension of postal or other transportation or
communications services, the actual receipt of
such material in the Copyright Office within
one month after the date on which the Register
determines that the disruption or suspension of

1306
1306.01

Date of receipt. (cont'd)

Delay in delivery caused by disruption of postal
or other services. (cont'd)

such services has terminated, shall be consid-
ered timely. 17 U.S.C. 709. No regulation has
yet been issued by the Copyright Office under
this provision.

1307

Application received before the renewal year. A
renewal application received at any time before the
beginning of the renewal year will not be accepted.
An entirely new application must be submitted
during the proper year.

1308

Application received after the renewal year. If
an application or fee is received after the renewal
year has expired, the claim will be refused.

When the applicant filed too late in reasonable
reliance on a record created, or original certi-
ficate issued, by the Copyright Office, or an
official Copyright Office search report, which
contained an error, omission, or patent ambi-
quity with respect to the term, the Copyright
Office will register the renewal claim as a
doubtful case.

\* When the Copyright Office records state a date
of publication which has not been questioned or
corrected, renewal registration will not be made
after the 28th year from that date, even when
the renewal applicant asserts that the date was
erroneous. Concerning the procedure for cor-
recting a date of publication, ses Chapter 1500:
CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT
RECORDS; SUPPLEMENTARY REGISTRATIONS.

Examples :

1\)
Where the renewal applicant has relied on a
certificate of original registration which
lacked an annotation showing that the year date
in the copyright notice was antedated, a
renewal application will be accepted during the
28th year measured from the date of publica-
tion.

1308

Application received after the renewal year.
(cont 'd)

Examples: (cont'd)

2\)
Where the applicant has relied on incorrect
information appearing in the Catalog of Copy-
right Entries as a result of a Copyright Office
error, renewal registration will be made.

1309

Original registration. Except as provided in sec-
tion 1309.01 below, copyright in a work will not be
registered for a renewal term unless an original
registration for the work has been made in the
Copyright Office. However, the original and
renewal claims may be submitted simultaneously,
although the renewal claim will be processed only
after a registration number has been assigned to
the application for the original term. Generally,
in examining such applications for first-term
registration, the Copyright Office will apply the
practices existing at the time the work was origi-
nally published in determining registrability. The
current application forms and registration fees
will be required.

NOTE: The Copyright Office may register claims to
renewal even though it might not under its present
policies register the original claim.

1309.01

Exception to requirement for original regis-
tration, An original registration in the
Copyright Office is not a condition precedent
for renewal registration in the case of a work
in which U.S. copyright subsists by virtue of
section 9(c) of title 17, U.S.C., in effect on
December 31, 1977, (which implemented the Uni-
versal Copyright Convention), provided, how-
ever, that the application for renewal regis-
tration is accompanied by:

1\)
An affidavit identified as "Renewal
Affidavit for a U.C.C. Work" and
containing the following informa-
tion:

(A)
. The date of first publication of
the work;

1309

1309.01

## Original registration. ( cont'd)

Exception to requirement for original regis-
tration.
( cont'd)

1\)
( cont'd)

(B)
The place of first publication of
the work;

(D)
The domicile of the author on the date
of first publication of the work;

(E)
An averment that, at the time of first
publication, all the copies of the
work published under the authority of
the author or other copyright propri-
etor bore the symbol @ accompanied by
the name of the copyright proprietor
and the year of first publication, and
that U.S. copyright subsists in the
work;

(F)
The handwritten signature of the renewal
claimant or the duly authorized agent of
the renewal claimant. The signature shall
(1) be accompanied by the printed or type-
written name of the person signing the
affidavit and by the date of the signa-
ture, and (2) shall be immediately
preceded by the following printed or
typewritten statement in accordance with
section 1746 of title 28, U.S.C .: I
certify under penalty of perjury under the
laws of the United States of America that
the foregoing is true and correct.

2 )
A submission relating to the notice of copy-
right and copyrightable content which shall be,
in descending order of preference, comprised of:

(A)
One complete copy of the work as first
published; or

1309

## Original registration. ( cont'd)

### 1309.01 Exception to requirements for original regis- tration. (cont "d)

#### 2) (cont'd)

(B)
(1) A photocopy of the title page of
the work as first published, and

(2) A photocopy of the page of the work
as first published bearing the copyright
notice, and

(3) A specification as to the location,
relative to each other, of the title and
notice pages of the work as first pub-
lished, if the pages are different, and

(4) A brief description of the copy-
rightable content of the work, and

(5) An explanation of the inability to
submit one complete copy of the work as
first published; or

(c)
A statement describing the position and
contents of the copyright notice as it
appeared on the work as first published,
and a brief description of the copy-
rightable content. The statement shall
be made and signed in accordance with
paragraph (1) (F) of this section and
shall also include an explanation of
the inability to submit either one
complete copy of the work as first
published or photocopies of the title
and notice of the work as first pub-
lished. See 37 C.F.R. 202. 17(d) (2).

1310

## Contributions to periodicals and composite works.

The following practices relate to renewal of claims
to copyright in contributions to periodicals and
composite works.

1310.01

First publication basis. In order to be accept-
able, a renewal claim in an individual contri-
bution which was not registered separately must
be based on first publication of the contribution.

1310

(cont 'd) Contributions to periodicals and composite works.

1310.01

First publication basis. (cont'd)

Example:

A renewal application covering a short story which appeared in BEST SHORT STORIES, an anthology of previously published materials, will not be registered since the short story was not first published in the anthology.

1310.02

Separate claims. Individual renewal copyright in contributions to periodicals and other com- posite works may be registered, whether or not they were separately registered for their original term of copyright. Where the indivi- dual contribution was not separately registered, a claim to copyright in the periodical or other composite work must have been registered to serve as a basis for renewal registration of the individual contribution.

1310.03

Identification of composite work. A renewal application covering a contribution which was not registered separately must clearly identify the periodical or other composite work in which the contribution appeared. Generally, a com- posite work is an original publication relating to a variety of subjects to which a number of different authors have contributed distinguish- able and separable selections; in this connection, see also section 1317.04(a) below.

1310.03 (a)

Facts of original registration required. The renewal application must contain the facts of original registration, e.g., title of periodical, volume and Issue number, issue date and original registration date, in addition to the publication date for the periodical or other work. Where the work cannot be fully identified from the renewal application and Copyright Office records, correspondence may be necessary. All other statements on the renewal application are taken at face value unless a patent error or ambiguity is presented.

1310

### Contributions to periodicals and composite works. (cont'd)

1310.04
Different claimants. A contribution which
was published with a separate copyright notice
should be separately registered for the origi-
nal term of copyright before renewal regis-
tration is made, if the claimant stated in the
notice differs from the claimant given in the
notice on the composite work as a whole. The
Copyright Office requires original registration
as a condition to renewal registration when this
fact is known. When the names in the copyright
notices appearing on the contribution and the
composite work are the same, original regis-
tration for the individual contribution is
optional.

1310.05

Group registrations. A single renewal regis-
tration may be made for a group of works by the
same individual author, all first published as
contributions to periodicals, including news-
papers, upon submisson of a single fee and
application, when certain conditions are met.
The "author" here means an individual person
and not an employer in the case of a work made
for hire. Also the class in which the original
registrations were made is immaterial and is
not limited to Class B (Form BB) . The above-
mentioned conditions, set forth below, must all
be met :

1\)
The renewal claimant or claimants, and the
basis of claim or claims under 17 U.s.C.
304(a), is the same for each of the works;
and

2\)
The works were all copyrighted upon their
first publication, either through a sepa-
rate copyright notice and registration, or
by virtue of a general copyright notice in
the periodical issue as a whole and a claim
to copyright has been registered in the
periodical issue; and

3\)
The renewal application and fee are received
not more than 28 or less than 27 years after

1310

Contributions to periodicals and composite works. (cont a) Group registrations. (cont'd)

1310.05

3) (cont'd) the 31st day of December of the calendar year in which all of the works were first published; and

4) The renewal application identifies each work separately, including the periodical containing it and its date of first publi- cation.

See 17 U.S.C. 408 (c) (3).

1311

Works first published abroad in English. Under the Act of 1909, as amended, ad interim copyright was a short-term copyright available to English- language books and periodicals which were manu- factured and first published abroad. It was secured by registration within six months of first publi- cation abroad and lasted for a maximum of five years from the date of publication. Copyright could be extended to the full 28-year term if a U.S. edition was manufactured and published within five years after first publication abroad, and if a claim to copyright in the U.S. edition was also registered.

1311.01

Both editions registered. If ad interim and full-term registrations were both made within the proper time limits, renewal registration may be made to cover both editions.

1311.02

Single renewal application. A single renewal application can be submitted covering both the ad interim and full-term registrations, regard- less of whether or not the U.S. edition con- tained new matter, provided both editions are eligible for renewal during the same calendar year. If both editions are included on a single renewal application, that application must include information taken from both original registrations. For the special problem pre- sented by an antedated notice, see section 1303.01 above.

1311

## Works first published abroad in English. (cont'd)

1311.03
Separate applications. Where separate appli-
cations are submitted, each application must be
filed within the 28th calendar year of the term
of copyright in the particular edition it covers.
The Copyright Office will annotate each appli-
cation to refer to the other edition.

1311.03 (a)

Late application. If the renewal applica-
tion is received more than 28 years from the
end of the year of first publication abroad,
registration will be refused because the
application was received too late. The
applicant may submit a new application
covering the U.S. edition alone, if that
edition contained new matter, and if the
application was submitted during the
renewal period applicable to the new
matter.

1311.04

Installments. When a work was first published
abroad in serial installments and several sepa-
rate ad interim registrations were made, separate
renewal registrations may be made, even though
the first U.S. edition was published in a single
volume. If the applicant prefers, a single
group registration can be made for installments
first published as contributions to a periodical,
provided the criteria set forth in section 1310.05
have been met.

1311.05

Foreign edition never registered. If the
foreign edition of a work was never registered
ad interim, but the later U.S. edition was
registered, the Copyright Office will accept a
renewal application covering the U.S. edition.
In the case of an application received during
the 28th year measured from the end of the year
of foreign publication, a cautionary letter
will be sent stating that the registration is
of doubtful validity. In the case of an appli-
cation received more than 28 years from the end
of the year of foreign publication, the cau-
tionary letter will explain that renewal regis-
tration covers only the new matter, if any, in
the U. S. edition. A new matter statement will
not be required on the renewal application,
unless a new matter statement appeared on the
original application.

1311

## Works first published abroad in English. (cont'd)

1311.06
No U.S. edition. Where the Copyright Office
records fail to reveal that a U.S. edition of
a work was ever registered, the Copyright Office
will generally refuse registration for a renewal
claim based on an ad interim registration, subject
to the special provisions in sections 1311.06(a) and
1311.06 (b) below. The Copyright Office will, how-
ever, correspond in order to determine whether the
U.S. edition has been registered, e.q., under a
different title.

## 1311.06 (a)

Effect of the Universal Copyright Convention
(UCC). The UCC came into force with respect
to the United States on September 16, 1955.
The implementing legislation provides that,
upon the coming into force of the Universal
Copyright Convention in a foreign state or
nation, every book or periodical of a citi-
zen or subject thereof in which ad interim
copyright was subsisting on the effective
date of said coming into force shall have
copyright for 28 years from the date of
first publication abroad without the
necessity of complying with the further
formalities specified. See section 9(c)
of the Act of 1909, as amended. Therefore,
in such cases the ad interim copyright was
extended to the full 28-year term measured
from the date of first publication abroad,
and such copyrights are renewable in accor-
dance with the general provisions relating
to the term for other published works. See
section 1303 above. In determining whether
renewal registration is possible, the fac-
tors to be considered include the follow-
ing:

1\)
Citizenship of the author as shown in
the Copyright Office records.

2\)
The effective date of adherence to the
UCC by the country of which the author
was a citizen.

3\)
The time between securing ad interim
copyright and the effective date of
such adherence.

1311

Works

first published

abroad in English.

(cont'd)

1311.06

No U.S. edition.

(cont'd)

1311.06 (b)

Effect of the current Act. In the case of any work in which ad Interim copyright is subsisting or is capable of being secured on December 31, 1977, under section 22 of title 17 as it existed on that date, copy- right protection was extended to endure for the full term or terms provided by section 304 of title 17 of the new law, pursuant to Sec. 107 of Transitional and Supple- mentary Provisions of the current Act. Thus, for works covered by this provision, a renewal claim will be registered even though there was no registration for a u.s. edition.

1312

Renewal In over, law, classes right. author, copyright intestate

claimantsi accordance with the if the author is rather than the of persons See 17 U.S.C. if living, who with respect enumerated in section succession,

authors and their copyright law, it dead, it is the rules of testamentary entitled to claim renewal 304. is entitled to claim to all works other 1317 of this chapter. that specifies the

successors. is the copyright or copy- renewal than those More- successive

1313

Renewal may in the

claimants: claim renewal, author's true

authors, The author, whether the work was name, a pseudonym,

if living, published or anonymously.

1313.01

Author still living. If the author is still living, the renewal application must be filed in the author's own name, even if the author is insane or incompetent.

1313.02

Author's name not in records of original regis- tration. Where an applicant is claiming renewal as the "author, " or as any other person entitled to claim renewal if that author is dead, and where that author's name does not appear in the records of the original registration, renewal registration will generally not be made unless that name is placed in the Copyright Office records. The Copyright Office may suggest

## 1313

## Renewal claimantsi authors. (cont'd)

1313.02
Author's name not in records of original regis-
tration. (cont d)

that an application for supplementary registra-
tion be submitted in order either to correct or
to amplify the information given in the original
record. See Chapter 1500: CORRECTIONS AND
AMPLIFICATIONS OF COPYRIGHT RECORDS; SUPPLEMEN-
TARY REGISTRATIONS. In any case, and particu-
larly when a supplementary registration is not
suitable, a document supporting the author-
ship may be recorded in the Copyright Office.
The renewal application is annotated to reflect
the volume and page number of recordation. A
supplementary registration or document is not
necessary when the nature of the work makes
the omission of the claimant's name natural,
e.g., works of multiple authorship, pictorial
reproductions, and obviously anonymous works.
See also Adverse claims, section 1318.03
below.

1313.03

Term "author" defined for renewal purposes.

The term "author, "for renewal purposes, refers
to the individual who personally wrote or created
"renewable matter" in the work. The term "author"
includes editors, compilers, arrangers, trans-
lators, illustrators, etc. It does not include
employers in the case of works made for hire,
publishers, corporations, firms, partnerships,
religious orders, fraternal organizations, or
any other impersonal entities.

1314

Renewal claimants: widows, widowers, and children.

If the author is dead, the author's surviving
spouse and children are entitled to claim renewal.
17 U.S.C. 304.

1314.01
Single class. The widow (widower) and children
are regarded as a single class of renewal claim-
ants, and applications from any or all will be
accepted without question. See DeSylva v.
Ballentine, 351 U.S. 570, 30 C.O.Bull. 245
(1956) .

## 1314 Renewal claimants: widows, widowers, and children. (cont'd)

1314.02
Definition of widow or widower. The author's
widow or widower is the author's surviving
spouse under the law of the author's domicile
at the time of his or her death, whether or
not the spouse has later remarried. 17 U.s.c.
101.

1\) A widow (widower) does not lose his (or
her ) renewal rights upon remarriage.

2\)
A common-law spouse may also be regarded
as the "widow" or "widower" for renewal
purposes, if the author is deceased.

3\)
A divorced spouse is not an acceptable
renewal claimant as widow or widower.
However, the Copyright Office will not
inquire into the validity of a marriage
or a divorce.

4\)
The terms "wife of the author, " "wife of
the deceased author, " "husband of the
author, " or "husband of the deceased author"
are not acceptable bases of claim. The basis
of claim must be stated as either "widow"
or "widower" of the author.

5\)
The Copyright Office will request a new
application correcting the basis of claim
if a widow or widower is claiming renewal
as the author's "next of kin" or "executor."

1314.03

Definition of children. A person's "children"
are that person's immediate offspring, whether
legitimate or not, and any children legally
adopted by that person. 17 U.S.C. 101.

1\)
The Copyright Office will register a renewal
claim in the name of an illegitimate child,
whether paternity has been acknowledged or not.

2 )
Legally adopted children are acceptable
renewal claimants.

3\)
Stepchildren, as such, are not entitled
to claim renewal.

Renewal claimants; widows, widowers, and children.
(cont'd)
Definition of children. (cont'd)

1314.03

4\)
Grandchildren and other descendants beyond
the first degree cannot claim renewal as
"the children of the deceased author."

5\)
The Copyright Office will request a new
application giving the correct basis of
claim if a child is claiming renewal as
the author's "next of kin" or "executor."

1315

Renewal claimants: executors. If the author dies
leaving a will, and if no widow, widower, or
children are living at the time the renewal appli-
cation is filed, the author's executor is entitled
to claim renewal in his or her own name.

1315.01

Qualification. In order to be regarded as
an "executor," a claimant must have been
named in the author's will, and presumably
must have been qualified in probate pro-
ceedings. However, the Copyright Office will
not refuse a renewal claim in the name of the
the executor, even if the author's will has
not been probated. The Copyright Office will
accept as an "executor" a claimant described
as an "ancillary executor," "substitute
executor, " "successor executor, " or "literary
executor." See also section 1316.02 below.

1315.02

Personal right. The right to claim renewal as
"executor" is a personal one, and the renewal
application must name the individual executor.

1\)
The author's legatees, as such, have no
right to claim renewal in their own names.

2 )
Renewal rights are claimed by the executors
not for their personal benefit, but as
fiduciaries for the benefit of the legatees
under the author's will. See Miller Music
Corp. v. Charles N. Daniels, Inc., 362 U.S.
373, 32 C.O.Bull. 307 (1960).

1300-19

1315

Renewal claimants: executors.

(cont'd)

1315.02

Personal right. (cont'd)

3) A renewal claim cannot be registered in the name of the "Estate of John Doe, " even if executors have not yet been qualified under the author's will.

4) The executor named in the renewal applica- tion must be an individual or be a fiduciary organization authorized by law to serve as an executor. A renewal application which does not name as executor an individual or a trust department of a bank will be ques- tioned. Example: The renewal application which names a law firm as the renewal claimant in the capacity of executor under the author's will will be questioned because it is unclear whether the law firm is a fiduciary organization authorized by law to serve as executor.

1315.03

Intestate. In no case can the administrator of an intestate author's estate claim renewal.

1316

Renewal claimants: next of kin. If the author is dead and no widow (widower) or children survive the author, and if there is "the absence of a will, " the author's next of kin are entitled to claim renewal. 17 U.S.C. 304 (a) .

