copyright-compendium-history-comp-compendium-one•Compendium I, 1973 revision (135 pages plus index & updates)
Compendium I, 1973 revision (135 pages plus index & updates)
copyright-compendium-history-comp-compendium-oneCompendium I, 1973 revision (135 pages plus index & updates)Guidance
Copyright Office Library of Congress Washington, D. C. 20559 COMPENDIUM OF COPYRIGHT OFFICE PRACTICES 1973 Revisions INSTRUCTIONS: The attached revised pages are replacements for those in the Compendium having corre sponding numbers, or additional pages to be placed in appropriate numerical sequence. Each of the attached pages is marked with the identifying date of this revision, thus: [1973] Particular attention is called to the following new additions to Chapter 2: Part 2.8 WORKS OF ART (CLASS G) Part 2.11 PHOTOGRAPHS (CLASS J)
1973 Revisions (continued) List of replacement and new pages: Title page Foreword (iii) Preface (iv) Table of contents (v and vi) 2-121 through 2-130 (replaces pages 2-1 through 2-10) 2-141 through 2-150 (replaces pages 2-11 through 2-20) 2-181 through 2-201 (replaces pages 2-21 through 2-42) 2-271 through 2-299 2-421 through 2-447 2-571 through 2-580 (replaces pages 2-43 through 2-52) 3-1 3-2 3-9 3-10 4-9 4-10 ....J5-13 5-14 7-5 7-6 12-5 12-6 12-9 12-10 S-l 8-1A 8-1B 8-2 8-11 through 8-16 8-19 8-19a 8-52 through 8-73 8-98 8-99 8-128 through 8-135 INDEX (Pages 1 through 43)
COMPENDIUM of COPYRIGHT OFFICE PRACTICES (As of July 1, 1973)
Compendium of Copyright Office Practices FOREWORD The Copyright Office has made available to the ~ubliC its administrative staff manual known as the 'Compendium of Copyright Office Practices. II This step was taken pursuant to the Freedom of Information Act (5 U.S.C. § 552). Accordingly, the Regulations of the Copyright Office [37 C.F.R., ch. II (24 F.R. 4955)] were amended, effective July 4, 1967, to provide in Section 20l.2(b)(3): The Copyright Office maintains an administrative staff manual referred to as its IICompendium of Office Practices, II and an index to the manual, for the general guidance of its staff in making registrations and recording documents. The manual and index, as amended and supplemented :from time to time, are available :i,n the Copyright Office for public inspection and copying. Although previously available for inspection and copying, it was not untd.L the July 1970 edition that the Compendium was published through the Superintendent of Documents of the Government Printing Office. The Compendium has not yet been completed and does not cover all aspects of Copyright Office work. Additional portions will be issued as they are completed, and amendments and supplements will be issued from time to time. These changes will be published in the form of additional or replacement pages of this looseleaf publication. REGISTER OF COPYRIGHTS iii
Compendium of Copyrif,ht Office Practices PREFACE This Compendium is an Office manual intended primariJy for the use of the staff of the Copyright Office as a general f,Uide 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 representine 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 revi~w and modification in the light of new experience and continuing reappraisal. Accordingly, further additions, deletions, and other changes will be made from time to time. The Copyright Office will maintain a separate record of all material withdrawn from this volume as superseded. iv
L TABLE OF CONTENTS for COMPENDIUM OF COPYRIGHT OFFICE PRACTICES Page Preface iii Chapter 1 * Basic policies Chapter 2 Copyrightable Matter * 2.1 In general 2.2 Class A * 2.3 Class B (including BB) 2-121 2.4 Class C 2-141 2.5 Class D*~ 2.6 Class E 2-181 2.7 Class F* 2.8 Class G 2-271 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 "4-3,6" designates the sixteenth page in Chapter 4.) v
Table of Contents (continued) Chapter 2 Copyrightable Matter (continued) 2.11 Class J * 2.12 Class K (except KK) 2.13 Class K (KK)* 2.14 Classes L and M 2.15 Class N* Chapter 3 Publication Chapter 4 Notice Chapter 5 Deposit of Copies Chapter 6 Manufacturing Clause Chapter 7 Citizenship and Domicile of Author Chapter 8 Works First Published Abroad Chapter 9 * Applications and Fees Chapter 10 * Registration Procedure Chapter 11 Renewal Registration Chapter 12 Assignments and Related Documents Chapter 13 Notices of Use Chapter 14 * Office Records Chapter 15 Certificates and Certification Addendum Supplementary Practices . Index vi [1973] .,;Page 2.421 2-571 3-1 4-1 5-1 6-1 7-1 8-1 ~ 11-1 12-1 13-1 15-1 8-1
COPYRIGHT Ch. 2 OFFICE PRACTICES Chapter 2 COPnUGHTABLE MA~ Part 2.3 PERIODICALS (CLASS B) OUtline of Topics I. Publication with notice n. 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-Oftice classification 2.3.3 SEPARATE EDITIONS OF A PARTICULAR ISSUE I. Periodicals other than daily newspapers II. Daily newspapers 2.3.4 CON'.l'RIllJTIONS TO PERIODICALS I. Separate registration II. Classi1'1cation • 2-121 [1973J
COPYRIGHT .. OFFICE \....,:. PRACTICES Chapter 2. COPYRIGHTABLE MATrER 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" (Le., puhLf sher-] 1s a U. S. citizen or domiciliary. For the possibility of" ad interim registration, see item III of" this Part 2. A f"oreign-language periodical. of 'Which the "author" is a U. S. citizen or domiciliary 3. An English-language periodical by a foreign "author" first publ.fehed in the United States 4. An English-language periodical by a foreign "author" which was first publ.ished 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. 2-123
COPYRIGHT 2· 124 OFFICE PRACTICES 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 york manufactured abroad. rrr, Registration. a. Domestic periodicals. Registration is required for periodicals of U. s. origin which comply with the statutory formalities. '!he 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 Forn. A-B Ad Interim, unless copyright has been secured by virtue of the U.C.C. exemptions of Sec. 9(e), 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 edi tion 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. [ 1973 ]
COPYRIGHT 2-125 Ch. 2.3
OFFICE 2.3.1
\.... PRACTICES
2.3.1 General Rules (cont'd)
III. Registration. (cont'd)
b. Foreign periodicals. (cont'd)
2. Foreign-lanSU!se perioa.icals. 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 resular intervals of'less than a year,
the successive issues bearing the same title {with
a distinguishing number or date tor each issue) and
being simdlar in the general character ot 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 ot
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
developllents in the field of' biochemistry
(6) A monthly publication containing inform
tiona! articles and illustrations on
gardening
[1973]
Ch. 2.3 COPYRIGHT 2-126 OFFICE 2.3.2 PRACTICES 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 wi th accompanying rna ts • II. Annual publications. a. Publications issu.ed at intervals of a year or more (e.g., yearbooks, almanacs, a.nnual 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, n~y 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 iStll1ed 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 dif1'eren't subject; e.g., the issue successively of a book on grammar, one on history, one on economics, on chPmistry, etc. [1973]
COPYRIGHT OFFICE 2-127 Ch. 2.3 PRACTICES 2.3.2 2.3.2 What are Periodicals (cont Id) IV. Series of books. (contld) Examples of a series of books: (contld) (2) A series of volumes, each an individual work complete in itself; e.g., the issue bi-weekly of one of the 11100 great books II, the monthly selections of a book club, the issue each month of one full-length mystery story (3) The successive issues of revised editions of a book; e. g , , a d1 rectory 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 registnLtion 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 Orfice 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, separa~e registrations will be required. ~ [1973J
COPYRIGHT 2-128 OFFICE PRACTICES 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 I s Mystery Magazine, published wi th a flashy cover for newsstand e:a1e and a conservative cover for subscribers. c. Where the only difference between the editions is in advertising matter, separate registrations will not be made uruess the advertisements belong (or could belong) to the publisher of the pE~riodical. 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. rr, 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. [1973J
COPYRIGHT 2-129 OFFICE PRACTICES 2.3.3 S!p!rate Editions of a Particular Issue (cont'd) II. Daily newspapers. (cont'd) a. (cont'd) Examples· (1) "Hane, II "Ci ty, II "Final II and ''Red star II editions (2) "Bronx, tI ''Manhattan, tI and ''Brooklyn II 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 Edi tion only.") c. Where an applicant chooses to deposit copies or all editions with a single application, only the copies of the earliest edition ~ll be stamped ~th the registration numbers. 2.3.4 Contributions to Periodicals I. Separate registration. a. A copyrightable contribution to a periodical, it it is published ~th 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 I:f, cOJ1tri bution to a periodical is not registrable. [19"/3 ]
COPYRIGHT 2-130 OFFICE PRACTICES 2.3.4 Contributions to Periodicals (cont'd) 1. SeES-rate 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 assi~unent 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 cOlmnercial print. b. Except for connnercial prints, copyrightable con tributions to a periodical s bearing separate notice, may be registered in Class B (on Form BB). .J ~ 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 emh~em} to be reproduced in each issue of a periodical as part of the fonnat is not registrable in Class B as a contribution. But if it be""rs a separate notice, it may be registered separately in the appropriate class (e.g., a pictorial emblem in Class K). End of Part 2.3. Pages 2-131 through 2-140 reserved for future use. [1973]
COPYRIGHT Cll. 2 OFFICE PRACTICES Chapter 2 COPYRIGHTABLE MATTER Part 2.4 WRKS PREPARED FOR ORAL DELIVERY (CLASS C) Outline of Topics 2.4.1 WHAT IS A "\>l)RK PREPARED FOR ORAL DELIVERY"? 1. Statutory provisions II. Definition III. Examples 2.4.2 ONLY UNPUBLISHED WORKS REGISTRABLE IN CLASS C I. Published works not registrable II. Later publioation III. No notice required 2.4.3 ONLY NON-DRAMATIC TEXTUAL WBKS 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 deli v e r, II. Suitability for oral delivery [1973] 2-141
COPYRIGHT Cll. 2.4 OFFICE 2.4. 1 \.. PRACTICES Chapter 2. COPYRIGHTABLE MATTER Part 2.4 WIlKS PREP MED FOR ORAL DEl:IYl$RY-.-i.QLASS C) 2.4.1 What is a 1I\-1ork Prepared for Oral Del1ver yll? I. Statutory provisions. Class C comprises "lectures, sermons, addresses (prepared for oral delivery).11 (17 U.S.C. §5(c).) The statute also refers to "a lecture, sermon, address or similar proQuction" (17 U.S.C. §1 (c», \oIhiJh pr-esumab.iy covers the same class of works. II. Definition. A "vcrk 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 accon~any the showing of a filmstrip f. The story to be delivered by a narrator in oonjunction with a pageant g. The text of a children's story, or of Spanish lessons, to be recorded on phonograph records 2-143 [1973]
2-144 COPYRIGHT OFFICE PRACTICES 2.4.2 Only UnpUblished Works Registrable in Class C. I. Publishod works not registrabl~. Evon though a work has b~en 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 vork of this type should be registered in Class A as a "book," if published vith the required copyright notice. Example: The text of a speech by the president of General Motors, vhich is released to the press in mimeographed form on the morning of the day the speech 1s to be delivered. II. Later pubUcation. When a vork that has been registered in Class C is later publtshed vith 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 vorks 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 mate~ial. 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 viII be questioned, and a new appli cation on Form D vill be suggested. (As to vhat constitutes a dramatic composition, see Part 2.5.) b. If the dramatic character of the work 1s doubtful, or if the dramatic eloment is not the predominant feature of the work, the claimant's choice of Class C will be accepted without comment. [1973J ~
COPYRIGHT 2-145OFFICE PRACTICES Only Non-dramatic Textual Works Registrable in Class C. (cont'd) I. Drematic 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 Mnuscript. 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 2.4.4.11.a., below). b . A sound recording of a work prepared for oral deli very is not acceptable for registration in Class C. When a sound recording is depos ited, the Office wUl reject the claim but point out to the applicant the possibility of writing out the text in -.nuscript form and then making registration on the basis of the manus eript . (As to the preble of the sale of recordings as publication, see iteJI 3·l·3·IV.) c. Where the copy deposited consists of Class C aterial cClllbined vi th ot..her material, the practice to follow depends upon the nature of the other material. 1 . Where the other material, whUe registra ble in unpublished fOrDl, caDnOt be con aidered an actual part of the york pre pared tor oral delivery, aeparate regis trations v1ll be suggested. :lxample: The text of a television c~rc1al advertising electrical appliances, aDA soae unpublished draviDis intended to be used in magazine advertisaents ot the appliances. [1973]
Ch. 2.4 COPYRIGHT 2.4.3 2-146 OFFICE PRACTICES Re istrable in II. Copy defsi ted should be a textual manuscript. (cont'd c. (cont'd) 2. Where the other material is not reg; stra ble but :is inseparable from the reg~ stra 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 deli very , the applicant will be requested to redepos it the work with the unregiatrable material omitted. Example: A textual work purporting to be a lec ture describing "the HamtrlJDatz Method for Computing Uniliteral Bunion Curves," accompanied by a handmade computing device containing no copyrightable material. 4. Where the other material i8 registrable in unpublished form and can be considered a pe.rt of the work prepe.red 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 deli very will support a registration in Class C, a single registration in the applicant's choice of' class me;y be made, even though the other material pre dominates. [1973]
COPYRIGHT OFFICE 2-14'( Ch. 2.4 PRACTICES 2.4.4 Re istrab1e 1n II. COpy de~sited should be a textual manuscript. (cont'd c. (cont'd) 4. (cont'd) ( a) ( cont ' d) Example: A one-page speech, accompan:l.ed by eight drawings to be used as illustrations by the speaker. (b) If application is tiled on Form C and the portion of the work prepared for oral delivery is minimal or somewhat borderUne, but there is a subst811tial amount of other material, regi stration in the clas s appropri ate to the other material will be suggested. Example: A short two-Une 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 wlthout correspondence although in ap propriate cases the possibility of separate registrations maJ be pointed out. Example: A narration extolling the virtues 01' chicken chow mein, accompanied by original background music which was composed to be plaJed 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. [1973]
Ch. 2.4 2-148 COPYRIGHT 2.4.4 OFFICE PRACTICES 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 ~irst instance for publi cation and individual reading, rather than for oral delivery before an audience, is not regi.strable i.n un published form, although in rejecting the claim the Offi.ce may point out the possibility of registration in Class A as a "book" af'ter 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 Utle page, preface, foreword, table of contents, chapter headings, bibliog raphy, footnotes, index, references to "the reader, It 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 m~ be made in Class C. [1973J
COPYRIGHT Ch. 2.4
2-149OFFICE 2.4.4
PRACTICES
2.4.4 Preparation and SUitability for Oral Delivery.
(cont'd)
I. Preparation in the first instance tor oral
delivery. {cont'd}
d. The mere tact that the claimant has read,
or intends to read, his work orally to a
few friends does not make ita "work pre
pared tor oral delivery," it it is clear
that the work was prepared in the first
tnstance for publication.
Ex_pIe: 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 progr8ll1s, 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
tor the script Yill not proteet 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, sueh
as a list of topic words or sentences,
or a group ot brief notes, 1s not regis
trable in Clus C. However, 1.t a script
i8 actually capable of oral delive17,
the fact that it is in outline form will
not preclude registration in Class C.
[1973]
COPYRIGHT Ch. 2.4 2-150 OFFICE 2.4.4 PRACTICES 2.4.4 Preparation and Suitability for Oral Delivery. (cont'd) II. Sui tabUi ty for oral delivery. (cont'd) b. A script in sufficient detail for delivery sUbstantially as written is registrable as a work prepared for oral deli very, 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. End of Part 2. If. Pages 2-151 through 2-180 reserved for future use. [1973]
COPYRIGHT Ch. 2' OFFICE PRACTICES Chapter 2 COPYRIGHTABLE MATTER Part 2.6 MUSIC (CLASS E) Outline of Topics 2.6.1 WHAT ARE MUSICAL CO}~OSITIONS 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 nuce~aary II. Sound recordings not acceptable III. Completeness of copfes deposited 2.6.3 REQUIREMENTS OF REGISTRATION FOR 11USICAL COMPOSITIONS I. Unpublished musical compom tiona II. Published musical cOlapositiona 2.6.4 NEW VERSIONS OF MUSICAL COMPOSITIONS I. In general II. Adapta'(,1ons or arrangements III. Revisions or addi tiona IV. Editing V. New lyrics VI. Compilations 2-181 -... [1973]
\.. 80PYRI GHT FFICE PRACTICES CJl. 2.6 2.6.1 CHAPTER 2. COPYRIGHTABLE MATTER Part 2.6 MUSIC (CLASS E) 2.6.1 What are musical compositions. 10 OeneraJ.1T. '1'0 constitute a "JIlU81cal ocnpoll1 tion" for purposes ot copyright registration in Clus I, a work must cenerall3' contain notations represent1D8 a succession ot musical sounds, uauaJ.q 1n 8C111e det.ln! te lI81od1c and rl\rtbm1c pattem. '!'be work ..,. conld.st ot JRusic alone, or ot words ad 1111810 combined. A work COnsi8ting of words alone i8 DOt registrable 1D Clus E. II. Evaluation ot _8ical. content .. a. 'l'hree elflllents are us~ present ill a IlU8ic~ ocnpo81tiont melod;y (a succession ot s1D11e tones), ~ (groupings ot tones accol'diDa to accent and time value), and ba1'lllOD1' (chorda of ditfering pitch in various related progresAODa or modulations). The presence ot all or ~ one or two ot these elements may be considered to constitute a musical composition. Hovever, betore making registration tor certain unpublished vorksr it may be adYiBable to write to the applicant, pointing out that protection extends 001,. to tbe material actually deposited, and suggesting that in his own 1nter(~at he develop his manuscript to supply the missing element. 2-1d3 [1973]
Ch. 2.6 2-184 COPYRIGHT OFFICE PRACTICES ~.~.1 2.6.1 What are musical compositions. (cont'd) II. Evaluation ot musical content. (cont td) a. (cont'd) Exwnples s ,v~ ~ I .... e.tc ... v' , ... , v c. F A(jD r folIC,. Me-Ii" ~ J... FA 0 c /+if' Iwe'~ ff'le .. b. In deteJ'lllining whether a work 1s a "musical cOllpolition" ~or purpose. o~ cOP11'ipt regis. tration, the usual .tandards o~ DlUaical critici.m have no application. !he pre.ence ot note. doe. not necessarily pre.uppale the existence ot a tune or ot any relationlhip to a particular ~da or key. e , To support a Ncistration in Clul ., a work ot llUaiC mult reprelent creative authorlhip~ [1973]
COPYRIGHT Ch. 2.6 2-185OFFICE 2.6.1
PRACTICES
2.6.1 What are lDUlJical e0sP081tlon~Cl {canted)
II. Evaluation ot JIIUS1cnl oontent.. (cont'd)
o. (oonttd)
1. .A IIIUS1cel Bcore having DO element ot
original composition ("e.g., a group ot
diatonio and chromatio scalee tor begin...
