Compendium I, 1967 (489 pages)

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U. S. Copyright Office

COMPENDIUM
of

COPYRIGHT OFFICE PRACTICES

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Copr.
Off.
Lib.

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# Compendium of Copyright Office Practices

## PREFACE

This Compendium is an Office manual intended
primarily for the use of the staff of the Copyright
Office as a general guide to its operating problems
and practices.

It is important to note that the Compendium
is not a book of "rules" to be followed. Similarly,
it is not a set of ready-made answers to questions
arising in cases encountered in daily work.

The Compendium is a condensed digest of
Office practices in individual cases representing
common fact situations. It is a guide to general
precedents and no more. Since the statements of
practice in the Compendium are necessarily simplified,
they cannot cover every situation that may arise.
Each new case presented to the Office involves its
own facts which 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 changes
will be made from time to time. The Copyright Office
will maintain a separate record of all material with-
drawn from this volume as superseded.

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# TABLE OF CONTENTS for COMPENDIUM OF COPYRIGHT OFFICE PRACTICES

Page

Preface

iii

Chapter 1

* Basic Policies

Chapter 2

Copyrightable Matter

2-1

* 2.1

In general

* 2.2

Class A

2.3

Class B (including BB)

2-1

2.4

Class C

2-11

* 2.5

Class D

2.6

Class E

2-21

* 2.7

Class F

* 2.8

Class G

* 2.9

Class H

* 2.10

Class I

[*] Asterisk indicates material to be prepared.

Note:
The page designations shown in the right-hand column
consist of two numbers separated by a hyphen. The
first number designates the chapter; the second number
identifies the page within the chapter. (For example,
the number "4-16" designates the sixteenth page in
Chapter 4.)

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## Table of Contents (continued)

Chapter 2 (continued)

Page

* 2.11 Class J * 2.12 Class K (except KK) * 2.13 Class K (KK)

2.14 Classes L and M

2-43

Chapter 3

Publication

3-1

Chapter 4

Notice

4-1

Chapter 5

Deposit of Copies

5-1

Chapter 6

Manufacturing Clause

6-1

Chapter 7

Citizenship and Domicile of Author

7-1

Chapter 8

Works First Published Abroad

8-1

Chapter 9

* Applications and Fees

Chapter 10

* Registration Procedure

Chapter 11

Renewal Registration

11-1

Chapter 12

Assignments and Related Documents

12-1

Chapter 13

Notices of Use

13-1

Chapter 14

* Office Records

Chapter 15

Certificates and Certification

15-1

Addendum

Supplementary Practices

S-1

Index

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# Chapter 2

# COPYRIGHTABLE MATTER

## Part 2.3 PERIODICALS (CLASS B)

### Outline of Topics

#### 2.3.1 GENERAL RULES

I. Publication with notice

II. Manufacturing requirements

III. Registration

#### 2.3.2 WHAT ARE PERIODICALS

I. In general

II.
Annual publications

III. Irregular publications

IV. Series of books

V. Loose-leaf material

VI. Post-Office classification

#### 2.3.3 SEPARATE EDITIONS OF A PARTICULAR ISSUE

I. Periodicals other than daily newspapers

II. Daily newspapers

#### 2.3.4 CONTRIBUTIONS TO PERIODICALS

I. Separate registration

II. Classification

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<!-- PageHeader="Ch. 2.3 2.3.1" -->

## Chapter 2. COPYRIGHTABLE MATTER

## Part 2.3 PERIODICALS (CLASS B)

### 2.3.1 General Rules

#### I. Publication with notice.

a. Each separate issue of a periodical must be
published with appropriate notice of copyright
before that issue can be registered. (As to
Publication, see Chapter 3; as to Notice, see
Chapter 4.)

b. Each separate issue published with notice is
to be registered as a separate work.

#### II. Manufacturing requirements.

a. To be registered in Class B, the following
periodicals must be manufactured in the United
States (see Chapter 6):

1\. An English-language periodical of which the
"author" (i.e., publisher) is a U. S. citizen
or domiciliary. For the possibility of ad
interim registration, see item III of this
Part

2\. A foreign-language periodical of which the
"author" is a U. S. citizen or domiciliary

3\. An English-language periodical by a foreign
"author" first published in the United States

4\. An English-language periodical by a foreign
"author" which was first published outside
the United States, but which has not secured
copyright under the U.C.C. exemptions of
sec. 9(c). For the possibility of ad interim
registration, see item III of this Part.

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<!-- PageHeader="Ch. 2.3 2.3.1" -->

### 2.3.1 General Rules (cont'd)

#### II. Manufacturing requirements. (cont'd)

b. No affidavit of U. S. manufacture is required
for periodicals, but the application requires
information concerning any portions of the work
manufactured abroad.

### III. Registration.

a. Domestic periodicals. Registration is required
for periodicals of U. S. origin which comply
with the statutory formalities. The claim
should be filed on Form B, accompanied by two
complete copies of the periodical and a $6.00
registration fee.

### b. Foreign periodicals.

#### 1. Ad Interim registration.

(a) Claim to ad interim copyright in a
periodical manufactured and first
published outside the U.S.A. in the
English language should be filed within
six months of publication abroad, on
Form A-B Ad Interim, unless copyright
has been secured by virtue of the U.C.C.
exemptions of Sec. 9(c), in which event
registration is optional but if applied
for should be on Form A-B Foreign. Con-
cerning deposit requirements, see 17 U.S.C.,
§ 215, and topics 5.1.5 and 5.2.2 of this
compendium.

(b)
After ad interim registration, an
edition of the same periodical manufac-
tured and published in the U. S. (within
5 years) may be registered on Form B.
When portions of the foreign periodical
are published with notice in the U. S.
within the 5-year period (e.g., a novel
first published serially abroad), regis-
tration may be made in the appropriate
class.

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<!-- PageHeader="Ch. 2.3 2.3.1" -->

##### 2.3.1 General Rules (cont'd)

###### III. Registration. (cont'd)

b. Foreign periodicals. (cont'd)

2\. Foreign-language periodicals. Claim to
copyright in a periodical by a foreign
"author", manufactured outside the U.S.A.,
in a language or languages other than
English, should be filed on Form A-B Foreign.

##### 2.3.2 What are Periodicals.

I. In general. Periodicals registrable in Class B
include newspapers, magazines, reviews, bulletins,
etc. issued at regular intervals of less than a year,
the successive issues bearing the same title (with
a distinguishing number or date for each issue) and
being similar in the general character of their
subject matter.

Examples :

(1) A daily or weekly newspaper

(2) A literary monthly containing in each issue
an installment of a novel and a number of
essays, short stories, and poems by various
authors

(3) A weekly journal of opinion containing in
each issue a number of articles, editorials,
and cartoons on current political events

(4) A weekly digest of news events

(5) A semi-annual bulletin reporting current
developments in the field of biochemistry

(6) A monthly publication containing informa-
tional articles and illustrations on
gardening

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##### 2.3.2 What are Periodicals (cont'd)

I. In general. (cont'd)

Examples: (cont'd)

(7) A quarterly review and forecast of business
conditions

(8) A weekly circular advertising various arti-
cles of merchandise

(9) A monthly publication containing in each
issue a new assortment of advertising copy
with accompanying mats.

### II. Annual publications.

a. Publications issued at intervals of a year or
more (e.g., yearbooks, almanacs, annual or
biennial reports) will not be registered in
Class B (but may be registrable in Class A).

b. An annual index or a special supplement to a
periodical, having the same title as the peri-
odical, may be registrable in Class B.

III. Irregular publications. Publications issued at ir-
regular intervals generally will not be registered
in Class B (but may be registrable in Class A).

IV. Series of books. A series of books, though issued
at regular intervals under a general series title,
will not be registered in Class B (but may be reg-
istrable in Class A).

Examples of series of books:

(1) A number of volumes, each on a different
subject; e.g., the issue successively of a
book on grammar, one on history, one on
economics, on chemistry, etc.

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<!-- PageHeader="Ch. 2.3 2.3.2" -->

#### 2.3.2 What are Periodicals (cont'd)

### IV. Series of books. (cont'd)

Examples of a series of books: (cont'd)

(2) A series of volumes, each an individual
work complete in itself; e.g., the issue
bi-weekly of one of the "100 great books",
the monthly selections of a book club, the
issue each month of one full-length mystery
story

(3)
3) The successive issues of revised editions
of a book; e.g., a directory or a technical
handbook revised quarterly

(4) A single work issued in parts; e.g., the
separate volumes of an encyclopedia, or of
a set of twelve books comprising a training
course.

V. Loose-leaf reporter material. Loose-leaf material
published at intervals as additional or replacement
pages for loose-leaf books is considered properly
classifiable as a book, and the Office will recom-
mend registration in Class A. If the applicant
insists, the Office will register such material in
Class B under the rule of doubt.

VI. Post-Office classification. The entry of a publi-
cation as second class matter at the Post Office is
a persuasive indication that it may be registered as
a periodical, but is not conclusive.

#### 2.3.3 Separate Editions of a Particular Issue

I. Periodicals other than daily newspapers.

a. Where an issue of a periodical is published in
two or more separate editions containing differ-
ent copyrightable matter, separate registrations
will be required.

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#### 2.3.3 Separate Editions of a Particular Issue (cont'd)

I. Periodicals other than daily newspapers. (cont'd)

a. (cont'd)

Examples :

(1) English, Spanish, and French editions of a
magazine

(2) U.S., Canadian, and European editions of a
weekly newsmagazine, in which some of the
contents are changed to correspond with the
local interests of readers.

b. Where the only difference between the editions is
in the cover, separate registrations will not be
required. If separate registrations are requested,
they may be made with a cautionary letter.

Example: Ellery Rex's Mystery Magazine, published
with a flashy cover for newsstand sale
and a conservative cover for subscribers.

c. Where the only difference between the editions
is in advertising matter, separate registrations
will not be made unless the advertisements belong
(or could belong) to the publisher of the periodical.

d. Where the only difference between the editions
is in uncopyrightable elements such as typography,
size, coloring, paper stock, etc., separate regis-
trations will not be made, but copies of the
"best edition" may be requested. See topic 5.3.1.

### II. Daily newspapers.

a. Where a daily newspaper is published in two or
more separate editions containing different copy-
rightable matter, separate registrations may be
made.

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#### - 2.3.3 Separate Editions of a Particular Issue (cont'd)

### II. Daily newspapers. (cont'd)

a. (cont'd)

Examples :

(1) "Home," "City," "Final" and "Red Star"
editions

(2) "Bronx, " "Manhattan," and "Brooklyn"
editions.

b. Where the Office is informed that a daily news-
paper is published in separate editions contain-
ing different copyrightable matter, it may, in
appropriate cases, suggest the advisability of
making separate registrations. If the applicant
refuses to make more than one registration, the
Office may suggest the advisability of including
a limiting statement in the notice on later
editions (e.g., "Copyright claimed in contents
of Home Edition only.")

c. Where an applicant chooses to deposit copies of
all editions with a single application, only the
copies of the earliest edition will be stamped
with the registration numbers.

#### 2.3.4 Contributions to Periodicals

### I. Separate registration.

a. A copyrightable contribution to a periodical, if
it is published with a separate notice of copy-
right, may be registered separately. (As to
separate notice, see topic 4.2.1, IV.)

b. An unpublished manuscript intended as a contri-
bution to a periodical is not registrable.

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<!-- PageHeader="Ch. 2.3 2.3.4" -->

2.3.4 Contributions to Periodicals (cont'a)

### I. Separate registration. (cont'd)

c. A contribution bearing no separate notice of
copyright is not registrable separately. If the
author of a contribution bearing no separate
notice requests separate registration, the Office
may suggest the possibility of his obtaining and
recording an assignment from the publisher of
the periodical.

### II. Classification.

a. A print advertising articles of merchandise, pub-
lished with separate notice in a periodical, is
not registrable in Class B as a contribution to
a periodical, but is to be registered on Form KK
as a commercial print.

b. Except for commercial prints, copyrightable con-
tributions to a periodical, bearing separate
notice, may be registered in Class B (on Form BB).

c. A contribution consisting of a particular class
of copyright matter (e.g., a drama, a piece of
music, a map, a photograph, etc.), if it bears
an appropriate notice, may be registered in that
particular class (a drama in Class D, etc.) if
the applicant so desires. However, if book
material is filed with Form A, Form BB will be
suggested.

d. Copyrightable matter (e.g., a pictorial emblem)
to be reproduced in each issue of a periodical
as part of the format is not registrable in
Class B as a contribution. But if it bears a
separate notice, it may be registered separately
in the appropriate class (e.g., a pictorial
emblem in Class K).

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# Chapter 2 COPYRIGHTABLE MATTER

## Part 2.4 WORKS PREPARED FOR ORAL DELIVERY (CLASS C)

### Outline of Topics

## 2.4.1 WHAT IS A "WORK PREPARED FOR ORAL DELIVERY"?

I. Statutory provisions

II. Definition

III. Examples

## 2.4.2 ONLY UNPUBLISHED WORKS REGISTRABLE IN CLASS C

I. Published works not registrable

II.
Later publication

III. No notice required

## 2.4.3 ONLY NON-DRAMATIC TEXTUAL WORKS REGISTRABLE IN CLASS C

I. Dramatic material

II. Copy deposited should be a textual manuscript

## 2.4.4 PREPARATION AND SUITABILITY FOR ORAL DELIVERY

I. Preparation in the first instance for oral
delivery

II. Suitability for oral delivery

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最

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<!-- PageHeader="Ch. 2.4 2.4.1" -->

## Chapter 2. COPYRIGHTABLE MATTER

### Part 2.4 WORKS PREPARED FOR ORAL DELIVERY (CLASS C)

#### 2.4.1 What is a "Work Prepared for Oral Delivery"?

I. Statutory provisions. Class C comprises "lectures,
sermons, addresses (prepared for oral delivery)."
(17 U.S.C. §5(c).) The statute also refers to
"a lecture, sermon, address or similar production"
(17 U.S.C. §1(c) ), which presumably covers the
same class of works.

II. Definition. A "work prepared for oral delivery"
is an unpublished, nondramatic textual work
written in the first instance for oral delivery
before an audience, or on sound recordings,
motion picture sound tracks, etc. It is to be
distinguished from a work which, though capable
of oral delivery, was written in the first
instance for publication and individual reading.

### III. Examples:

a. The manuscript of a classroom lecture, of an
evangelist's sermon, of an after-dinner
speech, or of a debate

b. The script of a non-dramatic radio or tele-
vision broadcast or audition

c. The script of a motion picture sound track

d. The text of an entertainer's monolog

e. The text of a talk to accompany the showing
of a filmstrip

f. The story to be delivered by a narrator in
conjunction with a pageant

g. The text of a children's story, or of Spanish
lessons, to be recorded on phonograph records

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Ch. 2.4
2.4.2

#### 2.4.2 Only Unpublished Works Registrable in Class C.

I. Published works not registrable. Even though a
work has been prepared in the first instance
for oral delivery, it cannot be registered in
Class C if publication has taken place before
the application is submitted. A work of this
type should be registered in Class A as a "book, "
if published with the required copyright notice.

Example: The text of a speech by the president
of General Motors, which is released
to the press in mimeographed form on
the morning of the day the speech is
to be delivered.

II. Later publication. When a work that has been
registered in Class C is later published with
notice, registration should be made as a "book"
in Class A, even if the text is exactly the
same.

III. No notice required. Since only unpublished works
are registrable in Class C, no notice requirements
pertain to this class.

#### 2.4.3 Only Non-dramatic Textual Works Registrable in Class C.

##### I. Dramatic material.

a. If the work appears clearly to be a dramatic
composition (that is, if it has a plot and
contains dialogue and directions concerning
the action or production) an application on
Form C will be questioned, and a new appli-
cation on Form D will be suggested. (As to
what constitutes a dramatic composition, see
Part 2.5.)

b. If the dramatic character of the work is
doubtful, or if the dramatic element is not
the predominant feature of the work, the
claimant's choice of Class C will be
accepted without comment.

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<!-- PageHeader="Ch. 2.4 2.4.3" -->

###### 2.4.3 Only Non-dramatic Textual Works Registrable in Class C. (cont'd)

I. Dramatic material. (cont'd)

b. (cont'd)

Example: The script for a commercial film sound
track consisting mainly of straight
narration, but including two short
dramatic scenes.

II. Copy deposited should be a textual manuscript.

a. As a rule the copy deposited for registration
in Class C should be a manuscript containing
the complete text of the work as it has been,
or is expected to be, delivered. A mere out-
line or collection of notes is not registrable
in Class C (see item 2.4.4.II.a., below).

b. A sound recording of a work prepared for oral
delivery is not acceptable for registration
in Class C. When a sound recording is depos -
ited, the Office will reject the claim but
point out to the applicant the possibility
of writing out the text in manuscript form
and then making registration on the basis of
the manuscript. (As to the problem of the
sale of recordings as publication, see item
3.1.3.IV.)

c. Where the copy deposited consists of Class C
material combined with other material, the
practice to follow depends upon the nature of
the other material.

1\. Where the other material, while registra-
ble in unpublished form, cannot be con-
sidered an actual part of the work pre-
pared for oral delivery, separate regis-
trations will be suggested.

Example: The text of a television commercial
advertising electrical appliances, and
some unpublished drawings intended to
be used in magazine advertisements of
the appliances .

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<!-- PageHeader="Ch. 2.4 2.4.3" -->

###### 2.4.3 Only Non-dramatic Textual Works Registrable in Class C. (cont'd)

II. Copy deposited should be a textual manuscript.
(cont'd)

c. (cont'd)

2\. Where the other material is not registra-
ble but is inseparable from the registra-
ble part, entry will be made without
correspondence, unless it is obvious that
the applicant is under a misapprehension.

Example: A lecture on a bookkeeping system with
2 or 3 illustrative drawings of blank
forms.

3\. Where the other material is not registra-
ble, and cannot be considered an actual
part of the work prepared for oral delivery,
the applicant will be requested to redepos-
it the work with the unregistrable material
omitted.

Example: A textual work purporting to be a lec-
ture describing "the Hamframatz Method
for Computing Uniliteral Bunion Curves,"
accompanied by a handmade computing
device containing no copyrightable
material.

4\. Where the other material is registrable
in unpublished form and can be considered
a part of the work prepared for oral de-
livery, the following practices apply:

(a)
If application is filled on Form C,
and the portion of the work prepared
for oral delivery will support a
registration in Class C, a single
registration in the applicant's
choice of class may be made, even
though the other material pre-
dominates.

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<!-- PageHeader="Ch. 2.4 2.4.4" -->

2.4.3 Only Non-dramatic Textual Works Registrable in
Class C. (cont'd)

II. Copy deposited should be a textual manuscript.
(cont'd)

c. (cont'd)

4\. (cont'd)

(a) (cont'd)

Example: A one-page speech, accompanied by
eight drawings to be used as
illustrations by the speaker.

(b)
If application is filed on Form
C and the portion of the work
prepared for oral delivery is
minimal or somewhat borderline,
but there is a substantial amount
of other material, registration
in the class appropriate to the
other material will be suggested.

Example: A short two-line narration intended
to be spoken as part of an original
musical composition.

(c)
If both the Class C material and
the other material are substantial
and fairly evenly balanced, the
applicant's choice of class will
generally be accepted without
correspondence although in ap-
propriate cases the possibility
of separate registrations may be
pointed out.

Example: A narration extolling the virtues
of chicken chow mein, accompanied by
original background music which was
composed to be played with the nar-
ration but is not integrated with
it, can be registered in Class C or
Class E; or the two elements can
be registered separately.

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<!-- PageHeader="Ch. 2.4 2.4.4" -->

###### 2.4.4 Preparation and Suitability for Oral Delivery.

I.
Preparation in the first instance for oral
delivery.

a. A manuscript that has clearly been pre-
pared in the first instance for publi-
cation and individual reading, rather
than for oral delivery before an
audience, is not registrable in un-
published form, although in rejecting
the claim the Office may point out the
possibility of registration in Class A
as a "book" after publication with
notice.

Examples :

(1) A 300-page novel

(2) The usual poem

(3) A manuscript consisting primarily
of statistical tables and formulae

(4) A Ph.D. dissertation

b. In determining whether a manuscript con-
stitutes a work prepared for oral de-
livery or an unpublished book, some
significance may be attached to the
form in which the work is presented,
and the presence of such elements as
a title page, preface, foreword, table
of contents, chapter headings, bibliog-
raphy, footnotes, index, references to
"the reader," specific page references
in the text, illustrations, etc. The
presence of some of these elements need
not necessarily be conclusive, however.

c. If the applicant insists that the manu-
script was prepared in the first instance
for oral delivery, and this does not seem
altogether implausible, registration may
be made in Class C.

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<!-- PageHeader="Ch. 2.4 2.4.4" -->

###### 2.4.4 Preparation and Suitability for Oral Delivery. (cont'd)

I.
Preparation in the first instance for oral
delivery. (cont'd)

d. The mere fact that the claimant has read,
or intends to read, his work orally to a
few friends does not make it a "work pre-
pared for oral delivery," if it is clear
that the work was prepared in the first
instance for publication.

Example: Claimant states in a letter of
transmittal that he has sent his
work to various magazines.

### II. Suitability for oral delivery.

a. To be registrable in Class C, a work must be
complete enough for actual oral presentation
in its present form, without substantial
further development.

1\. An outline, synopsis, or description of
the idea of a television or radio pro-
gram, stage show, lecture series, etc.,
is not registrable in Class C, even if
fairly detailed.

2\. Where the applicant deposits an outline
or synopsis of a series of programs, to-
gether with one sample script, the appli-
cant will be asked to detach the outline
or synopsis and register the script alone,
and will be cautioned that registration
for the script will not protect the idea
or plan, the future scripts in the series,
or the series as a whole.

3\. A general outline of the ideas or infor-
mation to be expounded in a speech, such
as a list of topic words or sentences,
or a group of brief notes, is not regis-
trable in Class C. However, if a script
is actually capable of oral delivery,
the fact that it is in outline form will
not preclude registration in Class C.

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<!-- PageHeader="Ch. 2.4 2.4.4" -->

#### 2.4.4 Preparation and Suitability for Oral Delivery. (cont'd)

##### II. Suitability for oral delivery. (cont'd)

b. A script in sufficient detail for delivery
substantially as written is registrable as
a work prepared for oral delivery, even
though the script indicates that other
material is to be interpolated or added.

Examples :

(1)
Script containing occasional refer-
ences to the use, during the course
of the speech, of unspecified pic-
tures as illustrations.

(2)
Script consisting of the master
of ceremonies' remarks during
the course of a panel show.

(3)
Script consisting of the
interviewer's portion of a
television interview.

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<!-- PageHeader="Ch. 2" -->

# Chapter 2 COPYRIGHTABLE MATTER

## Part 2.6 MUSIC (CLASS E)

Outline of Topics

### 2.6.1 WHAT ARE MUSICAL COMPOSITIONS

I. Generally

II.
Evaluation of musical content

III.
Evaluation of textual content

IV. Books of music

### 2.6.2 NATURE AND COMPLETENESS OF COPIES DEPOSITED

I. Conventional notation not necessary

II. Sound recordings not acceptable

III.
Completeness of copies deposited

### 2.6.3 REQUIREMENTS OF REGISTRATION FOR MUSICAL COMPOSITIONS

I. Unpublished musical compositions

II. Published musical compositions

### 2.6.4 NEW VERSIONS OF MUSICAL COMPOSITIONS

I. In general

II.
Adaptations or arrangements

III.
Revisions or additions

IV. Editing

V. New lyrics

VI.
Compilations

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.1" -->

## CHAPTER 2. COPYRIGHTABLE MATTER

## Part 2.6 MUSIC (CLASS E)

### 2.6.1 What are musical compositions.

1\. Generally. To constitute a "musical composition"
for purposes of copyright registration in Class E,
a work must generally contain notations representing
a succession of musical sounds, usually in some
definite melodic and rhythmic pattern. The work may
consist of music alone, or of words and music combined.
A work consisting of words alone is not registrable in
Class E.

#### II. Evaluation of musical content.

a. Three elements are usually present in a musical
composition: melody (a succession of single
tones), rhythm (groupings of tones according to
accent and time value), and harmony (chords of
differing pitch in various related progressions
or modulations). The presence of all or any one
or two of these elements may be considered to
constitute a musical composition. However, before
making registration for certain unpublished works,
it may be advisable to write to the applicant,
pointing out that protection extends only to the
material actually deposited, and suggesting that
in his own interest he develop his manuscript to
supply the missing element.

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<!-- PageHeader="Ch. 2.6 2.6.1" -->
<!-- PageHeader="2-24" -->

### 2.6.1 What are musical compositions. (cont'd)

II. Evaluation of musical content. (cont'd)

a. (cont'd)

Examples:

9600000.000,00

etc ...

etc ...

&

\## #

CF AGD
I love Mc-lin- da

Your last kiss left

FADC
Her love is true ..

9

me so sad and blues.

b. In determining whether a work is a "musical
composition" for purposes of copyright regis-
tration, the usual standards of musical
criticism have no application. The presence
of notes does not necessarily presuppose the
existence of a tune or of any relationship
to a particular mode or key.

c. To support a registration in Class E, a work
of music must represent creative authorship.

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<!-- PageHeader="Ch. 2.6 2.6.1" -->

#### 2.6.1 What are musical compositions. (cont'd)

##### II. Evaluation of musical content. (cont'd)

###### c. (cont'd)

1\. A musical score having no element of
original composition (e.g., a group of
diatonic and chromatic scales for begin-
ning students) is not registrable unless
compilation is present. (See topics
2.6.1.IV.c., 2.6.4.VI.)

2\. A phrase consisting of a few musical notes
(e.g., the NBC signature; clock chimes),
standing alone, would not have sufficient
substance to constitute a composition.

3\. To be registrable in Class E, it is not
necessary that all of the underlying musical
themas in the composition be original. Vari-
ations, popular adaptations, arrangements,
and other versions of public domain themes
(or of copyrighted themes when permission to
use has been secured) may be registered as
new works of authorship. (See topic 2.6.4.)

Examples:

(a) Variations on a theme by Paganini

(b) A symphonic arrangement of "Yankee
Doodle"

(c) A popular song based on a theme
from Chopin's "Fantasie Impromptu"

4\. A work consisting chiefly of text or pictorial
matter, although it deals with the subject of
music and contains incidental fragments of
musical scores, is not registrable in Class E.

Examples:

(a) A book on some munical subject,
with brief musicul quotations to
illustrate the text

(b) An advertising print containing a
few bars of music to convey the
idea of music

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<!-- PageHeader="Ch. 2.6 2.6.1" -->

###### 2.6.1 What are musical compositions. (cont'd) . II. Evaluation of musical content. (cont'd)

###### 4. (cont'd)

Examples: (cont'd)

(c) A book explaining a new system of
musical notation, illustrated by
excerpts from familiar works in
the public domain

(d) A piano instruction chart contain-
ing text and diagrams showing notes
on the staff and on the piano key-
board

##### III. Evaluation of textual content.

###### a. Song lyrics.

1\. The words or lyrics of a song are a com-
ponent part of the musical composition
and may be registered together with the
music in published or unpublished form.

2\. The words of a song, without music, are not
of themselves a musical composition, and
are not registrable in Class E.

(a) The words of a song, without the
music, are not registrable in un-
published form, even if the monu-
script indicates that they are to
be sung to a well-known melody.

(b) Words alone may be registered in
Class A as a book when published
with notice.

3\. The Office prefers that the words of a
song be written above or beneath the notes
to which 'they are sung, but this is not a
requirement for registration. A manuscript
may be registered in Class E even if the
words are on one sheet and the music on
another.

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<!-- PageHeader="Ch. 2.6 2.6.1" -->

###### 2.6.1 What are musical compositions. (cont'd)

III. Evaluation of textual content. (cont'd)

b. Music with text. Where the copy deposited
consists of Class E material combined with
textual material, the practice to follow
depends upon the nature of the textual
material:

1\. If the work consists of regis-
trable music with a relatively
small amount of incidental text
(e.g., brief notes about the
composer, references to old music
from which the theme is derived,
etc.), registration may be made
in Class E in either published
or unpublished form.

2\. If the work is submitted as un-
published and it consists of
registrable music and a sub-
stantial amount of text which
is in the public domain (e.g.,
incidental music for a reading
of Poe's poems), registration
may be made in Class E in either
published or unpublished form.

3\. If the work is submitted as un-
published and it consists of
registrable music and a sub-
stantial amount of original
text which is registrable only
in published form, the applicant
will be requested to redeposit
the manuscript with the text
omitted and to file a new appli-
cation omitting any reference to
the text.

4\. If the work is submitted as un-
published and the text consists
of a work prepared for oral de-
livery (e.g., a monolog with
musical accompaniment; a musical
composition with narration) the

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.1" -->

#### 2.6.1 What are musical compositions. (cont'd)

##### III. Evaluation of textual content. (cont'd)

b. Music with text. (cont'd)

###### 4. (cont'd)

following practices apply:

(a)
If application is
filed on Form E, and
the musical portion of
the work will support
a registration in Class
E, a single registration
in the applicant's choice
of class may be made,
even though the Class C
material predominates.

(b)
If application is filed
on Form E and the musical
portion of the work is
de minimis or somewhat
borderline, but there is
substantial Class C
material, registration
in Class C will be
suggested.

(c)
If both the Class E and
Class C material are
substantial and fairly
evenly balanced, the
possibility of making
separate registrations
may be pointed out, al-
though a single registra-
tion in the class applied
for will not be refused.

5\. If the work is submitted as un-
published and it consists of
registrable music and text which
is dramatic in nature, registra-
tion for the work as a whole in
Class D as a "dramatico-musical
composition" may be appropriate.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.1" -->

###### 2.6.1 What are musical compositions. (cont'd)

III. Evaluation of textual content. (cont'd)

b. Music with text. (cont'd)

6\. If the work is submitted as pub-
lished and it consists of regi-
strable music and a substantial
amount of original text, an ap-
plication on Form E will general-
ly be accepted; or, if separate
notices have been used, separate
registrations may be suggested in
Classes E and A.

###### IV. Books of music.

###### a. In general.

1\. One or more pieces of new music or
new arrangements of existing music,
published in book form with appro-
priate music notice, may be reg-
istered in Class E. Registration
in Class A will generally be dis-
couraged unless the applicant clearly
wishes it, or unless the notice would
be more appropriate for Class A.
(See topic 2.6.1.IV.d., below.)

2\. A published book consisting principally
of new music or new arrangements of
existing music, though also containing
a substantial amount of other copyright-
able matter (e.g., an introduction,
pictorial illustrations), may be reg-
istered in either Class E or Class A.

###### b. Books of existing music with new matter.

1\. A book of music containing both
reprintings of existing com-
positions and new musical works
may be registered in Class E.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.1" -->

#### 2.6.1 What are musical compositions. (cont'd)

##### IV. Books of music. (cont'd)

b. Books of existing music with new matter.
(cont'd)

2\. A book consisting entirely of
previously published music, in
which the only new matter con-
sists of non-musical material,
will not be registered in Class
E (unless the work represents a
new compilation or contains
copyrightable editing; see topics
2.6.1.IV.c. and 2.6.4.IV. and VI,
below). The book may be regis-
trable in Class A, or in some
other class appropriate to the
new matter.

Examples :

(a) Chopin Études, with new
text of suggestions for
teachers and students.

(b) Bach's "Well-Tempered
Clavichord" with a new
foreword on the histori-
cal development of key-
board instruments.

(c) The song "America" with
patriotic pictures and
emblems.

##### c. Compilations. (See topic 2.6.4. VI)

1\. Published and unpublished com-
pilations of original songs, of
original arrangements of songs,
or of songs with original lyrics,
should generally be registered
in Class E.

2\. Where the only registrable ele-
ment in a published collection

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<!-- PageHeader="Ch. 2.6 2.6.1" -->

#### 2.6.1 What are musical compositions. (cont'd)

##### IV. Books of music. (cont'd)

c. Compilations. (See topic 2.6.4.VI) (cont'd)

2\. (cont'd)
of previously published music is
the compilation, the preferable
classification is Class A, al-
though Form E may be accepted if
after correspondence the appli-
cant prefers it. If the col-
lection is unpublished, it should
be suggested to the applicant
that registration be deferred un-
til after publication with notice,
but registration in Class E will
not be refused.

d. Position of notice. The position of the notice
of copyright may influence the classification
of a published book of music.

1\. When the notice is on the title page,
registration may be made either in
Class A or in Class E. If Form A is
received, the Office will generally
suggest the filing of a new application
on Form E if the work contains a sub-
stantial amount of new music.

2\. When the notice is on the first page of
music, a Class E application will
generally be required. If it seems
likely that the notice on the first
page of music was intended to cover
only the composition appearing on
that page, rather than the collection
as a whole, registration may be
made with a cautionary letter.

3\. When the notice is on the back of
the title page, Form A will be
accepted. If the applicant sub-
mits Form E, registration may be
made with a cautionary letter.

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<!-- PageHeader="Ch. 2.6 2.6.2" -->

#### 2.6.2 Nature and completeness of copies deposited.

I. Conventional notation not necessary. As long as it is
Intelligible and capable of being read and visually
perceived, a work may be accepted for registration in
Class E, even if it does not employ the conventional
form of music notation.

a. Copies employing letters, numbers, words,
symbols, or other indicia may be accepted
if it seems possible for someone to decipher
the music in the work.

Examples:

aggredet
ecced-

言文市吉本設す

Your eyes am limpie of your

本文 六弄

lips soft and full ...

b. A copy containing a score appropriate for
the notation of electronic or concrete music
may be accepted.

c. However, if the work is unpublished and it
seems impossible for anyone to determine the
music from the copies, the applicant will be
requested to prepare a new manuscript for
deposit.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2. 2.6.2" -->

#### 2.6.2 Nature and completeness of copies deposited. (cont'd)

I. Conventional notation not necessary. (cont'd)

c. (cont'd)

Example:

0

0
0
0
O
my arms , I'm a
0
o
0
0
0
victim of your charms
0
0

0

Take my lips ... take

II. Sound recordings not acceptable. A sound recording of
a musical composition is not acceptable for registra-
tion in Class E. When a sound recording is deposited,
the Office will reject the claim but point out to the
applicant the possibility of writing out the composition
in manuscript form and then making registration on the
basis of the manuscript. (As to the problem of the
sale of recordings as publication, see topic 3.1.3.IV.)

III. Completeness of copies deposited.

##### a. Unpublished manuscripts.

1\. As long as the manuscript appears to
contain copyrightable music, no
effort will generally be made to
determine if the words and music are
complete and if the work is in finished
form. (But see paragraphs 2 and 3,
below.)

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.2" -->

###### 2.6.2 Nature and completeness of copies deposited. (cont'd)

## III. Completeness of copies deposited. (contid)

### a. Unpublished manuscripts. (cont'd)

#### 1. (cont'd)

Example: Where the manuscript contains
music for verse and chorus,
but includes words for the
chorus only, the claim will
not be questioned.

2\. Where the applicant states that the
work is incomplete, but indicates that
he will complete and submit the finished
work shortly, the Office may suggest
that registration be deferred until the
work has been completed.

3\. Where the applicant appears to have
skipped a page in copying his manu-
script, or where the words end in the
middle of a sentence, the Office will
question the completeness of the manu-
script.

### b. Orchestrations, bandstrations, and instrumental parts.

1\. Where the copies deposited in connec-
tion with a published work for orchestra
or band consist only of the piano-
conductor or condensed score, and there
are indications on the copies that other
instrumental parts or band books have
been published with it as a unit, the
Office will request deposit of all parts
or books. The same practice should be
followed where the part originally de-
posited is a full score, even though
a full score contains all the music in
the other parts in a different form.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.2." -->

2.6.2 Nature and completeness of copies deposited. (cont'd)
III. Completeness of copies deposited. (cont'd)

b. Orchestrations, bandstrations, and instrumental
parts. (cont!d)

2\. Where the copies deposited indicate that
the work is a part for a certain kind of
instrument (e.g., "for Bass Clef Instru-
ments"), and that parts for other instru-
ments are also published with it as a
unit, the Office will request deposit of
all parts, even if they represent mere
transpositions of the material on hand.

3\. Where an unpublished manuscript consists
of a "piano part" or "piano conductor"
part, registration will generally be
made without correspondence or annota-
tion.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.3" -->

#### 2.6.3 Requirements of registration for musical compositions.

##### I. Unpublished musical compositions.

a. In general. Claims to copyright in unpublished
musical compositions may be registered in Class
E. (As to publication, see Chapter 3; as to
the formalities of registration, see chapters
5, 9, and 10.)

b. Two or more versions.

1\. When an applicant submits two or more
different unpublished arrangements or
other versions of the same composition,
separate registrations will be encour-
aged. A single registration may be
considered if the applicant insists,
provided the authorship of each version
is the same, and a single identifying
title is given.

Examples :

(a) Arrangements of a composition
for piano and for dance
orchestra

(b) English, French, and Spanish
versions of a popular song,
with different lyrics and
minor changes in tempo and
phrasing

2\. When an applicant submits two or more
unpublished versions of the same com-
position, in which the only differences.
are in uncopyrightable elements, they
may be registered together on a single
application.

Example:

The same music in different
keys

<!-- PageBreak -->

<!-- PageHeader="ch. 2.6 2.6.3" -->

###### 2.6.3 Requirements of registration for musical compositions. (cont'd)

###### I. Unpublished musical compositions. (cont'd)

c. Collections of unpublished musical compositions.
A collection of two or more unpublished musical
compositions may be registered on one applica-
tion when all of the following conditions are
met:

1\. The collection is assembled in an orderly
arrangement; and

2\. The collection bears a single title
identifying the collection as a whole;
and

3\. The collection as a whole is the subject
of a single claim of copyright; and

4\. All the compositions are by the same
author; or, if they are by different
authors, the collection as a whole
represents the work of a single author
in its compilation or editing.

###### II. Published musical compositions.

a. In general. Claims to copyright in musical
compositions published with the appropriate
copyright notice may be registered in Class E,
(As to publication, see chapter 3; as to notice,
see chapter l; as to the formalities of regis-
tration, see chapters 5, 9, and 10.)

b. Publication of registered manuscript. When a
musical composition, previously registered in
unpublished form, is published with appropriate
notice, registration should again be made to
cover the published edition. (17 U.S.C. $12.)

c. Books of music. See topic 2.6.1.IV.

<!-- PageBreak -->

Ch. 2.6
2.0.4

###### 2.6.4 New versions of musical compositions.

I. In general. In order for registration of a new version
of an existing musical composition to be valid, the
composition employed must be in the public domain or,
if copyrighted or protected under common law, must be
used with the owner's peindssion.

a. Frequently the claimant of copyright in the
new version is also the owner of copyright
in the composition employed in the new version,
in which case no question of permission arises.

b. In all cases the Copyright Office will assume
that use of the existing material is authorized
unless there are fairly clear indications that
permission has not been obtained (e.g., where
the claimant tells us so.) In the latter case,
the Office will not refuse registration for the
new version, but will suggest the advisability
of securing permission before registering a
copyright claim or publishing the work.

II. Adaptations or arrangements. An adaptation or arrangement
of existing music, involving original composition, con-
stitutes a registrable new musical work.

Examples:

a. An adaptation of an organ work for orchestra

b. A new piano accompaniment for an old English
vocal air

o. An arrangement for dance orchestra of the songs
from "The Boy Friend"

###### III. Revisions or additions.

a. The substantial. revision of the score of existing
music, or the addition to an old score of a
substantial amount of new music, creates a
registrable new version.

Examples:

1\. The rewriting of a substantial portion
of the music of a previously copyrighted
composition

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.4" -->

###### 2.6.4 New versions of musical compositions. (cont'd)

## III. Revisions or additions. (cont'd)

a. (cont'd)

Examples: (cont'd)

2\. The addition of a piano accompaniment
to a copyrighted lead sheet

3\. A medley of old songs joined together
by the interpolation of new music

b. Minor changes in existing music, such as any
musician might readily make, and which are
not substantial enough to constitute original
composition, do not create a registrable new
version.

Examples:

1\. The change of a few notes in the
melody of "The Star Spangled Banner"

2\. Mere transposition of an old song
into a different key

3\. The omission of two measures
from an old song

IV. Editing. Whether editing of a musical composition
constitutes registrable "new matter" depends upon its
nature and extent. Assuming it is sufficient to con-
stitute creative authorship, editing will be regarded
as a "writing" registrable in Class E.

V. New lyrics. (See also topic 2.6.1.III.a.)

a. The addition of copyrightable new words to
existing music creates a new version registrable
in Class E.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 ---- 2.004" -->

## 2.6.4 New versions of musical compositions. (cont'd)

V. New lyrics. (cont'd)

### a. (cont'd)

Examples:

1\. A new verse to "America the Beautiful"

2\. New words to be sung to the melody of
Schumann's "Traumerei"

3\. English translations of the words of
Russian folk songs, accompanied by
the music

b. The setting of an existing poem to existing
music, if it involves some element of creative
selection and combination, may constitute a
new version or adaptation, registrable as
music.

c. Minor changes in the words of an existing
lyric (e.g., change of the words "Mary dear"
to "Ellen dear") will not constitute a new
version.

### VI. Compilations. ' (See also topic 2.6.1.IV.c.)

a. A published or unpublished collection of
previously published musical works, in which
the assembling, selection, or combination
of works represents some degree of original
authorship, constitutes a registrable compilation.

Examples:

1\. A collection of compositions for the
violin by various composers

2\. A graded selection of Schumann's
composition for the piano
/

3\. An album of Piano arrangements titled
"Hits of the Forties"

b. The mere republication together of several

<!-- PageBreak -->

<!-- PageHeader="Ch. 2.6 2.6.4" -->

## 2.6.4 New versions of musical compositions. (cont'd)

### VI. Compilations. (cont'd)

b. (cont'd)
previously published musical works, where no
appreciable degree of original authorship
was involved in putting them together, does
not constitute a registrable compilation.

Examples:

1\. The songs from "Oklahoma"

2\. Beethoven's twelve contra dances

3\. Mozart's Symphonies Nos. 39, 40, and Ll

<!-- PageBreak -->

the mulney ar

<!-- PageBreak -->

<!-- PageHeader="Ch. 2" -->

# Chapter 2 COPYRIGHTABLE MATTER

## Part 2.14 MOTION PICTURES (CLASSES L-M)

### Outline of Topics

#### 2.14.1 WHAT IS A MOTION PICTURE?

I. In general

II. Classification

a. Two classes

b. Single application form

c. Video tapes

d. Types of material not eligible

III. Sound tracks

#### 2.14.2 STATUTORY REQUIREMENTS FOR COPYRIGHT IN MOTION PICTURES

I. Publication

II. Notice

a. Form

b. Position

III. Manufacture

#### 2.14.3 PROCEDURE FOR REGISTRATIONS

I. Copies

a. Published motion pictures

b. Unpublished motion pictures

II. Fees

III. Information contained in application

a. Authorship

b. New matter

IV. Unit registrations

<!-- PageBreak -->

OUTILS BOLTON A DE FAIRE CARE

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 2.14.1" -->

## CHAPTER 2. COPYRIGHTABLE MATTER Part 2.14 MOTION PICTURES (CLASSES L-M)

### 2.14.1 What is a Motion Picture?

I.
In general. "A motion picture is a series of pictures
presenting to the eye the illusion of motion, which
pictures are projected on a screen or transmitted
by means of television or otherwise, and have as
their origin a series of connected pictures on film
or other recording media."

II.
Classification.

a. The copyright law provides for registration of
motion pictures in two classes: (17 U.S.C. §5)

1\. Photoplays (Class L). Photoplays are motion
pictures that are dramatic in character and
tell a connected story.

#### Examples :

(1)
DAVID COPPERFIELD, & feature film based
on the Dickens novel

(2)
THE WHITE ROSE OF MEMPHIS, a filmed,
original teleplay

(3)
THE STRAWBERRY ISLAND ADVENTURE, an
animated cartoon

(4)
LARRY LAGER AND PHIL PILSNER GO CAMPING,
a filmed T.V. cartoon commercial

2\. Motion Pictures Other than Photoplays (Class M).
This class includes motion pictures which do
not tell a connected story by dramatic means.

#### Examples :

(1) THE NEWS OF THE WORLD IN REVIEW, a news-
reel

(2) INTO THE SETTING SUN, a travelog

(5-62)

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 2.11.1" -->

2.14.1 What is a Motion Picture? (cont'd)

II. Classification. (cont'd)
a. (cont'd)

2\. (cont'd)

Examples: (cont'd)

(3) GASOLINE ENGINES FOR WOMEN, a filmed
educational T.V. program

(4) YOUR SIDEWALK REPORTER, a filmed T.V.
program

b. For purposes of registration, all motion
pictures are entered on a single application,
Form L-M. The application must indicate whether
the film is a photoplay or other than a photoplay.

c. If otherwise qualified as a motion picture, a
work reproduced on video tape may be considered
for registration in Class L or Class M.

d. The following types of material are not eligible
for registration in Class L or Class M:

1\. Motion picture scripts. Registration for
such works may be considered in Classes C or D

2\. Motion picture scenarios, synopses, outlines,
etc. Such works are regarded as books,"
and may not be registered in unpublished
form.

3\. Filmstrips. Such works may be considered
for registration as "photographs" in Class J.

### III. Sound tracks.

a. The Copyright Office takes no position as to
whether copyright in a motion picture covers
the integrated sound track portions of the
work.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 2.11.2" -->

### 2.14.1 What is a Motion Picture? (cont'd)

#### III. Sound tracks, (cont'd)

b. Registration is not made for a sound track
alone, or for a sound track as the only new
matter in a previously published or registered
motion picture.

Examples:

(1) An old silent film with a new sound track.

(2) A previously published foreign film with
a dubbed sound track in English.

### 2.14.2 Statutory Requirements for Copyright in Motion Pictures.

#### I. Publication.

a. Claims are registered in both published and
unpublished motion pictures.

b. Publication of a motion picture is generally
deemed to have taken place when prints of the
film are placed on sale, sold, distributed to
the public, or distributed to film exchanges,
film distributors, exhibitors, or broadcasters
under a lease or similar arrangement.

Examples of publication:

(1) Prints of a "public service" film are sent
out free of charge to various television
stations for exhibition.

(2) Prints of a theatrical film are sent out
to distributors for rental to exhibitors.

c. Mere public exhibition or performance is not
generally regarded as publication of a motion
picture.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 2.17.2" -->

##### 2.14.2 Statutory Requirements for Copyright in Motion Pictures. (cont'd)

###### I. Publication. (cont'd)

c. (cont'd)

Examples :

(1) "Preview" of a film to test audience reaction.

(2) Performance of a film on television.

###### II. Notice.

###### a. Form.

1\. The notice on a published motion picture
should generally consist of "the word
'Copyright,' the abbreviation 'Copr.,' or
the symbol (), accompanied by the name of
the copyright proprietor, and. . . the year
in which the copyright was secured by
publication."

2\. A notice lacking the year date will be con-
sidered for registration either in Class L
or Class M, but we caution the applicant
that such a notice may not be adequate,
expecially in Class L.

###### b. Position.

1\. The law does not specify where a notice
should be placed on a motion picture film,
but the Office will recommend that the notice
appear on or near the title frame.

2\. Registration will be made if the notice
appears either in the opening frames con-
taining the title and credits or at the end
of the film.

3\. Registration will be refused if the notice
appears only on one of the reels in the
middle of the film.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 2.14.3" -->

##### 2.14.2 Statutory Requirements for Copyright in Motion Pictures. (cont'd)

II. Notice. (cont'd)

b. Position. (cont'd)

4\. The notice should be legible when the film
is screened or exhibited.

(a) A notice scratched on the leader of
a film will be questioned. Registra-
tion will be made upon advice that a
legible notice appeared on all copies
of the film.

(b) A notice on the reel or container will
not be accepted.

III. Manufacture. The manufacturing requirements of
Sec. 16 (17 U.S.C.) do not apply to motion pictures.

### 2.14.3 Procedure for Registration.

#### I. Copies.

a. Published motion pictures.

1\. The law requires deposit of two complete
copies of the best edition of the film as
published; or, if the "author" of the film
is a citizen or subject of a foreign state
or nation, one complete copy of the best
edition is required. (17 U.S.C. §§ 13, 215)

2\. The copies must be complete, identical, and
of the best edition published.

Example :

A copy of an 8-reel film in which reel
6 is missing will not be accepted.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 2.14.3" -->

##### 2.14.3 Procedure for Registration. (cont'd)

###### I. Copies.(cont'd)

a. Published motion pictures. (cont'd)

3\. In addition to the actual prints of the
film, the Copyright Office requires the
deposit of a description of a published
motion picture. This may take the form of
a shooting script, a synopsis, a press book,
a continuity, or other identifying matter.

4\. A contract for the return of deposited
copies may be made between the copyright
claimant and the Librarian of Congress,
under terms and conditions prescribed by
the Librarian.

(a) In the absence of such a contract,
copies are either held pending the
execution of an agreement or are trans-
ferred to the Library's Exchange and
Gift Division.

(b) When such a contract exists, the copies
may be returned to the applicant
immediately following examination.

(c) Such contracts are not encouraged in
the case of foreign claimants, but
requests for such contracts should be
forwarded to the Library's Exchange
and Gift Division.

###### b. Unpublished motion pictures.

1\. Photoplays. Section 12 (17 U.S.C.) requires
the deposit " ... of a title and description,
with one print taken from each scene or act,
if the work be a motion-picture photoplay."

2\. Motion pictures other than photoplays.
Section 12 (17 U.S.C.) requires the deposit
" ... of a title and description, with not less
than two prints taken from different
sections of a complete motion picture, if
the work be a motion picture other than
a photoplay."

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 2.11.3" -->

##### 2.14.3 Procedure for Registration. (cont'd)

###### II. Feos.

###### a. Published motion pictures.

1\. The registration fee for all domestic
motion pictures is $6.00.

2\. If the motion picture qualifies as a work
of foreign origin, it may be registered
without feo if two copies, a catalog card,
and application are received within six
months of first publication.

b. Unpublished motion pictures. The registration
fee for all unpublished motion pictures is $6.00.

##### III. Information contained in application.

###### a. Authorship.

1\. The law requires a statement of the author's
citizenship and the application form calls
for his name.
3

2\. The law does not make the identity of the
"author" of a motion picture clear.

(1) Ordinarily a motion picture embodies a
large number of contributions, including
those of the author of the story, author
of the screenplay, director, editor,
cameraman, individual producer, etc.
These persons ordinarily are not regarded
as the "author" of the film in the copy-
right sense.

(2) Since most films are largely "made for
hire" the employer is usually regarded
as the "author." In most cases the
employer is the producing company,
although there may be cases where a
releasing company, a bank or other
organization or an individual is regarded
as the author.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 2.14.3" -->

### 2.14.3 Procedure for Registration. (cont'd)

IJI. Information contained in application. (cont'd)

a. Authorship. (cont'd)
2. (cont'd)

(3) The statement of authorship given on
the application will ordinarily not be
questioned unless there is a clear
conflict with the facts appearing in
the descriptive matter.

b. New matter. To be registrable as a "new version,"
a motion picture should contain new visual
elements or substantial revisions.

Examples of copyrightable new matter:

(1) English subtitles on a previously published
foreign film.

(2) An explanatory prologue added to an Italian
film version of an opera.

(3) An edited version of War and Peace, running
100 minutes rather than 200.

IV. Unit registrations. Related works, such as consecu-
tive installments of a series, must be registered
separately under individual titles unless they were
actually first published as a unit.

<!-- PageBreak -->

<!-- PageHeader="Ch. 3" -->

## Chapter 3

### Publication

### Outline of Topics

#### Part 3.1 WHAT IS PUBLICATION

##### 3.1.1 General publication

I. General policy with respect to
publication

II. Definition of general publication

III. Examples of general publication

IV.
Publication of part of a work

##### 3.1.2 Limited publication

I. Definition of limited publication

II.
Examples of limited publication

III. General policy with respect to
limited publication

##### 3.1.3 Public disclosure by means other than distribution of copies

I. Performance or rendition

II. Exhibition of an artistic or graphic
work

III. Exhibition of motion pictures

IV. Sound recordings

#### Part 3.2 DATE OF PUBLICATION

##### 3.2.1 In general

I. Definition

II. General policy with respect to the
date of publication

##### 3.2.2 Choice of a date

I. Factors to consider

II.
Consignment or release

III. Publication of separate parts or
installments

IV. Previous registration and new versions

V. Works first published abroad

<!-- PageBreak -->

<!-- PageHeader="Ch. 3" -->

### Part 3.2 DATE OF PUBLICATION (cont'd)

#### 3.2.3 Unacceptable dates of publication

I.
Date missing

II.
Incomplete date

III.
Qualified or indefinite date

IV. Separate parts or installments

V. Previous edition or version

VI. Application in advance of date of
publication

### Part 3.3 EVIDENCE OF PUBLICATION

#### 3.3.1 Factors raising questions as to publication

I. General practice

II. Appearance of copies

III. Information furnished by applicant

#### 3.3.2 After rejection for publication without statutory notice

I.
Resubmission

II. Unauthorized publication

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.1.1" -->

### Chapter 3. PUBLICATION

### Part 3.1 WHAT IS PUBLICATION

#### 3.1.1 General Publication.

I. General Policy with Respect to Publication. Although the
statute defines the "date of publication" (see part 3.2,
below), the copyright law does not contain a definition
of the act of publication itself, and this question is
generally left to the courts in specific cases. As a
rule, the Copyright Office will not attempt to make any
factual determination as to whether or not publication
has actually occurred, but will leave this decision to
the applicant.

a. When asked for advice, the Copyright Office
will generally refrain from taking a definite
position, but will state the meaning of pub-
lication in broad terms.

b. In fairly clear cases, the Copyright Office
may indicate the likelihood that publication
has or has not taken place, without fore-
closing the applicant from taking the oppo-
site position.

c. Where the applicant furnishes information
that leaves virtually no room for doubt on
the question of publication, registration
may be refused.

Examples :

(1) Applicant states that he has kept
one of the three copies of his
short story manuscript, and that he
considers depositing the other two
in the Copyright Office an act of
publication.

(2) Applicant states that his booklet
(which bears no notice) has been
advertised for sale in a newspaper,
and that 350 copies have been sold.

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.1.1" -->

##### 3.1.1 General Publication. (cont'd)

II. Definition of General Publication. Under the
court decisions, a general publication may be
defined as the act of making one or more copies
of a work available to the general public, with-
out express or implied restrictions as to future
use, usually by means of a sale, an offering for
sale, or a public distribution. As a rule, the
act is one which, if the copies in question did
not contain a copyright notice, would imply an
abandonment of the right of copyright or a
dedication to the public.

III. Examples of General Publication. The statutory
definition of the date of publication" (17
U.S.C. § 26) indicates that the placing on sale,
or public distribution of copies will normally
be regarded as publication. In addition, the
following acts may constitute publication in
appropriate cases:

a. Sale of a single copy. Sale or offering for
sale of a single copy could be publication,
depending upon the intent of the copyright
proprietor. When the applicant states that
only one copy has been sold, registration
will be made if the applicant also indicates
that he considers this publication.

b. Leaving copies in a public place for anyone
to take.

c. Indiscriminate gifts of copies.

d.
will ordinarily be regarded as publication un-
less the distribution was to a limited group
or for a restricted purpose.

Examples :

(1) Leasing of copies of a theatrical
motion picture to film distribu-
tors or exhibitors would be regarded
as publication.

<!-- PageBreak -->

<!-- PageHeader="Ch. 2 3.1.1" -->

3.1.1 General publication. (cont'd)

III. Examples of General Publication. (cont'd)
d. Leasing or renting of copies. (cont'd)
Examples: (cont'd)

(2) Rental of a framed painting to
an individual on a monthly basis
for private display would not be
regarded as publication.

e. Deposit of copies in a public library.

1\.
The deposit of a manuscript in a public
library (including the Library of
Congress) for unrestricted access by the
public will be accepted as constituting
publication.
2

2\.
When an applicant asserts that a work
was published by deposit in a public
library, it will be assumed that the
deposit was unrestricted unless infor-
mation to the contrary exists.
1

3\.
Deposit in the Copyright Office for regis-
tration will not be deemed to constitute
publication.

f. Exhibition of an artistic or graphic work.
(See item 3.1.3 II.a, below.)
1

###### IV. Publication of Part of a Work.

a. 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 con-
stitute publication of the play
as a whole.

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.1.1" -->

3.1.1 General publication. (cont'd)

IV. Publication of Part of a Work. (cont'd)
a. (cont'd)
Examples: (cont'd)

(2) Publication of a movie version
of an unpublished story does
not constitute publication of
the story as such.

b. Where a work first appears in serial form
and later comes out as a book, its appear-
ance in serial form is considered as first
publication. Registration of a claim in
the book would depend upon the existence of
new matter.

c. Where a work of art (painting, drawing,
sculpture, etc.) is reproduced in copies,
and the reproduction is published, the Copy-
right Office regards the work of art as
having been published to the extent that its
copyrightable features also appeared in the
reproduction.

#### 3.1.2 Limited publication.

I. Definition of Limited Pub on. Under the
court decisions, a limited fluication may be
defined as one that communicates a knowledge
of the contents of a work unde. conditions ex-
pressly or impliedly precluding its dedication
to the public.

II. Examples of Limited Publication. Usually
limited publication takes place when copies
have been circulated privately, have been dis-
tributed to a limited group for a specific
purpose, or when restrictions as to the use
of the work have been imposed.

Examples:

(1) An application on Form E stating
no date of publication will be

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.1.2" -->

#### 3.1.2 Limited publication. (cont'd)

##### II. Examples of Limited Publication. (cont'd) Examples: (cont'd)

accepted when the applicant in-
cates that, although printed
professional copies have been
distributed to various orchestra
leaders and singers, he does not
regard this as publication.

(2) An application on Form G stating
no date of publication will be
accepted when the applicant ex-
plains that only 40 of his hand-
made Christmas cards were sent out
to personal friends.

(3) Registration for a printed text-
book will not be foreclosed by
previous classroom distribution
of mimeographed copies of the
various chapters, when the appli-
cant states that he does not
regard the earlier distribution
as publication.
1
1

III. General policy with respect to limited publica-
tion. As a rule, the Copyright Office will not
attempt to decide whether a publication is limited
or general, but may indicate the probabilities in
fairly clear cases. When there is virtually no
room for doubt that general, rather than limited,
publication has occurred without statutory notice,
registration may be refused.

##### 3.1.3 Public disclosure by means other than distribution of copies.

###### I. Performance or Rendition.

a. The performance, rendition, or presentation
of a literary, dramatic, or musical work,
whether or not it is in public or for profit,
is not regarded as publication of the work.

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.1.3" -->

3.1.3 Public disclosure by means other than distribution of
copies. (cont'd)

I. Performance or Rendition. (cont'd)

b. Broadcasts and telecasts are not considered
publication, regardless of the size of their
audience.

c. Publication will be questioned where words
such as "performed, " "televised," "broad-
cast," etc., have been added to the publica-
tion line of the application.

II. Exhibition of an Artistic or Graphic Work.

a. Where an artistic or graphic work (i.e., a
work registrable in Classes F-K) is placed
on public exhibition with no restrictions
against copying, an application that alleges
publication will be accepted.

Examples:

(1) A photograph exhibited at a
White House Press Photographers'
show at the Library of Congress,
where neither the Library nor the
Association places any restrictions
against taking photographs of the
exhibits.

(2) A cemetery memorial erected in a
public cemetery where there are
no restrictions against copying
the monuments.

(3) A work of art exhibited at a pub-
lic gallery where there are no
posted by-laws or other notifica-
tion against copying, and where
there is no tacit understanding
that copying is forbidden.

b. Where the exhibition of an artistic or graphic
work is not open to the public, or where
restrictions on copying have been imposed,
general .publication is not deemed to have
occurred.

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.1.3" -->

3.1.3 Public disclosure by means other than distribution of
copies. (cont'd)

II. Exhibition of an Artistic or Graphic Work. (cont'd)
b. (cont'd)

Examples:

(1) Artistic glassware is exhibited
at an industrial fair limited
to the trade only.

(2) Photographs of textile designs
are exhibited with a legend
expressly prohibiting repro-
duction.

c. Where an artistic or graphic work is shown on
television, the Copyright Office will explain
that it is not clear whether this constitutes
publication, but will make registration as a
published work if the applicant believes that
publication has occurred.

d. Publication will be questioned where the
words "exhibited, " "shown," "televised, "
etc., have been added in the publication
line of an application covering an artistic
or graphic work.

###### III. Exhibition of Motion Pictures.

a. Lease or rental of copies of a motion picture
to a film exchange, film distributor, exhibi-
tor, or broadcaster ordinarily constitutes
publication (see item 3.1.1 III. d, above),
but mere public exhibition would not be
regarded as publication.

Examples:

(1) A "sneak preview" of a theatrical
film at a single theatre would
not constitute publication.

(2) A television film shown simul-
taneously on a network of 300
stations would not be regarded
as published.

<!-- PageBreak -->

<!-- PageHeader="in. 3 1.1.3" -->

3.1.3 Public disclosure by means other than distribution of
copies. (cont'd)

###### III. Exhibition of Motion Pictures. (cont'd)

b. Publication will be questioned where the
words "exhibited, " "shown," "televised, "
etc., have been added in the publication
line of an application covering a motion
picture.

###### IV. Sound Recordings.

a. Sound recordings are not regarded as copies
and, despite some language in court decisions
indicating the contrary, the Copyright Office
generally does not regard the sale of record-
ings as publication of the work recorded.

b. When the question arises in correspondence,
the Copyright Office will express this
general view, but will not take an unqualified
position on the point.

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.2.1" -->

### Part 3.2 DATE OF PUBLICATION

#### 3.2.1 In General.

I.
Definition. The date of publication is defined
in the copyright law (17 U.S.C. §26) as the
earliest date when copies of the first authorized
edition were placed on sale, sold, or publicly
distributed by the proprietor of the copyright
or under his authority.

II.
General Policy with Respect to the Date of
Publication.

a. While the Copyright Office may offer some
general guidance concerning the choice of
a specific publication date, the final
decision is up to the applicant.

b. The date of publication stated in the
application must be complete (month, day,
and year), unqualified, and earlier than
the date the application was submitted.

#### 3.2.2 Choice of a date.

I.
Factors to Consider. When the applicant is
uncertain as to the date he should state, the
Copyright Office may outline the following
factors to be considered:

a. When the exact date is not known, the
best approximate date may be chosen,
but it should be stated without qualify-
ing language.

b. 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.

c. In the case of books, the affidavit
may either state the date of publi-
cation or the date of completion of
printing, while the application must
state the date of publication.
Ordinarily, a difference between
these dates will not be questioned.

<!-- PageBreak -->

#### 3.2.2 Choice of a date. (cont'd)

II. Consignment or Release. Books and other works
are frequently sold or consigned before the date
set for their "publication" or release to the
general public. In such cases, the Copyright
Office will accept the date chosen by the applicant
without question.

#### III. Publication of Separate Parts or Installments.

a. Where various parts or installments of a
work are first published separately, each
part or installment is regarded as a separate
work, subject to its own registration on the
basis of its own publication date.

b. An application giving more than one date of
publication will not be accepted.

c. Where a work is first published as a unit,
the fact that parts of the work are later
distributed separately will not preclude
a single registration for the work.

Example:

Syndicated cartoons first published
by distribution in "book" form to
newspapers.

#### IV. Previous Registration and New Versions.

a. Where the work in question is the first pub-
lished edition of a work previously regis-
tered 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.

b. Where the work is a new version of a pre-
viously published work, the application
should give the date of publication of
the new version, rather than that of the
previously published edition.

<!-- PageHeader="h. 3 .2.2" -->
<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.2.3" -->

##### 3.2.2 Choice of a date. (cont'd)

###### V. Works First Published Abroad.

a. An application covering a work first published
abroad should state the date of first publication
abroad, and should be accompanied by a copy or
copies of the foreign edition. As a rule, regis-
tration for an American edition of the work
depends upon whether or not new matter has been
added.

b. An application covering an American edition of a
work first registered for ad interim copyright
should state the date of publication of the
American edition, but should also indicate the
year date of publication of the foreign edition.

##### 3.2.3 Unacceptable dates of publication.

###### I. Date Missing.

a. In classes where registration can be made for pub-
lished works only, an application in which no date
of publication is given will generally be rejected
unless it appears likely that publication has taken
place or will take place in the near future.

b. In classes where registration can be made for both
unpublished and published works, an application in
which no date of publication is given will be
questioned if the copies appear susceptible of pub-
lication. (See item:3.3.1.II.e, below.)
1

A

c. Where it is probablelthat publication has taken
place or will take place in the near future, a new
application following publication will generally
be suggested. However, in classes where unpublished
registration is possible, registration may be made
without correspondence if it seems clear that the
applicant understands the statutory requirements and
actually wishes registration in unpublished form.

II. 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.

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.2.3" -->

###### 3.2.3 Unacceptable dates of publication. (cont'd)

II. Incomplete Date. (cont'd)

a. Where the element is missing from the publication
line of the application, the Office may either
request the information and add it to the appli-
cation, or request a new application.

b. Where the date given in the affidavit on Form A
is incomplete, a new application and affidavit
will be requested.

###### III. Qualified or Indefinite Date.

a. An application in which the date of publication
is qualified by language such as "approximately, "
"on or about, " "posted" (for billboard posters),
"exhibited," "telecast," etc., will not be accepted.

b. An indefinite date, such as one extending over a
period of time, will not be accepted.

Examples :

(1) "July 20-26, 1962 "
(2) "Last week of December, 1962"

IV. Separate Parts or Installments. An application giving
more than one date of publication will not be accepted.
(See item 3.2.2 III, above.)

V. Previous Edition or Version. An application giving
only the date of publication for a previous edition
or version will not be accepted. (See item 3.2.2 IV,
above.)

VI. Application in Advance of Publication. An application
stating a date of publication that is later than the
date the application is received will ordinarily not
be accepted.

a. Where the date of publication given in the appli-
cation is less than one month in advance of the
date the application was received in the Copyright
Office, the application, copies, and fee will be
retained, and the applicant will be requested to
submit a new application after publication occurs.

<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.2.3" -->

##### 3.2.3 Unacceptable dates of publication. (cont'd)

VI. Application in Advance of Date of Publication. (cont'd)

b. Where the date of publication given in the applica-
tion is more than one month in advance of the date
of receipt, the application will be retained but
the copies and fee will be returned and the case
will be closed. The applicant will be asked to
submit a new application, copies, and fee after
publication.

c. Where the date of publication is the same as, or
a few days earlier than, the date of receipt in
the Copyright Office, and the circumstances clearly
indicate that the application left the applicant's
hands before the date of publication stated in it,
a new application will be requested.

Example :

An application received March 2, 1962
gives March 1, 1962 as the date of
publication, but was mailed in an
envelope postmarked from Honolulu on
February 27.

d. In the case of well-established daily newspapers,
application on Form B may be accepted if received
not more than one month in advance of the date of
publication they state.