1316.01

Definition. The term "next of kin" refers only to blood relatives of the author. 1) It is not clear whether the term "next of kin" refers only to the living relatives of the nearest degree of consanguinity (defined as the quality or state of being descended from the same ancestor) or whether it also includes the descendants of dead relatives claiming on the theory representation. The Copyright Office

1316
Renewal claimants: next of kin. (cont'd)

1316.01
Definition. (cont'd)

1\)
( cont'd)

will register the claim of any blood
relative as "next of kin, " regardless of
the degree of consanguinity.

Example :

Where an author had two brothers, one
of whom died leaving two sons, it is
unclear whether the nephews may claim
renewal equally with the surviving
brother.

2\)
The statement of the basis of claim on the
renewal application must not consist solely
of a statement of relationship, e.g.
sister, mother, niece, etc. The claim
itself should be stated as "next of kin of
the deceased author, there being no will,"
although kinship may be specified paren-
thetically.

3\)
Statements such as "heirs" or "representa-
tives of heirs" are not acceptable either
as claimants or as bases of claim.

1316.02
Will but no executor. If the author left a will,
but no executor exists at the time for renewal,
the proper renewal claimant is unclear.

1\)
However, on the basis of judicial authority,
the Copyright Office will accept a claim in
the names of the next of kin, except in the
situation noted in paragraph 3(c) below.

2\)
If it is unclear whether executors still
exist, registration may be made in the names
of both the executors and the next of kin on
separate applications and for separate fees.

Example:
The executor himself is unsure whether
or not he was actually discharged.

## 1316 Renewal claimants: next of kin. (cont'd)

### 1316.02 Will but no executor. (cont'd)

3\)
) If the author leaves a will which names no
executor, or if the person named cannot or
will not act as executor, the court may
appoint an "administrator cum testamento
annexo" ( administrator with the will
annexed; administrator c.t.a) who performs
the identical functions of an executor. When
the estate has been settled and the executor
discharged, or when the executor is removed
before the estate is completely administered,
the court may appoint an "administrator de
bonis non cum testamento annexo (adminis-
trator de bonis non with the will annexed;
administrator d.b.n.c.t.a. ) to deal with
the remaining or after-acquired property
under the will.

a) The Copyright Office will register
renewal claims in the names of admin-
istrator c.t.a. or administrator
d.b.n.c.t.a. Except as noted in para-
graph (c) below, the Copyright Office
will also register renewal claims for
the same work in the names of both
the next of kin and the administrators
c.t.a. or administrators d.b.n.c.t.a. on
the basis of separate applications and
fees.

b)
Where the author's will names an executor
who cannot or will not act as executor, or
when the estate has been settled and the
executor discharged, or when the executor
is removed before the estate is completely
settled, registration will be made in the
names of the author's next of kin, even
when the administrators c.t.a. or adminis-
trators d.b.n.c.t.a. exist.

c)
If the author left a will without naming
an executor, and an administrator c.t.a.
or administrator d.b.n.c.t.a. is in
existence at the time of renewal regis-
tration, an application in the name of
the next of kin will be refused on the

1316

Renewal claimants: next of kin. (cont'd)

1316.02

Will but no executor. (cont'd)

c) (cont'd) basis of Gibran v. National Committee of Gibran, 255 F. 2d 121, 31 C.O. Bull. 249 (2d Cir. 1958); cert. denied, 358 U.S. 828 (1958).

1317

Renewal claimants: proprietors. The copyright act provides that the proprietor of the copyright may claim renewal in certain specified cases.

1317.01

Definition. The term "proprietor" refers to the owner of the copyright on the effective date of the renewal registration.

1317.02

Derivation of title. In order to claim renewal as "proprietor," the claimant must derive his or her title directly or indirectly from the original copyright owner.

1317.03

Posthumous works. If a work is "posthumous" within the meaning of the copyright law, the proprietor is the proper renewal claimant. Generally, the author's widow, widower, children, executor, or next of kin have no right to claim renewal in a "posthumous work."

1317.03 (a)

Definition. A work is not considered posthumous" if it is published during the author's lifetime, but a work is commonly considered "posthumous" if it is first published after the author's death. How- ever, for purposes of section 304(a) of the copyright law, the term "posthumous work" means any work as to which no copyright assignment or other contract for exploita- tion of the work has occurred during the author's lifetime and which is unpublished at the time of the author's death. See Bartok v. Boosey &amp; Hawkes, Inc., 523 F. 2d 941, 40 C.O.Bull. 69 (2d Cir. 1975), and H.R. Rep. No. 94-1476, 94th Cong., 2d Sess. 139 (1976); see also 37 C.F.R. 202.17 (b) . Thus, under section 304(a) a work is not "post- humous" if it was merely first published after the author's death.

1317
Renewal claimants: proprietors. (cont'd)

1317.03

## Posthumous works. (cont'd)

1317.03 (b)

Proper claimant. Where the work is
posthumous" within the meaning of section
304 (a) of the copyright law, the appropriate
claimant is the proprietor.

1\)
Where the applicant asserts that there
was neither a contract for exploitation
nor an assignment of copyright during
the author's lifetime, and the work was
unpublished on the date of the author's
death, the Copyright Office will make
registration in the name of the pro-
prietor.

2\)
Where the applicant asserts that during
the author's lifetime there was a contract
for exploitation but no copyright assign-
ment, it is unclear whether or not the
work is "posthumous." See S. Rep. No.
94-473, 94th Cong., 1st Sess. 123 (1975).
Therefore, registration will be made in
the name of the author's widow, widower,
children, executor, or next of kin and
also in the name of the proprietor, pro-
vided separate applications and fees are
submitted.

3\)
Where the applicant asserts that there
was an assignment of the copyright during
the author's lifetime, the work is not
considered "posthumous, " and the Copyright
Office will make the renewal registration
in the name of the author's widow, widower,
children, executor, or next of kin. Regis-
tration will not be made in the name of the
proprietor.

4\)
Where the proprietor-applicant asserts that
the work is "posthumous" only because the
work was first published after the author's
death, the Copyright Office will inquire
whether during the author's lifetime there
was a copyright assignment or other contract
for exploitation of the work.

1300-24

1317

Renewal claimants: proprietors. (cont'd)

1317.03

Posthumous works. (cont'd)

1317.03 (b)

Proper claimant. (cont'd) 5) Where the work was originally published as a contribution to a periodical and that contribution was not separately registered, there is doubt under the wording of the renewal provisions of the law as to whether the proprietor of such a "posthumous work" may claim the renewal. In such cases, the Copyright Office will accept applications from the proprietor, and also from the author's widow, widower, children, executor, or next of kin, provided separate applica- tions and fees are submitted.

1317.04

Composite works. The proprietor of a periodical, cyclopedic, or other composite work may claim renewal in the work as a whole.

1317.04 (a)

Definition. Generally, a composite work is an original publication relating to a variety of subjects to which a number of different authors have contributed dis- tinguishable and separable selections. Thus, a work by a single author con- sisting of a collection of his writings is not a composite work. Similarly, a work which is the product of joint authorship and common design, or which consists of elements which have been indistinguishably merged into a single entity, cannot be regarded as composite, e.g., musical compositions, dramas, dramatico-musical works, and motion pictures.

1317.05

Individual contributions. While the proprietor of a composite work may claim renewal in the work as a whole, the author of an individual contribution, or the author's beneficiaries, may also claim renewal in the contribution.

* It is unclear whether the proprietor's claim in the entire work covers everything in the work that is not separately renewed.

1317

1317.05

## Renewal claimants: proprietors. (cont'd) Individual contributions. (cont'd)

\* If a renewal application covering an indi-
vidual contribution is received too late for
registration, the Copyright Office will
inform the applicant of the facts of renewal
registration for the composite work because
the contribution may be protected by the
renewal of the general copyright in the
composite work in which the contribution was
first published.

1317.06

Corporate body. In the case of a "work
copyrighted by a corporate body otherwise than
an assignee or licensee of the author, " the
statute gives the proprietor the right to claim
renewal.

1317.06 (a)

Questionable claim. This basis of claim is
always questioned unless it has been estab-
lished by previous correspondence.

1317.06 (b)

When not acceptable. This basis of claim is
not acceptable when :

1\) The original copyright claimant was not
a corporation.

2\) The individual author of an unpublished
work transferred his common-law literary
property, or his right to secure copy-
right, to a corporation.

i) The corporation is regarded as the
author's assignee.

ii) The fact that the corporation also
purchased the author's manuscript
does not change its status as
assignee.

3\)
The work is posthumous, composite, or was
made for hire.

1317
Renewal claimants: proprietors. (cont'd)

1317.06

Corporate body. (cont'd)

1317.06 (c)

Corporate body: special circumstances. In
cases other than those listed in section
1317.06 (b) above, registration on this
basis will be strongly discouraged and will
be made only when the applicant indicates
that there were special circumstances under
which the claim might conceivably be said
to apply.

Examples :

1\)
Works to which the stockholders of a
corporation have contributed indis-
tinguishable parts.

2\)
Works written or created by members of
a religious order or similar organiza-
tion, when the individual authors never
had a personal property right in the
works.

3\)
Works written by an official or major
stockholder in a corporation, when the
works were written directly for the
corporation and the arrangement did not
amount to employment for hire.

4\)
Motion pictures, when the applicant
asserts that the work was produced
under special circumstances and was not
copyrighted by an employer for whom the
work was made for hire.

1317.07

Employer in the case of a work made for hire.
The proprietor of the copyright shall be en-
titled to claim renewal in works originally
copyrighted by an employer for whom they were
made for hire. See 17 U.S.C. 304.

1317
Renewal claimants: proprietors. (cont'd)

1317.07

Employer in the case of a work made for hire.
(cont'd)

1317.07 (a)

Employer-claimant. Generally, in order
for this basis of claim to be acceptable,
the original copyright claimant must have
secured the copyright by virtue of his
employment of the "author," rather than
through any transfer of rights after the
work was completed.

1317.07(b)

Determinations by Copyright Office. The
Copyright Office will generally make no
effort to determine whether or not a par-
ticular agreement constituted employment
for hire.

\* A renewal claim as "author" will be
questioned when the original records
of the registration state that the
work was made for hire.

\* The claim will be registered if the
individual was listed as "author" by
virtue of being an employer in a work
made for hire.

\* A renewal claim as "proprietor of copy-
right in a work made for hire" will be
questioned when the original copyright
claimant was also the only author listed
in the Copyright Office records. The
claim will be refused if the person
listed as "author" on the original
records was not an employee for hire.
However, if an explanation is offered
indicating that the "author" was
employed for hire, and inadvertently or
by agreement with the employer, claimed
copyright in his or her own name, the
proprietor claim will be accepted.

1317
Renewal claimants: proprietor. (cont'd)

1317.07

Employer in the case of a work made for hire.
Tcont'd)

1317.07(c)

Work made for hire. In order for this
claim to be applicable, as the Act
explicitly states, the work must have been
copyrighted by the employer for whom the
work was made for hire.

\* No provision is made under the literal
terms of the Act for the case in which
the work was made for hire, but the
employer transferred his common-law
literary property to a third person
before either publication or registra-
tion as an unpublished work.

\* When this situation is presented, the
Copyright Office will register a renewal
claim as "proprietor of copyright in a
work made for hire, " but will point out
that the law makes no specific provision
for this situation.

1317.07(a)

More than one author. When more than one
author contributed to a work, the renewal
claimant need not specify that all of the
authors were employed for hire.

\* If only some of the authors were employed,
this fact should appear on the renewal
application.

\* The Copyright Office will accept claims
by authors or their beneficiaries and
proprietors of copyright in a work made
for hire on the same application, pro-
vided that no patent inconsistency is
presented.

1318

Joint renewal claimants. When the author is dead
and there is more than one person in the class of
beneficiaries entitled to renew under the statute,
registration by one claimant secures renewal for
all those who would have been entitled to claim.

1300-29

1318 Joint

renewal claimants. ( cont'd)

1318.01

Several claimants, same application. When a number of different persons are entitled to claim renewal in the same work, the Copyright Office will accept their claims on a single application or on separate applications. It is not necessary that all possible claimants join in applying for registration in order to secure a renewal. If an application for a work is received after its renewal period has expired, and a renewal claim has already been registered in the name of another claimant, the Copyright Office will correspond and point out that it is too late for the registration of this renewal claim, but that registration has been made in the name of another claimant.

1318.02

Later application, same work. Once a renewal registration has been made, the Copyright Office will generally not accept a duplicate application for renewal registration on behalf of the same renewal claimant.

1318.03

Adverse claims. When an application is received that conflicts with a renewal claim which has already been registered, the Copyright Office will inform the second applicant of the con- flicting statements contained in the registered renewal claim, and will request an explanation. The later claim will be registered without further question, if the applicant reasserts it and the claim is not patently invalid. See also Chapter 100: BASIC POLICIES, section 108.06, concerning adverse claims.

1318.04

Adverse claims: conflicts concerning the author

and the author's successors. 1) When an earlier claim was registered in the name of an author's next of kin, and a new application is submitted in the name of the executor, the Copyright Office will request information concerning the existence of a will.

## Joint renewal claimants. (cont'd)

### 1318 1318.04 Adverse claims: conflicts concerning the author and the author's successors. (cont 'd)

2\)
When a renewal claim was registered in the
name of the author, and the widow (widower)
now claims, the Copyright Office will request
the date of the author's death. If the
date is earlier than that on which the
first application was filed, registration
will be made without further correspon-
dence. If the author was living when
registration was made in the author's
name, the widow's (widower's} claim may also
be registered as a doubtful case, despite
the principle that renewal rights vest on
the date of a valid registration.

1318.05

## Adverse claims: conflicts concerning propri- etors, authors, and authors' successors.

1\)
When a renewal claim was registered in the
name of an individual author, and a new
application is submitted as "proprietor
of copyright in a work made for hire,"
the Copyright Office will request infor-
mation concerning the circumstances under
which the work was written.

2\)
When a renewal claim was registered in the
name of "a proprietor of copyright in a work
made for hire," and a new application is
submitted in the name of the individual
author, the Copyright Office will request
information concerning the circumstances
under which the work was written.

3\)
When a renewal claim was registered in the
name of one of several authors, and a new
renewal application is submitted as "pro-
prietor of copyright in a work made for
hire" without restricting the claim to the
work of a particular author or authors, the
Copyright Office will ask whether the claim
covers the material written by the person

## Joint renewal claimants. (cont'd)

1318
1318.05
Adverse claims: conflicts concerning propri-
etors, authors, and authors's successors.
Tcont'd)

3\) (cont'd)

in whose name registration has already been
made. If so, registration will be made if
the applicant reasserts the claim. If not,
a new application should be submitted con-
fining the claim to the material written
by employees for hire.

4\)
Where the original claim named an employer
in a work made for hire as the author, and
a renewal application names an individual
author, the Copyright Office will write to
the renewal applicant requesting informa-
tion concerning the circumstances under
which the work was written. If the appli-
cant asserts that the work was not made
for hire, the renewal claim will be
registered on behalf of the author or the
author's statutory heirs.

1319

Unacceptable renewal claims. The following general
principles and practices govern the acceptability
of renewal claims.

1319.01

### Personal right. The right to claim renewal copyright is a personal right.

1319.02

Deceased person. A renewal claim cannot
be registered in the name of a deceased
person. The Copyright Office does not
search to determine whether or not the
renewal claimant is alive. If, however,
the Copyright Office has information
that the claimant died before the
receipt in the Copyright Office of the
renewal application, the Office will
refuse to register the claim as
submitted.

1319

Unacceptable renewal claims. (cont'd)

1319.03

Claimant not named, only status given. The renewal right accrues to an indi- vidual person or firm, and not to a status. Claims by "the Executor of James Fitzgerald" or "the executors of the author" or by "the next of kin of the author" without specifically naming the claimant are not accept- able.

1319.04

Claimant fails to qualify. The Copyright Office cannot register a renewal claim unless the basis of claim is one that is acceptable under the statute. If none of the claimants listed in the statute exists or can be identified, registration must be refused.

1319.05

Successors or representatives of claimants. The successors or representatives of a person who would have been entitled to claim renewal if still living, are unacceptable renewal claimants. For example, the executor of the author's widow is an unacceptable renewal claimant.

1319.06

Assignment of renewal interests. Registra- tion must be made in the name of the statutory claimant, even though the statutory claimant has assigned all of his or her interests in the renewal term. For example, registration cannot be made in the names of an "assignee," "proprietor," "attorney in fact, " or "owner per agreement."

1319.07

Extent of claim. A renewal claim in a published work can cover only the material which was first published in that particular version of the work.

1319.07 (a)

Later version. The original author of a published work cannot claim renewal in a later version of that work unless that author contributed to the new matter on which copyright in the later version was

1319

Unacceptable renewal claims. (cont'd)

1319.07

Extent of claim. (cont'd)

1319.07 (a)

Later version. (cont'd)

claimed. For example, where it appears from the record that an author's original composition was published before an arrangement of it by another person, a renewal claim in the arrangement by the author, based on his original composi- tion, is unacceptable.

1319.07(b)

Revised published version. Where an author's original unpublished work was first published with an arrangement or other new matter by another person, the author's claim to renewal in the pub- lished work may be accepted.

[END OF CHAPTER 1300]

[1984]

)
☒

)

# Chapter 1400

# GROUP REGISTRATIONS

This chapter is in preparation.

## CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY REGISTRATIONS

Outline of Topics

1501

Applicability of this chapter.

1502

Basic registrations.

1503

Means used for correcting and amplifying Copyright
Office records.

1503.01

1503.02

Supplementary registrations.
Recordation of documents.

1503.03
Additional basic registrations.

1504

Supplementary registrations: procedures used for
correcting and amplifying Copyright Office records.

1504.01
Supplementary registrations: corrections.

1504.02
Supplementary registrations: amplifications.

1504.03

Supplementary registrations: correcting or
amplifying information in another supple-
mentary registration.

1504.04
Supplementary registrations: when not
appropriate.

1504.05

Supplementary registrations: basic regis-
tration a prerequisite.

1504.06
Supplementary registrations: time limits.

1504.07

Supplementary registrations: persons entitled
to submit application.

1504.08

Supplementary registrations; their effect.

1505

Recordation of documents: procedures used for
correcting and amplifying Copyright Office
records.

1505.01
Recordation of documents: corrections or
amplifications of completed registrations.

1505.02

Recordation of documents: correction of error
in recorded document.

1505.03
Recordation of documents: effect.

1506

New basic registration: procedures used for

correcting and amplifying Copyright Office records.

1506.01

New basic registration: time limits.

1506.02

New basic registration: effect.

1507

Special situations relating to corrections and

amplifications of Copyright Office records.

1507.01

Special situations relating to ownership.

1507.02

Change in name or address of author or claimant.

1507.03

Change of domicile, citizenship, and place of publication.

1507.04

Problems relating to title of work.

1507.05

Problems relating to authorship.

1507.06

Problems relating to nature or extent of authorship.

1507.07

Problems relating to status of work.

1507.08

Problems relating to deposits.

1507.09

Problems relating to extent of claim.

1507.10

Problems relating to recorded documents.