Ding atudents) 1s not reg1strable unless
compilation 1B present. (See topios
2.6.1oIVeooD 2.6.4.VIe)
2. i phrase cona1st1ng ot a tev JIlUSlcal DOte.
(e.,., the WO signatureJ clock cb1mes),
standing alone J would not have sut.t1cient
substance to conuti tute a oampontiOD.
3. To be registrable in Class I, it 18 not
neCBOS&r,y that all ot the under111D8 musioal
them.as in the cOlltpositiOD be orig1na1. Vari.
ationo, popular adaptations, arrsngemants,
and othur versions or public domain theme.
(or ot copyrighted thClDeS when perm1~sion to
Wle has bean secured) m1XT be registered ..
Dew worko ot authort:lhip. (See topio 2.6.4.)
Examples.
( .) Variatione on a themo b)" PaganiD1
(b) A symphonic arrangement at "YBDkee
Doodle"
(c) A popular song basod on a theme
from Chopin I, tt Fantasie Impromptu"
4. A work consisting chiefly ot text or pictorial
matter, although it deals with the subject ot
IIU81c and contains lnaldental .frllgll811ts ot
llUs1col Bcoras, is Dot registrable in Class I.
lxamplul
<a> A book on some munical subject ..
1d.th briet IllUs1clll quotBt1oDe tG
illustrate the text
(b) An advertising print colltain1nc a
tIN bars of JllU81c to convey the
idea ot music
[1973J
Ch. 2.6 2-186 COPYRIGHT 2.6.1 OFFICE PRACTICES 2.0.1 What are musical comp08itions. (cont'd) 11. 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 work8 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 Ill. 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 mU8ic. 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 manu 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. [1973]
COPYRIGHT Ch. 2.6 2-187OFFICE 2.6.1 \.., PRACTI CES 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 ~ 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 & reading of Poe's poems), registration ~ 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 om11ted 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 IlOnolog with musical accompaniment; a musical composi tion with narration) the \... [1973]
Ch. 2.6 COPYRIGHT 2.6.1 2-188 OFFICE PRACTICES 2.6.1 What are musical compositiona. (cont'd) III. Evaluat ion 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 I, a single registration in the applicantts choice of class ma;y be made, even though the Clus C material predominates. (b) If' application is filed on rOI"ll I: and the musical portion of the work is ..J de minimis or somewhat borderline, but there is substantial Class C material, registration in Clas8 C will be suggested. (c) If both the Class E and Class C material are substantial and fairly evenly balanced, the pos8ibility of making separate registrations ma;y 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, relistra tion for the 'WOrk as a whole in Clus D u a "drUl&tioo-mu.s1cal cOlaposition" ~ be appropriate. .J [1973]
COPYRIGHT Ch. 2.6 2-189 OFFICE 2.6.1 PRACTICES 2.6.1 What are musical compositions. (contfd) III. Evaluation of textual content. (cont fd) b. Music with text. (contfd) 6. If' the work 18 subm1 tted &8 pub lished and it consists of' regi strable lIlU8ic and a substantial IU*)UDt of' origiD&1 text, an ap plication on Form B vU1 general 11 be accepted; or, if' separate DOtices have been used, separate registrations ."., be sugge.ted in Classes I 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, mq be reg istered in Class E. Registration in Clus 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.l.IV.d., below.) 2. A published book consisting principally of new music or new arrangements of existing 1I\1sic, though also containing a sub st ant ial amount of other copyright able matter (e. g., an Introduct ion, pictorial illustrations), may be reg istered in either Class I or Class A. b. Books of existing music with new matter. 1. A book of IIlUdc containing both reprintings of existing com positions and new DrUsical works .., be registered in Class B. [1973]
COPYRIGHTCh. 2.6 2-190 OFFICE2.6.1 PRACTICES 2.6.1 What are mudcal compositions. (cont'd) IV. Books of music. (cont'd) b. Books of existing music with new matter. (cont'd) 2. A book consisting ent:i.rely 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 conta:i.ns copyrightable editing; see topics 2.6.l.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: ..J <a) Chopin ttudes, vi th new text of suggest ions for teachers and students. (b) Bach's ''Well-Tempered Clavichord" with a new foreword on the histori cal develoPBent of key board instruments. (c) '!'be song "America" with patriotic pictures and emblems. c. Compilations. (See topic 2.6.4.VI) 1 Published and unpublished com pilations of original BOngS, of original arrangements of BOngS, or of songa with original lyrics, should generally be registered in Class E. 2. Where the only regi8trable ele ment in a published collection J [1973 ]
COPYRIGHT Ch. 2.6 2-191 OFFICE 2.6.1 PRACTICES 2.6.1 What are musical compositions. (cont'd) IV. Books of music. (cont'd) c. Comwilations. (See topic 2.6.4.VI) (cont'd) 2. (cont'd) of previously published music 1s 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 nott.ce of copyright ~ influence the classification of a published book of mus Le , 1. When the notice is on the title page, registration may ba made either in Class A or in Class I. 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 not Iee is on the first page of' music, a Class E application will genera.lly 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 appli cant sub ai ts Fom E, registration mq be .. de with a c.:autionary letter. [1973]
COPYRIGHT 2-192 OFFICE PRACTICES 2.6.2 Nature and cOmpleteness ot copies deposited. Ie Conventional notation not necessarr. As long as it. i8 Intemiib1e and capable ot beilig read and v1sua1l7 peroeived, a work ~ be accepted tor registration in Class I, even it it does not emplo)" the conventional torm. ot music notation. a. Copies employing letters, numbers, words, symbols, or other indicia maY' be accepted it it seems possible tor someone to decipher the musio in the work. EXamples I ~I,.. -t.v J..iI, f -...,c..~ CLJ- b. A copy con.talning a 8COl'a appropriate for the not.atd.on of electronic or concrete muslc may be accepted. c. However, if the work is \U1publiahed and it se~.m8 imposBillle for Anyone to determine t,he J1TUSic from the copies, the applicmt will be requested t.o prepare a new manuscript for deposit. [1973J
COPYRIGHT Ch. 2.62-193OFFICE 2.6.2 \.., PRACTI CES 2.6.2 Nature and cOmpleteness of copies deposited. (cont'd) I. Conventional notation not necessary. ( cont •d) c. (cont'd} Exanlplet e II. Sound record1!!tI8 not acceptable 0 A sound recording ot a muaic81 composItion Is not acceptable for registra tion in Class E. When a sound recording is depos! ted, the Office will reject the claim but point out to the applicant the possibillty ot writing out the composition in IIW1U8Cr1pt rom and then maki'lg registration on the bui. ot the manuscript. (As to the problem of the lele ot recordings as publication, see topic 3.l.3.IV.) III. CO!Pletenesl ot copies deposited. a. Unpubl1ehed manuscripts. 1. As long as the manuscript appear' to contain copyrightable mu8io, no ettort will genera1ly be made to determine it the words and MUsic are complete and it the work 1s 10 t:l.n:1shed fonn. (But see paragraphs 2 and ), below.) [1973J
2-194 COPYRIGHT OFFICE PRACTICES 2.6.2 Nature and cOJDEleteness of copies deposited. ( cont' d) III. Collfleteneaa of coeies deposited. (conti d) a. Unpublished manuscripts. (coDttd) 1. (cont1d) Example: Where the manuscript contains JI1U8ic tor verse and chorus, but includes words for the chorus only, the claill will not be questioned. 2. Whel'tl the applicant states that the worleis incomplete, but indicates that he will cOJrq)lete and subm1 t the 1'1n1shed worle shortly, the Office may suggest that registration be deferred until tile work ha.s been completed• .3. \Jhel'e the applicant appe6J.'s to have sld.pped a page in copying his manu script ~ 01' where the words end in the m.i.ddl.e of a sentence, the Office will queat.Lcn the completeness of thfJ Jllanu ac.:ript.. b. Orchestration~blll1dstrat.ions, and illstr\Uller~ Eal't~. 1. WheJ:'e the COphJ8 deposited in COIUlec tioll with a publiBhed work for orchestra or band conef st, only of the pt.anc conductor cr condensed score, and there 81'.3 indications on the copies that other inatrwnental par t.s or band books have been publl.shed with it as 8 unit, the Office wil_l request deposit or all parts or books. 'rho same practice should be followod where t.he Pal't ol~lglJ1ally de posited is 8. full score, even though a full score conted.na all the music in the other partf:l in a difftlrent form. [1973]
COPYRIGHT 2-195OFFICE PRACTICES 2.6.2 Nature and completeness at oopies d'!p0sited. ( cont. d) III. Completeness ot coples d!J>O!ited. (-cant'd) b. Orchestrations, bandstrat1ol'ls, and 1nstruraental PIJ.....s. ( ccnt~aJ 2. WIle" the copies deposited indicate that the work is a part tor a certa:l.n kind ot instrument (e.g., !ttor Bus Clet Instru ments"), and that parts tor other instru ments are also published with it as a unit, the ottioe will request deposit ot all parts, even it they represent mere transposi tiona ot the material on hand. 3. Where an unpub11ehed Manuscript consists ot a 'tpiano part" or "piano conductor" part, registration \'1111 generally be made without correspondence or annota tion. ~ [1973 ]
COPYRIGHT Ch. 2.6 2-196 OFFICE 2.6.3 PRACTICES 2.6.3 Requirements of registration for musi.cal compositions. I. Unpublished musical compositions. a. In general. Claims to copyright in unpublished musical compositions may be reg:!.stered in Clus 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 cOilposit:!.on, separate registrations will be encour aged. A single registration ma;y be considered if the applicant insists, provided the authorsh:f.p of each version is the same, and a single identifYing title is given. Exemples: (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 seme com position, in which the only differences are in uncopyrightable elements, they may be registered together on a single application. Example: The same JllUsic in different keys [1973]
COPYRIGHT OFFICE PRACTICES 2.&.3 Requirements of registration for musical compositions. (cont'd) I. Unpublished musical compositions. (cont'd) c. Collections of unpublished mpsical compolitions. A collection of two or more unpublished ausical 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 lingle title identifying the collection as a whole; and 3. The collection as a whole is the subject of a 8ingle claim of copyright; and 4. All the compositions are by the lame 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. 11. 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 4; al to the formalities of regis tration, see chapters S, 9, and 10.) b. Publication of registered aanuscript. When a musical composition, previously regiltered in unpublished form, is published with appropriate notice, registration should again be made to cover the published edition. (17 U.S.C. 112.) c. Books of music. See topic 2.b.l.IV. [1973J
Ch. 2.& 2-198 COPYRIGHT 2.& .4 OFFICE PRACTICES 2.6.4 N,w versions of musical compositions. 1. In general. In order for registration of a new v,rsion of an existing musical composition to be valid, th, composition employed must be in the public domain or, if copyrighted or protected under common law, must be used with the owner's permission. a. Frequently the clataant of copyright in the new version is also the owner of copyright in the composition employed in the new version, in which ca'e no question of permission arises. b. In all cases the Copyright Office will assume that UBe of the existing material i8 authorized unless there are fairly clear indications that permission has not been obtained (e.g., where the clatmant 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 c. An arrangement for dance orchestra of the songs from "The Boy Friend" Ill. Revisions or additions. a. The substantial revision of the Bcore of existing mUBic, or the addition to an old score of a substantial amount of new music, creates a registrable new verBion. Examples: 1. The rewriting of a substantial portion of the music of ·a preViously copyrighted composition [1973]
COPYRIGHT 2-199 OFFICE Ch. 2.6 2.6.4 PRACTICES 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 exfsting music, such as any musician might readily make, and which are not substantial enough to constitute original composition, do not create a registrable new versi.on. Examples: L 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. Editi~.&. Whether editing of a musical canposition constitutes registrable "new matter" depends upon its nature and extent. Assuming it is sufficient to con stitute creative authorship, editing w11l be regarded as a "writing" registrable in Class E. V. New lyrics. (See also topic 2.6.l.III.a.) a. The addition of copyrightable new words to existing music creates a new version registrable in Class E. [1973 ]
2- 200 COPYRIGHT OFFICE PRACTICES 2.6.4 New versicns ot musical cornpo:;1 tiona. (cont8d) Vc> New lyrics. (cont1d) a. (eont 9 d) Exmnplesl 1. A new verse to "America the BeautitulOll 2. New words to be sung to the melody of Schumann f S ''Traumere1'' 3. English translations ot the words ot Russian folk songe, aCCOIIIPanied 'b7 the music} b. 111e setting of an existing poem to ex:1.stins music, if it involves some elemellt ot creative selection and combination, m4J' const1 tute a new ver8ion or adaptatJ,on, registrable 8S In\Ul1c. c. Minor changes in the words ot an ex1st.ing lyric (e. g." change of the words ltl-Iary' dear" to "Ellen dear") will not const1 tute a new versacn, VI. 9O!P1lations.· (See also topi.c 2.6.1.IV.c.) 8. A published or unpublished collection of previously published Blusical works, in which the aeaemblirlg, selection, or combination of works reprosents some degree ot original authorship, constitutes a registrable compilation. Examples. 1. A collection of compositions tor the violin by various composers 2. A graded selection ot SchumBJmls compooition to~ the piano 3. An album ot P'lano arrangements titled "Hits of the Forties" b. The mere republication together of several [1973]
COPYRIGHT OFFICE Ch. 2.6 \. PRACTICES 2-201 2.6.' 2.6.4 New versions of musical conwositions. (cont1d) VI. Compilations. (cont1d) b. (canttd) previous:b' published musical works, 1-There no appreciable degree ot original a\\thorship was involved in putting them together, does not constitute 8 registrable compilation. ExaJrples: 1. The BongS trom "Oklahoma" 2. Beethoven' 8 twelve contra dances 3. Mozart's Syftphonies Nos. 39, 40, and 41 End of Part 2.6. Pages 2-202 through 2-270 reserved for future use. [1973]
COPYRIGHT Ch. 2.8 CFFICE .. PRACTICES Chapter 2 Copyrightable Matter Part 2.8 Outline of Topics 2.8.1 IN GENERAL I. Copyrightable matter sUbject to registration in Class G a. Constituent elements b. Forms of embodiment 2.8.2 CLASSIFICATIGJ CF Wau<S CF ART I. Nature of the material a. b. Single-page works Folders and the like c. d. e. Multi-page works Contributions to "books" or "periodicals" Work of art and text combined f. Three-dimensional works g. utilitarian articles II. Purpose, function, or use material is designed for which the a. Drawings or plastic works of tific or technical character a scien b. Commercial prints or labels 2-271 ~ [1973]
Ch.2.8 - 2-272 COPYRIGHT CPPICE PRACTICES 2.8.3 REGISTRATION REQUIREMENTS I. Copyrightable subject-matter a. b. c. do Pictorial or graphic material Sculptural material New matter Utilitarian articles II. Formalities of registration a. Deposit of copy or copies
\. COPYRIGHT CFFICE PRACTICES Chapter 2 COPYRIGHTABLE MATTER Part 2.8 Ch. 2.8 WCRKS OF ART (cIXSS en 2.8.1 In general I. CoPerightable ~~ubject to registration "1n lass G a. Constituent elements 1. Pictorial or graphic material. C ass G is appropriate for the registration of pUblished and unpub lished pictorial or graphic works containing original authorship of a copyrightable nature. such as, for example, paintings, drawings, etchings, engravings, and two dimensional abstract or representa tional designs. Sculptural material. Class G is appropriate for the registration of published and unpublished three dimensional sculptural works containing original authorship of a copyrightable nature, such as, for example, statuary, carving in relief, and three-dimensional abstract or representational designs. 2-273 [1973 ]
2-274 COPYRIGHT CFFICE PRACTICES 2.8.1 !n general (cont'd) I. 9gpvrightabl! matter §ubject to registration in Class G (cont'd) Constituent elements (cont'd)- . 3. Text. Class G is not appropriate for works which are primarily textual, although the presence of captions and incidental text in a work which is primarily pictorial, graphic, or sculptural will not prevent registra tion in Class G. b. f2r~s of embodiment. Copyrightable graphic, pictorial, or sculptural material capable of supporting registra tion in Class G may be embodied in a variety of forms, inclUding both orna mental and useful articles. 1. Qrnamental articles. This category includes all decorative articles de signed primarily to beautify, em bellish, or adorn, such as, for example, drawings, paintings, carvings, statuary, wall plaques, murals, ceramic figurines, tapestries, scenic wallpaper, mosaics, stained glass, jewelry, artificial flowers, dolls, and toy animals. 2. Useful articles. This category in cludes all articles designed primar ily to serve a utilitarian function, such as, for example, lamps and lighting fixtures, ceramic tiles, china and glassware, textile fabrics, lace, and ashtrays. (See topics 2.8.2.11 and 2.8.3.I.d:r [1973 ]
2-275 C<PYRIGIIT Ch, 2.8 Q:fICE 2.8,2 PRACTICES 2.8.2 Classification of works of art _.--.. I. Nature of the material a. Single-eage works. A single-page work of art 1S one whose content appears on one or both sides of a leaf, sheet, or their equivalent, A painting on canvas, board, or the like, may be considered a single-page work for purposes of classi fication. 1. Pictorial or~raPhic material. Class G is t~ appropriate category for the registration of all individ ual pictorial or graphic works of art, in either pUblished or unpub lished form. (a) Class H. If the copyright claim is based only upon a pub lished reproduction of an existing work of art and does not extend to the underlying work reproduced, Class H is the more appropriate category for registration. (~Part 2.9.) Class I. If the pictorial or graphic material is designed for a scientific or technical use, such as a mechanical drawing, registration in Class I is more appropriate. (See Part 2.10.) However, if the-wQrk is primarily aesthetic in its appeal or in the effect it produces, as for example, a drawing depicting the exterior of a building in per spective with trees and shrubbery, registration in Class G may not be inappropriate. ..... [1973]
- -- 2-276 Ch.2.8 C<P'lRIGHT 2.8.2 CFFICE PRACTICES 2.8.2 Classification of works of art (cont'd) I. Nature of the material (cont'd) a. §ingle-page w2rks (cont'd) 1. Pictorial or graphic material (cont'd) (c) Clasi-~. If the copyright claim is based only upon a pUblished reproduction of a work which is not a work of fine art, regis tration in Class K on Form K is appropriate. (§!! Part 2.12.) b. Folders and the like. A pUblished PIctoriaror-graphic folder, leaflet, or the like, which opens out so as to form a single sheet, is considered a single page work for purposes of classification. Thus, for example: twelve color repro ductions of original paintings appearing on the twelve faces of an accordion-like folder pUblished by the museum in which the paintings are exhibited. 1. Single pictorial or graphic work of art on ~ore than one page. A pub lished single pictorial or graphic work of art whose content extends continuously across two or more pages may be considered a single page work for purposes of classifi cation, as for example: an original engraving of costumed figures in procession reproduced across the three faces or folds of a triptych like greeting card. [1973 ]
2-277 COPYRIGHT Ch, 2.8 CFFICE 2.8.2 PRACTICES 2.8.2 Classification of works of art (cont'd) I. Nature of-1h!-IDaterial (cont1d) c. Multi-Rage works. A multi-page work of art is one whose content appears on two or more pages, sheets, or their equivalent. 1. Publi§heq Iictorjal or grarhic ma terial. C ass A is genera ly appro priate for the registration of claims to copyright in pUblished multi-page collections and compilations of pictorial or graphic works of art which have been pUblished together as a unit and are identified by a common title, such as, for example: a portfolio of twenty original paint ingsselected by the artist from his own previously unpUblished work and reproduced in color with a textual introduction. NOTE: A single regis tration in Class-Grmay also be appro priate in cases where the copyright claim is based essentially upon original artwork, such as, a set of original watercolor prints pUblished in a portfolio without any apprecia ble amount of text. (a) C02xright notice insufficient for Class A. If a multi-page pictorial or graphic work of art has been published with a copy right notice which fails to satisfy the notice requirements r.rescribed by the law for 'books," registration in Class A will not be possible. Neverthe less, if such a work bears a \... [1973]
2-278 Ch, 2.8 COPYRIGHT 2.8.2 CFFIC! PRACTICES 2.8.2 Classification of works of art (cont'd) I. Nature of the material (cont'd) c. Multi::::es.ge works (cont'd) Published pictorial or graphic ma terial -(cont len (8) Copyright notice insufficient for C1ass~~ntld) notice which satisfies the requirements of the law pre scribed for material registrable in Classes F through K, regis tration may be made on that basis under the rule of doubt. The following procedures apply: (l) Appli£stion Form A re ceived. If an application has been submitted on Form A, registration in Class A will be rejected. In such a case, the Office may offer a single regis tration in Class G on Form G on the basis of the pictorial or graphic mater ial which the work contains, informing the applicant of the doubtful nature of the registration. Applica\ion Form G re ceived. If an application has been submitted on Form G, registration in Class G may be considered [1973 ]
2-279 COPYRIGHT Ch, 2.8 CFFICE 2,8,2 PRACTICES 2.8,2 Clas~ification of ~~-2!~ (cont'd) I. Nature of th!-ms!~rial (cont'd) c. Multi-page works (cont'd) PublishedjQictorial or graphic material (contid) (a) Copyright notice insufficient for Crass A CcontTdl Application Form G received (contid) on the basis of the picto rial or graphic material which the work contains, In such case, the Office will inform the applicant of the doubtful nature of the registration, No application recfiived. If no appIication as been received, or if an opinion is requested, the Office will point out to the appli cant why registration in Class A is not possible, In such a case, the Office may offer a single registra tion in Class G on Form G on the basis of the picto rial or graphic material which the work contains, in forming the applicant of the doubtful nature of the reg istration. [1973]
2-280 Ch, 2,8 2.8.2 COPYRIGHT CFFICE PRACTICES 2.8,2 Classificatign of works of art (cont1d) I, Nature of 1he material (cont1d) c. Multi-page~k& (cont1d) 1. fUblished pictorial or graphic material (cont'd) (b) s!p!rate registration of indi vidual work of art. The mere 1act that~wo or more pictorial or graphic works of art have been pUblished together in multi page form and are identified by a common title will not prevent the separate registration on Form G of individual pictorial or graphic works of art which bear a separate copyright notice. 2, Unpublished pictorial or lraphic materiar:- A collection 0 unpub lished pictorial or graphic works of art which are the subject of a single claim of copyright may be con sidered for registration together as a unit in Class G on Form G, provided the pictorial or graphic material con stitutes a single work of common authorship which can be identified as a whole by a single title. d. Contributions to "books" or "periodi cals." An-orI9!nal pictorial or graphic work of art first published in the form of a contribution to a "book," newspaper, magazine, or other "periodical," may be considered for registration in Class G, [1973 J
2-281 COPYRIGHT Ch. 2.8 CFFICE 2.8.2 PRACTICES 2.8.2 Classification of works of art (cont'd) I. Nature of the material (cont'd) 6ontributions to "books" or "periodi £als" (contra)' .. provided the contribution contains its own separate copyright notice. However, if the contribution includes a sUbstantial amount of text, or consists of many pictorial or graphic works of art, a single registration in either Class A or in Class B may be more appropriate, depending upon the form of pUblication. 1. Class A. A single registration in Class A is appropriate for a work which contains text or other "book" material and was first published in the form of a contribution to a "book," subject to the requirements explained in Part 2.2; ~ ~ topic 2.8.2.I.c.l. Example: Included as a part of a pUb lished educational kit for ele mentary school children is a set of ten reproductions of original watercolor paintings never pre viously pUblished which depict the colonial architecture of New England. Each reproduction bears a c0p'yright notice acceptable for 'book" material, together with three or four paragraphs of textual commentary on the parti cular subject depicted. Practice: [1973 J .....
