Intro to the Compendium

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Introduction to the Third Edition of the
COMPENDIUM OF U.S. COPYRIGHT OFFICE PRACTICES
The Compendium of U.S. Copyright Office Practices, Third Edition (the “Compendium” or
“Third Edition”) is the administrative manual of the Register of Copyrights concerning
Title 17 of the United States Code and Chapter 37 of the Code of Federal Regulations. It
provides instruction to agency staff regarding their statutory duties and provides expert
guidance to copyright applicants, practitioners, scholars, the courts, and members of the
general public regarding institutional practices and related principles of law. See 37
C.F.R. § 201.2(b)(7).
Effective Date of the Third Edition
The Compendium, Third Edition was released and became effective on December 22,
2014.
The Compendium, Third Edition is a living, electronic document accessible on the official
website of the U.S. Copyright Office. The Office publishes regular revisions, as
appropriate, to reflect changes in the law and/or practices, which customers may access,
download, or print. The most recent update was released on January 28, 2021. The
version posted on the Office’s website at any given time should be consulted as the
current official version. The Office maintains an archive of all revisions so released, as
well as prior versions.
Citing to the Compendium
The full title of this manual is the “Compendium of U.S. Copyright Office Practices, Third
Edition.” The full title may be abbreviated as the “Compendium.” The manual may be
cited as follows:
Full citation:
• U.S. COPYRIGHT OFFICE, COMPENDIUM OF U.S. COPYRIGHT OFFICE PRACTICES § 101
(3d ed. 2021).
Short form citation:
• COMPENDIUM (THIRD) § 101.1(A).
What the Compendium Covers
The Compendium documents and explains the many technical requirements, regulations,
and legal interpretations of the U.S. Copyright Office with a primary focus on the
registration of copyright claims, documentation of copyright ownership, and
recordation of copyright documents, including assignments and licenses. It describes
the wide range of services that the Office provides for searching, accessing, and

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retrieving information located in its extensive collection of copyright records and the
associated fees for these services. The Compendium provides guidance regarding the
contents and scope of particular registrations and records. And it seeks to educate
applicants about a number of common mistakes, such as providing incorrect,
ambiguous, or insufficient information, or making overbroad claims of authorship.
The Compendium does not cover every principle of copyright law or detail every aspect
of the Office’s administrative practices. The Office may, in exceptional circumstances,
depart from its normal practices to ensure an outcome that is most appropriate.
Standard of Deference for the Compendium
The Compendium does not override any existing statute or regulation. The policies and
practices set forth in the Compendium do not in themselves have the force and effect of
law and are not binding upon the Register of Copyrights or Copyright Office staff.
However, the Compendium does explain the legal rationale and determinations of the
Copyright Office, where applicable, including circumstances where there is no
controlling judicial authority.
The Supreme Court recognized that courts may consider the interpretations set forth in
administrative manuals, policy statements, and similar materials “to the extent that
those interpretations have ‘the power to persuade.’” Christensen v. Harris County, 529
U.S. 576, 587 (2000) (internal citations omitted); Georgia v. Public.Resource.Org, Inc.,
140 S. Ct. 1498, 1510 (2020) (applying “power to persuade” standard to the
Compendium). The weight of [the agency’s] judgment . . . in a particular case will depend
upon the thoroughness evident in its consideration, the validity of its reasoning, its
consistency with earlier and later pronouncements, and all those factors which give it
power to persuade . . . .” Skidmore v. Swift & Co., 323 U.S. 134, 140 (1944).
Courts have cited the Compendium in numerous copyright cases. See, e.g., Olem Shoe
Corp. v. Washington Shoe Corp., 2015 U.S. App. LEXIS 434, at *20-21 (11th Cir. Jan 12,
2015) (finding that the Compendium’s construction of the Copyright Act’s requirements
for disclaiming preexisting works during registration “merits deference”); Alaska Stock,
LLC v. Houghton Mifflin Harcourt Publishing Co., 747 F.3d 673, 684 (9th Cir. 2014)
(finding the Compendium “persuasive” concerning the registration requirements for
databases); Metropolitan Regional Information Systems, Inc. v. American Home Realty
Network, Inc., 888 F. Supp. 2d 691, 706-07 (D. Md. 2012) (deferring to the Compendium
concerning the registration requirements for collective works); Rogers v. Better Business
Bureau of Metropolitan Houston, Inc., 887 F. Supp. 2d 722, 732 (S.D. Tex. 2012) (“The
Copyright Office’s ‘policy statements, agency manuals, and enforcement guidelines’ do
not carry ‘the force of law,’ but they are entitled to some deference given the ‘specialized
experience and broader investigations and information’ of the agency.”); McLaren v.
Chico’s FAS, Inc., 2010 U.S. Dist. LEXIS 120185, at **9-10 (S.D.N.Y. Nov. 9, 2010)
(concluding that the Office’s interpretation of the unit of publication regulation “is
particularly compelling”). A complete list of cases citing the first, second, and third
editions of the Compendium is provided in the Table of Authorities.