1507.11

Examining Division error.

1507.12

Earlier registration not authorized.

1507.13

Problems relating to minor errors.

1507.14

Abandonment of copyright or copyright claim.

1508

Completion of Form CA.

1508.01

Completion of Form CA: identification of work.

1508.02

Completion of Form CA: correction space.

1508.03

Completion of Form CA: amplification space.

1508.04

Completion of Form CA: information not con- tained in appropriate space.

1508.05

Completion of Form CA: single form sufficient for correction and amplification.

1509

Effective date of supplementary registration.

# CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY REGISTRATIONS

1501

Applicability of this chapter. This chapter
contains the practices to be followed in cor-
recting or amplifying Copyright Office records;
these practices are general in nature, and each
case should be dealt with on its own merits.
Moreover, this chapter does not deal with those
errors in the record of a basic registration
that the Office itself should have recognized at
the time the registration was made; in such

cases the Office will take appropriate measures
to rectify its error. See 37 C.F.R. 201.5(a)
(2) . Nor does this chapter deal with adverse
contentions incident to registration. See
section 108.06 of Chapter 100: BASIC POLICIES;
see also sections 1318.04 and 1318.05 of Chapter
1300 : RENEWAL OF COPYRIGHT.

1502

Basic registrations. Most such corrections and
amplifications involve "basic registrations." A
"basic registration" means any of the following:
(A) a copyright registration made under section
408 of the copyright law; (B) a renewal regis-
tration made under section 304 of the copyright
law; (c) a registration of claim to copyright
made under the copyright law as it existed
before January 1, 1978; or (D) a renewal regis-
tration made under the copyright law as it
existed before January 1, 1978. See 37 C.F.R.
201.5(a) (1) (i) . Once a basic registration has
been made in the Copyright Office for a work,
that basic registration will ordinarily stand as
the fundamental copyright record on which other,
later records relating to the particular work
can be built.

1503

Means used for correcting and amplifying Copy-
right Office records. The following means are
available for correcting or amplifying Copyright
Office records.

1503.01

Supplementary registrations. A supplemen-
tary registration to correct certain errors
in a copyright registration or to amplify
the information given in a copyright regis-
tration is a special type of copyright
registration provided for in the copyright
law. See 17 U.S.C. 408(d) . One supple-
mentary registration may correct or amplify
information in only one basic registration.

1503.02

Recordation of documents. A document to
correct certain errors In a copyright
registration or to amplify the information
given in a registration may be recorded in
the Copyright Office, provided that the
requirements for recordation are met. See
Chapter 1600: RECORDATION OF TRANSFERS AND
OTHER DOCUMENTS PERTAINING TO A COPYRIGHT.

1503.03

Additional basic registrations. Certain
kinds of errors may be corrected only by
making an additional basic registration.
See also sections 1506 and 1507 below.

1504

Supplementary registrations: procedures used for
correcting and amplifying Copyright Office records.
A supplementary registration may be made either to
correct or to amplify information given in a basic
registration. The appropriate form prescribed by
the Copyright Office for a supplementary regis-
tration is Form CA.

1504.01
Supplementary registrations: corrections. A
"correction" is appropriate if the infor-
mation in the basic registration was
incorrect at the time that basic registra-
tion was made, and the error is not one
that the Copyright Office itself should
have recognized. See 37 C.F.R. 201.5 (b)
(2)(i).

1504

Supplementary registrations: procedures used for
correcting and amplifying Copyright Office records.
(cont d)

1504.01
Supplementary registrations: corrections.
(cont'd)

Examples :

1\)
) A basic registration identified someone
incorrectly as the author of the work.

2\)
A work was registered as published when
publication had not actually taken
place.

3\)
The statement of the extent of the
claim is inaccurate.

1504.02
Supplementary registrationsi amplifications.
An amplification is appropriate in order
to accomplish the following purposes:

1\)
To reflect additional information that
could have been given, but was omitted,
at the time basic registration was made
(e.g., a co-author's name was omitted) ;
or

2\)
To reflect changes in facts, other than
those relating to transfer, license, or
ownership of rights in the work, that have
occurred since the basic registration was
made (e.g., a change in the title of
the work or a change in an author's or
claimant's name) ; or

3\)
To clarify information given in the basic
registration (e.g., the statement of
changes or additions in the version being
registered was not sufficiently explicit) ;
or

See 37 C.F.R. 201.5(b) (2) (ii) .

4\)
To have individual titles in a collection
indexed separately in the Copyright Office
catalogs.

Supplementary registrations: procedures used for
correcting and amplifying Copyright Office records.
(cont a)

1504.03

Supplementary registrations: correcting or
amplifying information in another supple-
mentary registration. Although a supple-
mentary registration may be made to correct
or amplify the information in any completed
basic registration, a supplementary regis-
tration cannot be made to correct or amplify
the information contained in another supple-
mentary registration. Where a supplementary
registration contains an error, a new
supplementary registration should be made to
correct or amplify the information contained
in the basic registration in question.

1504.04

Supplementary registrations: when not appro-
priate. Supplementary registration is not
appropriate:

1\)
As an amplification to reflect the owner-
ship, division, allocation, licensing, or
transfer of rights in a work, whether at
the time the basic registration was made or
thereafter ( see also section 1507.01 (b)
below); or

2\)
To correct errors in statements or notices
on the copies or phonorecords of a work; or

3\)
To reflect changes in the content of a work;
or;

4\)
As a substitute for renewal registration;
or

5\)
To add a renewal claimant; or

6\)
To change the basis of claim or change
the renewal claimant after the renewal
period has expired; or

7\)
As a substitute for recording a transfer
or other document pertaining to copy-
right ownership.

See 37 C.F.R. 201.5(b) (2) (ii), (iii), and
(iv) .

1504

## Supplementary registrations: procedures used for correcting and amplifying Copyright Office records. (cont'd)

1504.05

Supplementary registrations: basic registration a prerequisite. Supplementary registration can be made only if a basic copyright registration for the same work has already been completed. The application for supplementary registration must clearly identify the registration to be corrected or amplified. See 17 U.S.C. 408(d).

1504.06

Supplementary registrations: time limits. The following are time limits for making a supplementary registration.

1504.06 (a)

To correct or amplify a basic original registration. As a general rule, supple- mentary registration to correct or amplify an original basic registration may be made at any time. However, for works which were published or registered or both before January 1, 1978, and are still subject to renewal registration, a supplementary registration affecting the original term of copyright can only be made during the first 28-year term.

Example : A work is published and registered in 1954. An application for supplementary registration is submitted in 1983 to change the year date of publication to 1955. The application for supplemen- tary registration will be refused.

1504.06 (b)

To correct a renewal registration. Supplementary registration to correct a renewal claimant or basis of claim in a basic renewal registration may be made only if the application for supplemen- tary registration and fee are received in the Copyright Office within the statutory time limits for renewal. If the error or omission in a basic renewal

1504

Supplementary registrations: procedures used for

correcting and amplifying Copyright Office records.

Tcont'd)

1504.06

Supplementary registrations: time limits.

(cont'd)

1504.06 (b)

To correct a renewal registration. (cont 'd) registration is extremely minor, and does not involve the identity of the renewal claimant or the legal basis of claim, supplementary registration may be made at any time. See 37 C.F.R. 201.5 (b) (2) (iv).

1504.07

Supplementary registrations: persons entitled to submit application. After a basic copyright registration has been completed, any author or other copyright claimant of the work, or the owner of any exclusive right in the work, or the duly authorized agent of any such author, other claimant, or owner, who wishes to correct or amplify the information given in the basic registration for the work may file an application for supplementary registration. See 37 C.F.R. 201.5(b) (1).

1504.08

Supplementary registrations: their effect. The following are effects of making a supplementary registration.

1504.08(a)

New registration number and certificate. The Copyright Office will assign to a supplementary registration a new regis- tration number in the appropriate class, and issue a certificate of supplementary registration under that number. See 37 C.F.R. 201.5 (d) (1) .

1504.08 (b)

Augmenting basic registration. The information contained in a supplementary registration augments but does not super- sede that contained in the basic regis- tration. The basic registration will not be expunged or cancelled. See 17 U.S.C. 408(d) and 37 C.F.R. 201.5 (d) (2).

1504

Supplementary registrations: procedures used for
correcting and amplifying Copyright Office records.
(cont'd)

1504.08

## Supplementary registrations: their effect. (cont'd)

1504.08 (c)

Cross-referencing. If the person who,
or on whose behalf, an application for
supplementary registration is submitted is
the same as the person identified as the
copyright claimant in the basic registra-
tion, the Copyright Office will place a
note referring to the supplementary
registration on its records of the basic
registration. See 37 C.F.R. 201.5(b) (1),
note 3. The Office will follow the same
practice with respect to an application
for supplementary registration submitted
by the duly authorized agent or successor
in interest of the copyright claimant in
the basic registration.

NOTE: Successors in interest, for this
purpose, are those who derive their title
from the claimant, as for example, an
assignee.

1505

Recordation of documents: procedures used for
correcting and amplifying Copyright Office records.
In certain cases a document may be recorded either
to correct or to amplify information given in a
basic registration. Such a document may be
recorded at any time. See also Chapter 1600:
RECORDATION OF TRANSFERS AND OTHER DOCUMENTS
PERTAINING TO A COPYRIGHT.

1505.01

Recordation of documents: corrections or
amplifications of completed registrations.
Ordinarily, when a person who is entitled to
file an application for supplementary regis-
tration wishes to correct or amplify a copy-
right registration, an application for supple-
mentary registration should be submitted. See
section 1504.07 above. However, if an appli-
cation for supplementary registration is not
appropriate, or if the application for supple-
mentary registration is appropriate but the

1505

Recordation of documents: procedures used for
correcting and amplifying Copyright Office records.
(cont'd)

1505.01
Recordation of documents: corrections or
amplifications of completed registrations.
[cont'd)

sender insists on the recordation of a docu-
ment, an affidavit or signed statement out-
lining the error or amplification may be
recorded in the Copyright Office. In some
instances, recordation of a document supporting
the basis for registration of a claim to
renewal copyright is required before regis-
tration can be made.

Example :

Where a renewal claim is submitted by an
author whose name neither appears in the
records of the original registration nor in
a supplementary registration which has been
cross-referenced to the original regis-
tration and the omission cannot be satis-
factorily explained, registration of a
renewal claim in that author's name will
generally be made only if a document
supporting the claim of authorship is
recorded.

1505.02
Recordation of documents: correction of error
in recorded document. Where errors in a
document are discovered following recordation,
no changes in the completed record can be made,
but the sender may adopt one of three
alternatives:

1\)
Submit the corrected document for
recordation.

2\)
Submit a completely new document for
recordation.

3\)
Record an affidavit or other signed
statement describing the error in the
previously recorded instrument.

# 1500-9

1505

Recordation of documents: procedures used for

correcting and amplifying Copyright Office records.

Tcont'd)

1505.03

Recordation of documents: effect. Generally, where a supplementary registration is prefer- able, but the sender submits a document for recordation, the Copyright Office will corres- pond with the sender, pointing out that no annotation will be made on the application for the basic registration. If the sender persists in requesting recordation, the document will be recorded.

1506

New basic registrationi procedures used for

correcting and amplifying Copyright Office records. Ordinarily, when an applicant wishes to correct or amplify a copyright registration, a supplementary registration is suggested. However, in some instances, a supplementary registration is not appropriate, as explained in section 1507 below, and the Copyright Office will suggest that a new basic registration be made.

1506.01

New basic registration: time limite. A new basic original registration may be made, if otherwise appropriate, at any time within the life of the copyright. A new basic renewal registration must generally be made within one year prior to the expiration of the original term of copyright. See Chapter 1300: RENEWAL OF COPYRIGHT.

1506.02

New basic registration: effect. A basic registration generally stands by itself. Where, however, a new basic registration is made to correct an earlier basic registration, the earlier basic registration will be anno- tated to reflect the later registration.

1507

Special situations relating to corrections and ampiifications of Copyright Office records. The following are examples that present problems relating to corrections and amplifications of Copyright Office records.

[1984]

## Special situations relating to corrections and amplifications of Copyright Office records. [cont'd)

1507.01

Special situations relating to ownership. As
explained in section 1504.01 above, a supple-
mentary registration is generally the appro-
priate method for either correcting or
amplifying the statement of ownership of an
earlier registration. However, in some
instances, a new basic registration may be
acceptable.

Example:

Where someone other than the author is
incorrectly identified as copyright
claimant in a registration, another basic
registration for the same version may be
made by the author in his or her own name
as copyright claimant.

1507.01 (a)
Supplementary registration acceptable:
additional authors or claimants. Where the
basic original registration was made in the
name of one author who is also listed as
sole claimant, the Copyright Office will
accept an application for supplementary
registration from additional authors who
now want the record to show their author-
ship and ownership. However, in such cases
a new basic registration may be made if the
applicant so desires.

1507.01 (b)

Supplementary registration not appropriate.
As explained in section 1504.04 above, a
supplementary registration is not appro-
priate as an amplification to reflect the
ownership, division, allocation, licensing,
or transfer of rights in a work, whether at
the time basic registration was made or
thereafter.

Examples :

1\)
Authors A and B are identified as
co-claimants on the basic registration
but they wish to reflect an allocation
of ownership of 25 percent to A and 75

## Special situations relating to corrections and amplifications of Copyright Office records.

(cont 'd)

1507.01

## Special situations relating to ownership. (cont'd)

1507.01 (b)
Supplementary registration not appropriate.
(cont'd)

Examples: (cont'd)

1\) (cont'd)

percent to B. A supplementary regis-
tration is not acceptable. An appro-
priate document may be submitted for
recordation.

2\)
A and B are named as co-authors and
co-claimants of the words and music
to three songs covered by a single
unpublished registration. A wishes
the records of the Copyright Office
to reflect that he was the sole author
and claimant of the words and music to
two of the songs and that he and B are
co-authors and co-claimants of only the
third song. The Office will accept an
application for supplementary regis-
tration to correct the authorship and
ownership of the two songs authored by
A, and to show that the claim covers
only those two songs in the original
collection. Also, a new basic regis-
tration should be made for the song
which was co-authored by A and B.

1507.01 (c)

Transfer of ownership. Where an appli-
cation for supplementary registration is
submitted to reflect a transfer of copy-
right ownership, the Copyright Office will
refuse registration but will suggest the
recordation of the document of transfer.
The Office will not make a supplementary
registration as a means of reflecting a
transfer of ownership.

## Special situations relating to corrections and amplifications of Copyright Office records. Tcont'd)

### 1507.01 Special situations relating to ownership. (cont'd)

1507.01 (a)

Supplementary registration requested to
correct statement as to rightful claimant.
An application for supplementary regis-
tration may be accepted to correct a
statement as to the rightful claimant in
an unpublished registration effective on
or after January 1, 1978, or a work first
published after that date. See also
section 1507.01 (a) above.

NOTE: Thus, where a registration was
authorized but the wrong name was given as
claimant, the Copyright Office will accept
an application for supplementary registra-
tion.

1507.01 (e)

Statutory copyright secured before 1978.
Where statutory copyright was secured
before 1978, and the allegation is that a
different claimant owned the copyright at
the time of basic registration, the
Copyright Office will refuse an application
for supplementary registration. A document
conveying rights from the original claimant
of record may be recorded.

1507.02

Change in name or address of author or claimant.

Where an applicant wishes to correct an error
or have the records of the Copyright Office
reflect a change in the name or address of the
author or claimant in a basic registration, the
Copyright Office will accept an application for
supplementary registration. If the applicant so
requests, the Office will record a document
reflecting such correction or change.

1507

Special situations relating to corrections and
amplifications of Copyright Office records.
[cont'd)

1507.02
Change in name or address of author or claimant.
(cont"a)

Example :

The basic registration indicates that Jane
Adams is the claimant. An application for
supplementary registration is submitted to
change the claimant's name to her married
name, Jane Adams Morgan. A supplementary
application reflecting such a change is
appropriate.

1507.02 (a)

Change or error in name of corporate entity
or other organization. When an applicant
wishes to have the records of the Copyright
Office reflect a change in the name of a
corporate entity or other organization, the
Copyright Office will accept an application
for supplementary registration, and where
it is likely that an official document
changing the name exists, the Office may
suggest that the document be recorded.

1507.03

Change of domicile, citizenship, and place of
publication. Where an applicant wishes to
correct an error in the basic registration with
respect to the domicile or citizenship of an
author or the place of publication of a work,
the Copyright Office will generally accept an
application for supplementary registration.
If, however, the correction would affect the
eligibility of the work for U.S. copyright
protection, the Office will write and point
out to the sender the consequences. If the
work was not eligible for U.S. copyright
protection on the effective date of the basic
registration, that registration will be
cancelled. The application for supplementary
registration will be filed without action.

NOTE: In no case will the acceptance by the
Copyright Office of an application for
supplementary registration result in the
cancellation of a preexisting basic
registration, unless the applicant on the
supplementary registration is the same as
the applicant on the basic registration.

1507

Special situations relating to corrections and

[cont

amplifications of Copyright Office records.

'd)

1507.04

Problems relating to title of work. Where

an applicant wishes to reflect a change or correction of title or the addition of a sub- title in a basic registration, the Copyright Office will accept an application for supple- mentary registration. The recordation of a document should not be suggested for the purpose of reflecting a change of title. Nevertheless, the Office will record such a document if the sender insists, after the sender has been notified that no annotation will be made on the application or catalog entries of the basic registration.

1507.05

Problems relating to authorship, Problems

relating to authorship include the following.

1507.05 (a)

Problems relating to authorship: name of author omitted. Where the name of an author was omitted from the application for the basic registration, supplementary registration is appropriate. In those cases where a transfer statement would have been required on the application for the basic registration, if that author's name had been included, a transfer statement will be required on the application for supplementary registration. Where the name of the person being added did not appear anywhere on the records of registration, some documentation confirming that the person is an author may be requested.

1507.05 (b)

Problems relating to authorship: deletion

of name. Where applicant states that the application for basic registration errone- ously included a name as author which the applicant wishes to delete, the Copyright Office will accept an application for supplementary registration. In certain instances, the Office may request addi- tional supporting statements.

## Special situations relating to corrections and amplifications of Copyright Office records. (cont 'd) Problems relating to authorship. (cont'd)

1507.05

1507.05 (c)

Problems relating to authorship; employment-
for-hire statement omitted, given in error,
or stated erroneously. Where an employ-
ment-for-hire statement was either omitted,
given in error, or stated erroneously, the
Copyright Office will accept an application
for supplementary registration which should
include in appropriate cases a new or
corrected transfer statement.

1507.06
Problems relating to nature or extent of

authorship. Where an applicant wishes either
to correct or to amplify the statement of the
nature of authorship on a basic registration,
an application for supplementary registration
may be submitted. In certain instances, it
will be necessary to examine the work either
by obtaining the deposited material or by
requesting additional material from the
applicant or from the collections of the
Library of Congress.