2-282 Ch, 2,8 CCPYRIGHT 2,8,2 CFFlCE PRACTICES 2,8,2 Classiilcation of works of ~ (cont'd) I, Nature oi-!he material (cont'd) d, Contributions to "books" or "periodicals" lcont*d} 1, Class A (cont'd) Example (cont'd) The set of ten reproductions may be accepted for a single registration in Class A on Form A as a contribution to a "book," However, if the appli cant insists on Class G, a single registration may be made on Form G, 2, Class B, A single registration in Class B on Form BB is appropriate for a work which contains text or other "book" material and was first published in the form of a "contribution to a periodical," subject to the require ments explained in Section 2,3,4, However, even if the contribution is wholly pictorial or graphic, regis tration may be considered either on Form BB or in Class G on Form G, depending upon the applicant's choice, Example: An eight-page supplement to the Sunday edition of a newspaper is devoted entirely to an auto biographical article by a local artist, several of whose original [1973 ]
2-283 COPYRIGHT CFFICE PRACTICES Ch, 2,8 2.8,2 2.8.2 Classification of works of a~t (cont'd) I, Nature of the material (cont'd)I - d, Contributions to "books" 2! "periodi" cals H (cont'd) 2. Class ~ (cont'd) Example (cont'd) paintings are reproduced in color and published for the first time in the supplement. A c0p'yright notice acceptable for a 'con tribution to a periodical" appears on the front page of the supplement. Practice: The sup plement may be accepted for a single registration in Class B on Form BB as a'~ontribution to a periodical," However, if the applicant insists on Class G, a single registration may be made on Form G, even though the extent of protection given to the text ual material by such registration is doubtful. e. Work of art and text combined. The presence 01 captions and incidental text in a work of art will not prevent regis tration in Class G. However, if the copyrightable contents of a work which is pictorial, graphic, or sculptural in form are entirely textual, registration in Class G is not authorized. \... [1973]
- - 2-284 Ch, 2.8 CCPYRIGHT 2.8.2 CFFICE PRACTICES 2.8.2 Classification of wor~ of art (cont1d) I. Nature of the material (cont1d) e. Work of art and text combined (cont1d) 1. Published works. If the textual mate rial in a work predominates, or if the principal copyrightable element is textual, registration in Class A may be more appropriate (See Part 2.2), or, under certain circumstances, in Class B on Form aa (See topics 2.3.4.11 and 2.8.2.I.d.) 2. Unpublished works. If the textual material is substantial and it appears that copyright is being claimed in both text and the work of art, the claim should not be regis tered, until the scope of registration in Class G has been explained to the applicant. Generally, unpublished textual material (except captions and incidental text) should be separated from the copy deposited, wherever possible, and returned to the appli cant. Unpublished textual material is ordinarily not entitled to copy right registration. However, works prepared for oral delivery and dramas are exceptions. (§!! Parts 2.4 and 2.5.) f. Three-dimensional works. Class G is the appropriate category for the registration of claims to copyright in both pUblished and unpublished three-dimensional works of art containing a sUbstantial amount of original sculpture. Copyrightable sculp ture includes statuary, abstract and [1973 ]
2-285 COPYRIGHT Ch, 2,8 CFFICE 2.8.2 PRACTICES 2,8,2 Classification of works of~ (cont1d) I. Nature of the msterial (cont'd) f. Three-dimensional works (cont1d) representational carvings, bas-relief, and the like, which are commonly exe cuted in hard material such as marble, bronze, glass, or wood. Sculptural authorship may also be embodied in works which are shaped, cast, or molded, such as, for example, a ceramic figurine, a plaster of Paris plaque in bas-relief, or a "plastic" toy formed from one of the commonly known synthetic chemical deriva tives such as styrenes, vinyl compounds, or acrylic resins. Sculptural authorship may also be embodied in other materials such as, for example: a molded chocolate rabbit, a stuffed toy doll, or a floral design decorating a cake. However, a work may be three-dimensional in form and yet lack authorship of a sculptural nature. Thus, a work consisting of two-dimensional pictorial prints reproduced on separate pieces of cardboard which are interlocked at right angles with one another so as to produce an illusion of depth would not be considered sculpture in the copyright sense. (~also topic 2.8.3.1.) g. utilitarian articles. Class G is appro priate for the registration of a copy rightable work of art, even though it is embodied in an article of lltility. (~ also topic 2.8.2.II.) Regardless of utility or commercial value, any work must contain sufficient copyrightable matter to support registration. (See topic 2,8.3.I.d.) \... [1973]
2-286 Ch. 2,8 2.8,2 COPYRIGHT OFFICE PRACTICES 2.8.2 Classification o~Q!ks of art (cont'd) II. Purpose, function, or use for which the material is designed, Generally, registra tion may be made in Class G regardless of the purpose, function, or use for which a work of art is intended. Thus, for example, regis trability would not be affected by the fact that (1) a painting is to be used as decora tion on metal serving trays, or (2) a hand carved bracket is to be used as a wall shelf, (~~ topic 2.8.2.I.g,) a, Drawings or plastic works of a scientific or technical character, Class I is the appropriate category for the registration of claims to copyright in pUblished and unpublished pictorial, graphic, or sculptural material that is designed for a scientific or technical use, such as a mechanical drawing or an anatomical model, (~Part 2,10,) b, Commercial £rints or labels. If a work of art has been pUblished in connection with the sale or advertisement of an article or articles of merchandise, registration in Class K on Form KK is appropriate, For example, registration on Form KK would be appropriate for a painting reproduced and first pUblished on the cover of a candy box, or a carved lion's head intended for promotional dis play in connection with the sale or advertisement of imported beer. However, if the principal copyrightable element is sculptural, Class G may be the appropriate category for registration. (~ topic 2,13.2.II.e.l.) ..A" ~ [1973 ]
2-287 COPYRIGHT Ch, 2.8 OFFICE 2.8.3 PRACTICES Registration requirements I. Copxrightable subject-matter. To be entitled to copyright protection, a work of art must contain an appreciable amount of original pictorial, graphic, or sculptural material. If a work of art consists entirely of uncopy rightable elements, registration is not authorized. On the other hand, the mere presence of uncopyrightable elements in a work will not prevent registration on the basis of features susceptible of protection under the statute. Thus, an abstract design may be registrable even though it incorpor ates uncopyrightable standard geometric forms, such as circles and squares. The copyright ability of a work of art does not depend upon artistic merit or aesthetic evaluation. For example, a child's drawing may exhibit a very low level of draftsman ship as judged by adult standards and yet be entitled to registration as a work of art. Similarly, it is not necessary that a work of art adhere to established aesthetic criteria. Hence, the form of a copyrightable work of art may be representational or abstract, naturalistic or stylized. It may express a traditional theme in a conventional manner, or it may rely for its effect upon fantastic or incongruous imagery and unnatural juxta positions or combinations. Regardless of form, however, nothing is entitled to statu tory protection as a work of art unless it can be considered the "writing of an author" within the meaning of the Uhited States Constitution and the Statute. a. Pictorial or~phic material. Class G IS appropr!atefor the registration of [1973 ]
2-288 Ch, 2.8 COPYRIGHT 2.8.3 ~FEE PRACTICES Regis~tion requirements (cont'd) I. C2pyrightable subject-matter (cont'd) a. Picto!ial or graphic material (cont'd) original pictorial or graphic material which embodies creative authorship in its pattern, form, shape, or configura tion. Creative authorship may be expressed in the linear contours of a drawing, the brush marks or strokes characteristic of a painting, the assemblage of diverse fragments compris ing a collage, the arrangement and juxtaposition of pieces of colored stone in a mosaic portrait, or the pattern of an abstract design executed in marquetry. Visual representation is always basic, regardless of the form in which a work is presented. 1. Minimal standards. A certain minimal amount of original creative author ship is essential for registration in Class G or in any other class. Copy right ability depends upon the presence of creative expression in a work, and not upon aesthetic merit, commercial appeal, or symbolic value. Thus, reg istration cannot be based upon the simplicity of standard ornamentation such as chevron stripes, the attract iveness of a conventional fleur-de lys design, or the religious signifi cance of a Greek cross. Similarly, it is not possible to copyright com mon geometric figures or shapes such as the hexagon or the ellipse, a standard symbol such as an arrow or [1973]
2-289 COPYRIGHT Ch, 2.8 OFFICE 2.8.3 PRACTICES 2.8.3 Registration requirements (cont-d) I. Copyrightable sUbject-matter (cont-d) a. Pictorial-2r graphi~terial (cont-d) 1. M1ni~sl standards (cont-d) a five-pointed star. Likewise, mere coloration cannot support a copyright even though it may enhance the aesthetic appeal or commercial value of a work. For example, it is not possible to copyright a new version of a textile design merely because the colors of red and blue appearing in the design have been replaced by green and yellow, respectively. The same is true of a simple combination of two or three standard symbols such as a circle, a star, and a triangle, with minor linear or spatial variations. Examples: (a) An unpublished design for textile fabric is submitted for registra tion in Class G. The design con sists of a standard unembellished character of Chinese calligraphy painted upon horizontally striated grass cloth. Practice: Registration is not authorized in this case. Like typography, calligraphy is not copyrightable as such, notwithstanding the effect achieved by calligraphic brush strokes across a striated surface. [1973 ]
2-290 Ch, 2.8 2.8.3 COPYRIGlff OFFICE PRACTICES 2.8.3 Reg!str!!!2n-Iegui~ments (cont1d) I. Copyrigh1s21!-subject-matter (cont1d) a. Pictorial or graph!£_~rial (cont'd) 1. Mini~al standards (cont1d) Examples (cont1d) (b) An applicant for registration has developed a novelty item consisting of transparently clear plastic sheets bonded together around their periphery, and hav ing a small amount of colored liquid petroleum in the air space between the laminated sheets. Any slight pressure up on the external surface results in the formation of undulating patterns and shapes, no two of which are ever identical. Prac tice: Since the specific out lines and contours of the patterns and shapes formed by the liquid petroleum do not owe their origin to a human agent, it is not possible to claim copy right in such patterns and shapes. The novelty of the idea embodied in the work and the effects achieved by the action of the petroleum under pressure like wise do not warrant registration. .. :l ~ Sculptural m~rial. Class G is appro priate for the registration of original sculpture which embodies creative author ship expressed in three-dimensional form [1973 ]
2-291 COPYRIGHT Ch, 2.8 <FfICE 2.8.3 PRACTICES 2.8.3 Registration requirements (cont'd) I. CoPxrightable sUbject=matter (cont'd) b. Sculptur!!-m!!!Iial (cont'd) by means of carving, casting, cutting, molding, shaping, or otherwise processing plastic or hard materials. Creative sculptural authorship may be expressed in the form, or the peripheral outline of whatever has been given a three dimensional form or shape. 1. Minimal standards. The requisite minimal amount of original sculptural authorship necessary for registration in Class G does not depend upon the aesthetic merit, commercial appeal, or symbolic value of a work. Copy rightability is based upon the creative expression of the author. that is, the manner or way in which he forms or fashions his material. Thus, registration cannot be based upon standard designs which lack originality, such as common architec tural moldings, or the volute used to decorate the capitals of Ionic and Corinthian columns. Similarly, it is not possible to copyright common geometric figures or shapes in three dimensional form, such as the cone, cube, or sphere. The mere fact that a work of sculpture embodies uncopy rightable elements, such as standard forms of ornamentation or embellish ment, will not prevent registration. However, the creative expression capable of supporting copyright must \. [1973]
2-292 CCPYRIGHT <FFICE PRACTICES 2.8.3 Registration requirements (cont'd) I. Copyrightable subject-matt!! (cont'd) b. Sculptural ~ateriE! (cont'd) 1. Minimal ~~andards (cont'd) consist of something more than the mere bringing together of two or three standard forms or shapes with minor linear or spatial variations. In no event can registration rest solely upon the fact that an idea, method, plan, or system has been successfully communicated in three dimensional form. In every case, it is the creative expression of the author which must be able to stand alone as an independent work apart from the general idea which informs it. Examples: Ca) Registration in Class G is re quested for a design or model of a table lamp. Cast in plaster of Paris, the design features the head of a horse mounted on an iron horseshoe with toe and heel calks which supports the entire fixture. Electrical wiring is conce~ed within the plaster casting. Practice: If the head of the horse is origina~ registration may be considered on that basis. However, the general idea of embellishing a lighting fixture with a work of art is [1973 ]
2-293 COPYRIGHT Ch, 2.8 CFFICE 2.8.3 PRACTICES 2.8.3 Registration requirements (cont'd) I. Copyrightable subject-matter (cont'd) b. Sculptural material (cont'd) 10 ;,;;Mi=";,:,n1.="m:.::.;a_l= __s~t_a:;.:n;,;sL;,;,a!'.S!.2. (cont I d) Examples (cont'd) Ca) (cont'd) not copyrightable. The same is true of the decorative idea of using a horseshoe as support for a lamp base, regardless of the pleasing effect thereby achieved. (b) A toy manufacturer conceives a novel idea for a toy consisting of multi-colored geometrical spheres, cubes, and cylinders of varying sizes. All of these parts or pieces are magnetized, and will adhere to each other when placed in close proximity. Thus, it is possible to con struct an indefinite variety of shapes and figures by means of the magnetized parts or pieces. The manufacturer desires to pro tect the three-dimensional aspects of the toy before publi cation occurs. He applies to the Copyright Office for regis tration of a design for an un published sculptural work of art. His application Form G is accom panied by one complete set of magnetized spheres, CUbes, and