<!-- PageBreak -->

### Part 3.3 EVIDENCE OF PUBLICATION

#### 3.3.1 Factors raising questions as to publication.

I.
General Practice. In general, the presence of
a date of publication in the application will
be accepted as indicating that publication has
taken place, unless the deposit copies, or infor-
mation furnished by the applicant, raise
questions as to whether publication actually
has taken place.

II.
Appearance of Copies.

a. Material submitted as published in Classes
A and E will not generally be questioned
on the single ground that copies are hand-
made or in preliminary form (e.g., photo-
stats, mimeographed copies, etc.). Such
material may be questioned when the copies
contain deletions or insertions, when the
deposit copies are not identical, or when
the copies appear incomplete.

b. Material submitted as published in other
classes may be questioned if the copies are
handmade or are in preliminary form, unless
the nature of the work would make publica-
tion in that form a normal occurrence.

Examples :
.

(1) Artist's handmade drawing of a
commercial label will be
questioned.
:
(2) Mimeographed copies of a play
would normally not be questioned.

c. Where the notice on a work has been added by
hand, the action to be taken depends upon the
nature of the work and other available information.

1\. If the handmade notice is consistent with
the nature of the copies, and there is no
other reason to question publication, reg-
istration is made without correspondence.

<!-- PageHeader="Ch. 3 3.3.1" -->
<!-- PageBreak -->

<!-- PageHeader="Ch. 3 3.3.1" -->

#### 3.3.1 Factors raising questions as to publication. (cont'd)

II. Appearance of Copies. (cont'd)
c. (cont'd)

2\. In certain cases the rough or tentative
nature of the notice may furnish a reason
to question whether the work has actually
been published.

3\. In appropriate cases the nature of the
notice may prompt a search of the corres-
pondence records to determine whether the
claim had previously been rejected for pub-
lication without statutory notice.

d. The fact that the copies bear a statement indicat-
ing that their distribution has been restricted
or limited in some way will not generally be
sufficient cause to question publication.

Examples :

(1) "Confidential -- these specifications
are for subscribers' use only"

(2) "Not for general distribution"

(3) "For professional use only"

e. Where the copy of a work submitted for registra-
tion in unpublished form bears the prescribed
notice and is printed or otherwise susceptible of
publication, registration will generally be defer-
red and the applicant informed of the necessity
for making a new registration after publication.
If the applicant, after being informed, still
desires an unpublished registration, it will not
be refused. (See item 3.2.3.I, above.)

f. Where an application is submitted for a pictorial
or graphic work, whether as unpublished or pub-
lished, and the transmittal letter accompanying
the application bears the same work, without
notice. as part of the letterhead design, publi-
cation with notice will be questioned.

<!-- PageBreak -->

Ch.
3.3.1

##### 3.3.1 Factors raising questions as to publication. (cont'd)

III. Information Furnished by Applicant. Information
volunteered by the applicant or furnished in
response to correspondence may contradict the pub-
lication statements (or lack of them) in the
application.

##### 3.3.2 After rejection for publication without statutory notice.

###### I. Resubmission.

a. Where a claim has been rejected for publica-
tion without statutory notice, and the
applicant resubmits the material with a good
notice but without reference to the earlier
rejection, the claim will again be rejected
if the new application contains the same date
of publication or a date earlier than that of
the letter of rejection.

b. In such cases, where the date of publication
has been changed to a date later than that
of the rejection letter, the Copyright Office
will request an explanation of the second
application.

c. Where there has been a previous rejection
but the applicant explains that publication
had not actually taken place, when the earlier
application was submitted, registration will
be made following publication with notice.

###### II. Unauthorized Publication.

a. In the rare case in which the applicant
alleges that the work (which lacks the
statutory notice) was not published "by
the copyright proprietor or under his
authority," the Copyright Office may con-
sider registration following an "authorized"
publication with notice.

b. Generally, when the copyright proprietor has
authorized publication with notice, the mere
fact that the person acting under his
authority omitted the notice or made an error
in it, will not make the publication
"unauthorized."

<!-- PageBreak -->

<!-- PageHeader="Chaptor 4" -->

## Notice

## Outline of Topics

### Part 4.1 WHEN REQUIRED

4.1.1 Unpublished works

I. Without notice

II. With notice

4.1.2 Works published in U.S.

I. General rulo

II. Accidental omission

4.1.3 Works published abroad

I. Works subject to ad interim registration

II. Works other than those subject to ad interim
registration

### Part 4.2 FORM OF NOTICE

#### 4.2.1 Elements required

I. Classes A, B, D, and E

II. Classes F to K

III. Classes L and M

IV. Contributions to periodicals

4.2.2 "Copyright" or "Copr, " or @: variants

4.2.3 Name of claimant

I. Identity of claimant

a. In general

b. Identity by reference

c. Deceased person

d. Estate, executor or administrator

G.
. Wrong claimant

f. Trustee

g. Assignee

h. Licensee

<!-- PageBreak -->

<!-- PageHeader="h. 4" -->

Part 4.2 FORM OF NOTICE (cont'd)

4.2.3 Name of claimant (cont'd)

II. Variant form of claimant's name

a. Minor variations
b. "Inc." and "Corp."

c. Corporate subsidiary or department

d. Abbreviations, initials, trade names, and othor
variants

III. Different claimants in notice and application

a. In general

b. Additional names

#### 4.2.4 Year date

I. When required

II. Form of year date

III. Appropriate year date

a. Copyright by publication

b. Prior registration as unpublished

c. Edition containing now matter

d. American edition !
:

#### IV. Variance between notice and application

a. Date in notice laterthan date of publication

1\. General rule
:

2\. Exception

3\. Previous publication or registration indicated

b. Data in notice earlier than date of publication

1\. General rule

2\. Previous publication or registration indicated

##### 4.2.5 Dispersed notice

I. Standard form of notice

II. Where elements are separated

a. General rule

b. Soparated name

c. Separated year date

d. Othor matter intervening

## Part 4.3 POSITION OF NOTICE

4.3.1 In books

I. Statute

II. Title page

<!-- PageBreak -->

<!-- PageHeader="Ch. 4" -->

## Part 4.3 POSITION OF NOTICE (Cont'd)

4.3.1 In books (Cont'd)

III. Page following the title page

IV. Page opposite the title page or its
reverse

V. Individual work in compilation

VI. Work of several volumes published at the
same time

### 4.3.2 In periodicals

I. Statute

II. Title page

III. First page of text

IV. Under title heading

4.3.3 In contributions to periodicals

4.3.4 In dramatic works

4.3.5 In music

I. Statute

II. Title page

III. First page of music

IV. Reverse of title page

### 4.3.6 In Classes F-K

I. Single-page work

II. Margin or mounting

III. Accessibility

IV. Multi-page works

V. Repetitive units

#### 4.3.7 In motion pictures

##### Part 4.4 MISCELLANEOUS

4.4.1 Manuscript notice

4.4.2 Legibility and visibility

I. Blurred notice

II. Microscopic notice

III. Concealed notice

4.4.3 Notice affected by use of work

I. Notice on tag or container

<!-- PageBreak -->

<!-- PageHeader="Ch. 4" -->

##### Part 4.4 MISCELLANEOUS (Cont'd)

4.4.3 Notice affected by use of work (Cont'd)

II. Notice likely to be lost in use of work
III. Notice in reverse

IV. Dust jacket

### 4.4.4 Limitations in notice

I.
Limitation not required

II.
. When limitation given

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.1.1" -->

# Chapter 4. NOTICE

## Part 4.1 WHEN REQUIRED

### 4.1.1 Unpublished works.

I. Without notice. No notice is required on an unpub-
lished work. Hence, for those classes of works
can be registered in unpublished form (all olda
except A, B, F, H, and K), an unpublished work boss
ing no notice may be registered.

#### II. With notice.

a. If an unpublished work bears a notice naming a
claimant who is not the same person as the
claimant in the application, the Office will
write for an explanation. (See topic 4.2.3
II and III.)

b. If an unpublished work bears a notice which would
be faulty if used on the work when published, the
work may be registered but the Office will send a
cautionary letter.

Examples:

(1) A notice on an unpublished dramatic
script lacking the name of the copy-
right proprietor.

(2) A notice with the wrong year date on
unpublished music.

(3) A notice at end of a ten-page lecture.

### 4.1.2 Works published in U.S.

I. General Rule. To be registrable, the deposit copies
of a work published in the U.S. must bear an accept-
able notice. (As to Publication, see Chapter 3.)

### II. Accidental omission.

a. If the Office is informed that the great bulk of
the published copies of a work bore an appropriate
notice, but that the notice was accidentally
omitted from a very few of the published copies,

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.1.3" -->

### 4.1.2 Works published in U.S. (cont'd)

#### II. Accidental omission. (cont'd)

##### a. (cont'd)

registration may be made. In such cases, if the
deposit copies do not bear the notice, copies
with the notice will be requested.

b. If a considerable number of copies have been pub-
lished without notice, registration will be denied.

c. If the entire first edition of a work was published
without notice, registration will be denied even if
the first edition consisted of a relatively small
number of copies.

### 4.1.3 Works published abroad. (See Part 8.2)

I. Works subject to ad interim registration. (See Part 8.4)

a. No notice is required for the copies of a work sub-
ject to ad interim registration which are published
abroad, or which are deposited for registration,
regardless of the citizenship or domicile of the
author.

b. Where the copies deposited for ad interim registra-
tion lack any notice, registration will be made
without a cautionary letter. Where they contain a
defective notice or present a variance in claim, the
practices described in topics 8.2.2,II.e.2 and
8.4.4. will be followed:

#### II. Works other than those subject to ad interim registration.

a. In general, works first published abroad after
June 18, 1959 (other than those subject to ad
interim registration) must bear a notice of copyright
in the required form and: position in order for regis-
tration to be made. However, the Copyright Office
will apply a liberal standard in evaluating the
acceptability of the notice on such works, and will
generally accept the notice at face value. (See
topic 8.2.1.III.)

<!-- PageBreak -->

<!-- PageHeader="Ch. /. 4.1.3" -->

##### 4.1.3 Works published abroad. (cont'd)

###### II. Works other than those subject to ad interim registration. (cont'd)

b. Works by foreign authors first published
before June 18, 1959 will be considered for
registration even if the notice is defective
or lacking, but a cautionary letter will be
sent in every such case.

c. For practices with respect to the form and
position of the notice on works first pub-
lished abroad, see topic 8.2.2.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.1" -->

## Part 4.2 FORM OF NOTICE

4.2.1 Elements required. (17 U.S.C. sec. 19; for U.C.C. require-
ments, see topic 8.2.2.II.a.)

I. Classes A. B. D. and E. The form of notice for
works in these classes consists of (1) the word
"Copyright," the abbreviation "Copr.," or the
symbol @, (2) the year in which copyright was
secured, and (3) the name of the copyright pro-
prietor.

II. Classes F to K.

a. For works in these classes, a notice in any of
the following forms may be accepted:

1\. The word "Copyright" or the abbreviation
"Copr." or the symbol @, accompanied by
the name of the proprietor, with or with-
out the year date; or

2\. The word "Copyright" or the abbreviation
"Copr." or the symbol @, accompanied by
the initials or other mark of the proprie-
tor, provided that his name appears on
some accessible portion of the copies or
its margin, back,' base, pedestal, or
mounting.

III. Classes L and M. A notice without the year date will
be accepted for either Class L or M, but the applicant
will be cautioned that such a notice may not be ade-
quate, especially for Class L.

IV. Contributions to periodicals. The notice on a contri-
bution to a periodical must be in a form appropriate
to the character of the contribution as a separate work.
Thus, if the contribution is a literary or musical work,
the notice must include the year date. If the contribu-
tion is a graphic work (Class F-K material), a notice
lacking the year date is acceptable.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.2." -->

4.2.2. "Copyright" or "Copr." or @ variants.

I. A misspelled or variant form of "Copyright" or
"Copr." may be accepted if it is clear that
copyright is meant. Examples of variants which
may be accepted:

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.

10\. Cpr.

11\. Corp. (if clearly not used to refer to a
corporation.)

II. The equivalent of "Copyright" in a foreign language
(e.g., the Spanish "derechos reservados") will not
be accepted.

III. A variant of the symbol @ will be acceptable only
where it resembles the @ closely enough to indicate
clearly that the copyright symbol is meant.

Acceptable variants:

1\. @

2\.
3\. 0
4\. @

5\. (c)

Unacceptable variants:

1\. CO

2\. C

3\. C/O
4\. 0

5\.
@

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

## 4.2.3 Name of claimant

### I. Identity of claimant

#### a. In general

1\. For all classes of works, the notice must include
"the name of the copyright. proprietor." (17
U.S.C. sec. 19.)

2\.
Ordinarily the Copyright Office will not question
the name given in the notice, as long as it is
substantially the same as the name given as
claimant in the application and appears sufficient
to identify the copyright proprietor.

(a)
Abbreviations, last names alone, trade
names, etc., will ordinarily be accepted if
substantially the same form of name also
appears as claimant in the application.

Examples:

(1) Colo. Mfg. and Merch. Co.

(2) Doloukanova

(3) Maxwell's
C
1

(b) Where it is clear from the face of the copies
that the person named in the notice is not
the copyright proprietor, registration will
be denied.
3

Examples:
:

1

(1)
"Copyright 1960 by Hill and Dale
Songs, licensee of U.S. publishing
rights"

(2)
"Copyright 1960 by George Jean
Kronenberger (for the unknown author
or owner of copyright in this play)"

(c)
Where the name in the notice is so vague,
abbreviated, or ambiguous that it could not
be considered to identify the claimant,
registration will be denied. (But see topic
4.2.3. II, below, concerning variant forms of
claimant's name.)

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 7.2.3" -->

1.2.3. Name of claimant (cont'd)

I. Identity of claimant (cont'd)

a. In general (cont'd)

2\. (cont'd)

(c) (cont'd)

Examples:

(1)
"Copyright 1960 by All Right-Think-
ing Citizens of Eastport, Maine"
3

(2)
"Copyright 1960 by C.L." (Where
the claimant is apparently an indi-
vidual and there is no indication
that the initials represent a trade
name)
C

(3)
"Copyright 1960 Birds and Beasts"
(Where "Birds and Beasts" is the
title of the particular textile
design, and there is no indication
that it is the accepted alternative
designation of the claimant)

(d)
Where the 'name' in the notice is a trademark,
registered or otherwise, copyright registra-
tion will not be made unless the trademark
also serves as a trade name or accepted
alternative designation under which the public
might identify the claimant. (See topic
4.2.3.II.d.6, below.)

(e)
If it is unclear whether the 'hamel in the
notice and application is sufficient, inquiry
should be made, and a new application ex-
plaining the nature of the identification
may be requested.

Examples:

(1) HB Co., accepted alternative desig-
nation of Humbert Bakery Co., Inc.

(2) Fandango, trade name of the Status
Seekers Jewelry Co.

(f)
For practices with respect to variances in
claim, see topic 4.2.3. II-III, below.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

## 4.2.3 Name of claimant (cont'd)

### I. Identity of claimant (cont'd)

b. Identity by reference. A notice reading "Copyright
1960 by the author" or "by the publisher" may be
accepted if the author or publisher is named and
identified as such in some position where it will be
readily seen. The claim will ordinarily be rejected
where more than one author is named on the work, or
where for other reasons the identity of the copyright
owner is ambiguous or unclear.

### c. Deceased person. 1

1\. If the person named in the notice died after the
work was published, registration should be made
in his name.

2\. When the Office has knowledge that the person
named in the notice died within three months
before the work was published:
:

(a) An application in the name of the estate
of the deceased, or in the name of the
executor or administrator of his estate
as such, may be accepted. Thus, any of
the following would be acceptable:

Examples:
:
1

(1) The Estate of A

(2) The Estate of A, by B, Executor
(or Administrator)

(3) B, Executor (or Administrator)
of the Estate of A

(b) An application in the name of the deceased,
or in the name of the publisher, will be
rejected. In such cases the possibility of
registration in the name of the estate, or
of the executor or administrator as such,
will be suggested.

(c)
When an application is received in the name
of a person claiming as the widow or heir of
the deceased, the Office will suggest that a
new application be submitted in the name of
the appropriate legal representative, point-
ing out, however, that if no administration
of the estate has been or will be had, the
application may be filed in the name of the
estate.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

1.2.3 Some of Claimant. (cont'd)

### I. Identity of claimant. (cont'd)

#### c. Deceased person. (cont'd)

3\. Any case in which the person named in the notice
died more than three months before the date of
publication will be considered individually on
its special facts. Registration (in the name
of the estate or of the executor or administra-
tor) may be made in some instances where the
use of the deceased's name in a work published
more than three months after his death is
explained by special circumstances; for example:
where the work was sent to the printer before
the death occurred and a subsequent change in the
notice would not have been feasible, or where
the publisher was not informed of the death un-
til after or very shortly before the date of
publication.

d. Estate, executor, or administrator. A notice in the
name of the estate of a deceased person, or in the
name of the executor or administrator of an estate as
such, may be accepted for registration in the same
name (e.g., "Estate of John Doe," or "James Smith,
Executor of Estate of John Doe"). If the application
gives only the name of the executor or administrator
without designating him as such (merely "James Smith"),
the application will be annotated to show the full
form given in the notice.

e. Wrong claimant. Where the Office is advised that the
wrong person is named in the notice (e.g., the print-
er's name inserted by mistake), an application in the
name given in the notice may be accepted with a
cautionary letter, if there is some indication that
use of the name in the notice was a good faith error,
or if tacit authorization may be implied. An applica-
tion in the name of the rightful claimant not given
in the notice will not be accepted. For practices
with respect to works first published abroad, see
topic 8.2.2. II.

f. Trustee. Where the notice is in the name of a trustee
(e.g., "John Doe, Trustee," or "John Doe, Trustee for
James Smith," or "John Doe for the benefit of James
Smith"):

<!-- PageBreak -->

<!-- PageHeader="Ch. 4.2.3" -->

## 4.2.3 Name of claimant. (contre)

### I. Identity of claimant. (cont'd)

#### f. Trustee. (cont'd)

1\. An application in the name of the trustee as such
("John Doe, Trustee") or in the same form as
given in the notice (e.g., "John Doe for the ben-
efit of James Smith") may be registered.

2\. An application giving only the name of the trustee
without designating him as trustee (merely "Jchn
Doe") may be registered, but the Office will
annotate to show the full form given in the notice.

3\. An application in the name of the beneficiary
alone ("James Smith") will not be registered.

#### g. Assignee.

1\. Where the notice names one person and the applica-
tion names another person who is identified
(either in the application or in correspondence)
as his assignee, the Office will request a new
application in the name given in the notice, with
the suggestion that the assignment be recorded.
R

2\. Where the notice names an assignee alone (e.g.,
"Copyright 1960 [assigned to Doaks Publishing Co."),
an effort will be made to determine, through
searching and/or correspondence, whether an
earlier edition has been published or registered,
and whether the present edition contains new
matter. (Note: i This situation can be altered by
the year date used in the notice; see topic 4.2.4).

(a) If this is the first publication of the work,
and there has been no previous unpublished
registration, registration will be in the
name in the notice.

(b)
If this is not the first published edition
of the work, and the earlier edition contained
a notice in another person's name:

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

4.2.3 Name of claimant, (cont'a)

I. Identity of claimant. (cont'd)

g. Assignee. (cont'd)
2. (cont'd)
(b) (cont'd)

(I) If there is new matter, registration
will be made in the name in the notice
and the desirability of recording the
assignment will be suggested.

(2) If there is no new matter, the claim
will be rejected because the work is
a reprint, with a warning as to the
effect of substituting an assignee's
name in the notice before recordation.

(c) If this is the first publication of the work,
but an unpublished version has been registered
in another name, registration will be made in
the name in the notice, whether or not there
is new matter. The applicant will be notified
of the desirability of recording his assign-
ment and (unless there is new matter) warned
about the substitution of his name in the
notice before recordation. The same practice
is followed with respect to the American
edition of a work registered ad interim.

3\. Where the notice names both an assignor and an
assignee (e.g., "Copyright 1960 by John Doe,
assigned to Doaks Publishing Co.,") an effort
will be made to determine, through searching
and/or correspondence, whether an earlier edition
has been published or registered, and whether the
present edition contains new matter. (Note: This
situation can be altered by the year date used in
the notice; see topic 4.2.4.)

(a) If this is the first publication of the work,
and there has been no previous unpublished
registration, registration will be made in
the name of the assignee, provided he was the
owner on the date of first publication.

(b) x2 this Au not the first published edition
of the york, and the carlier edition contained

<!-- PageBreak -->

Este rf claimant. (cont'd)

I. Tantity of claimant. (cont'd)

¿. Assignee. (cont'd)

3\. (cont'd)
(b) (cont'd)

.(1)
) If there is new matter, registration
will be made in the name of the assignee,
assuming he was the owner on the date of
first publication. The desirability of
recording the assignment will be sug-
gested.

(2)
If there is no new matter, the claim
will be rejected because the work is
a reprint. The desirability of re-
cording the assignment will be sug-
gested.

(c) If this is the first publication of the work
but an unpublished version has been reg-
istered in the name of the assignor:

(1)
If there is new matter, or if the assign-
ment has been recorded, registration
should be made in the name of the
assignee, provided he was the owner on
the date of first publication.

(2)
If there is no new matter, and if the
assignment is not recorded, registration
will be made in the name of the assignor,
and registration in the name of the
assignee will be refused.
1
(d) An application in both names will be rejected,
even if it follows the form of the notice.

(e) In any case, the application will be annotated
to reflect the form of the notice.

## h. Licensee.

1\. A notice naming a licensee alone (e.g., "Copyright
1960, Tinpan Music Co., U.S. Licensee") will not be
accepted.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

## 4.2.3 Name of claimant. (cont'd)

### I. Identity of claimant. (cont'd)

#### h. Licensee.

1\. (cont'd)

(a) If it is not apparent that the name is that
of a licensee, it will be assumed that the
party named is the proprietor.

2\. Where a notice names both the copyright owner
and a licensee (e.g., "Copyright 1960 by Heiman
Schmitt. Tinpan Music Co., U.S. Licensee"),
registration may be made in the name of the copy-
right owner (Herman Schmitt) but not in the name
of the licensee.
1

## II. Variant form of claimant's name.

### a. Minor variations.

1\. Where there are relatively minor variations be-
tween the form of the claimant's name or corporate
title in the application and in the notice, reg-
istration will be made without correspondence.
1

2\. Where the variance is quite minor, or where it
involves mere descriptive matter, no annotation
is made.

Examples:
2

1

(1) In notice: J. P. Higgins
In application: John Paul Higgins

(2) In notice: Swamplands Realty Co., Inc.
a Delaware Corporation
In application: Swamplands Realty Co.,
Inc.

(3) In notice: Rosetta Stone, Music Pub-
lisher
In application: Rosetta Stone

<!-- PageBreak -->

### 4.2.3 Name of claimant (cont'd)

## II. Variant form of claimant's name (cont'd)

### a. Minor variations (cont'd)

3\. Where it is a question whether the application
should be annotated or not, the rule to follow
generally is to annotate when the fuller form
of the name appears in the notice.

4\. Annotations should generally be made where the
differences between the forms of the name might
otherwise cause difficulty in identifying the
claimant or the registration, but are not suf-
ficient to require correspondence.

#### Examples:

(1) In notice: Mrs. Tommy Deauville
In application: Arlene Deauville

(2) In notice: Fairchild Publishing Corp.
In application: Fairchild Pub. Co. Inc.
1
1
1

(3) In notice: Educational Council of the
Affiliated American Snooker
Players

In application: Council on Education of
.
the Snooker Players of
America

\-
V
₹

(4) In notice: Anthony C. Payola Music
1
Publishing Company
In application: Payola Music

(5) In notice: H. B. Leary, Jr., and

€
Bro., Inc.
In application; H. B. Leary, Inc.

b. "Inc." and "Corp." Where the variance involves
omission of the designation "Inc." or "Corp., " the
question of whether to write or annotate is deter-
mined by the circumstances.

1\. In notice: Fairchild Publishing Co., Inc.
In application: Fairchild Publishing Co.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

## 4.2.3 Name of claimant (cont'd)

II. Variant form of claimant's name (cont'd)
b. "Inc." and "Corp." (cont'd)

### 1. (cont'd)

Practice:
Where the applicant is a regular re-
mitter and the error seems likely to
recur (e.g., in periodicals, seria]
jewelry, etc.), the Office writes
a new application. Otherwise, reg-
istration is made with an annotation.

2\. In notice: Fairchild Publishing Co.
In application: Fairchild Publishing Co., Inc.

Practice: If it seems clear that the names
refer to the same legal entity, the
claim is registered with an annotation;
and if the variance seems likely to
recur, a cautionary letter is sent. If
the identity between the names is open
to question (e.g., if there is a pos-
sibility that the company has been in-
corporated between the time of publi-
cation and registration), the application
is questioned.

c. Corporate subsidiary or department. Where the variance
is between the name of a corporation and the name of a
subsidiary or department of the corporation, registra-
tion may be made with an annotation if the relation
between the two names is nationally known, or if it is
clear from information on the copies. Otherwise, the
variance will be questioned.

Examples :

(1) In notice: Chevrolet Division
In application: General Motors Corporation
Practice: Annotate

<!-- PageBreak -->

## 4.2.3 me of claimant (cont'd)

II. Variant form of claimant's name (cont'd)

c. Corporate subsidiary or department (cont'd)
Examples; (cont'd)

(2) In notice: Wacky Record Corp., a
subsidiary of Black
and Blue Music, Inc.
In application: Black and Blue
Music, Inc.

Practice: Annotate

(3) In notice: Titanic Film Corp.
In application: Gigantic Pictures,
Inc.

Practice: Question the variance

d. Abbreviations, initials, trade names, and other variants

1: An application stating only the full name of
the copyright claimant will be questioned or

: rejected when the notice contains only the
claimant's initials, a sharply abbreviated
form of his name, or a different designation
which might be considered his trade name.

2\. Registration will be refused when it is apparent
on the face of the application, or it develops
from correspondence, or otherwise that the desig-
nation in the notice is not the claimant's trade
name and is not capable of identifying him to the
public.

(a) Under ordinary circumstances an application
in the name of an individual will be re-
jected outright when only the individual's
initials appear in the notice.

(b) In determining whether the designation in
the notice can be considered the claimant's
"name," the most important factor is
whether the designation is capable of iden-
tifying the claimant to the public generally,
as distinguished from the trade itself or
from the specialized public in the trade.
However, where it does not fly in the face
of common sense, the applicant's

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

## 4.2.3 Name of claimant (cont'd)

### II. Variant form of claimant's name (cont'd)

d. Abbreviations, initials, etc. (cont'd)
2. (cont'd)

(b) (cont'd)
assertion as to use of the designation
as a trade name will generally be ac-
cepted without further question. (See
topic 4.2.3.II.d.5, below)

c) Examples where registration is refused:

(1) In notice: O.L.
In application: Oliver Lemming

(2) In notice: C
In application: Caledonian Boar
Hunts, Inc.

(3) In notice: Or. Pst. Frd. Cb.
In application: Oregon Postalworkers
Friendship Club

(4) In notice: "@ 1959 Circles and Squares"
In application: (covering a fabric
design entitled "Circles
and Squares"): "Harp-
weaver Fabrics, Inc."

3\. When the designation in the notice appears to be
a trade name, an accepted alternative designation,
or similar variant under which the public may be
able to identify the claimant, a new application
will be requested, reflecting the designation in
the notice, the full name, and the relationship
between them.

(a) Whenever possible, the applicant should be
encouraged to state the claimant in line 1
of the application in the following order:
(1) variant designation exactly as it appears
in the notice, (2) relationship between the
variant and the full name, (3) the full name.
This will not always be possible in cases
where the relationship is expressed as "doing
business as", "trading as", etc.

<!-- PageBreak -->

<!-- PageHeader="131. 4 4.2.3" -->

## 4.2.3 Name of claimant (cont'd)

II. Variant form of claimant's name (cont'd)
di. Abbreviations, initials, etc. (cont'd)
3. (cont'd)

(a) (cont'd)'

Example: "A.A.S., Inc., accepted alternative
designation of Affiliated Abominable
Snowmen, Incorporated," rather than
"Affiliated Abominable Snowmen,
Incorporated, whose accepted alterna-
tive designation is A.A.S., Inc."

(b) The phraseology expressing the relationship be-
tween the variant designation in the notice and
the full name of the claimant will vary depend-
ing upon the nature of the claimant and other
circumstances. However, whenever appropriate,
the applicant should be encouraged to use
uniform phraseology in the pending case and in
future cases of the same sort. The following
represent the preferred phrases in the most
common situations, although variations expres-
sing the same thought may be accepted.

(1) Where the claimant is not a corporation,
the following are examples of acceptable
phrases:

(1) Thomas Jones, doing business as
Fielding Record Co.

(11) Emma Hart, sole owner of Nelson's
Chile Parlor

(iii) Ella Wheeler Parkington, pseudonym
of Calvin T. Smith

(iv) Harry Lillis Crosby, also known as
Bing Crosby

(v) Richard Ackroyd, trading as Rump-
sprung Mattress Co.

<!-- PageBreak -->

Ch. 1;
4.2.3

## 4.2.3 Name of claimant (cont'd)

II. Variant form of claimant's name (cont'd)

d. Abbreviations, initials, etc. (cont'd)

3\. (cont'd)

(b) (cont'd)

(1) (cont'd)

(vi) S & D Co., accepted alternative
designation of Sturm and Drang
Company

(vii) Andante, trade name of Millville
Jewelry Co., a partnership

(2) Where the claimant is a corporation,
the following are examples of accept-
able phrases:
2

(i) Florenza, accepted alternative
designation of Dan Kasoff, Inc.

(11) KT, trade name of Kaytee Imports,
Inc.

(iii) Trifari, accepted alternative des-
ignation of Trifari, Krussman &
Fishel, Inc.
1
(iv) Glunch, registered firm name of
Glumpy Optical Co., Inc.
:
1
4. In cases where use of the abbreviation or variant
in the notice has not been discussed or established
in previous correspondence, and where questions
might be raised as to the validity of the notice,
a cautionary letter should be sent. Future use of
the variant should be discouraged except where the
article is so small that no other alternative exists
(e.g., jewelry), or where the variant is so well-
known nationally that it is fully effective in
identifying the claimant to the public . (e.g., "GE,"
"GM," "AAA.")

5\.
The basis for acceptance of abbreviations, initials,
and other variants is that they are capable of
identifying the copyright claimant to the public as
a trade name, nickname, pseudonym, or other accepted
alternative designation. Ordinarily the Office will
not question an applicant's assertion to this effect

<!-- PageBreak -->

## 4.2.3 Namo of claimant (cont'd)

II. Variant form of claimant's name (cont'd)
d. Abbreviations, initials, etc. (cont'd)
5. (cont'd)

and will not require him to submit proof of his
statement. However, if the statement appears to
be clearly inconsistent or incorrect on its face,
the application may be questioned or rejected.

### Examplos:

(1) Dwight D. Eisenhower, pseudonym of
John Brown

(2) X, accepted alternative designation
of Louella Chalfont

(3) Oscar Claffey, doing business as the
American Red Cross

6\. A trade name identifies a business and a trademark
identifies the goods produced by that business. Thus,
when a trademark serves. only to identify goods or
products, it cannot be accepted as the "name" of the
proprietor in the copyright notice. However, when &
trademark also serves as a trade name in identifying
the copyright proprietor to the public, registration
may be considered. (See topic 4.2.3.I.a.2. (d), above.

a) Where the notice contains a designation
which is identified only as a trademark
(registered or not) inquiry will be made
as to whether the mark also serves as tho
trade name or accepted alternative designa-
tion of the claimant himself. If so, a new
application stating this fact will be re-
quested. If not, registration will be re-
fused.

Examples:

(1) In notice: Skip-Itch
In application: Skip-Itch, regis-
tored trademark of
Samuol L. Boitchman,
d.b.a. Sylbo Drug Co

<!-- PageHeader="Ch. 4 4.2.3" -->
<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

## 4.2.3 Name of claimant (cont'd)

II. Variant form of claimant's name (cont'd)

d. Abbreviations, initials, etc. (cont'd)

6\. (cont'a)

(a) (cont'd)
Examples: (cont'd)

(1) (cont'd)

Practice: Reject unless new applica-
tion received stating that
"Skip-Itch" is trade name
or accepted alternative
designation of claimant.

(2) In notice: Trifari
In application: Trifari, accepted
alternative designa-
tion and registered
trademark of Trifari,
Krussman & Fishel, Inc.

Practice: Accept, but if possible dis-
courage reference to trademark
in line 1.

(b) The fact that a trademark or trade name is
registered in the Patent Office or elsewhere
has no bearing on copyright registration one
way or the other.

(c) To be considered a trade name or accepted
alternative designation, a trademark must
contain recognizable letters or words. A
purely pictorial or graphic mark cannot be
considered a "name" for this purpose.

7\. Where the difference between the designation in the
notice and the claimant's name is more than a minor
variation (see topic 4.2.3.II.a, above), the Office
will write for a new application reflecting the re-
lationship between the two names, rather than re-
solving the variance itself by annotation.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.3" -->

### 4.2.3 Name of claimant : (cont'd)

II. Variant form of claimant's name (cont'd)

d. Abbreviations, initials, etc. (contra)
7. (cont/d)

Examples:

(1) In notice: B & W Labs
In application: B & W Labs, accepted
alternative designation
of Bang and Whimper
Atomic Laboratories,
Inc.

(2) In notice: Verdi's Pizza Palace
In application: Joe Green, d.b.a.
Verdi's Pizza Palace

8\. Where there is any "question as to precisely what
name is considered ja part of the notice (e.g.,
in dispersed notice cases, or where other names
follow the notice), the application will be
annotated to show what is regarded the name in
the notice.

III.
Different claimants in notice and application.
:

a. In general. Where the application and notice appear
to name different persons, the Office will write
for an explanation. (The explanation may show, for
example, that the name in the notice is the pseudonym

<!-- PageBreak -->

Ch. 4.
4.2 ..

## 4.2.3 Name of claimant. (Cont'd)

### III. Different claimants in notice and application. (Cont'd)

#### a. In general. (Cont'd)

or trade name of the applicant: see the preceding
topics 4.2.3, I and II). If they are actually dif-
ferent persons whose claims would conflict, the
application will be rejected. (See topic 4.2.3.I.e.)

b. Additional names.

1\. Where the notice names two claimants and only
one of them is given in the application, a
new application giving both names will be sug-
gested. But if registration in the one name
only is desired, the Office will so register
with an annotation.

2\. Where the application gives two claimants and
only one of them is named in the notice, a
new application in the name in the notice will
be requested, with the suggestion that, if a
transfer of part-ownership of the copyright is
involved, the assignment be recorded.

## 4.2.4 Year date.

I. When required. The year date must be included in the
notice in any "printed literary, musical, or dramatic
work." (17 U.S.C. § 19). It is required on works in
Classes A, B, D, and E published in the United States.
It is not required, so far as Title 17 is concerned,
for Classes F-K. The Office will recommend use of the
year date on motion pictures, Classes L and M; however,
motion pictures without the year date may be accepted
but a cautionary letter will be sent.

Note: In order to claim the exemptions
of 89(c), pursuant to the U.C.c.,
the year date is required in the
notice (which should also contain
the symbol @ for all classes.

<!-- PageBreak -->

<!-- PageHeader="ch. A 1.2.4" -->

## 4.2.4 Year Date. (cont'd)

II. Form of year date. The Office will accept a
year date in any of the following forms:

(1)
Arabic numerals, e.g., 1960

(2)
Roman numerals, e.g., MCMLX.

(3) Abbreviation of Arabic numerals,
e.g., 160

(4) Spelled out in words instead of
numerals, e.g., Nineteen Sixty

III. Appropriate year date.

a. Copyright by publication. Where copyright
was secured by publication, the year date
should be the year in which the work was
first published as stated in the application.

b. Prior registration as unpublished. Where copy-
right was secured by registration of the work
in unpublished form, copies later published
without change in substance should bear the
year date of such original registration. If
there is new matter in the published work,
the notice may include either the year date
of first publication alone or, preferably,
both the dates of registration and of pub-
lication.

c. Edition containing new matter. Where a new
edition of a work previously copyrighted as a
published work contains new matter, the year
date in the new edition may be the year of its
own publication. Or both the year date of the
original copyright and the year date of publica-
tion of the new edition may be given.

d. American edition. ¡ Where a work was first published
abroad, the later American edition should bear the
year date of such first publication. An American
edition bearing only the later year date of its
own publication will be rejected unless it con-
tains new matter. 1

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.4" -->

B

## 4.2.4 Year date. (Cont'd)

### IV. Variance between notice and application.

a. Date in notice later than date of publication. Where
the date in the notice is later than the date of
publication (that is, apparently a postdated notice) :

1\. General rule: Where there is nothing in the copies,
application or correspondence to indicate that
the work, or a substantial part of it has been
previously published or registered in unpublished
form, the claim should be rejected without searching
or preliminary correspondence.

2\. Exception: Where no previous publication or reg-
istration is indicated, but the date of publication
given in the application falls within the year
immediately preceding the year in the notice, the
claim should be entered without searching. A
warning letter should be sent, and the application
(not the certificate) should be annotated to show
the date in the notice.

3\. Previous publication or registration indicated.
Where something on the application, in the notice,
on the copy, or elsewhere in the correspondence
file indicates that the work, or a substantial part
of it, has been previously published or registered
in unpublished form, the Office should search or
correspond to determine the date of the earlier
publication or unpublished registration, and whether
or not the present copies contain new copyrightable
matter.

(a) If an earlier publication for the work (other
than foreign publication for an English-
language book registered ad interim) is
found, and there is no reason to suppose that
the present copies contain new copyrightable
matter, the claim should be rejected as a
reprint and the problem presented by postdating
the notice should be pointed out.
1
(b) If unpublished registration (or foreign pub-
lication for an English-language book registored
ad interim) took place before the year imme-
diately preceding the year in the notice, tho
claim should be rejected for postdated notice,
unloss:

<!-- PageBreak -->

C. 4
4.2.4

## 4.2.4 Year date. (Cont'd)

IV. Variance between notice and application. (Cont'd)
a. Date in notice, etc. (cont'd)

3\. Previous publication, etc. (cont'd)

(b) (Cont'd)

(1) the present copies contain copyrightable
new matter and the date of publication
falls within the year immediately preceding
the year in the notice; or

(2) the present copies contain new copyrightable
matter and the year date of publication
given on the application is wrong.

(c)
If unpublished registration (or foreign publica-
tion for an English-language book registered ad
interim) took place within the year immediately
preceding the year in the notice - and if there
is no reason to suppose that the present copies
contain new copyrightable matter and the year date
1
of publication given on the application is wrong -
the claim should be entered as a doubtful case.
(See topic 4.2.4.IV.a.2, above.) In such cases
the application (not the certificate) should be
annotated to reflect both the year in the notice
and the date of the earlier registration; for
example:

(1) "Year date ih notice: 1958
Registered Eu 123456, Oct. 27, 1957" or

:

(2) "Year date in notice: 1958
Ad interim registration AIO 9876, following
publication May 2, 1957."
5

(a) If search or correspondence indicates that the
present version contains new copyrightable matter
justifying use of the later date in the notice, and
that the earlier date of publication given in the
application was incorrect, a new application should
be requested.

<!-- PageBreak -->

<!-- PageHeader="4.2.4" -->

## 4.2.4 Year date. (Cont'd)

### IV. Variance between notice and application (Cont'd)

b. Date in notice earlier than date of publication.
Where the date in the notice is earlier than the date
of publication (that is, apparently an antedated notice) :

1\. General rule: Where there is nothing in the
application, copies, or correspondence to in-
dicate that the work, or a substantial part of
it, has been previously published or registered
in unpublished form, the claim should be entered
without searching or preliminary correspondence.
Both the application and the certificate should
be annotated to reflect the date in the notice,
and a warning letter should be sent.

. Previous publication or registration indicated.
Where something on the application, in the notice,
on the copies, or elsewhere in the correspondence
file indicates that the work, or a substantial
part of it, has been previously published or reg-
istered in unpublished form, the Office should
search or correspond to determine the date of the
earlier publication or unpublished registration,
and whether or not the present copies contain new
copyrightable matter. (No search or correspondence
is necessary if these facts are shown on the face
of the application.')
\-
1
(a) If an earlier publication for the work
(other than foreign publication for an
English-language book registered ad interim)
is found, and there is no reason to suppose
that the present copies contain new copy-
rightable matter, the claim should be re-
jected as a reprint.
3

(b) If unpublished registration (or foreign pub-
lication for an English-language book reg-
istered ad interim) took place in the year
shown in thenotice, and if there is no
reason to suppose that the present copies
contain new copyrightable matter, the claim
should be entered without correspondence and
without any annotation referring to the date
in the notice. However, if the fact of earlior
registration does not already appear on the
application, an annotation referring to the
earlier entry should be added; for example:
"Rog'd Su-123456, July 6, 1957."

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 1.2.5" -->

## 4.2.4 Year date. (cont'd)

IV. Variance between notice and application. (cont'd)
b. Date in notice, etc. (cont'd)
2. Previous publications, etc. (cont'd)

(c) If unpublished registration (or foreign
publication for an English-language book
registered ad interim) took place before
the year immediately preceding the year
in the notice, and if there is no reason
to suppose that the present copies contain
new copyrightable matter, the claim should
be rejected for postdated notice. (See
topic 4.2.4.IV.a.3. (b)).

(d) If unpublished registration (or foreign pub
lication for an English-language book reg-
istered ad interim) took place within the
year immediately preceding the year in the
notice, and if there is no reason to suppose
that the present copies contain new copyright-
able matter, the claim should be entered as a
doubtful case. (See topic 4.2.4.IV.a.3. (c)).
4

1

(e)
If an earlier publication or registration is
found, but the present copies contain suf-
ficient new copyrightable matter to support
a new copyright, a statement of the new matter
should appear on the application. Both appli-
cation and certificate should be annotated
to reflect the date in the notice, and a
warning letter should be sent.

c. Where no year date is required. Where a year date is
not required, as for Classes :F-K, but a variance
exists between the date in the notice and that in the
application, the practices outlined in items 4.2.4. IV.
a and b should be followed.

d. Two dates in notice. Where there are two or more dates
in the notice and the last ones, if used alone, would
not be acceptable because new matter is lacking, the
Office will register despite the last date, sending a
cautionary letter and annotating the application (not
the certificate).

## 1.2.5 Dispersed notice.

. Standard form of notice.

a. The three elements of the notice ("Copyright" or "Copr.,"
or the symbol @, the name of the claimant,

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.2.5" -->

## 4.2.5 Dispersed notice. (Cont'd)

### I. Standard form of notice (Cont'd.)

a. Standard form of notice (cont'd)

and the year date). should be given together as
a single continuous statement.

b. In the abbreviated form of notice for Classes
F-K, the symbol @ (or "Copyright" or "Copr. ")
and the initials or other mark of the claimant
(or his name) should be given together. If the
symbol @ (or "Copyright" or "Copr. ") is accompanied
by the initials or other mark of the claimant, his
name shall appear on some other accessible portion
of the work.

## II. Where elements are separated.

a. General rule. Where the elements of the notice
are all present but are separated, the notice may
be accepted as long as it is reasonably clear
that the name is that of the claimant and the
date is the year date of copyright. When a dis-
persed notice is accepted, a cautionary letter
will be sent.

b. Separated name.

1\. Where the separated name is the only name
appearing on the same page as the rest of
the notice, it may be accepted as part of
the notice.

2\. Where two separated names appear on the same
page and either might be the logical claimant
(e.g., the author and the publisher) :

(a) If one such name is near the rest of the
notice and the other is much farther re-
moved, registration may be made in the
first name, but not, in the second name.

(b) If both names are equally identifiable
with the rest of the notice, registra-
tion will not be made in either name.

3\. Where one of two equally separated namos is a
logical claimant (e.g., the author), and the
other is identified as someone not likely to

<!-- PageBreak -->

<!-- PageHeader="Ch. l 1.2.5" -->

## 4.2.5 Dispersed notice. (cont'd)

II. Where elements are separated. (cont'd)

b. Separated name. (cont'd)

3\. (cont'd)

be the claimant (e.g., "Printed by the Wayward
Press"), registration may be made in the first
name, but not in the second name.

## c. Separated year date.

1\. Where a separated year date is the only one
appearing on the same page and is the appro-
priate date, it may be accepted as part of the
notice.
1

Example:
E
The year date in the Library of Congress
Catalog Card numbers can be tied in as the
year date for the notice

2\. In the case of periodicals, where the year
date does not accompany the rest of the notice,
the periodical issue date appearing on the same
page may be considered part of the notice.

3\. In the case of contributions to periodicals,
where the year date does not accompany the
rest of the notice, the periodical issue date
ordinarily will not be considered part of the
notice, whether, it appears on the same page or
not.

## d. Other matter intervening.

1\. The presence of;other matter between the ele-
ments of the copyright notice will not preclude
acceptance of the notice as long as the elements
are identifiable together. For example, the
Office will accept a notice such as:
€

i
Closet Caddy
Trade Mark Reg. U. S. Pat. Off.
Copyright 1918. Pat. Pending.

2\. The separation of the elements of the notice by
a line drawn between them will not preclude
acceptance of the notice. For example, the
Offica will accept a notice such as:

. Copyright 1953
Standard Pulpwood Co.

<!-- PageBreak -->

<!-- PageHeader="Ch. 1: 1.351" -->

# Part 4.3. POSITION OF NOTICE

## 4.3.1 In books.

I. Statute. In "a book or other printed publication, "
the notice is to be placed "upon its title page or
the page immediately following." (17 U.S.C. §20)

### II. Title page.

a. The title page is generally one on which the title
is given special prominence as a principal feature
of that page, usually preceding the body of the
work. A book may have more than one such page. A
notice on any page that can reasonably be considered
a title page may be accepted.

#### Examples:s

(1) Preceding the text, a book has one
page giving the title, author, and
publisher, and another page giving
the title alone: a notice on either
of these pages would be acceptable

(2) The title is given with special
prominence at the head of the first
page of text: a notice on that
page may be accepted.

b. The mere fact that the title appears on several or
all of the pages of a book does not make every such
page a title page;
E
€

Thus, for example, although every page of
a 50-page book bore the title, a notice
on page 20 would not be acceptable.

c. The cover of a book may! be its title page.
$

d. The dust jacket on a book cannot be its title page.
A notice on the dust jacket would not be acceptable
for registration of the book (but the dust jacket
itself may be registrable as a separate work).
1
3

e. If an unlimited notice appears on the title page of
the book itself but the book as such contains no now

<!-- PageBreak -->

<!-- PageHeader="Ch. L 4.3.2" -->

4.3.1 In books. (Cont'd)

II Title page (Cont'd)

e. (Cont'd)

matter whatsoever, the fact that the dust jacket
contains copyrightable material would not justify
registration for the book as a whole.

III. Page following the title page. The "page immediately
following" the title page is the reverse side of the
title page. A notice on the reverse of the title page
is acceptable for a book.

IV. Page opposite the title page or its reverse. A notice
which is visible when the book is open at the title
page or at the reverse of the title page may be
accepted. Hence, a notice on the page opposite the
title page or opposite the reverse of the title page
is acceptable. In such cases a cautionary letter will
be' sent.

V. Individual work in compilation. ' For separate registra-
tion of an individual article or story in a compilation,
the notice should appear on the title page of the article
or story. However, a notice referring to the individual
work and appearing on the title page for the compilation
as a whole may be accepted with a cautionary letter.

VI. Work of several volumes published at the same time.
Where a work consists of two or more volumes published
at the same time, the Office will recommend that the
notice be placed in each volume. A notice appearing
in the first volume only may be accepted under the rule
of doubt with a cautionary letter.

#### 4.3.2 In periodicals.

I. Statute. In a periodical, the notice should appear
"either upon the title page or upon the first page of
text of each separate number, or under the title head-
ing." (17 U.S.c. §20)

II. Title page.

a. A notice on any page of a periodical that may
reasonably be considered a title page may be
Accepcod. The pago should contain the title

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.3.2" -->

#### 4.3.2 In periodicals. (cont'd)

##### II. Title page. (cont'd)

###### a. (cont'd)

displayed prominently and the number or date
of the particular issue. The rules stated
in topic 4.3.1, II as to what may be a title
page in a book apply generally to periodicals.

b. A page in a periodical preceded by a number of
pages containing advertisements, publishing in-
formation, table of contents, etc., may be its
title page.

c. A page in a periodical containing other matter
(such as text, pictures, or advertisements), as
well as the title, may be its title page. In
such cases, the notice should be so placed as
to be identified with the title rather than with
other matter on the same page.

##### III. First page of text.

a. A notice on the first page of a periodical is
acceptable, whether the material on that page
is text, musical, or pictorial matter.

b. Any of several pages might be considered the
"first page of text" of a periodical, e.g., the
cover, the page giving the table of contents,
or the first page of the main body (but not a
page devoted exclusively to advertisements of
articles other than the periodical itself). A
notice on any page that can reasonably be con-
sidered its first page-may be accepted.

##### IV. Under title heading.

a. A notice included in the masthead of a periodical
may be accepted.

b. The title of a periodical appearing prominently
on any page where it would be reasonable to look
for the notice may be considered a title heading.

<!-- PageBreak -->

Ch. 1:
1.3.3

#### 4.3.2 In periodicals. (Cont'd)

IV. Under title heading. (Cont'd)

c. A notice may be accepted, though not placed
"under" the title heading, if it appears near
the title heading (whether below or above) so
as to be seen and identified with the title.

#### 4.3.3. In contributions to periodicals.

I. A notice appearing anywhere on a single-page con-
tribution may be accepted.
3

II. For a multi-page contribution, the Office will
recommend that the notice be placed on the first
page. If a contribution consists of not more than
a few pages, a notice on any page other than the
first may be accepted with a cautionary letter.
If a contribution consists of many pages, a notice
at the end may be accepted with a cautionary letter.

4.3.4 In dramatic works. A published dramatic work is a
"printed publication" in which the notice should appear
in a position appropriate for a book. (See topic 4.3.1.)
t
4.3.5 In music.
2

I. Statute. In "a musical work" the notice should
appear "either upon its title page or the first
page of music." (17 U.S.C. §20)

II. Title page. A published book of music with notice
on the title page may be registered in either
Class E or Class A. If Form A is submitted, Form E
will be suggested instead. (As to what is the
title page, see topic 4.3.1, II.)
4
:

III. First page of music. A notice on the first page
of music is acceptable for registration in Class E.
If an application on Form A is submitted, an applica-
tion on Form E will be requested.
₹
2
:

IV. Peverse of title page. Where a published book of
music has the notice on the reverse of the title
page, an application on Form A may be accepted;
or an application on Form E may be accepted with a
cautionary letter.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.3.6" -->

### 4.3.6 In classes F-K.

I. Single-page work. On a single-page work in
Classes F-K, a notice on any accessible portion
of the work is acceptable. Thus a notice on
either the front or back of the work may be
accepted. A single sheet, though folded one or
more times (e.g., a folded greeting card),
constitute a single-page work.

II. Margin or mounting. On individual works in
Classes F-K, a visible notice on the margin or
permanent mounting (such as a base, pedestal,
selvage, or frame) is acceptable.

III. Accessibility. See topics 4.4.2, III and 4.4.3.

IV. Multi-page works. On a multi-page work of Classes
F-K material in book form (e.e., an atlas or a
book of prints) :
J

a. The Office will recommend the full form of
notice in book position (see topic 4.3.1).

b. Where the notice is not in book position but
does appear at the front 'or back of the book
where it is readily seen, an application on
the appropriate Form F-K may be accepted with
a cautionary letter. If Form A is submitted,
the Office will reject it but mention the
possibility (with a note of caution) of reg-
istration on the appropriate Form F-K.

c. Alnotice which is not readily seen (e.g., on
page 25 of a 50-page work) is not acceptable.

V. Repetitive units. The statute says nothing about
how often the notice should be repeated when the
copyrighted work consists of repetitive or continuous
units on sheet-like materials such as textile fabrics,
plastics, and paper products.

a. The Office will suggest that, if possible, it
would be safest under the court decisions to
apply the notice directly to every repeat.

b. For purposes of registration, the Copyright
Office will accept a notice appearing in the
selvage or on the reverse side of the material
at frequent and regular intervals. For oxamplo,
in the case of material printed from platos or
cylinders on rotary presses, a notice Appearing

<!-- PageBreak -->

Ch. h
1.3.7

#### 4.3.6 In classes F-K. (Cont'd)

V. Repetitive units. (Cont'd)

b. (Cont'd)

at intervals representing each revolution of the
plate is acceptable.

c. In certain cases, such as laces or translucent
plastics, the material may contain neither a
selvage nor a reverse side on which the notice
can be applied. Here a gummed or sewn label
bearing the notice and made to adhere firmly to
the material at frequent and regular intervals
may be considered.

d. In determining whether the notice is repeated
frequently and regularly enough, the most important
factor is the size of the unit in which the consumer
ordinarily buys the goods. Thus, if the material
is usually sold by the yard, deposit copies which
are one yard long and which show one or more notices
may be accepted.
1
1

4.3.7 In motion pictures. The Office will recommend that the
notice in a motion picture appear on or near the title
frame. However, a notice appearing either in the open-
ing frames or at the end of a motion picture is acceptable.

<!-- PageBreak -->

<!-- PageHeader="Ch. h 4.4.I" -->

##### Part 4.4 MISCELLANEOUS

4.4.1 Manuscript notice. Where the deposit copies bear
a manuscript notice which appears to have been
inserted as an afterthought (e.g., a rubber-stamped
or handwritten notice or a typewritten notice on a
printed work), the Office records will be checked in
appropriate cases to see whether the work was pre-
viously submitted and rejected as having been published
without notice. If not, the Office will assume (unless
otherwise informed) that the manuscript notice appeared
on all published copies. In those relatively infrequent
cases where it seems clear that such a notice could not
have been placed on all published copies (e.g., a hand-
written notice on a printed label), the notice will be
questioned.

##### 4.4.2 Legibility and visibility. 1

I.
Blurred notice. A blurred notice may be accepted
as long as it is legible. But a notice so badly
blurred as to be illegible will not be accepted.

II.
Microscopic notice.
:
€

1
a. Except as noted in the following paragraph b.,
a notice so microscopic that it cannot be
read without a magnifying glass is not accept-
able.
1

b. Where the work itself requires magnification
for its ordinary use (e.g., a microfilm,
microcard, or motion picture film), a notice
which will be readable when so magnified
may be accepted.

# III. Concealed notice.

a. A notice which is permanently covered up so
that it cannot be seen without tearing the
work apart is not acceptable.

Examples:

(1) A notice which the Office is
told is on the margin or back
of a painting but which is
concealed under a permanent
frame or mat.

<!-- PageBreak -->

<!-- PageHeader="Ch. L 2.5.3" -->

4.4.2 Legibility and visibility. (cont'd)

III. Concealed notice. (cont'd)

## a. (cont'd)

Examples: (cont'd)

(2) A notice which the Office is told
is on the bottom of a figurine
cemented on a base that conceals
the notice.

(3) A notice on'a print used for a
calendar, with the calendar pad
securely pasted down over the notice.

b. A notice which, though not visible on casual
inspection of the work, becomes visible upon
ordinary use of the work, may be accepted.

### 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

### 4.4.3 Notice affected by use of work.

I. Notice on tag or container.

a. A notice on a detachable tag (such as a name
or price tag tied to a work by a piece of
string) which will evidently be detached and
discarded when the work is put in use, is not
acceptable. Likewise, a notice on a wrapper
or container which is not a part of the work
and which will evidently be removed and dis-
carded when the work is put in use, is not
acceptable. (Note that the tag, wrapper, or
container may itself bo registrable as a label.)

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 4.4.3" -->

.4.3 Notice affected by use of work. (cont'd)

I. Notice on tag or container. (cont'd)

b. A notice on a tag affixed with reasonable
permanency to the work is acceptable (e.g.,
a metal tag nailed onto a wood sculpture,
a cloth tag sewn into the hem of a scarf,
a plastic label sealed to lace by heat
process). Similarly a notice on a con-
tainer in which the work may be expected
to be kept by the user may be accepted
(e.g., on a box containing a set of cards,
or on a folder containing a group of maps).

II. Notice likely to be lost in use of work. Where
the work as deposited has a good notice, but
there is reason to believe that the notice will
be concealed or lost when the work is used, the
notice may be accepted, and a warning letter
may be sent in appropriate cases.

Examples :

(1) A mounted reproduction of a painting
with notice on the edge of the mount-
ing where it would be covered in
framing.

(2) A decal with notice on the margin or
back only, so that the notice will
not appear on the decal when trans-
ferred to another surface.

(3) A mold with notice on the margin only,
so that the notice will not appear on
the figure cast from the mold.

(4) A motion picture film with notice on
the leader which is not projected when
the film is screened.

<!-- PageBreak -->

<!-- PageHeader="Ch. 4 5.2.7" -->

# 4.4.3 Notice affected by use of work. (Cont'd)

## II. Notice likely to be lost in use of work. (Cont'd) Examples: (Cont'd)

(5) A work consisting of a perforated page
or pages, where the notice appears on
the part of the work that contains no
copyrightable matter, and the other
part will inevitably be detached and
distributed without notice.

III. Notice in reverse. Where the deposited work, such
as a mold or decal, is the reverse of the product
to result from its intended use, the Office will
recommend the use of both a reverse notice on the
portion of the work that will appear in the product
and a regular notice on the margin or back. The
reverse notice alone, if otherwise readable, may
be accepted with a warning letter.

IV. Dust jacket. A notice on a dust jacket containing
copyrightable matter is not acceptable as notice
for a book reissued with ho other new matter, since
dust jackets are removable. (See also topics 4.3.1.
II. d .)
3
t

# 4.4.4 Limitations in notice.

I. Limitation not required. Although the claim of
copyright, as shown in the application, is limited
to a portion of the work (such as new matter), the
notice need not specify such § limitation. Where
the work contains both copyrightable and noncopy-
rightable matter, a general notice (e.g., "Copyright
1960 by John Doe") may be accepted.

II. When limitation given.
I

a. A notice limited to specified portions or
features of the work, if they are copyrightable,
may be accepted (e.g., "Introduction and
Illustrations Copyright 1960 by Popular Publishing
Co." or "Arrangement, Copyright 1960 by Newstyle
Music Co."). If the limitations in the notice
are not shown on the application, it will be
annotated.

<!-- PageBreak -->

<!-- PageHeader="Ch. h 4.4.4" -->

# 4.4.4 Limitations in notice. (cont'd)

II. When limitation given. (cont'd)

b. A notice which refers explicitly to
noncopyrightable matter as the subject of
the copyright is not acceptable.

Examples:

(1)
Where an asterisk follows the brand
name in an advertisement and precedes
the notice, thereby indicating that
copyright is claimed in the name

(2)
In a booklet advertising a system
for teaching languages, a notice
reading "The Fortnight System
copyrighted 1960 by Linguistics Ltd."

<!-- PageBreak -->

<!-- PageBreak -->

<!-- PageHeader="Chapter 5 Pangait of Copien" -->

Outline of Topics

## Part 5.1 TIME OF DEPOSIT

5.1.] Unpublished works

5.1.2 Published works

5.1.3 Premature deposits

5.1.4 Dolaycd daposito

5.1.5 Ad Interim and vaiver-of-fco deposits

Part 5.2 ARTICLES TO BE DEPOSITED

5.2.1 Unpublished works

5.2.2 Published works

5.2.3 Multiple registrationa

## Part 5.3 QUALITY AND CONTENT OF COPIES

### 5.3.1 Boat edition

I. Gonoral requiremont

II. Presumption as to bost edition

III. Whore we are aware of a better edition

IV. Where copies are not of published
edition

5.3.2 Complete copies

5.3.3 Dofective copies

5.3.4 Notico in copios

I. Works first published in the United States

II. Works first published abroad (See topic 8.2.1)

III. Unpublished works

### 5.3.5 Domestic manufacturo

5.3.6 Idontity botwoon doposit copies

<!-- PageBreak -->

<!-- PageHeader="Ch. 5" -->

#### Part 5.4 FAILURE TO DEPOSIT

##### 5.4.1 Statute

###### 5.4.2 Exceptions

<!-- PageBreak -->

<!-- PageHeader="5.1.2" -->

# Chapter 5. DEPOSIT OF COPIES

## Part 5.1 TIME OF DEPOSIT

5.1.1 Unpublished works. Copies of an unpublished
work may be deposited at any time between
the completion of the work and its publication.

5.1.2 Published works, The law provides that
"After copyright has been secured by publi-
cation of the work with the notice of copy-
right .... , there shall be promptly do-
posited," .... (17 U.S.C. § 13) Concerning
ad interim and waiver-of-fee deposits see
topic 5.1.5.

## 5.1.3 Prematura deposits. 1

I. When copies of & work otherwise acceptablo
for registration are deposited before the
date of publication, and the Office is in-
formed that publication will be made in the
near future, the Office will hold the copies
pending the receipt (after publication) of
the application and feo.

Example: Two copies of a book ready
for publication are deposited by a
publisher shortly before the announced
date of publication.

II. When book material is received in manuscript
or other unpublished form, the copy or copica
are usually returned to the applicant. If
there is some queation as to the copyright-
ability of the work, the Office will retain
one copy for the file. If advised that pub-
lication in the form submitted will be made
in the near future and the copies will be
acceptable for registration after publication,
the Office will retain both copies.
2
2

### 5.1.4 Dolayed doposits.

I. Tho Office will accept deposits for full-
term registration at any time during the
copyright term of 28 years after first
publication.

<!-- PageBreak -->

Ch ._ 5
5.1.5

<!-- PageHeader="5-4" -->

## 5.1.4 Delayed deposits. (contra)

a. A deposit made after the expiration
of the 28-year term will not be
accepted for registration (except
for foreign works spocially quali-
ficd for later registration undor
an applicable extension proclamation).

## 5.1.5 Ad Interim and univer-of-fon deposits.

I. A doposit for ad interim registration
must be received within six months
after the book or periodical was first
published abroad. (17 U.S.C. @ 22)
Registration for foreign works undor
the waiver-of-fee provisions is like-
wise conditional upon deposit of two
copies (with application and catalog
card) within six months following pub-
lication abroad. (17 U.S.C. § 215)
1

a. The six-months' period expires on
the soma day of the month as the
date of first publication. Thus,
if publication occurred on January
15, the period runs through July 15.
9

b. If the six-months' period ends on a
non-working day (Saturday, Sunday
or a holiday), receipt of the deposit
in the Library of Congress or the
Copyright Office on the next working
day (Monday or the day after the
holiday) will be on time. (17 U.S.C. § 216)
1

<!-- PageBreak -->

<!-- PageHeader="5.2." -->

# Part 5.2 ARTICLES TO BE DEPOSITED

## 5.2.1 Unpublished works.

I. Unpublished works cannot be registered
in Classes A, B, F, H, or K, and the
registration of unpublished works in
other classes is optional with the
claimant.

II. The following deposits are required for
the registration of unpublished works:

a. Class C, D, or E: one complete copy
(which may be a photostat).

b. Class G or I: one copy, photograph or
other identifying reproduction.

c. Class J: one photographic print.

d. Class L: a title and description,
with one print taken from each
scene or act.

e. Class M: a title and description,
with at least two prints taken from
different sections of the complete
motion picture.

ablished works.

I. The following deposits are required for the
registration of published works:
\>
a. In general, two complete copies of the
best edition then published.

b. For a work by a foreign or stateless
author published abroad: either (1)
one complete copy of the best edition
so published, if the fee is paid, or
(2) two such copies if a catalog card
is submitted in lieu of the fee. (But
seo topic 5.3.1 as to "best edition.")

<!-- PageBreak -->

Ch. 5
5.2.2

## 5.2.2 Published works. (cont'd)

. U. S. citizens or domiciliaries are
required to deposit two copies of
their works first published abroad
except works subject to ad interim
copyright.

d. For a work to be registered ad interim:
If by an American author or domiciliary,
one complete copy of the foreign edition.
If by a foreign or stateless author, same
as in item (b).

e. For special registration of an article
in a multi-volume encyclopedia: two
copies of the volume containing the
article.
¢

f. For special registration of a contri-
bution to a periodical other than a
commercial 'printi one complete copy
of the issue containing the contri-
bution.
1
.

8\.
For a commercial print published in a
periodical: two copies of the periodical,
one copy of the periodical and one tear
sheet, or two tear sheets.
2
1

h. In exceptional cases, where the applicant
states that it is impossible to obtain a
copy or copies of the work, photostat or
microfilm copies will be accepted. Re-
prints will be accepted only where the
applicant states that it is impossible to
secure copies or to make copies of the
original edition. In such cases, the
Office will annotate ita records (the
application and certificate) to show the
nature of the copies depositede

<!-- PageBreak -->

<!-- PageHeader="Ch.5 5.2.2" -->

## 5.2.2 Published works. (cont'd)

1\. For any published work in Class G,
H, I, or K that is impracticable of
deposit or unsuited to Copyright Office
filing procedures because of its weight,
size, fragility, or monetary value,
photographs or other identifying repro-
ductions may be deposited in lieu of
copies. (17 U.S.C. @ 13)

1\. The word "photographs" in this
connection includes photostats
and other photographic methods
of reproduction. The Office will
encourage the filing of photographs
in most cases falling within the
Pour specified classes. The Examin-
ing Division will write in appro-
priate cases requesting that the
optional form of deposit be con-
sidered, but if applicant insists
upon depositing copies, registration
will be made, and his future deposita
of actual copies will not be questioned.
€
1

2\. The term "filing procedures" is to
be construed as referring to the
ordinary procedure of filing material
on bookshelves tor in filing cabinets.
It should not be confused with the
storage procedures in the stackg
utilized ifor bulky objects.
3
E

3\. Exceptions to optional deposit:
:

(1)
Where the work involved is a
fine print or two-dimensional
art reproduction
:

(11)
Where the Library of Congress
determines that the actual work
is needed for its collections
ox for exchange purposes (e.g .:
anatomical modols)

<!-- PageBreak -->

<!-- PageHeader="Ch. 5 5.2.2" -->

## 5.2.2 Published works. (cont'd)

3\. Exceptions to optional deposit: (cont'd)

(iii) Works which the Copyright Office
cannot adequately examine from
photographs

(iv) Two-dimensional works which are
not impracticable of deposit
because of their size, weight,
fragility, or monetary value
(e.g., textiles)

4\. Two sets of photographs or reproductions
will be required whenever two copies of
the work would ordinarily be deposited,
and each set must be complete and
identical.

5\. All photographs and reproductions of any
one work shall be of equal size and must not
be smaller than 5 x 7 inches or larger
than 9 x 12 inches in dimension. The
preferred sige is 8 x 10 inches. Each
photograph or reproduction, regardless of
size, shall present the work in an image
that is lifesize or larger; or, if smaller
than lifesize, the image must be at least
4 inches in one of its dimensions.