Examples :

1\)
The original registration limited the claim
to compilation. An application for supple-
mentary registration is submitted to make
"editing" the basis of the claim. If
statements on the copy suggest that there
is substantial editing, the supplementary
claim will be registered.

2\)
An application for supplementary regis-
tration is submitted adding a new author
whose only contribution is "cover art."
Examination of the copy reveals that the
artwork on the cover is not registrable.
Supplementary registration will be
refused.

1507

Special situations relating to corrections and

amplifications of Copyright Office records. (cont a)

1507.07

problems relating to status of work. The Following problems relate to the status of a work.

1507.07(a)

Published work registered as unpublished. Where a published work was incorrectly registered as unpublished, a supplementary registration is generally inappropriate, since the deposit requirements will not ordinarily have been met. In such cases, a new basic registration should be made. See also section 1507.08(d) .

1507.07 (b)

Unpublished work registered as published. Where an unpublished work was registered as published, the Copyright Office will accept an application for supplementary registra- tion.

1507.07(c)

Incorrect date of creation. Generally, the Copyright Office will accept an application for supplementary registration to correct the statement of the date of creation of a work. However, the date of creation given in the supplementary registration must be the same as, or earlier than, the year date of the effective date of the basic regis- tration, or if the work is published, the year date must be the same as, or earlier than, the year of first publication.

1507.07 (d)

Incorrect date of publication. Generally, the Copyright Office will accept an application for supplementary registration to correct the date of publication of a work. However, in the case of a work published before January 1, 1978, the Office will refuse to accept an application for supplementary registration correcting the date of publication if, according to the records of the basic registration, the original term of copyright has expired.

### Special situations relating to corrections and amplifications of Copyright Office records. Tcont'd)

### Problems relating to status of work. (cont'd)

1507.07
1507.07 (d)
Incorrect date of publication. (cont'd)

NOTE: In all cases involving a change in
the date of publication, the Examiner must
also consider the deposit requirements
applicable on the effective date of the
basic registration. See section 1507.08
below.

1507.07 (d) (1)

Applicable notice requirements. If
the work was published before 1978,
the Examiner must also consider the
applicable notice requirements. See
the provisions of Chapter 4 of
Compendium I, including situations
where no notice was required, under
the Regulations of the Copyright
Office then in effect, for certain
works first published outside the
United States. In the case of works
published before 1978, the following
practices apply:

\* If the change in the date of publi-
cation makes the notice antedated,
the application for supplementary
registration will be annotated to
reflect the date in the notice.
The applicant must be notified as
to the effect upon the term of
copyright.

\* If the change in the date of publi-
cation makes the notice postdated
by more than one year, supplementary
registration will be refused, and
the original registration will be
cancelled.

\* If the change in the date of publi-
cation makes the notice postdated
by one year, supplementary regis-
tration will be made and the
applicant will be notified of the
doubtful validity of the claim.

1507 Special situations relating to corrections and amplifications of Copyright Office records. Tcont 'd)

1507.07

Problems relating to status of work. (cont'd)

1507.07 (d)

Incorrect date of publication. (cont'd)

1507.07(d)(1)

Applicable notice requirement. (cont'd)

NOTE: If the work was published before 1978 without the required notice, supple- mentary registration will be refused and the original registration will be cancelled.

1507.08

Problems relating to deposits. Supplementary registration can be used only to correct errors or amplify facts stated in an earlier application for a registration that has been completed. An application for supplementary registration is not appropriate to correct a defect in the deposit, changes in the content of the work, or errors in statements or notices on the copies or phonorecords of the work in question. Also, where a change in the date of publication results in the applicable deposit requirements not being satisfied, a new basic registration would be in order, since an appropriate deposit should be submitted.

1507.08 (a)

New versions. If a work has been changed since registration was made, and if the changes are sufficient to be the basis of a registration, the proper procedure would be to make a basic registration for the revised version to reflect the additions or revisions.

1507.08(b)

Addenda and errata sheets. Where the applicant voluntarily deposits addenda or errata sheets for published works to be included and/or attached to the deposit copies after registration has been com- pleted, such items should be referred with

## Special situations relating to corrections and amplifications of Copyright Office records. (cont 'd)

1507.08

## Problems relating to deposits. (cont'd)

1507.08(b)
Addenda and errata sheets. (cont'd)

a memorandum of transmittal to the Chief,
Acquisitions and Processing Division of the
Copyright Office. Where the material to be
substituted or added to the deposit copy of
an unpublished work contains sufficient
copyrightable new matter to support a new
registration, the Copyright Office will
suggest that a new basic registration be
made for the revised version.

1507.08(c)

Addition or correction of copyright notice.
Neither a supplementary registration nor a
new basic registration is appropriate to
reflect the addition or correction of a
copyright notice on copies or phonorecords
deposited to make an earlier registration.

1507.08 (a)

Applicable deposit requirements not met.
Where the applicable deposit requirements
were not met, a new basic registration is
in order.

Examples :

1\)
The basic registration indicates that
the work was unpublished; the applicant
now states that on the effective date
of registration the work was actually
published. A new application for a
basic registration should be submitted
with the required deposit and fee.

2\)
The basic registration states that the
work was first published in 1979. The
applicant now asserts that the work was
actually first published in 1977. Since
copies as first published are required
for works first published before 1978,
an application for a basic registration

# Special situations relating to corrections and amplifications of Copyright Office records. Tcont'd) Problems relating to deposits. (cont'd)

1507.08

1507.08 (d)

Applicable deposit requirements not met.
Tcont "a)

Examples: (cont'd)

2\) (cont'd)

accompanied by the required deposit
should be submitted. If, however, the
work was first published without an
acceptable copyright notice, the basic
registration will be cancelled.

3\)
A published registration made in 1978
gives the date of publication as
December 27, 1977. The applicant now
states that the work was actually
published on November 5, 1978. If
the copies or phonorecords deposited
in connection with the earlier regis-
tration were not of the best edition
as of the effective date of that regis-
tration, a new basic registration
should be made. If, however, the
copies deposited earlier are the best
editions as of the date of the first
registration, a supplementary regis-
tration may be made to correct the
date of publication.

1507.09

Problems relating to extent of claim. The
Copyright Office will accept an application for
supplementary registration in order to add,
correct, or amplify a statement relating to the
extent of claim which was omitted or given in
error on the basic registration. Ordinarily,
examination of the original deposit will be
necessary.

1507.10

Problems relating to recorded documents. A
supplementary registration is not appropriate
to change the contents of a document previously
recorded in the Copyright Office. See section
1505.02 above.

## Special situations relating to corrections and amplifications of Copyright Office records. (cont 'd)

1507.11
Examining Division error. Where it is dis-
covered that the record of a basic registration
contains an error that the Copyright Office
itself should have recognized at the time
registration was made, supplementary regis-
tration is not appropriate. The Office will
take measures to rectify its error. See 37
C.F.R. 201.05 (a) (2) .

1507.12
Earlier registration not authorized. If an
applicant states that an earlier registration
was made without the authorization of a person
legally entitled to apply for registration, the
Copyright Office will suggest that a complete
new registration be made by the applicant. No
cross reference will be made on either regis-
tration. See section 108.06 of Chapter 100:
BASIC POLICIES.

### 1507.13

Problems relating to minor errors. An appli-
cation for supplementary registration that has
been filed to correct what may seem to be even
extremely minor errors or changes will not be
refused.

Examples:

1\) Title on certificate: SWAN SONG

Title on deposit: THE SWAN SONG

Title as corrected on Form CA: THE SWAN
SONG

2\) Title on certificate: I'LL LOVE YOU

Title on deposit: I'LL LOVE YOU

Title as changed on Form CA: I'LL LOVE YOU
( FOREVER)

## Special situations relating to corrections and amplifications of Copyright Office records. {cont'd)

### 1507.13

Problems relating to minor errors. (cont'd)

3\)
Name on certificate: John Munroe
Name on deposit: John D. Munroe
Name as amplified on Form CA: John Drummond
Munroe

4\)
Name on certificate: Jonh Francis Bacon
Name on deposit: John F. Bacon

Name as corrected on Form CA: John Francis
Bacon

5\)
"Material Added" statement on certificate:
additional words and music.

New matter as amplified on Form CA: words
in chorus added and 16 bars of new music.

1507.14
Abandonment of copyright or copyright claim.

There is no provision in the copyright statute
for abandoning a copyright or copyright claim
or any of the rights therein. However, the
Copyright Office will record an affidavit or
other statement, signed by all of the copyright
owners, purporting to abandon the copyright,
without expressing any opinion concerning its
legal effect. In such cases, the Copyright
Office will request the return of the original
certificate of registration.

1508

Completion of Form CA. The information provided on
Form CA should agree exactly with the information
as it already appears in the basic registration
that has been made for the work. Generally, the
Form CA should be compared with the basic regis-
tration to be corrected or amplified.

1508.01

Completion of Form CA: identification of work.

To identify the work, the following information
should be given :

1500-23

1508

Completion of Form CA. (cont'd)

1508.01

Completion of Form CA: identification of work.

(cont'd)

1) The title of the work as it appears in the basic registration, including previous or alternative titles, if they appear;

2) The registration number of the basic registration;

3) The year when the basic registration was completed; and

4) The name or names of the author or authors of the work, and the copyright claimant or claimants in the work, as they appear in the basic registration.

See 37 C.F.R. 201.5(c) (1) (i) to (iv).

1508.01 (a)

Minor error. If certain information given on the Form CA is incorrect, and the error is minor, the Copyright Office may correct the error without correspondence.

1508.01 (b)

Missing information. If less than all the information requested above in section 1508.01 is given, but sufficient infor- mation (more than a title) is given to identify the basic registration with certainty, the Copyright Office will add by annotation the missing information from its records at the appropriate space on the application form. Where the information given on the Form CA is insufficient to identify the basic registration, the Office will communicate with the applicant.

1508.02

Completion of Form CA: correction space. This space should be completed only if the infor- mation in the basic registration was incorrect at the time the basic registration was made. The following information should be given:

1500-24

1508

Completion of Form CA. (cont'd)

1508.02

Completion of Form CA: correction space. Tcont'd)

1) The line number and heading or description of the part of the basic registration where the error occurred;

2) A transcription of the erroneous infor- mation as it appears in the basic regis- tration;

3) A statement of the correct information as it should have appeared; and

4) If applicant so desires, an explanation of the error or its correction.

See 37 C.F.R. 201.05 (c) (1) (v) .

1508.03

Completion of Form CA: amplification space. This space should be completed only for the following reasons:

1) To reflect additional information that could have been given, but was omitted at the time basic registration was made; or

To reflect changes in facts, other than those relating to transfer, license, or ownership of rights in the work, that have occurred since the basic registration was made; or

3) To clarify information given in the basic registration.

1508.03 (a)

Amplification spacer information required. The following information should also be given: 1) The line number and heading or descrip- tion of the part of the basic registra- tion where the information to be amplified appears;

1508
1508.03

Completion of Form CA. (cont'd)

Completion of Form CA: amplification space.
(cont'd)

1508.03 (a)
Amplification space: information required.
[cont'd)

2\) A clear and succinct statement of the
information to be added; and

3\) If applicant so desires, an explanation
of the amplification.

See 37 C.F.R. 201.5 (c) (1) (vi).

1508.04

Completion of Form CA: information not con-
tained in appropriate space. Where the
corrected or amplified information is not
contained in the appropriate space, but appears
elsewhere on the application form, the claim
will generally be registered without corres-
pondence.

1508.05

Completion of Form CA: single form suffi-
cient for correction and amplification. A
single Form CA may be used both to amplify
and to correct a particular basic registra-
tion.

Example :

A single Form CA may be used to show a
change of title and to correct the name
of an author.

1509

Effective date of supplementary registration. The
effective date of a supplementary registration is
the date when the Copyright Office receives the
required fee and a request for a correction or
amplification which reasonably identifies the
work.

[END OF CHAPTER 1500]

)
☒

)

# RECORDATION OF TRANSFERS AND OTHER DOCUMENTS PERTAINING TO A COPYRIGHT

Outline of Topics

1601
1602

## Applicability of this chapter.

Statutory provisions relating to transfers and other
documents pertaining to a copyright.

1602.01
1602.02

Execution of transfers of copyright ownership.
Recordation of transfers and other documents: con-
ditions for recordation.

1603

## Copyright Office policy.

1603.01

General rule.

1603.02

Exceptions.

1603.03

Other documents pertaining to a copyright.

1603.04

Recordation not required.

1603.05
When recordation suggested.

1604

The nature of the document.

1604.01

Recordation not a substitute for registration.

1604.02

Relationship between document and copyright unclear.

1604.03
Document apparently submitted in error.

1605

Formal sufficiency of document.

1605.01

Instrument in writing.

1605.02
Actual signature.

1605.03

Illegible document.

1605.04

Signature of transferor.

1605.05

Apparent inconsistency.

1605.06

Authority to sign.

1605.07

Signature of individual.

1605.08

Signatures required on work-for-hire agreements.

1606

Identification of parties.

1606.01

Failure to identify necessary parties.

1606.02

Indexing.

1606.03
One-party documents.

1607

Identification of subject of document.

1607.01

Failure to identify work.

1607.02

Titles.

1607.03

No titles given.

1607.04

Outside sources.

1608

Transfer documents: words of conveyance.

1608.01

No clear words of conveyance.

1608.02

Intention manifest.

1609

Completeness of document.

1609.01

Attachments.

1610

Incorporation by reference.

1611

Part of a larger document.

1612

Other formal requirements.

1612.01

Freedom from obvious errors.

1612.02

Date of execution.

1612.03

Certificate of acknowledgment.

1613

Documents to correct or amplify Copyright Office
records.

1614

Recordation.

1614.01
Date of recordation.

1614.02
Indexing.

1614.03
Amendments in document submitted for recordation.

1614.04

Recordable document returned.

1614.05

Recording fees.

1614.06

Separate transfers.

1614.07

Titles.

1614.08
Pages.

1615

Termination of transfers and licenses

granted by

the

author under the extended renewal term.

1615.01

Statutory provision.

1615.02

Advance notice and service.

1615.03

Time limits.

1615.04

Forms.

1615.05

Contents of notice.

1615.06

Signature.

1615.07

Service.

1615.08

Scope of examination.

1615.09

Recordation.

1615.10

Recordation without prejudice.

1615.11

Date of recordation.

1616

Termination of transfers and licenses granted by the

author on or after January 1, 1978.

)
☒

# Chapter 1600 RECORDATION OF TRANSFERS AND OTHER DOCUMENTS PERTAINING TO A COPYRIGHT

1601

Applicability of this chapter. This chapter contains
the requirements for the recordation of transfers and
other documents pertaining to a copyright under 17
U.s.c. 205, and the termination of transfers and
licenses granted by the author covering the extended
renewal term under 17 U.S.C. 304(c). The practices
concerning the filing or recordation of the following
documents are not included either in this chapter or
elsewhere in Compendium II, and requirements other than
those in this chapter may apply.

1\)
Notices of Identity and Signal Carriage Complement,
and Statement of Account of cable systems. See 17
U.S.C. 111 (d) and 37 C.F.R. 201.11 and 201.17.

2\)
Certain contracts entered into by cable systems
located outside of the 48 contiguous States. See
17 U.S.C. 111(e) and 37 C.F.R. 201.12.

3\)
Original, signed notices of intention to obtain
compulsory license to make and distribute phono-
records of nondramatic musical works. See 17
U.S.C. 115(b) and 37 C.F.R. 201.18.

4\)
License agreements, and terms and rates of royalty
payments, voluntarily negotiated between one or more
public broadcasting entities and certain owners of
copyright. See 17 U.S.C. 118 and 37 C.F.R. 201.9.

5\)
Notification of filing and determination of
actions. See 17 U.S.C. 508 and Federal Register
for June 2, 1978, 43 Fed. Reg. 24151 (1978), as
modified in Federal Register for June 19, 1980, 45
Fed. Reg. 41548-

6\)
Statements regarding the identity of authors of
anonymous and pseudonymous works, and statements
relating to the death of authors. See 17 U.S.c.
302.

1602

Statutory provisions relating to transfers and other documents pertaining to a copyright. The following are the principal statutory provisions relating to transfers and other documents pertaining to a copy- right.

1602.01 1602.02 1603

Execution of transfers of copyright ownership. A transfer of copyright ownership, other than by operation of law, is not valid unless an instru- ment of conveyance, or a note or memorandum of the transfer, is in writing and signed by the owner of the rights conveyed or such owner's duly authorized agent. 17 U.S.C. 204.

Recordation of transfers and other documents: con- ditions for recordation. Any transfer of copyright ownership or other document pertaining to a copy- right may be recorded in the Copyright Office if the document filed for recordation bears the actual signature of the person who executed it, or if it is accompanied by a sworn or official certification that it is a true copy of the original, signed document. 17 U.S.C. 205(a).

Copyright office policy. The Copyright Office will generally not attempt to judge the legal sufficiency or interpret the substantive contents of a purported transfer; recordation will be made if the formal requirements have been met. However, a document will be examined to determine whether the requirements for recordation have been met.

1603.01

General rule. If the document purports to be a transfer of a copyright and is signed by the owner of the rights conveyed, the owner's authorized agent, or one entitled to make the transfer, it will be indexed as a "transfer."

1603.02

Exceptions. In exceptional cases, where it seems clear that the recordation of a document will not accomplish what was intended by the person who submitted it, the Copyright Office will in the first instance communicate with that person. If such person reasserts his or her request for recordation, the Copyright Office will record the document.

## Copyright Office policy. (cont 'd)

Other documents pertaining to a copyright. Any
other document, including a self-serving declara-
tion, will be recorded in the Copyright Office, if
it pertains to a copyright. A document shall be
considered to "pertain to a copyright" if it has a
direct or indirect relationship to the existence,
scope, duration, or identification of a copyright,
or to the ownership, division, allocation, licens-
ing, transfer, or exercise of rights under a copy-
right. That relationship may be past, present,
future, or potential. See 37 C.F.R. 201.4.

1603.04

Recordation not required. In general, the Copy-
right Office does not require the recordation of
documents. However, in certain cases, recordation
of an affidavit or other document may be required
as a condition of renewal registration or of anno-
tation of completed Copyright Office records.

Example :

Where a renewal claim is submitted by an author
whose name appears nowhere in the Copyright
Office records in connection with the original
registration and the omission of his or her
name cannot be satisfactorily explained, regis-
tration of a renewal claim in that author's
name will be made only if a document supporting
the claim of authorship is recorded.

1603.05

When recordation suggested. Even though the
Copyright Office does not generally require
recordation of documents, it may point out the
recordation provisions of the law and suggest the
desirability of recording an instrument.