2-294 Ch, 2,8 COPYRIGHT 2.8,3 CFFICE PRACTICES 2.8.3 Registration requirements (cont'd) I. Copyrightable subject-matter (cont1d) b. Sculptural material (cont1d) 1. M;nimal standards (cont1d) Examples (cont'd) (b) (Cont Id) cylinders arranged in a plain box according to size and color, Practice: We will refuse a reg istration in Class G based solely upon the unassernbled toy, even though its component parts or pieces are potentially capable of being arranged in copyright able shapes and forms. The general idea of the toy is, of course, uncopyrightable, regard less of its novelty or uniqueness. (c) A work described as a "mobile" consists of nine pieces of trans lucent colored glass each of which is suspended by wire from an overhead rack designed to rotate about a pivot in a hori zontal plane, The suspension wires vary in length and no two pieces of glass share the same shape or outline, Registration is sought in Class G on the basis of the overall effect pro duced by the play of light upon the suspended glass components of a work which the applicant [1973 ]
2-295 C(FYRIGHT CFFICE PRACTICES Ch. 2.8 2.8.3 2.8.3 Re9i~tration requirements (cont'd) I. Copxrightabl! sUbject-matt~ (cont'd) b. Sculptural material (cont'd) 1. Minimal standards (cont'd) Examples (cont'd) (c) (cont'd) describes as·lthree-dimensional." No copyrightable authorship is claimed in the design of the individual pieces of glass. Practice: Registration based up on the cumUlative effect produced by the component members of the mobile will be refused. If these members had contained copy rightable authorship, registra tion could have been considered on the basis of the two dimensional design features dis played by the pieces of glass. c. New matter. If a work of art which has been previously pUblished or previously registered in unpublished form contains new pictorial, graphic, or sculptural material, registration based upon such material may be made in Class G, provided the "new matter" is original and copy rightable in itself. Examples: (1) A pencil drawing of an has been registered as old manls head an unpublished \.. [1973J
2-296 Ch, 2.8 2.8.3 CCPYRIGHT CFFICE PRACTICES 2.8.3 Regis!Isii~D-reguirem!n1!(cont'd) I. Copyrightable subject-matter (cont'd) c. New matter (cont'd) Examples (cont'd) (1) (Cont' d) drawing. Another version of the same work is sUbsequently submitted for registration. The later version incorporates the earlier drawing with the addition of new pictorial matter showing the arms and torso. Practice: The later version is entitled to reg istration on the basis of additional pictorial matter. (2) A statuette depicting a costumed female dancer was originally pUb lished in clear white porcelain. Later, a color version was produced with much hand-painted detail such as the facial features and decorative embroidery designs appearing on the figure's clothing. Practice: The painting embodied in the color ver sion would support an additional registration. However, a mere change in coloration apart from any original artwork would not support registration, such as, a change in the color com bination of the dancer's skirt from blue and gold to red and yellow. . ~ [1973]
2-297 \.., COPYRIGHT OFFICE PRACTICES Ch, 2.8 2.8.3 2.8.3 Registration reguirement 2 (cont'd) I. Copyrightable subject-matter (cont'd) d. utilitarian articles. The copyrightabil ity of a work of art is not affected by the fact that the work may also embody utilitarian features, or that it may it self be embodied in an article of utility. In all cases, registration must be based upon those copyrightable features such as artistic sculpture, carving, or pic torial representation which can be identified separately and are capable of existing independently as a work of art, as for example: (1) a statuette used as a base for a table lamp, (2) an original painting reproduced on a porcelain dinner plate, (3) a sculptured figure used as a handle for a letter opener. (4) an artistic design reproduced on textile fabric, or (5) a stained glass window. Attractiveness of desiin. The mere fact that an article 0 utility is novel, unique, and attractively designed does not warrant its regis tration as a "work of art." Thus, where design is dictated by utilitar ian requirements rather than aesthetic considerations, it cannot provide a sufficient basis for registration. Examples of useful ,articles whose design is generally dictated by function rather than aesthetic con siderations include the following: (1) automotive bodies and parts, (2) marine hulls, (3) stoves, toasters, vacuum cleaners and other [1973 ]
2-298 Ch. 2.8 CCPYRIGHT 2.8.3 CFFICE PRACTICES 2.8.3 Reg~!~ion Leguirementp (cont'd) I. Copyrigh!able sUbjec~.,,:matter (cont'd) d. utilitarian articles (cont'd) 1. Attractiveness of design (cont'd) household appliances, (4) bottles and food containers, (5) kitchen utensils, (6) articles of clothing, (7) machinery, and (8) tools and implements. Availability of protection under design RStent law. A useful article may be acceptea~or registration as a work of art, even though it may also be entitled to protection under the design patent law. (See Title 35, United States Code.) However, a copyright claim in the drawings or other pictorial material submitted in connection with a patent applica tion is not entitled to registration after the patent has been issued. (See sections 202.10(b) and 202.10Cc) of the Regulations of the Copyright Office.) II. Formalities of registration a. Deposi1-2!-£2PY or copies 1. Published textiles and lace. The requirement that both copIes com prising a deposit must be identical may present special problems in cases where the coprrighted work consists of a repet tive design [1973 ]
2-299 COPYRIGHT Ch t 2,8 CFFICE 2,8.3 PRACTICES Registration requirements (cont'd) II. f2lID!!!tiea-0f registration (cont'd) at Deposit of-£2eY or copies 1, Published textiles and lace (cont'd) reproduced on a continuous roll or sheet, as for example, a bolt of cloth or a "\"Ieb" of lace • Generally, the copies submitted for deposit should represent the form in which pUblication first occurred. In the case of goods sold by the yard or fractions thereof, the copies need not exceed one yard in length. How ever, if the notice of copyright appears at regular intervals along the selvage, margin, or edge of the material, it is always desirable that each copy be of sufficient length to show two such notices in order to establish the frequency and regularity of their position on the work. END CF PART 2.8 PAGES 2-300 THROUGH 2-420 RESERVED FCR FUfURE USE [1973J
COPYRIGHT Ch. 2.11 <FFICE PRACTICES Chapter 2 Copyrightable MatteI Part 2.11 PHOTOORAPHS \cLASS Jr Outline of Topics 2.11.1 IN GENERAL I. Statutory provisions a. United States Code b. The Regulations of the Copyright Office II. Copyrightable matter subject to registra tion in Class J a. Constituent elements b. Forms of embodiment 2.11.2 CLASSIFICATICN CF PHQIOORAPHS I. Origin of the material a. Domestic works b. Foreign works II. Nature of the material a. Single photographs b. Multiple photographs c. Photographs and text combined d. Contributions to "books" and "periodicals" 2-421
-- 2-422 Ch. 2.11 COPYRIGHT CFFIeE PRACTICES 2.11.3 REGISTRATICN REQUIREM£m:§ I. Copyrightable subject-matter a. Photographic composition b. The subject of the photograph c. Old photographs d. Mechanical reproduction e. New matter II. Publication with notice a. Publication b. Notice of copyright c. Exception to the general rule d. unpublished photographic material III. Formalities of registration a. Application form prescribed b. Deposit of copy or copies c. Fee prescribed d. Time limitation IV. Manufacturing requirement [1973 ]
COPYRIGHT OfFICE Ch, f.ll2.1 .1 \.. PRACTICES Chapter 2 COPYRIGHTABLE MATTER Part 2.11 PHOTOORAPHS (CLASS J) 2.11.1 In general I. Statutory RIovisioD§ a. United States Code. The copyright law provides for the registration of claims to copyright in "Photographs." (Title 17, U,S.C. sec. 5(j)(1964)J. b. The Re1ulations of the Copyright Office. "this c ass [.j) includes pUblished or unpublished photographic prints and filmstrips, slide films and individual slides. Photoengravings and other photomechanical reproductions of photo graphs are registered in Class K on Form K.n (37 C.F.R. sec. 202.13(1967»). II. Copyrightable matter subject to registration in Class J a, Constituent elements Photographic mal!rial •. Class.J is appropriate for tne-reg~strat~on of published and unpublished still photographs involving original author ship in their composition. For a more detailed discussion of the nature of the authorship capable of supporting registration in Class J. see topic 2.11.3.1. 2-423 [1973J
2-424 Ch, 2.11 COPYRIGHT -2.11.1 CFFICE PRACTICES 2.11.1 In general (cont'd) II. COPeri9htable matter subject to registration in lEas J (cont'd) a. Constituent elements (cont'd) 1. Photograph~material (cont'd) (a) Printed reptQguctions. A pub lished reproduction of a photograph produced by lithog raphy, photoengraving, roto gravure, collotypy, mezzotinto, or other similar process of reproduction, is ordinarily not classified as a "photograph," but may be considered for registration in Class K, either on Form K as a "print or picto rial illusti'ation" (See topic 2.12.1.II.a.l), or on-Porm KK as a "commercial print or label" (See topic 2,13,1.I1.a.l). Under certain circumstances, registration in Class B on Form BB as a "contribution to a Qeriodical" may be appropriate. (2!! Section 2.3.4.) ~ion pict~~. Motion pic tures are not registrable in Class J. Classes Land Mare appropriate for photographic motion-picture films which are mounted on reels and intended for projection or exhibition. (See Part 2.14.) - [1973 ]
2·-425 COPYRIGHT Ch, 2.11 OFFICE 2. II'2PRACTICES 2.11.1 In general (cont'd) II. Copyrightable matter subject to registration in Class J (contTd) a. ~i!!Y~glements (cont'd) 2. ~~nd c~mpilations. Class J is generally not appropriate for works which are primarily textual, al though the presence of captions and incidental text in a work which is primarily photographic will not pre vent registration in Class J. Com pilations of photographs may be considered for registration in Class J, but Class A may be prefer able in cases where the copyright claim in a pUblished collection of photographs is limited to the compi lation. (~topic 2.ll.2.II.b.l.) b. Forms of-embodiment. Copyrightable photographic material cabable of sup porting registration in Class J may be embodied in photographic prints and filmstrips, slide films, and individual slides. 2.11.2 Classiii~Qn of photographs I. Origin of the mate~ a. Qgmesti£....!tork§... I. Definition. For purposes of regis tration, a photograph is considered of domestic origin, if: [1973 )
2-426 COPYRIGHT CFFICE PRACTICES 2.11.2 Classification of photographs (cont'd) I. Origin of the materia~ (cont'd) a. Domesti£-worK§ (cont'd) 1. Q!f!nition (cont'd) (a) The author was a citizen of, or domiciled in, the United States at the time of first publication, or, (b) The work was first published in the United States, or (c) The work is in unpublished form. 2. Registration designator. Claims to copyright in domestic photographs are assigned registration numbers preceded either by the letters Ju (unpublished works) or the letters Jp (published works). b. Foreign works 1. Definiti0u£ For purposes of regis tration, a pUblished photograph is considered of foreign origin, if: (a) The author was neither a citi zen of, nor domiciled in, the United States at the time of first pUblication, and (b) The work was first pUblished outside the United States. [19'(3]
2-427 COPYRIGHT Ch, 2,11 CPFICE 2.11.2 PRACTICES Classification of photographs (cont'd) I. Origin of the material (cont'd) b. Foreign works (cont'd) 1. Definition (cont'd) (b) (cont'd) NorE: A photograph which is en titled to registration in unpub lished form is always considered of domestic origin for purposes of registration, even if the work was produced by an author who is neither a citizen of, nor domiciled in. the United States. (See topic 2.ll.2.I.a.l(c).)-- 2. Registration ~esi9nator. Claims to copyright inore1gn pnotographs are assigned registration numbers pre ceded either by the letters Jf or Jfo. The terminal letters "f" and "fo" signify registration under Qption A and Option B, respectively. (See topics 2.11.3.III.b.3 and 2:I!.3.III.c.2) II. Nature of the mater!!! Single photographs. Class J is the appropriate category for the registra tion of all individual photographic prints and film slides, in either pun lished or unpublished form, ~iple photqg~aphs. Class J is the appropriate category for the registra tion of collections of two or more [1973]
2-428 Ch, 2.11 COPYRIGHT 2.11.2 CFFICE PRACTICES 2.11.2 Classification of photographs (cont'd) II. lis,.:.t.:;;ur::.;e::....o~f:..-:t~ho=e....m:.::.a=.;t;.;e:.:r~i::-=ao:::;l (c ont I d ) b. Multipl!-EhotograBhs (cont1d) photographs including filmstrips, slide films, and the like, in either published or unpublished form. 1. Published works. A collection of photographs in book form may also be considered for registration in Class A on Form A, provided the work has been published with a notice of copyright in the form and position prescribed by the law for a "book or other printed pub Hc at Lon ;" (See Part 2t 2 topic 4.2.1.1 and Section 4.3.1.J In such case, if neither Form A nor Form J is received, but an opinion is requested, the Office will suggest registration in Class A. even though registration in Class J would not necessarily be considered doubtful. 2. Unpubl~shed works. A collection of unpublished photographs which are the subject of a single claim of copyright may be considered for reg istration together as a unit in Class J on Form J, provided the photographs constitute a single work of common authorship which can be identified as a whole by a single title. Co Photographs and text combined. The presence of captions and incidental text in a photographic work will not [1973]
2-429
COPYRIGHT
OFFICE Ch, 2.11
2.11.2
PRACTICES
2.11.2 ClasSfication of ehotographs (cont'd)
II. Nature of the-msterial (cont'd)
c. Phot09r!2hs and text combined (cont'd)
prevent registration in Class J. However,
if the copyrightable contents of a work
which is photographic in form are entirely
textual. registration in Class J is not
authorized. regardless of the fact that
the text is reproduced by a photomechan
ical process or that the work appears on
microfilm, photographic transparencies,
or the like.
1. Published works. If the textual
materiaI-rs-SU6stantial. registration
in Class A would be appropriate. pro
vided the requirements of the law
relating to the notice of copyright
on a "book" have been satisfied.
{See Part 2.2, topic 4.2.1.1 and
Section 4.3 01 0 }
2. UnpublisRed works. If the textual
material is sUbstantial and it appears
that copyright is being claimed in
both text and photography, the claim
should not be registered until the
scope of registration in Class J has
been pointed out to the applicant.
Generally. unpublished textual mater
ial {except captions and incidental
text} should be separated from the
copy deposited, wherever possible.