6\. At least one corresponding photograph or
reproduction in each set must show or bear
an indication on the front or back thereof
of the exact measurement of one dimension
of the work.

7\. The copyright notice and its position on
the work must be clearly visible on at
least one corresponding photograph or repro-
duction in each set. In those cases where
it is difficult or impossible to obtain a
photograph properly showing the notice, the
applicant may include in each set a drawing
of the form of the notice showing its exact
appearance, its dimensions, and its speci __.
position on the work. Such drawing shall be
of the same dimension as the submitted
photographs.

<!-- PageBreak -->

<!-- PageHeader="Ca. 5 5.202" -->

### 5.2.2 Published works. (cont'd)

8\. Each photograph or roproduction must
contain the title of the work either
on the front or back thereof.

9\. . Where the required dimension or title
is omitted-from the photograph but
appears on the application, it may be
added by the examiner, with an appro-
priate annotation.

. For a published motion picture (Class L or
M), the Office requests, in addition to
the required copies, a description which
may consist of a synopsis, press book,
continuity, or other identifying matter.

## 5.2.3 Multiple registrations.

I. Where two or more applications are submitted
for separate component works within a composite
or other larger work, or for the composite or
other larger work as a whole and separate com-
ponent works therein, the applicant will not be
required to deposit more than two copies of tha
complete work (or one copy where this satisfies
the statutory requirement).

### Examples :

(1) A telephone directory in one volume,
with two Class & applications for
separate registration of the alpha-
batical (white) section and the
classified (yellow) section

(2) A book of six musical compositiona
with seven Class E applications, one
for the book as a whole and six for
the individual compositions

IZ. The necessity for depositing copies with each
application may be avoided only when tho
dovezal applications are submitted at tho samo
co and all the works fall within tho samo
classe

<!-- PageBreak -->

Ch. 5
5.2.3

### 5.2.3 Multiple registrations. (cont'd)

Exception: In cases where a bilingual
work is registered at the same time on
Form A-B Ad Interim and Form A-B Foreign,
only one copy (or two under the waiver-
of-fee provisions) will be required.

#### Examples :

(1) A book of text and illustrations,
with Class A application for text
and Class K application for illus-
trations: four copioa required.

(2) Separate application for an indi-
vidual musical composition in a
collection, submitted after regis-
tration for the song book as a
whole had been completed: two
additional copies required.
1

III. Where the applicant requests our advice
concerning the number of copies to bo
deposited in cases of multiple registra-
tions, the Office will suggest deposit of
two copies (or one where appropriate) for
each application, as a matter of caution.

<!-- PageBreak -->

<!-- PageHeader="Ch. 5 5.3.1" -->

# Part 5.3 QUALITY AND CONTENT OF COPIES

## 5.3.1 Best Edition.

I. General requirement. The deposit copies must be
"of the best edition thereof then published, ... "
(17 U.S.C. § 13). If the copies themselves, or
other information at our disposal at the time of
registration, indicate that the work is simultane-
ously published in two or more editions of dif-
ferent quality, we will generally require that
the deposit copies be of the best edition.

Examples :

(1) A deluxe limited edition of a book
rather than the regular trade edition.

(2) A cloth-bound trade edition of the book
rather than a paper-bound "pocket"
edition.

(3) An illustrated edition of a book rather
than an unillustrated one.
[
.

(4) A printed editionirather than a mimeo-
graphed one.
1

9

II. Presumption as to best edition. Where we have no
reason to believe otherwise, we will assume that
the deposit copies are of the best edition. Thus,
mimeographed or typewritten copies will generally
be accepted without question, unless we have reason
to believe that the work has been published in a
better edition. The Examining Division will not
write for copies of the best edition after registra-
tion is made where, on the basis of the usual
examination, it would not have been aware of the
fact that a better edition had been published.

III. Where we are aware of a better edition.
L
4

a. Where two or more editions of different quality
are published simultaneously, or where the best
edition is published first, we will require de-
posit of copies of the best edition. The facts
given in the application (and affidavit, where
required) shall refer to the edition deposited.

<!-- PageBreak -->

## 5.3.1 Best Edition. (cont'd)

III. Where we are aware of a better edition. (cont'd)

b. In the case of a foreign work, registration may
be made on the basis of the copies received,
and a request for copies of the best edition
may be sent later.

c. Where the Copyright Office has information that
prior to the date on which the application is
filed two or more editions of the same work but
of different physical quality have been pub-
lished at different times, and the best edition
is not the first published edition, we will
request submission of copies of both the first
published edition and of the best edition.

1\. The facts given on the application (and
affidavit, where required) shall refer to
the first published edition.

2\. The copias will be compared generally to
determine that they are substantially
identical as to copyright notice and |
literary,| musical, or artistic content.

3\. If the copies are substantially identical
as to copyrightable matter, both sets will
bo referred to the Library for selection.
One set will be selected for retention, and
the other set will be returned following
registration.
1

4\. If the copies differ as to notice or copy-
rightable matter, the case will be dealt
with on its own merits.

Examples:

(1) The first published copies boar
an inadequate notice; the claim
will be rejected.

(2) The best edition contains new
copyrightable matter; registra-
tion for both editions will bo
required.

<!-- PageHeader="Ch. 5 5.3.1" -->
<!-- PageBreak -->

<!-- PageHeader="Ch. 5 5.3.1" -->

## 5.3.1 Bost Edition. (cont'd)

IV. Where copies are not of published edition.

a. When the character of the copies received or
other information suggests that they are not
copies of a published edition, the Office
may question whether the work has been pub-
lished in a better edition, or has been
published at all.

Examples :

(1) Proof copies or unbound copies of
a printed book.

(2) Printed pages with handwritten
Inserts.

(3) A map consisting of parts pasted
together. :

(4) Photographs of a print (with
Cleas K application).

1
1

(5) Photostats of a commercial label .:
1

b. But if the applicant states that the work was
published in the questioned form, the copies
in that form will generally be accepted, un-
less we are informed of a better edition.
2
1

de Publication of the work ordinarily will not be
questioned simply because the copies are type-
written or handmade, unless there are other
circumstances indicating that the work has not
been published.
1

d. Copies of a book consisting of page proof, if
the applicant states that the work was published
in that form, ;are acceptable even though the
material is intended for later republication in
periodicala as a number of separate items or as
& serial.

<!-- PageBreak -->

Ch. 5
5.3.2

## 5.3.2 Complete copies.

I. The copios deposited must be "completo copios"
(17 U.S.C. 08 12, 13, 22)

II. In general, copios of an entiro work as pub-
lished must be deposited. (Soo topic 5.2.2, I)

Examples of copies not acceptable because
not complete:

(1) A book with missing pagos

(2) Illustrations cut out of a book

(3) One song taken out of a songbook

(4)
A contribution clipped from a
periodical or from an encyclopedia

(5) One volume of a single two-volume
work
:

(6) Reprints of individual maps pub-
lished in an atlag
C

(7). One earring
E
(

III. Where a copyrightable work is a part of a larger
work which includes separate parts which are not
copyrightable, deposit of the uncopyrightable
portions is not required,

Examples :
c
1

(1) A game consisting of a copyrightable
board and directions, and uncopy-
rightable game rack and pieces

(2) A book and phonograph record pub-
lished as a unit

IV. An unpublished manuscript (Class C, D, or E)
which is sufficiently developed to bo used for
delivery or performance, is acceptable as a
complete copy even though there is some indica-
tion that additional material may lator bo
added.

<!-- PageBreak -->

<!-- PageHeader="Ch. 5 5.3.3" -->

## 5.3.3 Defective copins.

I. The copios deposited should be free from
substantial defects such as blank pagos,
overprinted pages, torn or mutilated pages,
brokon pieces of jewelry, etc .. Where the
defect is found during the course of ordinary
examination of the copies, registration will be
withheld and a perfect copy will be roquested.

II. Where the defect is not one that would normally
have been found in the course of ordinary oxam-
ination, but is discovered within six months
after registration, the Copyright Office will
write requesting a new copy. If the defect is
discovered after six months, the case will be
returned to the Library to be handled by the
Department concerned.

&. In such cases the defective copy will
be held in the U.B. envelope, but no
follow-up letter will be sent. If no
reply is received:in 30 days, the Service
Division will return the imperfect copy,
with a carbon copy of the Copyright Office
letter, to the Library.
F
b. In such cases it is not necessary to offer
to return the defective copy to the appli-
cant. However, the copy should be returned
if the applicant requests it, even if it
has been acdessioned.
£

c. In such cases the application will not be
annotated, and the registration number will
not be stamped on the now copy.

## 5.3.4 Notice in copies.

I. Works first published in the United States. The
deposit copies of a work of a U. S. citizen or
domiciliary, (except a work subject to the ad
interim provisions), or the deposit copies of a
work first published in the United States, must
bear an appropriate notice of copyright. (Aa to
appropriate notice, see Chapter 4; as to publica-
tion, see Chapter 3.)

<!-- PageBreak -->

<!-- PageHeader="Ch. 5 5.3.5" -->

## 5.3.4 Notice in copies. (cont'd)

I. Works first published in the United States. (cont'd)

a. If such copies do not bear an appropriate
notice, the application will be rejected.

1\. But if there is reason to doubt that the
work has been published, the Office may
advise the applicant as to publication
and the appropriate notice to use if not
yet published.

b. The notice in the deposit copies must be such
as presumably appeared in all copies of the
published edition. The Office may question,
for example, a handwritten notice in the
deposit copies of a printed book or a type-
written notice on a contribution to a printed
periodical.
1
:

1\. But it will be assumed that a handwritten
or typewritten notice on the deposit copies
appeared on all published copies wherever
that assumption is plausible; for example,
on a mimeographediwork or on any work of
which only a few copies were published.
E
1

II. Works first published abroad. (See topic 8.2.1)
5

a. With the exception of works seeking ad interim
registration, the copies of works deposited for
registration following publication abroad after
June 18, 1959 mast bear a notice of copyright
in the required;form and position.
C
1

b. For works by foreign authors published abroad before
June 18, 1959, the deposit copies may be accepted
even if they do not bear an adequate copyright notice,
but a warning letter will be sent in such cases.
t
1
III. Unpublished works. The deposit copies of unpublished
works need not bearta copyright notice. If an unpub-
lished work bears a notice which would be faulty if
used on the work when published, the work may be
registered but we will send a cautionary letter.

5.3.5 Domestic manufacture. The deposit copies of a work subject
to the manufacturing clause must have been produced in the
United States; and the deposit copies of a book subject to
the manufacturing clause must be accompanied by an appro-
priate affidavit of their domestic production. (17 U.S.C.
sy 16 and 17; see also Chapter.6.)

<!-- PageBreak -->

<!-- PageHeader="Ch. 5 5.3.6." -->

## 5.3.6 Identity between deposit copies.

I. Where the law requires deposit of two copios of a
work, these copies should be identical.

a. Examples of unacceptable deposita :

(1) Two pieces of jewelry, identical
except for their gems; one contains
emeralds and the other rubies

(2) Two textile swatches, one containing
& design in rod and green, the othor
containing the sums design in gray
and blue

(3)
Two textile awatches showing different
stretches of the repetitive pattern

(4) Two labels, identical except for the
product namej one for Dri-Dup Prunes
and the other for C-D Raisins

(5) A tear sheet of a periodical adver-
tisement and & proof copy of the
same advertisement

(6) Two copies of a telephone book, the
contents of which are identical but
which are bound in different covers
because they are distributed in
different localitios

II.
Exceptions to the requirement for identity be-
tween the copies' are recognized only when the'
cirounstances are unusual or the differences
are so minor as to be negligible.

<!-- PageBreak -->

<!-- PageHeader="Ch. 5 5.4.1" -->

## Part 5.4 FAILURE TO DEPOSIT

5.4.1 Statuto. If the required copies are not "promptly
depositod" after the work bao boon publiched with
notice, "the Register of Copyrights may at any tino
after the publication of the work, upon actual notico,
require the proprietor of the copyright to deposit
them .... " (17 U.S.C. - § 14) -

I. The statute will be deemed to authorize
the Register to require the submission
of an application and fee for registration
as well as the deposit of copies. The ro-
quest for compliance will ask for all threo.

II. Even where all three elements, copy, applica-
tion and fee, have been received, compliance
action may be undertaken to require correction
of an existing informality in the application
preventing immediate registration.

III. If the claimant refuses to comply with requests
or ignores several letters, the Office will
then consider in each case whethor to make a
formal demand for compliance and what further
action to take.

## 5.4.2 Exceptions.

I. Foreign works protected under the Universal
Copyright Convention and first publishod
abroad with the copyright notice specified
in sec. 9(c) of the statute are exempt from
the deposit, demand, and compliance
provisions.

II. It is not the practice of the Compliance Section
to initiate compliance action with respect to
any foreign publications.

III. Generally, unless the works upon examination
seom clearly registrable, including correct
notice of copyright, the Compliance Section
will not initiate compliance action.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6" -->
<!-- PageHeader="Chapter 6 Manufacturing Clause" -->

# Outline of Topics

## Part 6.1 IN GENERAL

6.1.1 Requirement of U. S. manufacture

I. Works covered

II. Affidavit of U. S. manufacture

III. Limits of the United States

## 6.1.2 Ad interim registration

I. In general

II. American edition

## Part 6.2 BOOKS OF TEXT

6.2.1 Books subject to manufacturing clause

I. In general

II. Other works published in book form

III. Language and authorship
1

6.2.2 Manufacture in U. S.

I. Processes to be performed in U. S.

II. Partial manufacture in U. S.

III. Limited claims and disclaimers

### 6.2.3 Affidavit

I. When required

II. As evidence of U. S. manufacture

III. Form of affidavit!

IV. Content.

V. Execution

### 6.2.4 Illustrations in books

## Part 6.3 PERIODICALS

### 6.3.1 Periodicals subject to manufacturing clause

I. In general

II. Exceptions to general rule

<!-- PageBreak -->

<!-- PageHeader="Ch. 6" -->

## Part 6.3 PERIODICALS (cont'd)

6.3.2 Book rules applicable

6.3.3 Book rules not applicable

I. Evidence of U. S. manufacture

II. Binding

III. Illustrations

## Part 6.4 LITHOGRAPHS AND PHOTOENGRAVINGS

6.4.1 When subject to manufacturing clause

I. General rule

II. Pictorial or graphic works not included

III. Statutory exceptions

### 6:4.2 Illustrations in books

I. Where book is subject to manufacturing
clause

II. Where book is not subject to manu-
facturing clause
III. Where text is in public domain

IV. Separability of text and illustrations

1

### 6.4.3 Separate lithographs and photoengravings

I. In general

II. Illustrations in books as separate
works

III. Collection of pictorial works
.

### 6.4.4 Evidence of registrability 1

:
I. As to illustrations in books

II. As to separate pictorial works

<!-- PageBreak -->

<!-- PageHeader="6.1.1" -->

# Chapter 6. MANUFACTURING CLAUSE

## Part 6.1 IN GENERAL

### 6.1.1 Requirement of U. S. manufacture.

I. Works covered. In general, the following works, to be
registrable, must be manufactured "within the limits of
the United States" (17 U.S.C. § 16):

a. The text of any book or periodical by a U. S. author
or domiciled alien, except the English-language text
of a work exempted by virtue of the ad interim pro-
visions. (See Part 6.2. )

b. The text of any book or periodical in the English
language by a foreign author, except the text of
works exempted by virtue of the ad interim provisions,
or of the U.C.C. and § 9(c) of the Code. (See Part
6.2. )

c. Lithographs or photoengravings, either as illustra-
tions in a book or periodical, or as separate works,
except where they are exempt by virtue of the U.C.C.
and @ 9(c) of the Code,, or where they represent a
subject located abroad and illustrate a scientific
work or reproduce a work of art. (See Part 6.4.)

II. Affidavit of U. S. manufacture. For the registration in
Class A of a book subject to the manufacturing clause
(see topic 6.2.1. ), the application must be accompanied
by an affidavit (on page 2 of Application Form A) showing
that the book was manufactured in the U. S. (See topic
6.2.3.)

III. Limits of the United States,

a. Manufacture in an incorporated territory or in an
organized unincorporated territory of the U. S. will
be regarded as manufacture "within the limits of the
United States" (Code, 9,16), for purposes of regis-
tration. Included are:

1\. Panama Canal Zone

2\. The Virgin Islands

3\. Puerto Rico

4\. Guam

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.1.2" -->

6.1.1 Requirement of U. S. manufacture. (cont'd)

III. Limits of the United States. (cont'd)

b. Manufacture in an unorganized area under the juris-
diction of the U. S., such as Samoa, is not regarded
as manufacture "within the limits of the United
States."

### 6.1.2 Ad Interim registration.

#### I. In general.

a. Ad interim registration may be made for three general
types of books and periodicals in the English language
manufactured and first published outside the United
States. (See Ch. 8, Works first published abroad. )

1
Works by U. S. citizens or domiciliaries.

2
Works which would have been exempted
from the manufacturing requirements by
virtue of § 9(c) of the Code, but which
failed to meet the U.C.C. notice require-
ments provided in that section.

3
Works by authors who are citizens of
countries with which the U. S. has
established copyright relations, but
who are not citizens of a country party
to the U.C.C. and who do not first publish
the work in such a country.
i
1

b. A book or periodical in a foreign language is not
registrable ad interim.)
1

c. If an application for ad interim registration is
received for a work in a class which is not sub-
!ject to the manufacturing clause (e.g., a drama
or a book of music), an application for full-term
registration on the appropriate form (e.g., Form D
or Form E Foreign) may be suggested instead.
i
II. American edition. After a book or periodical in the
English language has been registered ad interim, an
edition manufactured and published in the United States
with appropriate notice within five years of foreign
publication may be registered in Class A or B.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.1" -->

# Part 6.2 BOOKS OF TEXT

## 2.1 Books subject to manufacturing clause.

### I. In general.

a. General rule. To be registrable in Class A (except
as noted in the following paragraph b), a printed
book of text must be manufactured in the United States
(see topic 6.2.2) when:

1\. The text is in the English language (see topic
6.2.1, III), or

2\. Regardless of the language, the author is a
citizen of or domiciled in the U. S. (see
topic 6.2.1, III. )

Examples:

(1) English language book by a U. S.
author.

(2) Foreign language book by a U. S.
citizen, even though he is domi-
ciled in France.

(3) Foreign language book by an Italian
citizen domiciled in New York.

b. Exceptions. Manufacture in the U. S. is not required
for the registration of books in the following in-
stances:

1\. Books in raised characters for the blind (such
as Braille).

2\. Books "of foreign origin in a language or languages
other than English" -- that is, foreign-language
books by foreign authors. Note: a book by a
U. S. citizen or domiciliary is not regarded as
a work "of foreign origin." (See topic 6.2.1.,
III. )

3\. English-language books manufactured and first
published abroad, for which ad interim copyright
protection is being sought. (See topic 6.1.2 and
Chapter &.)

<!-- PageBreak -->

#### 6.2.1 Books subject to manufacturing clause. (cont'a)

##### I. In general. (cont'd)

###### b. Exceptions (cont'd)

4\. Books in any language by nationals of foreign
U.C.C. countries, first published outside the
United States with the U.C.C. notice specified
in § 9(c). (See Chapter 8.)

5\. Books in any language by foreign authors, first
published in a U.C.C. country with the U.c.c.
notice specified in § 9(c). (See Chapter 8.)

c. Books not printed. Whether a Class A book which is
mimeographed, typewritten, or produced by a similar
process of manual duplication is required to be so
produced in the United States is regarded as doubt-
ful. Hence:

1\. If a mimeographed, typewritten, or similar book
apparently produced in the U. S. is submitted
for registration in Class A without an affidavit,
1
the Office will suggest that the affidavit be
filed. But if the applicant insists, registra-
tion may be made in Class A without the affidavit.

2\. Where the manufacturing requirements would not
apply to a work, as explained in paragraph b,
above, registration for a mimeographed, type-
written, or similar book may be made on Form
A-B Foreign.
1
(

3\. Where the ad interim requirements would apply
to the book if it were printed, the applicant
will be offered the alternative of making
registration on Form A-B Ad Interim or on
Form A-B Foreign. In the latter event, Form A
(without the affidavit) would be used if the
book was by an American citizen or domiciliary,
and Form A-B Foreign would ibe used in all other
cases.

###### II. Other works published in book form.

a. Dramas. Dramatic works, though published in book
form, may be registered in Class D without regard
to the place of manufacture. However, when the

<!-- PageHeader=". 6 2.1" -->
<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.1" -->

###### 2.1 Books subject to manufacturing clause. (cont'd)

###### II. Other works published in book form.

###### a. Dramas. (cont'd)

bulk of the copyrightable matter in a work is textual
rather than dramatic, the work will generally be
treated as a book subject to the manufacturing re-
quirements.

Examples:

(1) A new English translation of Tartuffe
would be registered in Class D without
regard to the manufacturing require-
ments.

(2) A new edition of Hamlet with a 50-page
introduction by a Canadian professor
would be subject to the manufacturing
requirements.

b. Music. Musical compositions, though published in
book form and with lyrics and incidental text in
English, may be registered in' Class E without
regard to the place of manufacture.

1\. When the bulk of the copyrightable matter
is text, rather than music, or words and
music combined, the work will generally be
treated as a bodk subject to the manufactur-
ing requirementsi.
:

3

1

2\. When the bulk of the copyrightable matter
is compilation or editing rather than actual
literary or musical composition, the work
may be submitted for registration either as
a book or as a musical: composition. Where
the compilation or editing relates primarily
to the text rather than the music, the
applicant may be cautioned that the work
(manufactured outside the United States) may
not meet the manufacturing requirements.

c. Classes F-K. Graphic works registrable in any of
the Classes F-K, though published in book form and
with incidental text in English, may be registered
in that class without regard to the place of manu-
facture, unless those works are lithographs or
photoengravings subject to the manufacturing clause
(see Part 6.4).

<!-- PageBreak -->

<!-- PageHeader="ch. 6 6.2.1" -->

6.2.1 Books subject to manufacturing clause. (cont'a)

III. Language and authorship.

##### a. English language.

1\. The following English-language books are
subject to the manufacturing requirements:

(a) Books first published in the United
States.

(b) Books by U. S. citizens and domicili-
aries.

(c) Books by citizens of countries not
party to the U.C.C. and not first
published in a U.C.C. country.

(a) Books by citizens of countries which
are parties to the U C.C., or which
were first published in a U.C.C.
country, but which do not contain a
notice conforming to the U.C.C. re-
quirements specified in § 9(c).

2\. Works falling into any of the above categories,
except that specified in paragraph (a), are
eligible for ad interim registration if manu-
factured and first published abroad.

### b. Foreign language. 2

â

1\. Assuming that it otherwise qualifies for regis-
tration, a book inia foreign language by a
foreign author, first published abroad, may
be registered on Form A-B Foreign without re-
gard to the place of manufacture.
2\. Assuming that it otherwise qualifies for
:
registration, a book in a foreign language
by a foreign author, manufactured abroad
but first published in the U. S., may be
registered on Form A-B Foreign, under the
rule of doubt. A cautionary letter should
be sent in such cases.
1

3\. A book in a foreign language must be manu-
factured in the United States if the author
is a citizen of or domiciled in the United
States; if manufactured abroad, it cannot
be registered on either Form A-B Foreign
or Form A-D AL Incor !... .

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.1" -->

## 6.2.1 Books subject to manufacturing clause. (cont'd)

III. Language and authorship. (cont'd)

c. Mixed languages: foreign author. Where a book
by a foreign author, manufactured abroad, is
partly in English and partly in a foreign lan-
guage:

1\. If the work qualifies under the U.C.C.
exemptions of § 9(c), registration should
be made on Form A-B Foreign.

2\. If the work does not qualify under the
U.C.C. exemptions:

(a) If the foreign-language material
predominates, a single registra-
tion may be made on Form A-B
Foreign, or dual registrations
may be made'on both Form A-B
Foreign and Form A-B Ad Interim,
without correspondence. If only
Form A-B Ad Interim is received,
registration should be deferred;
the applicant should be informed
that entry on Form A-B Foreign,
or on both Forms A-E Foreign and
A-B Ad Interim, might be prefer-
able.

(b)
If the English and foreign lan-
guage material are evenly balanced,
dual registrations may be made on
both Form A+B Foreign and Form A-B
Ad Interim, ;without correspondence.
If either Form A-B Ad Interim or
Form A-B Foreign is received alone,
registration willibe made, but a
cautionary letter should be sent
pointing out the possibility of
an additional entry on the other
form.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.1" -->

6.2.1 Books subject to manufacturing clause. (cont'd)
III. Language and authorship. (cont'd)

c. (cont'd)

2\. (cont'd)

(c) If the English-language material clearly
predominates, a single registration may
be made on Form A-B Ad Interim, or dual
registrations may be made on both Form
A-B Foreign and Form A-B Ad Interim,
without correspondence. If only Form
A-B Foreign is received, registration
should be made, but a cautionary letter
pointing out the possibility of ad
interim registration should be sent.
:

A

:

(a) In any of the above cases, no disclaimer
or limitation of claim need be included
on the application.

d. Mixed languages: U. S. author. Where a book by
a U. S. author, manufactured abroad, is partly in
English and partly in a foreign language:
;
!

1\. An application on Form A-B Foreign cannot be
accepted.
1
:
I
,

2\. An application on Form A-B Ad Interim can be
accepted if received within six months of first
publication abroad. No disclaimer or limitation
of claim is necessary in such cases, but a
cautionary letter should be sent where the English and
foreign-language material are evenly balanced, or
the foreign-language material predominates.

e. Mixed authorship: foreign-language work. Where a
book in a foreign-language, manufactured abroad, is
written by authors of more than one nationality,
registration may be made on Form A-B Foreign, even
if one or more of the author's is a U. S. citizen.
No disclaimer or limiting statement need be in-
cluded in the application, but a cautionary letter
should be sent where U. S. authorship clearly pre-
dominates.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.2" -->

## 6.2.1 Books subject to manufacturing clause. (cont'd)

### III. Language and authorship. (cont'd)

f. Mixed authorship: English-language work. Where a
book in English, manufactured and first published
abroad, is written by authors of more than one
nationality:

1\. If one or more of the authors is the citizen
of a U.C.C. country, or if the work was first
published in a U.C.C. country, registration
may be made on Form A-B Foreign, regardless
of the citizenship of the other authors; no
disclaimer or limiting statement is necessary.
If U. S. authorship clearly predominates, or
if U. S. or non-U.C.C. authorship together
predominate in a work first published abroad
in a non-U.C.C. country, a cautionary letter
pointing out the possibility of an additional
ad interim registration may be sent.

2\.
If none of the authors is the citizen of a
U.C.C. country, add the work was not first
published in a U.C.C. country, registration
on Form A-B Foreign cannot be made. Ad
interim registration may be made (assuming
copyright relations) within six months of first
publication abroad.
:

### 5.2.2 Manufacture in U. S.

#### I. Processes to be performed in U. S: : 6

j

:

a. Printing from type. If.a book subject to the manu-
facturing clause is printed from type, then the
setting of the type, the making of any plates, and
the printing from the type or plates, must all be
done in the United States.

For example, a book printed in the U. S. from
plates made in England, or a book printed in
Canada from type set;in the U. S., would not
meet the requirements of manufacture in the
U. S.

<!-- PageBreak -->

Ch. 6
6.2.2

##### 6.2.2 Manufacture in U. S. (cont'd)

###### I. Processes to be performed in U. S. (cont'd)

###### b. Lithographie or photoengraving process.

1\. If the text of a book subject to the manufac-
turing clause is printed by any lithographic
or photoengraving process, then such process
must be performed entirely in the United
States. (Note: The process commonly known
as "offset" or "photo-offset" printing is
a lithographic process.)

2\. Where a book subject to the manufacturing
clause was first printed from type abroad,
and the pages printed abroad are reproduced
in the United States by "offset" or other
lithographic process, such reproduction
may be considered, under the rule of doubt,
as complying with the requirement that the
lithographic process be performed in the
U. S. The book so reproduced in the United
States may be registered in Class A, with
a warning letter.
:

;

c. Binding. If a book subject to the manufacturing
clause is bound, the binding must be done in the
United States.
,

###### II. Partial manufacture in U. S.

a. Where the text of a book subject to the manufac-
turing clause is an indivisible unit, the entire
text must be manufactured in the United States.
Where only a portion of they text has been manu-
factured in the United States, neither the book
as a whole nor the portion so manufactured may
be registered in Class A.

Examples:

:

(1) A 300-page novel in English of which
200 pages are printed in the United
States and 100 pages are printed
abroad.
1

(2) An English-French and French-English
dictionary by a United States author,
printed partly in the United States
and partly abroad.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.3" -->

##### 6.2.2 Manufacture in U. S. (cont'd)

###### II. Partial manufacture in U. S. (cont'd)

b. Where a book subject to the manufacturing clause
consists of separable component works, some manu-
factured in the United States and some manufac-
tured abroad (and the binding is done in the United
States), a claim limited to the separable works
manufactured in the United States may be register-
ed in Class A.

Examples:

(1) A book by a U. S. author containing a
treatise in English printed in the
United States and the same treatise
in German printed abroad, the claim
:
being limited to the English version.

:
1
A collection of short stories in English,
some by U. S. authors printed in the U. S.

(2)
Defoe's "Moll Flanders" with its
public domain text printed abroad and
1
a new introduction printed in the
:
United States, the claim being limited
to the introduction.
1
1
1
(3)
:
1
and some by Australian authors printed in
Australia, the claim being limited to the
1
works of the U. S. authors.

III.
Limited claims and disclaimers.
L
€

€

a. Where portions of a work meet the manufacturing re-
quirements and other separable portions do not, it
is preferable for the copyright notice on the
copies to contain a limiting statement or disclaimer.
Example: " @ John Doe 1958 in pages 101-432." The
same statement should appear on the application.
3
5

b. Where the notice contains no limitation or disclaimer,
arl application in which the claim is clearly limited
may be accepted with a cautionary letter.

Affidavit.
1
:

5

I. When required. An appropriate affidavit of manufacture
In the United States must be submitted as a prerequisite
to the registration in Class A of a book subject to the
manufacturing clause. It is not required in any other
case.

6.2.3

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.3" -->

## 6.2.3 Affidavit. (cont'd)

### II. As evidence of U. S. manufacture.

a. A properly completed affidavit showing compliance
with the requirements of U. S. manufacture will
usually be accepted as establishing such compliance.
But if the Office has other information (e.g., from
the transmittal letter, or from a brochure accompany-
ing the deposit copies, or from the imprint in the
book) indicating that the book was actually manu-
factured abroad, the accuracy of the affidavit may
be questioned.

b. If the affidavit or other information shows
definitely that the requirements of American manu-
facture have not been complied with, an application
on Form A (for a book subject to the manufacturing
clause) must be rejected. But in an appropriate
case the Office may then suggest ad interim regis-
tration (see Chap. 8).
t
\-

III. Form of affidavit.

For example: the affidavit and imprint show that
the book was printed in Canada.
E
*
1
\=
3

1
a. The Office will generally require use of the
affidavit form on the back of Application Form A.
However, in exceptional cases a separate affidavit
containing the required data may be accepted, in
which case the application will be annotated to
refer to the affidavit.
:
.

:
:

b. An incomplete affidavit not signed or notarized
will generally be returned to the applicant for
completion. If an incomplete affidavit has been
signed or notarized, a new affidavit is requested.
*
IV. Content. The affidavit form on page 2 of Form A calls
for a sworn statement or affirmation of the following
facts (17 U.S.C. § 17):
:

a. Either that (1) the deposit copies were printed in
the U. S. from type set, plates made from type set,
or by other process performed in the U. S. or (2) that
the text was produced by lithographic or photoengrav-
ing process wholly performed in the U. S.

(Note: If the book is.mimeographed or typewritten,
the form of affidavit on Application Form A may
be revised to state that the copies were "pro-
duced" (or "mimeographed" or "typed" ) in the U. S. )

<!-- PageBreak -->

<!-- PageHeader="6.2.3" -->

### 2.3 Affidavit. (cont'd)

IV. Content. (cont'd)

b. If the book is bound in a hard cover, that the
binding was done in the U. S.

c. The name and the city and state (street address
not required) of the establishment performing
each process; and

d. The date of the completionof the printing of
the book or the date of publication (see Chap. 3).

### V. Execution.

#### a. Venue.

1\. The affidavit should ordinarily state the venue,
but an affidavit omitting this statement may be
: accepted if otherwise in order.

2\. A variance between the statement of venue at
: the top of the form and that in the jurat or
seal may be ignored as long as the two give
: the same state.

Examples:

(1) "Baca County, Colorado" in one place,
"Yucca County, Colorado" in the
other: acceptable.

(2) "Baca County, Colorado" in one place,
"Jasper County, Missouri" in the
other: the Office will request a
new affidavit.

#### b. Affiant.

1\. The affidavit must be made by (1) the copyright
claimant, or (2) his authorized agent residing
in the U. S., or (3) the printer.

2\. A mistake or oversight in indicating the capacity
of the affiant will not bar acceptance of the
affidavit.

Examples:

(1) Affiant is the claimant but he has
checked the block referring to the
agent or printer.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.3" -->

6.2.3 Affidavit. (cont'd)

V. Execution. (cont'd)
b. (cont'd)

Examples: (cont'd)

(2) Affiant is not the claimant but he has
checked that block. Unless the Office
is otherwise informed, it will assume
he is the authorized agent of the
claimant.

(3) None of the three blocks on the form
has been checked but the affidavit has
been signed. Unless otherwise informed,
the Office will assume that the signa-
ture is that of the claimant, the
claimant's agent, or the printer.

#### c. Signature of affiant.

1\. The affidavit must be signed by the affiant. The
signature should preferably be his name in hand-
writing. However:

(a) His handwritten initials may be accepted where
they are identifiable with a name given else-
where in the affidavit or application.

(b) A mark or rubber-stamped signature may be
accepted only ilf the affidavit states that
it represents his signature.

(c) An illegible handwritten signature may be
accepted.
(
1
:
2. The name of a corporation or other organization is
not acceptable as the signature of the affiant
unless it is accompanied by the signature of an
individual.
,

F

Examples:
:

(1) "Sturm and Drang Co." is not acceptable.

(2) "John Callahan, Inc. by John Callahan,
President" is acceptable.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.2.4" -->

## 6.2.3 Affidavit. (cont'd)

V. Execution. (cont'd)

d. Date of execution. The affidavit must ordinarily
give the date of its execution. The date of
execution must not be earlier than the date of
publication or completion of printing stated
in the affidavit; if it is, a new affidavit
will be requested.

e. Signature of notary. The jurat must be signed by
a notary or by some other officer authorized to
administer oaths in the United States.

f. Expiration of notary's commission. An affidavit
without the date of expiration of the notary's
commission may be accepted, even though the
state law may require that date. The date of
expiration, if given, must not be earlier than
the date of execution.

g. Seal. A seal is required only when the state law
requires it. The Examining Division maintains a
list of states requiring the seal.
:
(Note: The Examining Division list also
includes other formalities required in
certain states. Compliance with these
other formalities is not required, but
if it is necessarytto request a new
application such compliance may be
suggested. )
3
1

h. Certificate of notary's commission. The Office
does not require such a certificate even though
the state law may provide for it. If such a
certificate is attached to the affidavit, it
will be detached and filed separately, and the
affidavit will be annotated to refer to it.
$
:

6.2.4 Illustrations in books. Where ia book subject to the manu-
facturing clause contains illustrations produced by litho-
graphic or photoengraving process, such illustrations (if
not within an excepted category) must also be manufactured
in the United States to be registrable. (See Part 6.4. )

<!-- PageBreak -->

<!-- PageHeader="1.6 6.3.1" -->

# Part 6.3 PERIODICALS

## 6.3.1 Periodicals subject to manufacturing clause.

I. In general. To be registrable in Class B (except as noted
in the following paragraph II), the text of any periodical
must be manufactured in the U. S. when:

a. The text is in the English language, or

b. Regardless of the language, the author (that is, gener-
ally, the publisher) is a citizen of or domiciled in
the U. S.

II. Exceptions to general rule. Manufacture in the U. S. is
not required for the registration of periodicals in the
following instances:
5
a. Periodicals in raised characters for the blind (such
as Braille).

b. Periodicals. "of foreign origin in a language or
languages other than Ehglish" -- that is, foreign-
language periodicals of foreign publishers. Note:
a periodical publishedby a U. S. citizen or
domiciliary is not regarded as a work "of foreign
origin." (See topic 6:2.1. III. )

c. English-language periodicals manufactured and first
published abroad, for which ad interim copyright
protection is being sought. (See topic 6.1.2 and
Chapter 8.)
:
A

d. Periodicals in any language by nationals of foreign
U.C.C. countries, first published outside the United
States with the U.C.C. notice specified in £ 9(c).
(See Chapter 8.)
1

e. Periodicals in any language by foreign authors, first
published in a U.C.C. country with the U.C.C. notice
specified in § 9(c). (See Chapter 8. )
3

6.3.2 Book rules applicable. Except as indicated in the following
topic 6.3.3, the rules stated in topics 6.2.1 and 6.2.2 re-
garding the text of books are applicable generally to the
text of periodicals.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.3.3" -->

## 6.3.3 Book rules not applicable.

I. Evidence of U. S. manufacture. No affidavit is required
for registration of a periodical in Class B. Instead, if
any portion of a periodical was manufactured outside the
United States, Form B requires a statement of this fact.

II.
Binding. If a periodical is bound, the place of binding
does not affect the registrability of the work.

III. Illustrations. The place of manufacture of the illustra-
tions in a periodical, even though they are lithographs
or photoengravings, is not considered in determining
the registrability of a work.

<!-- PageBreak -->

<!-- PageHeader="1. 6 .4.1" -->

# Part 6.4 LITHOGRAPHS AND PHOTOENGRAVINGS

## 6.4.1 When subject to manufacturing clause.

I. General rule and exceptions. As a general rule, a lithograph
or photoengraving, either as an illustration in a book of
text (see topic 6.4.2) or as a separate work (see topic
6.4.3) must be manufactured in the United States in order
to be registrable. Exceptions :

a. A lithograph or photoengraving which represents a sub-
ject located abroad and which illustrates a scientific
work or reproduces a work of art need not be manufactured
in the United States, and may be registered regardless
of where it was manufactured. (See topic 6.4.1., III.)

b. Where the author of a lithograph or photoengraving first
published abroad is the citizen of a foreign country
party to the U.C.C., or where the lithograph or photo-
engraving was first published in a foreign U.C.C.
country and the author is neither a U.S. citizen nor
domiciliary, the work is exempted from the manufacturing
requirements if it! bears the special U.C.C. copyright
notice prescribed in § 9(c). (See Chapter 8)

II. Pictorial or graphic works not included.

a. Those produced by other processes. Pictorial or graphic
works produced abroad by a process not technically &
lithographic or photoengraving process may be registered.

Examples :

1

(1) Photogravures, rotogravures, etchings, line )
engravings, mezzotints, wood cuts, drypoints,
aquatints; collotypes, and works produced
by stipple and crayon engraving, etc.

(2) Photographs.

(3) Hand drawings or paintings.
1
:

b. Illustrations in works other than books. Lithographs
or photoengravings which are neither illustrations in
a work classified as a book nor separate works are
not considered subject to the manufacturing require-
ments. Thus, where a work to be registered in a
class other than A (e.g., a periodical, a drama, or
a musical composition) contains lithographs or
photoengravings as illustrations, they may be in-
cluded as component parts of the work registered
(in class B, D, or E), regardless of where they were
manufactured.

<!-- PageBreak -->

<!-- PageHeader="6-21" -->
<!-- PageHeader="6.4.1" -->

### +.1 When subject to manufacturing clause. (cont'd)

#### III. Statutory exceptions.

a. In general. Lithographs and photoengravings, whether
published separately or in books, are exempted froma
the manufacturing requirements if "the subjects re-
presented are located in a foreign country and illus-
trate a scientific work or reproduce a work of art"
(§ 16). This provision means that a lithograph or
photoengraving is exempted from the manufacturing
requirements if:

1\. The lithograph or photoengraving represents a
"subject" that is "located" in a foreign country,
and

2\. The lithograph or photoengraving is either

1
(a) an illustration published as part of a
"scientific work," or (b) a reproduction of
a "work of art."
:

### b. Scope of the exemptions. :

1\. The "subject represented." The subject which
must be located abroad may be either:
:
4

(a) The actual thing shown on the picture
(e.g., a real person or thing, such as
Winston Churchill, the Eiffel Tower, or
Mont Blanc), or
1
.

(b) The pictorial or graphic work which is
reproduced in the lithograph or photo-
engraving (e.g., a German anatomical
drawing, a painting in the Louvre).

2\. "Located in a foreign country."
1

(a) The "subject" is "located in a foreign
country" when:

(1) The actual "subject" was in exist-
ence in a foreign country at the
time the graphic or artistic work
depicting it was prepared (e.g.,
Westminster Abbey, shown in a
drawing; an African elephant, shown
in a photograph reproduced in a
scientific textbook); or

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.4.1" -->

## 6.4.1 When subject to manufacturing clause. (cont'd)

III. Statutory exceptions. (cont'd)

b. (cont'd)

2\. (cont'd)
(a) (cont'd)

(2) The pictorial or graphic work which is
reproduced in the lithograph or photo-
engraving was permanently located in a
foreign country at the time the litho-
graph or photoengraving was prepared
(e.g., a painting in the Louvre; illus-
trations of DAVID COPPERFIELD prepared
and reproduced in England).
2
,

(b) A "subject" is not "located in a foreign
country" simply because it has been trans-
ported there from the United States for
the purpose of being reproduced.

Examples:

(1) A painting located permanently in
an American gallery (even though
by a foreign artist)
1
(2)
Sketches created in the United
States for the purpose of repro-
duction as illustrations in a
book
.

S
!

3\. Illustration of a scientific work. A lithograph
or photoengraving:"illustrates a scientific work"
if it is an illustration published in a book or
similar work dealing with a scientific subject,.
or if the lithograph or photoengraving itself
depicts a scientific subject.

Examples:

(1) Lithographic reproductions of
anatomical drawings by a physician
in Germany, published as separate
wall charts

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.4.1" -->

## 6.4.1 When subject to manufacturing clause. (cont'd)

III. Statutory exceptions. (cont'd)
b. (cont'd)

3\. (cont'd)

Examples: (cont'd)

(2) A photoengraving of the Taj Mahal in
a book on architecture

(3) Lithographic reproductions of photo-
graphs of native villages in the
Belgian Congo, illustrating a treatise
on anthropology

### 4. Reproduction of a work of art.

(a) A lithograph' or photoengraving "reproduces
a work of art" when the lithograph or photo-
engraving was prepared as a reproduction of
an already-existing artistic, graphic, or
pictorial work.

Examples:

(1) Lithographic reproductions of
paintings in the Louvre, or of
statuary in Rome

2\) Photoengravings reproducing
drawings of scenes in London

(b) A lithograph or photoengraving which repro-
duces a work of art located abroad need not
be manufactured in the United States, even
though the work of art was created abroad
for the sole purpose of such reproduction.

Examples are lithographs or photoengravings
reproducing: [

(1) Drawings made in England to illustrate
a special edition of Dickens' works

(2) Paintings of Christmas symbols made in
Germany for greeting cards

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.4.2" -->

#### 6.4.2 Illustrations in books.

I. Where book is subject to manufacturing clause. Where the
text of a book is subject to the requirement of U. S. manu-
facture (see topic 6.2.1), lithographs or photoengravings
illustrating the book must also be manufactured in the U. S.
unless they come within the statutory exceptions noted in
topic 6.4.1, III.

II. Where book is not subject to manufacturing clause. Where
the text of a book is not required to be manufactured in
the U. S., the illustrations in the book need not be manu-
factured in the U. S.

Examples:

(1) Illustrations in a book by a foreign author in
a foreign language (see topic 6.2.1, III) may
be included as part of the work registered on
Form A-B Foreign, regardless of where they
were manufactured. :

(2)
Illustrations in a book of dramas or a book of
music (see topic 6.2.1, II) may be included as
part of the work registered in Class D or E,
regardless of where they were manufactured.

III. Where text is in public domain. Where the entire text of
a book is in the public domain, with illustrations as the
only new matter, the illustrations are treated as separate
works. (See topic 6.4.3. )

IV. Separability of text and illustrations. The text and illus-
trations in a book may be treated as separable works. Thus:

a. Where both are required to be manufactured in the U. S. :
2

1\. If the text was manufactured in the U. S. but the
illustrations were manufactured abroad, a claim
limited to the text alone may be registered in
Class A.

2\. If the illustrations were manufactured in the U. S.
but the text was manufactured abroad, a claim
limited to the illustrations alone may be register-
ed in the appropriate Class F-K.

<!-- PageBreak -->

<!-- PageHeader="ch. 6 6.4.3" -->

#### 6.4.2 Illustrations in books. (cont'd)

IV. Separability of text and illustrations. (cont'a)

b. Where the illustrations in a book are not required
to be manufactured in the U.S. (e.g., lithographs
or photoengravings illustrating scientific works,
lithographic reproductions of works of art located
abroad, or wood cuts):

1\. A claim limited to the illustrations alone may
be registered in the appropriate Class F-K,
even though the text and illustrations were
both manufactured abroad.

2\.
If the book is registered ad interim, the
illustrations may be registered separately
in the appropriate Class F-K.

!
:

c. Limited claims and disclaimers. See topic 6.2.2 III.

1
1

6.4.3 Separate lithographs and photoengravings.

1
1

I.
In general. Lithographs or photoengravings, to be regis-
trable as separate works in Classes F-K, must be manufac-
tured in the U.S. unless they come within the statutory
exceptions noted in topic 6.4.1, III.

II. Illustrations in books as separate works. The illustra-
tions in a book may be treated as separate works (see
topic 6.4.2, IV).
:
.

III. Collection of pictorial works . A number of lithographs
or photoengravings published together in book form (with
only brief incidental text or none) may be a collection
of separate works. Thus :

a. For registration of the entire collection as a whole
in an appropriate Class F-K, each lithograph or photo-
engraving must be manufactured in the United States
or must be within the statutory exceptions noted in
topic 6.4.1, III.
1

1
b. If any of the lithographs or photoengravings in the
collection is not within the statutory exceptions and
has been manufactured abroad, a claim limited to the
other works in the collection (those manufactured in
the U.S. and those within the exceptions) may be
registered in an appropriate Class F-K.

<!-- PageBreak -->

<!-- PageHeader="Ch. 6 6.4.4" -->

#### 6.4.4 Evidence of registrability.

I. As to illustrations in books. Where an appropriate affi-
davit of U. S. manufacture (see topic 6.2.3) is submitted
with a Form A application for a book of text and illus-
trations:

a. No separate statement regarding manufacture of the
illustrations is required. It will be assumed, unless
the Office is otherwise informed, that registration of
the book may include the illustrations.

b. If the Office has information indicating that the illus-
trations are lithographs or photoengravings produced
abroad, it will seek to determine whether they are in
a category excepted from the manufacturing requirement
(see topic 6.4.1, III). If so excepted, the registra-
tion of the book may include the illustrations. If
not excepted, it may suggest that the application be
limited to the text.

5

II. As to separate pictorial works.

8 ..
Unless the application indicates, or the Office is
otherwise informed, that a pictorial work is a litho-
graph or photoengraving produced abroad, it will be
assumed that registrationlof the pictorial work is
not barred by the manufacturing:clause.
1

b. When the Office is informed, by the application or
otherwise, that a pictorial work is a lithograph or
photoengraving produced abroad, it will seek to
determine whether it is in a category excepted from
the manufacturing requirement (see topic 6.4.1, III).
If so excepted, it may be registered in an appro-
priate Class F-K. If not so excepted, it is not
registrable.

<!-- PageBreak -->

<!-- PageHeader="Ch. 7" -->
<!-- PageHeader="Chapter 7" -->

# CITIZENSHIP AND DOMICILE OF THE AUTHOR

## Outline of Topics

### Part 7.1 IN GENERAL

#### 7.1.1 Statutory provisions

I. U. S. authors

II. Foreign authors

7.1.2 Copyright Office Policy

7.1.3 Authors and proprietors

I. Author's citizenship determinative

II. Which author

III. Posthumous work

### 7.1.4 Time as of which status of author is determined

### Part 7.2 WORKS BY FOREIGN AND STATELESS AUTHORS DOMICILED ABROAD

#### 7.2.1 In general

I. Conditions for U. S. Copyright

II. Citizens of countries with which the U. S.
has copyright relations

III. Citizens of countries with which the U. S.
has no copyright relations

#### 7.2.2 Stateless authors

I. Definition

II. Eligibility for U. S. Copyright

<!-- PageBreak -->

<!-- PageHeader="Ch. 7" -->

### Part 7.3 WORKS BY FOREIGN AUTHORS DOMICILED IN THE U. S.

### 7.3.1 In general

#### I. Permanent residence

II. Endistence of copyright relations with
country of domicile

### 7.3.2 Territories

### 7.3.3 Unpublished works

### Part 7.4 WORKS OF MIXED AUTHORSHIP

### 7.4.1 Various nationalities

## I. Specific contributions II. Eligible parts proportionately mall

<!-- PageBreak -->

<!-- PageHeader="Ch. 7 7.1.1" -->

# Chapter 7. CITIZENSHIP AND DOMICILE OF THE AUTHOR

## Part 7.1 IN GENERAL

### 7.1.1 Statutory Provisions

I. U. S. Authors. A work by a citizen of the U. S.
may be eligible for registration, even if the
author permanently resides abroad and the work
was first published abroad. (But see Ch. 6.2.1,
III. b. 3 concerning books and periodicals by
U. S. authors in a foreign language manufactured
abroad.)

II. Foreign Authors. In general, a work by an author
who is not a citizen of the U. S. is subject to
copyright only under one of the following condi-
tions:

a. If the author was domiciled in the U. S. on
the date of first publication of the work
(17 U.S.C. §9(a));

b. If the country of which the author is a
citizen shares reciprocal or multilateral
copyright relations with the U. S. (17 U.S.c.
§§9(b) and 9(c)) -- that is:

1\. If the author is a citizen of a "pro-
claimed country" (one with which the U. S.
has copyright relations as determined by
a Presidential proclamation) or

2\. If the author is a citizen of a country
which is a party to the Universal Copy-
right Convention, the Buenos Aires Conven-
tion of 1910, or the Mexico City Convention
of 1902. (See item 7.2.1.II.b. concerning
a work whose author is a citizen of a coun-
try with which the U. S. has copyright re-
lations only through the U.C.C. and that
is first published in the U. S.)

c. If the work was first published in a country
(other than the U. S.) which is a party to the
U.c.c. (17 U.S.c. §9(c));

d. If the author is stateless.

<!-- PageBreak -->

<!-- PageHeader="Ch. 7 7.1.2" -->

7.1.2 Copyright Office Policy. In general, a statement of citizen-
ship or domicile will be accepted at face value. Such a
statement will not be questioned unless it is contradicted
by other information in the file, or unless it appears con-
trary to facts that are commonly known. Likewise, the Copy-
right Office will not attempt to settle questions of domicile
or offer opinions on the subject in a particular case.

### Examples:

(1) An application stating that the author
is a U.S. citizen will be questioned
where the accompanying letter indicates
that he has applied for citizenship but
has not yet been naturalized.

(2) An application stating, for instance,
that Shostakovich is a Polish citizen
will be questioned.

## 7.1.3 Authors and Proprietors

I. Author's citizenship determinative. In general, it
Is the citizenship (or domicile) of the "author" of
a work, rather than that of the copyright owner,
that determines its eligibility for U.S. copyright.
The citizenship of the copyright owner, as such, is
generally immaterial for this purpose.

Examples :

(1) A work by a U.S. citizen may be registered
even if the copyright is claimed by a
citizen of Turkey (with which the U.S.
has no copyright relations).

(2) A composition by Shostakovich, a Russian
citizen, first published abroad in a non-
U.C.C. country, will not be registered
even if copyright is claimed by a U.S.
publisher.

<!-- PageBreak -->

<!-- PageHeader="Ch. 7 7.1.3" -->

## 7.1.3 Authors and Proprietors (cont'd)

II. Which author. The "author" whose citizenship (or
domicile) is determinative in a particular case 16
the person who created the material covered by the
copyright claim.

a. In the case of a "new version," the citizenship
(or domicile) of the author of the copyrightable
new matter, rather than that of the author of
an earlier version upon which the present work
is based, is the deciding factor.

Examples:

(1) A composition by a Russian composer,
edited and arranged by an American
citizen, may be registered on the
basis of the new matter.

(2) A translation of "Gone With The Wind"
by & Russian citizen may not be reg-
istered (unless first published in a
foreign U.C.C. country).

b. In the case of a work made for hire, the
citizenship (or domicile) of the employer
for hire is the deciding factor.

Examples :

(1) Registration may be made for a work
written by a Russian citizen as
employee for hire of an American
publisher.

(2) Registration may be made for a
periodical, the publisher of which
is an American citizen, regardless
of the citizenship of the various
contributors, editors, etc.

<!-- PageBreak -->

<!-- PageHeader="Ch. 7 7.1.4" -->

## 7.1.3 Authors and Proprietors (cont'd)

III. Posthumous work. In the case of a posthumous work,
it is not clear whose citizenship should determine
the eligibility for copyright. It is the policy of
the Copyright Office in such cases to request the
applicant to state not only the citizenship of the
deceased author at the time of his death but also
the citizenship and (where appropriate) the domicile
of the copyright claimant. Registration may be made
where either the deceased author or the copyright
claimant meets the citizenship and domicile re-
quirements.

7.1.4 Time as of Which Status of Author is Determined. It is
the citizenship (or domicile) of the author at the time
of first publication of the work that determines its
copyrightability; or, if the work is being registered in
unpublished form, the citizenship or domicile of the
author on the date the application is submitted is the
deciding factor. Changes in the author's status occur-
ing after publication are immaterial for this purpose.

### Examples :

(1)
When a work was published in 1950 the
author was a Venezuelan citizen; the
fact that he has now become a U.S.
citizen does not make the work regis-
trable.

(2)
A Turkish author was resident in the
U.S. while writing a book, but had re-
turned permanently to Turkey by the
time it was published; registration
cannot be made (unless first publica-
tion took place in a foreign U.C.C.
country) .

<!-- PageBreak -->

<!-- PageHeader="Ch. 7 7.2.1" -->

Part 7.2 WORKS BY FOREIGN AND STATELESS AUTHORS DOMICILED ABROAD

## 7.2.1 In General

I. Conditions for U. S. Copyright. A work by an author
who is neither a citizen of the U. S. nor domiciled
in the U. S. is registrable only if:

a. The author is a citizen of a country with which
the U.S. has copyright relations; or

b. The work was first published in a U.C.C. country
(other than the U. S.); or

c. The author is stateless.

II. Citizens of countries with which the U. S. has copy-
right relations.

a. In general, a published or unpublished work by a
citizen of a "proclaimed country, " or of a country
which is a partyto the Universal Copyright Conven-
tion or the Buenos Aires Copyright Convention of
1910, is eligible for registration, regardless of
the domicile of the author or the place of first
publication.

b. A work whose author is a citizen of a country with
which the U. S. has copyright relations only
through the U.C.C. and that is first published in
the U. S. may be registered under the rule of
doubt, assuming the formalities applicable to
non-U.C.C. works have been complied with. A
cautionary letter should be sent in such cases.

III. Citizens of countries with which the U. S. has no
copyright relations.

a. An unpublished work by a citizen of a country
that does not have copyright relations with the
U. S. cannot be registered if the author is
domiciled abroad (unless he is a refugee who has
his habitual residence in a state party to
Protocol I of the U.C.C.).

<!-- PageBreak -->

<!-- PageHeader="Ch. 7 7.2.1" -->

### 7.2.1 In General (cont'd)

III. Citizens of countries with which the U. S. has no
copyright relations. (cont'd)

b. A published work by a citizen of a country which
does not have copyright relations with the U. S.
cannot be registered if the author is domiciled
abroad, (though it can be registered if he is
domiciled in the U. S.) unless first publication
took place in a country (other than the U. S.)
that is a party to the U.C.C.

### 7.2.2 Stateless Authors

I. Definition. A stateless author is an author who has
renounced or has been deprived of his former citizen-
ship, and who has not yet become a citizen of another
country .

II. Eligibility for U. S. Copyright. A published or
unpublished work by a stateless author is eligible
for U. S. copyright regardless of the former or
prospective citizenship of the author, his domicile,
or the place of publication of the work.

<!-- PageBreak -->

<!-- PageHeader="Ch. 7 7.3.1" -->

## Part 7.3 WORKS BY FOREIGN AUTHORS DOMICILED IN THE U.S.

7.3.1 In General. A published work by a foreign author may be
eligible for registration if the author is domiciled in
the U. S. at the time of first publication, regardless of
the existence of international copyright relations.

I. Permanent residence. An author is generally regarded
ag "domiciled" in the U.S. if he intends to make his
permanent residence within its territorial limits.

II. Existence of copyright relations with country of
domicile. A work by an author who is a citizen of
a country with which the U. S. has no copyright
relations will not be eligible for registration by
virtue of the author's domicile in any country other
than the U.S., even if it is a country with which
the U.S. has copyright relations.

7.3.2 Territories. In addition to the United States, including
the states of Alaska and Hawaii, domicile in the following
territories will be considered domicile in the U. S .:

1\. Puerto Rico

2\. Panama Canal Zone

3\. Virgin Islands

4\. Guam

7.3.3 Unpublished Works. It is questionable, under the wording
of the statute, whether an unpublished work by a citizen
of a country that does not have copyright relations with
the U. S. is eligible for registration, even if the author
is domiciled in the U. S. In such cases registration is
deferred and the applicant is informed of the problem and
of the procedure for securing copyright by publication
with notice; if registration for the work in unpublished
form is still desired, it may be made under the rule of
doubt,

<!-- PageBreak -->

<!-- PageHeader="Ch. 7" -->
<!-- PageHeader="7.4.1" -->

Part 7.4 WORKS OF MIXED AUTHORSHIP

7.4.1 Various nationalities. A work written jointly by authors
of various nationalities, some of whom are eligible to
secure U. S. copyright, will be registered on the basis of
the authorship of those who are eligible. "(Rut see topic
6.2.1, III .. e; mixed authorship: foreign language work)."

I. Specific contributions. Ordinarily no effort is made
to have the application reflect the specific parts of
the work contributed by particular authors, or to re-
quire the applicant to disclaim copyright in any por-
tion of the work.

J.I. Eligible parts proportionately small. However, where
the parts of the work that are eligible for registra-
tion are so small in proportion to the work as a
whole that the entry might otherwise be misleading,
the applicant will be requested to specify those
portions of the work in which copyright is claimed.

Example :

(1) A piano concerto by Shostakovich in which
the only copyrightable matter consists of
dynamics and a brief biographical sketch
by an American editor.

<!-- PageBreak -->

<!-- PageHeader="Ch. 8" -->

# Chapter 8

## Works First Published Abroad (including Ad Interim Copyright)

Outline of Topics

### Part 8.1 IN GENERAL

8.1.1 First publication abroad

I. What constitutes

II. Simultaneous publication

### 8.1.2 Copyrightability of works first published abroad

I. Publication in a U.C.C. Country

II. Ad Interim copyright

#### 8.1.3 Effect of first publication abroad

I. General mile

II. Exceptions

a. Unpublished registration

b. Ad Interim registration

III. Requirements for registration

IV. Registrability of American edition of
work first published abroad

a. General rule

b. Registration for American edition
of work registered ad interim

### Part 8.2 NOTICE OF COPYRIGHT

#### 8.2.1 General requirement of copyright notice

##### I. First publication abroad

a. Heim case doctrine

b. Works subject to ad interim
registration

<!-- PageBreak -->

<!-- PageHeader="Ch. 8" -->

### Part 8.2 NOTICE OF COPYRIGHT (cont'd.)

II. Later publication

a. U.C.C. requirements

b. Later publication in United States

### III. Copyright Office policy

a. No retroactive effect

b. Deposit copies must bear notice

c. Notice acceptable at face value

d. Previous publication indicated

8.2.2. Form and position of notice

I. In general

II. Name of the copyright proprietor

III. Date in the notice

IV. Position of the notice

### Part 8.3. REQUIREMENTS FOR REGISTRATION

8.3.1 Necessity for registration

I. In general

II. U.C.C. works

8.3.2 Copies and fees

I. Unpublished works

II. Published works

a. U. S. author

b. Foreign or stateless authors

c. Waiver-of-fee option

### Part 8.4 AD INTERIM COPYRIGHT

8.4.1 In general

I. Definition

II. Cross-references

### 8.4.2 Works subject to ad interim registration

I. Scope of ad interim copyright

II. U.C.C. exemption

III. Copyright Office policy concerning ad
interim registration

<!-- PageBreak -->

<!-- PageHeader="Ch. 8" -->

### Part 8.4 AD INTERIM COPYRIGHT (cont'd)

a. In general

b. Works exempted under U.C.C.

### 8.4.3 Requirements for ad interim registration

I. Time limits

II. Copy and fee

III. Works published in installments

#### 8.4.4 Notice of copyright

I. Notice on copies as first published
abroad

II. Notice on U.S. edition

8.4.5 Importation of copies

I. In general

II. Import statement

#### 8.4.6 Extension of ad interim copyright to full term

I. Statutory provision

II. Requirements for full term registration

III.
Extension of subsisting ad interim copy-
rights under U.C.C.

<!-- PageBreak -->

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.1.1" -->

# Chapter 8. COPYRIGHT IN WORKS FIRST PUBLISHED ABROAD ( INCLUDING AD INTERIM COPYRIGHT)

## Part 8.1 IN GENERAL

### 8.1.1 First publication abroad.

I. What constitutes. For purposes of this chapter of the Com-
pendium, a work is regarded as first published abroad if
first publication took place in a foreign country - that is,
in a country which is outside the territorial limits of the
United States and which is not an incorporated or unincor-
porated territory of the United States or an organized area
under the jurisdiction of the United States.

II. Simultaneous publication. For purposes of this chapter o
the Compendium, though not necessarily for other purposes,
publication in the United States and in a foreign country
on the same day will generally be regarded as first publi-
cation in the United States rather than first publication
abroad.

Exceptions :

a. In the case of an English-language book or periodical
manufactured abroad but otherwise eligible for full-
term registration under the U.C.C. and the exemptions
of § 9(c), simultaneous publication in the United
States and in a foreign country will not prevent reg-
istration on Form A-B Foreign. A cautionary letter
should be sent in such cases.

b. In the case of an English-language book or periodical,
manufactured abroad but otherwise eligible for ad
interim copyright, simultaneous publication in the
United States and in a foreign country will not pre-
vent ad interim registration. A cautionary letter
should also be sent in these cases.

8.1.2 Copyrightability of works first published abroad. Except in
the following two cases, the place of publication is immaterial
in determining the basic copyrightability of a work:

I. Publication in a U.C.C. country. Where the author of a work
is not a citizen or domiciliary of the United States, the
work is copyrightable if first published in a foreign coun-
try that is a party to the U.C.C., even if the author is a
citizen of a country with which the United States does not
have copyright relations.

<!-- PageFooter="April 1961)" -->

<!-- PageBreak -->

<!-- PageHeader="Ch . 8 8.1.3" -->

#### 8.1.2 Copyrightability of works first published abroad. (cont'd)

##### I. Publication in a U.C.C. country. (cont'd)

Example: A work by a Russian citizen, domiciled in the
U.S.S.R., is copyrightable if first published
in France.

II. Ad interim copyright. Ad interim copyright is not available
for books and periodicals first published in the United
States. (See Part 8.4.)

###### 8.1.3 Effect of first publication abroad.

I. General rule. As a rule, copyright in the United States is
secured by the act of publication, and endures for a term
computed from the date of first publication, whether the
work was first published in the United States or abroad.

II. Exceptions.

a. Unpublished registration. Copyright in a work first
registered in unpublished form is secured by the act
of registration in this Office, and endures for a term
computed from the date of registration.

1\. The requirements for unpublished registration are the
same for works by foreign authors as they are for works
by U.S. citizens and domiciliaries. Exception: musi-
cal compositions by foreign authors are registered on
Form E Foreign, rather than on Form E. (See
Chapters 5, 7, and 9.)

2\. When a work originally registered in unpublished form
is first published, in the United States or abroad, no
new copyright is secured in the material for which un-
published registration had been made earlier; the term
or scope of protection for that material is not ex-
tended by publication or by registration for the
published edition.

3\. When a work originally registered in unpublished form
is published, either in the United States or abroad,
it is necessary to make another registration to cover
the published version. Exception: Registration for
the published version is not required for foreign
works protected under the U.C.C. and first published
abroad with the copyright notice specified in § 9(c).
(See topic 8.3.1.II.)

b. Ad interim registration. In the case of books and period-
icals subject to the manufacturing requirements (see Chap.
6), ad interim copyright is secured by ad interim regis-
tration within six months of first publication abroad.
(See Part 8.4.)

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.1.3" -->

###### 6. . 3 Effect of first publication abroad. (cont'd)

###### II. Exceptions. (cont'd)

###### b. Ad interim registration. (cont'd)

1\. Ad interim copyright lasts a maximum of five
years, and the ad interim tem is computed
from the date of first publication abroad.
(See topic 8.4.3.I.)

2\. Ad interim copyright may be extended to the
full term if an Americar edition is manufactured
and published during the five-year ad interim
period, and if a claim in the American edition
is registered. (See item 8.4.6. II.b. ) In such
case the full copyright tem is computed from
the date of first publication abroad.

III. Requirements for registration. The application covering a
work first published abroad should state the date of first
publication abroad, and should be necompanied by a copy or
copies of the foreign edition. (See topic 8.4. 3. II. )

###### IV. Registrability of American edition of work first published abroad.

a. General rule. With the exception of books and periodi-
cals in which a claim to ad interim copyright has been
registered, registration for the American edition of a
work first published abroad will not be made unless new
matter has been added. (Sce topic 8.4.6.II. )

b. Registration for American edition of work registered ad
interim. When the American edition of an English-lan-
guage book or periodical is identical in substance to
the edition first published abroad, registration will
be made only if:

1\. Ad interim registration has been made, and

2\. The American edition has been manufactured and
published within five years after the date of
first publication abroad.

<!-- PageBreak -->

Ch. 8
8.2.1

## Part 8.2 NOTICE OF COPYRIGIN'

### 8.2.1 General requirement of copyright notice.

I. First publication abroad. To secure copyright in the
United States, works first published abroad must generally
bear the statutory copyright notice at the time of first
publication; this is true regardless of whether the author
is a citizen or domiciliary of the United States, a oiti-
zen of a U.C.C. country or of a country not a party to the
U.C.C., or whether the work was first published in a U.C.C.
country. (As to notice requirements in general, see
Chapter 4; as to publication, see Chapter 3.)

a. Heim case doctrine. The majority opinion in the 1946
case of Heim v. Universal Pictures Co, suggested that
works by foreign authors might secure copyright in the
United States by publication without notice abroad.