Example :

An application for registration is submitted
where a claim in the same work has already been
registered in the name of the prior owner of
copyright. When the second registration is
sought to reflect the change of ownership, the
Copyright Office will refuse to make a second
registration, but will point out the desir-
ability of reflecting the change in ownership
by recording the instrument of transfer.

The nature of the document. The document may be
questioned by the Copyright Office, unless it perceives
some direct or indirect relationship to a copyright.

Examples:

1\) A bill of sale of a business.

2\) A birth or death certificate.

3\) A blanket power of attorney.

1604.01

Recordation not a substitute for registration. A
document may be recorded even if a claim to copy-
right in the work to which it refers has not been
registered for copyright. However, where it is
clear that the applicant is seeking to substitute
recordation of a document for registration of a
claim, or to assert by recordation a claim for
which registration would be refused, recordation
of the document will be discouraged.

1604.02

Relationship between document and copyright unclear.

Where the relationship between the document to be
recorded and copyright is unclear or obscure, recor-
dation will be delayed and the sender may be asked
his or her purpose in submitting the instrument.

Examples:

1\) A document consisting of a collection of
newspaper clippings referring to a night-
club performer.

2\) A bill of lading referring to a shipment of
motion picture films.

1604.03

Document apparently submitted in error. Where it
seems probable that the document has been submitted
to the Copyright Office in error, it may be ques-
tioned or, in clear cases, returned without recor-
dation.

Example:

An assignment of rights in a trademark or
patent.

1605

Formal sufficiency of document. In order to be
regarded as a "transfer, " a document must generally
meet the following formal requirements :

1\)
It must be "an instrument in writing."

2\)
It must be signed by the owner of the rights con-
veyed or by such owner's duly authorized agent.

3\)
It must identify the transferor and transferee.

4\)
It must contain words of conveyance.

5\)
It must be complete by its own terms.

1605.01
Instrument in writing. To be recordable, the
Instrument must be in writing. The Copyright Office
does not provide, suggest, or require any special
form for the transfer of a copyright or other
document pertaining to a copyright. Any type of
legible document which meets the other formal
requirements will be accepted for recordation, if
it contains an individual's actual signature.

Examples :

1\)
Handwritten or typewritten original.

2\)
Transfer in the form of a letter.

3\)
Carbon of original.

4 )
Mimeographed original.

5\)
Printed original.

1605.02

Actual signature. To be recordable, the document
must bear the actual signature or signatures of the
person or persons who executed it. Alternatively,
the document may be recorded if it is a legible
photocopy or other full-size facsimile reproduction
of the signed document, accompanied by a sworn
certification or an official certification that the
reproduction is a true copy of the signed document.
Any sworn certification accompanying a reproduction
shall be signed by at least one of the persons who

1605

Formal sufficiency of document. (cont'd)

1605.02

Actual signature. (cont'd)

1605.02 (a)

executed the document, or by an authorized repre- sentative of that person. See 17 U.S.C. 205 and 37 C.F.R. 201.4 (c) (1) . Sworn certification. A "sworn certification" is an affidavit under the official seal of any officer authorized to administer oaths within the United States, or if the original is located outside of the United States, under the official seal of any diplomatic or consular officer of the United States or of a person authorized to administer oaths whose authority is proved by the certificate of such an officer, or a statement in accordance with section 1746 of title 28 of the United States Code. 37 C.F.R. 201.4(a) (3) (i).

1605.02 (b)

Official certification. An "official certi- fication" is a certification, by the appro- priate Government official, that the original of the document is on file in a public office and that the reproduction is a true copy of the original. See 37 C.F.R. 201.4 (a) (3) (ii) . Examples:

1) ) Copy of a certificate of corporate merger, bearing the certification of the Secretary of State.

2) Court decree establishing a change of name of a person, certified by the clerk of the court.

1605.03

Illegible document. An illegible document or one which cannot be reproduced legibly on microfilm will not be accepted for recordation. See 37 C.F.R. 201.04 (c) (3).

1605.04

Signature of transferor. As a rule, the document to be recorded should contain the actual handwritten signature of the person executing the document or of such owner's duly authorized agent. See 37 C.F.R. 201 .4 (c) (1) .

1605

Formal sufficiency of document. (cont'd)

1605.04

Signature of transferor. (cont'd)

1605.04 (a)

Unsigned document. An unsigned document will be returned for signature before recordation.

1605.04 (b)

Two-party instrument. In the case of a two- party instrument which on its face calls for the signature of both parties, the lack of the signature of one of the parties will be ques- tioned.

1605.04 (c)

Multi-party instrument. If a number of transferors are identified in the body of the document, and spaces have been provided for the signatures of all of them, the document will be questioned if any of the signatures is missing, unless an additional copy of the document containing the missing signatures is submitted for recordation at the same time. Each such instrument of transfer is indexed only under the particular signatures it contains.

1605.04 (a)

Signature of transferee not required. The signature of the transferee is not a require- ment, and the lack of the transferee's signa- ture will not be questioned unless the instru- ment involves mutual undertakings requiring the transferee's signature for its validity.

1605.05

Apparent inconsistency. When there is an apparent inconsistency between the person named in the body of an instrument as transferor and the person whose signature appears on it, the document is questioned.

1605.05 (a)

Corporation or other impersonal legal entity as transferor. If the transferor is a corporation or other impersonal legal entity, the capacity of the individual executing the document on behalf of the transferor should be specified. If, however, the capacity is not shown on the document, the Copyright Office will generally not question the omission.

1605
1605.05

Formal sufficiency of document. (cont'd)

Apparent inconsistency. (cont'd)

1605.05 (b)

Document signed by legal representative or
attorney-in-fact. If the document has been
signed by a legal representative (e.g.,
executor, administrator, or trustee) or
attorney-in-fact of an individual, the document
will be questioned unless the individual's
capacity is specifically stated.

1605.05 (c)
Reconcilable variance between names: indexing.
When there is a reconcilable variance between
the signature on the document and the name of
the transferor appearing in the body of the
document, the instrument will generally be
indexed under what can be determined to be the
fullest form of the legal name. The document
will generally not be indexed under the name of
an agent or official of a corporation or other
impersonal legal entity, although cross-
references under his or her name may be appro-
priate in certain cases. Where the document
has been signed by a legal representative or
attorney-in-fact, it will be indexed under the
name of the person whom the signer represents,
and cross-references may be made under the name
of the signer.

1605.06

Authority to sign. The Copyright Office does not
conduct searches in order to determine whether a
document has been signed by the owner of the copy-
right as shown in its records; nor will it question
the authority of a particular person to sign as
copyright owner. However, if the capacity indi-
cated in the instrument is not one that would
ordinarily entitle the person to bind the organi-
zation, the Copyright Office will request clari-
fication before completing the processing of the
document.

Examples:

1\)
A document executed on behalf of a publishing
company signed by an attorney purporting to
represent the company will not be questioned.

2\)
A transfer of copyright in a musical work
executed by the publisher's bookkeeper will
be questioned.

1605
1605.06

## Formal sufficiency of document. (cont'd)

Authority to sign. (cont'd)

1605.06 (a)

Signer is not copyright owner. In certain
cases, where it seems clear from correspondence
or other material in the file that the person
signing the document is not the copyright owner,
the Copyright Office will call the discrepancy
to the attention of the sender, but will not
refuse to record the document if the sender
continues to request recordation.

1605.06 (b)

Contribution to a periodical. No question will
ordinarily be raised in the case of a transfer
of copyright in a contribution to a periodical
signed in the name of the periodical rather
than that of its publisher.

Example :

Transfer of copyright in a magazine article
is signed in the name of The Saturday Eve-
ning Post rather than its publisher, Curtis
Publishing Company.

1605.07

Signature of individual. As a rule, the signature
should be the actual handwritten signature of an
individual person, and should give the individual's
own name rather than that of the person or organi-
zation he or she may represent.

Examples :

1\) A pencil signature is acceptable.

2\) A hand-printed signature is acceptable.

3\) A printed, typewritten, rubber-stamped, or
facsimile signature will be questioned.

4\) A person's mark is acceptable if accompanied
by another person's signature attesting to its
authenticity.

5\) The signature need not be legible or include
the full name of the signer, if the name is
sufficiently identified elsewhere in the
document; but initials or a monogram will
generally not be regarded as a signature.

## 1600-10

1605

Formal sufficiency of document. (cont'd)

1605.08

Signatures required on work-for-hire agreements. The statute defines a work made for hire as a work prepared by an employee within the scope of his or her employment, or a work specially ordered or com- missioned for use as a contribution to a collective work, as a part of a motion picture or other audio- visual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or as an atlas, if the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire. See 17 U.S.C. 101. An employment for hire agreement signed by both parties may be recorded in the Copyright Office under 17 U.S.C. 205 as a "document pertaining to a copyright." However, if the agreement is not signed by both parties, the Copyright Office will call this omission to the attention of the sender, but will not refuse to record the document if the sender continues to request recordation.

1606

Identification of parties. In general, any document purporting to transfer a copyright or rights under a copyright should clearly identify the transferee as well as the transferor.

1606.01

Failure to identify necessary parties. Documents which fail to identify the necessary parties will be questioned, but recordation will not be refused if, following correspondence, the sender continues to request recordation. Examples :

1) "I, John Doe, do hereby assign all rights, including copyright, in the work entitled HOW TO BURN TOAST." (Transferee not named) . 2) copyright is hereby assigned to Richard Roe, as Executor of the author . . . . " (The author not identified by name. )

1606.02

Indexing. When a document which fails to identify The necessary parties is recorded, it will be in- dexed only under the names it contains, no indexing will be done under other names furnished in corres- pondence or elsewhere. See section 1614.02 below.

### Identification of parties. (cont'd)

One-party documents. A document which necessarily
involves only one party (e.g., an affidavit) will
be indexed under the single name involved.

1607

Identification of subject of document. Recordation
of a document gives all persons constructive notice of
the facts stated in the recorded document, but only if
both of the following two conditions are met :

1\) The document, or material attached to it, speci-
fically identifies the work to which it pertains so
that, after the document is indexed by the Copy-
right Office, it would be revealed by a reasonable
search under the title or registration number of
the work; and

2\) Registration has been made for the work.
See 17 U.S.C. 205 (c).

1607.01

Failure to identify work. A document which fails
to identify the work will be questioned.

Examples:

1\) A document containing the statement "I hereby
assign my copyright to the ABC Music Co."

2\)
copyright in OPENING CHORUS is hereby
assigned . . . . " (Reference being to only a
part of the work. )

3\) If the title or other identification of a work
appears to have been inadvertently omitted.

1607.02

Titles. If the material which is the subject of
the document is otherwise adequately identified,
the document need not contain the title under which
the work was registered.

1607.02 (a)

Abbreviated title or different title or different
descriptive phrase. An abbreviated or entirely
different title, or a different descriptive
phrase, may be employed.

1607

Identification of subject of document. (cont'd)

1607.02

Titles. (cont'd)

1607.02 (a)

Abbreviated title or different title or differ-

ent descriptive phrase. (cont'd)

Examples:

1) "This Year's Sales Manual" instead of "This Year's Fabulous Deals."

2) "Style No. 173B" instead of "Field Flowers."

1607.02

(b)

Registration number used instead of title. The registration number may be used instead of the title.

1607.02

(c)

Blanket transfer. A blanket transfer, in which no individual titles are given, will be recorded without question.

Example:

"Copyrights in all the published works of John Doe are hereby assigned

1607.03

No titles given. When a document in which no titles are specified is recorded, the catalog entry will contain the notation: "No Titles Given."

1607.04

Outside sources. A document will be indexed

solely under the titles or other identifying matter it contains; no information from sources outside the document will be supplied. Thus, for example, the Copyright Office will not index

titles given only in a covering letter.

1608

Transfer documents: words of conveyance. A document purporting to be a transfer should contain words to the effect that copyright ownership is being conveyed.

Example :

"I, John Doe, do hereby assign, sell, transfer, grant, and convey copyright in 'I Love You Truly' to the ABC Publishing Co., Inc."

1608

Transfer documents: words of conveyance. (cont'd)

1608.01

No clear words of conveyance. Where a document purports to be a transfer, but lacks clear words of conveyance, the document will generally be recorded without questioning it.

1608.02

Intention manifest. Where the intention to trans- fer the copyright is manifest from a reading of the document as a whole, the fact that the document is in the form of a letter or inexactly or vaguely worded will not preclude its recordation as a transfer.

1609

Completeness of document. In general, a document will not be recorded unless it is complete by its own terms.

1609.01

Attachments. A document that contains a reference to any schedule, appendix, exhibit, addendum, or other material as being attached to the document or made a part of it shall be recordable only if the attachment is also submitted for recordation with the document or if the reference is deleted by the parties to the document.

1609.01 (a)

Document returned for amendment. If a document has been submitted for recordation and has been returned by the Copyright Office at the request of the sender for deletion of the reference to an attachment, the document will be recorded only if the deletion is signed or initialed by the persons who executed the document or by their authorized representatives.

1609.01 (b)

Exceptional cases. In exceptional cases, a document containing a reference to an attach- ment will be recorded without the attached material and without deletion of the reference if the sender asserts in writing that all three of the following factors exist and specifically requests that the document be recorded as sub- mitted: (1) the attachment is completely un- available for recordation; and (2) the attach- ment is not essential to identify the subject matter of the document; and (3) it would be impossible or wholly impractical to have the parties to the document sign or initial a

1609

Completeness of document.

(cont'd)

1609.01

Attachments. (cont'd)

1609.01 (b)

Exceptional cases.

(cont'd)

deletion of the reference. In such cases, the Copyright Office record of the document will be annotated to show that recordation was made in response to a specific request.

See 37 C.F.R. 201.4 (c) (2).

1610 1611

Incorporation by reference. When the document sub- mitted for recordation merely identifies or incor- porates by reference another document, or certain terms of another document, the Copyright Office will raise no question of completeness, and will not require recorda- tion of the other document. 37 C.F.R. 201.4 (c) (2) (iii) . Example : A document reads in part as follows: "In accordance with the terms of mutual undertaking previously entered into between the parties on January 2, 1978, which is incorporated by reference herewith, John Doe hereby transfers Part of a larger document. If a document otherwise recordable indicates on Its face that it is a self- contained part of a larger document, e.g., where it is marked "Attachment A" or "Exhibit B," the Copyright Office will raise the question of completeness, but will record the document if the person requesting recordation asserts that the document is sufficiently complete as it stands. See 37 C.F.R. 204 (c) (2) (ii).

1612

Other formal requirements. The following are other formal requirements relating to transfers and other documents pertaining to a copyright.

1612.01

Freedom from obvious errors. As a rule no attempt is made to verify the facts stated in the document submitted for recordation; titles, registration numbers, authors, dates, and the like are trans- cribed without checking their accuracy. However, when an obvious error of a material nature is recognized in the ordinary examination of the document, the document is returned for correction;

1612.01
Freedom from obvious errors. (cont'd)

in such cases, the Copyright Office will suggest
the desirability of having any changes in the
document initialed by all the persons who executed
the document.

Examples :

1\) A document submitted for recordation in a
particular year gives a later year as the date
of execution.

2\)
The names of the tranferor and transferee are
accidentially reversed.

NOTE: Although names and titles will generally be
indexed exactly as they appear in the document,
where there is a minor typographical error made in
the document, the document will be indexed under
the correct name or title.

Examples :

1\) "Great Russiand Short Stories"

2\) "Macame Du Barry"

1612.02

Date of execution. The document to be recorded
need not bear a date. However, if it does state a
date of execution, this information will be tran-
scribed on the catalog entry. While 17 u.s.c. 205
provides certain consequences for failure to record
a transfer within one month after its execution in
the United States or within two months after its
execution outside the United States, the Copyright
Office will record a document at any time after its
execution.

1612.03
Certificate of acknowledgment. A certificate of
acknowledgment is not required for the validity of
a transfer, but is prima facie evidence of the
execution of the transfer if:

1\)
In the case of a transfer executed in the
United States, the certificate is issued by a
person authorized to administer oaths within
the United States; or

1612

Other formal requirements. (cont'd)

1612.03 1613 1614

Certificate of acknowledgment. (cont'd) 2) In the case of a transfer executed in a foreign country, the certificate is issued by a diplo- matic or consular officer of the United States, or by a person authorized to administer oaths whose authority is proved by a certificate of such an officer, or by a competent foreign authority pursuant to the provisions of the 1961 Hague Convention Abolishing the Require- ment of Legalization for Foreign Public Docu- ments (i.e., the apostille procedure) . See 17 U.S.C. 204(b).

Documents to correct or amplify Copyright Office records. In certain circumstances, recordation of a document is the appropriate means of correcting or amplifying a completed Copyright Office record. However, the Office suggests that an application for supplementary regis- tration be submitted in most such cases. Nevertheless, if the sender insists, the Office will in any case accept for recordation a document giving the pertinent information. For detailed practices in this connec- tion, see Chapter 1500: CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY REGISTRATIONS.

Recordation. In general, the recordation procedure Includes initial examination of documents for formal sufficiency, determination of the recording fee, assigning identifying volume and page numbers, microfilming the document, preparing an index entry under the appropriate names and titles, and returning the recorded document with a certificate of record.

1614.01

Date of recordation. The date of recordation is the date upon which the last necessary element (acceptable document and required fee) is received in the Copyright Office. See 37 C.F.R. 201.4.

1614.01 (a)

Document returned for correction. When a docu- ment is returned to the sender for correction, the date on which the corrected document is received in the Copyright Office is generally regarded as the date of recordation.

Recordation. (cont'd)

Date of recordation. (cont'd)

1614.01 (b)

Less than entire fee received. When less than
the entire fee is received in the Copyright
Office, together with the document in record-
able form, the date of recordation is the date
on which the amount of the total required fee
is received in the Copyright Office.

Example :

If a document containing three titles is
received in recordable form, together with
only the basic fee for recordation of a
document, the date of recordation is the
date on which the fee covering the addi-
tional titles is received in the Copyright
Office.

1614.02

Indexing. A recorded document is indexed under the
names of the parties and the titles listed in the
document. The catalog entry contains the date of
recordation, the inclusive volume and page numbers
assigned to the document, and the following infor-
mation, if given in the document: the date of
execution, the names of the authors, and the regis-
tration number and year date of registration.

1614.03

Amendments in document submitted for recordation.
The Copyright Office will not itself make any
changes or corrections in a document submitted for
recordation, even when specifically requested or
authorized to do so by the sender.

Examples ;

1\)
Sender requests Copyright Office to change the
year date of execution from "1968" to "1978."

2\)
Sender requests Copyright Office to delete
reference to an attachment.

1614.04

Recordable document returned. Even though a docu-
ment is in order for recordation and is accompanied
by the appropriate fee, if the process of recorda-
tion in the Copyright Office has not been started

## Recordation. (cont'd)

1614
1614.04
Recordable document returned. (cont'd)

when a request to return or change the document is
received from the sender, the Office may return the
document to the sender, suggesting that any change
be initialed by the persons who executed it. In
such cases, the date the returned document is
received in the Copyright Office will be the date
of recordation.