and returned to the applicant. Un
published textual material is ordin
arily not entitled to copyright
[1973]
2-430 CCPYRIGHT OFFICE PRACTICES 2.11.2 Classification of photographs (contld) II. Nature of the material (cont'd) c. Photographs and text combined (cont'd) 2. Unpublished work! (contld) registration. Works prepared for oral delivery and dramas are excep tions, however. (See Parts 2.4 and 2.5.) -- d. Contributions to "books" or flperiod-i cals." Class J is ordinarily not appro priate for photographic material first pUblished in the form of a contribution to a "book, II newspaper, magazint\ or other "periodical," because such contributions are generally photographic reproductions printed by means of lithography, photo engraving, rotogravure, collotypy, mezzotinto, or other similar process. (See topic 2.l1.l.II.a.l(a).) However, in-the unusual case where the contribu tion consists of a photograph itself rather than a printed reproduction, registration may be considered in Class J, provided the contribution con tains its own separate copyright notice. 1. Class A. If the contribution to a iibo~includes a sUbstantial amount of text, or consists of many photo graphs, a single registration in Class A is appropriate, subject to the requirements explained in Part 2.2. (See also topic 2.11.2.II.b.r:T --- [1973]
-- 2-431 COPYRIGHT Ch, 2.11 OFFICE 2.11.2 PRACTICES 2.11.2 Classification of photographs (cont'd) II. ~~of the ma~erial (cont'd) d. Contributions to "books" or "periodi cals TCont'd) - I. Class A (cont'd) Example: A pictorial filmstrip of eighty frames, thirty of which embody original text, has been pub lished with its own separate notice as a part of an audio visual kit. Practice: Request application on Form A, pointing out the possible limitations of registration in Class J. If the applicant nevertheless insists on Class J, register the claim on Form J. 2. Class B. A "contribution to a periodical" may be an article, story, pictorial illustration, or other work first published in a periodical; a "periodical" is a magazine, news paper, or similar work published at regular intervals of less than a year under the same general title. If such a contribution includes a substantial amount of text, or con sists of many photographs, a single registration in Class B on Form BB is appropriate, subject to the requirements explained in Section 2.3.4. [1973 ]
2-432 CCPYRIGHT <FFICE PRACTICES 2.11.2 ~assificatioq .~f photographs (cont'd) II. Nature of th!-material (cont'd) d. Contributions to "books" or "periogi cals TC"Ontid) - 2. Class B (cont'd) Example: A set of six photographic film slides illustrating undersea life has been published with a separate notice on each slide as part of the May 1970 issue of a monthly scientific journal on marine biology. Practice: Register the claim either on Form BS or Form J. However, if the contribution had included a substantial amount of text, we should request application on Form BS, pointing out the possible limitations of regis tration in Class J. If the applicant nevertheless insists on Class J, register the claim on Form J. 2.11.3 Registrs!ion reguirem~n~~ I. gopyrightable subjec!=matter. To be en titled to copyright protection as a "photo graph," a work must contain an appreciable amount of original photographic authorship. Registration in Class J is not authorized if creative authorship of a copyrightable nature is lacking, as, for example, in a case where the photograph results solely
2-433 COPYRIGHT CFFICE PRACTICES Ch, 2.11 2.11.3 2.11.3 Registration reguireme~ (cont'd) I. gQEyrightable ~ubje£i=m~£ (cont'd) from the operation of mechanical or photo mechancial processes. (See topic 2.ll.3.I.do) NOTE: The copyrightabi1ity of a photograph depends upon the variety and extent of elements involved in its composition and not upon the nature of the thing depicted or the subject photographed. a. photographtc compo~gn. Original photograph1c compos1t1on capable of sup porting registration in Class J may involve a variety of elements, such as, time and light exposure, camera angle, arrangement or disposition of persons, scenery, or other subjects depicted in the photograph. The copyright ability of photographic composition does not depend upon artistic merit or aesthetic evaluation. Minimal st~~. Although the copy rightability of photographic material is not determined by qualitative or aesthetic standards, a certain mini mal amount of original creative authorship is essential for regis tration in Class J or in any other class. The mechanical, photomechan ical, or other processes involved in the production of a photograph, are not themselves capable of supporting registration in Class J. b. The subject of th!-Qhotograph. Regis tratlon of claims to copyright in pub lished or unpublished photographs does [1973 ]
2-434 Ch, 2.11 COPYRIGHT 2.11.3 ~FEE PRACTICES 2.11.3 Regis~i2n requirements (cont'd) I. Copyrightable sUbject-matter (cont'd) b. The subject of the photogra~~ (cont'd) not depend upon the nature of the subject photographed, nor does such registration extend to the subject depicted, regard less of their nature. 1. Kinds o!-§ubjects. In general, any thing capable of being reduced to visual perception by photographic means could become the subject of a copyrightable photograph. Examples of commonly photographed subjects include, but are not necessarily limited to, the following categories: (a) An uncopyrightable subject, such as a typewriter, diesel engine, or sailing vessel. (§!! also topic 2.11.3.I.b.4.) (b) A copyrightable subject, such as an oil painting or a statue. (See also topics 2.11.3.I.b.2 ana-2:tI:3.I.b.4.) (c) A living subject, such as a human person, an animal, or flowers. (d) A natural subject, such as a seascape, a sunset, or a cluster of shade trees. (e) An artificial subject, such as the steel framework of an office building, or a violin. [1973]
2-435 COPYRIGHT Ch, foll CFFICE 2.1 .3 PRACTICES 2.11.3 RegistrAtign reguiremen1! (cont'd) I. Copyrightable subject-matter (cont'd) b. The sUbj!£t of lh! photograph (cont'd) Textual matter. A photographic re production-or-textual matter is generally not registrable as a "photo graph." However, the mere fact that the principal subject of a "photo graph" is textual will not prevent registration in Class J, provided there is sufficient original photo graphic authorship. For example, a copyrightable photograph could depict a book of poems opened in the candle light showing the text of Samuel Taylor Coleridge's poem "Kubla Khan," 3. Dup~i£ation of sUbJ~. The same subject may be dep1cted in two or more copyrightable photographs. For example, the dome of the Capitol building in Washington could be the subject of many copyrightable photographs. 4. The subiect as basis of claim. A claim to copyright in Class ~based upon the premise that the copyright will protect the subject depicted in a photograph will ordinarily be re jected. However, there are certain exceptions: (a) Published works. If the photo graph itself is copyrightable as such, and has been pUblished with the required statutory
2-436 COPYRIGHT ~FEE PRACTICES 2.11.3 Regi!!ration reg~~!IDents (cont'd) I. Copvr!9htable sUbject-m~lt~ (cont'd) b. The sup,ject 21 th!-photograph (cont'd) 4. Ihe subject as basis of claim (cont'd) (a) Published works (cont'd) notice, registration may be made on that basis, but the Office will call the applicant's atten tion to the scope of registra tion in Class J. Example: A copyrightable photograph, pUblished with notice, depicts a bronze statue which the author of the photograph wishes to protect by regis tration in Class J. Practice: Write to the appli cant, advising him of the scope of registration of the "photograph," and pointing out the registration re~uire ments for a sculptural 'work of art" in Class G. (See Part 2.8.) However, i~he applicant desires registra tion in Class J, knowing that the claim is limited to the photograph, registration may accordingly then be made on Form J. [1973]
2-437 COPYRIGHT Ch. 2.11 OFFICE 2.11.3 PRACTICES 2.11.3 Registration regul;ements (cont'd) I. Copyrightable sUbject-ma~ (cont'd) b. The subject of the photograph (cont'd) 4. The subject as basis of claim (cont'd) (b}. Unpublished w2!~' If the photo graph itself is copyrightable as such. registration may be made on that basis. However, if there is reason to believe that the appli cant desires copyright protection for the subject depicted in the photograph, registration should not be made until the scope of protection afforded by registra tion in Class J has been pointed out to the applicant. Example: An unpublished photograph de picts an electronic recording device which has been the sub ject of an unsuccessful appli cation for design patent. Practice: Write to the appli cant, pointing out that regis tration in Class J will not protect the recording device as such. Registration may be made thereafter, if the appli cant so desires. (c~ Old photographs. The mere fact that a photograph is old or depicts a subject no longer in existence will not prevent registration. However, if the author of an old photQgraph is deceased or unknown, the Office may request an explana tion of the basis of the copyright before registering the claim. [1973 ]
2-438 Ch, 2.11 2.11.3 COPYRIGHT ~F~E PRACTICES 2.11.3 Registration requirements (cont'd) I. Copyr!9~~able ~ubject-mat~ (cont'd) b. The subject of the photograph (cont'd) 4. The subject as basis of claim (cont'd) (c~ Old photographs (cont'd) 1. Authorsh~p. Copyright depends upon aut orship. Unless a person is the author of a photo graph, or holds rights which derive from the author, he is not entitled to claim copyright in ito A sharp distinction must be drawn between title to, or possession of, the physical copy of a photograph, and the copyright in the work. (d). Mechanical reproduction. Although the production of a photograph necessarily involves a mechanical process, a photograph produced solely by the operation of a mechan ical process lacks the requisite element of creative composition and, consequently, is not subject to registration in Class J. The photo graphic reproduction of pictorial, graphic, or textual material for the purpose of providing regular copies of suoh material, rather than for the sake of producing "photographs" as such, indicates that registration in Class J is not authorized, as for example, in the case of a photostatic reproduction of a real property deed. ~ (e). New matter, New photographic material appear1ng 1n revised versions of photo graphs may support registration in Class J, provided the new matter is original and copyrightable in itself. [1973]
2-439 COPYRIGHT Ch, 2.11 OFFICE 2.11.3 PRACTICES 2.11.3 Registration requirements (cont'd) I. Copyrightable subject-matter (cont'd) b. The subject oi-the photoqraph (cont'd) 4. The subject of the cla!m (cont'd) (e). New matter (cont'd) Example: A filmstrip consisting of twenty-four frames, seven of which appeared in an earlier pUblished version. II. Publication with notice. Publication is not a prerequisite for registration in Class J. Thus, a photograph may be considered for registration in either pUblished or unpub lished form o a. Publication. A photograph is generally not considered pUblished in the copy right sense until copies have actually been placed on sale, sold, or pUblicly distributed.. However, the unrestricted pUblic exhibition of a photograph may also constitute a pUblication in the copyright sense. (See Section 3.1.1 and topic 3.1.3.11; see also Part 4.1 0 ) Notice of c2gyright. The pUblished copies of a photograph" must contain a copyright notice in the form and position prescribed by lawo 1. Form. The law requires that the copy right notice include the word "Copy right, It the abbreviation "Copr.," or th~ symbol ©, accompanied by either: (1) the name of the copyright owner, or (2) the initials, monogram, mark, or symbol of the copyright owner, [1973]
2-440 Ch, j.ll CCPYRIGHT 2.1 .3 OFFICE PRACTICES 2.11.3 Registration reguirement~ (cont'd) II. Publication with not!£! (cont'd) b. Notice-2f copyrigh! (cont'd) 1. ~ (cont'd) provided his name appears on some accessible part of the work. (~ ~ topic 4.2.1.11.) 2. Position. A notice on any acces sible part of a single-page work is acceptable for purposes of regis~ra tion in Class 3. A notice 'located on the margin or permanent mounting of a work (such as a base, pedestal, selvage, or frame) is also accept able, provided the notice is visible and not concealed. (See also Section 4.3.6.) --- --- 3. Year date. The year date of pUbli cation may be included in the notice on a "photograp~' but, ordinarily, it is not required. However, for the U.C.C. requirements in this re gard, see topic 2.11.3.11.b.4 and Section 4.2.4. V.C.C. notice. The notice prescribed in the Universal Copyright Convention consists of the symbol ©, accompanied by the name of the copyright owner and the year date when copyright was first secured, either by pUblication, or, in the case of an unpublished work, by registration in the Copy right Office. (~~ topic 4.2.4,111.) The notice must be [1973 ]
2-441
CCPYRIGHT
OFFICE
PRACTICES
2.11.3 Registrai!Qn reguirem!ni2 (cont'd)
II. Publication with notice (cont'd)
b. Notice of c2Eyright (cont'd)
4. U..tf.!.£L.!l2~ (cont I d)
located on the work in such manner
and position as to give reasonable
notice of the copyright claim.
\.,,
(a) Defective U.C.C. notice accept
sEle under 1
U.s. law. If the
registrabi ity of a work depends
upon the availability of the
U.C.C. exemptions granted under
the c02yright law L17 U.S.C.
sec. 9{c)], the copies as first
published should bear the above
mentioned U.C.C. notice. How
ever, in such a case, where the
notice satisfies the require
ments of Section 19 of the
statute, but not the U.C.C.
requirements of Section 9(c),
registration will be made under
the rule of doubt, and a cau
tionary letter will be sent.
(~ ~ Part 8.2.)
c. Exce¥tion to the-seneral rule. A
"pho ograph" by a fore~9n aUthor which
was first pUblished outside the United
States before June 18, 1959 may be con
sidered for registration, even if the
copyright notice was omitted or defec
tive. However, a cautionary letter will
be sent in every such case. (See topic
4.1.3.II.bj see also topics 8.2:l.I.a
and 8.2.1.III:a.r--
[1973 ]
2-442 COP'lRIGHT CFFICE PRACTICES Registration requirements (cont'd) II. Publication with notice (cont'd) d. Unpublished photographic material. As long as a "photograph" remains In unpub lished form, no copyright notice is required in order to secure statutory, protection. NQIg: If a "photograph' is first registered in unpublished form and later pUblished with notice of copy right, a second registration should be made. (See Chapter 10; see also topic 5.3.4.III:l ---- --- III. Formal!1!!!-of registration. Generally, registrationora claim to copyright in a "photograph" cannot be made until the Copyright Office has received a completed application form, together with the re quired copy or copies, and the prescribed registration fee. Under certain circum stances, a catalog card may be substituted in lieu of the registration fee for pUb lished works of foreign origin. (See topic 2.11.3.III.c.2.' -- a. ~ication form prescribed. Applica t10n for registration of a claim to copyright in a "photograph" should be submitted on Form J, which is appropriate for pUblished or unpublished works of both domestic and foreign origin. (Regarding the distinction between works of domestic and foreign origin, see topic 2.11.2.1.) [1973 ]
2-443 CCPYRIGHT CFFICE PRACTICES 2.11.3 Registration reguiremen1! (cont'd) III. Formalities 2!-registration (cont'd) b. ~eposit of copy or copies 1. Unpublisheg works. Registration of an unpublIshed "photograph" of either domestic or foreign origin requires the deposit of one complete copy of the work. (§!! topic 5.2.l.II.c.) 2. Publish!d domestic works. Registra tion of a published "photograph" not of foreign origin requires the deposit of two complete copies of the "best edition" of the work as first pUblished. (~topic 5.2.2.I.a.) 3. ~ished_forei9n works. Registra tion of a pUblished "photograph" of foreign origin may be made on the basis of the deposit of either one or two copies. (§!! topic 5.2.2.I.b.) (a) ~tiGn A. One complete copy of t e "best edition" of the photographic work as first pUb lished (together with the required registration fee) will suffice for purposes of deposit under Option A. In all other respects, the deposit require ments are the same as those specified for pUblished domes tic works in topic 2.1l.3.III.b.2. [1973]
2-444 COPYRIGHT OFFICE PRACTICES 2.11.3 Registration reguiremen1§ (cont'd) III. Formaliti!s of-!!9istration (cont'd) b. Q!posit of COPy or cop~(cont'd) 3. Published foreign works (cont'd) (b) Option B. Two complete copies of the "best edition" of the photographic work as first pub lished (together with the required catalog card) will suffice for purposes of deposit under ORtion B, provided the copies (together with the re quired application and catalog card) are received in the Copyright Office within six months of the date of first pUblication outside the United States. Option B is not avail able if either the author, co author, or copyright proprietor of the work is a U.S. citizen, domiciliary, or resident on the date the application is filed. In all other respects the deposit requirements are the same as those specified for pUblished domestic works in topic 2.ll.3.III.b.2. 4. Best edition. In the case of a pUb lished "photograph," the copy or copies submitted for deposit should represent the form in which the work was first made available to the pUb lic without restriction. Where two or more editions or issues of dif ferent quality are pUblished [1973 ]
2-445 CCPYRIGHT Ch, 2.11 CFFICE 2.11.3 PRACTICES 2.11.3 Registration requirements (cont'd) III. Formalities £! registration (cont'd) b. Deposit-2i COPY or copies (cont'd) 4. Best edi1iQn (cont'd) simultaneously, deposit of a copy or copies of the "best edition" will be reauired. Thus, if a "photo graph' is pUblished in both black and white and color versions, the color version would ordinarily be considered the "best edition. h If two copies are required for deposit, both copies should be duplicates. For further explanation of the re qUirements relating to "best edition," see Part 5.3, c. Fee prescribed 1. Generally, The fee for each regis tration is six dollars ($6.00). 2. Waiver-of=fee option. Published fiphotograph~r of foreign origin may be entitled to registration without payment of the customary fee, pro vided all of the following elements are received in the Copyright Office within six months after the date of first pUblication outside the United States: (1) a completed application Form J, (2) two copies of the work as first pUblished, and (3) a com pleted catalog card. (See also topic 2.11.3.III,b,3(b)~N~ Payment of the registration-1ee is always required if: [1973]
I 2-446 Ch, 2.11 COPYRIGHT 2.11.3 OFFICE PRACTICES 2.11.3 Regis~!i!on requirements (cont'd) III. Formalities of registration (cont'd) c. ~prescribed (cont'd) 2. Waiver-of-fee option (cont'd) (a) The "photograph" is in unpub lished form, or (b) The author was a U.S. citizen or domiciliary on the date of first pUblication, or if the author of the work, a co-author, or the proprietor of the copy right in the work is a U.S. citizen, domiciliary, or resi dent on the date the applica tion is filed • d. .:,T=:im:.:.;;e::.-::l;,;:i::.:;m.i tat!2n 1. There is no un ob1ublished igat(on to works. register a claim to copyright in an unpublished work. As long as a "photograph" remains in unpublished form, it is subject to protection under the common law against unauthorized use before pub lication without any action being required in the Copyright Office. However, if a work registered in unpublished form is later published with notice of copyright, a second registration should be made "promptly" thereafter. (See topic 2.11.3.1II.d.2.)
2-447 COPYRIGHT Ch, f,ll OFFICE 2,1 .3 PRACTICES 2,11.3 Registration requirements (cont'd) III, Formal11ies of registra1!Qn (cont'd) d, Time limitation (cont'd) 2. Published wor~o Application for registration should be made "promptly" after pUblication with notice, but in no event after the expiration of the original twenty eight year term of statutory pro tection. The special six-month limitation prescribed for the registration of foreign works under Option B is eXQlained in topics 2,ll.3,III.b.3(b) and 2.11,3.III.c.2. IV. ~anufacturing regui!:!!~o A "photograph" may be considered for registration in Class J regardless of the place where the work was produced or manufactured. C~ topic 6,4,1.II oa.) END OF PART 2.11 PAGES 2-448 THROUGH 2-~70 RESERVED Fat FtITURE USE
COPYRIGHT Ch. 2OFFICE PRACTICES Chapter 2 COPYRIGHTABLE MATTER Part 2.14 MOTION PICTURES (CLASSES L-M) Outline of Top1.es 2.14.1 WHAT IS A MOTION PICTURE? I. In general II. Classifieation a. Two e1asses b. Single applieation form e. Video tapes d. Types of material not eligible III. Sound tracks 2.14.2 STATUTORY REgUIREMllfi'S FOR COPrRIGHT IN MOTION PICTURES I. Publication II. Notice a. Form b. Position III. Manufacture 2.14.3 PROCEDUBE FOR RmISTRM'IONS I. Copies a. Published motion pietures b. Unpublished motion pictures II. Fees III. Information contained in app1ieation a. Authorship b. New matter IV. Unit registrations 2-5'(1 [1973J
COPYRIGHT OFFICE Ch, 2 PRACTICES 2.14.1 CHAPrER 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 i.l1usion of motton, 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. '!'he copyright law provides for registration of motion pictures in two classes: (17 U.S.C. 85) 1. Photoplays (Class L). Photopl8¥s are motion pictures that are dramatic in character and tell a connected story. Examples: (1) DAVID COPPERFIELD, a feature film based on the Dickens novel (2) '!'HE WHITE ROSE OF MEMmIS, a filmed, original te1epl8¥ (3) THE STRAWBERRY ISLAND ADVENTURE, an animated cartoon (4) LARRY LAGER AIm FHIL PIU3BR GO CAMPDG, a filmed T.V. cartoon commercial 2. Motion Pictures other than Photo 1 s Class M • This c &ss includes motion pictures w ic do not tell a connected story by dramatic means. Examples: (1) THE NEWS OF THE WORLD IN REvIEW, a news· reel (2) IlftO '!'HE SETTING SUlI', a travelog [1973] 2-573
COPYRIGHT Ch. 2 2-574 OFFICE 2.1L.l PRACTICES 2.14.1 What i~ a Motion Picture? (cont1d) II. Cla~sification. (cont'd) a. (cent Id) 2. (cent 'd) Examples: (cont1d) (3) GASOLINE ENGINES FOR WOON, a fi~1'Tled 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 appliMtion 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 Inaterial are not eligible for registrntion in Class L or Class M: 1. Motion pJ-~~riptB. Registration for such works may be considered in Classes C or D. 2. Motion picture scenarios I synopses outlines, ~works are regarded as ii ooks, Ii ana-may not be registered in unpublished form • .3. Fi111strips. Such works may be considered tor 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. [L973J
COPYRIGHT OFFICE 2-5'75 ChI 2 PRACTICES 2 .IL .2 a.u.i What is a Motion Pioture? (cent Id) III. ~ tracks. (cont'd) b. Registration is not made for 8 sound track alone J or for a sound track as the only new matter in a previously published or registered motion pioture. Exampless (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. 8. Claims are registered in both published and unpublished motion pictures. b. Publication of a motion picture i:s generally' deemed to have taken place when prints ot 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 sL~lar arrangement. Examples or publications (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 publio exhibition or performance 1s not generally regarded as publication of a motion picture. [1973]
COPYRIGHT ChI 2 2-576 OFFICE 2.11.2 PRACTICES 2.lij.2 Statutory Requirements for Copyright in Motion Pictures. (cont'd) I. Publication. (cont'd) c. (cont td ) Exa:np1es: (1) IIPreview" 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 lithe word 'Copyright,' the abbreviation 'CoP~.' or the symbol CD, accompanied bv the name of the copyright proprieto~ and ••• the year in which the copyright was secured by publi.c atd.on •'1 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 reco~nend 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. [1973]
I\ COPYRIGHT OFFICE Ch. 2 2-577 PRACTICES r.14 .3 2.14.2 Statutory Requirements for Copyrjght in Motion Pictures. (cont II. Notice. (cont'd) b. Position. (cont1d) ij. The notice should be legible when the film is screened or exhibited. (8) 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. ill. Hanufacture. Thoe 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 fi~ as published; or, if' the II author n of the film ia 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. IlDQle: A cow of aD 8-reel t11a 1D which reel 6 1. 111 •• 111& wUl not be accepted.. [1973J
Ch. 2 COPYRIGHT 2.11.3 2-578 OFFICE PRACTICES 2.11 ••3 Procedure for Registration. (cont td ) I. Copiea.(cont'd) a. Published motion pictures. (cont'd) 3. In addition to the actual prints of the film, the Copyright Office requires the depoai t of a descrf.ptn.on of a published motion picture. This may take the form of a shooting acr tpt , a synopsis, a press book, a continuity, or other ident1fJ'ing matter. 11. A contract for the return of deposited copf.es may be made between the copyright claimant and the Librarian of Congress, under terms and conditions prescribed by the Libr ar i.an , (a) In the absence of such a contract, copies are either held pending the execution of an aereement or are trans ferred to the Libretry's Exchange and Gift Division. (b) vJhen such a contract exists, the copies may be rett~ned to the applicant immediately follolY.lng examination. (~) Such contracts are not encouraged in the case of foreign claimants, but requests for such contracts should be forwarded to the Idbr ary s Exchange and Gift Division. b. Unpublished ,riot ion pictures. 1. Photoplays. Section 12 (17 U.S.C.) requires ihe oeposit " ... of a title and description, with one print taken from each scene or act, if the work be a motion-picture photoplay." 2. (1973]
COPYRIGHT Ch. 2 2-579OFFICE 2.IL .3 PRACTICES 2.lij.3 Procedure tor Registration. (contfd) II. !!!!. a. Published mot,ion E,i.ctures. 1. The registration feo for all don~Gtic motion pictures is $6.00. 2. Ii the motion picture qualifieo as a work of foreign origin, it may be registered without fee if two copies, a catalog card, and application are received within six months of first publication. b. Unpubl::l.shed motion pictures. The registration fee for all unpublished motion pictures i8 $6.00. III. Information contained in applicati~. a. Authorshi,E. 1. The law requires a statement of the author's citizenship and the application form calls for his name, 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 contri.butions, including thoBe 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 ae the author. [1973]
COPYRIGHT 2-580 OFFICE PRACTICES 2.14.3 Procedure for Registratio~. (cont'd) III. Information contained in application. (cont'd) a. Authorship. (cont td) 2. (cant 'd) 0) The statement of authorship given on the application will ordinsrily 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 registre.!,ions. Related 'Works, such aa consecu- tive installments of a series, must be registered separately under individual titles unless they were actually first published as a unit. End of Part 2.14 [1973 J
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 I II. Definition of general publicatio~ 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. Distribution of phonorecords Part 3.2 DATE OF PUBLICATION 3.2.1 In general I. Definition II. General policy with respect to the date of pUblication [1973]
Ch. 3 3-2 Part 3.2 DATE OF PUBLICATION (cont t d ) 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 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 • [19731
Chapter 3. PUBLICATION Part 3.1 WHAT IS PUBLICATION 3.1.1 General Publication. I. General Policy with R~spect 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 £or advice, the Copyright Of£ice will generally refrain from taking a de£inite position, but will state the meaning of pub lication in broad terms. b. In £airly 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 roo~ 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 Cop,yright Office an act of publication. (2) Applicant states that his booklet (which bears no notice) has been advartised for sale in a newspaper, and that 350 copies have been Bold. 3-3
Ch. 3 3.1.1 3-4 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, wi th out express or implied restrictions as to future use, usually by means of a sale, an offerj ng for sale, or a public distribution. As a rule, the act is one which, if the copies in question did not contain a eo~ight notice, would imply an abandonment of the right of copyright or a dedication to the public. III. Exemples of General Publicat:i.on. 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 eases: a. Sale of a single cOPl. Sale or offering for s8le of a single 'copy could be publication, depending upon the 1n~.nt 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 any-one to take. c. Indiscriminate gifts of copies. d. Leasing or renting of copies. Lease or rental wIll ordinarilY be regarded as publication un le8s the distribution was to a limited group or for a restricted purpose. Bxemples: (1) Leasing of copies of a theatrical motion picture to film distribu tors or exhibitors would be regarded as publication.