1\. On the basis of this opinion the Copyright Office
for some time registered works first published
abroad without an acceptable notice, under the
rule of doubt.

2\. The Copyright Office now takes the position that,
whatever validity the Heim case doctrine may have
had at one time, the doctrine is no longer effective
in view of the U.C.C. and later developments. (37
C.F.R. # 202.2(a) (3).)

b. Works subject to ad interim registration. Unlike other
works first published abroad, books and periodicals
subject to ad interim registration need not bear a notice
at the time of first publication. (17 U.S.c., $$ 10, 22;
see topic 8.4.)

## II. Later publication.

a. U.C.C. requirements. The statute (# 9(c)) provides that
the special exemptions for works protected under the
U.C.C. "shall apply only if from the time of first pub-
lication all the copies of the work published with the
authority of the author or other copyright proprietor
shall bear the symbol @ accompanied by the name of the
copyright proprietor and the year date of first publica-
tion placed in such a manner and location as to give
reasonable notice of claim of copyright."

<!-- PageBreak -->

ca. 8
8.2.

### 8.2.1. General requirement of copyright notice. (cont'd)

b. Later publication in United States. To maintain copy-
right in a work first published abroad, it is essential
that "each copy thereof published or offered for mals in
the United States by authority of the copyright proprie-
tor" bear the statutory copyright notice. (17 U.S.C. # 10. )

### III. Copyright Office policy.

a. No retroactive effect. The Copyright Office's change
in policy with respect to registration for works by
foreign authors first published abroad without an ac-
ceptable copyright notice became effective on June 18,
1959, when new regulations (37 C.F.R. £ 202.2(a)(3))
were adopted. Works published on or after June 18, 1959
will be governed by the new policy; works published be-
fore that date will not be refused registration because
the copyright notice was omitted or defective, but a
warning letter will be sent.

b. Deposit copies must bear notice. With the exception
of works seeking ad interim registration, the copies
of works deposited for registration following publi-
cution abroad after June 18, 1959 must bear a notice
of copyright in the required form and position. How-
ever, in evaluating the acceptability of a notice
appearing on a work first published abroad by a foreign
author, the Copyright Office will apply liberal standards,
in line with the policy underlying the U.C.C. and various
judicial decisions.

c. Notice acceptable at face value. When the copy or
copies deposited for registration of a work first
published abroad contain an acceptable notice, reg-
istration will be made on the assumption that all
copies as first published bore the required notice.
Except in the case specified in paragraph d, below,
no question will be raised as to whether other copies
have ever been published without notice under the
authority of the copyright owner, either in the
United States or abroad.

d. Previous publication indicated. Where information
appearing in the application, copy or copies, or
correspondence in connection with a work first pub-
lished abroad clearly indicates that an earlier
edition of the work has been published, registration
for the present edition will be made only if it con-
tains new matter which is described on the application.
Where registration for the earlier edition Is also
desired, a copy (or copies) of that edition should be
deposited. (See topic 5.2.2.1.h.)

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.2.2" -->

#### 8.2.2. Form and position of notice.

## I. In general.

a. As a rule, registration will be made for a work first
published abroad if it bears a copyright notice satis-
fying the ordinary requirements of 88 19 and 20 of the
Code. (See Chapter 4.)

b. Registration will be made for a work eligible for
protection under the Universal Copyright Convention
(see Part 7.2) if it bears a notice satisfying the
U.C.C. requirements specified in £ 9(c) -- the
symbol @, accompanied by the name of the copyright
proprietor and the year of first publication, placed
in such manner and location as to give reasonable
notice of claim of copyright.

c. Where registrability of a work depends upon the
availability of the U.C.C. exemptions of § 9(c), the
copies as first published should bear the special
U.C.C. notice (see paragraph b., above). Where the
notice in such a case meets the ordinary requirements
of @ 19 but not the U.C.C. requirements of # 9(c),
registration will be made under the rule of doubt, and
a cautionary letter will be sent.

Examples:

1\. Notice includes "Copyright" or "Copr."
instead of O.

2\. Notice on pictorial work does not include
year date.

d. Where the notice on a work first published abroad meets
neither the requirements of §§ 19 and 20 nor those of
§ 9(c), full-term copyright registration will be denied.
However, if the work is an English-language book or
periodical, ad interim registration may be possible.

II. Name of the copyright proprietor.

a. As a general rule, the notice appearing on a work first
published abroad should contain the name of the owner
of the right to secure U.S. copyright on the date of
first publication, and registration should be made in
that name.

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.2.2" -->

## 2.2 Form and position of notice. (cont'd)

b. Where the foreign edition bears one notice, and it
agrees with the claimant named in the application,
registration will be made in that name, even if the
copies refer to someone else as the owner or licensee
of U.S. rights.

Examples :

1\. Notice reads: "@ Xavier Kumquat 1958 --
Wow and Flutter Music Publishers, Exclusive
Licensees for all Western Hemisphere
Countries." Registration will be made in
the name of Kumquat without question.

2\. Notice reads: "@ Charles Brown Ltd., London,
1959; For U.S.A. and Canada, Brown Music,
Inc., New York." Registration will be made
in the name of Charles Brown Ltd., without
question.

c. Where the foreign edition bears one notice which agrees
with the claimant named in the application but speci-
fically excludes the United States from its effect,
registration should be refused.

Example: Notice reads: "@ Charles Brown Ltd.,
1959, for the entire world (excluding U.S.A.
and Canada)."

d. Where the foreign edition contains two separate copy-
right notices, and the name in one of the notices
agrees with the claimant named in the application,
registration will be made, unless the other notice is
specifically identified as applying to the U.S.
copyright.

Examples :

1\. Notices: @ Editions Maldemer 1958
Drainboard Pub. Co. 1958

An application in either name will be
accepted.

2\. Notices: @ Elaine Fairchild 1958
@ in U.S.A. by Bang and Whimper
Scientific Publications 1958

An application in the name of Mme.
Fairchild will be questioned.

<!-- PageBreak -->

Cn. 8
0.2.2

8.2.2. Form und position of notice. (cont'd)

II. Name of the copyright proprietor. (cent'd)

3\. Notices: @ Peter Rabbit Music Co., Ltd.,
London, 1959, for the entire
world (excluding U.S.A. and
Canada )

Peter Rabbit Music, Inc., New
York, 1959, for U.S.A. and Canada

An application in the name of Peter Rabbit
Music Co., Ltd., London, will be questioned.

e. Where the foreign edition bears a notice that disagrees
with the claimant named in the application, the vari-
ance will be questioned.

1\. If the person named in the notice was the owner of
the right to secure U.S. copyright on the date of
first publication abroad, the Office will request
that registration be made in his name, and will
point out the possibility of recording an assign-
ment.

2\. Where the work is an English-language book or peri-
odical which would have been subject to the manu-
facturing requirements unless published with the
U.C.C. notice provided in £ 9(c), registration on
Form A-B Foreign will be made only in the name in
the notice; recordation of an assignment will be
suggested where appropriate. In such a case reg-
istration in the name of someone other than the
person named in the notice will be considered only
on Form A-B Ad Interim.

Example: An English-language book by a British
author is manufactured and first pub-
lished in the United Kingdom with a
notice in the name of Colin Guteider;
an application is submitted in the
name of The Insider Press, Inc., a
U.S. publishing firm. Registration
on Form A-B Foreign will be made only
in the name of Outsider; if the appli-
cant wishes registration in the name
of The Insider Press, Inc., he must
apply for ad interim registration ou
Form A-B Ad Interim.

3\. In cases other than those described in jarugraph
2, above, where the name in the notice was not
that of the owner of the right to secure U.S.
copyright on the date of first publication:

<!-- PageBreak -->

### 8.2.2. Foma and position of notice. (cont'd)

## II. Name of the copyright proprietor. (cont'd)

(a) Registration in the name in the noties,
with the recordation of an assignment
or similar document, will be suggested.

(b) Registration in the name of the person who
owned the right to secure U.S. copyright
on the date of first publication will be
discouraged, but will not be refused; the
application will be annotated to show the
name in the notice.

4\. Where the U.S. edition of a work originally regis-
tered ad interim contains no new matter, regis-
tration will be made in the name in the notice on
the American edition. If the name is different
from that in which ad interim registration was made,
and if no assignment has been recorded, a caution-
ary letter may be sent.

## II ... Date in the notice.

a. As a rale, the requirements governing the use of the
year date in the notice, as outlined in topic 4.2.4,
apply equally to works first published in the United
1
States and those first published abroad.

b. Where the U.S. edition of' a work originally registered
ad interim contains no new matter, registration will
be refused unless the notice contains a year date not
more than one year later than the year date of first
publication abroad. (37 C.P.R. @ 202.2(6) (iii))

IV. Position of the notice.

a. A notice that would meet the ordinary position require-
ments of $ 20 (see part 4.3) ir the work were first
published in the U.S. would be equally acceptable 31
the work were first published abroad.

b. Where the author of a work is not a citizen or dori-
ciliary of the U.S., and the author is a citizen of a
U.C.C. country or the work was first published in ...
U.C.C. country, the position requirements are material
if the notice is "printed in such manner und location at
to give reasonable notice of claim of copyright." There,
in such cases, the notice is a substantial departure Froh
the ordinary requirements of § 20, a cautionary letter
may be sent.

### Examples:

(1) Notice on last page of book; accept no
"reasonable" but send cautionary lewar.

(2) Notice on page 213 of 650 jage book; rjede.

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.3.1" -->

# Part 8.3 REQUIREMENTS FOR REGISTRATION

## 8.3.1 Necessity for registration.

I. In general. Works first published ubroad are generally
subject to the same registration requirements as works
first published in the U. S. (See Chapters 5 und 9).
However, it is not the practice of the Compliance Section
to initiate compliance action with respect to foreign pub-
lications (see topic 5.4.2. )

II. U. C. C. Works. Foreign works protected under the Univer-
sal Copyright Convention and first published abroad with
the copyright notice specified in 8 9(c) are exempt from
the deposit, demand, and compliance provisions of the
statute. (See topic 5.4.2. I.)

8.3.2 Copies and fees. (See Chapters 5 and 9).

I. Unpublished works. For registration in unpublished form,
works of foreign origin must meet the same deposit and fee
requirements as those applicable to domestic works. (See
topic 5.2.1.)

II. Published works.

a. U. S. author. Where the author of a work is a U. S.
citizen or domiciliury the statute requires that,
except in the case of ad interim registration, deposit
be made of two copies of the work as first published
abroad and the ordinary registration fee. For ad
interim registration in such cases the statute requires
deposit of one copy of the foreign edition and the
registration fee of $6.00. The waiver-of-fee option
is not available to works by U. S. citizens or domi-
ciliaries. (See Part 5.2. )

## b. Foreign or stateless authors.

1\. In general. Where the author of the work is foreign
or stateless and not domiciled in the U. S., and
first publication took place in a foreign country,
the statute ordinarily requires the deposit of "one
complete copy of the best edition then published
in such foreign country" (§ 13) and the prescribed
registration fee (§ 215). See paragraph c, below,
concerning the requirements for waiver-of-fee
registrations.

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.3.2" -->

### 8.3.2 Copies and fees. (cont'd)

#### II. Published works. (cont'd) b. (cont'd)

2\. "Best edition then published." The deposit
should generally consist of the best foreign
edition in existence. (See topic 5.3.1.)

(a) Deposit of a copy of a later American edi-
tion of the work would not be acceptable
for registration of a work first published
abroad. (But see topic 5.2.2.I.h.)

(b) Where the Office knows of a better foreign
edition than the one represented by the copy
deposited, registration may be made on the
basis of the copies received, and a request.
for a copy of the better edition may be cent.
later. (See topic 5.3.1. III. and 8.2.1.
III.C.)

#### c. Waiver-of-fee option.

1\. Where the author and copyright proprietor of u.
work first publiched abroad are neither citizens
nor domiciliarias of the U. S., payment of the
registration fee may be waived if the following:
deposits ure made in the Copyright Office within
six months from the date of first publication
abroad." (Code, 1 215).

(a) An application for registration.

(b) Two copies of the work.

(c) A "catalog card in form and content satisfac.
tory to the Register of Copyrights."

2\. The waiver-of-fee option is available equally in th
case of ad interim registrations and in the case
of registrations for other types of works first
published abroad. It is not available in any case
where the author or copyright proprietor lo a U. S
citizen or domiciliary.

<!-- PageBreak -->

01\. 0
8.3.2

### 8.3.2 Copies and fees. (cont'd)

#### II. Published works. (cont'd)

##### c. (cont'd)

3\. The receipt of the catalog card is an essential
requirement for registration under the waiver-
of-fee option, but as long as an effort has been
made to fill out the card, registration without
fee will not be refused because the card contains
errors or omissions.

4\. The six-month option period is computed from the
date of first publication abroad, and ordinarily
expires on the same day of the month as that on
which it began.

(a) For example, where the date of publication
was January 16, 1958, the waiver-of-fee
period expired on July 16, 1958.

(b)
In the case of works first published on
December 31, March 31, May 31, August
29, August 30, August 31, and October
31, there is no corresponding day in
the month in which the six-month period
would normally end. In such cases no
fee will be required if the necessary
material is received on the following
dates, respectively: July 1, October 1,
December 1, March 1, (except in leap
years), March 2, March 3, and May 1.

5\. Where an application, two copies, and a catalog
card are received within the six-month period
but registration must be postponed because of
some minor formal insufficiency in the applica-
tion (e.g., lack of signature, variance in
authorship) an effort will be made to obtain a
new application within the option period. How-
ever, registration may still be made under the
option even if the new application is not re-
ceived until after the period has expired .

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.4.2" -->

###### Part 8.4. AD INTERIM COPYRIGHT

###### 8.4.1 In general.

I. Definition. Ad interim copyright is a short-term copy-
right available to English-language books and periodicals
which have been manufactured and first published abroad.
It is secured by registration within six months of first
publication abroad, and lasts for a maximum of five years
from the date of first publication; copyright my be ex-
tended to the full term if an American edition is manu-
factured and published within the five-year period und
if a claim to copyright in the American edition is also
registered.

II. Cross-references. Many of the requirements and practices
affecting ad interim copyright are discussed in other
parts of the Compendium in general and this chapter in
particular:

a. As to the manufacturing requirements in general, see
Chapter 6.

b. As to practices concerning books and periodicals partly
in English and partly in foreign languages, see topic
6.2.1. III.

c. As to practices concerning books and periodicals by
authors of different nationalities, see topic 6.2.1. III

d. As to what constitutes first publication abroad and the
effect of simultaneous publication, see topic 8.2.1.

e. As to the effect of first publication abroad, sec
topic 8.1.3.II.b.

f. As to registration for an American edition for a work
registered ad interim see topic 8.1.3.IV.b.

g. As to requirements for a copyright notice, see topics
8.2.1.I.b. and 8.2.1.III.

h. As to the practices concerning the copyright notice,
see topic 8.2.2.

1\. As to practices concerning copies and fees, see topic
8.3.2.

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.4.2" -->

### 8.4.2 Works subject to ad interim registration.

I. Scope of ad interim copyright. In general, a work is not
eligible for ad interim registration unless it meets the
following conditions:

a. It must be a "book" (see Part 2.2) or a "periodical"
(see Part 2.3), including a contribution to a
periodical.

b. It must contain some copyrightable English-language
text. (see topic 6.2.1).

c. It must have been partly or entirely manufactured
abroad (see topic 6.2.2).

d. It must have been first published abroad (sce tople
8.1.1).

II. U. C. C. exemption. Works of foreign authorship protected
under the Universal Copyright Convention (see Part 7.2)
are completely exempted from the manufacturing and ad
interim requirements If they bear the special U.C.C. notice
provided in # 9(c) of the statute (see topic 8.2.2.1.).

### III. Copyright Office policy concerning ad interim registration.

a. In general. As a rule, where it is reasonably arguable
that the manufacturing und ad Interim requirements
apply to a work, ad interim registration will not be
refused, even though its necessity is doubtful. In
appropriate cases the Copyright Office will suggest reg-
Istration in unother class or dual registration (see
topie 6.2.1).

samples:

(a) A drama published in book form.

(b) A U.C.C. book published with "Copyright"
rather than "@' in the notice.

(c) A book partly in English and partly in
French.

(d) A book written partly by an American and
partly by a non-American U.C.C. author.

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.4.3" -->

#### 3.4.2 Works subject to ad interim registration. (cont'd)

##### III. Copyright Office policy concerning ad interim registration. (cont'd)

b. Works exempted under U.C.C. Even though a work seems
clearly to be exempted from the manufacturing and ad
interim requirements under the U.C.c., ad interim
registration will not be refused if the applicant
desires it. Where it appears that the applicant is
not aware of the exemption, the Copyright Office will
inform him of it before making registration.

##### 8.4.3 Requirements for ad interim registration.

###### 1. Time limits.

a. The six-month period is computed from the date of
first publication abroad, and ordinarily expires on
the same day of the month as that on which it began;
for example, where the date of publication was Janu-
ary 16, 1958, the period for ad interim registration
expired on July 16, 1958.

b. In the case of works published on December 31, March 31,
May 31, August 29, August 30, August 31, and October 31,
there is no corresponding day in the month in which the
six-month period would normally end. In such cases ad
interim registration will not be refused if the material
is received on the following dates respectively: July 1,
October 1, December 1, March 1, (except in leap years),
March 2, March 3, and May 1.

c. Where an application, and the necessary copy and fee are
received within the six-month period, but ad interim
registration must be postponed because of some minor
formal insufficiency in the application (e.g., lack of
signature, lack of address of claimant, etc. ), an effort
will be made to obtain a new application within the
six-month period. However, ad interim registration may
still be made even if the new application is not received
until after the period has expired.

###### II. Copy and fee.

a. For ad interim registration the statute (98 22, 215)
requires the deposit of "one complete copy of the foreign
edition," and a registration fee of $6.00.

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.4.4" -->

###### 8.4.3 Requirements for ad interim registration. (cont'd)

II. Copy and fee. (cont'd)

b. The waiver-of-fee option, permitting registration
on the basis of an application, two copies, and a
catalog card, applies to ad interim registrations
where neither the author nor the copyright proprietor
is a U.S. citizen or domiciliary.

III. Works published in installments. Where a work is first
published abroad in installments, a separate ad interim
registration must be made for each installment. However,
where an American edition of the entire work is published
before all the foreign installments have been published,
only those published abroad before the date of U. S.
publication may be registered ad interim.

###### 8.4.4 Notice of copyright. (See Part 8.2 and topic 4.1.3.I.)

I. Notice on copies as first published abroad.

a. Works subject to ad interim registration need not bear
a notice at the time of first publication abroad, and
ad interim registration will be made whether the copies
bear a good notice, a defective notice, or no notice.

b. Where the copy or copies deposited for ad interim reg-
istration bear no notice, registration will ordinarily
be made without correspondence. Where the notice is
defective (e.g., yeur date lacking; initials rather
than name used; notice at end of book) registration
should be made but a cautionary letter should be sent
pointing out the necessity for correcting the notice
before any copies are published in the U. S. Where the
name in the notice differs from the name given as copy-
right proprietor in the ad interim application, the
variance will be questioned, but registration in a
name other than that in the notice will not be refused.
(See topic 8.2.2.11.2.)

##### II. Notice on U. S. edition.

a. Where the U. S. edition of a work originally registered
ad interim contains no new metter, registration will be
refused unless the notice contains the year date of
first publication abroad. "(See topic 8.2.2.II.e.2)."

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.4.4" -->

###### 8.4.4 Notice of copyright. (Sce Part 8.2). (cont'a)

###### II. Notice on U. S. edition. (cont'd)

b. - Where the U. S. edition of a work originally regis-
tered ad interim contains no new matter, registration
will be made in the name in the notice on the American
edition. If the name is different from that in which
ad interim registration was made, and if no assignment
has been recorded, a cautionary letter may be sent.
(See topic 8.2.2.II.)

###### 8.4.5 Importation of copies.

I. In general. The law (# 16) permits the importation into
the U. S. of not more than 1500 copies of the particular
book or periodical covered by an ad interim copyright,
provided that ad interim registration has already been
made, and that the copies imported bear an acceptable
copyright notice. This privilege of importation extends
equally to works by foreign and U. S. authors.

II. Import statement. At the time of ad interim registration,
the Copyright Office issues to the copyright claimant (or
to the importer indicated on the application form) a state-
ment authorizing the importation of up to 1500 copies; Fol-
lowing its use, this statement is returned to the Copyright
Office by the customs officials.

a. If less than 1,500 copies have been imported the
Copyright Office Issues another import statement.
for the reminder. This process is continued until
the 1,500-copy quota has been exhausted.

b. The 1,500-copy limit on importation does not
apply to "a foreign newspaper or magazine" (17 U.S.C.
§ 107(b)). Since an unlimited number of copies of
these works can be imported, the issuance of an import
statement limited to 1,500 copies is unnecessary and
might be confusing. For this reason, no import state-
ment is issued for "a foreign newspaper or magazine."

1\. The phrase "newspaper or magazine" is not the
equivalent of the term "periodical" for this purpose.

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.4.6" -->

###### 8.4.5 Importation of copies. (cont'd)

###### II.b.1 (cont'd)

It applies to popular works issued periodically
to a general readership, but is not considered
to apply to scholarly, technical, or professional
periodicals issued to a specialized readership.
Import statements are issued for this latter
type of material.

2\. Issuance of Import statements is also withheld
for contributions to periodicals, but for a dif-
ferent reason. In that case the importation limi-
tations apply, and to issue import statements for
several contributions to the same issue of a peri-
odical could result in the importation of consider-
ably more than 1,500 copies.

###### 8.4.6 Extension of ad interim copyright to full term.

I. Statutory provision. "Whenever within the period of such
ad interim protection an authorized edition of such books
or periodicals shall be published within the United States,
in accordance with the manufacturing provisions specified
in section 16 of this title, and whenever the provisions
of this title as to deposit of copies, registration, filing
af affidavits, and the printing of the copyright notice
shall have been duly complied with, the copyright shall be
extended to endure in such a book or periodical for the
ttemm provided in this title." (17 U.S.C. E 23.)

II. Requirements for full-term registration.

a. Where the first U. S. edition of a work originally
registered ad interim contains no copyrightable new
matter, registration will be made only if the follow-
ing four requirements are met:

1\. The U. S. edition was produced in compliance with
the manufacturing requirements. (see Chapter 6.)

2\. It was published in the U. S. within the five-year
ad interim term, as computed from the date of first
publication abroad.

3\. The copies as published beur the required statutory
copyright notice, including the year die of first
publication abroad. (See Chapter 4.)

<!-- PageBreak -->

<!-- PageHeader="Ch. 8 8.4.6" -->

##### 8.4.6 Extension of ad interim copyright to full term. (contrat)

###### II. Requirements for full-tem registration. (cont'd)

4\. Deposit is made of an application, two copies of
the American edition, and the registration fee.

b. As a rule, registration for the American edition phon !!!
be made within the five-year ad interim term. However,
as long as the edition was manufactured and published
in the U. S. within the five-year period, registration
will be mude after the ad interim term has expired, as
a doubtful case. A cautionary letter will be sent in
such cases.

###### IJI. Extension of subsisting ad interim copyrights under U.C.c.

a. The statute (5 9(c)) also provides that on the date the
U.C.C. comes into effect in a particular country copy-
right protection for any book or periodical by a citizen
of such country, In which an ad interim copyright was
subsisting on that uate, is automatically extended to
the full tem.

b. For this purpose, ad interim copyright was subsisting
in the work on the effective date of the U.C.C. if a
claim to ad interim copyright had actually been rep-
istered on or before the effective date. It wis not
subsisting if the work was published more than six
months before the effective date, or was published
within six months before the effective date but without
the U.C.C. notice. Where a work was published within
six months before the effective date and bore a U.C.C.
notice, the case will be treated as though an au Interi.
copyright was subsisting in the work on the effective
date, under the rule of doubt.

c. Where a subsisting ad interim copyright has been ex-
tended to the full term by virtue of the provisions of
the U.C.C. and $ 9(c), registration for a later American
reprint edition will not be refused if it meest the four
requirements specified in topie 3.1.6.11.a., alove.

<!-- PageBreak -->

<!-- PageHeader="品" -->
<!-- PageBreak -->

<!-- PageHeader="Ch. 11" -->

# Chapter 11 Renewal Registration

Outline of Topics

## Part 11.1 DURATION OF ORIGINAL COPYRIGHT TERM

## 11.1.1 Published works

I. Date of registration

II. Date in notice

11.1.2 Unpublished works

I. Prior to 1949

II. Presumption of new matter

## Part 11.2 TIME LIMITS FOR RENEWAL

### 11.2.1 Twenty-eighth year

I. Informal application

II. Details

III. Amendment after deadline

### 11.2.2 Computing term

I. Application before renewal year

II. Application after renewal year

III. Copyright Office receipt

IV. Week-end or holiday

## Part 11.3 ORIGINAL REGISTRATION

### 11.3.1 First term claim

I. Simultaneous filing

II. Original claimant and copies

<!-- PageBreak -->

<!-- PageHeader="Ch. 11" -->

## Part 11.3 ORIGINAL REGISTRATION (cont'd)

### 11.3.2 Change of policy

#### I. Examples

## Part 11.4 PRESIDENTIAL EXTENSION-OF-TIME PROCLAMATIONS

11.4.1 Section 9

11.4.2 Annotation

11.4.3
Citizenship and domicile of claimant

## Part 11.5 CONTRIBUTIONS TO PERIODICALS AND COMPOSITE WORKS

### 11.5.1 Separate claims

I.
Identification of composite work

II. Different claimants

TIL. Installments, single entry

IV. Installments, separate entries

### 11.5.2 First publication basis

## Part 11.6 WORKS FIRST PUBLISHED ABROAD IN ENGLISH

## 11.6.1 Law prior to 1949

I. Time limits

II. Computing term

11.6.2
Foreign edition never registered

I. Cautionary letter

II. New matter

## 11.6.3 Both editions registered

I.
Single renewal application

II. Separate applications

III. Installments

IV. Application too late

<!-- PageBreak -->

<!-- PageHeader="Ch. 11" -->

## Part 11.6 WORKS FIRST PUBLISHED ABROAD IN ENGLISH (cont'd)

11.6.4
Four months exceeded

11.6.5
No American edition

## Part 11.7 RENEWAL CLAIMANTS: AUTHORS AND THEIR HEIRS

## 11.7.1 Authors

I. Name

II. Definitions

## 11.7.2 Widows and children

I. Single class

II. Definition of "widow"

III. Definition of "children"

## 11.7.3 Executors

I. Will

II. Author deceased prior to renewal year

III. Qualification

IV. Personal right

V. Intestate

## 11.7.4 Next of kin

I. Absence of will

II. Definitions

III. Will, no executor

## Part 11.8 RENEWAL CLAIMANTS: PROPRIETORS

### 11.8.1 Proprietors in General

I. Definition

II. Derivation of title

<!-- PageBreak -->

<!-- PageHeader="Ch. 11" -->

## Part 11.8 RENEWAL CLAIMANTS: PROPRIETORS (cont'd)

11.8.2 Posthumous works

I. Proper claimant

II. Definitions

11.8.3
Composite Works

I.
Proprietor-claimant

II. Definitions

III. Individual contributions

11.8.4 Corporate claimant

I.
Questionable claim

II. When not acceptable

III. Special circumstances

11.8.5 Employer for hire

I.
Employer-claimant

II. Definitions

III. Work made for hire

IV. More than one author

V.
Doubt re. proprietor-claimant

11.8.6
Prints and Labels registered in the Patent Office

I.
Proprietor entitled

II. Author not entitled

## Part 11.9 JOINT RENEWAL CLAIMANTS

11.9.1
Several claimants, same application

11.9.2
Later application, same work

I. All claims already registered

II. Some claims already registered

III. Adverse claims

<!-- PageBreak -->

Ch. 1].

## Part 11.10 UNACCEPTABLE RENEWAL CLAIMS

11.10.1 Personal right

I. Living person

II. Claimants must be named

III. Authority to apply; acceptable address

11.10.2 Statutory claimants

I. Failure to qualify

II. Successors or representatives

III. Assignment of renewal interest

11.10.3 Material covered

I. Later version

II. Revised published version

<!-- PageBreak -->

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.1.1" -->

# Chapter 11. RENEWAL REGISTRATION

## Part 11.1 DURATION OF ORIGINAL COPYRIGHT TERM

11.1.1
Published works. Copyright begins on the date of first
publication, as shown by the original application and
other office records, and lasts for twenty-eight years
from that exact date.

I.
Date of registration. The date of copyright regis-
tration is immaterial in determining the duration
of copyright in published works.

II. Date in notice. If the year date in the copyright
notice is earlier than the actual date of publication,
the original copyright term is computed from the last
day of the year given in the notice.

a. The actual date of publication is given in the
renewal application, and the Copyright Office
adds the annotation "Year date in notice 19 _. "

b. Applications received within the twenty-eighth
year as computed from the actual date of pub-
lication, but more than twenty-eight years from
the last day of the year given in the notice,
will be rejected.

11.1.2
Unpublished works. Copyright begins on the date of
registration in the Copyright Office, and lasts for
twenty-eight years from that exact date.

I.
Prior to 1949. Until 1949 the effective date of an
unpublished registration was regarded by the Copyright
Office as the date the copy was deposited, even though
the application and fee may have been received later.
Thus, the duration of copyright in an unpublished work
registered before 1949 is generally computed from the
date of deposit of the copy and this date is given on
the renewal application. However, if a renewal appli-
cation is received more than twenty-eight years from
the date of deposit of the copy but less than twenty-
eight years from the date when the application or fee
was received, registration will be made.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.1.2" -->

### 11.1.2 Unpublished works. (cont'd)

II. Presumption of new matter. When a work originally regis-
tered in unpublished form is later published, the date of
publication will not affect the duration of copyright in
the unpublished work or the time-limits for renewal regis-
tration. However, independent renewal registration for the
published version will be made on the irrebuttable presump-
tion that it contains new matter.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.2.1" -->

## Part 11.2 TIME LIMITS FOR RENEWAL

11.2.1
Twenty-eighth year. A copyright may be renewed for a second
term of twenty-eight years, provided an acceptable application
and fee are received in the Copyright Office or the Library of
Congress within the twenty-eighth year of the original copy-
right term.

I. Informal application. A letter, telephone call, or
telegram may be accepted in lieu of a formal application,
provided it adequately identifies the work in question
and the proper claimant or basis of claim, and provided
there is a fee in the Office.

II. Details. The physical details of renewal registration
need not be completed before the original term expires,
if an acceptable application and fee are received before
the deadline.

III. Amendment after deadline. If an unacceptable application,
necessitating correspondence, is received within the proper
time-limits, it may be amended and accepted after the dead-
line if it originally contained a correct statement of
either the claimant or the basis of claim. A special effort
is made, however, to obtain a fully-acceptable application
before the original term expires.

Computing term. The renewal year comprises the year ending on
the date of expiration of the original copyright term. It in-
cludes both the twenty-seventh and twenty-eighth anniversaries
of the date on which the copyright began.

I.
Application before renewal year. An application received at any
time before the beginning of the renewal year must be rejected,
and an entirely new application must be submitted at the proper
time.

II. Application after renewal year. If an application or fee is
received after the renewal year has expired, the claim must
be rejected.

11.2.2

<!-- PageBreak -->

### 11.2.2 Computing term. (cont'd)

#### II. (cont'd)

a. When the office records or original certificate
contain an error, omission, or patent ambiguity
with respect to the date of publication or regis-
tration, which may have misled the renewal ap-
plicant, registration is possible after the
twenty-eigth year as a doubtful case.

b. When the office records state a date of publica-
tion which has not been questioned or corrected,
renewal registration will not be made more than
twenty-eight years after that date, even when the
renewal applicant asserts that the date was erroneous.

III. Copyright Office receipt. The date of actual receipt in the
Copyright Office or Library of Congress determines the accept-
ability of a renewal application.

a. The date of deposit in the mails is immaterial for
this purpose.

b. Receipt of a renewal application or fee in the Library
of Congress is regarded as equivalent to receipt in
the Copyright Office, but misdirecting or misdelivery
to another government agency will not permit registra-
tion after the deadline.

IV. Week-end or holiday. If the original copyright expires on a
Saturday, Sunday, or holiday within the District of Columbia,
renewal action may be taken on the next succeeding business
day.

<!-- PageHeader=". 11 .2.2" -->
<!-- PageBreak -->

Ch. 11
11.3.1

## Part 11.3 ORIGINAL REGISTRATION

11.3.1
First term claim. A claim to the original term of copyright must
be registered before renewal registration can be made.

I.
Simultaneous filing. Original registration must precede
renewal registration, but the applications, copies and
fees may be submitted simultaneously.

II. Original claimant and copies. Original registration should
be made in the name of the original copyright claimant, and
copies of the original edition should be deposited. In
special cases, however, where copies of the original edition
are not available, photostatic copies or reprints may be
accepted for deposit. (See topic 5.2.2.I. b.)

11.3.2
Change of policy. The Copyright Office may register claims to
renewal even though it might not under its present policies
register the original claim.

I. Examples:

(1) A work published with no copyright notice
for which original registration was made.

(2) An American reprint published after expira-
tion of the ad interim period.

Exception: This policy will not apply to
the special case where the Office
knows that the work is the same or
similar to one which a court has
decided is not entitled to copyright
protection.

<!-- PageBreak -->

<!-- PageHeader="Ch.11 11.4.1" -->

### Part 11.4 PRESIDENTIAL EXTENSION-OF-TIME PROCLAMATIONS

11.4.1
Section 9. When, under the authority of section 9 of the
copyright law, the President issues a proclamation extending
the time-limits for renewal registration to the benefit of
citizens of a certain nation, the Copyright Office will regis-
ter renewal claims submitted within the times specified in the
proclamation.

11.4.2
Annotation. The records of these registrations will be
annotated to refer to the authority for the entries.

11.4.3
Citizenship and domicile of claimant. The citizen ship and
domicile of a renewal claimant, while immaterial in all other
renewal cases, may be considered in determining acceptability
under an extension-of-time proclamation.

<!-- PageBreak -->

Ch. 11
11.5.1

### Part 11. 5 CONTRIBUTIONS TO PERIODICALS AND COMPOSITE WORKS

11.5.1
Separate claims. Claims to renewal copyright in contributions
to periodicals and other composite works may be registered,
whether or not the individual contributions were separately
registered apart from the work in which they first appeared.

I. 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 it first appeared.

a. The facts of registration and publication date
for the periodical or other work must be given
on the application.

b. All other facts are taken at face value unless a
patent error or ambiguity is presented.

II. Different claimants. A contribution which was published
with a separate copyright notice should be separately
registered for the original term of copyright before re-
newal registration 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
entry when this fact is known. When the notices on the
contribution and the composite work are the same, original
registration is optional.

III. Installments, single entry. When, under a former practice,
a number of installments of a serial were registered for
copyright under a single entry number, a single renewal
application will be accepted.

IV. Installments, separate entries. When renewal is claimed in
a number of installments which were not registered separately,
individual renewal applications and fees are required for
each installment.

11.5.2
First publication basis. In order to be acceptable, a renewal
claim in an individual contribution which was not registered
separately must be based on first publication of the work.

Example: an application covering a short story
which appeared in BEST SHORT STORIES
OF 1923, a reprint anthology, would be
rejected.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.6.1" -->

### Part 11.6 WORKS FIRST PUBLISHED ABROAD IN ENGLISH

11.6.1
Law prior to 1949. Renewal registration for works first published
abroad in English is governed to some extent by the ad interim
provisions of the copyright law as they existed prior to the
1949 amendment.

I. Time limits. These provided that ad interim registration
was possible only within 60 days of first publication abroad,
and that the ad interim copyright lasted for four months from
the date of registration. It was necessary that a U.S. edition
be published during the ad interim period and registered in
order to extend the ad interim copyright to the full term.

II. Computing term. It is the position of the Copyright Office
that, under these provisions, the term of protection is
computed from the date of first publication abroad, and not
that of ad interim deposit, of United States publication,
or of United States registration.

11.6.2
Foreign edition hever registered. If the foreign edition of a
work was never registered ad interim but the later American
edition was registered, the Copyright Office will accept a re-
newal application covering the American edition.

I.
Cautionary letter. If the application is received less than
twenty-eight years from the date of foreign publication, a
cautionary letter will be sent explaining that the effect of
registration is doubtful.

II. New matter. If the application is received more than
twenty-eight years from the date of foreign publication,
a cautionary letter will explain that renewal registra-
tion covers only the new matter in the American edition,
if any.

11.6.3
Both editions registered. If ad interim and full-term registra-
tions were both made within the proper time-limits, renewal regis-
tration may be made to cover both editions.

I.
Single renewal application. The present practice of the
Copyright Office is to permit the filing of a single renewal
application covering both the ad interim and full-term regis-
trations, regardless of whether or not the American edition
contained new matter.

a. The data of both registrations are included on the
single application.

<!-- PageBreak -->

Ch. 11
11.6.3

### 11.6.3 Both editions registered. (cont'd)

#### I. (cont'd)

b. A single renewal application covering both ad interim
and full-term registration is acceptable only during
the period between the twenty-seventh anniversary of
first publication of the American edition and the
twenty-eighth anniversary of first publication of the
foreign edition.

II. Separate applications. If the applicant prefers, he may
file separate applications for the ad interim and full-term
registrations.

a. Each application must be filed within the twenty-eighth
year of the term of copyright in the particular edition
it covers.

b. The Copyright Office will annotate each application to
refer to the other edition.

III. Installments. When a work was first published abroad in
serial installments and several separate ad interim regis-
trations were made, separate renewal applications are re-
quired even though the first American edition was published
in a single volume.

IV. Application too late. If the renewal application is received
more than twenty-eight years from the date of first publica-
tion abroad it must be rejected as too late. The applicant
may file a new application covering the American edition alone,
provided that edition contained new matter.

11.6.4
Four months exceeded. When the dates of ad interim registration
and United States publication are more than four months apart, a
single application covering both entries cannot be accepted. The
Copyright Office will make separate registrations following corres-
pondence, if the applicant reasserts his claims, and will add an
annotation to each application referring to the other registration.

11.6.5
No American edition. When the Copyright Office records indicate
that no American edition of a work has ever been registered the
Copyright Office will refuse registration for a renewal claim,
based on an ad interim registration.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.7.1" -->

Part 11.7 RENEWAL CLAIMANTS; AUTHORS AND THEIR HEIRS

### 11.7.1 Authors.

I.
Name. The author, if living, may claim renewal, whether his
work was published in his true name, an assumed name, or
anonymously.

a.
If the author is still living the renewal application
must be filed in his own name, even if he is insane
or incompetent.

b.
If an applicant is claiming renewal as "the author"
and his name does not appear in the original records
of the registration, he must submit documents sub-
stantiating his claim.

1\. The documents are recorded and the application is
annotated to refer to the volume and page of the
assignment records in which they appear.

2\. Documents need not be submitted when the nature of
the work would make the omission of the claimant's
name natural.

Examples: works of multiple authorship;
pictorial reproductions; and
obviously anonymous works.

II. Definitions. The term "author," for renewal purposes, refers
to the individual who personally wrote or created "renewable
matter," in the work.

a. The term "author" includes editors, compilers,
arrangers, translators, illustrators, etc ..

b. The term "author" does not include employers for
hire, publishers, corporations, firms, partnerships,
religious orders, fraternal organizations, or any
other impersonal entity.

### 11.7.2 Widows and Children.

I.
Single class. If the author is dead, his widow (widower) and
children are entitled to claim renewal. The widow and children
are regarded as a single class of renewal claimants, and appli-
cations from either or both will be accepted without question.

II. Definition of "widow." The term "widow" (or "widower") refers
to the surviving spouse of the author.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.7.3" -->

### 11.7.2 Widows and children. (cont'd)

II. (cont'd)

a. A widow does not lose her renewal rights
upon romarriage.

b. A divorced spouse is not an acceptable
renewal claimant, but the Copyright Office
will not inquire into the validity of a
marriage or a divorce.

c. The terms "wife of the author" or "wife
of the deceased author" are not acceptable
bases of olaim.

III. Definition of "children. " The term "children"
generally refers to the progeny of the author.

a. The Copyright Office will register a re-
neval claim in the name of an illegitimate
child, whether acknowledged or not.

b. Adopted children are acceptable renewal
claimants.

o. Step-children are not entitled to claim
renewal.

d. Grandchildren and other descendants beyond
the first degree cannot claim renewal as
. "the children of the author."

e. The Copyright Office will request a new
application if a child is claiming renewal
as the author's "next-of-kin."

### 11.7.3 Executora.

I. Will. If the author died, leaving a will,
and if no widow or children exist at the time
the renewal application is filed, the author's
executors may claim renewal in their own
names.

<!-- PageFooter="Mamuary 1960)" -->
<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.7.4" -->

### 11.7.3 Executorg. (cont'd)

II. Author deceased prior to renewal year. The
author need not live into the renewal year in
order for his executors to claim.

III. Qualification. In order to be regarded as an
"executor," & claimant must have been named
in the author's will, and presumably must
have been qualified in probate proceedings.
However, the Copyright Office will not refuse
registration in the name of an executor even
if the author's will has not been probated.

IV. Personal right. The right to claim renewal as
"executor" is a personal one, and the individ-
ual executor must be named in the renewal
application.

a. The author's legatees have no right to
claim renewal.

b. 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.

V. Intestate. In no case can the administrator
of an intestate author's estate claim renewal.

### 11.7.4 Next of kin.

I. Absence of will. If the author is dead and
no widow or children survive him, and if there
is "the absence of a will," the author's next
of kin are entitled to claim renewal.

II. Definitiong. The term "next of kin" refers
only to blood relatives of the author.

a. It is not clear whether the term "next of
kin" refera only to the living relatives
of the nearest degree of consanguinity, or
whether it also includes the descendants
of dead relatives claiming on the theory
of representation.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.7.4" -->

### 11.7.4 Next of kin. (cont'd)

#### II. Dofinitions. (cont'd)

a. (cont'd)

Example: An author had two brothers, one
of whom died leaving two sons;
may the nephews claim renewal
equally with the surviving
brother?

b. The Copyright Office will register the
claim of any blood relative as "next of
kin," regardless of the degree of consan-
quinity.

c. The statement of the basis of claim on the
renewal application must not consist solely
of a statement of relationship; examples:
sister, mother, niece, etc. The claim it-
self should be stated as "next of kin of
the deceased author, there being no will,"
although kinship may be specified parenthe-
tically.

d. Statements such as "heirs" or "representa-
tive of heirs" are not acceptable either as
claimants or as bases of claim.

III. Will. no executor. If the author left a will
but no executors exist at the time for renewal,
the proper renewal claimant is unclear.

a. Except in the situation noted in topic
11.7.4.III.c.2., below, the Copyright
Office will accept a claim in the names of
the next of kin, on the basis of judicial
authority.

b. 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.

<!-- PageFooter="kruary 1960)" -->
<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.7.4" -->

11.7.4 Next of kin. (cont'd)

III. Will, no executor. (cont'd)

b. (cont'd)

Example: The executor himself is unsure
whether or not he was actually
discharged.

c. If the author leaves a will which names no
executor, or if the person names 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 per-
forms the identical functions of an
executor. When the estate has been settled
and the executors 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" (administrator de
bonis non with the will annexed; adminis-
trator d.b.n.c.t.a.) to deal with the
remaining or after-acquired property under
the will.

1\. The Copyright Office will register re-
newal claims in the names of adminis-
trators c.t.a. or administrators
d.b.n.c.t.a. Except as noted in para-
graph 2, 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.

2\. Ordinarily, registration will be made
in the names of the author's next of
kin, even when administrators c.t.a.
or administrators d.b.n.c.t.a. exist.

<!-- PageBreak -->

Ch. 11
11.7.4

11.7.4 Next of kin. (cont'd)

III. Will, no executor. (cont'd)
o. (cont'd)
2. (cont'd)

##### Excoption:

If the author left a will with-
out naming an executor, and an
administrator c.t.a. or an ad-
ministrator d.b.n.c.t.a. is in
existence at the time of renewal
registration, an application in
the name of the next of kin will
be refused on the basis of
Gibran v. National Committee of
Gibran.

<!-- PageFooter="January 1960)" -->
<!-- PageBreak -->

<!-- PageHeader="h. 11 1.8.1" -->

## Part 11.8 RENEWAL CLAIMANTS: PROPRIET ORS

### 11.8.1 Proprietors in general.

I. Dofinition. The term "proprietor" refers to the owner of
copyright on the date the renewal application is filed.

II. Derivation of title. In order to claim renewal as "proprietor,"
the claimant must derive his title directly or indirectly fron
the original copyright owner.

### 11.8.2 Posthumous works.

. Proper claimant. If a work is "posthumous" within the
meaning of the copyright law, the proprietor is the only
proper claimant.

a. Generally, the author's widow, children, executors,
or next of kin have no right to claim renewal in a
posthumous work.

b. If a work consists of the writings of more than one
person, and if one of the authors died before first
publication, the work is regarded as partially pos-
thunous, and renewal of copyright in the posthumous
material must be claimed by the proprietor.

Example: collection of letters by famous author,
edited by his widow; widow may claim
renewal in her editing as "author," but
publisher claims renewal in letters as
"proprietor of copyright in a posthumous
work."

C.
There is doubt under the wording of the renewal
section as to whether the proprietor of a posthumous
work may claim renewal when the work was originally
published as a contribution to a periodical and not
registered separately. The Copyright Office will accept
applications from the proprietor, from the author's
executors, widow, children, or next of kin, or from
both, provided separate applications and fees are submitted.

II. Definitions. The term "posthumous work" includes a work first
published after the author's death, and registration in such a
work is made only in the name of the proprietor. It is unclear
whether the following works are "posthumous," and the Copyright
Office will accept claims by the proprietors, by the author's
beneficiaries, or both:

a. Works registered as unpublished after the author's death,
but never published.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.8.2" -->

### 1.8.2 Posthumous works. (cont'd)

#### II. Definitions. (cont'd)

b. Works registered as unpublished during the author's
life, but published after his death.

### 1.8.3 Composite works.

I.
Proprietor-claimant. The proprietor of a periodic, cyclopedic,
or other composite work may claim renewal in the work as a whole.

II. Definitions. Generally, a composite work is an original
publication relating to a variety of subjects, to which a
number of different authors have contributed distinguishable
and separable selections.

a. To be regarded as "composite" a work must be covered by
a single copyright.

b. A work by a single author, consisting of a collection
of his writings, is not a composite work.

c. 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.

Examples: musical compositions, dramas and
dramatico-musical works.

III. 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 his beneficiaries, may also
claim renewal in his contribution.

a. It is unclear whether the proprietor's claim in the
entire work covers everything in the work that is not
separately renewed.

b. If a renewal application covering an individual contri-
bution is received too late for registration, the Copy-
right Office furnishes the applicant with the facts of
renewal registration for the composite work.

<!-- PageBreak -->

ch. 11
11.8.4

11.8.4 Corporate claimant. In the case of a "work copyrighted by a cor-
porate body otherwise than as assignee or licensee of the author"
the statute gives the proprietor the right to claim renewal.

I.
Questionable claim. This basis of claim is always questioned
unless it has been established by previous correspondence.

II. When not acceptable. This basis of claim is not acceptable
when :

a. The original copyright claimant was not a corporation.

b. The individual author of an unpublished work trans-
ferred his common law literary property, or his right
to secure copyright, to a corporation.

1\. The corporation is regarded as the author's
assignee.

2\. The fact that the corporation also purchased
the author's manuscript does not change its
status as assignee.

c. The work is posthumous or composite, was made for
hire, or is a print or label for which registration
was made in the Patent Office.

III. Special circumstances. In cases other than those listed in
item 11.8.4, II, 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 corpora-
tion have contributed indistinguishable parts.

(2) Works written or created by members of a
religious order or similar organization, when
the individual authors never had a personal
property right in the works.

(3)
Works written by an official or major stock-
holder 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 cir-
cumstances and was not copyrighted by an em-
ployer for whom the work was made for hire.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11" -->

11.8.5

Employer for hire. Renewal copyright in works copyrighted by
an employer for whom they were made for hire may be claimed by
the proprietor.

I. 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.

II. Definitions. The Copyright Office will make no effort to
determine whether or not a particular arrangement constituted
employment for hire.

a. A renewal claim as "author" will be questioned when the
original records of the registration state that the work
was made for hire.

b. A renewal claim as "proprietor of copyright in a work
made for hire" will be questioned when the original
copyright claimant was also the only author listed on
our records .

1\. The claim will be registered if the individual
was listed as "author" by virtue of being an
employer for hire.

2\.
The claim will be rejected if the person listed
as "author" on the original records wrote the
work himself, unless an explanation is offered
indicating the author was employed for hire, and
inadvertently or by agreement with the employer
claimed copyright in his own name.

III. Work made for hire. The law specifies that, in order for
this claim to be applicable, the work must have been copy-
righted by the employer for whom the work was made for hire.

a. No provision is made for the case in which the work
was made for hire, but the employer transferred his
common law literary property to a third person prior
to publication.

b. When this situation is presented the Copyright Office
will register a claim as "proprietor of copyright in
a work made for hire," but will point the difficulty
out to the applicant.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.8.5" -->

## 11.8.5 Employer for hire. (cont'd)

IV. More than one author. When more than one author con-
tributed to a work, the renewal claimant need not
specify that all of the authors were employed for hire.

a. If only some of the authors were employed, this
fact should appear on the renewal application.

b. 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,
provided no patent inconsistency is presented.

V. Doubt re. proprietor-claimant. Although there is doubt,
under the wording of the renewal section, as to whether
the proprietor of copyright in a work made for hire may
claim renewal when the work was originally published as
a contribution to a periodical and not registered sepa-
rately, the Copyright Office will accept the claim with-
out question.

11.8.6
Prints and Labels registered in the Patent Office.

I. Proprietor entitled. The proprietor of copyright in a
print or label for which registration was made in the
Patent Office prior to July 1, 1940, is entitled to
claim renewal.

II. Author not entitled. The author of such a work has no
renewal rights.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.9.1" -->

# Part 11.9 JOINT RENEWAL CLAIMANTS

11.9.1
Several claimants, same application. When a number
of different persons are entitled to claim renewal
in the same work, they may submit their claims on
the same application, or they may submit separate
applications and fees. It is not necessary that all
possible claimants join in applying for registration
in order to secure a renewal.

11.9.2
Later application, same work. When renewal registra-
tion for a work has already been made and a later
application covering the same work is received, the
Copyright Office will first determine what claims
have been registered.

I.
All claims already registered. If all of
the claims stated on the later application
have already been registered, the applica-
tion will be rejected.

II. Some claims already registered. If any of
the claims stated on the later application
have not been registered, and are not incon-
sistent with the earlier claims, the applica-
tion will be passed without question, even
though it may also contain claims which have
already been registered.

III. Adverse claims stated on the later application
are or may be in conflict with a claim or claims
which have already been registered, a letter of
explanation is requested from the second appli-
cant. The later claim will be registered without
further question if the applicant reasserts it.

Examples of typical adverse claim situations:

a.
Conflicts among second proviso
claimants (the author and his
beneficiaries).

1\. When an earlier claim was regis-
tered in the name of an author's
next of kin, and a new application
is submitted by an executor, the
Office requests information concer-
ing existence of a will.

<!-- PageBreak -->

<!-- PageHeader="ch. 11 1.9.2" -->

## 11.9.2 Later application, same work. (cont'd)

### III. Adverse claims (cont'd)

Examples (cont'd) :
a. (cont'd)
2. When a claim was registered in the
name of an author, and his widow
now claims, the Office asks the date
of the author's death.

(a) If the date is earlier than
that on which the first appli-
cation was filed, registration
is made without further ado.

(b) If the author was liwing when
registration was made in his
name, the widow's claim may also
be registered as a doubtful case,
despite the principle that renewal
rights vest on the date of a valid
registration.

b. Conflicts among first and second proviso
claimants (proprietors as against authors
and their beneficiaries).

1\. When a claim was registered in the name
of an author, and a new application is
submitted as "proprietor of copyright in
a work made for hire," the Office requests
information concerning the circumstances
under which the work was written.

2\. When a claim was registered in the name of
one of several authors, and a new applica-
tion is submitted as "proprietor of copyright
in a work made for hire" without restricting
the claim to the work of a particular author
or authors, the office asks whether the claim
covers the material written by the person in
whose name registration has already been made.

(a) If so, registration will be made if
the applicant reasserts his claim.

(b) If not, a new application should be
submitted confining the claim to the
material written by employees for
hire.

<!-- PageBreak -->

<!-- PageHeader="Ch. 11 11.10.1" -->

# Part 11.10 UNACCEPTABLE RENEWAL CLAIMS

11.10.1 Personal right. The right to claim a renewal copyright
is a personal right.

I.
Living person. A renewal can be claimed only
by a living person.

Example: When a claimant dies while his
renewal application is in the
mails, a new application in the
name of a different claimant must
be submitted.

II. Claimants must be named. The renewal right
accrues to an individual person or firm, and
not to a status.

Examples: claims by "The Executors of
James Fitzgerald" or "the executors
of the author," or by "the next of
kin of the author" are not acceptable.

III. Authority to apply; acceptable address. The renewal
application should be submitted by the claimant
himself, or by someone authorized by him to do so.

a. The Copyright Office will not question the
authority for filing the application.

b. The claimant's actual address, or the address
at which he could be reached, should appear
on the application.

Examples :

1\) "Philadelphia, Pennsylvania," and
"London, England" are not acceptable
addresses.

(2) The address may be stated as "in care
of" the person or firm filing the
application, but the Copyright Office
suggests this alternative with caution.

<!-- PageBreak -->

h. 11
1.10.2

11.10.2 Statutory claimants. The Copyright Office can register
renewal claims only in the names of claimants listed as
acceptable in the statute.

I. Failure to qualify. If none of the claimants
listed in the statute exists or can be identified,
registration must be refused.

II. Successors or representatives. The successors or
representatives of a person who could have claimed
if still living have no right, as such, to claim
renewal.

Example: the executors of the author's widow
are unacceptable claimants.

III. Assignment of renewal interest. Registration must
be made in the name of a statutory claimant, even
though he has assigned all of his interest in the
renewal term.

Examples: registration cannot be made in the
names of an "assignee," "proprietor,"
"attorney-in-fact," or "owner per
agreement."

11.10.3 Material covered. A renewal claim in a work can cover only
the material which was first published in that particular
version of the work.

I. Later version. The original author of a published
work cannot claim renewal in a later version of that
work unless he himself contributed to the new matter
on which copyright in the later version was claimed.

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 composition, is unacceptable.

II. Revised published version. But 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 published work may be accepted.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12" -->

# Chapter 12 Assignments and Related Documents

## Outline of Topics

### Part 12.1 IN GENERAL

12.1.1 Statutory provisions

12.1.2 Copyright Office policy

I. Substantive contents

II. Any related instrument

### Part 12.2 THE NATURE OF THE DOCUMENT

12.2.1 Kind of instrument submitted

12.2.2 Relation to copyright

I.
Indirect or potential

II.
No registration for work referred to

III.
Relationship not clear

IV. No purpose served

. Effort to record what cannot be
registered

VI.
Submitted in error

### Part 12.3 FORMAL SUFFICIENCY OF THE DOCUMENT

#### 12.3.1 In general

#### 12.3.2 "An instrument in writing"

I. No special form

II. The actual instrument

III. Handwritten signature

IV.
Illegible document

12.3.3 "Signed by the proprietor of the copyright"

I. Handwritten signature of transferor

II.
Apparent inconsistency

III.
Authority to sign

IV. Signature of individual

#### 12.3.4 Identification of parties

##### I. Identification of transferee

<!-- PageBreak -->

<!-- PageHeader="Ch. 12" -->

### Part 12.3 FORMAL SUFFICIENCY OF THE DOCUMENT (cont'd)

#### 12.3.4 Identification of parties (cont'd)

II. Failure to identify necessary parties

III. Indexing

IV. One-party documents

#### 12.3.5 Identification of subject matter

I. Date not required

II. Failure to identify subject matter

III. Titles

IV. Outside sources

V. No titles given

#### 12.3.6 Words of present conveyance

I. Example

II. Lacking clear words of present
conveyance

III. Intention manifest

#### 12.3.7 Completeness

I. In general

IT. Attachments

III. Incorporation by reference

IV. Part of larger document

##### 12.3.8 Other formal requirements

I. Freedom from obvious errors

II. Date of execution

III. Consular certificate of acknowlegement

### Part 12.4 DOCUMENTS AMENDING COPYRIGHT OFFICE RECORDS

12.4.1 In general

I. Regulation §201.5(a)

II. Document to correct, amend, or amplify

#### 12.4.2 Abandonments

I. Statement of abandonment

II. Conditions

III. Failure to meet conditions

IV. Annotations

<!-- PageBreak -->

<!-- PageHeader="Ch. 12" -->

### Part 12.4 DOCUMENTS AMENDING COPYRIGHT OFFICE RECORDS (cont'd)

#### 12.4.3 Corrections of errors

I. Correction of errors in copyright
registration

II. Correction of errors in recorded
document

#### 12.4.4 Changes and amplifications

I. Subsequent or additional information

II. Annotation

### Part 12.5 RECORDATION

12.5.1 In general

12.5.2 Date of recordation

12.5.3 Indexing

I. Preparation under names and titles

II. Date of recordation

#### 12.5.4 Changes in unrecorded document

I. Requests for Copyright Office to
change

II. Returning document for initials

#### 12.5.5 Recording fees

I. Code, sec. 215

II. Separate assignments

III. Titles

IV. Pages

<!-- PageBreak -->

<!-- PageBreak -->

Ch. 12
12.1.1

## Chapter 12. ASSIGNMENTS AND RELATED DOCUMENTS

### Part 12.1 IN GENERAL

#### 12.1.1 Statutory provisions.

I. A "copyright . . . may be assigned, granted, or
mortaged by an instrument in writing signed by
the proprietor of the copyright, or may be be-
queathed by will." (17 U.S.C. §28).

II.
. "Every assignment of copyright shall be recorded
in the copyright office within three calendar
months after its execution in the United States
or within six calendar months after its execution
without the limits of the United States, in
default of which it shall be void as against any
subsequent purchaser or mortgagee for a valuable
consideration, without notice, whose assignment
has been duly recorded." (17 U.S.C. §30).

#### 12.1.2 Copyright Office policy.

I. Substantive contents. As a rule, the Copyright
Office will not attempt to judge or interpret
the substantive contents of an assignment or
other document; recordation will be made as long
as the formal requirements have been met.

a. If the document bears a descriptive heading
(e.g., "license, " "merger, " "abandonment, "
etc.) this information may be included in
the index cards, but this is regarded as
transcription rather than interpretation.

b. In exceptional cases, where it is clear that
the instrument is invalid or does not accom-
plish what was intended, the Copyright Office
will, in the first instance, reject the document.
If the applicant returns the document insisting
upon recordation, the Copyright Office will
record the document.

Examples :

(1) A document purporting to be an
assignment which is actually a
self-serving declaration signed
by the "assignee."

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.1.2" -->

#### 12.1.2 Copyright Office policy. (cont'd)

##### I. Substantive contents. (cont'd) b. (cont'd)

Examples: (cont'd)

(2) A document purporting to be an
abandonment of copyright which is
signed by someone other than the
copyright owner.

II. Any related instrument. Generally, the Copyright
Office does not require recordation of a document
but will, upon request, record any formally
acceptable assignment or related instrument.

a. Where appropriate, the Copyright Office may
point out the assignment provisions of the
law and suggest the desirability of recording
an instrument.

b. In certain cases, recordation of an assign-
ment may be required as a condition of regis-
tration in the name of an assignee. (See
Chapter 4 (Notice), Part 4.2.3, I. g.).

##### Examples :

(1) Registration for an unpublished work
has been made in the name of the
assignor; the work has been published
unchanged with a notice in the name
of the assignor, but with a reference
to the assignment (e.g., "Copyright
1954 John Doe; assigned to Richard
Roe").

(2) Registration of an ad interim claim
has been made in the name of the
assignor; the U.S. edition has been
published unchanged with a notice in
the name of the assignor, but with a
reference to the assignment (e.g.,
"Copyright 1954 John Doe, assigned to
Richard Roe").

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.1.2" -->

###### 12.1.2 Copyright Office policy. (cont'd)

###### II. Any related instrument. (cont'd)

c. In certain cases, recordation of an affidavit
or other document may be required as a condi-
tion of renewal registration or of annotation
of completed records.

###### Examples:

(1) Where a particular author's name
appears nowhere in our records in
connection with an entry, and the
omission of his name cannot logi-
cally be explained, registration of
a renewal claim in his name will be
made only if documents supporting
his authorship are recorded.

(2) Records of a registration cannot be
changed to correct an applicant's
error or to supplement the informa-
tion given, but may be annotated to
refer to a recorded document setting
forth the facts.

<!-- PageBreak -->

h. 12
2.2.1

## Part 12.2 THE NATURE OF THE DOCUMENT

12.2.1 Kind of instrument submitted. Although the law speaks
only of the recordation of assignments (that is,
generally, a transfer of complete ownership of a copy-
right), the Copyright Office will record any kind of
instrument which appears to have some relation to copy-
right protection.

### Examples :

(1) A license (i.e., an exclusive or non-
exclusive grant of permission to use
a copyrighted work for certain
purposes) .

(2) A mortgage.

(3) A will.

(4) A court decree, such as a decree of
distribution, etc.

(5) A statement of abandonment of copy-
right.

(6) An affidavit (such as a statement
with respect to the authorship of a
work).

(7) An agreement or contract (such as an
employment agreement).

(8) A certificate of change of name or of
corporate title.

(9) A certificate of corporate merger.

(10) A power of attorney.

12.2.2 Relation to copyright. The document need not have a
direct relation to a copyright to be recorded, but may
be questioned unless some possible direct or indirect
relation can be perceived.

I. Indirect or potential. The relation to a copyright
may be indirect or potential.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.2.2" -->

12.2.2 Relation to copyright. (cont'd)

#### I. Indirect or potential. (cont'd)

Examples :

(1) A bill of sale of a business.

(2) A birth or death certificate.

(3) A blanket power of attorney.

II. No registration for work referred to. A document
may be recorded even if the work to which it
refers has not been registered for copyright, but
registration in such cases may be suggested or
requested.

III. Relationship not clear. Where the relationship
between the document to be recorded and copyright
is unclear or obscure, recordation may be delayed
and the applicant may be asked his 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 ship-
ment of motion picture films.

IV. No purpose served. Where it seems clear that
recordation of a document would serve no purpose,
recording may be discouraged but will not be
refused.

### Examples :

(1) An assignment executed after the
expiration of the copyright term.

(2) An assignment relating to copyright
in a work which has been rejected
for copyright registration because
of a defective copyright notice.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.2.2" -->

#### 12.2.2 Relation to copyright. (cont'd)

V. Effort to record what cannot be registered.
Where it seems clear that the applicant is
seeking to substitute recording a document
for registering a copyright claim, or to do
by recordation what he cannot do by registra-
tion, the document will be rejected in the
first instance, but will be recorded if the
applicant returns the document insisting upon
recordation.

##### Examples :

(1) A document purporting to claim
rights in the moon and the
stars.

(2) A document consisting of a
collection of unpublished love
letters.

(3) A document describing and
claiming ownership in a
method for boning a duck.

VI. Submitted in error. Where it seems
probable that the document has been
submitted to the Copyright Office in
error, it may be questioned or, in
clear cases, returned without re-
cordation.

### Examples :

(1) An assignment of rights in
a trade-mark or patent.

(2) A document citing a regis-
tration number which has no
relation to any Copyright
Office registration number.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.1" -->

## Part 12.3 FORMAL SUFFICIENCY OF THE DOCUMENT

12.3.1 In general. In order to be recorded, a document must
generally meet six formal requirements:

1\. It must be "an instrument in writing."

2\. If it purports to be an assignment, it
must be "signed by the proprietor of
the copyright."

3\. If it purports to be an assignment,
it must identify the assignor and
assignee.

4\. It must adequately identify the copy-
righted work or other subject matter
with which it deals.

5\. If it purports to be an assignment,
it must contain words of present
conveyance.

6\. It must be complete by its own terms.

12.3.2 "An instrument in writing."

I. No special form. The Copyright Office does not
provide, suggest, or require any special form
for assignments or other types of documents.

II. The actual instrument. The document to be
recorded should be the actual instrument by which
the conveyance or other commitment was made.

a. The original copy (or one of the original
copies) should be submitted for recordation.

b. A typewritten, photostatic, or other copy of
the document will be questioned, but may be
accepted (with an annotation on the official
record) upon the specific request of the
sender.

c. Where the original of the document in question
is on file in a public office, a copy certified
by the appropriate official will be accepted.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.2" -->

12.3.2 "An instrument in writing." (cont'd)

II. The actual instrument. (cont'd)
c. (cont'd)

Examples :

(1) Certificate of corporate merger.

(2) Petition for change of name.

(3) Court decree.

III. Handwritten signature. As long as it contains an
individual's actual handwritten signature, any
type of legible document which meets the other
formal requirements will be accepted for recordation.

### Examples :

(1) Handwritten or typewritten
original.

(2) Assignment in the form of a letter.

(3) Carbon original.

(4) Mimeographed original.

(5) Printed original.

IV. Illegible document. An illegible document, or one
which could not be reproduced legibly on microfilm,
will not be accepted.

12.3.3 "Signed by the proprietor of the copyright."

I. Handwritten signature of transferor. As a rule,
the document to be recorded should contain the
actual handwritten signature of the person or per-
sons making the transfer, commitment, or declaration.

a. An unsigned document is returned for signature
before recordation.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.3" -->

12.3.3 "Signed by the proprietor of the copyright." (cont'd)

I. Handwritten signature of transferor. (cont'd)

b. If the signature of one of the parties to a two-
party agreement is missing, the lack of the
signature will be questioned.

c. If several assignors are identified in the
body of the document, and spaces have been
provided for all their signatures, the docu-
ment will be questioned if any of the signa-
tures are missing, unless an additional copy
of the document containing the missing
signatures is submitted for recordation at the
same time. With respect to assignors, each
such document is indexed only under the partic-
uler signatures it contains.

d. The signature of the assignee is not a require-
ment, and lack of the assignee's signature will
not be questioned unless the instrument involves
mutual undertakings requiring the assignee's
signature for its validity.

II. Apparent inconsistency. When there is an apparent
inconsistency between the person named as assignor
in the body of an instrument and the person whose
signature appears on it, the document is questioned.

a. If the assignor is a corporation or other imper-
sonal legal entity, the capacity of the individ-
ual executing the document on behalf of the
assignor should be specified.