Example:

Document received in the Renewals and Documents
Section of the Examining Division, but not yet
stamped with volume and page number, may be
returned to the sender.

1614.05

Recording fees. For a document consisting of six
pages or less covering no more than one title, a
basic recording fee is charged. An additional fee
is charged for each page over six and each title
over one, For the specific amounts, see 17 u.s.c.
708; see also 37 C.F.R. 201.4(d).

1614.06

Separate transfers. A fee is required for each
separate transfer or other document, even if two or
more documents appear on the same page. 37 C.F.R.
201.4 (d) (1) .

Examples:

1\)
"A" hereby transfers all right, title, and
interest in a musical composition to "B," "C,"
and "D." This is a single transfer for the
purpose of computing the recordation fee.

2\)
On a single page, but in separate paragraphs:
"A" hereby transfers a one-third interest in
the copyright in a musical composition to "B."
"A" hereby transfers a one-third interest in
the copyright in the same musical composition
to "c." "A" hereby transfers a one-third
interest in the copyright in the same musical
composition to "D." The document is signed
once. This is a single transfer for the
purpose of computing the recordation fee.

Recordation. (cont'd)

Separate transfers. (cont'd)

Examples: (cont'd)

3\) The same situation as in example 2 above, but
the document is dated and signed at each para-
graph setting out the separate conveyances.
This would be regarded as three transfers for
the purpose of computing the recordation fee.

4\) On a single page: "A" tranfers the copyright to
"B" who transfers a portion of that right to
"C." This would be regarded as two transfers
for the purpose of computing the recordation
fee.

1614.07

Titles. Generally, every title listed in a
document is counted, but not designations referring
to uncopyrightable matter.

Examples :

1\) A trademark consisting of the word "EKSRON."

2\) A mechanical patent designated as "Process for
the Impacting of Crushed Marble."

1614.07 (a)

Definition of title. The term "title" for the
purpose of computing the fee for recordation
generally denotes "appellation" or "denomina-
tion, " rather than "registration, " "work," or
"copyright." 37 C.F.R. 201.4(d) (2).

1614.07(b)

Same title repeated. Where the same title is
repeated more than once in the same document,
it is counted as only one title, unless the
document is too long or complex to make the
finding of repetitions feasible.

1614.07(c)

Single and multiple titles distinguished.

Titles that are repeated are counted as a
single "title" for the purpose of computing the
fee, even when different registration numbers or
dates are indicated. The same is true in the
case of various issues, volumes, chapters,
installments, etc., even when listed

Recordation. (cont'd)

Titles. (cont'd)

1614.07 (c)

Single and multiple titles distinguished.
(cont'd)

separately under different numbers and dates,
but they must be listed consecutively in a
series. On the other hand, if the titles are
not listed consecutively in a series, they will
be considered separate titles and separate fees
will be charged.

Examples of one title:

1\)
"Fan Club News, " vol. 1, no. 3 (June 1981)
"Fan Club News, " vol. 1, no. 4 (July 1981)
"Fan Club News, " vol. 1, no. 5 (Aug. 1981)

2\)
"Trapped in the Snack Bar," Installment I
"Trapped in the Snack Bar, " Installment II

Examples of two titles:

1\)
"Sports Monthly, " vol. 1, no. 1 (Jan. 1981)
"Sports Monthly, " vol. 1, no. 2 (Feb. 1981)
"Sports Monthly, " vol. 1, no. 4 (Apr. 1981)

2\)
"The Adventures of Cyril, " Installment I
"The Adventures of Cyril, " Installment IV

1614.07 (a)
Same title repeated with different descriptive

matter. Where the same title is repeated more
than once in the same document, but the repeti-
tions are followed by different descriptive
matter, subtitles, names of authors, or the
like, separate fees will be charged.

Examples of two titles:

1\)
"Rondo" (Massenet)
"Rondo" (Respighi)

2\)
"Architectural Drawing of Union Station-
front elevation"
"Architectural Drawing of Union Station-
side elevation"

3\)
"You Are the One" ( from Summer Romance)
"You Are the One" ( from Sunny Days)

1600-21

1614

Recordation. (cont'd)

1614.07

Titles. (cont'd)

1614.07 (e)

Alternative titles. Where a work is clearly listed under alternative titles, or where both old and new titles are clearly indicated, separate fees will be charged. Use of the conjunctive "or" will not generally be treated as denoting alternative titles. Example of one title: "How to Get Ahead in Life or Ten Ways to Improve Your Memory" Examples of two titles: 1) "Money Isn't Everything, " also known as "Who Wants to Be Rich?" 2) "Cafe Tales, " formerly known as "Draw One"

1614.07 (f)

Descriptive subtitle or translation. Even though a work is listed under a title which contains descriptive matter that could be characterized as a subtitle or translation, only one fee will be charged. Examples of one title: 1) "on the Water (Auf dem Wasser)" 2) "You Are the One" (Romantic Song)

1614.07(g)

Additional fees for title indexing. In cases where, under the practice set forth above, only one fee would normally be charged, the Copy- right Office will nevertheless index the title variations separately, upon the specific request of the sender and payment of additional fees.

1614.08

Pages. In determining the number of pages in a document, each side of a leaf bearing textual matter is regarded as a "page." 37 C.F.R. 201.4 (d) (3) . NOTE: A rider is considered a "page."

1615

are Act.

Termination of transfers and licenses granted by the author under the extended renewal term, The following the practices and provisions relating to the termi- nation of transfers and licenses granted by the author under the extended renewal term provided by the current

1615.01

Statutory provision. In the case of any copyright subsisting in either its first or renewal term on January 1, 1978, other than a copyright in a work made for hire, the exclusive or nonexclusive grant of a transfer or license of the renewal copyright or any right under it, executed before January 1, 1978, by the author (or by the successors in interest of the author, as specified by section 304(a) of the current Act), otherwise than by will, is subject to termination under the conditions specified in section 304(c) of the current Act.

1615.02

Advance notice and service. The notice of termina- tion shall be served upon each grantee whose rights are being terminated, or the grantee's successor in title, by personal service, or by first-class mail sent to an address which, after a reasonable investi- gation, is found to be the last known address of the grantee or successor in title. 37 C.F.R. 201.10 (d) (1).

1615.02 (a)

The service provision. The service provision of section 304(c) (4) of the current Act will be satisfied if, before the notice of termination is served, a reasonable investigation is made by the person or persons executing the notice as to the current ownership of the rights being terminated, and based on such investigation: (1) If there is no reason to believe that such rights have been transferred by the grantee to a successor in title, the notice is served on the grantee; or (ii) if there is reason to believe that such rights have been transferred by the grantee to a particular successor in title, the notice is served on such successor in title. 37 C.F.R. 201.10 (d) ( 2) .

1615.03

Time limits. Termination of the grant may be effected at any time during a period of five years beginning at the end of 56 years from the date copyright was originally secured, or beginning on January 1, 1978, whichever is later. See 17 U.S.C. 304 (c) (3).

Termination of transfers and licenses granted by the
author under the extended renewal term. (cont'd)

1615.04

Forms. The Copyright Office does not provide
printed forms for the use of persons serving
notices of termination. 37 C.F.R. 201.10 (a) .

1615.05

Contents of notice. A notice of termination must
Include a clear identification of each of the ele-
ments listed below. The notice itself must contain
a complete and unambiguous statement of facts
without incorporation by reference of information
in other documents or records. See 37 C.F.R.
201.10 (b).

1615.05 (a)

Name of each grantee. The name of each grantee
whose rights are being terminated or the grantee's
successor in title, and each address at which
service of the notice is being made.

1615.05 (b)

Title and author. The title of each work and
the name of at least one author of, and the date
copyright was originally secured in, each work
to which the notice of termination applies; and
if possible and practicable, the original copy-
right registration number.

1615.05 (c)

Identification of grant. A brief statement
reasonably identifying the grant to which the
notice of termination applies.

1615.05 (d)

Effective date of termination. The notice
shall state the effective date of termination
which shall fall within the five-year period
specified in section 1615.03 above, and the
notice shall be served not less than two or
more than ten years before that date. See 17
U.S.C. 304 (c) (4) (A).

1615.05 (e)

Person or persons who executed the grant. In
the case of a termination of a grant executed
by a person or persons other than the author,
the notice shall contain a listing of the sur-
viving person or persons who executed the grant.
In the case of a termination of a grant execu-
ted by one or more of the authors of the work
where the termination is exercised by the
successors of a deceased author, the notice

## 1615

## Termination of transfers and licenses granted by the author under the extended renewal term. (cont 'd)

1615.05

Contents of notice. (cont'd)

1615.05 (e)

Person or persons who executed the grant. (cont'd)

shall contain a listing of the names and rela- tionships to that deceased author or all of the following, together with specific indication of the person or persons executing the notice who constitute more than one-half of that author's termination interest: That author's surviving widow or widower; and all of that author's surviving children, and, where any of that author's children are dead, all of the sur- viving children of any such deceased child of that author. However, instead of the infor- mation required above in this subsection, the notice may contain both of the following: (A) A statement of as much of such information as is currently available to the person or persons signing the notice, with a brief explana- tion of the reasons why full information is or may be lacking, together with (B) a statement that, to the best knowledge and belief of the person or persons signing the notice, the notice has been signed by all persons whose signature is necessary to terminate the grant under section 304(c) of title 17, U.S.C., or by their duly authorized agents. See 37 C.F.R. 201.10 (b) (v) . NOTE: The Copyright Office will generally not question whether the interest of the person or persons on whose behalf the notice of termination was executed constitute more than one-half of the author's termination interest.

1615.06

Signature. A notice of termination shall contain the actual signature or a reproduction of the actual signature of the person or persons identi- fied in the document as being entitled to exercise the right of termination, or of a duly authorized agent of such person or persons.

1615

Termination of transfers and licenses

granted by the

author under the extended renewal term.

(cont d)

1615.06

signature. (cont'd)

1615.06 (a)

Termination of grant executed by someone other than the author. In the case of a termination of a grant executed by a person or persons other than the author, the notice shall be signed by all of the surviving persons who executed the grant, or by their duly authorized agents. See 37 C.F.R. 201.10(c) (1) .

1615.06 (b)

Termination of grant executed by one or more authors. In the case of a termination of a grant executed by one or more authors of the work, the notice as to any one author's share shall be signed by that author or by his or her duly authorized agent. If that author is dead, the notice shall be signed by the number and proportion of the owners of that author's termination interest required under clauses (1) and (2) of section 304(c) of the current Act, or by their duly authorized agents, and shall contain a brief statement of their relationship or relationships to that author. See 37 C.F.R. 201.10 (c) (2).

1615.06(c)

Termination of grant executed by duly authorized agent. Where a signature is by a duly autho- rized agent, it shall clearly identify the person or persons on whose behalf the agent is acting. 37 C.F.R. 201.10(c) (3).

1615.06 (a)

Additional requirements. The handwritten signature of each person effecting the termination shall either be accompanied by a statement of the full name and address of that person, typewritten or printed legibly by hand, or shall clearly correspond to such a statement elsewhere in the notice. 37 C.F.R. 201.10 (c) (4).

1615.07

Service. The notice of termination shall be served upon each grantee whose rights are being terminated, or the grantee's successor in title, by personal service, or by first-class mail sent to an address which, after a reasonable investigation, is found to be the last known address of the grantee or successor in title. 37 C.F.R. 201 .10 (d) (1).

1615

Termination of transfers and licenses granted by the author under the extended renewal term. (cont'd)

1615.08

on be

been met: Scope of examination. As a general rule, the Copy- right Office will not attempt to judge or comment the legal sufficiency of a notice of termina- tion. Recordation as a notice of termination will made if the following formal requirements have

1615.08 (a)

Legibility of notice of termination. The notice of termination must be in writing and capable of being reproduced legibly on micro- film.

1615.08(b)

Complete by its own terms. The notice of termination must ordinarily be complete by its own terms. The same rules are applicable as those which pertain to missing attachments or exhibits for documents recorded under 17 U.s.c. 205. See section 1609 above.

1615.08 (c)

Clear identification of elements. The notice of termination must clearly identify each of the elements specified in section 1615.05 above.

1615.08 (d)

Date and manner of service. The document sub- mitted for recordation should be accompanied by a statement setting forth the date on which the notice was served and the manner of service, unless such information is contained in the notice. Where such information is not con- tained in the notice, and the document is not accompanied by a statement setting forth the date and/or manner of service, the Copyright Office will request that the sender submit a separate statement containing this information.

1615.08 (e)

Effective date earlier than date of recorda- tion. A notice of termination should include an effective date of termination that is later than the date of recordation in the Copyright Office. If the document contains either an earlier date or no date of termination, the Copyright Office will suggest that the sender execute and submit for recordation a new docu- ment which gives an appropriate date of termination.

1600-27

1615 author

Termination of transfers and licenses granted by the

under the extended renewal term. (cont'd)

1615.08

Scope of examination. (cont'd)

1615.08 ( £) 1615.09

Persons not entitled to terminate. Where the Copyright Office is aware that the signature appearing on the document is not that of a person entitled to exercise the right of termination or of a duly authorized agent of such person, the Office will suggest that a new document signed by the proper person be executed and submitted for recordation.

Recordation. The Copyright Office will not refuse to record a document that fails to meet the requirements set forth in section 1615.08 above, but such document will not be indexed by the Copyright Office as a notice of termination.

1615.10

Recordation without prejudice. Recordation of a notice of termination by the Copyright Office is without prejudice to any party claiming that the legal and formal requirements for issuing a valid notice have not been met. 37 C.F.R. 201.10 (f) (4).

1615.11

Date of recordation. A copy of the notice shall be recorded in the Copyright Office before the effec- tive date of termination, as a condition to its taking effect. See 17 U.S.C. 304(c) (4) (A). The date of recordation is the date when all of the elements required for recordation, including the prescribed fee and, if required, the statement setting forth the date on which the notice was served and the manner of service, have been received in the Copyright Office. After recor- dation, the document, including any accompanying statement, is returned to the sender with a certificate of record. See 37 C.F.R. 201.10 (f) (3).

1616 author forth tions tion

Termination of transfers and licenses granted by the

on or after January 1, 1978. The practices set in section 1615 above are restricted to termina- under the extended renewal term provided in sec- 304(c) of the current Act. Practices regarding

## Termination of transfers and licenses granted by the author on or after January 1, 1978. (cont 'd)

the parallel statutory provision governing termination
of grants executed by the author on or after January 1,
1978, under section 203 of the current Act have not
been established yet because the right of termination
thereunder cannot be invoked in an appropriate termina-
tion document until the year 2003 or later. A document
that purports to terminate a grant executed on or after
January 1, 1978, may be recorded, but such document
will not be indexed by the Copyright Office as a notice
of termination.

# RECORDS, INDEXES, AND DEPOSITS OF THE COPYRIGHT OFFICE; INSPECTION, COPYING, ADDITIONAL CERTIFICATES, AND OTHER CERTIFICATIONS

# OUTLINE OF TOPICS

€

1901

Records of the Copyright Office; statutory provi-

sions.

1902

Inspection of Copyright Office records and deposits in general.

1902.01

Completed records.

1902.02

Pending applications, documents and open correspondence files.

1902.03

Official correspondence.

1902.04

Time and place of inspection.

1902.05

Records not open to public inspection.

1902.06

Requests by the public for information in the in-process files.

1902.07

Materials not open to public inspection.

1902.08

Administrative staff manuals.

1903

Copying of Copyright Office records, indexes,

correspondence, and deposits, in general.

1903.01

Making of copies.

1903.02

Requests for copies other than additional certificates.

1903.03

Copies of records.

1903.04

Materials which may generally be copied.

1903.05

Materials which may generally not be copied.

1903.06

Administrative staff manuals.

1904

Copies of deposits.

1904.01

Authorization to make copies of deposits.

1904.02

Nature of copies or phonorecords.

Chapter 1900
RECORDS, INDEXES, AND
DEPOSITS OF THE COPY-
RIGHT OFFICE: INSPEC-
TION, COPYING, ADDITIONAL
CERTIFICATES AND OTHER
CERTIFICATIONS
Outline of Topics

1905

Certificates of registration.

1905.01

Nature of the certificate.

1906

Additional certificates of registration.

1906.01

Registration made on or after January 1, 1978.

1906.02

Registrations made on or before December 31, 1977.

1906.03

Prints or labels registered in the Patent Office before July 1, 1940.

1907

Certification of recordation.

1907.01

Nature of the certificate of recordation.

1908

Certified copy of recorded document.

1908.01

Microfilm recordation.

1908.02

Preparation of copies of document.

1908.03

Certification of copies of recorded docu- ments.

1909

Certification in general.

1909.01

1909.02

Authentication of certified documents issued by the Copyright Office.

1909.03

1909.04

Appeal from denial of certification.

1909.05

Undeliverable certifications.

1909.06

Who may authenticate documents.

1909.07

Kinds of certification forms.

1909.08

Method of requesting certification.

1909.09

Preparation and handling of certifications in general.

1909.10

Certified copies of official records.

1909.11

Certified copies of correspondence.

Chapter 1900
RECORDS, INDEXES, AND
DEPOSITS OF THE COPY-
RIGHT OFFICE: INSPEC-
TION, COPYING, ADDITIONAL
CERTIFICATES AND OTHER
CERTIFICATIONS
Outline of Topics

1909

Certification in general. (cont'd)

1909.12

Certified copies of search reports.

1909.13

Certification of copies of information circu- lars, former circulars, and blank application forms.

1909.14

Certified copies of material deposited for

1909.15 1909.16

copyright registration. Jurisdictional requirement for certifying material deposited for copyright. Form and content of certified copies of mate- rial deposited for copyright (other than phonorecords and Patent Office deposits).

1910

Certified copies of prints or labels deposited in

the Patent Office before July 1, 1940.

1911

Certified copies of phonorecords.

1912

Certification of actual deposit copy when re- quired by the court.

1913

Fees in general.

1913.01

Statutory fees.

1913.02

Photoduplication Service and Motion Picture,

1913.03

Broadcasting, and Recorded Sound Division fees. Certification fees.

1914

Applicability of fees to other U.S. Government

agencies.

# CHAPTER 1900 RECORDS, INDEXES, AND DEPOSITS OF THE COPYRIGHT OFFICE; INSPECTION, COPYING, ADDITIONAL CERTIFICATES, AND OTHER CERTIFICATIONS

1901

Records of the Copyright Office; statutory provi-

sions. The copyright law states that the Regis-
ter of Copyrights shall provide and keep records
of all deposits, registrations, recordations, and
other actions taken by the Copyright Office and
shall prepare indexes of all such records. See
17 U.S.C. 705. The statute also provides the fee
schedule for Office services in connection with
searches of the records, and the certification of
copies of records. See 17 U.S.C. 708.