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Compendium Chapters
The Compendium’s chapter scheme addresses the following key areas:
• Background on U.S. Copyright Office and general copyright law (Chapter 100).
• Overview of the registration process (Chapter 200).
• What is copyrightable (Chapter 300).
• Who may file an application for copyright registration, and distinguishing between
applicants, claimants, and correspondents (Chapter 400).
• What may be or is covered by a registration and legal concepts relating to the
authorship and ownership of joint works, works made for hire, derivative works,
compilations, and collective works (Chapter 500).
• How to complete an application, including general categories of works and
standards for examination (Chapter 600).
• Guidance regarding the copyrightability and registrability of literary works, works
of the performing arts, and visual art works (Chapters 700, 800, and 900).
• Guidance regarding the copyrightability and registrability of websites and website
content (Chapter 1000).
• When and how to register multiple works with one application, one filing fee, and
one set of deposit copies (Chapter 1100).
• When and how to register mask works and vessel designs (Chapters 1200 and
1300).
• Types of applications and filing fees (Chapter 1400).
• Identifying and filing proper deposit copies for registration and mandatory deposit
(Chapter 1500).
• Conditions for, benefits of, and processes for preregistration (Chapter 1600).
• How to request reconsideration of a refusal of a registration (Chapter 1700).
• How to modify a registration record, such as correcting or amplifying the
information in a certificate of registration, cancelling a copyright registration, or
asserting an adverse claim to copyright (Chapter 1800).
• Guidance on the meaning of publication and how to determine if a work is published
(Chapter 1900).

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• Registering a foreign work (Chapter 2000).
• How to seek a renewal registration for works first published or registered before
January 1, 1978 (Chapter 2100).
• Copyright notice and the works that are subject to the notice requirement
(Chapter 2200).
• Recording documents related to copyright ownership, notices of termination, and
other documents that the Office records under Title 17 (Chapter 2300).
• Accessing and obtaining Office records and other Office services (Chapter 2400).
First and Second Editions of the Compendium
The first edition of the Compendium (commonly referred to as “Compendium I”)
governed the Office’s general practices for registration, recordation, and other matters
arising under the Copyright Act of 1909. Largely an internal manual, it was directed to
the Office’s examining staff. Compendium I was made available to the public for the first
time in 1967 and it was last revised in 1973. See U.S. COPYRIGHT OFFICE, Introduction to
COMPENDIUM OF U.S. COPYRIGHT OFFICE PRACTICES (1st ed. 1973); Inspection and Copying of
Records and Other Documents, 32 Fed. Reg. 9314 (June 30, 1967).
The second edition of the Compendium (commonly referred to as “Compendium II”) was
also designed for internal use. Compendium II reflects the Copyright Office’s general
practices for registration, recordation, and other matters arising under the Copyright
Act of 1976, prior to the adoption of the Third Edition. It was first published in 1984 and
revised in part in 1988 and 1998. In 1988 the Office added Chapter 600 (Registration
Procedures) and Chapter 1900 (Records, Indexes and Deposits). In 1995 the Office
amended Chapter 600, § 606.04, which discussed the procedure for requesting
reconsideration of a refusal to register. In 1998 the Office revised Chapter 1600
(Recordation of Transfers) and Chapter 1900 (Records, Indexes, and Deposits). See
generally Change in Procedure for Recording Certain Multiple Title Documents, 63 Fed.
Reg. 23,475 (Apr. 29, 1998); Modification of Appeal Procedure, 60 Fed. Reg. 21,983
(May 4, 1995); Compendium of Copyright Office Practices, 53 Fed. Reg. 20,392 (June 3,
1988); Compendium of Copyright Office Practices, 49 Fed. Reg. 23,125 (June 4, 1984).
Although the Copyright Act of 1909 was repealed effective January 1, 1978, Compendium
II did not supersede Compendium I. The preface to Compendium II expressly stated that
Compendium I continued “to apply to Copyright Office actions, in situations . . . where the
provisions of the Copyright Act of 1909, as amended, are dispositive.” U.S. Copyright
Office, Preface to Compendium of U.S. Copyright Office Practices (2d ed. 1984). In other
words, Compendium I remained the governing administrative manual for all
registrations, renewals, and recordations issued by the Office prior to January 1, 1978. It
also set forth the registration requirements for works published before January 1, 1978
where the applicant subsequently sought to register the work for the original copyright
term (i.e., the first twenty-eight years of the copyright), including issues involving
copyright notice and the manufacturing clause.