1\. If the assignor is a corporation, the docu-
ment will be questioned unless the individ-
ual's capacity is specifically stated, but
use of the corporate seal on the document is
not required.

2\. If the assignor is an impersonal legal
entity other than a corporation, the
specific capacity should be stated (e.g.,
THE JEJUNE PUBLISHING CO., P.N. Grata,
President). The capacity is not required,
however, if it is clear from the document
that the individual is signing on behalf of
the assignor (e.g., THE DEPLORABLE MUSIC CO.,
By Mary Hurrah).

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.3" -->

#### 12.3.3 "Signed by the proprietor of the copyright." (cont'd)

##### II. Apparent inconsistency. (cont'd)

b. If the document has been signed by a legal
representative (executor, administrator, trustee,
etc.) or attorney-in-fact of an individual,
the document will be questioned unless the
individual's capacity is specifically stated.

c. Where there is a reconcilable variance between
the signature and the assignor given in the
body of the document, the instrument will
generally be indexed under the form of the
name appearing in the signature.

1\. 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-reference cards under
his name may be appropriate in certain cases.

2\. 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-reference cards may be made under
the name of the signer.

d. As long as the capacity of the individual
signer is stated or indicated, his legal
authority to sign on behalf of the copyright
proprietor will not be questioned.

III. Authority to sign. The Copyright Office will not
conduct searches in order to determine whether
a document has been signed by the copyright
proprietor as shown in its records, nor will it
question the authority of a particular person
to sign as copyright proprietor.

a. 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 proprietor, the Copyright Office
may call the discrepancy to the attention
of the sender, but will not refuse to record
the document if requested.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.3" -->

12.3.3 "Signed by the proprietor of the copyright." (cont'd)

III. Authority to sign. (cont'd)

b. No question will ordinarily be raised in the
case of an assignment of copyright in a contri-
bution to a periodical signed in the name of
the periodical (e.g., Saturday Evening Post)
rather than that of the publisher (e.g., Curtis
Publishing Co.).

IV. 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 may represent.

·a. A pencil signature is acceptable.

b. . A hand-printed signature is acceptable.

c .: A printed, typewritten, rubber-stamp, or
facsimile signature will be questioned.

d. An illiterate person's mark is acceptable if
accompanied by another person's signature
attesting to its authenticity.

e. The signature need not be legible or include
the full name of the assignor, as long as the
name is sufficiently identified elsewhere in
the document, but initials or a monogram would
not generally be regarded as a signature.

#### 12.3.4 Identification of parties.

I. Identification of transferee. As a rule any docu-
ment purporting to transfer a copyright or rights
under a copyright (assignments, licenses, mortgages,
etc.) should clearly identify the transferee as
well as the person making the transfer.

II. Failure to identify necessary parties. Documents
which fail to identify the necessary parties will
be questioned, but recordation will not be
refused.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.4" -->

##### 12.3.4 Identification of parties. (cont'd)

###### II. Failure to identify necessary parties. (cont'd)

Examples :

(1) "I, John Schmo, do hereby assign all
rights, including copyright, in the
work entitled "How to Burn Toast. ""

(2) " ... copyright is hereby assigned to
Cy Pres, as executor of the author
... " (the author not being identi-
fied by name).

III. Indexing. When a document which fails to identify
the necessary parties is recorded, it will be .
indexed only under the names it contains; no index
cards will be prepared under other names furnished
in correspondence or elsewhere.
:

IV. One-party documents. A document which necessarily
involves only one party (e.g., an affidavit, an
abandonment, a disclaimer, etc.) will be indexed
under the single name involved; where possible, a
descriptive phrase characterizing the document
will be transcribed on the index card.

###### 12.3.5 Identification of subject matter.

I. Date not required. While the document need not
include copyright data or bibliographic informa-
tion, it should contain a reasonably precise
identification of the subject matter with which it
deals.

II. Failure to identify subject matter. A document
which fails to identify its subject matter will
be questioned.

###### Examples :

(1) "I hereby assign my copyright to the
Mercenary Music Co."

(2) " ... copyright in
is hereby assigned ... " (space left
blank through oversight).

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.5" -->

12.3.5 Identification of subject matter. (cont'd)

II. Failure to identify subject matter. (cont'd)

Examples: (cont'd)

(3) " ... copyright in OPENING CHORUS is
hereby assigned ... " (reference to
part of score of an operetta mean-
ingless when document considered by
itself).

III. Titles. As long as the subject matter is ade-
quately identified it need not contain the titles
under which the works were registered for copy-
right.

a. An abbreviated or entirely different title,
or a different descriptive phrase, may be
employed.

### Examples :

(1) "1957 Sales Manual" instead of
"Fabulous Deals for '57."

(2) "Style No. 173B," instead of "Polka
Dots on Parade."

b. The registration number may be used instead
of the title.

c. A blanket assignment or other transfer, in
which no individual titles are given, may be
recorded without question.

Example:

(1) " ... copyrights in all the published
works of Prolific C. Hack are hereby
assigned ... "

IV. 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.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.5" -->

### 12.3.5 Identification of subject matter. (cont'd)

V. No titles given. When a document in which no
titles are specified is recorded, the index cards
will contain the notation "No titles given."

### 12.3.6 Words of present conveyance.

I. Example. A document purporting to be an assign-
ment should contain words to the effect that copy-
right is presently being conveyed (e.g., "I,
Horace C. Rucksack, do hereby assign, sell, trans-
fer, grant, and convey copyright in 'Old Rag, I
Love You,' to the Sperryville Literary Society, Inc."

II. Lacking clear words of present conveyance. Where
the applicant obviously wishes to have an assignment
recorded, a document which lacks clear words of
present conveyance will be questioned.

Examples:

(1) A letter referring to an "understanding
that you will have the assignment re-
corded," accompanied by the certificate
of registration.

(2) A letter addressed to the author giving
him "permission to seek another publisher
and to take whatever steps are necessary
to have the copyright transferred to you."

(3) A letter from an author indicating that
"the publisher has agreed to assign the
copyright to me."

(4) A letter addressed to the Copyright
Office, asking the Register of Copyrights
to make a transfer of the copyright.

III. Intention manifest. Where the intention to assign
the copyright is manifest from a reading of the docu-
ment as a whole, the fact that it is in the form of
a letter or is inexactly or vaguely worded will not
preclude its recordation.

### 12.3.7 Completeness.

I. In general. In general, a document will not be
recorded unless it is complete by its own terms.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.7" -->

### 12.3.7 Completeness. (cont'd)

II. Attachments. Except as provided in paragraph d,
below, a document which refers to specific
attachments (e.g., " ... as enumerated in Schedule
A, which is attached hereto and made a part here-
of ... ") will be recorded only if the attachments
are also submitted for recordation.

a. Except as provided in paragraph d, below, sub-
mission of the attachments will be required
even if they are irrelevant to the copyright
(e.g., tax forms, receipted bill) or if they
duplicate information already in the records
of the Copyright Office (e.g., the original
certificate of copyright registration; a copy
of the copyrighted work; another document
which has already been recorded) .

b. Except as provided in paragraph d, below, sub-
mission of the attachments will be required
even if they include a list of titles which
would substantially increase the recording fee,
and which are irrelevant to the transaction
which the applicant is interested in recording.

o. Submission of the attachments may be avoided
by deleting the reference from the body of the
documents, and the paper may be returned to
the applicant for this purpose. When suggest-
ing this alternative, the Copyright Office will
suggest the desirability of having any changes
in the executed document initialled by all
parties.

d. In exceptional cases, where the sender asserts
that all three of the following factors exist
and specifically requests that the document be
recorded as submitted, recordation may be made
without the attachments (with an annotation of
the official record) :

1\. The attachment is completely unavailable; and

2\. The attachment is unnecessary to identify the
subject matter of the document; and

3\. It would be impossible or wholly impracticable
to secure permission from the parties to make
any changes in the document,

<!-- PageBreak -->

<!-- PageHeader="h. 12 2.3.8" -->

### 12.3.7 Completeness. (cont'd)

III. Incorporation by reference. When the terms of an-
other instrument are merely "incorporated by refer-
ence" in the document to be recorded, attachment of
the other instrument is not required.

Example:

(1) "In accordance with the terms of a mutual
undertaking previously entered into be-
tween the parties on May 29, 1957, which
is incorporated by reference herewith,
Floyd C. Willoware hereby transfers ... "

IV. Part of larger document. When a document indicates on
its face that it is part of a larger instrument (e.g.,
where it is marked "Attachment C" or "Exhibit A") the
completeness of the document is normally questioned,
but recordation will not be refused.

### 12.3.8 Other formal requirements.

#### I. Freedom from obvious errors.

a. As a rule no attempt is made to verify the facts
stated in a document submitted for recordation;
titles, registration numbers, authors, dates,
etc., are transcribed without checking their
accuracy.

b. When an obvious error of a material nature is rec-
ognised in the ordinary examination of the document,
the paper is returned for correction; in such cases,
the Copyright Office will suggest the desirability
of having any changes in the executed document
initialled by all parties.

Examples:

(1) A document submitted for recordation in
1957 gives a 1958 date of execution.

(2) The names of the assignor and assignee
are accidentally reversed.

(3) The letter of transmittal refers to one
title and the document to an entirely
different one.

o. Names and titles will generally be transcribed on
the index cards exactly as they appear in the doc-
ment; but where there is no question but that a
typographical error has been made in the document,
the error will be corrected in indexing the
document.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.8" -->

##### 12.3.8 Other formal requirements. (cont'd)

I. Freedom from obvious errors. (cont'd)
c. (cont'd)

###### Examples:

(1) "Great Russiand Short Novels"

(2) "Magame du Barry"

#### II. Date of execution.

a. The document to be recorded need not bear a
date although, if it does state a date of
execution, this information will be transcribed
on the index cards.

b. While the law provides consequences for failure
to record an assignment within three months of
its execution (or six months if executed abroad),
the Copyright Office will record a document at
any time after its execution. However, if the
specified recording period is nearing expiration,
the Copyright Office may point out the statutory
provisions when further correspondence is
necessary.

#### III. Consular certificate of acknowledgment.

a. Section 29 of Title 17 provides:

"Every assignment of copyright executed in a
foreign country shall be acknowledged by the
assignor before a consular officer or secretary
of legation of the United States authorized by
law to administer oaths or perform notarial
acts. The certificate of such acknowledgment
under the hand and official seal of such con-
sular officer or secretary of legation shall
bė prima facie evidence of the execution of
the instrument."

b. If a document appears to be an assignment which
has been executed abroad, and which does not
contain a consular certificate of acknowledgment
of the assignor's signature, the document will be

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.3.8" -->

##### 12.3.8 Other formal requirements. (cont'd)

###### III. Consular certificate of acknowledgment. (cont'd)

###### b. (cont'd)

held and the provisions of section 29 will be
called to the attention of the sender.

1\. The document may be returned to the sender,
upon request, so that a certificate may be
obtained.

2\. The document may be recorded without the
certificate (with an annotation on the
official record) at the specific request
of the sender.

o. Recordation of foreign documents which are
clearly not assignments will be made without
reference to section 29, but where the nature
: of the document is unclear, the provisions of
that section may be called to the attention
of the sender.

d. Since the statute refers to acknowledgment of
the signature of the assignor, a consular cer-
tificate of acknowledgment of the signature
of someone other than the assignor will be
.. questioned, and the sender will be given an
opportunity to obtain a new certificate.

Example:

(1) The signature of the assignor has been
acknowledged before a notarial officer
of the country of execution, and the
notary's signature has in turn been
certified by a consular officer.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.4.1" -->

## Part 12.4 DOCUMENTS AMENDING COPYRIGHT OFFICE RECORDS

### 12.4.1 In general.

I. Regulation $201.5(a). The Regulations of the Copy-
right Office (37 C.F.R. $201.5(a)) do not permit
correction or cancellation of a Copyright Office
registration or other record, but provide that " ...
it shall be within the discretion of the Register of
Copyrights to determine if any particular case justi-
fies the placing of an annotation upon any record
for the purpose of clarification, explanation, or
indication that there exists elsewhere in the records,
indexes or correspondence files of the Office, infor-
mation which has reference to the facts as stated in
· such record. "

II. Document to correct, amend, or amplify. Where an
applicant desires to correct, amend, or amplify a
completed Copyright Office record, he may submit for
recordation a document giving the pertinent
information.

### 12.4.2 Abandonments.

I. Statement of abandonment. Although there is no
provision in the copyright law for abandoning a copy-
right, the Copyright Office will record an affidavit
or signed statement of abandonment without offering
any opinion as to its legal effect.

II. Conditions. A statement of abandonment should
generally meet the following conditions:

a. It should be signed by the person in whose name
the claim was registered, or by his attorney-in-
fact or assignee of record.

b. It should contain clear words of present
abandonment.

c. It should adequately identify the work with which
it deals.

d. If executed abroad, it should preferably be
accompanied by a consular certificate of
acknowledgment.

<!-- PageBreak -->

<!-- PageHeader="Ch, 12 12.4.2" -->

### 12.4.2 Abandonments. (cont'd)

#### II. Conditions. (cont'd)

e. The original certificate of registration
should be relinquished to the Copyright
Office at the time of recordation.

III. Failure to meet conditions. Where a statement
does not meet one or more of these conditions, the
sender will be informed concerning them, but
recordation will not be refused.

IV. Annotations. Following recordation of a statement
of abandonment, annotations referring to the volume
and page in which it is recorded will be added to
the original record of registration and the catalog
cards covering the entry.

### 12.4.3 Correction of errors.

#### I. Correction of errors in copyright registration.

a. Where the record of a copyright registration is
alleged to contain an error, not the fault of
the Copyright Office, it is possible to record
an affidavit or signed statement outlining the
error and stating the correct facts.

##### Examples :

(1) Incorrect date of publication given.

(2) Statement of new matter omitted.

(3) Author's citizenship incorrectly
stated.

(4) Co-author's name omitted.
☒

b. In certain cases where a Copyright Office action
is dependent upon the recordation of such a docu-
ment (e.g., where renewal registration in the
name of a particular author depends upon recorda-
tion of a document attesting to his authorship),
it is desirable that the document be in the form
of an affidavit signed by the person making the
claim, and accompanied by supporting documents
or affidavits.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.4.3" -->

### 12.4.3 Correction of errors. (cont'd)

#### I. Correction of errors in copyright registration. (cont'd)

c. Following recordation of a document intended
to correct an error in a copyright registration,
an annotation referring to the volume and page
numbers of the recorded document is added to
the entry; the original catalog cards covering
the registration are annotated.

II. Correction of errors in recorded document. Where
errors in a recorded document are discovered follow-
ing recordation, no changes in the completed record
can be made, but the sender may adopt one of three
alternatives:

a. He may submit a completely new document for
recordation.

b. He may have the original document (which has been
recorded and returned to him) corrected and
recorded again.

c. He may submit for recordation an affidavit or
signed statement describing the error in the
previously-recorded document.

### 12.4.4 Changes and amplifications.

I. Subsequent or additional information. Where the
Copyright Office record in question was not
erroneous, but some of the facts have changed, or
where the applicant wishes to amplify the facts
stated on the record, it is possible to record an
affidavit or signed statement describing the change
or outlining the additional information.

Examples:

(1) Change of title.

(2) Change of maiden name to married
name.

(3) Addition of a pseudonym.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.4.4" -->
<!-- PageHeader="12-26" -->

#### 12.4.4 Changes and amplifications. (cont'd)

II. Annotation. In such cases, cross-reference
cards referring to the document are added
to the general card catalog.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.5.1" -->

## Part 12.5 RECORDATION

12.5.1
In general. The recordation process involves initial
examination of documents for formal sufficiency,
determination of the recording fee, assigning volume
and page numbers, preparation of index cards under
the appropriate names, titles, numbers, dates, etc.,
microfilming, checking the completed microfilm record,
and mailing the recorded document.

12.5.2
Date of recordation. The date of recordation
for a particular document is the date the last
necessary element (acceptable document and re-
quired fee) is received. When a document is
returned to the sender for correction, the date
it is returned in corrected form is regarded as
the date of recordation. When the fee, or part
of the fee, is received after receipt of the
document, the date of receipt of the amount
making up the total fee is the date of re-
cordation.

### 12.5.3 Indexing

I. Preparation under names and titles. Index
cards covering a recorded document are pre-
pared under the names of the parties and
the titles listed in the document. (See
items 12.1.2, I.a., 12.3.3, I.c.,
12.3.3, II.c., 12.3.4, III., 12.3.4, IV.,
12.3.5, IV., 12.3.5, V., 12.3.8).

II. Date of recordation. The cards will state
the date of recordation, the inclusive
volume and page numbers, and (where given
in the document) may also include the date
of execution, the nature of the document,
the names of the authors, the registration
number and year date of registration, and
descriptive matter following the title
(e.g., "(in C sharp minor)").

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.5.3" -->

#### 12.5.4 Changes in unrecorded document.

I. Requests for Copyright Office to change. 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
copyright owner.

Examples:

(1) Sender requests Copyright Office
change the year date of execution
from "1997" to "1957."

(2) Sender requests Copyright Office
to determine registration number
and add it to a blank space in
the document.

(3) Sender requests Copyright Office to
delete reference to an attachment

II. Returning document for initials. If the process
of recordation has not been started when the
request for change or correction is received,
the Copyright Office may return the document
to the sender, suggesting that amendments should
be initialled by the parties.

#### 12.5.5 Recording fees.

I. Code, sec. 215. Section 215 of 17 U.S.C. pre-
scribes the following recording fees:

"For recording every assignment, agreement,
power of attorney, or other paper not exceeding
six pages, $5; for each additional page or less,
50 cents; for each title over one in the paper
recorded, 50 cents additional."

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.5.5." -->

### 12.5.5 Recording fees. (cont'd)

II. Separate assignments. A fee is required for each
separate assignment or document, even if they
appear on the same page.

III. Titles. In determining the number of titles in
a document, the following considerations are
observed:

a. Every title of copyrighted or copyrightable
works listed in the document is included, but
not designations referring to uncopyrightable
matter (trademarks, patents, etc.)

b. The term "title" for this purpose generally
denotes "appellation" or "denomination"
rather than "registration," "work," or
"copyright."

1\. 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 finding of
duplicates feasible.

(a) Duplicate titles are counted as a
single "title" for purposes of com-
puting 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 separately under differ-
ent numbers and dates.

Examples of one "title":

(1) -- "Ferlin Husky Fan Club News," vol.
1, no. 3, June, 1957
-- "Ferlin Husky Fan Club News," vol.
1, no. 4, July, 1957

(2) -- "Trapped in the Snack Bar,"
Installment I
-- "Trapped in the Snack Bar,"
Installment II

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.5.5" -->

12.5.5 Recording fees. (cont'd)

III. Titles. (cont'd)
b. (cont'd)

1\. (cont'd)

(b) Where the same title is repeated more
than once in the same document, but
is followed by different descriptive
matter, subtitles, names of authors,
etc., separate fees will be charged.

#### Examples:

(1) -RONDO (Massenet)
-RONDO (Respighi)

(2) -- "Combination Waffle Iron and
Pants Presser"
-"Combination Waffle Iron and
Pants Presser (side view)"

(3) -- "The Romance of Searching"
-- "The Romance of Searching, " a
fantasy by D. F. Queens

(c) Where a work is listed under alterna-
tive titles, or where both old and
new titles are indicated, separate
fees will be charged.

Examples :

(1) "Money Isn't Everything," also
known as "Who Wants to be a
Seven"

(2) "Jimmie's Cafe," formerly known
as "Draw One"

(d) Where a work is listed under two titles,
but the second title is merely a des-
criptive subtitle or translation of the
first, only one fee will be charged.

<!-- PageBreak -->

<!-- PageHeader="Ch. 12 12.5.5" -->

12.5.5 Recording fees. (cont'd)
III. Titles. (cont'd)
b. (cont'd)

1\. (cont'd)

(d) (cont'à)

Examples:

(1) "How to Get Ahead in the Govern-
ment, or Ten Ways to Get Rid of
Your Supervisor"

(2) "On the Water (Auf Dem Wasser) "

(e) In cases where, despite separate list-
ings of the title, only one fee would
normally be charged, the Copyright
Office will make separate index cards
under the various listings, upon the
specific request of the sender and
payment of separate fifty-cent fees.

##### IV. Pages.

a. In determining the number of pages in a document,
each side of a leaf bearing textual matter is
regarded as a "page."

b. A rider is not considered a "page" unless it is
more than half the size of the other sheets in
the document.

<!-- PageBreak -->

<!-- PageBreak -->

# Chapter 13

# Notices of Use

## Outline of Topics

### Part 13.1 IN GENERAL

#### 13.1.1 Statutory provisions

I. Exclusive rights and the "compulsory license"
II. The "notice of use" requirement

III. The "notice of intention to use" requirement

#### 13.1.2 Copyright Office policy

### Part 13.2 APPROPRIATENESS OF A NOTICE OF USE

13.2.1 In General

13.2.2 Works listed should be copyrighted

13.2.3 Works listed should be musical compositions

13.2.4 Works listed should be recorded or licensed
for recording

13.2.5 Notice should be filed by copyright owner

13.2.6 Other cases where a notice may or should be
filed

### Part 13.3 FORMAL SUFFICIENCY AND RECORDATION OF A NOTICE OF USE

13.3.1 Form

13.3.2 Copyright owner

13.3.3 Title

13.3.4 Date of recordation

13.3.5 Recording fee

I. Statutory provision

II. Number of titles

<!-- PageBreak -->

<!-- PageHeader="h . 13" -->
<!-- PageHeader="13-2" -->

### Part 13.4 NOTICES OF INTENTION TO USE

#### 13.4.1 Definition

13.4.2 Processing of Notices of Intention to Use

<!-- PageBreak -->

<!-- PageHeader="13.1.1" -->

## Chapter 13. NOTICES OF USE

### Part 13.1 IN GENERAL

#### 13.1.1 Statutory provisions.

I. Exclusive rights and the "compulsory license."

a. In the case of a copyrighted musical composition,
the copyright owner has an exclusive right to
record the work on mechanical instruments such as
phonograph records, up to the time he himself
records the composition or licenses someone else
to record it.

b. Once the copyright owner has recorded the copy-
righted musical composition on mechanical instru-
ments, or licensed someone else to record it, he
must file a "notice of use" in the Copyright Office
in order to collect royalties from others who record
the composition.

c. When the copyright owner has filed a "notice of use"
in the Copyright Office, showing that he has recorded
his copyrighted musical composition or licensed it
for recording, others who wish to record it must
either:

1\. Obtain a license from the copyright owner, or

2\. Record the composition without the copyright
owner's permission, relying on the "compulsory
license" provided in the statute.

d. The "compulsory license" provision operates as fol-
lows: when a copyrighted musical composition has
been recorded under the copyright owner's authority
and a notice of use has been filed in the Copyright
Office, anyone may record the composition without
the owner's permission if he: (1) sends the copy-
right owner a "notice of intention to use, " and sends
a duplicate of this notice to the Copyright Office;
(2) pays the copyright owner a fee of 2 cents for
each part manufactured; and (3) makes the required
reports to the copyright proprietor of the number of
records he manufactures.

<!-- PageBreak -->

<!-- PageHeader="h. 13 3.1.1" -->
<!-- PageHeader="13-4" -->

##### 13.1.1 Statutory provisions. (cont'd)

II. The "notice of use" requirement. "It shall be the
duty of the copyright owner, if he uses the musical
composition himself for the manufacture of parts of
instruments serving to reproduce mechanically the
musical work, or licenses others to do so, to file
notice thereof, accompanied by a recording fee, in
the Copyright Office, and any failure to file such
notice shall be a complete defense to any suit,
action, or proceeding for any infringement of such
copyright." (17 U.s.c. § 1(e), )

III. The "notice of intention to use" requirement.
"Whenever any person, in the absence of a license
agreement, intends to use a copyrighted musical com-
position upon the parts of instruments serving to
reproduce mechanically the musical work, relying upon
the compulsory license provision of this title, he
shall serve notice of such intention, by registered
mail, upon the copyright proprietor at his last
address disclosed by the records of the Copyright
Office, sending to the Copyright Office a duplicate
of such notice ;... " (17 U.S.c. § 101(e). )

##### 13.1.2 Copyright Office policy.

I. The function the Copyright Office performs in recording
notices of use is similar to its function in recording
assignments and related documents. (See Chapter 12.)

a. As a rule the Copyright Office makes no effort to
evaluate the accuracy of the statements given in a
notice of use, but merely records and indexes any
notice of use that meets the minimum formal require-
ments. (See part 13.3.)

b. In exceptional cases, where it seems clear from the
notice of use itself, or from accompanying corres-
pondence, that the notice has been filed under a
misconception of the law, the Copyright Office will
write, pointing out the possible difficulty.

Examples of common misconceptions concerning
notices of use:

(1) That a notice of use may be filed instead
of registering a claim to copyright.

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.1.2" -->

##### 13.1.2 Copyright Office policy. (cont'd)

###### I. (cont'd)

###### b. (cont'd)

Examples of common misconceptions concerning
notices of use: (cont'd)

(2) That filing a notice of use secures
copyright protection for the perform-
ance recorded, or for the recording as
such.

(3) That filing a notice of use offers pro-
tection for the title or idea for a song
or & recording.

(4) That filing a notice of use is required
for non-musical material (stories, poems,
lectures, etc. ) reproduced on sound re-
cordings.

(5) That filing a notice of use offers protec-
tion for a phonograph label, or for the
name or trademark of a recording company.

II. Ordinarily the Copyright Office makes no effort to search
its records to determine whether the musical compositions
listed on a notice of use have been registered for copy-
right, or whether the titles are correctly stated. How-
ever, where it appears that the notice of use may have
been filed under a misconception, a limited search may
be undertaken in order to spot-check the information given
on the notice.

III. There are no circumstances in which the Copyright Office
will require the recordation of a notice of use. Where
appropriate, however, the Office may point out the "com-
pulsory license" provisions of the law and suggest the
desirability of recording a notice of use.

IV. Where it is not altogether clear whether the filing of a
notice of use is appropriate in a particular case, the
Copyright Office will not discourage recordation. The
Office will point out the statutory provisions to the
person filing the notice, and will proceed with recorda-
tion if requested.

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.2.1" -->

#### Part 13.2 APPROPRIATENESS OF A NOTICE OF USE

13.2.1 In General. Generally, the following four circumstances
should all exist in order for the recordation of a notice
of use to be appropriate:

I.
All works listed in the notice should be copyrighted.

II. All works listed in the notice should be musical com-
positions.

III. All works listed in the notice should either have been
recorded or licensed for recording by the copyright
owner.

IV.
The notice should be filed under the authority and in
the name of the present owner of copyright in all com-
positions it lists.

#### 13.2.2 Works listed should be copyrighted.

I.
As a rule, where it is apparent that the works
listed on a notice of use have not yet been
copyrighted, or are now in the public domain,
the desirability of recording the notice will
be questioned.

Examples :

(1) Title listed as: "Rock, Caterpillar,
Rock (no copyright filed as yet)."

(2) Title listed as: "Beethoven's Symphony
No. 7."

II.
Where a notice of use is accompanied by an application
for registration covering the same composition as that
listed on the notice, no question will be raised con-
cerning the fact that the composition has not yet been
copyrighted.

a. This is true even where the title given on the
notice is followed by a statement such as "copyright
pending" or "submitted herewith."

b. Where an application and notice of use covering the
same unpublished composition are filed concurrently,

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.2.2" -->

#### 13.2.2 Works listed should be copyrighted. (cont'd)

##### II. (cont'd)

###### b. (cont'd)

and action on the application must be deferred
because of some defect, action on the notice of
use should not be deferred unless there is reason
to doubt that registration for the work will be
completed.

###### Examples :

(1) Where the defect is lack of signature,
the notice of use should be recorded
without waiting for the new application.

(2) Where there is a question as to the own-
ership of the copyright, the notice of use
should not be recorded until entry has
been made.

III. Where it is clear or probable that the com-
positions listed on a notice of use have been
published with a copyright notice, the fact
that claims to copyright have never been regis-
tered will not affect the recordability of the
notice. In appropriate cases, however, the ne-
cessity for registering a claim may be pointed
out to the person submitting the notice, and the
case may be referred to the Compliance Section
for possible action.

#### 13.2.3 Works listed should be musical compositions.

I.
Recordation of a notice of use should be discouraged
where it seems clear that the works listed on the
notice are neither musical compositions nor copyrightable
works containing music.

Examples :

(1) Title on notice: "The Poems of Dylan
Milkweed, Vol. II".

(2) Title on notice: "Mario Lasagna Sings!
(a Concert Hall Recording, MaXL-7777)."

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.2.3" -->

13.2.3 Works listed should be musical compositions. (cont'd)

II. A notice of use will not be questioned where it seems
clear that the works listed are musical compositions,
even though registration for them, or for larger works
containing them, has been made in a class other than
Class E.

Examples:

(1) Title on notice: "The Miraculous
Minotaur, a dramatic cantata by Bela
Earayk (Du-12345, January 13, 1949)".

(2) Title on notice: "Sing, You Sibling!"
words and music by Ziggy Miltown from
"Songs are Better than Tranquilizers"
by Dr. Josiah Rank (A-12345, January 13,
1949).

(3) Title on notice: "Main title and score
of Blood of the Son of Dracula (Lp-12345,
January 13, 1949)."

13.2.4 Works listed should be recorded or licensed for recording.

I. The Copyright Office ordinarily will not inquire as to
whether or not a work has been recorded or licensed for
recording at the time a notice of use covering it is
filed. However, if it is clear from the correspondence
or other circumstances that there has been no recording
or license, or that the notice of use has been filed
under a misconception, the notice should be questioned.

II. For a notice of use to be appropriate, it is necessary
that the composition be used, or licensed for use, "for
the manufacture of parts of instruments serving to re-
produce mechanically the musical work."

a. Since the law makes no distinction between test or
audition records and commercial records, the Copy-
right Office will not question a notice even when
it is clear that only audition records have been
made.

b. For a notice of use to be appropriate, the recording
need not necessarily have been reproduced on disks;

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.2.4" -->

13.2.4 Works listed should be recorded or licensed for recording. (cont'd)

##### II. (cont'd)

b. (cont'd)

no question will be raised as to the method of
reproduction as long as it involves any form of
sound recording -- tape, wire, perforated rolls,
motion picture sound tracks, etc.

13.2.5 Notice should be filed by copyright owner.

I. A notice of use should be filed by or under the
authority of the owner of copyright in all the com-
positions listed in the notice, and should list his
name as copyright owner. A notice filed in the name
of a record producer, licensee, performer, etc.,
should be questioned if it appears that the person
listed is not now the copyright owner.

II. The copyright owner listed in a notice of use should
be the present owner of the copyright, even though
copyright was secured in the name of an earlier owner.

a. The notice should be recorded in the name of the
present owner, even though this name appears
nowhere in the Copyright Office records in connec-
tion with the copyrighted work.

b. In appropriate cases, the Copyright Office may sug-
gest the desirability of recording an assignment.

13.2.6

Other cases where a notice may or should be filed.

I. When a new copyrighted arrangement or other copyrighted
new version of a musical composition is recorded, a new
notice should be filed, even though notices have already
been filed for the original version of the work, or for
earlier arrangements.

a. The notice in such cases should be recorded in the
name of the present owner of copyright in the arrange-
ment or new version, rather than the owner of copy-
right in the basic composition.

b. A notice in such cases may be recorded even when the
new matter in the revised version of the composition
consists of non-musical elements.

<!-- PageBreak -->

<!-- PageHeader="h. 13 3.2.6" -->

13.2.6 Other cases where a notice may or should be filed. (cont'a)

###### I. (cont'd)

###### b. (cont'd)

Examples :

(1) New words for an old song.

(2) A medley consisting of a compilation
of old songs .

(3) A new abridgement of Handel's "Messiah."

II.
Where a notice of use has been recorded for a composi-
tion during the first term of copyright, it is doubtful
whether a new notice need be recorded when the copyright
is renewed, but the recording of a notice will not be
discouraged in such a case.

III. Where a notice of use has been recorded for a composition
in the name of the owner of copyright at that time, it is
doubtful whether a new notice need be recorded when the
copyright is transferred to a new owner, but the recording
of a notice will not be discouraged in such a case.

IV. A new notice of use may be filed to correct an error in
a previously recorded notice.

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.3.1" -->

###### Part 13.3 FORMAL SUFFICIENCY AND RECORDATION OF A NOTICE OF USE

13.3.1
Form. A notice of use should be filed on Form U. The second
half of the form, which is a duplicate of the first half, is
returned to the sender as an acknowledgment that his notice
has been recorded.

13.3.2
Copyright owner.

I. Line 1 of the notice of use should contain only the name
and address of the present owner of the copyrights in all
the compositions listed on the notice.

a. Where the compositions are owned jointly or in
common by two or more owners, who are the same for
all the compositions listed, the names and addresses
of all joint or co-owners should be given in line 1.

b. Where all the compositions are owned jointly or in
common by two or more owners, who are the same for
the compositions listed, a notice filed in the name
of only one or part of the owners will be recorded
without question.

II. Where two or more owners and two or more titles are given
in the notice, the Copyright Office records may be spot-
checked to determine whether all the owners listed
actually own copyright in all the compositions listed.
Where different owners are involved, separate notices of
use should be filed.

###### 13.3.3 Title.

I. As a rule, the notice of use should list the title of
each separate copyrighted musical composition that has
been recorded.

II. The title given should ordinarily be that under which the
recordings were made, even though it differs from the
title under which a copyright claim in the work was regis-
tered. It is desirable that the title under which regis-
tration was made should also be given, for clear identifi-
cation of the copyrighted work in question.

###### Examples:

(1) Title on notice: "Bye Bye Blues by Buddy
Bomb (registered as So Long Blues, Eu-12345,
June 30, 1956)".

<!-- PageBreak -->

<!-- PageHeader="h. 13 3.3.3" -->

13.3.3 Title. (cont'd)

II. (cont'a)

Examples :

(2) Title on notice: "My Heart's a
Wanderer by James Schovill, in Pardon
My Past (Bp-123456, June 30, 1956)".

III. A notice will be accepted if it contains a title suffi-
cient to identify the musical composition in question.
As further means of identification, however, it is
desirable that the title be followed by the names of
the authors, the registration number, and the copyright
year date.

IV.
The notice of use should not contain information concern-
ing the performers who have recorded the works, or con-
cerning the recordings themselves. Where this information
has been given, and it appears that there may be a mis-
understanding concerning the notice of use requirements
or the purpose of a notice of use, a new notice should be
requested omitting this information.

#### 13.3.4 Date of recordation.

I.
The date of recordation for a notice of use is
the date the last necessary element (acceptable
notice and required fee) is received.

a. When it is necessary to request a new notice
because of some defect in the earlier one
filed, the date the new notice is received
is regarded as the date of recordation.

b. When the fee, or part of the fee, is received
after receipt of the notice, the date of
receipt of the amount making up the total
fee is the date of recordation.

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.3.4" -->

#### 13.3.4 Date of recordation. (cont'd)

II. Where the fee is to be charged to a Deposit Account,
and the Deposit Account does not contain funds suffi-
cient to record the notice, recordation is deferred
pending replenishment of the Deposit Account or re-
ceipt of a separate recording fee. However, it is the
date the notice was received, rather than the date
sufficient funds are received, that is regarded as the
date of recordation in such cases.

#### 13.3.5 Recording fee.

I. Statutory provision. Section 215 of the Code prescribes
the following recording fees: "For recording a notice
of use, $3, for each notice of not more than five titles;
and 50 cents for each additional title."

#### II. Number of titles.

a. Generally, in determining the number of titles in a
notice of use, the same considerations as those
applicable to assignments and related documents are
observed. (See item 12.5.5.III.)

b. Where a notice lists the general title of a collec-
tive work, together with the titles of two or more
compositions included in the work, it may be neces-
sary to ask the sender how he wishes the notice in-
dexed, in order to determine the recording fee.
(Example: Title given as "Some of My Best Friends
are Children Folio, containing Finder's Keepers,
The Woodchuck, Allee in the Tree, and Kick the Can
Willy.")

1\. If the sender wishes the notice of use indexed
only under the collective title, the Copyright
Office will write and request a new notice of
use giving only the collective title and charge
for only one title.

2\. If the sender wishes the notice of use indexed
under both the individual titles and the

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.3.5" -->

##### 13.3.5 Recording fee. (cont'd)

###### II. Number of titles. (cont'd)

###### b. (cont'd)

2\. (cont'd)

collective title, he will be requested to
file a new notice listing them all on
separate lines.

3\. If the sender wishes the notice of use
indexed under the individual titles but not
the collective title, a new notice should be
filed listing the individual titles separ-
ately, each followed by the title of the
collective work.

Example: "Finder's Keepers, in Some of My
Best Friends are Children Folio ."

<!-- PageBreak -->

<!-- PageHeader="Ch. 13 13.4.1" -->

### Part 13.4 NOTICES OF INTENTION TO USE

3.4.1
Definition. A "notice of intention to use" is a notice
given to the copyright owner by someone who intends to
record the copyrighted work on mechanical instruments
without a specific license, under the "compulsory licensing
provisions." (See item 13.1.1.) The notice of intention
to use is sent to the copyright owner by registered mail,
and & copy is sent to the Copyright Office. No special
form is required.

#### 3.4.2 Processing of Notices of Intention to Use.

I. When a notice of intention to use is received in the
Copyright Office it is given a number, which is written
in the upper right hand corner of the notice itself.
Index cards are prepared under the titles listed in
the notice, and the notice is then filed by number.
The fee required for recording a notice of intention
to use is the same as that required for a notice of use.

II. When the Copyright Office receives a letter or other
document which appears to have been sent in an effort
to comply with the "notice of intention to use" re-
quirements, but which clearly does not meet these
requirements, the Copyright Office will write to the
sender pointing out the provisions of the law.

<!-- PageBreak -->

<!-- PageBreak -->

<!-- PageHeader="Ch. 15" -->

# Chapter 15 Certificates and Certifications

## Outline of Topics

### Part 15.1 CERTIFICATES OF REGISTRATION

15.1.1
Statutory provisions

15.1.2
Preparation of original certificates

15.1.3
Mailing of original certificates

15.1.4
Certificates returned by Post Office

15.1.5
Remailing of returned certificates

### Part 15.2 CERTIFICATIONS IN GENERAL

#### 15.2.1 Certifying officer

I. Statutory provision

II.
Certification by the Register of
Copyrights

III. "The absence of the Register"

#### 15.2.2 Nature and kinds of certified documents

I. Nature of certified document

II. Kinds of certified documents

a. Original certificates

b.
Additional certificates

c. Certified copies of official
records

d. Certified copies of correspondence

e. Certified copies of copyright
deposits, etc.

f. Other certifications

15.2.3 Determination of whether a certified docu-
ment can or should be furnished

I. In general

II.
What does the applicant want?

III. Is the applicant entitled to receive
the document?

<!-- PageBreak -->

<!-- PageHeader="Ch. 15" -->

### Part 15.2 CERTIFICATES IN GENERAL (continued)

#### 15.2.4 Preparation and handling of certified documents

I. Certified documents must be prepared
under Copyright Office direction and
control

II. Need for speed and accuracy

III. Use in foreign proceedings

IV. Mailing of certified documents

### Part 15.3 TYPES OF CERTIFICATIONS

#### 15.3.1 Additional certificates

I. Requests for additional certificates

II. Form and contents of additional
certificates

III. Preparation and handling of additional
certificates

15.3.2
Certified copies of official records

15.3.3 Certified copies of correspondence

15.3.4 Certified copies of copyright deposits, etc.

I. Circumstances under which copies of
deposits may be made and certified

II. Form and contents of certified copies
of deposits (other than Patent Office
deposits)

III. Certified copies of prints and labels
deposited in the Patent Office

### 15.3.5 Other certifications

### Part 15.4 FEES

15.4.1 Statutory provisions and regulations

15.4.2
Handling of fees for photoduplication and
certification

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.1.1" -->

### Chapter 15. CERTIFICATES AND CERTIFICATIONS

## Part 15.1 CERTIFICATES OF REGISTRATION

### 15.1.1 Statutory provisions.

I. When registration has been made "the person
recorded as the claimant of the copyright shall
be entitled to a certificate of registration
under seal of the copyright office,
\#
(17 U.S.C. §209)

II. The certificate shall contain the name and
address of the claimant, the citizenship of the
author, the place of domicile of an alien author
domiciled in the United States, the author's
name "(when the records of the copyright office
shall show the same)," the title, "the date of
publication if the work has been reproduced in
copies for sale, or publicly distributed," and
"such marks as to class designation and entry
number as shall fully identify the entry." A
certificate of book registration shall also state
the receipt of the affidavit, and "the date of
the completion of the printing, or the date of
publication of the book." (17 U.S.C. §209)

III. "The Register of Copyrights shall prepare a
printed form for the said certificate, to be
filled out in each case as above provided for
in the case of all registrations made after
July 1, 1909, and in the case of all previous
registrations so far as the copyright office
record books shall show such facts, which cer-
tificate, sealed with the seal of the copyright
office, shall, upon payment of the prescribed
fee, be given to any person making application
for the same." (17 U.S.C. §209)

IV. "Said certificate shall be admitted in any court
as prima facie evidence of the facts stated
therein." (17 U.S.C. §209)

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.1.2" -->

#### 15.1.1 Statutory provisions. (cont'd)

V. "The seal used in the copyright office on July
1, 1909, shall be the scal of the copyright
office, and by it all papers issued from the
copyright office requiring authentication shall
be authenticated." (17 U.S.C. §206)

#### 15.1.2 Preparation of original certificates.

I. As a rule, the body of the certificate is pre-
pared by the applicant himself, as a duplicate
of his application. This document becomes the
certificate of registration when the signature
of the Register of Copyrights and the seal of
the Copyright Office have been affixed.

II. It is not essential that the applicant himself
prepare the body of the certificate. As long
as the necessary information has been provided,
the Copyright Office may prepare the certificate
in appropriate cases.

### 15.1.3 Mailing of original certificates.

I. As a rule, original certificates are mailed in
window envelopes, to the address the applicant
has indicated in the "return address" box on the
certificate itself.

a. The date the certificate is mailed is re-
corded on a mailing sheet.

b. No separate record is made of the addressee,
since this information appears in the
"return address" box of the application
covering the same entry.

II. If the "return address" box in the certificate
to be mailed contains an insufficient address,
but a complete address can be found from other
sources, a special mailing envelope will be
typed.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.1.4" -->

15.1.3 Mailing of original certificates. (cont'd)

III. If the "return address" box is blank, the cer-
tificate will be mailed to the first copyright
claimant listed in the body of the certificate.
Exception: if the "return address" box is
blank on a renewal certificate, the certificate
should be returned to the examiner for correction.

IV. The following are special circumstances under
which a certificate may be mailed:

a. If the Office is instructed to mail the cer-
tificate to an address other than that
given in the "return address" box, the
examiner will attach a slip containing the
correct mailing address to the certificate
when he passes the application. This
address will be recorded on the mailing
sheet.

b. If the certificate is to be mailed as an
enclosure to a letter, the person signing
the letter shall inform the clerk in charge
of mailing certificates of the date his
letter is mailed, so that this can be re-
corded on the mailing sheet.

o. If an import statement is to be mailed with
an ad interim certificate, this fact will
be recorded on the mailing sheet. If the
import statement is to be sent to an
addressee other than that of the certificate,
the mailing sheet should show the address
to which the statement was sent.

d. If the applicant sends postage or a stamped
envelope for the return of his certificate,
it should be used for that purpose.

### 15.1.4 Certificates returned by Post Office.

I. When a certificate is returned as undeliverable,
this fact should be indicated on the mailing
sheet.

<!-- PageBreak -->

Ch. 15
15.1.5

15.1.4 Certificates returned by Post Office. (cont'd)

II. In certain cases, the certificate may be re-
mailed to a new address:

a. If the certificate contains the name and
address of a claimant, other than that
indicated in the "return address" box, it
will be remailed to the new address.

b. In certain cases, the undelivered certifi-
cate may be remailed to an author or
specified co-author, even if he is not a
copyright claimant.

III. If no alternate address can be found, the regis-
tration number and date of return will be
indicated on the mailing envelope, and both the
certificate and envelope will be filed by number
in a special file, to await inquiries from the
applicant.

IV. In remailing a certificate returned by the Post
Office, the certificate shall be left in the
original envelope and both shall be mailed in
another envelope. The date of remailing should
be recorded on the mailing sheet.

15.1.5
Remailing of returned certificates. When a certifi-
cate that has been returned to the Copyright Office
for some reason other than merely because it was un-
deliverable, and is ready to be remailed, it should
be referred to the examiner who will attach a slip
indicating the circumstances of the case; if the
certificate is to accompany a letter, the examiner
will give the slip, together with the date of mailing,
to the clerk in charge of mailing certificates. The
following are the most usual circumstances of this
type :

1\) Certificate remailed without change

2\) New certificate for same registration mailed

3\) Corrected certificate mailed

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<!-- PageHeader="Ch. 15 15.2.1" -->

## Part 15.2 CERTIFICATIONS IN GENERAL

### 15.2.1 Certifying officer.

I. Statutory provision. "There shall be appointed
by the Librarian of Congress a Register of Copy-
rights, and one Assistant Register of Copyrights,
who shall have authority during the absence of
the Register of Copyrights to attach the copy-
right office seal to all papers issued from the
said office and to sign such certificates and
other papers as may be necessary." (17 U.S.c.
§ 202)

II. Certification by the Register of Copyrighta.
Except during his "absence, " all papers bearing
the seal of the Copyright Office will be issued
in the name of the Register of Copyrights.

a. As a rule, certified documents issued in
his name will bear a facsimile signature
of the Register, affixed along with the
Copyright Office seal by a person to whom
the Register has delegated this authority.

b. Specially-drawn certifications will bear the
typewritten name and title of the Register,
followed by the handwritten signature and
typewritten name and title of the Assistant
Register of Copyrights.

1\. If the Assistant Register is not avail-
able to sign such a certification, the
document will be drawn for the personal
signature of the Register.

2\. If neither the Register nor the Assistant
Register is available to sign such a
certification, the appropriate official
to whom the Register has delegated this
authority will do so.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.2.2" -->

### 15.2.1 Certifying officer. (cont'd)

#### III. "The absence of the Register."

a. The "absence" of the Register, in this sense,
refers to an indefinite or protracted period
during which circumstances such as a serious
illness or a special appointment to another
job have actually left the position vacant.
It does not refer to cases such as those
where the Register is still occupying the
position but is on leave or is representing
the government at an international conference.

b. The Librarian of Congress will determine
whether a particular situation constitutes
"the absence of the Register" and will pro-
vide for the certification of documents
during such a period.

### 15.2.2. Nature and kinds of certified documents.

I. Nature of a certified document. A certified
document is an official paper attesting to one
or more facts, bearing the seal of the Copyright
Office and issued in the name of the Register of
Copyrights or other authorized certifying officer.
(See topic 15.2.1) A document that lacks either
the name or the seal is not properly certified.

II. Kinds of certified documents.

a. Original certificates. Certain certified
documents are issued as a matter of course,
with no separate fee for certification:

1\. Original certificates of registration;
800 Part 15.1.

2\. Assignments and other recorded documenta,
which are returned to the sender with a
certificate of recordation.

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<!-- PageHeader="Ch. 15 15.2.2" -->

### 15.2.2 Mature and kinds of certified documents. (cont'd)

#### II. Kinds of certified documents. (cont'd)

b. Additional certificates. Additional certi-
ficates of registration are, "upon payment
of the prescribed fee, . . . given to any
person making application for the same" (17
U.S.C. §209). (See topic 15.3.1)

1\. Additional certificates are typewritten,
certified copies of the record of a
registration, and have the same legal
effect as the original certificate.

2\. Additional certificates are generally
typed on printed forms from information
taken from the official records of the
Copyright Office. Sometimes an additional
certificate may be a substantial duplicate
of the original certificate, but this is
frequently not the case because of the
many changes in the size, format, or wording
of the printed certificate forms over the
years.

c. Certified copies of official recorda. Upon
payment of certification and photoduplica-
tion fees, certified copies may be furnished
of official records of the Copyright Office.
(See topic 15.3.2)

1\. Examples of official records: entries
in the record books, numbered applica-
tions, indexes to registration, recorded
assignments and related documents,
notices of use, and notices of intention
to use.

2\. The Copyright Office Regulations provide
that such copies may be made "of completed
records and indexes relating to a regis-
tratiom or a recorded document . . .
at such times as will not result in inter-
ference with or delay in the work of the
Copyright Office." (37 C.F.R. § 201.2(b))

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<!-- PageHeader="Ch. 15 15.2.2" -->

##### 15.2.2 Nature and kinds of certified documents. (cont'd)

###### II. Kinds of certified documents. (cont'd)

d. Certified copies of correspondence. Upon
payment of certification and photoduplication
fees, certified copies may be furnished of
"official correspondence, including pre-
liminary applications, between copyright
claimants or their agents and the Copyright
Office, and directly relating to a completed
registration or to a recorded document."
(37 C.F.R. §201.2(c). See topic 15.3.3.)

1\. Requests for correspondence "shall
identify the specific material desired
and shall contain a statement enabling
the Copyright Office to determine if
the writer is properly and directly con-
cerned." (37 C.F.R. §201.2(d) (3))

2\. Copies may not be furnished of"corre-
spondence, memoranda, reports, opinions,
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 an attorney." (37 C.F.R.
$ 201.2(c) (3))

3\. In the case of "correspondence, appli-
cation forms and any accompanying
material forming a part of a pending or
rejected application," inspection and
the making of copies are permitted only
"upon presentation of written authoriza-
tion of the claimant or his agent, or
upon submission to the Register of Copy-
rights . . . of a written request which
is deemed by him to show good cause for
such access and which establishes that
the person making the request is one
properly and directly concerned." (37
C.F.R. § 201.2(c) (2))

<!-- PageBreak -->

<!-- PageHeader="Ch, 15 15.2.3" -->

### 15.2.2 Nature and kinds of certified documents. (cont'd)

#### II. Kinds of certified documents. (cont'd)

e. Certified copies of copyright deposits, etc.
Upon payment of certification and photodup-
lication fees, certified copies may be
furnished of copies, manuscripts, photo-
graphs, drawings, and other material
deposited in connection with a copyright
registration. Such copies will be furnished
only upon the authorization of the copyright
owner or his agent, upon a court order, or
when requested by an attorney in connection
with actual or prospective litigation. (37
C.F.R. $201.2(d) (2). See topic 15.3.4)

f. Other certifications. Upon payment of cer-
tification and any necessary search fees,
the Office may furnish a certified statement
attesting to any fact within its official
knowledge and competence. (See topic
15.3.5)

Examples:

(1) Certified search reports;

(2) Certification attesting to the fact
that jurisdiction over registration
for commercial prints and labels
was transferred to the Copyright
Office in 1940;

(3) Certification of an old office
circular.

15.2.3 Determination of whether a certified document can or
should be furnished.

I. In general. In fulfilling a request for a cer-
tified document, two questions must be decided:

(1) What document does the applicant want?

(2) Is the applicant qualified or entitled
to receive this document?

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<!-- PageHeader="Ch. 15 15.2.3" -->

##### 15.2.3 Determination of whether a certified document can or should be furnished. (cont'd)

#### I. In general. (cont'd)

In correspondence concerning these questions it
is appropriate to explain the various documents
available and the requirements for obtaining
them, but the Office cannot offer advice as to
what kind of documents may be needed in litiga-
tion or for other purposes.

II. What does the applicant want?

a. Some letters requesting certified documents
are ambiguous and cannot be taken literally.

1\. Where the meaning of the request seems
clear in context, it may be appropriate
to furnish the document without further
correspondence; for example, a request
for "a certified photostat of my certi-
ficate," accompanied by a fee of $2.00,
can be answered by sending an additional
certificate of registration.

2\. Where the meaning of the request is not
clear, the Office should write for fur-
ther instructions; for example, a re-
quest for "a photostat of Registration
No. EU-22779" could refer equally to an
additional certificate, a copy of the
application, or a copy of the manuscript
deposited.

b. Where a letter requesting photostatic copies
of material in the Copyright Office fails to
specify whether or not the copies should be
certified, the case should be carefully con-
sidered on its merits.

1\. If there is nothing whatever in the case
to suggest that the applicant wishes the
document certified, the case may be treated
as a request for photoduplication.

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<!-- PageHeader="Ch. 15 15.2.3" -->

15.2.3 Determination of whether a certified document can or
should be furnished. (cont'd)

##### II. What does the applicant want? (cont'd)

b. (cont'd)

1\. (cont'd)

Example: The applicant says he has lost
the only copy of his song, and wishes
another.

2\. If there is any suggestion or implica-
tion in the case that certification is
desired, the Copyright Office should
write for further instructions before
referring the material to the Photodup-
lication Service. In particular, if it
appears that the material is desired as
evidence in connection with any sort of
legal or administrative proceeding, it
should not be furnished without first
inquiring whether certification is
desired.

c. Many letters do not fully identify the reg-
istration for which they wish an additional
certificate or other certified document.

1\. If the letter gives at least the regis-
tration number and the title, the docu-
ment can usually be furnished by going
directly to the record book, without the
need of searching in the catalogs.

2\. If the letter gives no registration num-
ber, but contains other information (e.g.,
title, author, claimant, etc.) from which
the registration could be identified, the
request should be forwarded to the Refer-
ence Search Section for searching. The
same is true if the registration number
and title (or other information given)
do not coincide.

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<!-- PageHeader="Ch. 15 15.2.3" -->

15.2.3 Determination of whether a certified document can or
should be furnished. (cont'd)

II. What does the applicant want? (cont'd)
c. (cont'd)

2\. (cont'd)

(a) No charge is made for routine
searches of this type.

(b) If enough searching time is consumed,
a search fee may be requested in
appropriate cases.

3\. If the applicant's letter does not fur-
nish sufficient information to permit a
search, the Office should write to the
applicant, requesting more information.
For example, where the applicant merely
requests "an additional certificate of
A-74510," the Office will point out that
entry numbers are repeated several times
in the records, and that a title, year
date, author, or other additional identi-
fication is needed.

4\. The Copyright Office should not place
unqualified reliance on information
furnished by the applicant, since it
may not always be correct. The Office
should not write to the applicant
indicating that it can furnish a particu-
lar document until it has been determined,
either by checking the record book or by
searching, that the registration in
question exists, and that it agrees with
the facts furnished by the applicant.

III. Is the applicant entitled to receive the document?
Some certified documents can be furnished only
if certain conditions or requirements have been
met. (See topics 15.3.3, 15.3.4)

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<!-- PageHeader="Ch. 15 15.2.4" -->

15.2.3 Determination of whether a certified document can or
should be furnished. (cont'd)

III. Is the applicant entitled to receive the
document? (cont'd)

a. The authority or responsibility for deter-
mining whether or not the applicant is
entitled to receive the document varies
depending upon the type of document
involved. (See topics 15.3.3.II,
15.3.4.I.c., 15.3.5)

b. Anyone in the Copyright Office correspond-
ing about certified documents of this type
should be careful not to imply that they
will be furnished as a matter of course,
but instead should explain the conditions
necessary for obtaining them.

### 15.2.4 Preparation and handling of certified documents.

I. Certified documents must be prepared under Copy-
right Office direction and control.

a. In their preparation, certified documents
are of two types:

1\. Documents such as additional certificates,
certified search reports, etc.

2\. Photocopies of Copyright Office records,
correspondence, or deposits certified by
the Copyright Office.

b. In preparing photocopies for Copyright Office
certification, the Photoduplication Service
acts at the direction of the Copyright Office.

1\. The Office must furnish the material and
clearly specify exactly what is to be
copied.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.2.4" -->

15.2.4 Preparation and handling of certified documents. (cont'd)
I. Certified documents must be prepared under
Copyright Office direction and control. (cont'd)

b. (cont'd)

2\. In furnishing material to the Photodup-
lication Service for photocopying, the
Copyright Office must clearly specify
whether it is to be returned to the
Office for certification.

o. The Copyright Office will not certify any
material prepared outside its control.

1\. The Office will not certify copies of
works, photostats, photographs, addi-
tional certificate forms, or other
material sent in for this purpose; this
is in accordance with the Office's
general policy not to undertake compari-
sons of material.

2\. Once an uncertified photocopy of Copy-
right Office records, correspondence,
or deposits has left the Library, it
cannot be returned later for certifica-
tion; this is because of the possibility
that the material may be altered in the
interval. Exception: If the material
was not certified because of an error on
the part of the Copyright Office or the
Photoduplication Service, it can be re-
turned for certification.

II. Need for speed and accuracy. Many certified
documents are requested for use as evidence in
proceedings before courts or administrative
agencies.

a. Certified documents should therefore be pre-
pared without delay, and in some cases the
utmost speed is necessary. If correspondence
is needed, it should likewise be handled with
dispatch.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.2.4" -->

15.2.4 Preparation and handling of certified documents. (cont'd)
II. Need for speed and accuracy. (cont'd)

b. When the records needed to prepare a corti-
fied document are in the process of being
bound, a letter should be sent to the appli-
cant immediately, informing him that a delay
will be unavoidable.

c. The need for accuracy is even more important
than the need for speed in preparing certi-
fied documents.

1\. The facts contained in a certified docu-
ment can often affect the outcome of a
case in court, or can even be the turning
point in the case. Any error, even a
seemingly minor one, can have drastic
consequences; in any case, it reflects
upon the efficiency of the Office.

2\. Certified documents should not only be
prepared with the utmost care and accur-
acy; every document must also be reviewed
with equal care. In reviewing a certifi-
cation of material received from the
Photoduplication Service, it is especially
necessary to check the photocopies against
the material copied, to determine whether
they are complete and in the right order.

II. Use in foreign proceedings. The Office is occa-
sionally called upon to furnish certified docu-
ments for use in litigation or other proceedings
in a foreign country. Usually the applicant
wishes the certificate authenticated by the
Authentication Office of the Department of State,
or certified by a consular officer of the country
involved, or both. While the Office will cooper-
ate to some extent in facilitating the obtaining
of these additional documents, it will not
advance fees or provide messenger service for
this purpose.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.2.4" -->

#### 15.2.4 Preparation and handling of certified documents. (cont'd)

IV. Mailing of certified documents. Unless
special correspondence is necessary, certi-
fied documents are mailed to the applicant
with a printed form letter which indicates
the amount received, the fee charged, and
the amount refunded. The registration
numbers covered by the certified documents
are indicated in the enclosures at the
bottom of this letter.

<!-- PageBreak -->

<!-- PageHeader="Ch- 15 15.3.1" -->

## Part 15.3 TYPES OF CERTIFICATIONS

### 15.3.1 Additional certificates (See topic 15.2.2.II.(b))

#### I. Requests for additional certificates.

a. Additional certificates are requested under
a wide variety of names, of which the follow-
ing are some of the most common:

1\. "Duplicate certificate"

2\. "Copy of record, " or "certified copy of
record"

3\. "Copy of registration" or "certified
copy of registration"

4\. "Copy of copyright" or "certified copy
of copyright"

5\. "Photostat of certificate," "certified
photostat of your record" or "certified
photostat of registration"

6\. "Copyright" (as in "I have lost my copy-
right and would like to obtain another")

b. Where it is clear that what the applicant
wants is an official document proving the
existence of a particular copyright and
showing the facts appearing in the record
of copyright registration, it is generally
safe to send him an additional certificate.

1\. This is true even when the terminology
used in the request is highly ambiguous,
or refers to a "photostat" or "photocopy."

2\. A certified copy of an application does
not have the same evidentiary value as
an additional certificate. It should
not be sent unless the applicant clearly
wants it, and does not want an additional
certificate instead.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.1" -->

##### 15.3.1 Additional certificates (cont'd)

I. Requests for additional certificates. (cont'd)

c. An additional certificate is not necessarily
a "duplicate" of the original certificate,
since the forms used in preparing certificates
have varied widely in size, format, and word-
ing over the years. However, the facts con-
tained in the additional certificate are
taken from the official record of the regis-
tration, and are therefore presumably the
same as those appearing on the original
certificate.

1\. Many old certificates were issued on
3" x 5" cards, and applicants occasion-
ally specify that they wish this form
in requesting an additional certificate.
This form has been abandoned, however,
and can no longer be furnished.

2\. An additional certificate reflects only
those facts appearing on the official
record of that registration.

d. When the registration for which an additional
certificate is desired cannot be located:

1\. The applicant should be told that the
registration cannot be found on the basis
of the information he has provided. If
he can furnish additional information,
together with a search fee, a further
search can be undertaken.

2\. If the applicant appears to own the liter-
ary property in the work, it may be
appropriate to suggest that registration
be made, and to send instructions con-
cerning registration.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.1" -->

###### 15.3.1 Additional certificates (cont'd)

###### I. Requests for additional certificates. (cont'd)

e. With respect to certificates relating
to copyrights that have been renewed or
are eligible for renewal:

1\. If the applicant clearly specifies
that he wishes an additional certifi-
cate for a particular registration
number, the certificate may be furnished
without calling his attention to the
fact that the copyright has been renewed
or is eligible for renewal. However, if
the copyright is eligible for renewal
and no renewal registration has been
made, it may be appropriate to inform
the applicant of the renewal time
limits, or call the case to the atten-
tion of the renewal examiners.

2\. If the applicant requests an additional
certificate covering a particular work,
without specifying whether he wishes a
certificate of original or renewal
registration, he will be informed of
the alternatives available. The same
is true where the applicant states that
he wishes a certificate of renewal regis-
tration, and several renewal registrations
covering the work are found.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.1" -->

###### 15.3.1 Additional certificates (cont'd)

###### II. Form and contents of additional certificates.

a. With the exception of certificates of
Patent Office print and label registrations,
all additional certificates are prepared
by typing the facts of registration from
the official records onto printed
certificate forms.

1\. A great number and variety of forms
are used, dating back to 1870.

2\. The correct form to use in a particular
case depends upon the date when the
registration was made.

b. Registrations made under the law in effect
before July 1, 1909 were not always accom-
panied by the deposit of copies; in many
cases registration was made on the deposit
of a title page, and the copies were
deposited later. In some instances, the
deposit of copies was noted on the record
of registration, but in many instances
this was not done.

1\. If the copies were credited on the
record of registration, this fact
should also be indicated on an
additional certificate, together
with the date of deposit.

2\. If the copies were received but not
credited, no mention of the copies
should be made on the additional
certificate. In such cases the appli-
cant should be informed that he can
also obtain a "certificate of date of
deposit of copies." A special form is
provided for this certificate, and the
regular certification fee of $3.00 is
charged for it.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.1" -->

###### 15.3.1 Additional certificates (cont'd)

###### II. Form and contents of additional certificates. (cont'd)

c. For registration beginning in 1946, for
which the combined application-certificate
forms were used, the body of the original
certificate was substantially identical
with the body of the applications, which
became the record of the entry. However,
these application-certificate forms have
gone through several revisions, and the
present certificate forms may require some
adaptation or amendment to be used as
additional certificates of earlier
registrations.

d. The following practices should be followed
with respect to annotations appearing on
the record of a registration:

1\. Annotations including the Letter "C"
or the abbreviation "Cert." in
parentheses also appeared on the
original certificate, and should be
included on all additional certificates.

2\. Annotations including the letter "A"
or the abbreviation "Appl." in
parentheses appeared on the applica-
tion only, and should not be included
on an additional certificate.

3\. Pencil annotations, initials, and
similar internal markings should not
be reproduced on additional certifi-
cates. The same is true of renewal
registration numbers.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.1" -->

###### 15.3.1 Additional certificates (cont'd)

###### II. Form and contents of additional certificates. (cont'd) d. (cont'd)

4\. When a typewritten or "red ink" annota-
tion does not contain the letters "(A)"
or "(C)," or the abbreviations "Appl."
or "Cert.," consideration must be given
as to whether to include it on an
additional certificate or not. Generally,
the annotation should be included if it
seems likely that it also appeared on
the original certificate.

5\. In reproducing an annotation, abbrevia-
tions such as "C.O." and "appl." should
generally be written out. Annotations
should be preceded by the statement
"Copyright Office Note:", unless they can
be put in the "annotation box" included
on certificate forms in use since 1955.

e. The cash number, date, and amount were not
included on any certificate for an unpub-
lished work until April 3, 1950, or for a
published work until July 1, 1950. Thus,
additional certificates covering registra-
tions made before those dates should omit
the information, and those for registrations
made after those dates should include it.

f. An additional certificate of copyright reg-
istration for a print or label registered
in the Patent Office before July 1, 1940
consists of a photocopy of a carbon copy of
the Patent Office's certificate of registra-
tion (which was bound in series as a record
of the entry), together with the Copyright
Office's certification of the photocopy
(Certification E).

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.1" -->

###### 15.3.1 Additional certificates (cont'd)

###### II. Form and contents of additional certificates. (cont'd) f. (cont'd)

1\. Upon receiving a request for such a
document, the Copyright Office will
supply a photocopy at its own expense.

2\. The applicant is charged the regular
fee of $2.00 for such an additional
certificate.

#### III. Preparation and handling of additional certi- ficates.

a. In preparing additional certificates, every-
thing added to the printed certificate form
(other than the signature of the Register)
should be typewritten, whether the material
on the original record is handwritten, type-
written, or stamped. This includes not only
the material in the body of the certificate,
but also the registration number, the cash
number, date, and amount, the dates of
receipt, and any annotations.

b. Every additional certificate covering a
registration made after July 1, 1909 (except
Patent Office registrations) is stamped to
identify it as an additional certificate.

c. When the applicant requests the Office to
issue an additional certificate at the same
time it issues the original certificate,
and includes a fee for this purpose:

1\. The Examiner should attach the letter of
request (or a photocopy) to the original
certificate, at the time he clears the
case.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.2" -->
<!-- PageHeader="15-26" -->

##### 15.3.1 Additional certificates (cont'd)

###### III. Preparation and handling of additional certi- ficates. (cont'd)

c. (cont'd)

2\. The additional certificate should
be prepared before the original is
mailed.

15.3.2 Certified copies of official records (See topic
15.2.2II.c.)

I. The Copyright Office will furnish a certified
copy of any paper that can be regarded as an
official record of the Office (see Chapter 14
and 37 C.F.R. §201.2. (b)). Such papers will
ordinarily be furnished without question, as a
matter of course.

II. The following printed certification forms are
provided for four common types of certified
copies of official records:

a. Certification B: assignments and related
documents

b. Certification C: Applications, including
pre-1909 applications but not Patent Office
applications

c. Certification G: Patent Office applications

d. Certification I: Notices of use

III. Special typewritten certifications must be drawn
up for other copies of official records. These
certifications include :

a. Copy of entry from Catalog of Copyright
Entries

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.2" -->

15.3.2 Certified copies of official records (cont'd)
III. Special typewritten certifications (cont'd)

b. Copy of card from Copyright Card Catalog

c. Copy of notice of intention to use

d. Photocopy of the entry in the record
book

IV. The following are special points to bear in
mind:

a. Although the form for filing a notice of
use (Form U) is similar to the application
forms, it is different in effect (see
Chapter 13). No registration is made, and
no certificate is issued. An acknowledgment,
similar to a certificate but not under seal,
is sent at the time the notice of use is
recorded, but there is no provision for fur-
nishing an "additional acknowledgment." A
certified (or uncertified) photocopy of the
notice itself can be provided, however.

b. For a period of some time after the white
application-certificate forms were intro-
duced in 1945-1946, the Office adopted the
practice of itself transferring the informa-
tion from the small pink or blue card appli-
cations to the new white forms. The
applicant's own application was retained in
a special file, and the Office noted the
transfer on the white application, which
became the record of the entry.