Ch. 3 3-5 3.1.1 3.1.1 General publication. (cont1d) III. Examples of General Publication. (cont'd) d. Leasing or renting of copies. (cont'd) Examples: (cont1d) (2) Rental of a framed painting to an individual on a monthly basis for private display would not be . - regarded as publication. ~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. When an applicant asserts that a work was published ~ deposit in a public library, it will be assumed that the deposit was unrestricted unless infor mation to the contrary exists. 3. Deposit in the Copyright Office for regis] tration will not be deemed to constitute publication. f. Exhibition of an artistic or ra hie work. See item 3.1.3 II.a, below. 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.
Ch. 3 3.1.1 3-6 j 3.1.1 General publication. (oont'd) IV. Publication of Part of a Work. (cont'd) &. (oont'd) Examples: (oont'd) (2) Publication of a movie version of an unpublished story does not oonstitute publication of the story as suoh. b. Where a work first appears in serial form and later oomes out as a book, its appear ance in serial form is considered as first pub1ioation. Registration of a olaim in the book would depend upon the existence ot new matter. o. Where a work of art (painting, drawing, sculpture, etc.) is reproduoed in oopies, and the reproduction is published, the CoP,y right Office regards the work of art as having been published to the extent that its copyrightable features also appeared in the reproduction. .J '~ - 3.1.2 Limited publication. I. Defipition of Limited Publication. Under the court deoisions, a limited publication may be defined as one that communicates a knowledge ot the contents of a work under oonditions ex pressl1 or impliedly precluding its dedication to the public. II. Examples of Limited Publication. Usua1~ limited pUblioation takes place when copies have been oirculated private~, have been dis tributed to a limited group for a speoific purpose, or when restriotions as to the use of the work have been imposed. Examples: (1) An application on Form E stating no date of publication will be
3-7 3.1.2 Limited publication. (cont'd) II. Examples of Limited Publication. (cont1d) Examples: (cont1d) accepted when the applicant in cates that, although printed protessional copies have been distributed to various orchestra leaders and singers, he does not regard this as publication. (2) An applioation on Form G stating no date of publication will be aooepted 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 foreolosed by previous olassroom distribution of mimeographed copies of the various chapters, when the appli cant states that he does not regard the earlier distribution as pUblication. III. General polioY with respeot to limited publioa !!2D. As a rule, the Copyright Otfice will not attempt to decide whether a publication is limited or general, but may indicate the probabilities in tairly clear cases. When there is virtually no room for doubt that general, rather than limited, publication has oocurred without statutory notice, registration may be refused 0 3.1.3 Public disclosure by means other than distribution of copies. I. Pertormanoe or Rendition. a. The pertormance, rendition, or presentation or a literary, dramatic, or musical work, whether or not it is in public or for profit, is not regarded as publioation of the work.
Ch, 3
).1.) 3-8
).1.) b means other than distribution of
I. Perforll)ADee or Rendition. {cant 'd)
b. Broadcasts and telecasts are not con~idered
publioation, regardless of the size of their
audience.
o. Publication will be questioned where words
suoh as "performed," "televised," "broad
cast," etc., have been added to the publioa
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 &Df restriotions
against taking photographs of the
exhibits.
(2) A cemetery memorial erected in a
public cemetery where there are
no restriotions 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.
Ch. 3 3.1.3 3-9 3.1.3 b means other than distribution 0 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. o. 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,1I "shown," IItelevised," 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.
Ch. 3 '3I'3 3-10 3.1.3 means other than distribution of III. ExhibHion of Motion Pictures. (cont td ) 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. Distribution of Phonorecords. a. A phonorecord, such as a disc, tape, cr other similar reproduction of a sound recording, is not regarded as a "copy" of the musical compo sition, dramatic composition, or literary work recorded on it, and is not acceptable as a deposit copy for copyright registration of the musi.cal composition or the literary or dramatic work. Therefore, the act of distributing phonorecords does not constitute such publica tion as will invest a statutory copyright, except for registration as a sound recording .-. in Class N. J b. For the purposes of securing statutory copyright and registration for a sound recording, phono records are regarded as "copies" thereof, and discs, tapes, cassettes, cartridges, and other similar reproductions of sound recordings will be accepted as deposit copies in Class N. c. Distribution of phonorecords may constitute either investitive or divestitive publication of a sound recording, and the rules stated in sections 3.1.1 and 3.1.2 above are applicable. [1973J
Ch. 3 3·2.1 3-11 Part 3.2 DATE OF PUBLlCATIOB 3.2.1 In General. I. Definition. 'ftle date of publication is defined 1D the cOP1l"ight lav (11 U.S.C. §26) as the earliest date when copies of the first authorizec1. edition vere placed on sale, sold, or publicl7 distributed b1 the proprietor of the cop,yrlght or under his authorit1. II. General PolicY vith Respect to the Date of Publication. a. While the Copyright Office II8l offer saae general guic1aDce CODcerni.D8 the choice of a specifio publication date, the fizual decis10n is up to the applicant. b. 'lbe elate of publication stated 1D the application IlU8t be caaplete (month, dal, aDd 1ear), unqualified, aD4 earlier thaD. the ute the application was submitted. 3.2.2 Choice of a date. I. Factors to Consider. When the applicant is unoertain .. to the date he should state, the oowright Office., outline the following factor. to be cODeitered: a. aell the exact elat. is not known, the best approx1ate date .., be chosen, but it should be stated without qualit.J .. 1Dg l&Dg\1&ge. b. Where the applicu.t i. uncertain as to which of ••veral possible dates to choo.e, it is generall1 advisable to ) choo.e the earli ••t elate, to avoid \...) 1JIplioation of aD attept to lengthen the ooP1l"ight tem. c. In tAe cue of boob, the atficlaTi t ~ .ither state the date 0'1 PRbli cati. or the date of: aaIpletion ot printing, vtUl. the appl1catioll _t state the dat. of pUl1cat1cm. orcu..r1l7, a clifterenee betweea th... dat.. vUl not 'be qa.e.t10ae4.
Ch. 3 3.2.2 3-12 3.2.2 Choice of a date. (cont'd) II. Consignment or Release. Books and other vorks are frequentl1 sold or consigned before the date set for their "publication" or release to the general public. In such cases, the Copyright Office viII accept the date chosen by the applicant vithout question. III. Publication of Separate Parts or Installments. a. Where various parts or installments of a vork are first published separatel1, each part or installment is regarded as a separate vork, subject to its own registration on th~ basis of its ovn publication date. b. An application giving more than one date of publication viII not be accepted. c. Where a vork is first published as a un~~, the fact that parts of the vork are later distributed separately viII not preclude a single registration for the vork. Example: Syndicated cartoons first published by distribution in "book" form to newspapers. IV. Previous Registration and New Versiops. a. Where the vork 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 nev matter and the copyright term is not computed from the date of publication. b. Where the vork is a nev version of a pre viousl1 published work, the application should give the date of publication of the new version, rather than that of the previously published 'edition.
3-13 3.2.2 Choice of a date. (cont'd) V. Works First Published Abroad. a. An application covering a work f'irst published abroad should state the date of f'irst publication abroad, and should be accompanied by a copy or copies of' the f'oreign edition. As a rule, regis tration f'or an American edition of the work depends upon whether or not new matter has been added. b. An application covering an American edition or 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 or the toreign edition. 3.2.3 Unacceptable dates of publication. I. Date Missing. a. In c~asses where registration can be made tor pub lished works only, an application in which no date of' pUblication is given w111 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 tor both unpublished and published works, an application in which no date ot publication is given wlll be questioned if' the copies appear susceptible at pub lication. (See item '.3.1.II.e, below.) c. Where it is probable that pUblication has taken place or will take place in the near tuture, a new application f'ollowing 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 f'orm. II. Incomplete Date. An application lacking one or' more ot the three necessary elements at the date of' pUblioation (month, day, and year) will not be accepted.
3-14 3.2.3 UnacceI?tablfLdates of pUblication. (cont'd) II. Inc~mplete D~. (oont'd) a. Where tne 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 applioation. b. Where the date given in the affidavit on Form A is incomplete, a new application and affidavit will be requested. III. Qualified or Indefinit~~e. a. An application 1n which the date of pUblication is qualified by language such as "approximately,1I "on or about, II "posted" (for bill~ard 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, 1%2:1 (2) "Last week of December, 1%2 II IV. SeRB-Fate Parts or Install~~§... An application giving more than one date of publioation will not be accepted. (See item 3.2.2 III, above.) V. Previous Edition or Ver~io~. An application giving only the date of publication for a previous edition or ver~ion will not be aooepted. (See item 3.2.2 IV, above. ) VI. AI?J)lioation in Ad~e of J:ublicat~on. An application stating a date of publioation that is later than the date the applioation io received will ordinarily not be aooepted. a. Where the date of pUblioation given in the appli cation is les5 than one month in advance of the date the appli~ation was received in the Copyright Office, the application, copies, and fee will be retained, and the applicant will be requested to 8ubmi t a new applioa tion after pUblication occurs. J
3-15 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 'che 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 ~e 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 £ may be accepted if received not more than one month in advance of the date of publication they state.
Ch. 3 3·3·1 3-16 Part 3.3 EVIDlllCE OF PUBLICA'fiOB 3.3.1 Factors raising questions as to publication. I. General Practice. In general, the presence of a date of publication in the application wUl be accepted a8 indicating that publication baa taken place, unless the deposit copies, or infor _tion furni8hed by the applicant, raise questions as to whether publication actual11 has taken place. II • Appearance of Copies. a. Material su'bm1. tted as published in Cluses A and B vUl not generaUl be questioned on the single ground that copies are hand made or in prel1.Jl1nary form (e. g., photo stats, m1IIeographed copi.. , etc.). Such material ..., be questioDed when the copies contain deletions or insertions, when the deposit copies are not ideatie&l, or when the copies appear incClllplet •. b. Material 8ublli tted as published 1a other classes ..., be questioned i,t the copies are handJM.de or are in pre11w1na17 tora, UDl... the nature of the work vould alte publica tion 1D that fora a no1'Dl8J. ocew:rence. Examples: (1) Arti.t's baudMde c!ravina of a ca.erc1al label vUl be questioned. (2) M1meographed copies of a pltQ' would DO~1 not be questioned. c. Where the notice on a work bas been uie4 'b7 hand, the action to be taken depuc!s upon the nature of the work aDd other ava11abJ,_ intomation. 1. If the baudMde DOtice i8 CODa1steat with the nature of the cop1e., aDd there is DO other reason to que.tion publ1cat1oa, reg istratioa 1s -ae without correspodGee.
3-11 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 prescriped 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 3.2.3.1, 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.
3-18 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 application0 3.3.2 After rejection for publication without statutorY notice. I. Resubmissiono a. Where a claim has been rej ected 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 Oftice will request an explanation of the second application. Co 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 Publicationo 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."
l Chapter 4 Notico Outline of Topics Part 4.1 'YlillIN REQUIRl:ID 4.1.1 Unpublished works I. Without notico II. With notice 4.1.2 Worl<s published in U.S. I. General rulo II. Acoidental omission 4.1.3 Works published abroad I. Works Bubject to ad interim registration II. Works other than those subjeot to ad interim registration Part 4.-=' fORM OF NOTICE 4.2.1 Elements required I. Classes A, B, D, and E II. Classes It' to K III. Classes Land M IV. Contributions to periodicals 4.2.2 "Copyright" or "Copr." or ©: variants 4.2.3 Name of olaimant I. Identity of olaimant a. In general b. Identity b,y reference o. Deoeased person d. Estate, executor or administrator e. Wrong olaimant t. Trustee g. Assignee h. Licensee 4-1
4-2 Part 4.2 roRH OF NOTICE (cont td) 4.2.,) Name of claimant (oont'd) II. Variant form of ~la1mant's name a. }linor variations b. "Ino." and "Corp. I' c. Corporate subsidiary or department d. Abbreviations, initials, trade names, and other variants III. Different olaimants in notioe and application a. In general b. Additional names 4.2.4 Year date 1. When required II. Form of year date III. Appropriate year date a. Copyright b,y publioation b. Prior registration as unpublished o. Edition oontaining new matter d. American edition IV. Varianoe between notice and application a. Date in notice later than date of publication 1. General rule 2. Exoeption 3. Previous publication or registration indicated b. Date in notice earlier than date of publication 1. General rule 2. Previous publication or registration indioated 4.2.5 Dispersed notioe I. Standard form of notice II. Where elements are separate~ a. General rule b. Separa ted 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
4-3 Part 4.3 POSITION OF NOTICE (Cont'd) 4.3.1 In books (Cont1d) 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. Statu:ce 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 musio 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. Aocessibility IV. Multi-page works V. Repeti ti ve 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 oontainer
4-4 Part 4.4 MrSCELLANEQUS (Cont1d) 4.4.3 Notice affected b,y use of work (Cont1d) II. Notice likely to be lost in use of work III. Notice in reverse IV. Dust jaoket 4.4.4 Limitations in notice I. Limita t10n not required II. When limitation given
Chapter 4. NOTICE Part 4.1 WHE.T'i REQUIRED 4.1.1 Unpublished works. I. Without notice. No notice is required on an unpub lished work. .Hence, tor those classes ot works which can be registered in unpublished form (all classes exoept A, B, F, H, and K), an unpublished work bear ing no notice may be registered. II • With notice. a. It an unpublished work bears a notice naming a olaimant who is not the same person as the claimant in the application, the Ottice wU1 write for an explanation. (See topio 4.2 • .3 II and III.) b. It an unpublished work bears a notice which would be taulty if used on the work when pUblished, the work may be registered but the Ottice will send a cautionary letter. Examples a (1) A notice on an unpublished dramatic script lacking the name of the copy right proorietor. (2) A notice with the wrong year date on unpublished music. (.3) A notice at end at a ten-page lecture. 4.1.2 WOrk. published in U.S. I. General Rule. To be registrable, the deposit oopies ot a work published in the U.S. must bear an aooept able notioe. (As to Publication, see Chapter .3.) II. Accidental omission. a. If the Ottioe is informed that the great bUlk at 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, 4-5
Ch. 4 4:13 4.6 j 4.1.2 Works published in U.S. (cont1d) II. Accidental omission. (contrd) a. (cont Id) registration may be made. In such cases, if the deposit copies 00 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. ~ks 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 donacile 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.l.III.)
4-7 4.1.3 Works published abroad. (cont'd) II. b. Works by foreign authors first published before June·IS, 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 or the notice on works first pUb lished abroad, see topic S.2.2.