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Compendiums I and II are available on the Office’s website. They are also available for
inspection and copying in the Records, Research and Certification Section. See 37 C.F.R. §
201.2(b)(7).
Relationship Between the First, Second, and Third Editions of
the Compendium
This version of the Third Edition governs registrations and recordations issued by the
U.S. Copyright Office on or after January 28, 2021. Registrations and recordations issued
between December 22, 2014 and January 27, 2021 are generally governed by the prior
versions of the Third Edition, except in cases where those versions have been
superseded by an amendment to the regulations, intervening case law, or previously
announced changes in practice.
To the extent there is a conflict between the Third Edition and Compendiums I or II, the
current version shall control. That said, the Third Edition does not comprehensively
cover all of the Office’s practices under the prior copyright law. To the extent that issues
arise that are not addressed by the Third Edition, Compendiums I and II remain in effect
and continue to be the governing administrative manuals for practices involving those
issues.
In particular, the Third Edition generally does not address practices under the Copyright
Act of 1909. Compendium I continues to be the controlling manual for registrations,
renewals, and recordations issued by the Office prior to January 1, 1978, and for the
registration requirements for works published before January 1, 1978 that were never
registered for the original copyright term. For ease of reference, however, Chapter 2100
of the Third Edition summarizes most of the relevant practices from Compendium I
concerning the registration and renewal of such works.
Similarly, the Third Edition does not address all practices involving provisions of the
Copyright Act of 1976 that have been amended or repealed since 1978. As a general
rule, Compendium II continues to be the relevant administrative manual for
registrations, renewals, and recordations issued by the Office between January 1, 1978
and December 22, 2014. In particular, Chapter 1200 of Compendium II continues to be
the governing manual concerning the manufacturing clause, although that Chapter only
applies to works published before June 30, 1986, which is the date that the
manufacturing clause expired.
Using the Compendium
The U.S. Copyright Office makes the Compendium available in PDF format. The complete
manual may be accessed or downloaded in its entirety or on a chapter-by-chapter basis.
Each chapter can be accessed through the link set forth in the table of contents for the
Compendium as a whole. Additionally, the Compendium includes a glossary of terms that
are commonly used in registration and recordation practice. These terms are defined
and linked throughout the chapters. Certain frequently used phrases are defined for
convenience.

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How to Search the Compendium
You may search for specific terms in the Compendium by using the “find” features in
Adobe Acrobat or Adobe Reader, or by using the search engine on the Office’s website.
These features are described below.
Basic Searching with Adobe Acrobat or Adobe Reader
The “find” feature in Adobe Acrobat or Adobe Reader allows users to search for specific
words or phrases within the entire Compendium or within specific chapters. To conduct
a basic search, follow these steps:
Step 1:
• Select “Edit” from the toolbar at the top of your screen, and then select “Find” from
the drop-down menu. In the alternative, you may press Ctrl+ F to activate the Find
feature. A box labeled “Find” will appear on your screen.
Step 2:
• Enter the word or phrase you would like to find in the box labeled Find. To search
for specific provisions of the Copyright Act, U.S. Copyright Office regulations, or the
Compendium, enter the section number you would like to find, such as “409(1)” or
“202.1.”
Step 3:
• Click the “previous” or “next” button. If the search term appears within the
document it will be highlighted on your screen. If the search term appears
elsewhere within the same document you may find it by clicking the “previous” or
“next” buttons again. If the search term does not appear within the document the
following message will appear: “Reader has finished searching the document. No
matches were found.” To close the Find feature, click the “x” that appears in the
upper right corner of that box.
Advanced Searching with Adobe Acrobat or Adobe Reader
Use the “advanced search” feature in Adobe Acrobat or Adobe Reader to identify all of
the places where a specific word or phrase appears within the Compendium or within
specific chapters. To conduct an advanced search, follow these steps:
Step 1:
• Save a copy of the entire Compendium or a specific chapter to your desktop.
Step 2:
• Open the document using Adobe Reader or Adobe Acrobat.

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Step 3:
• Select “Edit” from the toolbar at the top of your screen and then select “Advanced
search” from the drop-down menu. In the alternative, you may press Shift+Ctrl+ F to
activate the advanced search feature. A box labeled “Search” will appear on the left
side of your screen.
Step 4:
• Enter the word or phrase you would like to find in the box marked “What word or
phrase would you like to search for?” To search for specific provisions of the
Copyright Act, U.S. Copyright Office regulations, or the Compendium, enter the
section number you would like to find, such as “409(1)” or “202.1.”
Step 5:
• Click the “Search” button. If the search term appears within the document, it will
appear in a box labeled “Results,” along with a brief excerpt from each sentence
where that term appears. If the search term does not appear within the document
the following message will appear: “0 document(s) with 0 instance(s).” To conduct
another search click the “New Search” button. To close the advanced search feature,
click the “x” that appears in the upper right corner of the Search box.
How to Provide Comments on the Compendium
The U.S. Copyright Office welcomes substantive input regarding the Compendium during
formal notice and commenting periods. The Office also appreciates feedback on
readability, clarity, coverage, and usability of the Compendium on an ongoing basis.
These comments may be emailed by using the form posted on the Office’s website.