1\. When the Office receives a request for a
certified copy of an application in such
a case, it should provide a copy of the
applicant's own application, rather than
the application prepared in this Office.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.3" -->

### 15.3.2 Certified copies of official records (cont'd)

### IV. (cont'd)

b. (cont'd)

2\. This necessitates withdrawing the appli-
cation from file, and having it stamped
with the registration number.

c. The Patent Office records of print and label
registrations were transferred to the Copy-
right Office in 1940, but it was found
impossible to transfer the records of assign-
ments and related documents, since they were
inseparably combined with the records of
patent assignments. Thus, anyone wishing a
certified copy of an assignment or related
document covering a print or label regis-
tered in the Patent Office before 1940 should
be referred to the Patent Office.

### 15.3.3 Certified copies of correspondence (See topic 15.2.2.II.d.)

I. Copies of correspondence (certified or not) can
be furnished only under the following circum-
stances:

a. The material to be copied must consist of
"official correspondence, including prelim-
inary applications, between copyright
claimants or their agents and the Copyright
Office" (37 C.F.R. §201.2(c)). Such
material includes anything (other than
deposit copies) that the applicant sent to
the Copyright Office and that became a part
of the correspondence file-including un-
registered applications -- and the file copies
of the Office's letters to the applicant.
It also includes any mailing wrappers pre-
served in the correspondence file, and re-
turn receipts or similar material furnished
by the Post Office or Western Union in

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.3" -->

### 15.3.3 Certified copies of correspondence (cont'd)

#### I. (cont'd)

##### a. (cont'd)

connection with the correspondence. It
does not include examiners' recommenda-
tions, etc.

b. The correspondence must generally relate
directly to a completed registration or
to a recorded document.

1\. Where a particular letter concerns more
than one subject, only that part relating
directly to a registration or recordation
will be copied.

2\. Correspondence dealing with a pending or
rejected application will be furnished
only when authorized by the claimant or
his agent, or when a written request
shows "good cause" for opening the file
and "establishes that the person making
the request is one properly and directly
concerned." (37 C.F.R. § 201.2(c) (2) (ii)).

c. Any request for copies of correspondence
must contain a statement from which the
Office can determine that the writer is a
person "properly and directly concerned, "
and must identify the specific material
desired (37 C.F.R. § 201.2(d) (3)).

II. The task of determining what correspondence
can be copied is entrusted to the Chief of the
Reference Division. He has the responsibility of
determining what pieces of correspondence the
applicant wishes copied and, of those, which
he is entitled to have copied.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.4" -->

### 15.3.3 Certified copies of correspondence (cont'd)

#### II. (cont'd)

a. Only those pieces of correspondence which
are to be copied will be sent to the
Photoduplication Service.

b. In appropriate cases the Chief of the
Reference Division may consult with the
Chief of the Examining Division in deter-
mining the availability of certain
correspondence for copying.

III. Every certification covering correspondence
must be specially drawn. If the various pieces
of correspondence all relate to the same regis-
tration, or group of related registrations,
they may all be included under one certification,
but each item copied must be separately identi-
fied in the certification.

15.3.4 Certified copies of copyright deposits, etc. (See
topic 15.2.2.II.e.)

I. Circumstances under which copies of deposits
may be made and certified.

a. The Copyright Office Regulations (37 C.F.R.
§201.2(d)) provide the following as the
only circumstances under which the Office
will permit the copying of copyright
deposits:

1\. When authorized in writing by the
copyright owner or his designated
agent;

2\. When required in connection with actual
or prospective litigation in which the
copyrighted work is involved, if the
attorney for either side gives the

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.4" -->

15.3.4 Certified copies of copyright deposits, etc. (cont'd)

I. Circumstances under which copies of deposits
may be made and certified. (cont'd)

a. (cont'd)

2\. (cont'd)
following information in writing (pre-
ferably on a special form provided
for this purpose) :

(a) The names of the parties and the
nature of the controversy;

(b) The name of the court where the
action is pending or, if the action
is prospective, a full statement of
the facts of the controversy;

(c) Satisfactory assurances that the re-
quested copy will be used only in
connection with the specified
litigation.

3\. When an order to have the copy made is
issued by a court in a case where the
copy is needed as evidence.

b. In order for the Copyright Office to certify
a copy of a deposit, the deposit must generally
be under the jurisdiction of the Office. The
Office will generally not certify a copy of a
deposit that has been transferred to the
Library of Congress, even if the deposit is
still physically in the Copyright Office.

1\. It may be possible for the Library to
certify the copy in certain cases, if
the deposit has been retained in its
collections.

2\. When the Copyright Office receives a re-
quest for a certified copy of a deposit
that has been transferred to the Library,

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.4" -->

### 15.3.4 Certified copies of copyright deposits, etc. (cont'd) I. Circumstances under which copies of deposits may be made and certified. (cont'd)

b. (cont'd)

2\. (cont'd)
it will write to the applicant explaining
the situation, and will send the request
on to the Library for whatever action is
possible. The request will ordinarily be
routed to the Photoduplication Service.

c. Responsibility for determining whether a
deposit can be copied in a particular case
is shared by the Copyright Office and the
Photoduplication Service.

1\. When a request for uncertified copies
goes directly to the Photoduplication
Service, which in turn requests the
Office to provide the deposit for copying,
no question as to authority will be raised,
on the assumption that the conditions
have been met to the satisfaction of the
Photoduplication Service.

2\. When a request for certified copies is
received in the Copyright Office, the
Office will evaluate the request and
correspond about it if, in the Office's
opinion, it does not fulfill the condi-
tions specified in the Copyright Office
Regulations.

(a) Responsibility for deciding whether
the conditions have been met in a
particular case rests with the Chief
of the Reference Division, who may
consult the General Counsel concern-
ing doubtful cases.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.4" -->

15.3.4 Certified copies of copyright deposits, etc. (cont'd)

I. (cont'd)

c. (cont'd)

2\. (cont'd)

(b) When copies of less than an entire
deposit are to be certified, it shall
also be the responsibility of the
Copyright Office to determine what
parts of the deposit are to be copied,
and to provide this information to
the Photoduplication Service.

### II. Form and contents of certified copies of deposits (other than Patent Office deposits).

a. As a rule, certified copies of copyright
deposits consist of one or more photocopies
or photographs, accompanied by a printed
certification form (Certification D).

1\. Photocopies prepared by processes other
than photography are provided for most
flat material. Black-and-white photo-
graphs are usually provided for three-
dimensional deposits and for flat items
requiring special lighting or composition
for a proper reproduction. Color prints
and transparencies have occasionally
been furnished.

2\. A special certification must be drawn and
typed if the material copied is less than
the entire deposit, or if it is not the
actual deposit copy (e.g., a photograph
deposited in lieu of a copy).

b. In any case where the Copyright Office is
certifying a copy of a deposit, the material
certified must include a copy of the page or
surface bearing the registration number and
date of deposit.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.4" -->

15.3.4 Certified copies of copyright deposits, etc. (cont'd)
II. Form and contents of certified copies of deposits
(other than Patent Office deposits). (cont'd)
b. (cont'd)

1\. This frequently means making an extra
copy, and it is the responsibility of
the Copyright Office to give the Photo-
duplication Service clear instructions
on this point.

2\. Where the material is being photographed,
it is permissible for the Office to type
the number and date on a slip of paper
which can be placed next to the object
and photographed with it, thus avoiding
the necessity of making another expensive
photograph.

c. When requested, it is permissible to copy
and certify only certain pages or portions
of a work. A special certification clearly
identifying the material certified must be
drawn and typed in such cases, and the
material copied and certified must include
the page or surface bearing the registration
number and date of deposit.

d. In Classes G, H, I, K, and KK, before
August 11, 1956, photographs were sometimes
deposited in addition to, or instead of,
three-dimensional copies, although their
legal status was unclear.

1\. Copies of these photographs may be certi-
fied, but not as actual deposits; special
certifications must be typed, referring
to them as "deposited in connection with
." a particular registration.

2\. Copies of these photographs are not to be
provided when the applicant requests copies
of the deposit; they are supplied only when
specifically requested.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.4" -->

15.3.4 Certified copies of copyright deposits, etc. (cont'd)

II. Form and contents of certified copies of deposits
(other than Patent Office deposits). (cont'd)

e. As of August 11, 1956 the statute (17 U.S.C.
§13) and the Regulations (37 C.F.R. §202.16)
permit the deposit of photographs or other
identifying reproductions in lieu of copies
under certain conditions (see topic 5.2.2.I.i.)

1\. In such cases a special certification,
identifying the material as "photographs
or identifying reproductions deposited
in the Copyright Office in lieu of copies
as provided by Section 13 of Title 17,
U.S. Code, . . . ," should be drawn and
typed.

2\. In such cases all of the photographs or
reproductions in a set should be repro-
duced unless the request specified that
only certain ones are to be copied.

III. Certified copies of prints and labels deposited
in the Patent Office.

a. When the Copyright Office receives a request
for a certified copy of a print or label
deposited in the Patent Office before
July 1, 1940:

1\. It will add the registration number and
date of receipt to one of the copies in
the Patent Office file wrapper.

2\. It will have the copy photocopied.

3\. It will certify the photocopy by attach-
ing a special printed form (Certifica-
tion F).

b. Ten copies of a print or label were required
for a Patent Office registration. Since

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.3.5" -->

### 15.3.4 Certified copies of copyright deposits, etc. (cont'd)

III. Certified copies of prints and labels deposited
in the Patent Office. (cont'd)

b. (cont'd)
only two copies are needed for copyright
purposes, the Office will furnish the
extra copies in excess of two without
charge, one at a time, if they are to be
certified.

1\. A special printed form (Certification
H) is provided for this purpose.

2\. If the special printed form is used,
it is not necessary to add the regis-
tration number and date of deposit to
the copy.

### 15.3.5 Other certifications (See topic 15.2.2.II.f.)

Aside from certified search reports which are drawn
and typed by the Reference Search Section, other
certifications are generally unique and require care-
ful consideration in drafting. Preparation of such
certifications should be undertaken in conjunction
with the Chief of the Examining Division, the General
Counsel, or the Chief of the Reference Division, de-
pending upon the nature of the statement or material
to be certified.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.4.1" -->

## Part 15.4 FEES

### 15.4.1 Statutory provisions and regulations.

I. "The Register of Copyrights shall receive, and
the persons to whom the services designated are
rendered shall pay, the following fees:

...

"For every additional certificate of regis-
tration, $2.

"For certifying a copy of an application for
registration of copyright, and for all other
certifications, $3." (17 U.S.C. §215)

II. "Requests for additional certificates of regis-
tration should be sent to the Copyright Office,
and the accompanying fees should be made payable
to the Register of Copyrights." (37 C.F.R.
§ 201.2(d)(1))

15.4.2 Handling of fees for photoduplication and certifica-
tion.

I. When writing about the fees for certified photo-
copies, separate remittances should be requested.

a. If the total fee is included in a single
remittance made payable to the Register of
Copyrights, it is possible to have the
photoduplication fee transferred to the
Photoduplication Service.

b. It is possible but preferable not to trans-
fer funds from a Copyright Office deposit
account to the Photoduplication Service.
Before writing for a photoduplication fee,
however, the Office should determine whether
the applicant also maintains a deposit
account in the Photoduplication Service.

<!-- PageBreak -->

<!-- PageHeader="Ch. 15 15.4.2" -->
<!-- PageHeader="15-38" -->

### 15.4.2 Handling of fees for photoduplication and certification. (cont'd)

#### I. (cont'd)

c. When there is any doubt as to the correct
photoduplication fee the material should
be referred to the Photoduplication Service
for an estimate.

II. Before writing for a fee for a certified photo-
copy, the Office should examine the material to
be copied and estimate the photoduplication fee
as accurately as possible.

a. A current schedule of Photoduplication
Service fees is available for use as an
enclosure to Copyright Office letters.

b. In quoting photoduplication fees, it
should be borne in mind that the
Photoduplication Service charges an
additional fee for postage and handling,
but that this fee is not charged if the
material is certified by the Copyright
Office.

c. In appropriate cases, the Copyright
Office will obtain an estimate from
the Photoduplication Service before
communicating with the applicant.

III. No charge is made for certified documents pre-
pared at the request of another government
agency if needed for official purposes.

IV. In exceptional cases, where the material is
needed immediately for use in court or for simi-
lar purposes, it may be possible to supply
certified documents before the required fee has
been received. The applicant will be billed
for the material in such cases.

<!-- PageBreak -->

## SUPPLEMENTARY PRACTICES TABLE OF CONTENTS

Number

Title

Page

1

COMMERCIAL PRINTS AND LABELS

8-2

2

PATENT APPLICATIONS

8-5

3

UNPUBLISHED COLLECTIONS

8-6

4

INSIGNIA

8-7

5

SINGLE APPLICATION FOR SEVERAL VERSIONS OF THE SAME WORK

8-8

6

OBSCENE WORKS

8-9

7

CONFIDENTIAL MATERIAL

8-10

8

WORKS OF ART

S-11

9

GOVERNMENT PUBLICATIONS

S-16

10

MECHANICAL REPRODUCTION OF TEXT MATTER

8-20

11

PRACTICES CONCERNING "REFERRALS"

8-21

12

PRACTICES: VARIANCE IN CLAIM INVOLVING FOREIGN BUSINESS ORGANIZATION TERMINOLOGY

8-42

13

REFERRAL OF CERTAIN CASES INVOLVING PUBLISHED WORKS FROM THE EXAMINING DIVISION TO THE COMPLIANCE SECTION, REFERENCE DIVISION

8-45

14

MUSIC EXAMINING: NEW MATTER MINIMAL OR NOT CLEARLY STATED

S-47

15

CANCELLATION CASES

S-48

<!-- PageBreak -->

### SUPPLEMENTARY PRACTICES TABLE OF CONTENTS (continued)

Number

Title

Page

16

DETERMINATION OF EFFECTIVE DATE OF REGISTRATION FOR UNPUBLISHED WORKS WHERE THE MATERIAL SUB- MITTED FOR REGISTRATION CONTAINED A CLEAR DISCREPANCY WHICH THE COPYRIGHT OFFICE SHOULD HAVE OBSERVED BEFORE COMPLETING THE ENTRY

8-50

17

UNITED STATES COPYRIGHT RELATIONS AND ACCEPTABLE STATEMENTS OF CITIZENSHIP

8-52

18

NOTICE CONTAINING THE YEAR DATE IN WHICH COPYRIGHT WAS SECURED PLUS AN EARLIER DATE OR DATES NOT APPLICABLE TO THE WORK

8-73

19

ANNOTATION IN ANTEDATED NOTICE CASES WHERE THERE IS MORE THAN ONE YEAR DATE IN THE NOTICE

8-74

20

REVISED PROCEDURE FOR APPEAL CASES

8-75

21

PRACTICE CONCERNING THE FEE TO BE CHARGED IN CASES PENDING IN THE COPYRIGHT OFFICE ON THE EFFECTIVE DATE OF THE FEE INCREASE [November 26, 1965]

8-78

22

DATES OF RECEIPT APPEARING ON THE APPLICATION AND COPIES OR COPY

8-81

23

RETURN OF DEPOSIT COPIES IN CASES WHERE NO REPLY HAS BEEN RECEIVED TO COPYRIGHT OFFICE CORRESPONDENCE

8-84

24

RIDERS TO APPLICATIONS

8-85

<!-- PageBreak -->

### SUPPLEMENTARY PRACTICES TABLE OF CONTENTS (continued)

Number

Title

Page

25

INQUIRIES CONCERNING THE COPYRIGHT OFFICE AND OTHER DEPARTMENTS OF THE LIBRARY

8-87

26

CORRESPONDENCE IN CASES INVOLVING REPRINT MATERIAL

8-88

27

USE OF PSEUDONYMS IN THE COPYRIGHT NOTICE

8-89

28

SINGLE APPLICATION SUBMITTED FOR SEVERAL VERSIONS OF THE SAME PUBLISHED OR UNPUBLISHED WORK

8-92

29

SINGLE PAGE RULE FOR COPYRIGHT NOTICES

8-96

30

REFUNDING OF EXCESS FEES

8-98

31

REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD

8-99

<!-- PageBreak -->

# No. 1 COMMERCIAL PRINTS AND LABELS

I.
Commercial prints and labels must contain copy-
rightable literary or artistic matter to be
registrable. [May 1952]

II.
Prints and labels which may also be trade-marks.
The Office will make no investigation to determine
whether the copyrightable matter in a print or
label may also be or become a trade-mark. A print
or label containing copyrightable literary or
artistic matter may be registered, under the rule
of doubt, even though the copyrightable matter may
also be or become a trade-mark.

One of the requirements for trade-mark registration
is that the trade-mark must have been used before its
registration. Hence, where the deposit copies of a
print or label bear a notice of trade-mark registration
which indicates that the registered trade-mark includes
all the copyrightable matter, the Office will question
whether the deposit copies are copies of the work as
first published. In such cases, in order to determine
whether the copies first published bore a copyright
notice, we will ask the applicant to submit copies
of the work as first published.

The deposit copies need not be questioned where the
notice of trade-mark registration indicates that the
registered trade-mark includes only a part of the
copyrightable matter. [March 1953]

<!-- PageBreak -->

## III. Commercial Prints: Single-Page Works.

(1) A single-page print advertising articles of
merchandise should be registered on Form KK.
If Form A is submitted, the Office will try
to secure Form KK.

(2) A single-page advertisement of services or of
an institution (rather than of particular
articles of merchandise) may be registered on
either Form KK or Form A.

(3) A single-page advertisement consisting of
text only may be registered on either Form KK
or Form A. [July 1953]

## IV. Commercial Prints: Multi-Page Works.

(1) For a multi-page collection of commercial
prints (e.g., a merchandise catalog), the
Office will recommend the full form of notice
in book position and registration on Form A.

(2)
A multi-page work with the full form of notice
in book position should be registered on Form A.
If Form KK is submitted, the Office will write
and suggest Form A.

(3)
Where a multi-page work has an abbreviated
notice, or where the notice is not in book
position but does appear at the front or
back of the work where it is readily seen, a
KK application may be accepted under the rule
of doubt, with a cautionary letter. If Form A
is submitted, the Office will reject it but
mention the possibility (with a note of caution)
of registration on Form KK.

(4)
A multi-page work in which the notice is not
readily seen (e.g., on page 25 of a 50-page work)
will not be registered. [July 1953]

<!-- PageBreak -->

<!-- PageHeader="S-4" -->

V. Extra copies of commercial prints and labels. When the
Patent Office was registering commercial prints and
labels (prior to July 1, 1940) it required the deposit
of extra copies which are now held in the Copyright
Office. Since only two copies are needed for copyright
purposes, the Copyright Office may furnish the extra
copies in excess of two without charge, one at a time,
if they are to be certified.

<!-- PageBreak -->

## No. 2

# PATENT APPLICATIONS

Patent applications. Under the Patent Law, the
material contained in a patent application goes
into the public domain when a patent is issued;
and a patent application must be filed in the
Patent Office within one year after the invention
has been described in any printed publication.

A copyright claim in the text description or in
the drawings or photographs in a patent application
will not be registered after the patent has been
issued.

Before a patent application has been filed or
while it is pending in the Patent Office, a copy-
right claim in the text description or in the
drawings or photographs may be registered for
copyright; but we will warn the applicant (1) that
copyright will not protect the idea or invention,
(2) if the patent application has not been filed,
that the time for filing it in the Patent Office
may expire one year after publication or (if the
work has not been published) one year after
registration, and (3) that if he obtains a patent,
copyright on the material in the patent application
may cease when the patent is issued.

When a patent application has been rejected by the
Patent Office, a copyright claim in the material
in the application may be registered. The filing
of the application in the Patent Office will not
be considered publication in the copyright sense.
[December 1952]

<!-- PageBreak -->

# No. 3

## UNPUBLISHED COLLECTIONS

Unpublished collections. An unpublished collection of
works copyrightable under section 12 of the Copyright
Law may be registered on one application when all the
following conditions are met:

(1) The collection is assembled in an orderly
arrangement;

(2) The collection bears a single title identifying
the collection as a whole;

(3)
The collection as a whole is the subject of a
single claim of copyright;

(4) All the component works are by the same author,
or (if the component works are by different
authors) the collection as a whole represents
the work of a single author in its compilation;
and

(5) The component works are all of the same class,
or the component works are principally of the
class in which the collection is to be registered.
[March 1953]

<!-- PageBreak -->

### No. 4

### INSIGNIA

Insignia. The Office will not attempt to determine
whether an emblem appearing in a deposited work is
one which some person or organization other than the
applicant has the exclusive right to use. However,
where the emblem is readily recognized as the well-
known emblem authorized by Federal statute for
exclusive use by a particular organization (e.g.,
the Red Cross or Smokey Bear), the Office may make
inquiry as to the applicant's right to use it in the
deposited work. [July 1953]

<!-- PageBreak -->

# No. 5 SINGLE APPLICATION FOR SEVERAL VERSIONS OF THE SAME WORK

Single Application for Several Versions of the Same Work.

Where several versions of the same work (e.g., different
arrangements of the same song; or English, French, and
Spanish versions of the same book) are separately bound
but are submitted with one application:

1\. If the applicant states, or if we have other
reason to believe, that the several versions
were published together as a single work, they
may be registered together on the one application.

2\.
If there is nothing (other than the single date
of publication given in the application) to
indicate that the several versions were published
together as a single work, we will inquire whether
such was the case.

3\. If we are informed that the several versions
were published separately, we will ask for
separate applications. [July 1954]

<!-- PageBreak -->

## No. 6

## OBSCENE WORKS

Obscene Works.

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

b. If the examiner believes, upon an ordinary
examination, that a work is obscene, the Chief of
the Examining Division will determine whether the work
should be referred to the Department of Justice for
possible prosecution. If the work is not so referred,
the copyright claim may be registered.

c. When a work is referred to the Department of
Justice, registration will be held up pending action
by that Department. [September 1954]

<!-- PageBreak -->

# No. 7 CONFIDENTIAL MATERIAL

## Confidential Material.

a. Classified security material. If a work
appears likely to contain material classified by the
Government as security information (usually identified
by the marking "Top Secret," "Secret," or "Confidential",
and sometimes bearing a notation that the material
contains information affecting the national defense),
the copies should immediately be turned over to the
Security Officer, and we will ask the applicant to
explain the confidential character of the material.
A work containing classified security information
will not be registered.

b. Other confidential material. When an appli-
cant requests that the deposit copies be withheld from
inspection by the public, we will inform him that
registration cannot be made with such a restriction.
[ September 1954]

<!-- PageBreak -->

<!-- PageHeader="S-11" -->

# No. 8

# WORKS OF ART

## WHAT ARE WORKS OF ART.

### I. In General.

a. No precise definition of a work of art can be given.
In broad terms, a work of art is an original
pictorial, graphic, or plastic work designed to dis-
play a pattern or shape for the sake of its esthetic
appeal to the eye, as distinguished from one designed
to convey factual information or to fulfill a useful
function.

b. In order to be acceptable as a work of art, the work
must embody some creative authorship in its pattern
or shape. Thus, a work consisting solely of a commonly-
used geometric figure or pattern or a well-known symbol
is not acceptable as a work of art.

For example, we would not accept:

(1) A simple triangle in a circle.

(2) An ordinary fleur-de-lis.

(3) A simple pattern of white polka dots
on a blue background.

(4) A simple checkerboard pattern of
green and yellow squares.

(5) A Scotch plaid.

c. In determining whether or not a particular work is a
work of art, the following factors are not to be considered:

1\. The artistic merit of the work. (For example,
a childish drawing of a landscape or an
abstract painting or sculpture that the
examiner considers hideous or meaningless,
may be acceptable as a work of art).

2\. The capacity of the work to represent or
symbolize a recognizable object. Thus, an
abstract or non-objective design, if it
clearly represents creative authorship,
may be accepted as a work of art, for example:

<!-- PageBreak -->

(1) An abstract painting (such as those
of Mondrian or Jackson Pollock).

(2) An abstract sculpture (such as
those of Noguchi or Lipschitz).

(3) A collage or construction (e.g.,
an assemblage and arrangement of
materials such as bits of colored
paper, pieces of wood or stone,
wire, etc., into esthetic forms
as such).

3\. The material of which the work is made or
on which it appears. (For example, a figure
sculptured out of soap, a drawing burned into
a piece of leather, a painting on a sheet of
glass, or a print on a piece of cloth, may
be acceptable as a work of art.)

### II. Works of Pure Art.

a. Any work of the traditional fine arts may be
accepted for registration. Included are two-
dimensional works such as paintings, drawings,
etchings, lithographs, engravings, mosaics,
etc .; and three-dimensional works such as
sculptures, porcelain figurines, carvings,
bric-a-brac, etc.

b. The registrability of a work of art is not
affected by the following factors:

1\. The intention of the author as to the
use of the work. (For example, regis-
trability would not be affected by the
fact that (1) a drawing is to be used
as a design for automobiles, or (2) a
painting is to be used as decoration
on tea trays, or (3) a statuette is to
be used as a base for lamps).

2\. The number of copies reproduced.

3\. The availability of protection under the
design patent law.

c. The fact that a work of art has as its subject
an article of utility, or is the design or model
for an article of utility, will not preclude its
registration in Class G. However, if there is
some indication that the applicant is seeking
protection for the article of utility portrayed,
we will write a cautionary letter.

<!-- PageBreak -->

Examples :

1\) A drawing of an automobile body.

(2) A painting of a dress design.

(3) A hand-carved ship model.

### III. Works of Art Embodied in Useful Articles.

a. The fact that a two-dimensional work of art
appears as surface ornamentation on an
article of utility will not preclude registra-
tion for the work of art as such apart from
the article of utility.

Examples :

(1) A painting on a dinner plate.

(2)
An etching on a tray.

(3) A portrait printed on a cigar box.

(4) A floral design on a kitchen chair.

(5) A printed picture of Roy Rogers on
a child's brush and comb set.

(6) An artistic print on wrapping paper
or on a paper bag.

b. The fact that a three-dimensional work of art
is used in combination with other material to
make a useful article will not preclude regis-
tration for the work of art as such apart from
its use in such article.

Examples :

(1) A sculptured figure used as the handle
of a letter opener.

(2) A statuette used as a lamp base.

(3) Artistic scroll work framed as a fire
screen.

(4) A sculptured figure mounted on a base
containing an ash tray.

c. A painting, print, or woven pattern, if other-
wise acceptable as a work of art, is not barred
from registration by the fact that it appears on
a textile material or a textile product.

#### Examples :

(1) A tapestry.

(2) An artistic pattern woven into a rug.

(3) An artistic pattern printed on drapery.

(4) A needlepoint seat cover.

(5)
An embroidered sampler.

<!-- PageBreak -->

(6)
A painting on cloth.

(7) A work of art printed on a handkerchief.

(8) A work of art printed on piece goods.

(9) A work of art printed on a T-shirt, or
on a necktie.

d. Where a work of art appears on or is part of an
article of utility, and there is some indication
that the applicant is seeking protection for the
article of utility, we will write a cautionary
letter.

Examples :

(1) Where a girl's figure is painted on the
nose of an airplane, but photographs
of the entire airplane are submitted.

(2) Where the correspondence indicates that
applicant is seeking protection for a
kitchen chair (on which a work of art is
painted), or for a lamp (in which the base
is a statuette), or for a T-shirt (on
which a work of art is printed).

e. Where a work of art appears on or is part of an
article of utility, the title or description of
the work given in the application should not be
such as will indicate that the article of utility
is the work copyrighted. If such a title or
description is given, we will request a new
application with a title and description identify-
ing the work of art itself.

For example, we will not accept as a title
"kitchen chair" or "table lamp" or "T-shirt".

IV. Attractively Shaped Articles of Utility.

a. When the shape of an article is dictated by,
or is necessarily responsive to, the require-
ments of its utilitarian function, its shape,
though unique and attractive, cannot qualify
it as a work of art.

Examples :

(1)
) Machinery such as generators or lathes.

(2) Tools such as saws or hammers.

(3) Instruments such as hypodermic needles,
scalpels, calipers, or hair clippers.

<!-- PageBreak -->

b. When the sole intrinsic function of an article
is its utility, the fact that it is uniquely
and attractively shaped will not qualify it as
a work of art (but see item V below). In
appropriate cases of this kind we may suggest
that the applicant write to the Patent Office
for design patent information.

Examples :

(1)
Automobiles.

(2)
) Machines such as cement mixers,

air conditioners, or washing machines.

(3)
Household equipment such as bathtubs,
sinks, refrigerators, pots and pans.

(4) Furniture.

(5)
Wearing apparel.

V. Works of Art that are also Articles of Utility.

&.
When an object is clearly a work of art in
itself, the fact that it is also a useful
article will not preclude its registration.

#### Examples :

(1)
A stained-glass window.

(2) A bas relief door.

(3) Sculptured figures usable as book ends.

(4) A sculptured figure with a slot for
use as a bank.

(5)
A mortuary urn.

(6) An artistic vase or bowl.

(7) Artistic jewelry.

b. In very rare cases an article of utility that
will not ordinarily be considered a work of art
may be so artistically shaped that, when its util-
ity is ignored or exhausted, it is intrinsically
valuable as an object of display for its esthetic
appeal to the eye. In such very rare instances
the article may be acceptable as a work of art.

#### Examples :

(1) Bottles.

(2) Drinking glasses.

(3) Dishes.

(4) Picture frames.

[ October 1954]

<!-- PageBreak -->

# No. 9 GOVERNMENT PUBLICATIONS

I.
Basic Rule. Publications of the United States
Government are not copyrightable (17 U.S.c. § 8).

II.
Authorship as Criterion.

a.
Government authorship

1\. A published work authored by a U.S.
Government agency (i.e., by its officers
or employees in the course of their duties)
is a U.S. Government publication and hence
is not copyrightable.

Examples :

(1) Acts, reports, or hearings of
Congress .

(2) Executive orders or proclamations.

(3) Agency rules and regulations,
bulletins, reports, forms,
circulars.

(4) Federal court decisions.

2\. An unpublished work of a class eligible
for registration under section 12 of
Title 17 U.S.C., when authored by a U.S.
Government agency, will be treated as a
government publication and hence will
not be accepted for registration.

3\. A copyright claim by a private person in
a reprint of a Government publication is
not registrable (unless it contains copy-
rightable new matter).

<!-- PageBreak -->

4\. If the Office has information indicating
that a work printed and distributed pri-
vately with a copyright notice was au-
thored by a U.S. Government agency, we
will make inquiry as to the Government's
authorship of the work.

Examples of information which may
so indicate:

(1) A government agency is named
as the claimant or author.

(2) A government officer in his
official capacity is named as
the claimant or author.

(3) The work appears to be an official
report of the Government.

## b. Private authorship.

1\. A work written by a Government employee
on his own time as his own personal work
is not a Government publication and may
be acceptable for registration.

2\.
. The work of a private author, though
printed and distributed by the Govern-
ment for its use, is not a Government
publication. A copyright claim by the
private author may be registrable.

For example, a scientific treatise
by a private author who permits the
Defense Department to print and dis-
tribute copies to Army personnel, with
a copyright notice in the author's name.

3\. When an individual is named as author in
the application but the work bears the
indicia of a Government publication (e.g.,
a Government agency is the claimant, or
the work appears to be an official Govern-
ment report, or the work was printed by the
Government Printing Office), we will inquire
as to the facts of Government or private
authorship of the work.

<!-- PageBreak -->

III.
Government Printing. The fact that a work was
printed by the U.S. Government is an indication
that it may be a Government publication, but is
not conclusive. If an individual or private or-
ganization is named as the author or claimant,
we will inquire as to the facts of Government
or private authorship. (See items II, b, 2 and
3, above).

### IV. Claim by or on Behalf of U.S. Government.

a.
A claim of copyright by a particular agency
of the U.S. Gov't., or by an officer of the
U.S. Gov't in his official capacity, or by
an individual "on behalf of" or "in trust
for" the U.S. Government, will be treated
as a claim of copyright by the Government.

b.
A claim of copyright by the U.S. Government
in a published work is an indication that the
work is a Government publication, but is not
conclusive. If there is an indication of non-
Government authorship, we will inquire as to
the facts of authorship and the acquisition of
the copyright by the Government.

c.
Where a work of private authorship was first
published with notice of copyright in a private
person and was later acquired by the Government,
we will suggest registration in the name of the
original claimant and recordation of the assign-
ment to the Government.

v.
Governments Other Than U.S.

a.
State governments. Publications of State
governments or of their local subdivisions
(counties, cities, school boards, housing
authorities, etc.) are acceptable for reg-
istration.

b.
Territories of the U.S.

1\. Incorporated territories. The governments
of incorporated territories of the U.S.
(e.g., Puerto Rico) may be comparable with
State governments, though this is a matter
of doubt. Their publications may be ac-
cepted for registration with a cautionary
letter.

<!-- PageBreak -->

2\. Unincorporated territories. Publications
of the governments of unincorporated
territories of the U.S. (Guam, Panama
Canal Zone, Virgin Islands, Samoa) will
be treated as publications of the U.S.
Government.

c.
Foreign governments. Publications of the
governments of foreign countries with which
we have copyright relations are acceptable
for registration.

d.
International governmental organizations.
Publications of international governmental
organizations (e.g., the United Nations and
its specialized agencies such as UNESCO,
ECOSOC, FAO, WHO, or ILO, or the Organization
of American States) are acceptable for reg-
istration.
[December 1955]

<!-- PageBreak -->

<!-- PageHeader="No. 10" -->

# MECHANICAL REPRODUCTION OF TEXT MATTER

A claim to copyright in the mere mechanical reproduction
of text and allied matter is not registrable. The Office
will, therefore, reject applications where it is apparent
that a photograph, microfilm or similar reproduction of
text and allied matter, was produced by a mere mechanical
procedure, and that no intellectual labor was involved in
the composition.

The present practice of accepting photographs which are
not mere mechanical reproductions of existing texts or
allied matter remains unaffected.

[November 1956]

<!-- PageBreak -->

<!-- PageHeader="S-21" -->

## No. 11

## PRACTICES CONCERNING "REFERRALS"

### I. In General.

A. Definition. A "referral" is a case in which registra-
tion has been made and, thereafter, an apparent error
or inconsistency is discovered which cannot be resolved
without returning the case to the Examining Division or
the Service Division for action.

B. General Policy.

1\. As a rule, a case should be handled as a referral
only under the following circumstances:

a. When an essential item of information has been
omitted entirely from the application.

b. When the information given on the application
is in such basic conflict with the information
appearing on the copies (or, in the case of
renewals, on our original records) that there
is real doubt as to the identity of the
claimant, author, or work in question.

c. When the Copyright Office itself has made an
error substantially affecting the registration.

d. When the copies are so mutilated or incomplete
as to be unacceptable for registration.

2\. As a rule, a case should not be handled as a
referral when there is no real question as to the
legal validity of the registration, even if the
examiner has failed to note a discrepancy, error,
or minor omission that may cause cataloging
problems.

a. In such cases, the catalogers should resolve,
reflect, or overlook the variance, without
referring the case to the Examining Division.

<!-- PageBreak -->

b. The existence of a double standard should
be observed in these cases: The fact that
the Examining Division should have written
about a problem before registration is
completed does not necessarily mean that
the case will be handled as a referral
after registration. On the other hand,
the fact that a problem is not sufficiently
serious to cause a referral should not be
regarded by the examiner as a license to
ignore the problem in the first instance.
If the Cataloging Division notes that a
particular error is being ignored consis-
tently, it should call this fact to the
attention of the Head of the Examining
Division Section involved.

3\. The Cataloging Division does not reexamine
applications in an effort to seek out errors.
If, in the ordinary course of cataloging, a
cataloger notes an error, discrepancy, or
omission that affects the validity of the
registration, he should treat the case as a
referral. This is true even if the problem is
one that does not present any cataloging
difficulties.

### C. Procedure for Handling Referrals.

1\. In general, referrals should be handled in the
manner outlined in the memorandum issued for
this purpose entitled PROCEDURE FOR HANDLING
NUMBERED APPLICATIONS ("Referrals").

2\. The numbered certificate should generally be
recalled in every referral case; as a rule,
every change in a numbered application should
also be reflected in the certificate.

a. Exception: Where registration was made for
a work bearing a postdated notice but
published within the year immediately pre-
ceding the year in the notice, the application
may be annotated without recalling the certificate.

<!-- PageBreak -->

b. Any other case where it seems necessary to
change the application without making a
corresponding change in the certificate
should be referred to the Chief or Assistant
Chief of the Examining Division for approval.

Example: A case where attempts to recall
the certificate have proved futile.

3\. In some cases the examiner may note a typographical
error or discrepancy but decide it is too minor
even to annotate. When this happens he should add
a small, light pencil check to the appropriate
space on the application to show the cataloger
that the problem had been noted and that no
referral is necessary.

Examples :

a. Author on copy: Julius Lambert
Author on application: Juluis Lambert

b. Claimant's address omitted from line 1 of
application, but included elsewhere; examiner
should check line 1 to show that the problem
has been resolved.

### II. Specific Practices for Applications other than Form R.

A. Claimant.

1\. Name of claimant.

a. A case should be referred where the name of
the claimant has been omitted from the
application.

b. A case should be referred where there is
real doubt as to whether the identity of
the claimant named in the application for
a published work is the same as that of
the claimant named in the notice, unless
the variance has been resolved by
annotation.

<!-- PageBreak -->

Examples of cases that should be referred:

1\) In notice: Ardmore & Wynn Music
Publishers
In application: Ardmore & Wynn Record Co.

2\) In notice: Rosetta Stone
In application: Rosetta Stone, Inc.

3\) In notice: Grace Bancroft
In application: Mrs. Stanton Bancroft

4\) In notice: The Meretricious Music Co.
In application: The Meretricious Music
Co., John Singleton
Buckley

c. A case should be referred where more claimants
are named in the application than appear in
the notice, or vice versa, unless the variance
has been resolved by annotation.

d. A case should not be referred where, on the
face of the application, there is no real
doubt that the names in the application and
notice identify the same claimant.

Examples of cases that should not be referred:

1\) In notice: The Snyder-Gray Co.
In application: Snyder-Gray Sashweight
Co., Inc.

2\) In notice: Charles B. Dickensen
In application: C. B. Dickensen

3\) In notice: John Curtis Durant
In application: John Curtis Durrant

4\) In notice: H. C. Enderby
In application: H. C. Enderby, d.b.a.
Acme Publishing Co.

e. No referral should be made in cases involving
variances in claim where the work in question
is unpublished.

<!-- PageBreak -->

#### 2. Address of Claimant.

a. The law (17 U.S.C. 209) requires that the
certificate include the address of the
copyright claimant, but it is the practice
of the Examining Division to accept an
application in which the address has been
omitted from the claimant line, as long as
it appears elsewhere on the form (e.g., in
the authorship line or in the return address
box).

1\) The fact that no address is given in
line 1 of an application does not
necessarily call for a referral, and
the cataloger should not reexamine the
application to determine if the address
has been given elsewhere.

2\) If, in the ordinary course of cataloging,
the cataloger notes that the claimant's
address has been omitted from the appli-
cation altogether, the case should be
referred.

b. If the claimant's address is missing from
line 1 but appears elsewhere on the form, the
examiner will make a small pencil check in the
appropriate space in line 1, to show the
cataloger that the omission has been noted.

#### 3. Citizenship of Claimant (Form A-B Ad Interim).

a. The law (17 U.S.C. 22) requires that the
citizenship of the claimant be given on an
application for ad interim registration.

b. Cases where citizenship has been omitted from
line 1 of Form A-B Ad Interim should be
referred unless the author and claimant are
the same and his citizenship appears in the
authorship line; in that case the examiner
should place a pencil check in line 1 to
show that the omission has been noted.

<!-- PageBreak -->

#### B. Title.

1\. A case should be referred where the title of the
work has been omitted from the application.

2\. A case should be referred where registration has
been made as a periodical and neither the volume
number, issue number, nor issue date has been
given on Form A-B Ad Interim, Form A-B Foreign,
or Form B. The presence of one or more of these
elements is sufficient to prevent referral, if
the issue in question is clearly identified.

3\. A case should be referred where the title given
on the application is so different from that
appearing on the copies that there is real doubt
as to whether the application actually refers to
the copies attached to it.

Examples of cases that should be referred:

a. Title on copies: THE ROMANCE OF NAME SEARCHING
Title on application: FAMOUS CATALOGERS I HAVE
KNOWN

b. Title on copies: LET'S ALL SING A SONG
Title on application: LET'S ALL STRING ALONG

c. Title on copies: SLUMBER TIME SONNETS NO. 11
Title on application: SLUMBER TIME SONNETS
NO. 21

4\.
A case should not be referred where there is no
real doubt that the title given on the application
refers to the copies attached to it, even if the
title lacks specificity, varies from the title given
on the copies, or contains errors or omissions.

Examples :

a. Title on copies: THE LIFE AND WORK OF JOHN
SMYTH

Title on application: JOHN SMYTH, HIS LIFE
AND WORK

<!-- PageBreak -->

b. Title on copies: LOSE UGLY POUNDS IN
MINUTES . . . USE BLASTO
Title on application: BLASTO REDUCING PILLS

c. Title on copies: HOW COME I HATE YOU
Title on application: THAT'S HOW COME I
HATE YOU

d. Title on copies: NO. ZT 721B SUMMER STORM
Title on application: NECKLACE

C. "Nature of Work" or "Nature of Merchandise"

1\. As far as referrals are concerned, the cataloger
may ignore this line on Forms G, H, I, K, and KK.

2\. On Form L-M, a case should be referred if neither
of the boxes (indicating whether the work is a
photoplay or not) has been checked, but not if the
spaces concerning description of copies or number
of prints have been left blank or contain
discrepancies.

#### D. Optional Deposit.

1\. As a rule, the cataloger should not attempt to
evaluate the sufficiency of an optional deposit
(i.e., where photographs or drawings have been
deposited instead of three-dimensional copies
of a published work). If, in the ordinary course
of cataloging, he notes a discrepancy that actually
throws doubt on the basic validity of the regis-
tration, the case should be referred.

2\. A case should be referred where, for a published
three-dimensional work, photographs or drawings
have been deposited instead of actual copies and
none of the spaces in the optional deposit line
have been completed.

3\. A case should be referred where the option has
been chosen for a domestic work but only one set
of photographs or drawings has been deposited.
Referral should also be made where the two sets

<!-- PageBreak -->

contain different photographs or drawings, even
though they show the same work. Referral should
not be made where, although the two sets are not
completely identical, they differ only in rel-
atively minor respects.

4\. A case should be referred where the cataloger notes
that:

a. None of the photographs or drawings in the set
show the copyright notice;

b. None of the photographs or drawings in the set
contain the title of the work;

c. None of the photographs or drawings in a set
indicate a dimension of the work, unless this
information is given on the application.

5\. A case should not be referred because of doubt as to
the sufficiency of the reason given for choosing the
option (weight, size, fragility, or monetary value),
or because of questions as to the size, number, or
clarity of the photographs or drawings in a set.

## I. Authorship

1\. In General. A case should be referred if the author-
ship line has been left completely blank.

2\. Name of Author.

a. As a rule, a case should be referred where:

1\) There is a clear variance between the author-
ship given on an application and that ap-
pearing on the copies, and

2\) This variance raises doubts as to whether
the correct copies are connected with the
application, and

3\) The problem has not been resolved by an-
notation or pencil check.

b. An apparent variance in authorship may not be one
in fact, since the work may have been written for
hire; the copies may contain the name of the actual

<!-- PageBreak -->

individual who wrote the work, while the application
is correct if it gives only the name of the employer
for hire. There is no legal requirement that the
variance be resolved on the application in such cases.

c. As & rule, the following cases should be referred:

)
Author's name omitted entirely

2
Author's name misspelled or incomplete

3\)
Application gives only part of authors listed
on copies

4\)
Author given on application entirely different
from author indicated on copy, but variance
could logically be explained by use of pseud-
onym or employment-for-hire relationship.

Examples :

a) On copies: By Conrad Van Dexm
Author on application: Committee on
Historical Continuity, Inc.
Action: Do not refer

b) On copies: By Cunningham Mscomber
Author on application: Martin Maguire
(Cunningham lacomber)
Action: Do not refer

c) On copies: By Ernest Hemingway
Author on application: Amma Livia
Pluraballe
Action: Refer

d. In any of the cases listed in subsection c, above,
if the examiner notes the omission, error, or
variance and decides that no annotation is neces-
sary, he should check the appropriate space on the
application form to show that the problem has been
resolved as far as examining is concerned.

### 3. Citizenship of Anther

a. The law (17 U.S.C. 209) requires that the certificate
include the citizenship of at least one of the
authors, whether or not any of the authors' names
are given.

<!-- PageBreak -->

b. If, in the ordinary course of ostaloging, the
cataloger notes that the citizenship of the author
is completely missing from the application, he
should return the case as a referral.

c. The cataloger should make no effort to determine
whether or not the citizenship included on the
application is acceptable for purposes of regis-
tration.

4\. Domicile and Address of the Author. These factors may
be ignored by the cataloger.

5\. "Author of . . . " (Forms [ and I Foreis)

a. A case should not be referred where a statement of
the nature of authorship (e.g., words, music,
arrangement, etc.) has been omitted altogether, or
where there is no direct and irreconcilable conflict
between the application and copies.

Examples :

1\) On copies: Words and music by Donald L. Dixon
and Henry Horner
On application: Words by Donald L. Dixon and
music by Henry Horner
Action: Do not refer

2\) On copies: By Maria LaPiana
On application: Arrangement by Mildred F. Thomas
Action: Do not refer

b. A osse should be referred where there is a direct
and irreconcilable conflict between the nature of
authorship indicated on the copies and that given
in the application.

Examples :

1\) On copies: Words by Catarina Cataldo,
music by Maria Baldini
On application: Words by Maria Baldini
music by Catarina Cataldo

Action: Refer

<!-- PageBreak -->

2\) On copies: Words and music by William Stein;
Arranged by Stanley L. Bernheim
On application: Words, music, and arrangement
by Stanley L. Bernheim
Action: Refer, except where work is obviously
adapted from or based on the original
composer's vork.

6\. "Author of Original Work which has been Reproduced" (Form H)

A case should not be referred even if this space has
been left blank or is in apparent conflict with the copies.

### F. Publication and Manufacture

#### 1. Date of Publication

a. A case should be referred if the application for a
work registered as published does not include a
fall statement (month, day, and year) of the date
of publication.

b. A case should be referred if the year in the copy-
right notice is either earlier or later than the date
of publication given in the application, unless:

1\) The variance has been reflected on the application
(by annotation or otherwise); or

2\) The variance is explained by the fact that the
work now being registered is the first publication
of a work previously registered in unpublished
form, or the first U.S. edition of a work
originally registered ad interim.

c. A case should be referred if, when it reaches the
cataloger, the application states a date of publica-
tion that is still in the future. It should not be
referred when the date is in the past, even though
the application stated an advanced date when it was
originally received in the Copyright Office.

Examples :

1\) Application stating publication date of August 1
received in the Copyright Office on July 25 and
reaches cataloger on August 5; do not refer.

<!-- PageBreak -->

2\) Application stating publication date of August 1
received in Copyright Office on July 15 and
reaches cataloger on July 25; refer.

d. A case involving daily newspapers should be referred
if the date of publication given in the application
is later than the date of issue appearing on the
copies. If the date of publication precedes the date
of issue on the copies by two or more days, a re-
ferral should be made.

#### 2. Place of Publication.

A case submitted on Form A-B Interim should be referred
if the country of publication is stated as U.S.A.

3\. Periodical in which Work First Published.

a. A case submitted on Form BB should be referred unless
the application adequately identifies the particular
issue of the periodical in which the contribution was
first published, but it is not necessary that the infor-
mation in this space be complete or entirely accurate.

b. A case submitted on Form KK should be referred under
the same circumstances as those described in Item a,
above, if the copies accompanying the application are
clearly taken from a periodical.

4\. Manufacture. The country of manufacture may be ignored by
the cataloger.

G. Previous Registration or Publication, and Now Matter.

Statements appearing in this lime should be ignored as far as
referrals are concerned. This is true even when a statement
such as "none" appears in the new matter line. (But see Item
II. F. 1. b.(2), above, concerning antedated notices). Similarly,
the mere absence of a new matter statement should not be cause
for referral. However, if the copy states it is a "reprint,"
a referral should be made.

H. U.S. Edition of Foreign Work (FormsA and BB). Statements
appearing in this line may be ignored as far as referrals are
concerned. (But see Iten II. F. 1. b.(2) above, concerning
antedated notices.)

I. Deposit Account, Correspondence, and Return Address. These
lines may be ignored as far as referrals are concerned.

<!-- PageBreak -->

J. Signature. This line may be ignored as far as referrals are
concerned.

### K. Affidavit (Form A).

1\. The law (Title 17, U.S.C., Section 17) requires that an
affidavit of manufacture accompany the application for
registration of a domestic book.

2\. The cataloger should make no effort to reexamine the
affidavit. If, in the ordinary course of cataloging,
he notes that the affidavit is completely blank, he
should refer the case.

L. Date and Fee Boxes and Registration Number.

1\. The cataloger should make no special effort to check the
date and fee boxes to determine their completeness and
accuracy. If, in the ordinary course of cataloging, he
notes a clear error or omission in these spaces, he should
refer the case.

2\. As a rule, the cataloger should make no effort to evaluate
the classification of a work in a particular case.

a. If he notes a clear error in numbering, the case
should be referred.

Examples :

1\) A work numbered as Ea with a publication date on
the application.

2\) A work mmbered in Class F with an application
submitted on Form C.

3\) A work numbered in Class M with the "photoplay"
box checked on Form L-N.

b. Referrals may be made in certain cases involving
classification as between "books" and "periodicals."
A case should be referred if:

<!-- PageBreak -->

1\) Registration has been made in Class A, the
copies bear a series title, an issue number,
and a date including a month and previous
registrations have been made in Class B.

2\) Registration has been made in Class B and
the copies bear no indication whatever of
serial publication made under the same
general title, or that they are serial
publications regularly registered in Class A.

### M. Examiner's Initials.

1\. The catalogar need not check for the presence of the
examiner's initials on the application, and should
normally refer to them only when it is necessary to
determine whether a case has been numbered without any
examination.

2\. If the cataloger notes any consistent failure to initial
applications, he should call the matter to the attention
of the appropriate Examining Division Section Head.

### I. Deposit Copies.

1\. A case should be referred if the deposit copies are so
incomplete, mutilated, or non-identical that the validity
of the registration is open to doubt.

2\. Minor discrepancies or differences between the copies
should not call for a referral, and a oase should not
be referred when the only difference between the copies
is in coler.

3\. A case should not be referred because the cataloger
knows of the existence of a better edition of the
work, unless there was also clear reason, on the
face of the application or copies, for the examiner
to know of its existence at the time of registration.

<!-- PageBreak -->

#### III. Specific Practices for Form U.

A. In General. By nature a notice of use is an entirely
different type of legal instrument from an application
for original or renewal registration. It is generally
recorded without any effort on the part of the Copy-
right Office to check the facts it states, and the
cataloger should ordinarily not refer a notice of use
even if he recognizes or discovers an error in the
information included in it.

B. Name of Copyright Owner. A notice of use should be
referred where it is apparent on the face of the notice
that the ownership of copyright in some of the compo-
sitions listed is different from that of others.

C. Omission of Date of Receipt, Title, or Claimant. A
notice of use should be referred where the date of re-
ceipt in the Copyright Office, title, or nams of the
copyright claimant has been omitted.

IV.
Specific Practices for Form R.

### A. Claimant

1\. Name of Claimant

a. A case should be referred where the name of the
renewal claimant has been omitted from the
application.

b. A case should be referred where the renewal
claimant is identified so inadequately that
it would be very difficult or impossible to
single him out as an individual.

Examples :

1\) Nr. de Rais, claiming as widover of the
anther.

2\) The Sperryville Literary Society, claiming
as authors.

3\) Lord Shootingstick, claiming as next-of-kin.

<!-- PageBreak -->

c. A case should not be referred where the appli-
estion apparently contains an adequate state-
ment of a renewal claimant and there is no
obvious conflict between this statement and
the facts appearing on the face of that per-
ticular application.

1\) A case should not be referred even
though the statement of the claimant's
name may contain errors in spelling er
may vary in some detail from the author-
ship statement appearing elsewhere on
the form.

Examples where referrals should not be made:

a) Mrs. Peter C. Ormsbie, claiming as widow
of "Peter C. Orusby."

b) Claiment stated as: Thomas Lane Boone
Author of Renewable Matter stated as:
Kentucky Boone.

c) Teddy Otterback, claiming as next-of-kin
of William Otterbuck.

2\) A case should not be referred even though the
cataloger may note that the claimant's name is
in conflict with other renewal applications
submitted earlier or at the same time, or may
have reason to believe that the claimant named
is dead or no longer in existence.

3\) Where the examiner notes a discrepancy in the
name of the renewal claimant which he feels is
not sufficiently important to correspond about,
he should add a light pencil check to the
appropriate space on the form, to show that the
difficulty has been noted.

2\. Address of Claimant. See Item II. A. 2., above.

<!-- PageBreak -->

### 3. Basis of Reneval Claim.

a. A case should be referred where the renewal appli-
cation states any renewal claimant without in-
dicating the basis of the claim.

b. A case should be referred where the statement of
the basis of claim is a substantial or complete
departure from the acceptable statements listed
on page 4 of Form R.

1\) Examples of cases that should be referred:

a) Executor of the widow of the author.

b) Proprietor per agreement.

c) Wife of the author.

d) Nephew of the author.

e) Administrator.

f) Heir.

2\) In addition to the statements listed on page 4
of Form R, the following bases of claim are
acceptable:

a) Administrator cum testamento annexo
(or administrator c.t.a.).

b) Administrator with the will annexed.

c) Administrator de bonis non cum testamento
annexo (or administrator d.b.n.c.t.a.).

d) Administrator de bonis non with the will
annexed.

c. A case should not be referred where the statement of
the basis of claim contains the substance of one of
the claims stated on page 4 of Form R.

<!-- PageBreak -->

## Examples :

1\) Next-of-kin of the auther.

2\) Executer of the estate of Edwin Arlington
Brunswick.

3\) Son of the author.

4\) Proprietor of a work made for hire.

5\) Arranger.

d. Ordinarily the cataloger should make no effort to
evaluate the legal validity of a renewal elain as
stated on the application. If, in the ordinary
course of ostaloging, he notes a clear and
irreconcilable conflict, he should refer the case.

Examples of cases where referrals should be made:

1\) U.S. Steel Corporation, claiming as widow of
the author.

2\) James T. Franklin, Jr., claiming as next-of-
kin of James Thayer Franklin.

3\) A renewal claim as "proprietor of copyright
in a composite work" in a vork identified
as a "play in three sets."

## 3. Title

1\. A case should be referred where the title of the work
has been emitted from the renewal application.

2\. A case should be referred where, in the ordinary
course of cataloging, the cataloger notes that the
title given in the renewal application is so
different from that appearing in the original office
records that there is doubt as to the work the re-
newel claim covers.

<!-- PageBreak -->

Examples :

a) Om application: Som of The Wolf Man, I Love You
On original records: The North Dakota Waltz.

b) On application: Sperryville, Va., Northvest
Quarter

On original records: Sperryville, Va.,
Torth Quarter

c) Om application: 101 Things a Boy Can Do with
Wrecked Cars
On original records: Life Along The Shirley
Highway.

3\. A case should not be referred where there is no real
doubt that the title given on the renewal application
refers to the same work as that covered by the original
entry, even if the title lacks specificity, varies
from the title given in the original records, or
contains errors or omissions.

Examples :

a) Om application: The Islands of Langerhans
On original records: Through the Islands of Langer-
hans with Gun and Camera.

b) On application: Rondo Capprichisio
On original records: Ronde Capriccioso.

4\. Where the examiner notes a discrepancy between the title
given on the renewal application and that appearing in
the original records of the entry, he will attempt to
reflect the title of record on the application by
means of pencil notations.

C. Renewal Matter. This factor may be ignored by the cataloger
as far as referrals are concerned.

D.
. Contribution to Periodical or Composite Work.

1\. When, from the face of the renewal application, it is
clear that the work in question is a separate contri-
bution to a periodical or other composite work, the

<!-- PageBreak -->

case should be referred unless the application
adequately identifies the periodionl or composite
work. In the case of a periodical, referral
should be made unless the particular issue in
which the contribution was first published is
identified.

2\. It is not necessary that the information in this
space be complete or entirely accurate.

## I. Authors of Renewable Matter.

1\. Where renewal is claimed in the name of an author's
widow, children, executors, or next of kin, referral
should be made if the renewal application does not
state the name of at least one author of renewable
matter, although this name need not necessarily appear
in the space provided for it. The case should also
be referred where more than one author of renewable
matter is indicated, and it is impossible to deter-
mine on whose authorship the claim is based.

2\. A case should be referred where, in the ordinary
course of cataloging, a conflict or clear inconsis-
tency is noted between the renewal elaim stated on
an application and the statement of the "authors of
renewable matter" appearing on the same application.

Examples :

a) Renewal Claimant: Manny Baldwin as author of vords
Author of Renewable Matter: Manny Baldwin as author
of music.

b) Renewal Claimant: Samuel Shadwell as arranger
Author of Renewable Matter: Samuel Shadwell as author
of words and music

3\. As a rule, the following cases should not be referred:

a) Author's name misspelled or incomplete.

b) Application gives only part of authors listed on
original records.

<!-- PageBreak -->

.

F. Facts of Original Registration.

1\. A case should be referred where the original registration
mumber, or either the date of publication or date of
registration, have been omitted from the renewal appli-
cation. A case should not be referred because of
amission of the name of the original copyright claimant.

2\. Where, in the ordinary course of cataloging, the
cataloger notes a discrepancy or obvious error in the
number or date given in the renewal application, he
should refer the case. A case should not be referred
for discrepancies involving the name of the original
copyright claimant.

3\. A case should be referred where the spaces for both the
date of publication and date of registration have been
filled in or where the date obviously appears in the
wrong line.

G. Deposit Account, Correspondence, Return Address and Signature.
These lines my be ignored as far as referrals are concerned.

H. Date and Fee Boxes.

1\. The cataloger should make no special effort to determine
whether the renewal application has been filed within
the statutory time limits.

2\. If the cataloger in the ordinary course of cataloging,
notes a clear error or omission in the date and fee
boxes, or notes that the application has been received
too early or too late for renewal registration, he
should refer the case.

I.
. Examiner's Initials. See Item II. M., above.

<!-- PageBreak -->

<!-- PageHeader="S-42" -->

# No. 12

PRACTICES: VARIANCE IN CLAIM INVOLVING
FOREIGN BUSINESS ORGANIZATION TERMINOLOGY

Note:
The Compendium of Copyright Practices,
Chapter 4, Parts 4.2.3.I and II should
be applied equally to foreign proprietor-
claimants. The following examples will
illustrate the application of these
principles in the foreign area.

## A. In General.

1\. Where the variance is sufficient to raise
questions as to whether the same legal person
is named in the notice and application, corres-
pondence is necessary.

2\. Where the variance is not sufficient to require
correspondence, it is generally desirable to
annotate the application. This is especially
true where the fuller form of the name appears
in the notice.

3\. An annotation need not be made where it is clear
that the variant form is not part of the firm name
and is mere surplus descriptive matter.

## B. Variant Forms of Same Name.

### 1. Real person in both application and notice.

Example:

In notice: Johann Bost, Verleger
In application: Johann Bost

Practice: Annotate

Reason: Not altogether clear whether

variant term merely descriptive.

<!-- PageBreak -->

#### 2. Firm name in both application and notice.

Example :

In notice: Kreuz-Verlag GmbH
In application: Kreuz-Verlag
Practice: Annotate

Reason: Although foreign laws may require
the use of certain designations as
a part of the firm name, the
Copyright Office will not question
the name in the notice as long as
it is sufficient to identify the
copyright proprietor.

3\. Firm name in notice and firm name plus name of
real person in application, and the reverse.

Examples :

a. In notice: Melodie Ton Verlag
In application: Melodie Ton Verlag,
Alleininhaber:
Gretchen Schmidt
Practice: Annotate in this and the
reverse situation
Reason: Relationship between firm and
individual clearly shown.

b. In notice: Posaune Musikverlag
In application: Posaune Musikverlag/
Hermann Tillema

Practice: Question the variance in this
and the reverse situation
Reason: Relationship between firm and
individual not clear.

c.
. Different Claimants.

1\. Firm name in notice and real person in application,
and the reverse.

Example:

In notice: Librairie Gallimard
In application: Felix Gallimard
Practice: Question the variance

<!-- PageBreak -->

#### 2. Different firm names in notice and application.

Examples :

a. In notice: Springer Verlag OHG
In application: Springer Verlag GmbH
Practice: Question the variance

b. In notice: Etablissements Casterman
S.A.
In application: Etablissements Casterman
s.r.l.

Practice: Question the variance

<!-- PageBreak -->

<!-- PageHeader="S-45" -->
<!-- PageHeader="No. 13" -->

REFERRAL OF CERTAIN CASES INVOLVING
PUBLISHED WORKS FROM THE EXAMINING
DIVISION TO THE COMPLIANCE SECTION,
REFERENCE DIVISION

I.
In general. The compliance provision of the
copyright law is essentially a criminal pro-
vision, and should not be used indiscriminately.
As a general rule, a case should be referred to
the Compliance Section, Reference Division, only
when:

a. It is clear that a valid copyright has been
secured ;

b. Examining Division correspondence has failed
to resolve the difficulty, and it seems clear
that further correspondence along the same
lines would be fruitless; and

c. It is impossible or undesirable to make regis-
tration on the basis of the material at hand.

II.
Cases where no compliance action is appropriate.
The following cases should not be referred to the
Compliance Section, but should ordinarily be closed
after there has been no response to the letters of
the Office:

a. The work is unpublished or there is a real
question as to whether or not publication has
taken place;

b. The work is by a foreign author and was first
published abroad;

c. There is any real doubt as to the registrability
of the work. Examples:

<!-- PageBreak -->

1\. Questionable notice

2\. Questionable copyrightability

3\. Possible violation of manufacturing clause

4\. Questionable citizenship of author.

d. A work is referred to as an "ornamental design of
a useful article." Examples:

1\. Jewelry

2\. Textiles

3\. Lace

4\. Toys

5\. Placemats, paper tablecloths, etc.

6\. Dinnerware

7\. Household articles

8\. Wallpaper

9\. Shoe ornaments

10\. Silver flatware

e. A scientific or technical drawing.

III. Time for referral to Compliance Section. The
Examining Division may refer a case to the Compliance
Section at any point in the correspondence cycle, if
the applicant flatly refuses to comply with the regis-
tration requirements. This is a rather rare type of
case, however. Where the applicant writes us the
equivalent of "let's forget the whole thing," the case
should ordinarily not be referred to the Compliance
Section until after the Examining Division has written
once more, pointing out the obligation to register in
general terms.

<!-- PageBreak -->

<!-- PageHeader="No. 14" -->

MUSIC EXAMINING: NEW MATTER MINIMAL OR NOT CLEARLY STATED

The following practices apply to all cases involving
the registration of claims to copyright in new versions or
new editions of previously registered or published material,
but especially to claims based on musical editing and new
versions of "folk songs."

1\) Where the new matter is stated simply as "editing"
or "arrangement," and the copy clearly shows the presence of
substantial editing or arrangement and its nature, registration
should be made without further question.

2\) Where the new matter is stated simply as "editing"
or "arrangement" and it is not clear from the copy whether any
substantial and original editing or arrangement is present, or
what it consists of, the Examining Division should request a
clearer statement of new matter. If it seems clear that no
such editing or arrangement is, in fact, present, or if a
satisfactory statement cannot be obtained, the claim may be
rejected for lack of new matter.

3\) In all cases where it is clear that the basic
musical composition is in the public domain, registration should
be made only if an acceptable statement of new matter appears in
the space provided for that purpose on the application. Moreover,
it is not sufficient for the new matter merely to be suggested
indirectly in the statement of authorship on the application.

4\) Where it is clear to the examiner from the face of
the copy that no new copyrightable words or music are present,
but the application appears to assert a claim in the words and
music (either alone or in combination with arrangement or editing)
the claim should be rejected or a new application should be
requested in which the basis of claim is clearly stated.

a. In cases of this sort the words and music of
the song should be so well-known and familiar that an
average examiner should be reasonably certain of the
lack of new words and music from the face of the copy.
The fact that a musicologist or folklorist would
recognize the words and music as old is not in itself
sufficient to justify questioning the claim, and under
ordinary circumstances an examiner is not justified in
undertaking research to confirm his suspicions.

<!-- PageBreak -->

<!-- PageHeader="8-48" -->

# No. 15

# CANCELLATION CASES

I. What is a "cancellation case"?

## A. Definition.

1\. A "cancellation case" is one in which the number
assigned to a completed registration will not be
used for that particular work, and an accounting
action is therefore necessary. The case may
involve either:

a) Complete elimination of any registration
for the work in question; or

b) A new registration for the work under a different
class and number.

2\. Examples:

a) Where it is discovered only after registration
that the notice for a published work is fatally
defective, the fee is refunded or recredited.

b) Where a renewal claim was erroneously registered
after the first term of copyright has expired, the
registration is cancelled and the fee refunded or
recredited.

c) Where the check in payment of the registration
fee bounces, and efforts to obtain a new remittance
fail, the entry is cancelled.

d) Where, through an Office error, an unpublished
work was incorrectly registered as published, the
published entry will be cancelled and a new regis-
tration made under an unpublished number.

<!-- PageBreak -->

e) Where registration of a claim in a foreign
book is based upon the deposit of one copy
and a fee under Option A ("Af" series), but
& registration number in the "Afo" series is
assigned which would have been appropriate
only if the registration were based upon the
deposit of two copies and a catalog card in
lieu of the registration fee.

B.
"Substitution" distinguished from "cancellation." A

11
'substitution" is a case where a new application
covering the same work is substituted for an erroneous
application; the same registration number is used, and
no accounting action is required.

## II. Mechanics of cancellation.

A. Time to cancel. The mechanics of cancellation will
not be started until the certificate of registration
has been returned, but in special cases, where it
seems impossible to obtain the return of the certificate,
the entry may be cancelled without the certificate.