4-8 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, De and E. The form of notice for works in these classes consists or (1) the word "Copyright,1I the abbreviation ttCopr.," or the symbol @,. (2) the year in which copyright was secured, and (3) the nama of the copyright pro prietor. II. Classes F to K. a. For works in these classes, a nlltice in any ot the following forms may be accepted a 1. The word "Copyrighttl or the abbreviation tlCopr. tl or the symbol @, accompanied by the name of the proprietor, with or with out the year date; or 2. The word "Copyrieht" or the abbreviation "Copr." or the symbol @, accompanied by the initials or other mark ot 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 Land 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 adA quAte, especially tor Class L. IV. Contributiom to periodicals. The notice on a contri bution to a periodical must be in a form appropriate to the character or the contribution as a separate work. Thus, if the contribution is a literary or musical work, the notice must include tho year date. It the contribu tion is a graphic work (Class F-K material), a notice lacking the year date is acceptable.
4-9 4.2.2. "CopYright" or "Copr. 1I or ~ variants L 1. A misspelled or variant form ot "Copyright" or "Copr." may be aooepted 1£ it 1s olear that oopyright is meant. Examples of variants whioh may Pe aooepted2 1. Copyrighted 2. Copywrite 3. Copywritten 4. Copyright Pending 5. Copyright Applied For 6. Copyright and Registered 7. Registered U.S. Copyright Offioe 8. Copy. 9. Copyr. 10. Cpr. 11. Corp. (1f olearly not used to reter to a corporation. ) II. The equivalent of "Copyrighttl in a foreign language (e.g., the Spanish "dereohos reservados U) will not ~ accepted, 111. A variant of the symbol © will be aoceptable only where it resembles the © closely enough to indicate clearly that the copyright symbol is meant. Aoceptable variants: 1. 'C' 2. @ 3· \Qi 1+. @ 5. (c) Unacceptable variants: 1. CO 2. C 3. C/O 4. ~ 5. '='
4.2.3 Ch. 4 4-10 4.2.3 Name of claimant I. Identity of claimant a. In general 1. For all classes of works, the notice must include lithe name of the copyright :pro:prietor." (1'7 U.S.C. sec. 19.) 2. Ordinarily the Co:pyright 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 a:ppears sufficient to identify the copyright proprietor. (a) Abbreviations, last names alone, trade names, etc., will ordinarily be accepted if substan tially the same form of name also appears as claimant in the application. (See Supplementary Practice No. 37). Examples: (1) Colo. MiS. and Merch. Co. (2) Doloukanova (3 ) .Maxwell's (b) Where it is clear from the face of the copies that the :person named in the notice is not the copyright proprietor, registration wil~ be denied. Examples: (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. 4.2.3.11, below, concerning variant forms of ~ claimant's name.) [1973J
4-11
4.2.3. Name of claimant (contld)
I. Identity of claimant (contld)
a. In general (cont I d)
2. (cont Id)
(c) (cont td)
Examples:
(1) "Copyright 1960 by All Right-Think
ing Citizens of Eastport, 11aine"
(2) "Copyright 1960 by C.L." ("lhere
the claimant is apparently an indi
vidual and there is no indication
that the initials represent a trade
name)
(3) lICopyright 1960 Birds and Beast.s"
(Vibere "Birds and Beasts" is the
title of the particular textile
design, and there is no indication
that it is the accepted alternative
desi~nation of the claimant)
(d) Where the 'hame'in the notice is a trademark,
registered or otherwise, copyright registra
tion will not be made unless the traden~k
also serves as a trade name or accepted
e~ternative designation under which the public
might identify the claimant. (See topic
4.2.3.II.d.6, below.)
(e) If it is unclear whether the1harne1in the
notice and application is sufficient, inquiry
should be made, and a neW application ex
plaining the nature of the identificaticn
may be requested.
~les:
(1) HB Co., accepted alternative desig
nation of Humbert Baker,r Co., Inc.
(2) Fandango, trade name of the Stat\w
Seekers Jewelry Co.
ef) For practices with respect to variances in
claim, see topic 4.2.3. II-III, below.
Ch. 4 4-12 ~ 4.2.3 Nanle of claimant (conttd) I. Identity of claimant (corrt.rd) b. Identity bj- 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. 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) 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 thee~i:,ate has been or will be had, the application may be filed in the name of the estate.
4-13
~.2.3 Bame of Claiman~. (cont'd)
1. Identity of claimant. ( cant' d)
c. Decea.ed ~son. (cont'd)
3. Any case in which the person named in the notice
died more than three months be:f'ore 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) -.y be made in SOBle 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 .ubsequent change in the
notice would not have been feasible, or where
the publisher wa. not informed of the death un
til atter or very shortly be ron the date of
publication.
d. Istate, executor, or adainistrator. A Dotice in the
name of the eltate of a deceased perlon, or in the
D&IIe of the executor or administrator of an estate as
such, _1 be accepted for registration in the same
name ('e.g., "E.tat. of John J)oe," or "James Smith,
Executor of Estate of John Doe"). If the application
gives only the name of the executor or administrator
wi thout delignating him as luch (merely "James Smith"),
the application viII be annotated to shoY the fUll
form given in the notice.
e. Wrong c1&1Mnt. Where the Office is advised that the
wrong peraon 11 named in the notice (e .g., the print
er' a D&IIe inserted by miatake), an application in the
name liven in the notice may be accepted with a
cautionary letter, if there il some indication that
use of the name in the notice wa. a 100d faith error,
or if tacit authorization _y be implied. An applica
tion in the name of the rightt'ul claillant not given
in the notice will not be accepted. Por practice.
with respect to works firat publi.hed abroad, aee
topic 8.2.2.11.
l' • .Trult... Where the notice i. in the D&Dl8 of a trustee
(e.g., "Jolm Doe, !rustee," or "J'ohn Doe, Trustee for
J'... 811i tll," or "John Doe for the benefit of .1....
8J1li ttl" ) :
4-14Ch. 4 r:2.3 J4.2.3 Name of claimant. (cant' c.) I. Identity of cleimant. (cont td) f. Trustee. (cont'c~ •1. An application in the name of the trustee as such (lIJohn Doe, Trustee") or in the same form as given in ·the notice (e.g., ItJohn Doe for the ben efit of James Smith ll) may be registered. 2. An application giving only the name of the trustee without designating him as trustee (merely "John Doelt ) may be registered, but the Office will annotate to show the full rom given in the notice. 3. An application in the name of the beneficiary alone (ttJames Smithlt ) 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. 2. Where the notice names an assignee alone (e.g., llCopyright 1960 assigned to Doaks Publishing eo. It) , 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 worle, 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 or the work, and the earlier edition contained a notice in another person's name:
Ch. 4 4-15 4.2.3 4.2.3 Name of claimant. (cont'd) 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 ~he work is a reprint, with a warning as to the effect of 8ubstituting 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 nev 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 Doak.8 Publishing Co.,") an effort will be _de to determine, through searching and/or correspondence, whether an earlier edition baa been published or regiltered, and whether the present edition contains nev utter. (Bote: This situation can be altered by tbe year date used in the notice; lee topic 4.2.4.) (a) If this is the first Plbl1catioD of the work, and the~ bal been no previous unpublished registration, registration will be made in the name of the &ssignee, provided he was the owner on the date of first publication. (b) If this is not the first published edition of the work, and the .arlier edition contained a notice in the assignor's name:
Ch. 4 4.2.3 4-16 4.2.3 Name of claimant. (cont'd) I. Identity of claimant. (cont'd) g. Assignee. (cont'd) 3. (cont ' d.) (b) (cont.! d) (1) If thero is new matter, reeiot.ration will be made in the name of the ausf.gnce , assuming he was the owner on the dato 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. (0) 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 thore is new matter, or if the assign ment has been recorded, registratiQn should be made in the name of the assignee, provided he was the owner on the date of first publicat.ion. (2) If thpre is no new J~tter, and if the assignment is not recorded, registration will pe mad~ in the name of the as::lienor, and r~gistration in the name of the assignee will be refused. (d) An application in both names will be rejected, even if it follows tho form of the notice. (e) In any cas~J the application will be annotated to reflect the form of tho notice. h. J.icensee. 1. A notice naminc, a licensee alone (a.e., "Copyrieht 1960, Tinpan Nudc Co., U.S. Licensee") will not be accepted.
4-17 4.2.3 Name of claimant. (contI d) I. Identity of claimant.. (cont'd) 11. Liconsee. 1. (cont'd) (a) If it is not apparent that the name ia that of a licensee, it will be aS3U1Iled that tr.G party named is the proprietor. 2. Where a notice namas both the copyright o'(:n(;r and a licensee (e.g., "Copyright 1960 b:r Herman Schmitt. Tinpan Music Co., u.s. Licensee"), registration m~ be made in the name ot the cop7 right owner (Herman Schm1tt) but not :In the name of the licensee. II. Variant form of claimant Is name. a. M1nor variations. 1. Where there are relatively minor variations be tween the form of the claimant Ie name or corpc:"~<i.:te title in the application and in the notice, reg istration will be made without correspondence. 2. Where the variance is quite rrdnor, or where it involves mere descriptive matter, no annotation 18 made. Examples, (1) In n~ticet J. P. Higgins In applicat~onl John Paul Higgins (2) In notice: Swamplands Realty ce., Inc. a Delaware Corporation In application, Swamplands Realty· Co., Inc. (3) In noticet Rosetta stone, MUsic Pub lisher In app11ca~on: Rosetta Stone
4-18 Ch. 4 G.2.j 4.2.3 !'8JIle of claimant (cont' d) II. Variant form of claimant's name (cont rd) a. Minor variations (cont 'd) 3. Where it is a question whether the application should be annotated or notI 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. To~ Deauville In application: Arlene Deauville (2) In notice: Fairchild Publishing Corp. In application: Fairchild Pub. Co. Inc. (3) In notice: Educational Council of the Affiliated American Snooker Players In application: Council on Education of the Snooker Players of America (4) In notice: Anthony C. Payola Music Publishing Company In application: Payola Music (5) In notice: H. B. Lear,y, Jr., and Bro., Inc. In application I H. B. LearyI Inc. b. "Inc. It and .tCorp." Where the variance involves omssion of the designation .tInc. 1t or "Corp., It the question of whether to write or annotate is deter... mined by the circumstances. 1. In notice: Fairchild Publishing ce., Inc. In application: Fairchild Publishing Co.
Ch. 4 4.2.3 4-19 4.2.3 Name of claimant (cont'd) II. Variant form of claimant' 8 name (cont' d) b. "Inc." and "Corp." (cont'd) 1. (cont'd) Practice: Where the applicant 1s a regular re mi tter and the error seems likely to recur (e .g. t in periodicals t serials, jewelry, etc.), the Ofti ce wi tes for a new application. Otherwise, reg istration is ade 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. 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 know, or if it i8 clear from information on the copies. Otherwise, the variance will be questioned. Examples: (1) In notice: Chevrolet Division In application: General Motors Corporation P""actice: Annotate
4-20 4.2.3 Name of claimant (cont'd) II. Variant form of claimant '. 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'. initials, a sharply abbreviated form of his name, or a different de.ignation which might be considered his trade name. 2. Registration will be retused when it 1a 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'. trade name and is not capable of identifying him to the public. (a) Under ordinary circUJiatances an application in the name of an ind! vidual will be re jected outright when onlY the individual'. in! ti&ls appear in the notice. (b) In dete1'llining whether the designation in the notice can be considered the claiunt'. "1lI.JIle," the most important factor i. whether the designation is capable of ideD titying the claimant to the Plblic general17, &8 distinguished frOll the trade it.elf or 'trom the specialized public in the trad.e. Howver, where 1t doe. Dot fly 1n the face ot co-.on .enae, tbe applicant'.
Ch. 4 4.2.3 4-21 4.2.3 Name of claimant (cont'd) II . Variant form of claimant's name ( cent ' d) d. Abbreviations, initials, etc. (cont'd) 2. (contia) (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.I1.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: "e 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 appear8 to be a trade name, an accepted alternative de8ignation, or similar variant under which the public may be able to identity the claimant, a new application will be requested, reflecting the designation in the notice, the tull name, and the relation.hip between them. (a) Whenever possible, the applicant 8hould be encouraged to state the claimant in line 1 of the application in the tollowing order: (1) variant designation exactly as it appears in the notice, (2) relationship between the variant and the full name, ( 3) the tul1 name. Thi8 will not always be po.sible in case8 where the relationship i. expressed &8 "doing busine'8 aa", "tradil18 u", etc.
4-22 4.2.3 Name of claimant (oont1d) II. variant torm or claimant's name (contld) d. Abbreviations, initials, etc. (conti d) 3. (cont'd) (a) (oont Id)' Example: "A.A.S., Inc., accepted alternativa designation of Affiliated Aborainable Snowmen, Incorporated" II 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 na tUl"e of the claimant and other ciroumstances. However, whenever appropriate, the applicant shoUld be encouraged to use uniform phraseology in the pending case and 1n future cases of thQ same sort. The following represent the preferred phrases 1n the most common situations, although variations expres sing the same thought may be accepted. (1) Where the claimant 1s not a oorporation, the following are examples of aoceptable phrases.: (i) Thomas Jones, doing business as Fielding Record Co. (ii) Emma Hart, sole owner at Nelsonls Chile Parlor (11i) Ella Wheeler Park1ngton, pseudonym of Calvin T. Smith (iv) Harry Lillis CrosbyI also know as Bing Crosbv (v) Richard Ackroyd, trading as Rump eprung Mattress 00.
4-23 4.2.3 Haae of claimant (cont'd) 11. Variant fom of claimant's nllle (cont'd) d. Abbreviation •• initials. etc. (cont'd) 3. (cont'd) (b) (cont'd) (1) (cont'd) (vi) S & D Co., accepted alternative del1snation 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: (1) Florenza, accepted alternative designation of Dan Kasoff, Inc. (U) KT, trade name of Kayt.e Imports, Inc. (iii) Trifari, accepted alternative des ignation of Trifari, KruSsmaD & Fi.hel, Inc. (tv) Glunch, registered firm name of Glumpy Optical Co., Inc. 4. In cases where use of the abbreviation or variant in the notice has not been discussed or established in preVious correspondence. and were question. might be raised as to the validity of the notice, a cautionary letter should be 'ent. Future use of the variant should be discouraged except where the article is 10 s..ll that no other alternative exists <a.g., Jewelry), or where the variant is '0 well known nationally that it il fully effective in identifying tha claimant to tha public (e.g., "GB," "eM,II II AM. II ) 5. The basis for acceptance of abbreviation, 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
4-24 4.2.,3 Name of claimant (cont1d) II. Variant form of claimant's name (cont'd) d. Abbreviations, initials, etc. (conti d) 5. (cont1d) and will not require him to suproit proof of his statement. However, if the statement appears to be clearly inconsistent or incorrect on ita 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 identifios a business and a trademark identifies tho 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 a 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. Exampl.ea r (1) In notice: Skip-Itch In application: Skip-Itch, regis tered trademark of Samuel L. Beitchman, ) d.b.a. Sylbe Drug Co. .,..
Ch. 4 4.2.3 4-25 4.2.3 Name 01' claimant (cont'd) II. Variant form of claimant I s name (cont I d) d. Abbreviations, initials, etc. (cont'd) 6. (cont ' d) <a) (cont'd) Examples: (cont'd) (1) (cont'd) Pra~tice: Reject unless new applica tion received stating that "Skip-Itchll is trade name or accepted alternative designation 01' claimant. (2) In notice: !ritari In application: fritari, accepted alternative designa tion and registered trademark 01' Tritari, 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 i. registered in the Patent Office or elseWhere hal no bearing on copyright registration one way or the other. <e ) '1'0 be considered a trade name or accepted alternative designation, a trade_rk DlUst contain recognizable letters or words. A purely pictorial or graphic mark cannot be considered a "name" for this p\U'POse. 7. Where the difterence between the desicnation in the notice and the claiJllantla name ia more thaD a llinor variation (aee topic 4.2.3.II.a, above), the Office will write for a new application retlectingthe re lationship between the two name., rather tun re solving the 'Varia.ce it.elf by arinotation.
4-26 Ch. 4 4.2.3 4.2.3 Name of claimant (cont'd) II. Variant form of claimant.s name (ccnt td) d. Abbreviations, initials, etc. (cont'd) 1. l cont,' d) Examples: (1) In notice: B &W LaLti 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 Pal~ce 8. Where there is any question as to precisely what .J name is considered a part of the notice (e.g' l in dispersed notice cases, or where other names follow the' notice), the application will be annotated to show what is regarded the name in t.he 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
4-27
4.2.3 Name at claimant. (Cont'd)
III. Different claimants in notice and application. (Cont'd)
B. In genertl. (Cont'd)
or trade name of the applicants see the preoeding
topios 4.2.3, I and II). If they are actually dif
ferent perspns whose cla1ma would oonfliot, the
application will be rejeoted. (See topio 4.2.3.I.e.)
b. Additional namas.
1. Where the notioe names two claimants and only
one of them is given in the application, a
new application living both name. will be sug
gested. But if registration in the one name
only is destred, the Orrice will so register
with an annota tiOD.
2. Where the application gives two olaimrtnts and
only one of' them is named in the notice, a
new application in the name in the notioe will
be requested, with the suggestion that, if' a
transfer ot 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
notioe in alq' "printed li t.erary, musical, or draxna tio
work." (17 U.S.C. I 19). It is required on works in
Olasses A, B, D, and E published in the United States.
It is not required, 80 tar as Title 17 is concerned,
tor Classes F-X. The Off10e will recommend use of' the
year date on motion pictures, Classes L and M; however,
mtion' piotures without the year date JJJI1y be acoepted
but a cautionarY letter wUl be sent.
Note: In order to claim. the exemptions
ot 19{o), pursuant to the U.O.O.,
the year d.ate is required in the
notice (whioh should also oontain
the S)'1Bbol @ for !ll classes.
4-28Ch. 4 'Ii'n J 4.2.4 Year Date. (cont1d) II. Form of year date. The Office will accept a year date in a.ny of the following forms: (1) Arabic numerals, e.g., 1960 (2) Roman ~um.erals, e. g., f1CMLX (3) Abbreviation of Arabic nume:r-als, e.e., 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 6y pUblication, the year date should be the year in which the work was first published as stated in the application. b. Prior registration as 'Wlpublished. \'fuere copy right was secured 6y 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 copyrip,ht and the year date of publica tion of the new edition may be given. d. American edition. v.1here a work was first published abroad, the later American edition should bear the year date of such first publication. An Amerioan edition bearing only the later year date of its own publication will be rejected unless it con tains new matter.