1902

Inspection of Copyright Office records and depo-
sits in general. Inspection may be made of com-
pleted records and indexes relating to a regis-
tration or a recorded document and of copies or
identifying material deposited in connection with
a completed registration. See 17 U.S.C. 705 and
37 C.F.R. 201.2(b) (1). Direct access by certain
persons is also afforded to pending applications
for registration, the deposit material accompany-
ing them, and pending documents for recordation.
See 37 C.F.R. 201.2(b) (4). Also see 1902.02
below.

1902.01

Completed records. All completed records and
indexes relating to a registration or to a
recorded document and all articles deposited
in connection with completed registrations
and retained under the control of the Copy-
right Office, are open to public inspection.
See 17 U.S.C. 705. Before being permitted to
inspect any deposit, however, the requester
must (1) show proper identification, prefer-
ably including a photograph and current

1902

Inspection of Copyright Office records and depo-
sits in general. (cont 'd)

1902.01
Completed records. (cont'd)

address, and (2) complete and sign a "Request
for Inspection of Copyright Deposit" (Form
C-8), indicating agreement not to copy or
deface the material to be inspected.
Requesters needing to make limited notes
during the inspection may do so only on the
form provided for that purpose by the Certi-
fications and Documents staff which will
review all notes before requesters leave the
inspection area and retain those notes that
constitute prohibited copying.

1902.02
Pending applications, documents, and open
correspondence files. Direct access will be
afforded as follows to pending applications
for registration, the deposit material accom-
panying them, pending documents for recorda-
tion that were submitted within a twelve-
month period immediately preceding the
request for access and open correspondence
files on such materials :

1\. In the case of applications for registra-
tion, the deposits accompanying them and
correspondence files: upon the request
of the copyright claimant or authorized
representative. In exceptional circum-
stances, the Register may allow inspec-
tion of pending applications and open
correspondence files by someone other
than the copyright claimant or the
claimant's representative upon submission
of a written request which is deemed by
the Register to show good cause for such
access and establishes that the person
making the request is properly and
directly concerned. The written request
for such access should be addressed to
the General Counsel, Copyright Office,
Department 100, Washington, D.C. 20540.

1902
C

## Inspection of Copyright Office records and depo- sits in general. (cont 'd)

1902.02
Pending applications, documents, and open
correspondence files. (cont'd)

2\. In the case of documents: upon the
request of at least one of the persons
who executed the document or by an
authorized representative of that person.

1902.03
Official correspondence. Official corres-
pondence, including preliminary applications
between copyright claimants or their agents
and the Copyright Office, and directly relat-
ing to a completed registration, a recorded
document, a rejected application for regis-
tration, or a document for which recordation
was refused, is available for public inspec-
tion. NOTE: That portion of official
correspondence that is directly related to
rejected applications for registration or
documents for which recordation was refused
and which once represented a closed case will
be open for public inspection and copying
even though the once-closed case may have
been later re-opened by some subsequent
action on the part of the copyright claimant,
an authorized agent thereof, or by the
Copyright Office.

1902.04

Time and place of inspection. All of the
materials open for inspection, except pending
applications and documents, may be inspected
during the operating hours of the Copyright
Office, 8:30 a.m. to 5:00 p.m., Monday
through Friday, except legal holidays, in the
Certifications and Documents Section of the
Information and Reference Division. Some of
these materials are not stored on the imme-
diate premises of the Copyright Office and

1902

### Inspection of Copyright Office records and depo- sits in general. (cont 'd)

1902.04

Time and place of inspection. (cont'd)

access to them cannot be assured unless
arrangements are made in advance with the
Certifications and Documents Section.
Inspection of pending applications and
documents will be permitted in the Public
Information Office.

1902.05

Records not open to public inspection. It is
the general policy of the Copyright Office to
deny direct public access to in-process files
and to any work or other areas where they are
kept. This general prohibition also extends
to the direct public use of computer termi-
nals intended to provide access to the auto-
mated equivalents of these files. However,
direct public access to a limited amount of
information contained in Copyright Office
in-process files may be allowed under
conditions specified in section 1902.06(b)
below. See 37 C.F.R. 201.2(b) (2). In-
process files are those which the Copyright
Office prepares for its own immediate
internal use in connection with pending
applications for registration or the
recordation of documents and which are
preliminary to the completion of the public
record. These files include the Receipt-In-
Process Records, Correspondence Management
System Records, accounting files, open
unfinished business files, and other files of
a similar nature. Information contained in
Copyright Office in-process files may be
obtained by anyone upon request. See section
1902.06 below. In no case, however, will
direct public access be permitted to any
financial or accounting records.

1902
C

1902.06

Inspection of Copyright Office records and depo-
sits in general. (cont 'd)

Requests by the public for information in the
in-process files. Information contained in
the Copyright Office in-process files may be
obtained by anyone upon request and the
payment of applicable fees to the Certi-
fications and Documents Section, Information
and Reference Division. The following infor-
mation will be supplied in response to each
such request :

1\)
the date(s) of receipt of: (i) the appli-
cation(s) for registration that may have
been submitted and is (are) being pro-
cessed; (ii) the document (s) that may
have been submitted for recordation and
is (are) being processed; and (iii) the
copy (copies) or phonorecord(s) that may
have been deposited;

2\)
the title(s) of the work(s), including
(if a serial) the date of issue, volume
number, and issue number;

3\)
the name of the remitter;

4\)
the description or classification, if an
application for registration;

5\)
the number of copies or phonorecords
deposited; and

6\)
the name of the claimant, if different
from the name of the remitter.

1902.06(a)

Requests not requiring payment of a fee.
A report containing the information
specified above will be supplied without
payment of a fee upon request made by the
copyright claimant or the authorized
agent thereof, or in the case of docu-
ments, upon the request of at least one

€

1902

Inspection of Copyright Office records and depo-
sits in general. (cont'd)

1902.06

Requests by the public for information in the
in-process files. (cont'd)

1902.06(a)

Requests not requiring payment of a fee.
(cont 'd)

of the persons who executed such docu-
ment(s) or the authorized agent thereof,
provided the request is made no sooner
than sixteen (16) weeks or later than
fifty-two (52) weeks after the requested
material was received in the Copyright
Office. Written or telephoned requests
should be directed to the Materials
Control Section, Receiving and Processing
Division; requests made in person by
members of the public should be submitted
in the Information Section, Information
and Reference Division.

1902.06(b)

Limited direct access to in-process

files. Direct public access to a limited
amount of information contained in Copy-
right in-process files is permitted on a
computer terminal designated for that
purpose in the Records Maintenance Unit
of the Information and Reference Division
upon payment of applicable fees. Such
access may be obtained between the hours
of 8:30 a.m. and 5:00 p.m., Monday
through Friday, with the exception of
legal holidays. Only the following
information is available from this
source:

1\)
the title of the work(s), including,
in the case of serials, volume
number, date of issue, and issue
number. NOTE: Only the first title
listed in each application or docu-
ment is included in this file;

1902

Inspection of Copyright Office records and depo-
sits in general. (cont'd)

1902.06
Requests by the public for information in the
in-process files. (cont'd)

1902.06(b)
Limited direct access to in-process
Files. (cont 'd)

2\)
the date(s) of receipt of the appli-
cation or document;

3\)
the classification of an application
for registration;

4\)
the number of deposit copies or
phonorecords received;

5\)
the name of the remitter; and

6\)
the name of the claimant, if
different from the name of the
remitter.

1902.07

Materials not open to public inspection.

Correspondence, memoranda, reports, opinions,
and similar material relating to internal
matters of personnel and procedures, office
administration, security matters and internal
considerations of policy, including the work
product of an attorney, are not open to
public inspection.

1902.08

Adminstrative staff manuals. Administrative
staff manuals referred to as "Compendium of
Office Practices I" and "Compendium of Office
Practices II," prepared for the general guid-
ance of the Copyright Office staff, in making
registration and recording documents, are
available for public inspection in the Certi-
fications and Documents Section from 8:30
a.m. to 5:00 p.m., Monday through Friday,
except legal holidays. See 37 C.F.R.
201.2(b) (7).

1903

Copying of Copyright Office records, indexes,
correspondence, and deposits in general. Copies
may be made of any public records or indexes of
the Copyright Office. See 17 U.S.C. 706(a).
Copies of applications may be made by the
requester or may be furnished by the Copyright
Office upon payment of the duplication fees.
Copies may be made of official correspondence
including preliminary applications between
copyright claimants or their agents and the
Office, and directly relating to a completed
registration, a recorded document, a rejected
application for registration, or a document for
which recordation was refused. Requests for
copies of correspondence should include the
information specified in the Copyright Office
regulations. See 37 C.F.R. 201.2(c) and (d).
See also section 1903.02 below for requirements.
Copies or reproductions of materials deposited
for registration retained under the control of
the Copyright Office will be furnished under the
conditions specified in the Office regulations.
However, the copyright owner or anyone providing
a litigation statement may use a camera or other
small copying device to copy a deposit if the
copy is made in the Certifications and Documents
Section under the supervision of a technician and
if no electrical power, special lights, or other
equipment is required. See 17 U.S.C. 706(b) and
37 C.F.R. 201.2(d). See also section 1904 below.

1903.01

Making of copies. If the requested copies
can be made routinely on the photocopying
equipment available in the Certifications and
Documents Section, the copies will be pre-
pared by Copyright Office staff. If the
amount of material to be reproduced or its
complexity makes duplication by the Certi-
fications and Documents staff impracticable,
the copies will be made by the Photoduplica-
tion Service of the Library of Congress or
the Motion Picture, Broadcasting and Recorded
Sound Division. In either case the current
duplication fees will be charged. See
section 1913 below.

1903
C

1903.02

Copying of Copyright Office records, indexes,
correspondence, and deposits in general.
(cont 'd)

Requests for copies other than additional

certificates. Requests for copies of
records, indexes, correspondence, and depo-
sits should be made to the Certifications and
Documents Section. Fees are charged for the
making of copies, any searches required to
find the material, and for certification.
Failure to provide a registration number and
year date, or volume and page number for a
recorded document, may result in a search
charge to find the material. To minimize
search fees and expedite the making of copies
the request for copies should include the
following information when available:

1\)
A clear identification of the type of
records or deposits to be copied (for
example additional certificates of
registration, copies of deposits, corre-
spondence, catalog entries, etc.).

2\)
A specification of whether the copies are
to be certified or uncertified.

3\)
A clear identification of the specific
records to be copied, including where
possible, the type of work involved (for
example a novel, song lyrics, technical
drawing), the registration number, if
any, the year date or approximate year
date of registration or submission to the
Office, the complete title of the work,
the author (s) including any pseudonym,
the claimant (s), and if the requested
copy is of an assignment, license,
contract, or other recorded document, the
volume and page number of the recorded
document.

1903

Copying of Copyright Office records, indexes,
correspondence, and deposits in general.
(cont'd)

1903.02

Requests for copies other than additional
certificates. (cont 'd)

4\)
If the copy requested is an additional
certificate of registration, the fee
should be included.

5\)
) The telephone number and address of the
requester.

See 37 C.F.R. 201.2(d).

1903.03

Copies of records. The Copyright Office will
furnish a copy of any official record upon
request and payment of the duplication fee.
Official records include completed records of
registration and recorded documents, indexes,
and catalog entries relating to a registra-
tion or a recorded document.

1903.04

Materials which may generally be copied. The
Copyright Office will furnish a copy of offi-
cial correspondence, including preliminary
applications, between copyright claimants or
their agents and the Office, and directly
relating to a completed registration (how-
ever, see section 1903 above), a recorded
document, a rejected application for regis-
tration, or a document for which recordation
was refused. See 37 C.F.R. 201.2(c) (1).

1903.05

Materials which may generally not be copied.
The Copyright Office will not make copies
available of correspondence, application
forms, and any accompanying material (in-
cluding deposit material) forming part of a
pending application. As a general rule and
subject to Freedom of Information Act re-
quirements, copies will not be furnished of
correspondence, memoranda, reports, opinions,

1903

### Copying of Copyright Office records, indexes correspondence, and deposits in general. (cont d)

1903.05

Materials which may generally not be copied. (cont 'd)

and similar material relating to internal matters of personnel and procedures, office administration, security matters, and internal consideration of policy and decisional matters, including the work product of office attorneys.

1903.06

Administrative staff manuals. Requests for photocopies of the administrative staff manuals referred to as "Compendium of Copy- right Office Practices I" and "Compendium of Copyright Office Practices II" should be submitted to the Certifications and Documents Section of the Copyright Office for copying during regular work hours, 8:30 a.m. to 5:00 p.m., Monday through Friday, except legal holidays. Copies of the manuals are avail- able for purchase from the National Technical Information Service for Compendium I and the Government Printing Office for Compendium II.

1904

Copies of deposits. Requests for copies or phonorecords of deposited articles retained under the continuous control of the Copyright Office should be made to the Certifications and Docu- ments Section. Requests for copies of deposits that have been transferred to the Library of Congress should be made to the Photoduplication Service or to the Motion Picture, Broadcasting and Recorded Sound Division.

1904.01

Authorization to make copies of deposits. Requests for reproductions of the copies, phonorecords, or identifying material depo- sited in connection with a copyright regis- tration of published or unpublished works and held in the custody of the Copyright Office will be provided only when one of the follow- ing three conditions have been met :

Copies of deposits. (cont'd)

1904
1904.01
Authorization to make copies of deposits.
(cont 'd)

1\)
The Copyright Office receives written
authorization from the copyright claimant
of record or his or her designated agent,
or from the owner of any of the exclusive
rights in the copyright as long as this
ownership can be demonstrated by written
documentation of the transfer of owner-
ship. If the requester appears in person
and alleges to be entitled to a reproduc-
tion of the deposit material on one of
the foregoing bases, identification is
requested as well as written authoriza-
tion. If the request is made by tele-
phone, the Office will ask for a written
request.

2\)
The Copyright Office receives a written
request from an attorney on behalf of
either the plaintiff or defendant in
connection with litigation, actual or
prospective, involving the copyrighted
work. The following information must be
included in such a request: (i) the
names of all the parties involved and the
nature of the controversy; and (ii) the
name of the court in which the actual
case is pending or, in the case of a
prospective proceeding, a full statement
of the facts of the controversy in which
the copyrighted work is involved; and
(iii) satisfactory assurance that the
requested reproduction will be used in
connection with the specified litigation.

3\)
The Copyright Office receives a court
order for a reproduction of the deposit
copies, phonorecords, or identifying
material of a registered work which is
the subject of litigation. The order
must be issued by a court having juris-
diction of the case in which the repro-
duction is to be submitted as evidence.

1904

Copies of deposits. (cont'd)

1904.02

Nature of copies or phonorecords. Upon authorization and receipt of the duplication fee, the Copyright Office will supply a photocopy of copies, phonorecords, or identi- fying material deposited as part of a copy- right registration. When a request is made for a reproduction of a phonorecord, such as an audiotape or cassette, in which either a sound recording or the underlying musical, dramatic, or literary work is embodied, the Copyright Office will provide a proximate reproduction. The Office reserves the right to substitute a monaural reproduction for a stereo, quadraphonic, or any other fixation accepted for deposit. The Office will pro- vide the title, the registration number of the phonorecord, and, for certified copies, a written statement describing the form and location of any visually perceptible notice of copyright. In response to a specific request, the Office will provide repro- ductions of any printed or other visually perceptible material published with the phonorecord. For other deposit materials, the Office will supply uncertified copies which depict or reproduce the deposit with varying degrees of fidelity depending on the needs of the requester. For example: a photocopy of a photograph can be supplied if such a reproduction is suited to the requester's needs. For the nature of certified copies, see section 1909.10 below.

1905

Certificates of registration. After the Register of Copyrights determines that the material depo- sited for registration constitutes copyrightable subject matter, and that the other legal and formal requirements of the law have been met, the Register will register the claim and issue to the applicant a certificate of registration under the seal of the Copyright Office. The certificate

1905

Certificates of registration. (cont'd)

will contain the information given in the appli-
cation, together with the number and effective
date of the registration. See 17 U.S.C. 410(a).
A certificate of renewal registration will be
issued for works first published or registered
before January 1, 1978 upon compliance with the
renewal provisions of the Copyright Act. See 17
U.S.C. 304(a). Certificates returned to the
Copyright Office as undeliverable will be mailed
a second time unless they were undeliverable
because the addressee moved and left no forward-
ing address. Returned certificates are held in
file in accordance with the current retention
policy and are then disposed of. A record is
made of the mailing and return of certificates.

1905.01

Nature of the certificate. The certificate
of registration or certificate of renewal is
a photocopy of the application made on a form
containing the signature of the Register of
Copyrights and the seal of the Copyright
Office.

1906

Additional certificates of registration. Addi-
tional certificates of original or renewal regis-
tration will be issued to anyone upon request and
payment of the fee. See 17 U.S.C. 706(a). Addi-
tional certificates are certified copies of the
record of registration and have the same legal
effect as the original certificate. The manner
in which additional certificates are prepared
varies, depending upon the date of the original
registration. Additional certificates are
prepared by the Certifications and Documents
Section of the Information and Reference Divi-
sion. The Copyright Office will not issue addi-
tional certificates of cancelled registrations.

€

1906

### Additional certificates of registration. (cont'd)

It will, however, certify a copy of the cancelled
registration in the same manner as it certifies
any other public record. See sections 1903.03(a)
above and 1909.06 below. The Office will certify
copies of applications refused registration in
the first instance as part of the correspondence
file.

## 1906.01

Registration made on or after January 1,
1978. Additional certificates for registra-
tions made on or after January 1, 1978 are
duplicate facsimilies prepared as photorepro-
ductions of the application which was used to
make the original registration. The addi-
tional certificate contains the signature of
the Register of Copyrights together with the
seal of the Copyright Office. Each addi-
tional certificate covering a registration
made after January 1, 1978 is stamped to
identify it as an additional certificate.

1906.02

Registration made on or before December 31,
1977. Additional certificates for registra-
tion made on or before December 31, 1977,
consist of a photocopy of the application
that was used to make the original registra-
tion with a pre-printed certification state-
ment attached. The registration number, date
of certification, and the signature of the
Register of Copyrights are added to the
certification statement form, which is issued
under the seal of the Copyright Office. In
cases where a photocopy of the application
cannot be used to produce an additional
certificate of registration, an additional
certificate may be made by typing the name of
the claimant, title, date of publication,
date of receipt of copy(s), and the registra-
tion number on a pre-printed certification
form. The name of the Register of Copyrights
is then added to the form together with the
seal of the Copyright Office.

1906

Additional certificates of registration. (cont d)

1906.03

Prints or labels registered in the Patent Office before July , 1940. The Patent Office retained carbon copies of each certi- ficate issued by that Office. Copies of the Patent Office records were transferred to the Copyright Office on July 1, 1940. An addi- tional certificate of copyright registration for a print or label registered in the Patent Office before July 1, 1940, consists of a photocopy of the carbon copy of the original certificate of registration together with the Copyright Office's certification of the photocopy.