B.
Processing of previously numbered applications.
Cancelled registration numbers will not be reused, and
the previously numbered application (or a substitute)
will be annotated, marked "Cancelled," and remain in
the bound records of the Copyright Office.

1\. Under no circumstances will the Office issue an
additional certificate for a cancelled registration.
However, since the cancelled application is part of
the records of the Copyright Office, its existence may
be reported in search reports, and photocopies may be
prepared and furnished to the public. Certificates of
such photocopies, if requested, may be furnished, but
should be specifically drawn, and should be furnished
and charged for separately from certifications of
correspondence in the case.

<!-- PageBreak -->

<!-- PageHeader="No. 16" -->

DETERMINATION OF EFFECTIVE DATE OF
REGISTRATION FOR UMIPUBLISHED WORKS
WHERE THE MATERIAL SUBMITTED FOR
REGISTRATION CONTAINED A CLEAR DIS-
CREPANCY WHICH THE COPYRIGHT OFFICE
SHOULD HAVE OBSERVED BEFORE COMPLETING
THE ENTRY

1\. The following hypothetical case illustrates the
problem: an application Form E, registration fee, and one
copy of an unpublished musical work are received in the
Copyright Office on May 15, 1967. Registration of the claim
is made and a registration number assigned to the work on
May 22, 1967. On May 26th an error is discovered sub-
stantially affecting the registration which the Copyright
Office should have observed prior to making the entry on
May 22nd. The Copyright Office requests a new application
Form E which is received on June 5, 1967, and which bears
the latter date of receipt. The effective date of regis-
tration for an unpublished work is the date on which the
last of the three elements required for registration, that
is, the application, copy, and fee, is received in
acceptable form in the Copyright Office.

2\. In cases of this kind involving unpublished
works, the date of registration should ordinarily be the
date which would have been used if the registration had
not involved an error which the Copyright Office should
have observed prior to making the entry. In the above
mentioned example, the effective date of the registration
would be May 15, 1967. Accordingly, the later date of
receipt would be removed from the new application Form E
and replaced by the earlier date, namely, May 15, 1967.

3\. In cases where the error necessitates requesting
a new copy of an unpublished work, determination of the
effective date of registration will depend upon the nature
of the new copy. Thus, for example, assuming the same
sequence of dates given in the first paragraph of this
memorandum:

<!-- PageBreak -->

a. If the new copy is the same as the earlier
copy in content, but differs only in infor-
mation about the author, copyright evner, title,
and the like, the new copy should be given the
earlier date of May 15, 1967.

b. If the copyrightable contents of the new copy
are in any way different from the contents of
the earlier copy, the new copy should be
given the later date, that is, the date of its
actual receipt in the Office, namely,
June 5, 1967.

4\. In any post registration case involving deposit of
a new copy, the dates of receipt appearing on the new copy
and in the "copy received" box on the application must be made
to correspond.

5\. The above mentioned procedures are not applicable
to published works because the term of copyright protection
for published works is computed from the date of first
publication rather than from the effective date of regis-
tration.

<!-- PageBreak -->

<!-- PageHeader="8-52" -->
<!-- PageHeader="No. 17" -->

# UNITED STATES COPYRIGHT RELATIONS AND ACCEPTABLE STATEMENTS OF CITIZENSHIP

Generally the application must state the
name of the country of which the author is a citizen.
The name of the country should be given and it should
preferably be stated as it is in the attached table.
For example, upon receiving an application that lists
"British Protected Person", "British Subject" or
"Commonwealth Citizen" as the author's citizenship,
we should write and request a new application giving
the citizenship as "United Kingdom", if such is the
case. On the other hand, where it is obvious from
the variant form of the name given in the authorship
line that the author is a citizen of a country with
which the United States has copyright relations, the
application may be accepted without correspondence.
Examples of acceptable variants would include such
designations as England, Great Britain, Northern
Ireland, Scotland, Wales, French, Swiss, English,
American, and abbreviations such as W. Ger., Rep. of
Fr., U.S. or U.S.A., and U.K.

Some applications list the author's citizen-
ship as being a territory. Our relations, of course,
are with countries, and applications listing a terri-
tory as the author's citizenship are not acceptable.
An application should be secured giving the country
of which the author is a citizen. In securing such
applications we should not assume the author is a
citizen of the country owning the territory. So that
where an author has given a territory as his citizen-
ship, our correspondence should merely state why what
he has given is unacceptable and request a new appli-
cation that includes the name of the country of which
the author is a citizen.

<!-- PageBreak -->

Many times in cases of corporate authorship the
citizenship will be given as the state of incorporation,
e.g., Delaware or California. In these cases we can take
notice of the fact that the citizenship is U.S. without
annotation. In the case of an unincorporated entity
(such as an individual or a partnership) if a state, e.g.,
Ohio, is given as the author's citizenship, we should
write requesting the name of the country of citizenship.

The attached table will be helpful in ascertaining
the existence or non-existence of copyright relations between
the United States and other countries and territories.

The first section of the table lists all 130
sovereign independent nations of the world and some of
their territories. In order to distinguish the
territories from the independent countries each territory
has been indented 4 spaces and is followed by the letter (T).

The second section lists the former status of
all independent countries which have had their status
changed within the last three years." In addition, this
section gives the present status of the territories
listed in the first section, The letters U.K. appearing
throughout this section are the abbreviation for United
Kingdom.

The third section, consisting of 5 columns,
lists the present status of copyright relations between
the U.S. and the other sovereign independent nations of
the world. The dates appearing in this section indicate

"The former status of the Maldive Islands and
Tanzania is not included in the table even though there
has been a status change within the last 3 years. If
any question arises comgerning works published by
citizens of these two countries on a date earlier than
that covered by the table, these cases should be
referred to the Section Head for a determination.

<!-- PageBreak -->

the effective date of a particular relationship. An
explanation of each of the 5 title headings found in
this section follows:

N

Country has no copyright relations with United States and the claim should be rejected.

Unclear

Country became independent since 1943. Has not established copyright relations with the United States since independence and thus no registration is possible.

Bilateral

Country has bilateral relations with the United States by virtue of a proclamation or treaty.

BAC

Country is a party to the Buenos Aires Convention of 1910.

UCC

Country is a party to the Universal Copyright Convention.

The following examples illustrate how the
table is to be used:

Albania
The "x" in the column heading N indicates
that the U.S. has no copyright relations
with Albania.

## Argentina

The date listed under BAC across from
Argentina is 4/19/50. This date indicates
that Argentina is a signatory of the Buenos
Aires Convention effective April 19, 1950.
The date 8/23/34, under the column marked
Bilateral means that the U.S. and Argentina
have bilateral relations effective August 23,
1934. The date 2/13/58 under the heading
UCC means Argentina is a member of the
Universal Copyright Convention effective
February 13, 1958.

<!-- PageBreak -->

Barbados

The date 11/30/66 under the column heading
Unclear means that copyright relations with
Barbados are unclear from that date forward.
Since this is a change in status within the
last 3 years, the former status is given in
the appropriate section (2) of the table.
For works by a citizen of Barbados published
before 11/30/66 the former status would be
controlling.

There is a large group of countries which have
become independent since 1943 that were possessions or
colonies of countries with whom the United States has
copyright relations. Barbados (listed above) is an
example of such a country. As these former possessions
become independent nations, the status of copyright
relations between them and the U.S. no longer remains
clear. Works authored by citizens of these countries,
other than those published in a U.C.C. country (not
including the United States) will not be accepted for
registration.

At the present time, three of the newly independent
nations have established copyright relations with the U.S.
by adhering to the U.C.C. These three are Kenya, Malawi,
and Zambia, and there will probably be others later. It
should be noted, however, that even if a newly independent
country joins the U.C.C., works published during the period
between independence and the effective date of adherence
to the U.C.C. will not be accepted for registration. For
example, if we received a work written by a citizen of
Kenya and first published in a non-U.C.C. country or
territory between December 12, 1963, the date of Kenya's
independence, and September 6, 1966, the day before
Kenya's adherence to the U.C.C. became effective, we
would not register the claim.

There are eleven political entities which are
neither sovereign independent countries nor territories
of one of these countries. The United States does not
have copyright relations with any of these eleven, and
any claim involving a citizen of one of them should be
rejected.

Bahrain
Byelorussia
Estonia

Latvia
Outer Mongolia
Qatar

Sikkim
Tibet
Tonga

Trucial States
Ukraine

<!-- PageBreak -->

## INDEPENDENT UNTRIES AND TERRITORIES

## FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS

PRESENT STATUS OF INDEPENDENT COUNTRIES

Aden (T)

OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

Bilateral through U. K.

Afghanistan

x

Albania

x

Algeria

7/3/62

Andorra

9/16/55

Argentina

4/19/50

8/23/34

2/13/58

3/15/18

Australia

Austria

8/1/20

7/2/57

Bahamas (T)

Bilateral through U.K. UCC through U.K. since 7/26/63

Barbados

Formerly bilateral as territory of U.K.

11/30/66

Basutoland

See Lesotho

Jechuanaland

See Botswana

<!-- PageBreak -->

INDEPENDENT COUNTRIES AND TERRITORIES

FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS OF TERRITORIES

N

UNCLEAR PRESENT

INDEPENDENT STATUS BAC

COUNTRIES OF BILATERAL 7/1/09

UCC 8/31/60

Belgium

Bermuda (T)

Bilateral through U. K. UCC through U. K. since 5/4/63

x

Bhutan

5/15/14

Bolivia

Botswana

Formerly Bechuana- land. Bilateral as territory of U. K.

9/30/66

UCC as territory of U. K. 5/8/66 9/29/66

8/31/15

4/2/57

1/13/60

Brazil

British Guiana

See Guyana

Bilateral through U. K. UCC through U. K. since 10/19/66.

British Honduras (T)

British Solo- man Islands Protectorate (T)

Bilateral through U. K.

Bulgaria

x

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

FORMER STATUS OF
INDEPENDENT
COUNTRIES AND

## PRESENT STATUS OF INDEPENDENT COUNTRIES

PRESENT STATUS OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

Burma

1/4/48

Burundi

7/1/62

Caicos Islands (T)

Bilateral through U. K.

9/16/55

Cambodia

Cameroon Canada

1/1/60

.1/1/24

8/10/62

Cayman Islands (T)

Bilateral through U. K. UCC through U. K. since 6/11/66

Central African Republic

8/13/60

Ceylon

2/4/48

Chad

8/11/60

Channel Islands (T)

Bilateral through U. K.

Guernsey Alderney Sark Jersey

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

FORMER STATUS OF
INDEPENDENT
COUNTRIES AND
PRESENT STATUS
OF TERRITORIES

## PRESENT STATUS OF INDEPENDENT COUNTRIES

BAC

BILATERAL

UCC

Chile

N UNCLEAR

6/14/55

7/1/25

9/16/55

China *1

11/30/48*1

Colombia

·12/23/36

Congo (Brazzaville)

8/15/60

Congo (Kinshasa formerly Congo (Leopoldv:

le)

6/30/60

'11/30/16

7/1/09

9/16/55

Costa Rica

5/29/11

Cuba

6/18/57

Cyprus

8/16/60

Czechoslovakia

3/1/27

1/6/60

Dahomey

8/1/60

Denmark

12/9/20

2/9/62

Dominican Republic

10/31/12

<!-- PageBreak -->

DEPENDENT
COUNTRIES AND
TERRITORIES

Ecuador

El Savador
*2

Ethiopia

Falkland
Islands and
Dependencies
(T)

Niji (T)

Finland

France

French
Guiana (T)

Gabon

Gambia

### FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS

## PRESENT STATUS OF INDEPENDENT COUNTRIES

OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

8/31/14

6/5/57

6/30/08*2

x ☒

Bilateral through U. K. UCC through U. K. since 1/29/64

Bilateral through U. K. UCC through U. K. since 3/1/62.

1/1/29

4/16/63

5/24/18

1/14/56

UCC through France since 1/14/56.

8/17/60

Formerly bilateral as territory of U. K.

2/18/65

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

## FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS

# PRESENT STATUS OF INDEPENDENT COUNTRIES

OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

Germany *3

12/8/10*3

9/16/55 *3

8/22/62

Ghana

Gibraltar (T)

Bilateral through U. K. UCC through U. K. since 3/1/62

Gilbert and Ellice Islands (T)

Bilateral through U. K.

3/1/32

8/24/63

Greece

Guadeloupe (T

UCC through France since 1/14/56

3/28/13

10/28/64

Guatemala

Guinea

10/2/58

Guyana

Formerly British Guiana. Bilateral as territory of U. K.

5/26/66

Haiti

11/27/19

9/16/55

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

FORMER STATUS OF
INDEPENDENT
COUNTRIES AND
PRESENT STATUS
OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

10/5/55

Holy See

4/27/14

Honduras

Bilateral through

Hong Kong (T)

U. K.

10/16/12

Hungary

12/18/56

Iceland

8/15/47

1/21/58

India

12/28/49

Indonesia

Iran

x

x

Iraq

10/1/29

1/20/59

Ireland

Isle of Man (T)

Bilateral through U. K. UCC through U. K. since 3/1/62.

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

## FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS

# PRESENT STATUS OF INDEPENDENT COUNTRIES

OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

Israel

5/15/48

9/16/55

5/1/15

1/24/57

Italy

8/7/60

Ivory Coast

8/6/62

Jamaica

4/28/56

Japan

Jordan

3/22/46

Kenya

Unclear from date of independence 12/12/63 through 9/6/66. Previous status bilateral as territory of U. K.

9/7/66

Korea

8/15/48

Kuwait

6/19/61

9/16/55

Laos

Lebanon

10/17/59

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

## FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS

# PRESENT STATUS OF INDEPENDENT COUNTRIES

OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

Leeward Islands (T) Auguilla Antigua Montserrat Nevis St. Christ- opher

Bilateral for all 5 through U. K. UCC applies to Montserrat since 5/8/66

Lesotho

Formerly Basuto- land. Bilateral as territory of U. K.

10/4/66

Liberia

7/27/56

Libya

12/24/51

1/22/59

Liechtenstein

Luxembourg

6/29/10

10/15/55

Madagascar

6/27/60

Malawi

Unclear from date of independence 7/6/64 - 10/25/65. Previous status bilateral as terri tory of U. K. under the name Nyasaland Protect- orate.

10/26/65

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

## FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS

PRESENT STATUS OF
INDEPENDENT COUNTRIES

OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

Malaysia

9/16/63

7/26/65

.

Maldive Islands Mali .

9/22/60

Malta

Formerly bilateral through U.K.

9/21/64

Martinique (T) Mauritania

UCC through France since 1/14/56.

11/28/60

Mauritius (T)

Bilateral through U. K. UCC through U. K. since 1/6/65.

Mexico

4/24/64

7/1/09

5/12/57

Monaco

10/15/52 1

9/16/55

Morocco

3/2/56

Muscat and Oman

x

<!-- PageBreak -->

# INDEPENDENT COUNTRIES AND TERRITORIES

FORMER STATUS OF
INDEPENDENT
COUNTRIES AND
PRESENT STATUS
OF TERRITORIES

# PRESENT STATUS OF INDEPENDENT COUNTRIES

N

UNCLEAR

BAC

BILATERAL

UCC

Wiepal

x ☒

10/2/22

6/22/67

Netherlands

12/1/16

9/11/64

New Zealand

12/15/13

8/16/61

Nicaragua

Niger

8/3/60

Nigeria

2/14/62

Norway

9/9/10

1/23/63

Pakistan

9/16/55

Panama

11/25/13

10/17/62

Paraguay

9/20/17

3/11/62

Peru

4/30/20

10/16/63

Philippines*4

10/21/48

11/19/55 *4

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

FORMER STATUS OF
INDEPENDENT
COUNTRIES AND
PRESENT STATUS
OF TERRITORIES

PRESENT STATUS OF
INDEPENDENT COUNTRIES

N

UNCLEAR

BAC

BILATERAL

UCC

Poland Portugal

2/16/27

7/1/09

12/25/56

Reunion (T)

UCC through France since 1/14/56.

Rhodesia (T)

Bilateral through U. K.

5/14/28

Rumania

Rwanda

7/1/62

St. Helena (T)

Bilateral through U. K. UCC through U. K. since 1/29/64.

x

San Marino

x

Saudia Arabia

Senegal

8/20/60

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

## FORMER STATUS OF INDEPENDENT COUNTRIES AND

# PRESENT STATUS OF INDEPENDENT COUNTRIES

Seychelles (T)

PRESENT STATUS OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

Bilateral through U. K. UCC through U. K. since 1/29/64.

Sierra Leone

4/27/61

Singapore

Formerly unclear as part of Malaysi from 9/16/63 - 8/8/65.

8/9/65

7/1/60

Somalia South Africa

7/1/24

Soviet Union

x

10/10/34

9/16/55

Spain

Sudan

1/1/56

Bilateral through

Swaziland

U. K.

(T)

2/1/20

7/1/61

Sweden

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

FORMER STATUS OF
INDEPENDENT
COUNTRIES AND
PRESENT STATUS
OF TERRITORIES

# PRESENT STATUS OF INDEPENDENT COUNTRIES

N

UNCLEAR

BAC

BILATERAL

7/1/23

UCC
3/30/56

Switzerland Syria

1/1/44 4/27/64

Tanzania

10/1/38

Thailand

x

4/27/60

Togo

Trinidad and Tobago

8/31/62

3/20/56

Tunisia

Turkey

Turks Islands (T) Uganda

Bilateral through U. K.

10/9/62

United Arab Republic

x

<!-- PageBreak -->

INDEPENDENT COUNTRIES AND TERRITORIES

FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS OF TERRITORIES

N

INDEPENDENT UNCLEAR PRESENT

STATUS BAC

COUNTRIES OF BILATERAL 1/1/15

UCC 9/ 27 / 57

United Kingdom

Upper Volta

8/5/60

12/17/19

Uruguay

9/30/66

Venezuela

Formerly none.

Vietnam

3/8/49

Virgin Islands (T) (British)

Bilateral and UCC relations with those islands owned by U. K. UCC effective

Anegada Jost

from 7/26/63

Van Dyke Peter

Tortola

Virgin Gorda

1/1/62

Western Samoa

Bilateral for all 4 through U. K. UCC applies to St. Lucia since 5/8/66.

x

Windward

Islands (T) Dominica Grenada

St. Lucia St. Vincent

UCC applies to Grenada since 5/15/66

Yemen

<!-- PageBreak -->

## INDEPENDENT COUNTRIES AND TERRITORIES

## FORMER STATUS OF INDEPENDENT COUNTRIES AND PRESENT STATUS

# PRESENT STATUS OF INDEPENDENT COUNTRIES

OF TERRITORIES

N

UNCLEAR

BAC

BILATERAL

UCC

Yugoslavia

Formerly none.

5/11/66

Zambia

Unclear from date of independence 10/24/64 - 5/31/65. Previous status bilateral as terri- tory of U. K.

6/1/65

<!-- PageBreak -->

# FOOTNOTES

(1) China

A citizen of China domiciled either on
Formosa (Nationalist China) or on the
mainland (Red China) may secure U.S.
copyright. Applications, however, must
indicate the author is either a citizen
of China or Nationalist China.

(2) El Savador
Bilateral by virtue of Mexico City
Convention, 1902.

(3) Germany
UCC with German Federal Republic only.
A citizen of Germany domiciled in either
the Eastern or Western zone may secure
U.S. copyright. Applications, however,
must indicate the author is a citizen of
Germany, West Germany, or the German Federal
Republic.

(4) Philippines
UCC status undetermined (Copyright Office
considers that UCC relations do not exist).

<!-- PageBreak -->

<!-- PageHeader="No. 18" -->

# NOTICE CONTAINING THE YEAR DATE IN WHICH COPYRIGHT WAS SECURED PLUS AN EARLIER DATE OR DATES NOT APPLICABLE TO THE WORK

This memorandum concerns our procedure in
cases where there are two or more year dates in the
copyright notice and we have ascertained that the earlier
date or dates do not refer to anything. In this situation,
copyright in the entire work has been secured in the
last year named in the notice, and there is no previous
registration or publication to which the earlier dates
might refer. The question raised by such a notice,
of course, is whether the earlier dates have any effect
on the term of copyright.

Since this question has apparently not been
decided by the courts, no "antedated notice" warning
letter or circular should be sent. On the other hand,
the question is not wholly free from doubt. Therefore,
the application and certificate should be annotated
in all such cases to show the dates in the notice.

<!-- PageBreak -->

<!-- PageHeader="No. 19" -->

## ANNOTATION IN ANTEDATED NOTICE CASES WHERE THERE IS MORE THAN ONE YEAR DATE IN THE NOTICE

Frequently we have antedated notice cases where
there is more than one date in the notice. For example,
a work published in 1966 with new matter may bear a
notice containing a 1961 and 1965 year date. The 1961 year
date refers to a previous unpublished registration or
to an earlier published edition and the 1965 year date
is intended to cover the version published with new matter
in 1966. The question then arises whether the antedated
notice annotation should read "In notice: 1961, 1965"
or "In notice: 1965."

It is our general policy to include all of the
year dates in the annotation. The inclusion of only one
of the year dates when several are in the notice creates
a false picture of the notice and under certain circum-
stances could have serious consequences.

In cases where the notice contains many dates
so that it would be impractical to show them all in the
annotation, the following legend may be used, "In notice:
series of
year dates from
through

<!-- PageBreak -->

<!-- PageHeader="S-75" -->
<!-- PageHeader="No. 20" -->

## REVISED PROCEDURE FOR APPEAL CASES

A. What is an "appeal"? An appeal, in Copyright
Office terminology, is a request for reconsideration
following the taking of some final action. The final
action involved is usually a "rejection" (that is, the
refusal to register a claim on grounds of uncopyrightability
or failure to meet statutory requirements). A request for
reconsideration of an action such as refusal to record
a document in a particular form, refusal to register a
renewal claim in a particular class, etc., is not considered
an appeal until the applicant has refused to accept the
alternative suggested by the Office and the case has been
closed.

### B. Correspondence in appeal cases.

1\. First appeal. The first letter of
appeal is referred to the member of the Examining
Division staff who was responsible for approving
the "final action" mentioned in Section A above.
The letter of reply is typed for the personal
signature of the Head (or Assistant Head) of the
Section.

a. In the event the "final action" being
appealed was taken by the Section Head in
a letter bearing his personal signature,
the letter of reply is typed for the
personal signature of the Assistant Chief,
Examining Division.

2\. Second appeal. An appeal from a second
rejection or other final action taken on the
first appeal is referred to the person who was
responsible for approving the action in question.
Ordinarily, the letter of reply is typed for
the personal signature of the Assistant Chief
of the Division.

<!-- PageBreak -->

a. In cases where the answer to the first appeal
was signed personally by the Assistant Chief, the
letter of reply is typed for the personal
signature of the Chief, Examining Division.

3\. Third and later appeals. All appeals after the
second go directly to the Chief, Examining Division,
for decision. Unless a fourth and subsequent appeal
presents new grounds for reversing the decision, the
Chief of the Division may deny them without extended
consideration.

#### C. Personal contacts in appeal cases.

1\. As a rule, efforts should be made to discourage
personal discussions in appeal cases until a written
letter of appsal has been filed. However, there may
be circumstances (e.g., where an attorney has made a
special trip from another city without first requesting
an appointment) where it would be impolite not to
listen to the applicant's arguments and to try to clarify
the Copyright Office's reasons for its action. Wo
commitments of any kind may be made in such a discussion,
and the applicant should be requested to put his
arguments in writing before any further action can be
taken.

2\. Once a letter of appeal has been received, the
Copyright Office will neither encourage nor discourage
personal discussions of the case. In such discussions
the Copyright Office should be represented by the person
who has responsibility for acting on the appeal -- the
Section Head (or Assistant Head) in first appeals, the
Assistant Chief in second appeals, and the Chief of the
Examining Division in subsequent appeals. He may call
in others to attend the conference or to represent him,
if appropriate. In certain very unusual or important
cases, the Register of Copyrights may represent the
Office in the discussion of an appeal.

<!-- PageBreak -->

3\. It is usually the purpose of the discussion
of an appeal merely to elicit information and
clarify positions, rather than to settle the case
once and for all. However, where facts are brought
out in the discussion which completely change the
complexion of a case (e.g., a work by a Turkish
citizen is found to have been first published in
a U.C.C. country), it may be appropriate to
indicate what action the Office may take. In
any case, a brief written report of the conference
should be added to the correspondence file, and
the final action of the Office should be stated or
confirmed in a letter to the applicant.

<!-- PageBreak -->

<!-- PageHeader="S-7" -->

## No. 21

## PRACTICE CONCERNING THE FEE TO BE CHARGED IN CASES PENDING IN THE COPYRIGHT OFFICE ON THE EFFECTIVE DATE OF THE FEE INCREASE [November 26, 1965]

A. Public Law 89-297, 89th Cong., Ist Sess.,
which provides for increases in most fees for copyright
registrations and other services, was approved on
October 27, 1965. Section 3 provides that "this Act
shall take effect 30 days after its enactment." Under
this provision, a copyright claim may be registered at
the lower rate if properly filed in the Copyright Office
on or before November 26, 1965, but the new higher fee
will be charged for registration of claims submitted
thereafter.

B. With respect to cases pending in the Copyright
Office at the time of the fee increase, the following
practices will be adopted:

1\. In registration cases, whether registration
can be made for the lower fee will ordinarily
depend upon whether a claim to copyright was
presented to the Copyright Office on or before
November 26, 1965. The lower fee will be
charged if, on or before that date, the Copyright
Office has received:

a. The full fee at the lower rate,
either as a separate remittance or as
part of a deposit account. In deposit
account cases there is no requirement
that the examiner check to make certain
that the account had funds sufficient to
cover a particular registration on or
before November 26.

<!-- PageBreak -->

b. An application (or equivalent infor-
mation in a letter, for example) sufficient
to identify the work and to state that a
claim in it exists, even if the information
is incomplete or incorrect.

(1) In the case of published works,
registration at the lower fee should not
be made for any work published after
November 26, 1965.

(2) In the case of renewals, regis-
tration at the $2.00 fee should not be
made unless the application is timely
and states either the correct claimant
or basis of claim.

c. The required number of copies of the
particular work, even if not the copy or
copies eventually used for the registration.
For example, the copies may be incomplete,
defective, or editions of different quality,
but should not be entirely different versions
containing substantially different copyrightable
material.

2\. In cases of recording assignments, etc.,
notices of use, or notices of intention to use,
the lower fee will be charged if, on or before
November 26, 1965, the Copyright Office has
received:

a. The basic fee at the lower rate
($3.00 for assignments, etc., $2.00 for notices
of use, or nothing for a notice of intention),
either as a separate remittance or as part of
a deposit account, even if a higher fee is
eventually required because of extra pages or
titles. However, if extra titles are later
added to a pending notice of intention, the
full new fee should be required.

<!-- PageBreak -->

b. In the case of assignments, etc.,
and notices of intention to use, a copy of
the particular document to be recorded,
even if another, non-identical copy is later
substituted for purposes of recordation. In
the case of notices of use, a copy of the
notice containing the name of the copyright
claimant and at least one of the titles in
the notice as eventually recorded. For
example, if before November 27, 1965, the
only notice of use received contained the
names of different copyright claimants for
several different compositions, the fee for
the notices of use eventually recorded
should be computed at the new rate.

C. Where, before November 27, 1965, we find that
the higher fee will be necessary unless there is a satis-
factory compliance before that date, we will call attention
to the fee increase in the correspondence in a manner calcu-
lated to avoid the necessity of writing later for an
additional fee.

D. Where the applicant, at his own initiative,
indicates that he prefers to pay the higher fee for a
registration in a case that was pending in the Copyright
Office at the time of the fee increase, the higher fee
will not be refused even though the circumstances would
not make it mandatory.

<!-- PageBreak -->

<!-- PageHeader="8-81" -->
<!-- PageHeader="No. 22" -->

### DATES OF RECEIPT APPEARING ON THE APPLICATION AND COPIES OR COPY

It is not uncommon for an application to have acquired
several dates of receipt by the time it is ready to be passed for
registration. The same is true for the copies or copy and the
dates in the boxes indicating the receipt of copies or copy.
In order to standardize the practice in the Examining Division
the following practices will be adopted in all Sections with the
exception of the Renewal and Assignment Section. In the latter
Section the date of receipt of the application usually determines
the vesting date of the renewal. The rigid adherence to these
practices by the Renewal and Assignment Section could frequently
result in the loss of rights.

A. Date of Receipt of the Application.

I. If registration is being made on the basis of
the original application and there has been no
correspondence, or if registration is being made
on the basis of a new application received after
correspondence, only the one date of receipt of
that application should appear in the "Application
received" box.

II. If the original application was returned for the
addition of certain information and it is resub-
mitted with the information added, two dates will
appear in the "Application received" box when it
reaches the Examining Division. In such cases,
the examiner will add the later date of receipt
to the certificate so the information on the
application and certificate will be uniform. If
the work is unpublished, the examiner will lightly
cross through the earlier date on both the
application and certificate in red pencil, thus:

There is no necessity for crossing through the
earlier date in the case of published works.

<!-- PageBreak -->

B. Date of Receipt of the Copies or Copy.

I. In the case of published works, if each of two
complete copies is received on a different date,
stomp the date of receipt of each copy in the
"Two copies received" box. Thus :

1 c rec'd (first date)

1 c rec'd (later date)
☒

II. In the case of either an unpublished or a published
work, if one or both of the copies received is
incomplete, the examiner will write for a complete
copy or copies. In some cases it will be sufficient
for the applicant to deposit the missing material,
resulting in parts of one or both copies bearing
different dates of receipt. The date of receipt of
a particular copy in such cases will be the date
the material making the copy complete was received
in the Copyright Office. All earlier dates that
appear on either the copy or in the "Copy received"
or "Copies received" box should be crossed through
lightly in red pencil.

For example, an application on Form E for an
unpublished work may indicate that the claim is in
both words and music, but only the music has been
deposited. The copy is not complete until the words
have been received. The date of receipt of the
words, therefore, will be stamped on the application
and certificate, and the date the music only was
received will be crossed through lightly in red pencil
on the application, certificate, and copy.

III. It sometimes happens in the case of unpublished
works that the copy originally deposited is
returned for correction, and is resubmitted at a

<!-- PageBreak -->

later date. Where this occurs the later date
should be stamped on the application, certificate,
and copy, with the earlier date being lightly
crossed through in red pencil on the application,
certificate, and copy.

NOTE: In each of the situations described in this
memorandum where it is necessary to cross through an earlier
date, it is important that it is done in such a way that the
date will remain legible.

<!-- PageBreak -->

<!-- PageHeader="8-84" -->
<!-- PageHeader="No. 23" -->

RETURN OF DEPOSIT COPIES IN CASES WHERE
NO REPLY HAS BEEN RECEIVED TO COPYRIGHT
OFFICE CORRESPONDENCE

As a general rule, when no reply is received to
Copyright Office correspondence and the case is closed, the
deposit copies will be retained in the Copyright Office files.
This rule applies to both published and unpublished material.

If the applicant later requests the return of his
published copy or copies and we have two copies in our file,
one copy will be returned. The applicant will be advised
that the second copy has been retained as a part of the
Copyright Office file in the case in accordance with our
usual practice. If there is only one copy in our files, we
will not return that copy unless it reasonably appears that
the work may not have been published, or the Section Head or
Assistant Section Head approves its return after considering
all of the circumstances.

In the case of unpublished material, the deposit
copy will be returned if the applicant requests it.

<!-- PageBreak -->

<!-- PageHeader="S-85" -->

## No. 24

## RIDERS TO APPLICATIONS

The following outline of procedures should be followed when
an application with a rider attachment is received for registration
and the application is otherwise acceptable.

### I. Riders in General.

A. What are Riders. Riders are extra slips or pages
submitted by applicants containing information
which continues or supplements the information
included in their applications. Most commonly
riders list additional authors whose names do not
appear in the authorship line, or they contain
statements of new matter that are too detailed
or elaborate to be included in the new matter
line on the application.

B. Policy. An application accompanied by a rider
will not be passed for registration.

### II. When to Annotate for a Rider.

A. When the information on the rider is of a quantity
that can be transferred to the application in a
neat, legible manner, we will annotate.

B. When the information on the rider is too voluminous
to be accommodated on the application, but can be
abbreviated in the applicant's language and without
any appreciable loss of meaning or content, we may
annotate.

C. When transfer or abbreviation of the information is
not feasible, we will request a new application.
The following are examples of how typical cases
should be handled when the rider is such that it
cannot be transferred or abbreviated and we are
writing for a new application:

<!-- PageBreak -->

1\. Where the rider relates to the title (e.g.,
where the individual titles in a collective
work are listed) a new application listing
only the general title will be requested.

2\. Where the rider relates to authorship (e.g.,
where a number of authors are listed) a new
application listing only the number of
authors called for on the form will be
requested. In such cases, we may suggest
that the applicant add "and others" after
the last author listed.

3\. Where the rider consists of a long explana-
tory statement (concerning new matter,
manufacture, reasons for depositing photo-
graphs, etc.) a new application containing
a brief, general statement of the information
will be requested.

4\. Where the rider consists of extraneous
information not called for by the applica-
tion, a new application omitting any
reference to the rider will be requested.

<!-- PageBreak -->

<!-- PageHeader="S-87" -->
<!-- PageHeader="No. 25" -->

## INQUIRIES CONCERNING THE COPYRIGHT OFFICE AND OTHER DEPARTMENTS OF THE LIBRARY

Occasionally we receive a letter of inquiry asking questions
concerning both copyright matters and matters which might refer to
other departments of the Library, such as, for example, processing of
catalog cards, dissemination of the copyright deposits once they have
reached the shelves of the Library, etc. We, of course, should not
attempt to answer any inquiries pertaining to the operating procedure
in other than our own Division. However, steps must be taken to see
that the other inquiries are answered.

Where a letter of inquiry relates to matters not entirely
within the jurisdiction of the Copyright Office, our replies will be
directed solely to the copyright matters, and the writer of the
letter of inquiry will be told that his other inquiries have been
referred to the appropriate department in the Library for reply.

<!-- PageBreak -->

<!-- PageHeader="8-88" -->
<!-- PageHeader="No. 26" -->

## CORRESPONDENCE IN CASES INVOLVING REPRINT MATERIAL

### Two related problems involving reprint material arise quite frequently.

In both cases it is clear that the work contains
material that has been published or copyrighted previously.
Likewise, in both cases, the copyright notice contains only
the later date of publication of this edition, and does not
include any date covering the earlier material. The year
date appearing in the notice is more than one year later than
the year in which copyright in the earlier material was secured.

In the first situation, there is a question as to
whether there is sufficient new matter to support a new reg-
istration, and we must write to find this out. It has sometimes
been our practice merely to pose the question, without explaining
the possible consequences -- that unless there is new matter, reg-
istration cannot be made and copyright has doubtless been lost.
In this case, and in all cases where the copyright status of a
work hinges on an applicant's answer to our question, an ex-
planation of the possible consequences should be included in our
letter.

In the second situation, it is clear that there is
no new matter, and that the work is a mere reprint. In many
of our rejection letters, we have gone no further than to
explain that registration must be refused because there is
not enough new matter to support a new entry. If this is true,
however, the copyright may have been lost by use of a postdated
notice. We will point this out to the applicant to avoid telling
him only half of the story and leaving him with a wrong impression
as to future publications. This should be pointed out only as a
possibility or as a general proposition; we cannot decide this
question in an individual case.

These problems usually arise with respect to the
year date. However, it should be noted that the same
situation can arise when the name in the copyright notice
is changed on a reprint without first recording the
assignment.

<!-- PageBreak -->

<!-- PageHeader="8-89" -->
<!-- PageHeader="No. 27" -->

## USE OF PSEUDONYMS IN THE COPYRIGHT NOTICE

One of the essential elements of the required
statutory notice on a published work is the name of the
copyright owner or proprietor, that is, the name of the
person or organization legally entitled to the copyright
at the time of first publication. Generally, unless the
name in the notice identifies someone who is entitled to
secure the copyright, registration of the claim to copy-
right would not be authorized.

Whether the use of a pseudonym in the notice
satisfies the statutory requirements is not altogether
clear. The problem arises from the fact that one of the
principal purposes of the copyright notice is to identify the
copyright owner to the public, whereas a pseudonym may be
used to conceal that identity. Since it is desirable that
our actions be consistent throughout the Division, the
following practices will be adopted.

1\) If the work is unpublished and bears a copyright
notice containing a pseudonym or other fictitious name, the
use of such a notice at the time of publication will be dis-
couraged unless the pseudonym actually discloses the identity
of the person or organization legally entitled to claim copy-
right. Since one of the principal purposes of the notice is
to identify the copyright owner to the general public, a
name associated with the owner in the mind of the public is
always desirable.

2\) If the work has been published with a pseudonym
or other fictitious name in the copyright notice, our action
will depend upon whether the name in the notice is capable of
identifying the copyright proprietor to the public.

a) Where the owner's identity is well known
under the pseudonym or other fictitious name
the application will not be questioned, even
though the relationship between the two
names is not disclosed on the application.

<!-- PageBreak -->

However, if the relationship between the
two names is not disclosed on the appli-
cation, the name of the copyright claimant
given in the application must agree with the
name appearing in the copyright notice. Ex-
ample: in the case of a work copyrighted by
Mark Twain, the application will not be questioned
merely because it names Mark Twain as copyright
claimant and author, since the author was as well
known under his pseudonym as by his real name,
Samuel Clemens.

b) Where the pseudonym or other fictitious name
is incapable of identifying the copyright
proprietor to the public, the claim will be
rejected. Examples: John Doe, pseudonym of
; or, Any Man, U.S.A., pseudonym
of
.

c) In all other cases where we have knowledge that
the name in the copyright notice is pseudonymous
or fictitious, we will inquire whether the name
in the notice is capable of identifying the copy-
right proprietor to the public. Our letter should
inform the applicant of the desirability of using
the owner's real name in the notice since the use
of a pseudonymous or fictitious name may create
some doubt affecting the validity of the copyright
claim. Ordinarily, we will not question an appli-
cant's assertion that the public associates the
pseudonym or other fictitious name with the true
copyright owner.

3\) When the copyright notice contains a pseudonym
or other fictitious name, except for those cases described
under 2)a) above, the relationship between the pseudonym or the
fictitious name and the recognized name of the person or organi-
zation legally entitled to claim the copyright should be disclosed
on the application. The disclosure should be explicit, and may

<!-- PageBreak -->

appear in connection with the name of the copyright claimant
or the name of the author shown on the application, or, preferably,
both. For example, assuming that the name in the notice contains
the pseudonym "WELLS DREIGH," the claimant should be identified
on the application as follows: "WELLS, DREIGH, pseudonym of
Eli Winthrop." The name of the author on the application should
be accompanied by his pseudonym within parentheses: "Eli
Winthrop (WELLS DREIGH)." Whenever there is a difference be-
tween the name in the notice on the copies and the name of the
copyright claimant given on the application, the discrepancy
may be resolved by adding an annotation to both the application
and certificate, provided, of course, the relationship between
the two names is explicitly disclosed elsewhere on the application.

NOTE: It is clear that nothing in the law prevents
the author from writing under a pseudonym or remaining anonymous.
No problem arises unless the pseudonym or fictitious name appears
in the copyright notice. When an author wishes to conceal his
identity, he may wish to arrange with his publisher so that at
the time of first publication his publisher (or another) will be
"the person or organization legally entitled to the copyright."

<!-- PageBreak -->

<!-- PageHeader="8-9" -->
<!-- PageHeader="No. 28" -->

SINGLE APPLICATION SUBMITTED FOR SEVERAL
VERSIONS OF THE SAME PUBLISHED OR UN-
PUBLISHED WORK

I.
Published Works. Where several versions of the
same published work (e.g., different arrangements
of the same song; or English, French, and Spanish
versions of the same book) are separately bound
but are submitted with one application, the
following practices apply.

A. Unitary Publication. Where the applicant
states, or we have other reason to believe,
that the several versions vere first published
together as a single work, i.e., as a unit,
they may be registered together on the one
application.

Example: Both versions contain the
same series title; also,
there is a single sale price.

B. Unitary Publication Questionable. Where there
is nothing other than the single date of
publication given in the application) to indi-
cate that the several versions were published
together as a single unitary work, ve will
inquire whether such was the case.

Example: Each version bears a different
price and/or series mumber

C. Separate Publications. Where we are informed
that even though published on the same day the
several versions were published separately, the
following practices apply:

1\. Versions are substantially different. Where
several versions of a single work are published
separately on the same day and each version
contains sufficient different copyrightable

<!-- PageBreak -->

material to support a copyright on its own, we will
ask for separate applications. It is always pre-
ferable to include, in the space provided for the title
on the application, words which will identify the
particular version in question.

For example, the title could read:
ARRANGEMENTS FOR PIANO SOLO AND SATB
(English and French translations of
a German Book)

2\. Differences Are Uncopyrightable. Where several
versions of a single work are published separately
on the same day and the only differences between
the versions are minor or involve uncopyrightable
elements, ve will register only one of the versions,
whichever version the remitter wishes. Line 2 of
the application should preferably identify the
particular version after the title.

Eples: Arrangements for Horn Quartet and
Trombone Quartet where the only
difference is the transposition

Editions for High, Medium and Low
Voices where the only difference is
the transposition

Catalogs where the only differences
are in the names of the localities
where they are published

Advertising brochures with the same
pictorial and text matter but in
different colors

3\. One Version More Complete. Where several versions
of a single work are published separately on the
same day, and one version is more complete than

<!-- PageBreak -->

the other (e.g., one version contains all the copy-
rightable material in the other one, plus additional
copyrightable material), we will register only the
more complete version. The application should con-
tain a title which will identify the particular
version involved in the registration.

Example :
One book containing the words
to a Kiwanis Song Book, the
other containing the same
words plus the music.

Teacher's edition and student's
edition of a book, the former
containing the latter plus other
text.

II. Unpublished Works. Where several versions of the same unpub-
lished works are submitted with a single application, the follow-
ing practices apply.

A. Versions are substantially different. Where each version
contains sufficient different copyrightable material to
support a copyright on its own, we will encourage the
remitter to make separate registrations. However, a
single registration my be considered if the applicant
insists provided the authorship of each version is the
same, and a single identifying title is given.

Examples: Arrangements of a composition for
piano solo and for dance orchestra

Two versions of a script for a TV
commercial for Luzianne Coffee, one
30-seconds and the other 60-seconds
A play with alternate endings

English, French and Spanish versions of
a popular song, with different lyrics
and minor changes in tempo and phrasing

<!-- PageBreak -->

B. Differences are Uncopyrightable. Where the differences
between the versions are minor or involve uncopyrightable
elements, the versions may be registered together on a
single application.

Examples: The same music in different keys

The same drawing in black and
white and in color

<!-- PageBreak -->

<!-- PageHeader="S-9" -->
<!-- PageHeader="No. 29" -->

### SINGLE PAGE RULE FOR COPYRIGHT NOTICES

The following practices should be observed in
examining claims to copyright in single page works.

A copyright notice appearing anywhere on a
single folded sheet may be accepted in Classes A, B, D,
E, and F through K. This rule applies only if the folded
sheet may, unopposed by any mechanical device (such as
stitching, stapling, etc.), be opened out into one single
sheet.

The basis for this rule is that in many cases
involving folded material the "faces" or "pages" are not
paginated and the folds are such that it may be difficult
to ascertain which portion of the folded sheet is the title
page, the page immediately following the title page, or the
first page of text, etc. Thus, the Office considers that the
title page can be ascertained only when the sheet is entirely
unfolded. If it then appears that an adequate notice is on one
side or the other of the unfolded single sheet, registration
will not be denied on the grounds of a misplaced notice.

Where registrations are being made on this basis in
Classes A, D, and F through K, it will not be necessary to
write a warning letter. The rationale here is that since the
notice for a book or a dramatic work should appear either "upon
its title page or the page immediately following," a notice
either on the side of the single sheet containing the title or
on the other side would meet this requirement. In the case of
works registrable in Classes F through K, the law does not
specify any exact position for the notice; consequently, a
notice on any accessible portion of the work is acceptable.

<!-- PageBreak -->

However, where registrations are being made
in Classes B and E, it may be necessary in certain cases
to send a warning letter. The law provides that the
notice for a periodical shall appear "either upon the
title page or upon the first page of text of each
separate number, or under the title heading." Thus, if
when the folded sheet is opened out, the notice does
not appear on the side of the sheet containing the title,
we should send a warning letter since we could not be
sure that the other side would be regarded as "the first
page of text of each separate number." In the case of a
musical composition, the law provides that the notice shall
appear "either upon its title page or the first page of
music." If, when the folded sheet is opened out, the title
page and the first page of music appear together on the
same side of the folded sheet and the notice appears on
the other side, we should send a warning letter.

<!-- PageBreak -->

<!-- PageHeader="S-98" -->
<!-- PageHeader="No. 30" -->

## REFUNDING OF EXCESS FEES

According to the Regulations of the
Copyright Office, excess fees in the amount of
25¢ or less will not be returned unless specifically
requested by the remitter.

If the amount of the excess fee is 26¢
to 49g, inclusive, refund will be made by postage
stamps rather than by check. An excess fee of 50g
or more will be refunded by check.

<!-- PageBreak -->

<!-- PageHeader="No. 31" -->

## REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD

### PART I

Basic procedures for handling requests for corrections in,
additions to, or cancellation of, our completed records

#### I. Initial procedures

A. Letter, application or copy. Generally, a letter
or application describing a possible mistake in a
completed record, or a copy sent to be attached to
or substituted for the original deposit copy, should
be referred to the appropriate section in the
Examining Division which will be responsible for
determining whether the error actually exists in our
records.

1\. If an error is found, the case will be handled
in accordance with the instructions in Section II
below.

2\. If no error is found, or if the error is so
minor that any additional action would be futile
or confusing, the applicant should be advised
that no further action is necessary.

B.
. Formal document. Formal documents that describe
errors and are specifically submitted for recorda-
tion should be referred initially to the Renewal and
Assignment Section, regardless of the class in which
the registration was made.

<!-- PageBreak -->

##### I. Initial procedures (cont'd)

###### B. Formal document (cont'd)

1\. If, upon searching, they find anything indicat-
ing either that "referral" action should be
taken, or that a "corrective entry" or entirely
new registration should be made in lieu of
recordation of a document, they will refer the
case to the appropriate Examining Division
section.

2\. If they find no such action is in order, they
will proceed to have the document examined for
recordation purposes.

II. Responsibility for Error. Where it is determined that
an error exists in our records, the appropriate course
of action depends initially upon whether or not the
Examining Division should have discovered the error at
the time of registration.

###### A. Examining Division Error.

1\.
Referrals. If the error is one that the
Examining Division should have discovered at
the time of registration and cancellation
is not required, the case should be handled
by the procedure prescribed for numbered
applications.

2\. Cancellations. If the error is one that the
Examining Division should have discovered at
the time of registration and cancellation is
required, the case should be handled by the
procedure prescribed for cancellation cases.

<!-- PageBreak -->

###### II. Responsibility for Error (cont'd)

B. No Examining Division Error.

1\. Error Made by Applicant in Application or Copy
at the Time of Registration. If no Examining
Division error was made, but the applicant
himself made a mistake on the application or
copy (either one of commission or omission) and
he feels that the error is important enough
to correct, the case should be handled in
accordance with the procedures set forth in
Part II of this memorandum.

2\. Change since registration. If no Examining
Division error was made, and some fact
correctly stated on the original record has
simply changed since registration, (e.g.,
change in title, woman author has married,
author's citizenship or claimant's address
has changed, etc. ) and the applicant wishes
our records to show this change, the case
should be handled by the procedure prescribed
for a change in title or other facts after
registration.

3\. Errata sheets. If no Examining Division error
was made, but the applicant voluntarily sends
us errata sheets or similar inserts to be
attached to his published deposit copies after
registration has been completed, the sheets or
inserts should be referred (with a copy of the
covering letter) to the Records Section, Service
Division.

NOTE: Where the insert or other copy is to be
substituted for or added to the deposit
copy of an unpublished work, and the
changes could constitute copyrightable
new matter, the case should be referred
to the appropriate section to be handled
as a possible new registration for a
revised version.

rt I

<!-- PageBreak -->

###### II. Responsibility for Error (cont'd)

###### B. No Examining Division Error (cont'd)

4\.
Two Registrations Made for the Same Work. If
no Examining Division error was made, but
through an oversight or misunderstanding, two
registrations have been made for the same
unpublished or published work, and we are asked
to cancel one of the registrations, the case
should be handled in accordance with the pro-
cedures set forth in Part IV of this memorandum.

5\.
Abandonment of Copyright Claim. If no Examining
Division error was made, but the applicant wishes
to "withdraw" or "abandon" the copyright claim
(NOT the copyright itself), the case should be
referred to the Renewal and Assignment Section.

Example: A claim was registered in a new
version of a previously copy-
righted work without the permission
of the copyright owner of the
original work.

6\. Abandonment of Copyright. If no Examining Division
error was made, but the applicant wishes to abandon
his copyright, the case should be referred to the
Renewal and Assignment Section.

Example: The copyright owner wishes to
abandon his ad interim copyright
so that he may import into the
United States more than the allotted
1500 copies of the work.

<!-- PageFooter="art I" -->
<!-- PageBreak -->

## PART II

Error Made by Applicant in Application or Copy at Time
of Registration

This part outlines the procedures which should
be followed in handling cases where the applicant himself
made a mistake on the application or copy at the time of
registration which he feels is important enough to correct.
The mistake is such that the examiner could not be held
responsible for failing to note the error. The following
are examples of this type of mistake: incorrect date of
publication; incorrect or incomplete authorship given;
incorrect citizenship; incorrect affidavit information;
error in spelling of author's name.

These procedures are not appropriate where some
fact on the original application has changed since regis-
tration was completed, or where the error is one that the
Examining Division should have discovered at the time of
registration.

I.
General Rule. Where it is determined that the applicant
has made a mistake in the application or copy at the
time of registration and the mistake is one which does
not involve an Examining Division error, the appropriate
course of action initially depends upon whether the
registration in question covers a published or unpublished
work.

II. Published works. If no Examining Division error is
involved and the registration in question covers a
PUBLISHED WORK, the appropriate course of action further
depends upon whether the original publication was
authorized or unauthorized.

A. Authorized publication. If it seems likely that the
original publication was authorized by the author or
his assignee, but the application contains an error,

<!-- PageFooter="art II" -->
<!-- PageBreak -->

### II. Published works (cont'd)

#### A. Authorized publication (cont'd)

the action to be taken depends upon the nature
of the error.

1\. Error in copyright ownership. Where the error
involves the name in the copyright notice, i.e.,
copyright ownership, the appropriate course of
action depends upon the seriousness of the error
and whether or not it appeared on the bulk of
the published edition or only on a few copies.

a. Error in notice appeared on all or the bulk
of the published copies.

(1) If the error is so serious that regis-
tration would not have been made in
what is now alleged to be the correct
name, and if it seems likely a valid
copyright was secured in the name in
the notice, recordation of a document
of assignment should be suggested.

Example: Name in notice on deposit
copies and original appli-
cation is Random House
Publishers whereas correct
name of copyright owner is
Larchmont Press, a
subsidiary.

(2)
) If the error is not so serious that
registration would have been refused if
the original application had reflected the
true facts at the time it was submitted,
the applicant may apply for a completely
new registration, or he may, either as an
addition or as an alternative to a new
registration, submit a formal, signed
statement or affidavit for recordation in
the permanent, official records of the
Copyright Office.

<!-- PageFooter="rt II" -->
<!-- PageBreak -->

#### II. Published works (cont'd)

##### A. Authorized publication (cont'd)

###### 1. Error in copyright ownership (cont'd) a. (cont'd)

###### (2) (cont'd)

Example: Name in notice on deposit
copies and in original
application is "David Rose
Music Publishing Co." whereas
the correct name of the
proprietor is "David Rose
Publishing Co."

If a corrective entry is made, see Part III
of this memorandum.

b. Error in notice appeared on the application
and on only a few copies as first published,
i.e., if the copies deposited originally
containing the error are not identical with
the bulk of the first published edition, a
"corrective entry" should be suggested.

Example :
Name in notice on deposit copies
and in original application is
Artmore Publishing Co., whereas
name in notice on bulk of
published edition is Beechnut
Publishing Co. (Both firms are
owned by the same parent cor-
poration, but one is an ASCAP
firm, the other a BMI firm).

See Part III.

<!-- PageFooter="t II" -->
<!-- PageBreak -->

##### II. Published works (cont'd)

###### A. Authorized publication (cont'd)

2\. Change in authorship. Where the error involves
a change in authorship, the appropriate action
depends upon whether or not the error appeared
on the bulk of the published copies or only on
a few.

a. If the error appeared either (1) on the
application only (e.g., no authorship state-
ment at all appeared on the copies) or (2)
on the application and all or the bulk of
copies as first published, the applicant
should be advised by letter of the alterna-
tives available to him. (See Part II,
Section II.A.l. a.(2), above).

Examples: (a) Application names Sidney
Streeter as author; no
authorship on copies.
Correct author is Sy
Manner.

(b) Application and all
copies name Rebecca Waters
as author. Should be
Rebecca Waters and Charles
Oston.

(c) Application and all copies
names Jules Meredith as
author. Should be Western
Publishing Co., employer
for hire of Jules Meredith.

b. If the error appeared on the application and on
only a few copies as first published, i.e., if
the copies deposited originally containing the
error are not identical with the bulk of the
first published edition, a "corrective entry"
registration should be suggested.

Example: Application and deposit copies
name John Kerry as author of
words and music whereas on the

rt II

<!-- PageBreak -->

##### II. Published works (cont'd)

A. Authorized publication (cont'd)

2\. Change in authorship (cont'd)
b. (cont'd)

Example (cont'd)

bulk of the published edition
he is named as author of
music only.

###### Part III

3\. Other errors. Where the error involves any fact
other than the name in the copyright notice or a
change in authorship, e.g., error in date of
publication, error in affidavit, error in new
matter statement, the applicant should be advised
by letter of the alternatives available to him.
(See Part II, Section II.A.l.a. (2), above).

B.
. Unauthorized Publication. If it seems likely that the
original publication was not authorized by the author
or his assignee, then regardless of the nature of the
error and regardless of where the error appears - on
the application and/or copies - an entirely new regis-
tration, not a "corrective entry," may be made by the
author or his assignee after an authorized publication
has taken place. No reference should be made on the
new application to the earlier registration or publication.

III. Unpublished works. If no Examining Division error is
involved and the registration in question covers an
UNPUBLISHED WORK, the course of action depends upon whether
the original registration was authorized or unauthorized.

A. Authorized registration. If the original registration
was authorized (d.e., if the remitter was authorized by
the author or the author's assignee to apply for regis-
tration) but the application contains an error, there
are four possible courses of action depending upon the
nature of the error:

<!-- PageFooter="et II" -->
<!-- PageBreak -->

#### III. Unpublished works (cont'd)

##### A. Authorized registration (cont'd)

1\. Error in copyright ownership, but valid copy-
right secured. If an error was made in naming
the copyright owner(s), but it seems clear that
a valid copyright was secured, recordation of a
document of assignment should generally be
suggested.

Examples :

a. Line 1 either omitted the name of a co-
claimant, included a co-claimant in error,
or gave the name of a co-claimant incorrectly;
however, at least one name given was the
author or assignee of the author.

Line 1 names A as claimant - should be
A and B.

Line 1 names A and B as co-claimants -
should be A only.

Line 1 names A and B as co-claimants -
should be A and C.

b. Line 1 contains the name of someone who was
not the author or the assignee of the author,
but it is clear that there is privity between
the claimant named in line 1 and the copyright
owner.

The claimant given in line 1 may be a
subsidiary of the copyright owner.

The author's agent gave his own name
in line 1 instead of the author's name.

<!-- PageFooter="art II" -->
<!-- PageBreak -->

###### III. I. Unpublished works (cont'd)

###### A. Authorized registration (cont'd)

2\. Error in copyright ownership, and not clear
if valid copyright secured. If an error was
made in naming the copyright owner(s) and it
is not clear whether or not a valid copyright
was secured, either recordation of an assign-
ment or application for a corrective registration
should generally be suggested, depending upon the
facts.

Examples :

a. Line 1 contains the name of someone who was
not the author or the assignee of the author,
and the relationship between the claimant
named in line 1 and the copyright owner is
unclear.

A publisher erroneously lists as the
claimant for one work, the claimant for
another unrelated work in his catalog,
e.g.

Marco Music Co. should be Zenia
Publishing Co.

b. Line 1 contains the name of a company that
was non-existent at the time of registration.

An author planned to do business under
the name Saxton Music Publishing Co. and
registered his claim under that name only
to find out later that BMI would not clear
the name because it was being used by
someone else.

Line 1 contains the name of a company
which it develops was not legally
recognized by the state in which the
company was operating because of the
failure of the company owner to comply
with state statutes.

t II

<!-- PageBreak -->

###### II. Unpublished works (cont'd)

###### A. Authorized registration (cont'd)

3\. Change in authorship. If the error involves a
change in authorship, a formal, signed statement
or affidavit may be submitted for recordation in
the permanent, official records of the Copyright
Office.

Examples :

a. The application names Wendy Brown as author
of the music when the composer was actually
Sam Grundy.

b. The application names 4 individuals as
authors when in fact only 3 of them
contributed copyrightable authorship.

c. "Employer for hire" statement omitted or
given in error.

d. Nature of authorship incomplete or incorrect.

4\.
Other changes. If the error is one that does not
involve either an actual change in ownership or a
change in authorship, recordation of an affidavit
explaining the error should generally be suggested.

Examples :

a. Line 1 contains a minor error in the name of
the claimant but the claimant is unmistakably
identified and there is only one legal entity
involved.

Irving Berlin Music Co. should be Irving
Berlin Music Publishing Co.

Saxony Music should be Saxony Music, Inc.
Mormax Music Corp. should be Momax Music Co.

rt II

<!-- PageBreak -->

###### III. Unpublished works (cont'd)

##### A. Authorized registration (cont'd)

4\. Other changes (cont'd)
Examples (cont'd)
a. (cont'd)
Oakland Publishing Co. should be Oakland
Publishing, Inc.

Barnaby Music Inc. should be Barnaby
Music Corp.

John Nicklaus should be John Micklaus

Mary Stern should be Mary Stein

b. Line 2 contains an error in the title. (Do
not confuse with a change of title made AFTER
registration has been completed.)

Two works deposited together and the titles
were criss-crossed on the application and
copies.

The wrong title was given on the application
and copy and this title actually identifies
a different work.

c. The incorrect citizenship, domicile or address
of the author or claimant given.

d. The work was registered as "published" in error
(date of publication given is date of recording
or printing) and publication still has not
occurred.

e. New matter statement given in error or statement
of new matter omitted when needed.

f. Error made in stating the facts of previous
registration or previous publication (e.g.,
registration number or date).

<!-- PageFooter="rt II" -->
<!-- PageBreak -->

#### III. Unpublished works (cont'd)

B.
. Unauthorized registration. If the registration was
unauthorized (i.e., the remitter had no authority
from the author or his assignee to apply for the
registration at all), a complete new registration,
not a "corrective entry, " may be made by the author
or his assignee. No reference should be made on
the new application to the earlier registration.

Examples:

Author sent work to publisher for possible sale
or recording purposes, and publisher makes
registration either in his name or the name of
the author, but without author's consent or
authority.

Author registers claim in his name, and lists
himself as author; "publisher" later asserts
that work was made for hire, and publisher is
author and claimant.

<!-- PageFooter="art II" -->
<!-- PageBreak -->

## Part III Corrective Entries

### I. What is a "corrective entry"?

A. Definition. A "corrective entry" is an entirely
new registration which may be made in certain
instances to correct an error in some fact stated
by the applicant in the original, completed
registration. These cases involve a mistake (or
omission or ambiguity) in the original application and/or
copy which the examiner could not be held responsible
for failing to observe.

NOTE: A "corrective entry" is not appropriate to
correct an error appearing in the copyrightable
content of the original deposit copy or copies. In
such cases, if the corrections involve substantial,
new, copyrightable authorship, a new registration
may be considered on the basis of the new matter. If
the corrections or changes are not substantial, and
the work is published, the corrected copy should be
treated as an errata sheet (See Part I, Section II.B.3).
If the work is unpublished, no further action is
necessary.

B.
"Substitute Entry" distinguished from "Corrective Entry"
A "substitute entry" is a case involving an error on
the original record which the examiner should have noted
at the time of registration. To correct the error, a
new application and/or copy covering the same work is
substituted for the erroneous application and/or copy;
a new certificate is issued without the necessity of
filing an additional fee; the same registration number
is used and no accounting action is required.

<!-- PageBreak -->

I. What is a "corrective entry"? (cont'd)

C. Changes made after registration distinguished from
changes justifying "Corrective Entry." "Corrective
Entry" cases involve a mistake on the original record
and should not be confused with cases where some fact
on the original record has changed since registration
(e.g., change in title, woman author has married,
author's citizenship or claimant's address has changed,
etc.), and the applicant wishes our records to show
this change.

II. When may a "corrective entry" be made?

#### A. Unpublished works.

1\. The term of copyright in an unpublished work is
computed from the date of registration in the
Copyright Office. A later registration for the
same work in unpublished form could create diffi-
culties because of the uncertainty as to the
duration of copyright protection. Therefore, the
reviser should carefully evaluate the applicant's
letter or application, etc. to determine whether he
merely wishes to correct an error that does not go
to the validity of the registration, or whether he
believes that the earlier registration was actually
invalid. The possibility of making a "corrective
entry" should be suggested only if the error to be
"corrected" goes to the validity of the registration,
i.e., the original entry was clearly invalid.

Example: where the wrong claimant was given

2\. For specific instructions, refer to Part II of this
memorandum.

### B. Published works.

1\. Since the term of copyright in a published work is
computed from the date of publication, regardless
of when registration is completed, the presence of
two registrations in our records covering the same
published work does not raise problems as to the length

<!-- PageFooter="art III" -->
<!-- PageBreak -->

### II. When may a "corrective entry" be made? (cont'd)

#### B. Published works (cont'd)

##### 1. (cont'd)

of the term. However, the possibility of making a
"corrective entry" should not be suggested indis-
criminately.

2\. For specific instructions refer to Part II of this
memorandum.

### III. Processing of Corrective Entries

#### A. Preliminary correspondence.

1\. Request for materials. Where it is determined that a
"corrective entry" may be made to correct the error
on our records, the applicant should be advised
that the copyright owner or his authorized agent
may apply for a completely new "corrective"
registration by submitting a new application, the
same number of copies required for the original
registration and the required fee of $6.00.

2\.
Request for explanatory statement. An ex-
planatory statement reading "This is to correct
Registration Number
" should appear
on the new application, either in the top margin
or in the line designated for "new matter."

#### B. Examining procedures.

1\.
Comparison of applications and copies.
"Corrective entry" material should be fully
examined as a new case. In addition, it is
essential that the "corrective" application and
the original application agree in all respects
except the one point in issue. If possible, the
new copy or copies should be identical with the
original deposit. (But see Section IV below).

<!-- PageFooter="rt III" -->
<!-- PageBreak -->

### III. Processing of Corrective Entries (cont'd)

#### B. Examining procedures (cont'd)

2\. Original published copies not available. In
exceptional cases, where the applicant states
that it is impossible to obtain copies of the
original work as first published, photostat or
microfilm copies will be accepted. Reprints will
be accepted only where the applicant states that
it is impossible to secure copies or to make
copies of the original edition. In such cases,
the application and certificate will be annotated
to show the nature of the copies deposited.

3\.
. Original certificate returned. The original
certificate of registration should not be submitted,
and it will be returned where it is sent to the
Copyright Office.

#### IV. Special Procedures Where the Corrective Entry Registration Involves Errors in Copies of Published Works

A. Error on Original Deposit Copies. Occasionally, the
applicant will discover that the copies originally
deposited in support of a published registration
contain an error, and he will file "corrected" copies
in addition to a corrected application.

B. Acceptance of "Corrected"Copies. Since the copies
deposited for registration of a published work must be
in the form as first published, whether or not we can
accept the corrected copies depends upon the facts of
first publication. (See Part II, Section II. A.)

1\. Authorized publication. If the original publication
was authorized by the author or his assignee, then
the proper course of action depends upon how many
incorrect copies were published.

<!-- PageFooter="art III" -->
<!-- PageBreak -->

IV. Special Procedures Where the Corrective Entry
Registration Involves Errors in Copies of
Published Works (cont'd)

##### B. Acceptance of "Corrected" Copies (cont'd)

###### 1. Authorized Publication (cont'd)

a. Error appeared on only a few published copies.
Where we receive the applicant's assurance that
the copies deposited originally were not identical
with the bulk of the published edition and that at
most, only a very few of the incorrect copies were
published, the corrected copies representing the
bulk of those actually first published could be
accepted. The new application would also give
the correct information with regard to the error
appearing on the original application. The
original date of publication should be retained.

b. Error appeared on the bulk of the published edition.
Where it seems clear that more than a few of the
incorrect copies were published, the corrected
copies cannot be used. Copies of the original
edition containing the error should be used, but
the new application should give the correct infor-
mation. The original date of publication should
be retained, Both the application and certificate
should be annotated to show what appears on the
copies, and to show that the application contains
the correct information.

2\. Unauthorized publication. IMPORTANT: If the original
publication was not authorized by the author or his
assignee, a corrective entry should NOT be suggested.
Rather, an entirely new registration should be made
by the author or his assignee after an authorized
publication has taken place. No reference should be
made on the new application to the earlier registration
or publication.

<!-- PageFooter="rt III" -->
<!-- PageBreak -->

## PART IV

## Two Registrations Made for the Same Unpublished or Published Work

Occasionally a remitter will inform us that,
through error, two registrations were made for the same
unpublished or published work, and he will ask that we
"disregard" or "cancel" the later registration or "change
our records so that only the original registration will be
on file." Sometimes he asks that we cancel the original
registration. In any case, we now have on record two
registrations for the same work. The situation may arise
where the applicant himself has erroneously made two
registrations (e.g., he may have lost his original cer-
tificate and as a result forgotten that he already
registered the claim). Or it may happen that the publisher
applies for registration not knowing that the author has
already registered a claim in the work.

In either type situation, since the registrations
were made at different times, there would, ordinarily, be
no way for the Office to know that a second registration was
being made for the same work. Consequently, no Office error
is involved, and we cannot cancel either registration.
However, the presence in our records of two registrations
for the same work can raise questions, particularly if the
work involved is an umpublished work.

When we are informed that two registrations have
been made for the same work, the following procedures should
be followed:

1\. Preliminary searching. Before taking any
action, a search should be conducted to
establish that the two registrations men-
tioned are actually on record and that the
facts are as the applicant states.

2\. Duplicate Registrations. Where two
registrations are on record and they

<!-- PageBreak -->

### 2. Duplicate Registrations (cont'd)

are exact duplicates, the possibility
of making a correction in the Copyright
Office records will ordinarily depend
upon whether the work is published or
unpublished. In any case where the
original numbered certificate is enclosed
with the remitter's letter, the certificate
should be returned.

Example: The author (or publisher)
inadvertently applies for
two registrations of a par-
ticular work at different
times, and the facts listed
on each registration are
identical.

3\. Registrations Which Are Not Duplicates in
Every Respect. Where two registrations have
been made for the same work, but they are not
duplicate registrations, the point at which
the two registrations differ should be analysed.

a. If the two registrations differ only with
respect to the remitter and/or the person
to whom the certificate is to be mailed,
the case should be treated as if it were a
duplicate registration.

Example: The author submits an application
for his unpublished work listing
himself as author and claimant and
giving his name in lines 7, 8 and 9
of the application. Later his
publisher sends in an application
for the unpublished work listing the
author as author and claimant, but
giving the publisher's own name in
lines 7, 8 and 9.

<!-- PageFooter="rt IV" -->
<!-- PageBreak -->

#### 3. Registrations Which Are Not Duplicates in Every Respect (cont'd)

b. Where the two registrations differ in
any other way (e.g., the facts of owner-
ship, authorship, date of publication,
etc. ) the differences should be called to
the applicant's attention and the
possibility raised that one registration
was actually intended to correct the other.
If this is the case, then in addition to
suggesting the applicant record a document
explaining the presence of the second
registration and stating which registration
contains the correct facts, it may also be
appropriate, in certain instances and
depending upon the fact in issue, to suggest
one of the procedures listed in Part II of
this memorandum.

Example: The author registers a claim in
his unpublished work in his own
name, not realizing that his
contract with his publisher calls
for the publisher to secure the
copyright in the publisher's name.
Later, in accordance with the terms
of the contract, the publisher
submits an application in its name.
(It is possible.that, in such a
case, the publisher would take the
position that, on the basis of the
contract, the author's registration
was not authorized and therefore
invalid, and that nothing more need
be done. On the other hand, the
publisher may prefer to ratify the
author's registration in his name,
and record a document of assignment
from the author to them in order to
have our records reflect the true
facts of present ownership.)

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

## to COMPENDIUM OF COPYRIGHT OFFICE PRACTICES

\- A -

### ABANDONMENT OF COPYRIGHT

See also ASSIGNMENTS AND RELATED DOCU-
MENTS

Pa
12-2

ABBREVIATIONS IN THE COPYRIGHT NOTICE, USE OF
As statutory element for Classes F to K
As variant form of claimant's name
See also NOTICE OF COPYRIGHT

4-8

4-20

ADDITION TO A COMPLETED RECORD, REQUEST FOR
See also ASSIGNMENTS AND RELATED DOCU-
MENTS; CANCELLATION CASES; PRACTICES
CONCERNING "REFERRALS"

S-99

ADDRESSES, see WORKS PREPARED FOR ORAL
DELIVERY (CLASS C)

AD INTERIM COPYRIGHT
Definition
8-17

Duration of term

8-17

See also RENEWAL OF COPYRIGHT

Note: The page references shown in the right-hand
column of this INDEX consist of two numbers
separated by a hyphen. The first number de-
signates the chapter; the second number iden-
tifies the page within the chapter. (For ex-
ample, the number "15-3" designates the third
page in Chapter 15). The letter "S" preceding
the hyphen indicates pages appearing in the
Addendum of Supplementary Practices.

<!-- PageBreak -->

### INDEX

Page

AD INTERIM COPYRIGHT (cont'd)
Extension of term under U.C.C. automatic
See also UNIVERSAL COPYRIGHT CONVENTION

8-23

Full term protection, extension to

8-22

Manufacturing requirement inapplicable

6-5, 6-8

Registration requirements
Generally
8-19

Importation of copies

8-21

Notice of copyright
8-20

Time limitations

8-19

U.S. edition

8-22

U.S. edition of work first pub-
lished abroad in installments
8-20

Renewal of copyright, U.S. edition as
prerequisite for
11-15

AFFIDAVIT OF MANUFACTURE, see MANUFACTURE IN
THE UNITED STATES

ANNOTATION IN ANTEDATED NOTICE CASES WHERE THERE
IS MORE THAN ONE YEAR DATE IN THE NOTICE
S-74

See also NOTICE CONTAINING THE YEAR DATE
IN WHICH COPYRIGHT WAS SECURED PLUS AN
EARLIER DATE OR DATES NOT APPLICABLE TO
THE WORK: NOTICE OF COPYRIGHT

ANTEDATED NOTICE, see NOTICE OF COPYRIGHT,
Year date

APPEAL CASES, REVISED PROCEDURE FOR

S-75

APPLICATION FORM, DATES OF RECEIPT APPEARING
ON
S-81

See also DETERMINATION OF EFFECTIVE DATE
OF REGISTRATION FOR UNPUBLISHED WORKS
WHERE THE MATERIAL SUBMITTED FOR REGIS-
TRATION CONTAINED A CLEAR DISCREPANCY
WHICH THE COPYRIGHT OFFICE SHOULD HAVE
OBSERVED BEFORE COMPLETING THE ENTRY

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

APPLICATION FORMS, RIDERS TO

Page
S-85

AQUATINTS
Manufacturing provisions inapplicable
6-20

ART, WORKS OF
See also WORKS OF ART (CLASS G)

S-11

#### ASSIGNMENTS AND RELATED DOCUMENTS

Amendment of Copyright Office records by
document, see Document amending Copyright
Office records

Contents, see Evaluation of contents

Document amending Copyright Office records

Abandonment of copyright

12-23

Changes and amplifications

12-25

Errors, correction of

Copyright registration

12-24

Recorded document

12-25

See also CANCELLATION CASES;

PRACTICES CONCERNING "REFERRALS";

REQUEST FOR CORRECTION IN,
ADDITION TO, OR CANCELLATION
OF A COMPLETED RECORD

Generally
12-23

Document entitled to recordation

Acknowledgment abroad, consular
certificate of
12-21

Assignor and signatory, apparent
inconsistency between
12-13

12-10

As substitute for registration
Attachments
12-19

12-14

Authority to sign

12-18

Completeness, requirement of

12-21

Date of execution

Errors, freedom from obvious

12-20

Foreign assignment of copyright,
acknowledgement of

12-21

Formal sufficiency

Incorporation by reference of
another instrument

12-20

Indexing

12-16

Generally

12-11

Information from sources out-
side the document
12-17

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

ASSIGNMENTS AND RELATED DOCUMENTS (cont'd)

Document entitled to recordation (cont'd)

Intention to assign must be manifest

12-18

Nature of

12-8

Parties, identification of

12-15

Registration of work mentioned in

12-9

Relationship to copyright

12-8

Signatory and assignor, apparent in- consistency between

12-13

Signature, handwritten

12-12

Signature of individual person required

12-15

Subject matter, identification of

12-16

Submitted in error

12-10

Time limitations

12-21

Titles under which the works were

registered for copyright, inclusion of

12-17

Transferor, handwritten signature of

12-12

Words of present conveyance, require- ment of

12-18

Evaluation of contents

12-5

Recordation

Changes in document made before

12-28

Date of recordation, determination of

12-27

Fees prescribed

Assignment, each separate

12-29

Pages, determination of number

of

12-31

Statutory provisions

12-28

Titles, determination of number

of

12-29

Generally

12-27

Indexing

12-27

Recordation of affidavit, etc., as pre-

requisite for renewal registration or annotation of completed records

12-7

See also RENEWAL OF COPYRIGHT

Recordation of assignment as prerequisite

for registration in name of assignee

4-14, 12-6

See also NOTICE OF COPYRIGHT

Statutory provisions

12-5

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

## ASSISTANT REGISTER OF COPYRIGHTS As certifying officer, see CERTIFICATIONS

AUTHOR, CITIZENSHIP AND DOMICILE OF, see
CITIZENSHIP AND DOMICILE OF AUTHOR

AUTHOR, ELIGIBILITY FOR U.S. COPYRIGHT, see
CITIZENSHIP AND DOMICILE OF AUTHOR; PLACE
OF PUBLICATION; RENEWAL OF COPYRIGHT

\- B -

BEST EDITION, see COPIES DEPOSITED

BILATERAL COPYRIGHT RELATIONS WITH THE UNITED
STATES, NAMES OF INDEPENDENT COUNTRIES HAVING
See also CITIZENSHIP AND DOMICILE OF AUTHOR;
PLACE OF PUBLICATION; UNIVERSAL COPY -
RIGHT CONVENTION

S-56ff

BINDING OF BOOKS, see MANUFACTURE IN THE UNITED
STATES: Processes to be performed

BOOKS, see CLASS A MATERIAL

BUENOS AIRES CONVENTION OF 1910, PARTIES TO
S-56ff

\- C -

8-48

CANCELLATION CASES

See also ASSIGNMENTS AND RELATED DOCU-
MENTS; PRACTICES CONCERNING "REFERRALS";
REQUEST FOR CORRECTION IN, ADDITION TO,
OR CANCELLATION OF A COMPLETED RECORD

CANCELLATION OF A COMPLETED RECORD, REQUEST FOR
See also ASSIGNMENTS AND RELATED DOCU-
MENTS; CANCELLATION CASES; PRACTICES
CONCERNING "REFERRALS"

S-99

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

CERTIFICATE OF REGISTRATION

Additional copy, request for, see
CERTIFICATIONS

Addressee appearing on
15-4

Duplicate copy, request for, see
CERTIFICATIONS

Mailing of original
15-4

See also Returned by Post Office

as undeliverable
15-4

Preparation of original

Remailing after return to Copyright
Office

15-6

Retained in special Copyright Office
file when undeliverable
15-6

Returned by Post Office as undeliverable
15-5

Seal of the Copyright Office on
15-3

Statutory provisions
15-3

Undeliverable as mailed

15-5

See also Remailing after return
to Copyright Office

### CERTIFICATIONS

Additional certificates of registration
Form and content
15-22

Preparation and handling

15-25

Requests for

15-19

Assistant Register of Copyrights
As certifying officer
15-7

Authority to make, see Certifying
officer

Certificates of registration, additional,
see Additional certificates of regis-
tration

Certified copies of copyright deposits

Authority to request

15-30

Conditions justifying requests for

Court order

15-31

Litigation, actual or pro-

spective

15-30

Control of deposit by Copyright

Office, necessity of

15-31

Form and content (except Patent

Office deposits)

15-33

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->
<!-- PageHeader="Pag" -->

CERTIFICATIONS (cont'd)
Certified copies of copyright deposits (cont'd)
Form and content (Patent Office
deposits only)

15-35

Permission to copy deposit, re-
sponsibility for granting
15-32
Prints and labels deposited in the
Patent Office
15-35

See also Certified documents:
nature and kind

Certified copies of correspondence

15-28

Certified copies of official records

15-26

Certified documents: nature and kind

Assignments and other recorded
documents

15-8

Certificates of registration,

additional

15-9

Certificates of registration,
original
15-8

See also CERTIFICATE OF REGIS-
TRATION

Copyright deposits, certified copies
of

15-11

Correspondence, certified copies of

15-10

Facts within official knowledge

and competence of Copyright Office,
certified statement attesting to
Generally

15-11

15-8

Official records, certified copies
of

15-9

Certified documents: preparation and
handling

Copyright Office direction and com-
trol, necessity of

15-15

Foreign proceedings, use of docu-
ments in

15-17

Mailing procedure

15-16

Certified documents, requests for
Generally

15-11

Requirements and limiting con-

15-14

ditions

Certifying officer

15-18

Speed and accuracy, importance of

15-7

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page
15-8

CERTIFICATIONS (cont'd)

Certifying officer, absence of
Commercial prints or labels, see Certi-
fied copies of copyright deposits ;
Prints or labels deposited in the
Patent Office

Copyright deposits, see Certified copies
of copyright deposits; Certified docu-
ments: nature and kind

Correspondence, see Certified copies of
correspondence : Certified documents:
nature and kind

Deposits, copyright, see Certified copies of
copyright deposits: Certified documents:
nature and kind
Documents, certified, see Certified documents
Fees prescribed
15-37

Forms provided, see Printed forms pro-
vided

Official records, see Certified copies of
official records; Certified documents:
nature and kind

Photoduplication Service
Fees involving
15-37

Responsibility shared with Copyright
Office
15-32

Printed forms provided

Certification A (Original instru-
ment of assignment or other
document as recorded), see
ASSIGNMENTS AND RELATED DOCUMENTS

Certification B (Certified copies of
assignments and related documents)
15-26
Certification C (Certified copies of
applications for registration ex-
cept Patent Office applications)
15-26

Certification D (Certified copies of
copyright deposits except Patent
Office deposits)
15-33

Certification E (Additional certif-
icates of registration for
prints or labels registered in
Patent Office)
15-24

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->
<!-- PageHeader="Pag" -->

CERTIFICATIONS (cont'd)
Printed forms provides (cont'd)
Certification F (Certified copies
of prints or labels deposited
in Patent Office)
15-35

Certification G (Certified copies
of Patent Office applications)
15-26

Certification H (Extra copies of
prints and labels deposited in
Patent Office)
15-36

Certification I (Certified copies
of Notices of Use)
15-26

Prints or labels deposited in the
Patent Office, request for certified
copy of
15-35

See also Certified copies of
copyright deposits

Records, official, see Certified copies
of official records; Certified docu-
ments: nature and kind
Register of Copyrights
As certifying officer
15-7

Registration, certificates of, see
CERTIFICATE OF REGISTRATION
See also Additional certificates
of registration
Special certified reports, statements,
and the like
15-36

CERTIFIED DOCUMENTS, see CERTIFICATIONS

CITIZENSHIP, ACCEPTABLE STATEMENTS OF
See also CITIZENSHIP AND DOMICILE OF
AUTHOR
S-52

### CITIZENSHIP AND DOMICILE OF AUTHOR Author

Citizenship status As determining eligibility

7-3

Time of determination

7-6

Definition

7-5

Domicile abroad, effect of

7-3, 7-7

Domicile in U.S.A., effect of

7-9, 8-15

New version or "new matter"

7-5

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

CITIZENSHIP AND DOMICILE OF AUTHOR (cont'd)
Author (cont'd)

Posthumous work

Work made for hire

7-6
7-5

Citizenship, see Author; Copyright owner

or proprietor: Foreign author

Copyright owner or proprietor

Citizenship status

Generally not relevant

7-4

Posthumous work

7-6

Waiver-of-fee option, effect upon

8-15

Domicile

Posthumous work

7-6

Waiver-of-fee option, effect upon

8-15

Copyright proprietor, see Copyright owner or
proprietor

Domicile abroad, effect of

Foreign and stateless authors
7-7

U.S. author

7-3

Domicile in U.S.A., effect of

Foreign author
Generally
7-3, 7-9

Waiver-of-fee option
8-15
7-9

Domicile in U.S.A., territories included

Foreign author

Citizenship status: effect upon
eligibility generally
7-3

Domicile abroad: effect upon
eligibility
7-7

Domicile in U.S.A .: effect upon
eligibility
7-3, 7-9

6-10, 7-10

Mixed authorship, works involving
See also MANUFACTURE IN THE UNITED
STATES

Policy regarding evidentiary value of
statements of
7-4

See also UNITED STATES COPYRIGHT RE-
LATIONS AND ACCEPTABLE STATEMENTS
OF CITIZENSHIP

"Proclaimed" countries

Definition and tabular list of

names of

S-53ff

Eligibility of citizens for

U.S. copyright

7-3, 7-7

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

CITIZENSHIP AND DOMICILE OF AUTHOR (cont'd)
Stateless author

Definition
Eligibility for U.S. copyright

7-8

7-3, 7-8
U.S. author: eligibility
Foreign-language books and
periodicals
6-8
7-3

Generally
See also MANUFACTURE IN THE UNITED
STATES

CLAIMANT, COPYRIGHT, see NOTICE OF COPYRIGHT;
RENEWAL OF COPYRIGHT

CLAIM TO COPYRIGHT, VARIANCE IN, see NOTICE
OF COPYRIGHT

See also PRACTICES: VARIANCE IN CLAIM
INVOLVING FOREIGN BUSINESS ORGANI-
ZATION TERMINOLOGY

### CLASS A MATERIAL

Copyright notice: requirements

Form prescribed
4-8

Position prescribed
Year date

4-35, 8-10, 8-13
4-27

See also NOTICE OF COPYRIGHT;
PLACE OF PUBLICATION

English-language works, see MANUFACTURE
IN THE UNITED STATES

See also AD INTERIM COPYRIGHT

Foreign works
7-3, 7-7

See also CITIZENSHIP DOMI -
CILE OF AUTHOR; PLACE OF PUBLI-
CATION

Manufacturing requirement
6-3, 6-5

See also MANUFACTURE IN THE
UNITED STATES

Registration

As prerequisite to renewal regis-
tration
11-11

Recordation of document, re-
lationship to
12-9

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

CLASS B MATERIAL, see PERIODICALS (CLASS B)

CLASS C MATERIAL, see WORKS PREPARED FOR ORAL
DELIVERY (CLASS C)

CLASS D MATERIAL, see DRAMAS AND DRAMATICO-
MUSICAL COMPOSITIONS (CLASS D)

CLASS E MATERIAL, see MUSIC (CLASS E)

CLASS F MATERIAL, see MAPS (CLASS F)

CLASS G MATERIAL, see WORKS OF ART (CLASS G)

CLASS H MATERIAL, see REPRODUCTIONS OF WORKS
OF ART (CLASS H)

### CLASSIFIED OR RESTRICTED MATERIAL

S-10

CLASS I MATERIAL, see DRAWINGS OR PLASTIC WORKS
OF A SCIENTIFIC OR TECHNICAL CHARACTER (CLASS I)

CLASS J MATERIAL, see PHOTOGRAPHS (CLASS J)

CLASS K MATERIAL, see COMMERCIAL PRINTS OR
LABELS (CLASS K, FORM KK); PRINTS AND
PICTORIAL ILLUSTRATIONS (CLASS K, FORM K)

CLASS L MATERIAL, see MOTION PICTURES (CLASSES
L-M)

CLASS M MATERIAL, see MOTION PICTURES (CLASSES
L-M)

COLLECTIONS OF WORKS, UNPUBLISHED
S-6

COLLECTIVE WORKS, see COMPOSITE WORKS, CON-
TRIBUTIONS TO

COLLOTYPES

Manufacturing provisions inapplicable
6-20

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->
<!-- PageHeader="Pa S" -->

## COMMERCIAL PRINTS AND LABELS See also COMMERCIAL PRINTS OR LABELS (CLASS K, FORM KK)

COMMERCIAL PRINTS OR LABELS (CLASS K, FORM KK)
Classification of prints published in
periodicals

Copyright notice: requirements

2-1

Form prescribed

4-8

Position prescribed

4-39, 8-10, 8-13

See also NOTICE OF COPYRIGHT

Extra copies deposited in Patent Office,
requests for
S-4

See also CERTIFICATIONS

Manufacturing requirement

6-7, 6-20, 6-25

See also MANUFACTURE IN THE UNITED
STATES

Multi-page and single-page prints,
classification of

Registration
S-3

As prerequisite to renewal regis-
tration
11-11

Recordation of document, re-
lationship to
12-9

Trade-mark registration: effect
upon copyright
S-2

COMPLIANCE PROVISIONS OF THE LAW, IM-
PLEMENTATION WITHIN COPYRIGHT OFFICE OF
S-45

COMPOSER, see CITIZENSHIP AND DOMICILE OF
AUTHOR; PLACE OF PUBLICATION; RENEWAL OF
COPYRIGHT

COMPOSITE WORKS, CONTRIBUTIONS TO
Copyright notice: requirements

Form prescribed

4-8

Position prescribed

4-36

Year date

4-27

See also NOTICE OF COPYRIGHT

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

COMPOSITE WORKS, CONTRIBUTIONS TO (cont'd) Renewal of copyright in

Generally

11-13

Proprietors of claims to

11-23

Registration

As prerequisite to renewal regis- tration

11-11

Recordation of document, re-

lationship to

12-9

See also CLASS A MATERIAL

"COMPULSORY LICENSE"

13-3

See also NOTICE OF INTENTION TO USE; NOTICE OF USE

CONFIDENTIAL MATERIAL

S-10

CONTRIBUTIONS TO COMPOSITE OR COLLECTIVE
WORKS, see COMPOSITE WORKS, CONTRIBUTIONS
TO

See also CLASS A MATERIAL

### CONTRIBUTIONS TO PERIODICALS (CLASS B, FORM BB)

Classification for registration pur-

poses

2-10

Copyright notice: requirements

Form prescribed

4-8

Position prescribed

4-38, 8-10, 8-13

Year date

4-27

See also NOTICE OF COPYRIGHT

Manufacturing requirement

6-18

Registration

As prerequisite to renewal

registration

11-11

Recordation of document, re-

lationship to

12-9

Requirements for

2-9

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

CONTRIBUTIONS TO PERIODICALS (CLASS B,
FORM BB) (cont'd)
Renewal of copyright in
Generally
Proprietors of claims to
See also PERIODICALS (CLASS B)

11-13

11-23

COPIES DEPOSITED
Best edition

Doubtful due to character of copies
deposited or other information

Foreign works
5-13

Generally
8-15
5-11

Publication doubtful due to
character of copies deposited or

other information
5-13

Two or more editions of different
quality
5-11

Completeness: entire work must be de-
posited
5-14
S-81

Date of receipt appearing on
See also DETERMINATION OF EFFECTIVE
DATE OF REGISTRATION FOR UNPUBLISHED

WORKS WHERE THE MATERIAL SUBMITTED
FOR REGISTRATION CONTAINED A CLEAR
DISCREPANCY WHICH THE COPYRIGHT
OFFICE SHOULD HAVE OBSERVED BEFORE
COMPLETING THE ENTRY

Defects, freedom from substantial

5-15

Identity between deposit copies, necessity of

5-17

Manufacturing requirements, necessity of affidavit attesting to compliance with

5-16, 6-13

Notice of copyright

Ad interim registration, works

subject to

5-16

See also AD INTERIM COPYRIGHT

Works by foreign authors published abroad before June 18, 1959

5-16

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

COPIES DEPOSITED (cont'd)
Notice of copyright (cont'd)
Works by foreign authors published
abroad on or after June 18, 1959
Works first published in the United
States
5-15

5-16

Unpublished works

5-16

Published works

5-5ff

Return, in absence of reply to Copy-
right Office correspondence
S-84

Unpublished works
5-5

COPIES, DEPOSIT OF, see DEPOSIT OF COPIES
See also COPIES DEPOSITED

COPY DEPOSITED, see COPIES DEPOSITED

COPYRIGHT, ABANDONMENT OF
See also ASSIGNMENTS AND RELATED DOCUMENTS

12-23

COPYRIGHTABLE MATTER, see topic headings under
Chapter 2

COPYRIGHT CLAIM, VARIANCE IN, see NOTICE OF
COPYRIGHT

See also PRACTICES: VARIANCE IN CLAIM
INVOLVING FOREIGN BUSINESS ORGANI-
ZATION TERMINOLOGY

COPYRIGHT CLAIMANT, see NOTICE OF COPYRIGHT;
RENEWAL OF COPYRIGHT

COPYRIGHT NOTICE, see NOTICE OF COPYRIGHT

COPYRIGHT NOTICE, SINGLE PAGE RULE FOR
See also NOTICE OF COPYRIGHT

S-96

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page
S-87

COPYRIGHT OFFICE, INQUIRIES CONCERNING OTHER
DEPARTMENTS OF THE LIBRARY AND

COPYRIGHT OWNER OR PROPRIETOR, see NOTICE OF
COPYRIGHT: Claimant, identity of

COPYRIGHT REGISTRATION, CANCELLATION OF, see
CANCELLATION CASES; REQUEST FOR CORRECTION
IN, ADDITION TO, OR CANCELLATION OF A COM-
PLETED RECORD

COPYRIGHT RELATIONS OF THE UNITED STATES
See also CITIZENSHIP AND DOMICILE OF
AUTHOR; PLACE OF PUBLICATION; UNI-
VERSAL COPYRIGHT CONVENTION

S-52

COPYRIGHT RENEWAL, see RENEWAL OF COPYRIGHT

11-7

COPYRIGHT TERM, DURATION OF
See also RENEWAL OF COPYRIGHT

S-99

CORRECTION IN A COMPLETED RECORD, REQUEST FOR
See also ASSIGNMENTS AND RELATED DOCU-
MENTS; CANCELLATION CASES; PRACTICES
CONCERNING "REFERRALS"

#### CORRESPONDENCE

Absence of reply, return of deposit
copies in cases involving

8-84

15-10, 15-28

Certified copies of
See also CERTIFICATIONS

Inquiries concerning the Copyright
Office and other departments of the
Library
8-88

8-87

Reprint material, cases involving

CORRESPONDENCE IN CASES INVOLVING REPRINT
MATERIAL

S-88

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

\- D -

DATE OF PUBLICATION

Application received in advance of

3-14

Choice of, factors affecting

3-11

Consignment or release, effect of

3-12

Definition

3-11

Incomplete date on application, effect of

3-13

Indefinite or qualified date on application,
effect of
3-14

Installments, works published in

3-12

Omission of date from application,
effect of

3-13

Policy of the Copyright Office regarding

3-11

Prior registration to publication,
effect of
3-12

Qualified or indefinite date on appli-
cation, effect of
3-14

Separate parts, works published in

3-12

Works first published abroad
3-13

### DATES OF RECEIPT APPEARING ON THE APPLICATION AND COPIES OR COPY

S-81

DEPOSIT OF COPIES

Delayed

5-3

Failure to deposit

5-18

Premature

5-3

Requirements generally

Multiple registrations

5-9

Published works

5-5

Unpublished works

5-5

Time limitations

Ad interim registration, works sub-
ject to
5-4, 8-19

See also AD INTERIM COPYRIGHT

Published works
5-3

Unpublished works

5-3

Waiver-of-fee option

5-4, 8-15

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

DESIGNS FOR WORKS OF ART, see WORKS OF
ART (CLASS G)

DETERMINATION OF EFFECTIVE DATE OF REGIS-
TRATION FOR UNPUBLISHED WORKS WHERE THE
MATERIAL SUBMITTED FOR REGISTRATION CON-
TAINED A CLEAR DISCREPANCY WHICH THE COPY-
RIGHT OFFICE SHOULD HAVE OBSERVED BEFORE
COMPLETING THE ENTRY

See also PRACTICES CONCERNING "RE-
FERRALS"; UNPUBLISHED WORKS

8-50

DOCUMENTS, see ASSIGNMENTS AND RELATED
DOCUMENTS; CERTIFICATIONS

DOMICILE OF AUTHOR, see CITIZENSHIP AND DOMICILE
OF AUTHOR

DRAMAS AND DRAMATICO-MUSICAL COMPOSITIONS (CLASS D)
Copyright notice: requirements

Published works

Fora prescribed
4-8

Position prescribed
4-35, 4-38, 8-10, 8-13
4-27

Year date

See also NOTICE OF COPYRIGHT
Manufacturing provisions inapplicable
Registration
6-6

As prerequisite to renewal regis-
tration
11-11

Recordation of document, re-
lationship to
12-9

DRAWINGS BY HAND

Manufacturing provisions inapplicable

6-20

DRAWINGS OR PLASTIC WORKS OF A SCIENTIFIC OR
TECHNICAL CHARACTER (CLASS I)

Copyright notice: requirements
Published works
4-8

Form prescribed

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

DRAWINGS OR PLASTIC WORKS OF A SCIENTIFIC OR
TECHNICAL CHARACTER (CLASS I) (cont'd)

Copyright notice: requirements (cont'd)

Published works (cont'd) Position prescribed

4-39, 8-10, 8-13

See also NOTICE OF COPYRIGHT

Manufacturing requirement

6-7, 6-20, 6-25

See also

MANUFACTURE IN THE

UNITED STATES

#### Registration

As prerequisite to renewal
registration

11-11

Recordation of document, re-
lationship to
12-9

### DRYPOINTS

Manufacturing provisions inapplicable
6-20

DURATION OF COPYRIGHT TERM
See also RENEWAL OF COPYRIGHT

11-7

\- E -

### EDITING OF MUSIC, COPYRIGHTABILITY OF S-47

ENGRAVING BY STIPPLE AND CRAYON
Manufacturing provisions inapplicable
6-20

### ENGRAVINGS, LINE

Manufacturing provisions inapplicable
6-20

ERRORS IN REGISTRATION
Correction of
12-24

See also CANCELLATION CASES; PRACTICES
CONCERNING "REFERRALS"; REQUEST FOR
CORRECTION IN, ADDITION TO, OR CAN-
CELLATION OF A COMPLETED RECORD

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

ERRORS IN REGISTRATION (cont'd)
Unpublished works, measurement of copy-
right term after correction involving
See also UNPUBLISHED WORKS

8-50

ETCHINGS

Manufacturing provisions inapplicable

6-20

EVIDENCE OF PUBLICATION

Appearance of copies

3-16

Date of publication in application,
presence of

3-16

Information furnished by applicant

3-18

Prior rejection for publication
without statutory notice
3-18

Sale, unauthorized, or public dis-
tribution of copies without
statutory notice
3-18

\- F -

FEE INCREASE, PRACTICE CONCERNING CASES PENDING IN THE COPYRIGHT OFFICE ON NOVEMBER 26, 1965

8-78

FEES, REFUNDING OF EXCESS

8-98

"FOLK SONGS, " NEW VERSIONS OF

S-47

FOREIGN BUSINESS ORGANIZATION TERMINOLOGY, VARIANCE IN COPYRIGHT CLAIM INVOLVING

S-42

FOREIGN GOVERNMENTS, REGISTRABILITY OF PUB- LICATIONS OF

S-19

FORM U, USE OF, see NOTICE OF USE

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

\- G -

## GENERAL PUBLICATION

Definition
3-4

Deposit of copies in public library, as
3-5

Indiscriminate gifts of copies, as

3-4

Leasing or renting of copies, as
Leaving copies in a public place for
anyone to take, as
3-4

3-4

Part of work, effect of publication of
Policy of Copyright Office regarding

3-5

3-3

Sale of a single copy, as

3-4

See also LIMITED PUBLICATION; PUBLIC
DISCLOSURE

## GOVERNMENT PUBLICATIONS

Copyrightability or registrability of

Foreign governments, works of

S-19

Generally

S-16

International governmental organizations, works of

S-19

Printed by U.S. Government, works

S-18

State and territorial governments,

S-18

works of

U.S. Government, works of

S-16

\- H -

HAND PAINTINGS AND DRAWINGS
Manufacturing provisions inapplicable

6-20

\- I -

ILLUSTRATIONS, PICTORIAL OR GRAPHIC

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

ILLUSTRATIONS, PICTORIAL OR GRAPHIC (cont'd)
Manufacturing requirement
See also MANUFACTURE IN THE
UNITED STATES
See also LITHOGRAPHS AND PHOTOENGRAVINGS

Page

6-20

INDEPENDENT COUNTRIES AND TERRITORIES,
PRESENT STATUS OF COPYRIGHT RELATIONS BE-
TWEEN THE UNITED STATES AND
See also CITIZENSHIP AND DOMICILE OF
AUTHOR; PLACE OF PUBLICATION; UNI-
VERSAL COPYRIGHT CONVENTION

S-56ff

INDEPENDENT COUNTRIES, FORMER STATUS OF
COPYRIGHT RELATIONS BETWEEN THE UNITED
STATES AND
8-56ff

INITIALS IN THE COPYRIGHT NOTICE, USE OF
As statubory element (Classes F - K)
4-8

As variant form of claimant's name
(Classes A, B, D, E, L and M)
4-20

See also NOTICE OF COPYRIGHT

INQUIRIES CONCERNING THE COPYRIGHT OFFICE
AND OTHER DEPARTMENTS OF THE LIBRARY
8-87

INSIGNIA, INQUIRY BY COPYRIGHT OFFICE RE-
GARDING APPLICANT'S RIGHT TO USE WELL-KNOWN
8-7

INTERNATIONAL GOVERNMENTAL ORGANIZATIONS,
REGISTRABILITY OF PUBLICATIONS OF
S-19

\- L -

LABELS AND PRINTS, see COMMERCIAL PRINTS OR
LABELS (CLASS K, FORM KK)

LECTURES, see WORKS PREPARED FOR ORAL DELIVERY
(CLASS C)

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

LIBRARY OF CONGRESS, INQUIRIES CONCERNING
THE COPYRIGHT OFFICE AND OTHER DEPARTMENTS
OF
S-87

LICENSE, "COMPULSORY"
13-3

See also NOTICE OF INTENTION TO USE;
NOTICE OF USE

## LIMITED PUBLICATION

Definition
3-6

Policy of Copyright Office regarding
3-7

See also GENERAL PUBLICATION; PUBLIC DISCLOSURE

## LITHOGRAPHS AND PHOTOENGRAVINGS

Manufacturing requirement

Classes F through K, separate works

registrable in

6-25

Illustrations in books

6-17, 6-20,

6-24

Illustrations in works other than books

6-20

Statutory exceptions

6-21

See also MANUFACTURE IN THE UNITED

STATES

\- M -

## MAGAZINES, see PERIODICALS (CLASS B)

MANUFACTURE IN THE UNITED STATES
Ad interim registration, works sub-
ject to

See also AD INTERIM COPYRIGHT
Affidavit

6-5

As evidence of U.S. manufacture
6-14

As prerequisite to registration
in Class A on Form A
6-13

Content of

6-14

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

MANUFACTURE IN THE UNITED STATES (cont'd)

.

Affidavit (cont'd)

Date of execution

6-17

Form of

6-14

Necessity of

6-3, 6-13

Books not printed

6-6

English-language books

6-5, 6-8

See also AD INTERIM COPYRIGHT

Exceptions to general requirement

Ad interim registration, works subject to

6-5

Books by foreign authors first published in U.C.C. country with U.C.C. notice

6-6, 8-10, 8-18

See also PLACE OF PUBLICATION Books by nationals of foreign

U.C.C. countries first published abroad with U.C.C. notice

6-6, 8-10, 8-18

Books in raised characters for the blind (Braille)

6-5

Dramatic works

6-6

Foreign-language books by foreign authors

6-5

Musical compositions

6-7

Pictorial or graphic works

6-7, 6-20

Foreign-language books

6-5, 6-8

Graphic works registrable in Classes

F through K

. 6-7, 6-20

See also LITHOGRAPHS AND PHOTO- ENGRAVINGS

Illustrations in books

6-17, 6-20, 6-24

See also LITHOGRAPHS AND PHOTO- ENGRAVINGS

Lithographs and photoengravings

Generally

6-17, 6-20

Separate works registrable in Classes F through K

6-25

Statutory exception to manu-

facturing requirement

6-21

See also LITHOGRAPHS AND PHOTO- ENGRAVINGS

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

## MANUFACTURE IN THE UNITED STATES (cont'd)

Mixed authorship English-language work

6-11

Foreign-language work

6-10

Mixed languages

Foreign author

6-9

U.S. author

6-10

Not required for books in any lan-
guage by foreign authors, first
published in U.C.C. country with
U.C.C. notice
6-6, 8-10, 8-18

See also PLACE OF PUBLICATION;

UNIVERSAL COPYRIGHT CONVENTION
Not required for books in any lan-
guage by nationals of foreign U.C.C.
countries, first published outside
the United States with U.C.C.
notice
6-6, 8-10, 8-18

See also UNIVERSAL COPY-

RIGHT CONVENTION

Not required for books in raised
characters for the blind (Braille)
6-5

Not required for dramatic works, though
published in book form
6-6

Not required for foreign-language books
by foreign authors
6-5

Not required for musical compositions,
though published in book form with
lyrics and incidental text in English
6-7

Partial compliance

Limitation or disclaimer in notice
preferable
6-13

Text of book as indivisible unit
6-12

Text of book consisting of separable
component works
6-13

2-3, 6-18, 8-6

Periodicals, requirements for
See also PERIODICALS (CLASS B)

Pictorial or graphic works other than
lithographs or photoengravings
6-20

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

MANUFACTURE IN THE UNITED STATES (cont'd)
Processes to be performed

Binding, lithographing, and
photoengraving
Printing from type
6-11
Requirements in general
Territorial limits
6-3

6-12

6-3

MANUFACTURING CLAUSE, see MANUFACTURE IN
THE UNITED STATES

MANUSCRIPTS, see UNPUBLISHED WORKS

MAPS (CLASS F)

Copyright notice: requirements

Form prescribed
4-8

Position prescribed

4-39, 8-10, 8-13

See also NOTICE OF COPYRIGHT

Manufacturing requirement
6-7, 6-20, 6-25

See also MANUFACTURE IN THE UNITED
STATES

Registration

As prerequisite to renewal regis-
tration
11-11

Recordation of document, relation-
ship to
12-9

MECHANICAL REPRODUCTION OF MUSIC

13-3, 13-15

MECHANICAL REPRODUCTION OF TEXT MATTER
S-20

MEXICO CITY CONVENTION OF 1902: EFFECT
UPON BILATERAL COPYRIGHT STATUS OF
EL SALVADOR
S-72

MEZZOTINTS

Manufacturing provisions inapplicable

6-20

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

## MOTION PICTURES (CLASSES L-M)

Classification as photoplays (Class L)

or motion pictures other than photo-
plays (Class M)

2-45

Copyright notice, see Registration
requirements: Published works

Definition

2-45

Exhibition or performance of

2-47, 3-9

Fees, registration

2-51

Filmstrips not registrable in Classes
L and M

2-46

Manufacturing provisions inapplicable

2-49

New matter as basis of registration

2-52

Publication, nature of

2-47

Registration

As prerequisite to renewal regis-
tration

11-11

Recordation of document, relation-
ship to

12-9

Registration requirements

Authorship, information required
regarding

2-51

Published works

Copyright notice

Form prescribed

4-8

Position prescribed

4-40

Year date

4-27

See also NOTICE OF COPYRIGHT

### Generally

2-49

Unpublished motion pictures

2-50

Scenarios, synopses, and outlines not
registrable in Classes L and M

2-46

Scripts not registrable in Classes L and M

2-46

Sound tracks
2-46

Unit registration of related works

2-52

## MOVIES, see MOTION PICTURES (CLASSES L-M)

MUSIC (CLASS E)

Adaptations or arrangements of musical
compositions
2-38

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

MUSIC (CLASS E) (cont'd)

Books of
Compilations of

2-29

2-30, 2-40

Content, evaluation of
Musical

2-23ff

Textual

2-26ff

Copies deposited, nature and com-
pleteness of

See also COPIES DEPOSITED
2-32

Copyright notice: position

Effect upon classification

2-31

Copyright notice: requirements

Published works

Form prescribed

4-8

Position prescribed

4-38, 8-10, 8-13

Year date

4-27

See also NOTICE OF COPYRIGHT

Definition

2-23

Editing of musical compositions

2-39, 8-47

Lyrics, new

2-39

See also MUSIC EXAMINING: NEW MATTER
MINIMAL OR NOT CLEARLY STATED

Manufacturing provisions inapplicable

6-7

New versions or "new matter"

2-38, 8-47

Orchestrations, bandstrations, and
instrumental parts

2-34

Registration requirements

Published musical compositions

2-37

Unpublished musical compositions

2-36

Revisions or additions

2-38, S-47

Sound recordings unacceptable for
deposit in Class E
2-33

Textual content, evaluation of

2-26ff

Unpublished musical compositions,
collections of

2-37

MUSIC EXAMINING: NEW MATTER MINIMAL OR NOT
CLEARLY STATED
S-47

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

MUSIC, MECHANICAL REPRODUCTION OF
See also NOTICE OF USE

Page
13-3, 13-15

\- N -

NEWSPAPERS, see PERIODICALS (CLASS B)

NEW VERSIONS OF MUSICAL COMPOSITIONS, COPY-
RIGHTABILITY OF
See also MUSIC (CLASS E)

S-47

NOTICE CONTAINING THE YEAR DATE IN WHICH
COPYRIGHT WAS SECURED PLUS AN EARLIER DATE
OR DATES NOT APPLICABLE TO THE WORK
See also NOTICE OF COPYRIGHT: Year date

S-73

NOTICE OF COPYRIGHT

Abbreviation of name in

4-20

See also Name of claimant: variant forms

Accessibility of

4-41

Accidental omission of

4-5

Ad interim registration, works subject to See also AD INTERIM COPYRIGHT

4-6, 8-20

Claimant, identity of

Assignee in notice

4-14

By reference, incorporated

4-12

Deceased person named in notice

4-12

Estate, executor, or administra-

tor in notice

4-13

Generally

4-10

Licensee in notice

4-16

Trustee in notice

4-13

Wrong claimant named in notice

4-13

Concealed

4-41

Concealment or loss likely when work

is placed in use

4-43

Different claimants named in notice and application

4-26

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

NOTICE OF COPYRIGHT (cont'd)

Dispersed elements

General rule

4-33

Name of claimant separated

4-33

Other matter intervening

4-34

Year date separated

4-34

Foreign works

8-8

Form prescribed

4-8

Initials in

As statutory element (Classes F-K)

4-8

As variant form of claimant's name

4-20

In manuscript form

4-41

In reverse

4-44

Legibility and visibility

Blurred, concealed or microscopic notice

4-41

Limitations or disclaimers in

Effect of

4-44

Preferable where part of work does not meet manufacturing requirement

6-13

See also MANUFACTURE IN THE

UNITED STATES

Microscopic

4-41

Name of claimant: variant forms

Abbreviations, initials, trade names,

4-20

etc.

Accepted alternative designation

4-20

Basis of acceptance for registration

4-23

Corporate subsidiary or department

4-19

"Inc." and "Corp.," omission of

4-18

Initials

4-20

Minor variations

4-17

Nickname

4-23

Pseudonym

4-23, 8-89

Trade name

4-20

Necessary for all works published in

the United States

4-5

Nickname in

4-23

On detachable tag, wrapper, or con-

tainer

4-42

On dust jacket of book

4-44

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

NOTICE OF COPYRIGHT (cont'd)

On margin, back, permanent base or pedestal (Classes F-K)

4-39

On repetitive units, frequency of notice

4-39

On unpublished work, effect of notice

4-5

On works first published outside the

United States before June 18, 1959

4-7, 8-9

On works first published outside the United States on or after June 18, 1959

4-6, 8-8

Position prescribed Books 4-35,

8-10, 8-13

See also CLASS A MATERIAL
Classes F through K, works sub-
ject to registration in

4-39

See also COMMERCIAL PRINTS OR
LABELS (CLASS K, FORM KK);
DRAWINGS OR PLASTIC WORKS OF
A SCIENTIFIC OR TECHNICAL
CHARACTER (CLASS I); MAPS
(CLASS F); PHOTOGRAPHS (CLASS J);
PRINTS AND PICTORIAL ILLUS-
TRATIONS (CLASS K, FORM K); RE-
PRODUCTIONS OF WORKS OF ART
(CLASS H); SINGLE PAGE RULE FOR
COPYRIGHT NOTICES; WORKS OF ART
(CLASS G)

Contribution to composite or col-
lective work
4-36

4-38

Contributions to periodicals

See also CONTRIBUTIONS TO
PERIODICALS (CLASS B, FORM BB)

Dramas and dramatico-musical com-
positions
4-38

See also DRAMAS AND DRAMATICO-
MUSICAL COMPOSITIONS (CLASS D)

Motion pictures

4-40

See also MOTION PICTURES
(CLASSES L-M)

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

## NOTICE OF COPYRIGHT (cont'd)

Position prescribed (cont'd)
Music

See also MUSIC (CLASS E)

4-38

Periodicals
4-36, 8-10, 8-13
Pseudonym in
See also PERIODICALS (CLASS B)

See also Name of claimant: variant forms

Single-page rule
4-23, 8-89

4-39, 8-96

See also Position prescribed

Trade name in

4-20

See also Name of claimant: variant forms
Unpublished works

Copyright notice unnecessary
4-5

Published versions, year date
requirement in notice on

4-28

Variant forms of

4-9

Year date

Earlier than date of publication
(antedated notice)
4-31

Form of

4-28

Later than date of publication
(postdated notice)
4-29

4-32

Unnecessary, but variance exists
See also ANNOTATION IN ANTEDATED NOTICE
CASES WHERE THERE IS MORE THAN ONE
YEAR DATE IN THE NOTICE; NOTICE CON-
TAINING THE YEAR DATE IN WHICH COPY-
RIGHT WAS SECURED PLUS AN EARLIER DATE
OR DATES NOT APPLICABLE TO THE WORK

Year date requirements

Generally

4-27

New version or "new matter"

4-28

Published version of work previously

registered in unpublished form

4-28

Published work

4-28

U.S. edition of work previously

published abroad

4-28

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

NOTICE OF INTENTION TO USE

13-15

NOTICE OF USE

Assignment of ownership, desirability of recording

13-9

Authority to file

13-9

Common misconceptions concerning

13-5

"Compulsory license"

13-3

Copyright owner's authority to file

13-9

See also Recordation requirements

Copyright ownership

As prerequisite for filing of notice

13-9

Change after renewal of copyright

13-10

Joint, or in common

13-11

Transfer after recordation

13-10

Date of recordation, determination of

13-12

Filing of, see Recordation requirements

Form U, filing of notice on

13-11

See also Recordation requirements

License, compulsory

13-3

Notice of intention to use

13-15

Ownership of copyright, see Copyright ownership

Policy of the Copyright Office regarding

13-4

Recordation, desirability of

13-5

Recordation requirements

Authority of person filing notice

13-9

Copyrighted works only

13-6

Copyright renewed after original recordation

13-10

Copyright transferred after original recordation

13-10

Fees prescribed

13-13

Filing of notice, authorization for

13-9

Form prescribed for filing notice

13-11

Generally

13-6

Musical compositions only

13-7

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

NOTICE OF USE (cont'd)
Recordation requirements (cont'd)
New versions or "new matter"

13-9

Registration of works listed in notice
Titles

13-7

Musical composition, identifi-
cation of each
13-11

Number, determination of
13-13

Works recorded or licensed for
recording only
13-8

Requirement, statutory
See also Statutory provisions

13-4

Statutory provisions
"Compulsory license"
13-3

Exclusive right of copyright owner
13-3

Notice of intention to use, require-
ment of
13-4

See also NOTICE OF INTENTION
TO USE

\- 0 -

OBSCENE WORKS

S-9

ORAL DELIVERY, WORKS PREPARED FOR, see WORKS
PREPARED FOR ORAL DELIVERY (CLASS C)

OWNER OF COPYRIGHT, see NOTICE OF COPYRIGHT:
Claimant, identity of

\- P -

PAINTINGS BY HAND

Manufacturing provisions inapplicable

6-20

PAMPHLETS, see CLASS A MATERIAL

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

## PATENT APPLICATIONS

Page
S-5

PERIODICALS (CLASS B)

Contributions to

2-9

See also CONTRIBUTIONS TO PERIODICALS
(CLASS B, FORM BB)

Copyright notice: requirements

Form prescribed
4-8

Position prescribed

Year date

4-36, 8-10, 8-13
4-27

See also NOTICE OF COPYRIGHT;
PLACE OF PUBLICATION

Definition

2-5

Manufacturing requirement

2-3, 6-18, 8-6

See also MANUFACTURE IN THE
UNITED STATES

Registration

As prerequisite to renewal regis-
tration
11-11

Recordatinn of document, re-
lationship to
12-9

Registration requirements
Contributions to periodicals
2-9

See also CONTRIBUTIONS TO PERI-
ODICALS (CLASS B, FORM BB)

Copyright notice, see Copyright
notice: requirements

Daily newspapers

2-8, 3-15

Generally

2-4, 5-4, 5-5

Magazines

2-7

Periodicals other than daily

newspapers

2-7

PHONOGRAPH RECORDINGS, see SOUND RECORDINGS

PHOTOENGRAVINGS, see LITHOGRAPHS AND PHOTO-
ENGRAVINGS

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

### PHOTOGRAPHS

Manufacturing provisions inapplicable
See also PHOTOGRAPHS (CLASS J)

6-20

### PHOTOGRAPHS (CLASS J)

Copyright notice: requirements

Published works

Form prescribed
Position prescribed
4-8

4-39, 8-10, 8-13

See also NOTICE OF COPYRIGHT
Manufacturing provisions inapplicable
Registration

6-20

As prerequisite to renewal regis-
tration
11-11

Recordation of document, re-
lationship to
12-9

### PHOTOGRAVURES

Manufacturing provisions inapplicable

6-20

### PLACE OF PUBLICATION

First publication abroad

Ad interim registration, works
subject to

8-6

See also AD INTERIM COPYRIGHT

Copyrightability, effect upon

8-5

Definition

8-5

Effect in general

8-6

Notice of copyright

Ad interim registration
8-8

Changes in Copyright Office
policy not retroactive

8-9

Evidentiary value of notice

8-9

on copy or copies deposited
See also COPIES DEPOSITED
Form and position prescribed
Later publication
8-8

8-10, 8-13

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

PLACE OF PUBLICATION (cont'd)
First publication abroad (cont'd)
Notice of copyright (cont'd)
Name of claimant
Assignment, variance
necessitating re-
cordation of
4-14, 8-12, 12-6

See also ASSIGN-
MENTS AND RE-
LATED DOCUMENTS ;
NOTICE OF COPYRIGHT

General rule
8-10

Two or more notices
8-11

Requirements generally

8-8

Territorial exclusion con-
tained in
U.C.C. requirements

8-11

8-8

Registrability of later U.S. edition

8-7

Registration requirements

Ad interim material, see AD
INTERIM COPYRIGHT

8-12

Assignment as prerequisite
"Best edition"
8-15

See also COPIES DEPOSITED

Exemptions under U.C.C.
8-18

See also UNIVERSAL COPY-
RIGHT CONVENTION

Fee prescribed
8-14

See also Waiver-of-fee option

Foreign or stateless author
Generally
8-14

8-7, 8-19

Notice of copyright, see First
publication abroad, Notice of
copyright

Time limitations

Ad interim material
8-19

See also AD INTERIM
COPYRIGHT

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

PLACE OF PUBLICATION (cont'd)
First publication abroad (cont'd)
Registration requirements (cont'd)
Time limitations (cont'd)
Waiver-of-fee option
8-15
U.S. author
8-14

Waiver-of-fee option
Simultaneously in U.S.A. and in
foreign country
8-5

8-15

First publication in United States
Ad interim registration unauthorized
8-18

Notice of copyright necessary
See also NOTICE OF COPYRIGHT

4-5

Registration requirements
Deposit of copy or copies
See also DEPOSIT OF COPIES
Fee prescribed
8-14

5-5

Manufacture
6-8

See also MANUFACTURE IN THE
UNITED STATES

Waiver-of-fee option not available
8-15

POSTHUMOUS WORKS

Copyright notice in name of deceased
person
4-12

Renewal rights in
11-22

PRACTICE CONCERNING THE FEE TO BE CHARGED IN
CASES PENDING IN THE COPYRIGHT OFFICE ON THE
EFFECTIVE DATE OF THE FEE INCREASE
[ November 26, 1965]
S-78

PRACTICES CONCERNING "REFERRALS"
Application Form A through M, specific
practices for
S-23

Application Form R, specific practices for
S-35

Application Form U, specific practices for

S-35

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

PRACTICES CONCERNING "REFERRALS" (cont'd)
Definition of "referral" amd general
policy
See also CANCELLATION CASES; REQUEST FOR
CORRECTION IN, ADDITION TO, OR CAN-
CELLATION OF A COMPLETED RECORD

S-21

PRACTICES: VARIANCE IN CLAIM INVOLVING FOREIGN
BUSINESS ORGANIZATION TERMINOLOGY
8-42

PRINTS AND LABELS, see COMMERCIAL PRINTS AND
LABELS; COMMERCIAL PRINTS OR LABELS (CLASS K,
FORM KK)

See also PRINTS AND PICTORIAL ILLUSTRATIONS
(CLASS K, FORM K)

PRINTS AND PICTORIAL ILLUSTRATIONS (CLASS K, FORM K)

Copyright notice: requirements Form prescribed

4-8

Position prescribed See also NOTICE OF COPYRIGHT

4-39, 8-10, 8-13

Fine art, works of

8-12

Manufacturing requirement See also MANUFACTURE IN THE UNITED STATES

6-7, 6-20, 6-25

Registration

As prerequisite to renewal regis- tration

11-11

Recordation of document, re-

lationship to

12-9

Useful articles

Attractiveness distinguished from

copyrightability

S-14

Embodiment of artwork in, effect of

S-13

"PROCLAIMED" COUNTRIES HAVING COPYRIGHT

RELATIONS WITH THE UNITED STATES

S-56ff

See also UNIVERSAL COPYRIGHT CONVENTION

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

PROPRIETOR OF COPYRIGHT, see NOTICE OF COPY-
RIGHT: Claimant, identity of

PSEUDONYM IN THE COPYRIGHT NOTICE, USE OF
See also NOTICE OF COPYRIGHT
4-23, S-89

PUBLICATION, see DATE OF PUBLICATION; EVIDENCE
OF PUBLICATION; GENERAL PUBLICATION; LIMITED
PUBLICATION; PLACE OF PUBLICATION; PUBLIC
DISCLOSURE

### PUBLICATIONS OF GOVERNMENTS, COPYRIGHTABILITY

OR REGISTRABILITY OF

Foreign governments, works of
S-19

International governmental organi-
zations, works of
S-19

State and territorial governments,
works of
S-18

U.S. Government, works of

S-16

PUBLICATIONS OF THE UNITED STATES GOVERNMENT
S-16

### PUBLIC DISCLOSURE

Exhibition of an artistic or graphic work

3-5, 3-8

Exhibition of motion pictures

2-47 , 3-9

Performance, rendition, or pre- sentation of literary, dramatic, or musical work

3-7

Sound recordings, effect of sale of

3-10

See also GENERAL PUBLICATION; LIMITED PUBLICATION

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->
<!-- PageHeader="Page" -->

\- R -

RECEIPT, DATES OF, see DATES OF RECEIPT APPEARING
ON THE APPLICATION AND COPTES OR COPY
See also DETERMINATION OF EFFECTIVE DATE OF
REGISTRATION FOR UNPUBLISHED WORKS WHERE
THE MATERIAL SUBMITTED FOR REGISTRATION
CONTAINED A CLEAR DISCREPANCY WHICH THE
COPYRIGHT OFFICE SHOULD HAVE OBSERVED
BEFORE COMPLETING THE ENTRY

RECORD, REQUEST FOR CORRECTION IN, ADDITION TO,
OR CANCELLATION OF A COMPLETED
See also ASSIGNMENTS AND RELATED DOCU-
MENTS; CANCELLATION CASES; PRACTICES
CONCERNING "REFERRALS"

8-99

RECORDATION, see ASSIGNMENTS AND RELATED DOCU-
MENTS; NOTICE OF USE

RECORDINGS: PHONOGRAPH, SOUND, AND TAPE,
see SOUND RECORDINGS

REFERRAL OF CERTAIN CASES INVOLVING PUBLISHED
WORKS FROM THE EXAMINING DIVISION TO THE
COMPLIANCE SECTION, REFERENCE DIVISION
8-45

"REFERRALS," PRACTICES CONCERNING
See also CANCELLATION CASES; REQUEST
FOR CORRECTION IN, ADDITION TO, OR
CANCELLATION OF A COMPLETED RECORD

S-21

REFUNDING OF EXCESS FEES
8-98

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

REGISTER OF COPYRIGHT
As certifying officer
See also CERTIFICATIONS

REGISTRATION, CANCELLATION OF COPYRIGHT, see
CANCELLATION CASES; PRACTICES CONCERNING
"REFERRALS"; REQUEST FOR CORRECTION IN,
ADDITION TO, OR CANCELLATION OF A COM-
PLETED RECORD

See also ASSIGNMENTS AND RELATED DOCU-
MENTS: Document amending Copyright
Office records

## REGISTRATION, CERTIFICATES OF, see CERTIFICATE OF REGISTRATION

REGISTRATION OF UNPUBLISHED WORK, DETER-
MINATION OF EFFECTIVE DATE WHERE ERROR
WAS INVOLVED IN ORIGINAL
See also CANCELLATION CASES; PRACTICES
CONCERNING "REFERRALS"; REQUEST FOR
CORRECTION IN, ADDITION TO, OR CAN-
CELLATION OF A COMPLETED RECORD

S-50

RELATIONS WITH THE UNITED STATES, NAMES OF
INDEPENDENT COUNTRIES HAVING COPYRIGHT
See also CITIZENSHIP AND DOMICILE OF
AUTHOR; PLACE OF PUBLICATION;
UNIVERSAL COPYRIGHT CONVENTION

S-56ff

RENEWAL OF COPYRIGHT
Claimants: authors and their heirs

Administrators

11-18

Authors

11-16

Children, widows (or widowers) and

11-16

Executors

11-17

Legatees

11-18

Next-of-kin

11-18

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

## RENEWAL OF COPYRIGHT (cont'd) Claimants: authors and their heirs (cont'd)

Prints and labels registered in Patent Office, renewal rights in

11-26

Widows (or widowers) and children

11-16

Works made for hire, renewal rights

in

11-25

Claimants, joint

11-27

Claimants: proprietors

Composite works, renewal rights in

11-23

Contributions to composite works,

renewal rights in

11-23

Corporation as claimant

11-24

Employer as claimant

11-25

Periodic or cyclopedic works, renewal rights in

11-23

Posthumous works, renewal rights in

11-22

Prints and labels registered in

Patent Office, renewal rights in Works made for hire, renewal rights

11-26

in

11-25

Claims, extent of material covered by

11-30

Claims, nature of

Personal right

11-29

Statutory entitlement

11-30

Contributions to periodicals and com-

posite works

11-13

Duration of original copyright term

11-7

English-language works first published abroad

11-14

Errors involved in, correction of

Applicant responsible

12-24, 8-113

Copyright Office responsible

8-35

Extension-of-time proclamations, presidential

11-12

"Hev matter" in published version of work previously registered in unpublished form, presumption of

11-8

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

RENEWAL OF COPYRIGHT (cont'd)

Original registration, necessity of

11-11

Posthumous works

11-22

Published works

11-7

Term of copyright, duration of

11-7

Time limitations

11-9

Unpublished works

Generally

11-7

Published versions of, pre- sumption of "new matter"

contained in

11-8

REPRINT MATERIAL, CORRESPONDENCE IN CASES

INVOLVING

S-88

REPRODUCTION, MECHANICAL

Music

13-3,13-15

Text matter

S-20

REPRODUCTIONS OF WORKS OF ART (CLASS H)

Copyright notice: requirements

Form prescribed

4-8

Position prescribed

4-39,8-10,8-13

See also NOTICE OF COPYRIGHT

Fine art, works of

S-12

Manufacturing requirement

6-7, 6-20, 6-25

See also MANUFACTURE IN THE UNITED

STATES

Registration

As prerequisite to renewal regis-

tration

11-11

Recordation of document, re-

lationship to

12-9

Useful articles

Attractiveness distinguished from

copyrightability

S-14

Embodiment of artwork in, effect of

S-13

REQUEST FOR CORRECTION IN, ADDITION TO, OR

CANCELLATION OF A COMPLETED RECORD

Duplicate registrations

S-102, S-118ff

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

REQUEST FOR CORRECTION IN, ADDITION TO, OR
CANCELLATION OF A COMPLETED RECORD (cont'd)
Duplicate registrations (cont'd)
See also Error, responsibility for
Error, responsibility for
Abandonment of copyright
Applicant responsible
Corrective entries

12-23, S-102

As distinguished from changes after registration

S-114

As distinguished from "sub- stitute entries"

8-113

Definition

8-113

Duplicate registrations

S-118ff

Processing of

S-115

Published works

Copies, special

procedures where

registration is-

volves errors in

S-116

Unauthorized pub-

lication

S-117

Time limitations

S-114

Duplicate registrations

S-102

Generally

8-101

Published works

Authorized publication

S-103

Unauthorized publication

8-107

Unpublished works

Authorized registration

S-107

Unauthorized registration

S-112

See also ASSIGNMENTS AND RE-

LATED DOCUMENTS

Change after registration

S-101

Copyright Office responsible

S-100

See also CANCELLATION CASES;

PRACTICES CONCERNING "RE-

FERRALS"

8-99

Procedures, initial

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

REQUEST FOR CORRECTION IN, ADDITION TO, OR
CANCELLATION OF A COMPLETED RECORD (cont'd)
Registrations, duplicate,
See also Error, responsibility for
See also ASSIGNMENTS AND RELATED DOCUMENTS;
CANCELLATION CASES; PRACTICES CONCERNING
"REFERRALS"

S-102, S-118ff

RESTRICTED MATERIAL, see CONFIDENTIAL MATERIAL

RETURN OF DEPOSIT COPIES IN CASES WHERE NO REPLY
HAS BEEN RECEIVED TO COPYRIGHT OFFICE CORRES-

SPONDENCE

S-84

REVISED PROCEDURE FOR APPEAL CASES

S-75

RIDERS TO APPLICATIONS

S-85

ROTOGRAVURES Manufacturing provisions inapplicable

6-20

\- S -

SCULPTURE, see REPRODUCTIONS OF WORKS OF ART
(CLASS H); WORKS OF ART (CLASS G)

SERMONS, see WORKS PREPARED FOR ORAL DELIVERY
(CLASS C)

SINGLE APPLICATION FOR SEVERAL VERSIONS OF
THE SAME WORK
S-8

See also SINGLE APPLICATION SUBMITTED
FOR SEVERAL VERSIONS OF THE SAME
PUBLISHED OR UNPUBLISHED WORK

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

SINGLE APPLICATION SUBMITTED FOR SEVERAL VERSIONS OF THE SAME PUBLISHED OR UN-

PUBLISHED WORK

8-92

See also SINGLE APPLICATION FOR SEVERAL VERSIONS OF THE SAME WORK

SINGLE-PAGE RULE FOR COPYRIGHT NOTICES See also NOTICE OF COPYRIGHT

S-96

SOUND RECORDINGS

Deposit for purposes of registration unacceptable

Musical compositions (Class E) Works prepared for oral de-

2-33

livery (Class C) Sale not generally regarded as

2-15

publication of work recorded

3-10

See also PUBLIC DISCLOSURE

STATE GOVERNMENTS, REGISTRABILITY OF PUBLICATIONS OF

S-18

\- T -

### TAPE RECORDINGS, see SOUND RECORDINGS

TERRITORIAL GOVERNMENTS, COPYRIGHTABILITY OR REGISTRABILITY OF PUBLICATIONS OF

S-18

TEXT MATTER, COPYRIGHTABILITY OF ME- CHANICAL REPRODUCTION OF

S-20

TRADE NAME IN THE COPYRIGHT NOTICE, USE OF See also NOTICE OF COPYRIGHT

4-20

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

# TRANSFER OF COPYRIGHT, see ASSIGNMENTS AND RELATED DOCUMENTS

TREATY RELATIONS WITH THE UNITED STATES
CONCERNING COPYRIGHT, NAMES OF INDE-
PENDENT COUNTRIES HAVING
See also CITIZENSHIP AND DOMICILE
OF AUTHOR; PLACE OF PUBLICATION;
UNIVERSAL COPYRIGHT CONVENTION

S-56ff

TWO OR MORE VERSIONS OF THE SAME WORK,
ONE APPLICATION COVERING
S-8, S-92

\- U -

UNITED STATES COPYRIGHT RELATIONS AND
ACCEPTABLE STATEMENTS OF CITIZENSHIP
S-52

UNIT REGISTRATION FOR WORK PUBLISHED IN
SEPARABLE PARTS
S-8, S-92

UNIVERSAL COPYRIGHT CONVENTION

Ad interim copyrights, automatic
extension of subsisting
See also AD INTERIM COPYRIGHT
Foreign works protected under
Parties to

8-23

7-3, 7-7, 8-5

Exemptions granted

Citizenship status as basis of
6-6

See also CITIZENSHIP
AND DOMICILE OF AUTHOR
Place of publication as
basis of
8-5

See also PLACE OF
PUBLICATION

Names of countries and accession
dates
8-56ff

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

UNIVERSAL COPYRIGHT CONVENTION (cont'd)

Exemption from compliance provisions of the statute under

8-14

Exemption from manufacturing require-

ment under

6-6, 8-18

See also MANUFACTURE IN THE

UNITED STATES

UNPUBLISHED COLLECTIONS

s-6

UNPUBLISHED WORKS

Copyright notice unnecessary

4-5

See also Published versions

Copyright, renewal of

11-7

Deposit requirements

5-5

See also DEPOSIT OF COPIES

Errors in registration, correction of

Applicant responsible

S-107, S-112

See also ASSIGNMENTS AND

RELATED DOCUMENTS

Copyright Office responsible

Date of registration, de-

termination of effective

S-50

Generally

S-100

See also CANCELLATION CASES; PRACTICES CONCERNING "REFERRALS"

Generally

12-24

See also REQUEST FOR COR-

RECTION IN, ADDITION TO,

OR CANCELLATION OF A COM-

PLETED RECORD

Notice of copyright unnecessary

4-5

See also Published versions

Published versions of

Copyright notice

Necessity of

4-5

Year date appearing in

4-28

Renewal of copyright in

11-7

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

USE, NOTICES OF, see NOTICE OF USE

USE OF PSEUDONYMS IN THE COPYRIGHT NOTICE
See also NOTICE OF COPYRIGHT

s-89

\- W -

WIDOWS OR WIDOWERS, COPYRIGHT RENEWAL
RIGHTS OF

11-16

WOOD CUTS

Manufacturing provisions inapplicable
6-20

WORKS NOT REPRODUCED FOR SALE, see UN-
PUBLISHED WORKS

S-11

WORKS OF ART

See also WORKS OF ART (CLASS G)

WORKS OF ART (CLASS G)

Copyright notice: requirements

Published works

Form prescribed
Position prescribed

4-39, 8-10, 8-13

See also NOTICE OF COPYRIGHT

S-12

See also MANUFACTURE IN THE
UNITED STATES

Registration

As prerequisite to renewal re-
gistration
11-11

Recordation of document, re-
lationship to
12-9

Useful articles

Attractiveness distinguished
from copyrightability
S-14

4-8

Fine art, works of

Manufacturing requirement

6-7, 6-20, 6-25

<!-- PageBreak -->

<!-- PageHeader="INDEX" -->

Page

WORKS OF ART (CLASS G) (cont'd) Useful articles (cont'd)

Embodiment of artwork in,

effect of -

8-13

WORKS PREPARED FOR ORAL DELIVERY (CLASS C)

Copyright notice unnecessary

2-14

Definition of

2-13

Registration

As prerequisite to renewal registration

11-11

Recordation of document, re- lationship to

12-9

Registration requirements Deposit of copy

Generally

5-5

Sound recordings unacceptable

2-15

Textual manuscript required

2-15

Non-dramatic textual works only

2-14

Sound recordings unacceptable as copy of material reproduced

on them

2-15

Unpublished works only

2-14

WRITINGS OF AN AUTHOR, see topic headings
under Chapter 2

REI