1907

Certificate of recordation. Upon receipt of any transfer of copyright ownership or other document pertaining to a copyright, which meets the requirements of the law (see 17 U.S.C. 205(a) ), the Copyright Office will record the document and return it with a certificate of recordation. See 17 U.S.C. 205 (b).

1907.01

Nature of the certificate of recordation.

The document submitted for recordation, after it has been microfilmed for inclusion in Copyright Office records, is returned to the sender with an attached certificate of recordation. The certificate consists of a form containing the signature of the Register of Copyrights, the date of recordation, and the volume and page number of the recorded document. The certificate also bears the seal of the Copyright Office.

1908

Certified copy of a recorded document. A certi- Fication of recordation may be issued to anyone upon request and payment of the fee(s). See 17 U.S.C. 706(a). The certification consists of a copy of the document, or relevant portions thereof, and an attached certification form.

1908

Certified copy of a recorded document. (cont'd)

1908.01

Microfilm recordation. Some documents
originally recorded in the Copyright Office
on microfilm (generally before 1982) also
include a microfilm copy of the original
certificate of recordation. The original
certificate of recordation is reproduced
along with the document and is included in
the certified copy.

1908.02

Preparation of copies of document. Copies of
most documents are prepared by the Certifica-
tions and Documents Section of the Informa-
tion and Reference Division. A fee for
making the copy may be charged at the rate
established by the Photoduplication Service.
See section 1913 below. Some copies of docu-
ments must be prepared by the Photoduplica-
tion Service which charges its current fees
for the service.

1908.03

Certification of copies of recorded docu-
ments. Copies of recorded documents are
certified by the Certifications and Documents
Section of the Information and Reference
Division. Certified copies of recorded docu-
ments are furnished by providing a photocopy
of the document printed on paper, including a
photocopy of the original certificate of
recordation, if it is on record. See
sections 1908.01 and 1908.02 above. The
photocopy of the document is attached to a
certification form on which is included the
volume and page number where the document is
recorded, the date of certification, and the
date of recordation. The signature of the
Register of Copyrights and the seal of the
Copyright Office are included on the certifi-
cate. A fee for making the copy will be
charged at the rate established by the Photo-
duplication Service.

1909

Certification in general. Certification is an
official written representation of the Copyright
Office attesting to one or more facts and bearing
the seal of that Office and issued under the name
and title of the Register of Copyrights.

1909.01

Register's name on certification. The name
of the currently appointed Register of Copy-
rights will be used regardless of his/her
temporary absence from the Office for reasons
such as travel, illness, etc. Only during a
change in terms when an Acting Register has
been appointed by The Librarian of Congress
would the name of an Acting Register be used.

1909.02

Authentication of certified documents issued
by the Copyright Office. The Copyright
Office has adopted an official seal used to
authenticate certified documents it issues.
See 17 U.S.C. 701 (b). The appearance of the
seal has varied during different periods of
time; however, the certification remains
valid if correctly sealed at the time it was
made. Use of the Library of Congress seal or
any other non-official Copyright Office seal
does not result in a valid certification.

1909.03

Register's name or Copyright Office seal
lacking. A document lacking either the
Register's name or the Copyright Office seal
is not validly certified.

1909.04

Appeal from denial of certification. Denial
of a request for certification may be
appealed in the following order: (1) Head,
Certifications and Documents Section, (2)
Chief of the Information and Reference Divi-
sion, and (3) Register of Copyrights, who may
delegate the responsibility to the General
Counsel or the Assistant General Counsel.

Certification in general. (cont'd)

1909
1909.05
Undeliverable certifications. Certifica-
tions, including additional certificates of
registration, returned to the Copyright
Office as undeliverable, are generally
remailed one time. If returned again, the
certification is sent to the Miscellaneous
Correspondence files and later disposed of in
accordance with retention policies estab-
lished by the Register of Copyrights for
those files.

1909.06

Who may authenticate documents. Documents
may be authenticated by the person or persons
to whom that authority has been delegated by
the Register of Copyrights. Documents will
generally be authenticated by the Head of the
Certifications and Documents Section or in
his/her absence by the Assistant Chief or
Chief of the Information and Reference
Division. For original certificates of
registration or certificates of recordation
of documents see sections 1905.01 and 1907.01
above.

1909.07

Kinds of certification forms. Certifications
are made in three different formats depending
on the nature of the material being certi-
fied.

1\)
Original certificates of registration or
recordation of documents. For the form
of certifications of original certifi-
cates of registration see section 1905.01
above. For the form of certifications
for original certificates of recordation
of documents see section 1907.01 above.

2\)
Standard certification form. A standard
pre-printed certification form is used
when the reproduction of the Copyright
Office record or copy is substantially
identical in appearance to the original,

1909
1909.07

### Certification in general. (cont'd)

Kinds of certification forms. (cont'd)

#### 2) (cont'd)

e.g. a photocopy of a printed page. The
standard form contains the signature of
the Register of Copyrights, the seal of
the Copyright Office and the date of
certification.

3\)
Specially-drawn certification. A
specially-drawn certification is required
when the reproduction is not exact, e.g.
making a cassette tape from a record,
making a photograph of a three-dimen-
sional object, making a copy that is
reduced in size from the original depo-
sit, or making a copy of only part of a
larger work (preface only of a book or
five pages of a twenty-page document). A
specially-drawn certificate contains the
name of the Register of Copyrights, the
signature of the person authorized to
make the authentication, the seal of the
Copyright Office, and the date of certi-
fication.

1909.08

Method of requesting certification. Certifi-
cations, including additional certificates of
registration, are made by the Certifications
and Documents Section of the Information and
Reference Division and all requests for
certification should be addressed to that
section. The request should include the
following:

1\)
Specific request for certification. The
request should clearly indicate that the
copies are to be certified. Where the
request is unclear whether the copies are
to be certified or not, the Copyright
Office will make inquiry for further
instructions.

1909
1909.08

##### Certification in general. (cont'd)

Method of requesting certification. (cont'd)

2\)
Full identification of material to be
certified. The request should fully
Identify the material to be certified.
See section 1903.02 above. Failure to
adequately identify the material may
necessitate an inquiry by the Office for
further information or may result in a
search fee to locate the material.

1909.09

Preparation and handling of certifications in
general. All Copyright Office certifications
must be prepared under the direction and
control of the Copyright Office. See section
1903.01 above. When preparing copies for
Office certification, the Photoduplication
Service or Motion Picture, Broadcasting and
Recorded Sound Division acts at the direction
of the Copyright Office. When material is
submitted to them for copying the Copyright
Office will observe the following procedures :

1\)
Furnish the materials to be copied,
identify the exact material to be copied,
and specify the copying process to be
used; and,

2\)
Indicate that the material is being
prepared for certification and that it
should be returned to the Copyright
Office for that purpose.

1909.10

Certified copies of official records. Upon
payment of the certification and photodupli-
cation fees, certified copies of official
records of the Copyright Office may be
furnished. Examples of official records
include: entries in the registration record
books, numbered applications, indexes to
registration and recorded transfers and other
documents pertaining to a copyright. The
certified copies furnished by the Office will
be accompanied by the appropriate certifica-
tion form. See section 1909.07 above.

## 1900-22

1909

Certification in general. (cont'd)

1909.11

Certified copies of correspondence. Upon payment of the certification and photodupli- cation fees, the Copyright Office will certify copies of any correspondence which is permitted to be copied. See section 1903.04 above. Every certification covering corre- spondence must be specially drawn. See section 1909.07(3) above. If the various pieces of correspondence all relate to the same registration, or group of related regis- trations, they may all be included in one certification, but each item must be separ- ately identified in the certification.

1909.12

Certified copies of search reports. Search reports prepared by the Copyright Office will be certified on letterhead stationery avail- able for that purpose. The search report is certified under the seal of the Register of Copyrights and is usually signed also by the Head of the Reference and Bibliography Section or in his or her absence it may be signed by the Assistant Chief or Chief of the Information and Reference Division.

1909.13

Certification of copies of information circu- lars, former circulars, and blank application Forms. The Copyright Office will certify copies of information circulars and blank application forms currently or formerly issued as official publications of the Office. Certifications are made by the Certifications and Documents Section, under the seal of the Register of Copyrights and signed by the Head of the Certifications and Documents Section or in his or her absence by the Assistant Chief or Chief of the Informa- tion and Reference Division.

1900-23

1909

Certification in general. (cont'd)

1909.14

Certified copies of material deposited for copyright registration. When the Copyright Office has retained continuous control of deposits (see section 1904 above) and it is authorized to make copies (see section 1904.01 above), certified copies or phono- records may be furnished of materials depo- sited for copyright registration, upon recepit of the certification and duplication fees. The Office will not certify copies found in the collections of the Library of Congress. Only the Library of Congress can make such certifications. NOTE: The practice of the Copyright Office regarding the retention under its control of materials deposited for copyright has varied at different times. Therefore, not all materials deposited for copyright registra- tion are available for copying or certifica- tion.

1909.15

Jurisdictional requirement for certifying material deposited for copyright. The Copy- right Office will certify a copy of material deposited for copyright only if such material has remained continuously under the control of the Copyright Office. Copies of such materials made part of the Library of Congress' collections will only be certified by the Photoduplication Service or the Motion Picture, Broadcast, and Recorded Sound Divi- sion. When such deposit materials are loaned for exhibit purposes to the Library of Cong- ress Exhibits Office, the Copyright Office asks that these items be returned and the Office insists that they not be altered in any way and that they not be made available for public handling. In these cases the material is considered to have remained under the control of the Office and therefore they

1909

### Certification in general. (cont'd)

#### 1909.15 Jurisdictional requirement for certifying material deposited for copyright. (cont'd)

can be certified while they are on exhibit
and after they are returned to the Office.
The Office will not certify any other mate-
rials returned to it from the Library of
Congress.

The Copyright Office will not certify any
material added to a deposit after registra-
tion has been completed, except where the
additional material is added as an addendum
to the original registration.

The Copyright Office will certify only
those copies which have been made by it or at
its request. It will not certify copies of
deposit material made by copyright owners or
litigants even if those copies are made under
the supervision of the Office. See section
1903 above.

1909.16

Form and content of certified copies of
material deposited for copyright (other than
phonorecords and Patent Office deposits).
The Copyright Office will provide the best
possible reproductions of deposited material,
depending on the nature of the material and
the need of the requester. Photocopies are
provided for most flat material. As a
general rule, the Office certifies a copy of
the entire deposit retained by the Office.
The material certified must include a copy of
the page or surface bearing the registration
number and date of deposit, if any.

1909.16(a)

Copies of part or portions of a work.
When a request is received to copy and
certify only a part or portions of a
work, a special certification clearly
identifying the material certified must
be drawn and typed. In such cases, the

1909
C

Certification in general. (cont'd)

1909.16

Form and content of certified copies of
material deposited for copyright (other than
phonorecords and Patent Office deposits) .
(cont d)

1909.16(a)
Copies of part or portions of a work.
(cont 'd)

material copied and certified must in-
clude the page or surface bearing the
registration number and date of deposit,
and also the page or surface bearing the
notice of copyright, if any.

1909.16(b)
Copies of photographs and identifying
reproductions deposited for certain
three-dimensional works. To certify
copies of photographs or reproductions
deposited in lieu of three-dimensional or
over-size copies, a special certification
must be prepared which identifies the
"certified copies" as copies of photo-
graphs or identifying material deposited
in lieu of copies. In such cases all of
the photographs or reproductions in a set
should be reproduced, unless the request
specifies that only certain ones are to
be copied. In all cases, however, the
material copied and certified should
include the page or surface bearing the
registration number and date of receipt
of the deposit, and also the page or
surface showing the notice of copyright,
if any. For some pre-1956 registrations
where both three-dimensional copies and
photographs may be available, the Copy-
right Office will certify the photo-
graphs, unless the applicant specifically
requests certification of the three-
dimensional copies.

1910
Certified copies of prints or labels deposited in
the Patent Office before July 1, 1940. The Copy-
right Office will provide a photocopy of the
print or label, attached to a special printed
certification form.

1911
1912

Certified copies of phonorecords. The Copyright
Office will certify copies of phonorecords and
any labels or other printed material deposited
with a phonorecord using a specially prepared
certification form. For the nature of the copy
of the phonorecord see section 1904.02 above.

Certification of actual deposit copy when re-
quired by the court. When required by a court,
the Copyright Office will certify the actual
copy, phonorecord, or identifying material used
to make the registration, provided that the copy,
phonorecord, or identifying material has been
under the continuous control of the Copyright
Office. The actual deposit material will be made
available only upon the condition that it will be
promptly returned to the custody of the Copyright
Office. A specially prepared certificate is
drawn to show that the copy, phonorecord, or
identifying material is the copy, phonorecord, or
identifying material used to make the registra-
tion. If the deposit material has been trans-
ferred to the Library of Congress collections,
the Office will not certify that copy, phono-
record, or identifying material used to make the
registration.

1913

Fees in general. Fees are charged for the
various services provided by the Copyright
Office, the Photoduplication Service, or the
Motion Picture, Broadcasting, and Recorded Sound
Division.

1913.01

Statutory fees. Statutory fees are provided
for certain services by section 708 of the
Copyright Act and are payable to the Register
of Copyrights.

€

1913

Fees

in general. (cont'd)

1913.01

Statutory fees. (cont'd)

For issuance of an additional certificate of registration;

For issuance of any other certification;

For making a search or any related service;

For a special service, such fees as the Register may fix.

1913.02

Photoduplication Service and Motion Picture, Broadcasting, and Recorded Sound Division fees. Fees for the making of copies by these units are established by them and are payable the Library of Congress at the copying rate then in effect for their services.

1913.03

and and

Certification fees. If the Certifications Documents Section is to do the certifica- tion, the check should be made out to the Register of Copyrights. If the Photoduplica- tion Service or Motion Picture, Broadcasting, Recorded Sound Division is to do so, the check should be made out to the appropriate unit. If payment is due to both the Copy- right Office and one of the other units, two checks are preferable. If only one check is received, the Certifications and Documents Section will transfer the Library of Congress portion of the fee to it.

1914

Applicability of fees to other U.S. Government agencies. Section 708(b) of the Copyright Act provides that all fees prescribed by the Act are applicable to the United States Government and any of its agencies, employees, or officers, but that the Register of Copyrights has discretion to waive these requirements in occasional or iso- lated cases involving relatively small amounts.

[END OF CHAPTER 1900]

1900-27

# COMPENDIUM OF COPYRIGHT OFFICE PRACTICES

Under the Copyright Law Which
Became Fully Effective on
January 1, 1978, Including
Title 17 of the United States
Code and Amendments Thereto.

THE LIBRARY

CONGRESS

WASHINGTON,

C. 20559

# INDEX TO THE COMPENDIUM OF COPYRIGHT OFFICE PRACTICES

This is an index to the 1984 text of the Compendium
of Copyright Office Practices under the copyright law which
became fully effective on January 1, 1978, including Title 17
of the United States Code and amendments thereto. This
Compendium is designated as Compendium II. Each term is
indexed to the pertinent page or pages of this Compendium
where the term is to be found.

An earlier Compendium (now called Compendium I) was
issued a number of years ago to reflect Copyright Office
practices under the Copyright Act of 1909, as amended.
Compendium I has its own index. The present index covers only
Compendium II.

NOTE: The present index does not include references to the
text of Chapters 600 and 1900 which were added in 1988.

\- A -

Page

Abandonment of copyright or claim

1500-22

Abbreviated title

1600-11

Abbreviation by which name can

be recognized.

1000-2,

1000-3, 1000-11,

1000-9, 1000-15

Abbreviation "Copr."

1000-2,

1000-4,

1000-5

Abbreviation or alternative designation

1000-11

Abbreviation, variants of

1000-4,

1000-11

Abridgment (musical)

400-11

Abridgment of sound recordings as new matter

400-44

Abridgments

300-7

Abstract art

500-2

Abstract choreography

400-18

Abstract designs

500-13

Acceptable statements of nationality, domicile, and nation of first pub- lication

1100-13

Acceptable variants

1000-4,

1000-5,

1000-6

Acceptability of currency

700-9

Access (unrestricted public) to copy or phonorecord

900-4

Accompanying music to dramatic works

700-3

Accompanying sounds to audiovisual works

700-3

Accompanying texts (pictorial,

graphic, or sculptural work with)

1000-2,

1000-7

Accompanying words to musical works

700-3

Account books

200-3,

300-2,

500-18

Accounts (Deposit)

700-9,

1200-12

Page

Acknowledgment, certificate of.

1600-15

Acquisitions and Processing Division, Copyright Office, Chief of

800-43,

800-44,

1500-19

Acquisitions and Processing Division,

Deposit and Acquisitions Section of

800-39

Act (a work)

900-6

Act of 1909, importation under

1200-9

Act of 1909, manufacturing clause of

1200-1

Acting version of play

1200-4

Action (plan of) or concept

500-18

Actions (court), notification of filing and determination of

1600-1

Actual receipt, date of

1300-5

Actual signature of individual

1600-5

Ad interim copyright

1200-1,

1200-2,

1200-3,

1200-9,

1300-12,

1300-13,

1300-14,

1300-15

Ad interim term of five years

1200-2

Adaptation (musical)

400-10

Addenda and errata sheets

1500-18

Addendum to document

1600-13

Addition of missing information by annotation

1500-23

Addition of music as derivative work

400-11

Addition of subtitle

1500-14

Addition or correction of copyright notice

1500-19

Additional authors or claimants

1500-10

Additional basic registrations

1500-2

Additional fees for title indexing

1600-21

Additional 500 copies, importation of

1200-9

Additional information previously omitted

1500-3

Additional material ( unpublished works)

800-4

Additional names in notice

1000-12

Additional recorded material in sound recordings

400-41

Additions ( nonchoreographic) to choreographic work.

400-21

Page

Address and full name typewritten or printed legibly

1600-25

Address and name of copyright claimant

700-1

Address book

200-3, 300-2

Address ( last known) of grantee or

successor in title

1600-22, 1600-25

Address or name of author or claimant, error in

1500-12

Addresses

800-5

Administrative classes, authority of Register of Copyrights to specify

800-2

Administrative classification of works

700-1

Administrative notice of matters of general knowledge

100-5

Administrative purposes only, classi- fication for

700-7

Administrative rulings

200-8, 300-5

Administrator

1300-19

Administrator cum testamento annexo

1300-21

Administrator de bonis non cum

testamento annexo (d.b.n.c.t.a.)

1300-21

Administratrix. See Administrator.

Adopted children

1300-17

Advance notice of termination and service

1600-22

Adverse claims

100-5

Adverse renewal claims

1300-29

Compendium II – 1988 adding Chapters 600 and 1900 (607 pages plus index)

OCR transcription for search; preserved printed pages are authoritative

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