4-29 4.2.4 Year date. (Cont1d) 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 copie" application or correspondence to indicate that the work,' or a substantial part of it has been previously published or registered in unpublished torm, the claim should be rejected without searching or preliminary oorrespondenoe. 2. Exception: Where no previous publication or reg istration is indicated, but the date of publication given in the application ralls within the year immediately preoeding the year in the notioe, the claim should be entered without searohing. A warning letter should be sent, and the application (not the oertitioate) should be annotated to show the date in the notioe. 3. Previous pUblication or registration indicated. Where something on the application, in the notioe, on the oopy, or elsewhere in the oorrespondence tUe indicates that the work, or a substantial part of it, has been previously published or registered in unpublished rorm, the Office should search or oorrespond to determine the date at 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 tound, 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. (b) If unpublished registration (or (oreign pub lication for an English-language book registered ad interim) took place before the. year imme diately preceding the year in the notice, the claim should be rejected for postdated notice, unless.
4-30 J 4.2.4 Year date. (Oonttd) IV. Variance llatween notice and agpllcation. (Cant 'd) a. Date in notice, etc. (cont'd) (cont.t d) 3. Previous publication, etc. (b) (Oont1d) (1) the present copies oontain oopyrightable new matter and the date of publication falls within the year immediately preceding the year in the notioe; ~ (2) the present copies contain new copyrightable matter and the year date of publication given on the application is wrong. (a) 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 it there i8 no reason to suppose that the present copies contain new copyrightable matter and the year date ot pUblication given on the application is wrong - the claim should be entered as a doubttul case. (See topic 4.2.4.IV.a.2, above.) In suoh cases the application (not the oertifioate) should be annotated to reflect both the year in the notice and the date of the earlier registration; for examp1eJ (1) "Year date in notices 1958 Registered Eu 123456, Oct. 27, 1957" or (2) "Year date in noticeJ 1958 Ad interim registration AIO 9876, following pUblication May 2, 1957." (d) If search or correspondenoe indicates that the present version oontains new oopyrightable matter justifying use of the later date in the notice, and that the earlier date at publication given in the application was incorrect, a new application should be requested.
L ~-3l en, 4 4.2.4 L.2.4 Year date. (Cont1d) IV. Variance between notice and application (Cont'd) b. ~te 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)a 1. General rule: Where there is nothing in the application, copies, or correspondence to in dicate that the work, or a substantial part of 1 t, 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. 2. Previous publication or registration indicateg. Where something on the application, in the notioe, on the copies, or elsewhere in the correspondence fUe 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 tho 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 ot the application.) (a) If an earlier publication for the work (other than foreign pnblication 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. (b) If unpublished registration (or foreign pUb lication for an English-language book reg istered ad interim) took place 1n the year shown 1n the notice, and if there is no reason to suppose that the present copies contain new copyrightable matter, the claim should be entered without correspondence and ~ithout any annotation referrin~ to the dat§ in the notioe. However, if the fact of earlier registration does not already appea.r on the application, an annotation referring to the earlier entry should be added; for example: IIRegld EU-l23456, July 6, 1957."
Ch. 4 4-32 4:23
4.2.4 Year date. (conttd)
IV. Variance between notice and applic~. (cont td)
b. Date in notice, etc. (cont td)
2. Previous publications, etc. (cont td)
(c) If unpublished registration (or foreign
publication for an English-language book
.r'egi.st.ered 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 inter:i.T.1) 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».
(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 elasses 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 lacldng, the
Office will register deepi te the last date, sending a
cautionar,y letter and annotating the application (not
the certificate).
4.2., Dispersed notice.
I. Standard form or notice. ...J
a. 'The three elements of the notice ("Copyright" or "Copr., It
or the symbol ©, the name of the claimant,
4-33 4.2.5 Dispersed notice. (Cont1d) I. StanUard form or notice (Cont'd.) a. Standard form of notice ( corrt td) 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 "Oopyright" or "Oopr. II) and the initials or other mark of the claimant (or h1s name) should be given together. If the symbol © (or "Copyright" or "Copr.") is accompanied by the initials or other mark of the claimant, h1&s name shall appear on some other accessible portion of the work. II. Where elements are separateg. 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 nama 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 sante 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. J. Where one of two equally separated names is a logical claimant (e.g., the author), and the other iA identified as someone not likely to
Ch. 4 4-3~ 1i:"'2'3 J 4.2.5 Dispersed notice. (contld) II. Where elements are separated. (centld) b. Separated name. (cont.! d) 3. (cont.td) 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. Example: 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 Oftice will accept a notice such aSI Closet Caddy Trade Mark Reg. U. S. Pat. Off. Copyright 1948. 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 Oftice will aocept a notice such as: Copyright 1953 Standard Pulpwood Co.
4-35 Ch. h "4:1:1 Part 4.3. POSITION OF NOTICE 4.3.1 In books. I. SH~1attefl. In "a book or other printed publication, n the notice is to be placed "upon its title page or the page immediately following. II (17 u.s.c. H2O) II. Title page. a. The title page is generally one on which the title is given special prominence as a principal feature ot that page, usually preceding the body of the wrk. 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: (1) Preceding the text, a book MS one page giving the title, author, and publisher, and another page giving the title alone: a notice on either ot these pages would be acceptable (2) The title is given with special prominence at the head ot 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 ot a book does not make every such page a title page. Thus, for example, although every page ot a 50-page book bore the title, a notice on page 20 would not be acceptable. o. The cover of a book may be its title page. d. The dust jacket on a bock cannot be its title page. A notice on the dust jacket would not be acceptable tor registration of the book (but the dust jacket itself may be registrable as a separate work). e. It an unI1m1tednotice appears on the title page ot the book 1tseU but the book as such contains no new
4-36 4.3.1 In books. (Cont1d) II Title page (Cont1d) 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 folloving" 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 eases 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 eautionary 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 p~riodieals. I. StatutO. In a periodieal, the notice should appear " ei ther 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. 120) II. Tit10 page. a. A notice on any page of a periodical that may reasonably be considered a title page may be accepted. The page should contain the title
4-37 Ch. }+ 4.3.2 4.3.2 In periodicals. (conttd) II. Title page. (conttd) a. (cont td) 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, ebc , , 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.
J4.3.2 In periodicals. (Cont'd) IV• Under title heading. (cont 'd) c. A notice .aq be accepted, though not placed "under" the title heading, it it appears near the title heading (whether below or above) 80 88 to be seen and identitied with the title. 4.3.3 In contributions to periodicals. I. A notice appearing anywhere on a lingle-page contribution IIq be accepted. II. For a IIUlti-page contribution, the Of'f'ice will reccmlend that the notice be placed on the first page. It a con tribution consists ot not more than a tew pages, a notice on any' page other than the first JII8¥ be accepted with a cautionary' letter. If a contribution consists of JI&DY' pages, a notice at the end may be accepted with a cautionary' letter. 4.3.4 In dramatic works. A published drematic work is a "printed publication" in which the notice should appear in a position appropriate for a book. (See topic 4.3.1.) I. Statute. In "a DIl1Sical work" the notice should appear "either upon its title page or the first page ot IlUsic." (17 U.S.C. § 20) II. Title page. A published book ot music with notice on the title page IIl8¥ be registered in either Class E or Cl88S A. It lora A is submitted, Fora E will be suggested instead. (As to what is the title page, see topic 4.3.1, II.) III. First page of music. A notice on the first page of music is acceptable for registration in Cl888 E. If an application on Form A is submitted, an application on Fora E will be re quested. IV. Page opposite the title page or the first page of music and reverse 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. Fora A ma;y also be accepted with a cautionary letter where the notice appears on a page opposite the title page or the reverse thereof. Fom E may also be accepted in these cases and where the notice appears opposite the first page of music; a cautionary letter should be sent. (2-70)
JJ-39 4.3.6 In classes F-K. ;I.. Single-page work. On a single-page work in Classes F-K, a notioe on any- aoc.ss1ble portion ot the Work is aoceptabl.. Thus a notioe on either the front or back of the work JIfA.y be accepted. A single sheot, though tolded one or more times ( .... , a .toil.<ied ll"eet,1ng card), constitute a single-page ~k. II. Margin or mounting. On indirldual works 1r. Classes F-K, a visible not1oe on the IJI!lrg1ll or permanent mountin~ (suah &8 a base, pedestal, selvage, or frame) 18 acceptable. III, Accessibility. See topioa 4.4.2, III and 4.4.3. IV. Multi-page wrks. On a multi-page wrk ot ClaSS.,1I F-K material in book form ( •••• , an atlas or a book ot print.) ~ a. The Orfice will recomnend the full .torm of notioe in book position (se8 topic 4.3.1). ,/ b. Where the notice 18 not in book position but does appear at the fnmt or baok ot the book where it 1s raadUy seetl, an application on the appropriate Form F.-« -T be aocepted with a cautionary letto.r. It Form: A iG submitted, the Ottice will reject it but mention the possibU1t:r (wltA a note of caution) of reg istration on taG appropriate Form F-l. o. A notioe which. 1s not readUy seen (e.g., on page 25 ot • SO-page WOl"'k) 11 not aocep-table. v. Repetitive units. The atatute :says nothing about how otten the notice lthould be repeated wen the copyrighted werk cOGshta ot repetitivEt or oontinuoua units on sheet-like materials such as textUe tabriaa. plastios, and paper products. a. The Offioe will suggest that, it possible, It would be safest under the court decisions to apply the notice directly to every repeat. b. For purposes of registration, the Copyr~ht Office will accept a notice appearing 1n the selvage or on the reverse side ot the material at frequent and re~ar intervals. For example, "e.. in the case of lII8terial printed from plates or cylinders on ~tary presses, a notice appearing
4.3.6 In classes F-K. (Cont'd) v. Repetittve units. (Cont'd) b. (Conttd) at intervals representing each revolution of the plate is acceptable. o. In certain cases, such as laces or transluoent plastics, the material may contain neither a selvage nor a reverse side on which the notice can be applied. Here a gmmned 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 faotor is the size of the unit in which the consumer ordinarily b~s the goods. Thus, if' the material is usually sold by the yard, deposit oopies which are one yard long and which show one or rn~r8 notioes may be accepted. 4.3.7 In motion pictures. The Office will recommend that tC16 notice in a motion picture appear on or near the title frame. However, a notioe appearing either in the open ing frames or at the end of a motion niQt~e is acceptable.
Ch. hIt.-lt.1 '4:1.i':'I Part 4.4 MISOELLANEOUS 4.4.1 Manuscript notice. Where the deposit copies bear a manu3cript 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 oases 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 pIa oed on all published copies (e.g., a hand written notioe on a printed label), the notice will be questioned. 4.4.2 Legibility and yisibilitl. I. Blurred notice. A blurred notice may be accepted as long as it is legible. But a notice 80 badly blurred as to be illegible wUI not be aooepted. II. Microscopio notice. a. Except as noted in the following paragraph b., a notice 80 microscopic that it cannot be read without a magnifying glass is not aooept able. b. Where the work itself requires magnification for its ordinary use (e.g., a microfUm, miorocard, or motion picture fUm), a notioe whioh will be readable when so magnified may be accepted, III. Congealed 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
Ch.. U li.h .. 3 4.4.2 Legibilitv and visibilitv. (cont'd) III. Concealed notice. (cont'd) a. (cont'd) Examples: (~ontld) (2) A notice whioh the Office is told is on the bottom ot a figurine cemented on a base that conceals the notioe. (3) A notice on a print used tor a calendar, with the calendar pad securely pasted down over the notice. b. A notioe which, though not visible on casual inspection of the work, becomes visible upon ordinary use ot the work, may be accepted. Examples: (1) A revolving set ot disks on which the notice (as well as some or all ot the copyright matter) is concealed when the disks are in starting position, but is revealed upon their manipulation as ~1rected. (2) A print used for a calendar, with a calendar pad suspended over the notice which is seen when the pad 1s lifted. 4.4.3 Notice atteyted by use of Hork. I. Notice on tarz or oontainer. a. A notioe on a detachable tag (such as a name or price tag tied to a work by a pieoe ot 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 aoceptable. (Note that the tag, wrapper, or oontainer may itself be registrable as a label.)
Ch. 4 T;:'Ji':3 4-43 4.4.3 Notice affected by use of work. (cont'd) 1. 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 rilm with notice on the leader which is not projected wen the rilm is screened.
4-44 k.4.3 Notice affected bv use of work. (Cont'd) II. Notice 11k~ly 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 ot the worlt 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 Ottice will recoIlll1lend the use of both a reverse notice on the portion of the work that vUl 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 jaoket. A notice on a dust jacket containing copyrightable matter is not acceptable as notice for a book reissued with no other new matter, since dust jackets are removable. (See also topics 4.3.1. II. d .) 4.4.4 Limitations in notioe. I. Lim1.tat1on not reqUired. Although the olaim ot copyright, as shown in the applioation, is limited to a portion of the work (suoh as new matter), the notice need not speoify' such a limitation. Where the work oontains both oopyrightable and noncopy rightable matter, a general notice (e.g., "Copyright 1960 by John Doe") may be accepted. II. When 11mJ.tat1on given. a. A notioe limited to specified portions or features of the work, it they are cOP.Yrigh~e. may be aooepted (e.g., "Introduotion and Illustrations Copyright 1960 by Popular Pub1iahing Co." or "Arrangement Copyright 1960 by Newsty1e Music Co. "). If the limitations in the notice are not shown on the application, it will be annotated.
4-45 4.4.4 Limitations in notice. (cont'd) II. vfuen limitation given. (cont'd) b. A notice which refers explicitly to noncopyrighteble matter as the subject of the copyright is not acoeptable. ExamplesJ (1) Where an asterisk tollows the brand name in an advertisement and preoedes the notice, thereby indicating that copyright is olaimed in the name (2) In a booklet advertising a system tor teaching languages, a notioe reading "The Fortnight System copyrighted 1960 by Linguistics Ltd.."
Part 5.1 Part 5.2 Part 5.3 Chapter 5 Deposit of Copies Outline of Topics TIME OF DEPOSrr 5.1.1 Unpublished works 5.1.2 Published works 5.1.3 Premature deposits 5.1.4 Delayed deposits 5.1.5 Ad Interim and waiver-of-fee deposits ARTICLES TO m: DEPOSITED 5.2.1 Unpublished works 5.2.2 Published works 5.2.3 M~tiple registrations QUALITY AND CONTENT OF COPIES 5.3.1 Best edition I. General requirement II. Presumption as to best edition III. Where we are aware of a better edition IV. Where copies are not of published edition 5.3.2 Complete copies 5.3.3 Defective copies 5.3.4 Notice in copies 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 manufacture 5.3.6 Identity between deposit copies 5-1 '"
5-2 Part 5.4 FAILURE TO DEPOSIT 5.4.1 Statute 5.4.2 Exceptions
Ch3pter 5e DEPOSIT OF COPIES Part 5.1 Tn~ OF DEPOSIT '.1.1 UnpubHBh~d Horks. Copies of an unpubli,hEld work JOy be doposited at any timo between the completion of the work and its pub11catlonf> 5.1.2 fubl~shfld l:orkse The lav provides that "Atter copyright h~8 been seoured b.1 publi ca1.iion or the work with the notico at copy right ...... e, there shall be promptly de pc'slted,"., ..... (17 U.S.Of> 9 13) Concerning .,1 interim and waiver-of'-tee deposits 8ee t.opio '.1.5. 5al.3 Premature dnposite. 1. When copies ot a work otherwise acceptable tor registration are deposited botoro the date ot publication, and the Ottice 18 in tormod that publication will be made 111 the near tuture, tho Office will hold the,eopies pending the receipt (attel" publication) ot the application and teoe Example. Two copies ot a book ready tor publication are deposited b.1 a publisher shortly before the announced date of publication. 11. When book material is received in manuscript or other unpublished torm, the copy or copiee are usually returned. to tho applicant. It thore is eome question as to the copyright ability or tho lrIOrk, the Oftice will l'6tain one copy tor the tile. It adv1sed that pUb lioatlon in the form submitted wW be D8de in the near future and tho eopies wUl be acceptable tor registration at~er pUblication, the Office will retain both copie8, 5.1.4 Delayed ~eDos1t!e I. The Ottice will accept depos1 ta tor tull term registration at any time during the eop,yrlght term at 28 years atter tir8~ pUblication. 5-3
5-4 j a. A deposit made after tho expiration or tho 28-rear term will not bs accopted for rogistration (except tor toreign works sp~cially ql~i tied tor later registration under an applicable extension proclamation). '.1.' Ad InterVl1. &n!1 Y9=Wr-ot-lC\9 s1~pop1.tta. I. A deposit tor ad interim registration must be received within six months atter the book or periodical was tirst published abroad. (17 U.S.C. I 22) Registration tor foreign works under the vaiver-of-f'ee prov1sioJUI is like wise conditional upon deposit ot two oopies (with application and catalog card) within six months tollowing pub lication abroad. (17 U.S.C. I 215) a. The six-months I period expires on the same day or the month as the date ot first publicat~Lon. 'thus, it publication occurr~l on Januar,y 15, the period runs through July 15. b. If' the s1x-months' period ends on a non-working day (Saturday, Sunday or a holiday), receipt or the deposit in the Library or Congress or the Copyright orr ice on the next worldDg day (Monday or the day atter the holiday) will be on time. (17 U.S.C. I 216)
5-5 Part 5.2 ARl'ICLES 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, 0, 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 Beene or act. e. Class M: a title and description, with at least two prints taken from different sections of the complete motion picture. 5.2.2 Published 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 BO published, if the fee is paid, or (2) two such copies if a catalog card is submitted in lieu of the fee. (But see topic 5.3.1 &8 to Ilbest edition.")
Ob. 5 5.2.2 5-6 ,',2.2 bbl1.hed yorkeI' (oont'd) o. U. So olt1len. Of' domicUiarle. &1"' required to deposit two cople. of their works first published abroad exoept vorlal .ubjeot to ad iDterill oopyright. 4. lor a work to be registered ad 1Dt8rl.' It .bf an American author or domioUi&17I} one oomplete ooW ot the foreign edition. It bT a torelp or .tateless author, .... ... in iteDl (b). •• For special registration ot an ~icl. in a multi-volume eno1'clopedla a two copies of the volume oontaining the article. t. For special registration ot a oontri bution to a periodical other than a oommercial print a one complete coPT ot the issue oontaining the oontri bution .. I. For a oQmmercial print published in a periodical: two oopies ot the periodical, one copy or the periodical aJld ODe tear sheet, or two tear sheeto. b. In exceptional oases, where the applicant sta te8 tha t it is impossible to obtain a coW or copie8 or the work, photostat or microtilm copie8 will be acoepted. Re prints will be accepted cml7 where the applicant states that it 18 1JIpo••ible to •• cure copie. or to make oopie. ot the original edition. In such 0&8.S, the Ottice wUl aaotate it. records (the application and cert1tloate) to show the nature ot t:4e Gopie. deposited.
5-7 'e2$2 l"bli8bl~ ~rk§. (cont9d) le lor aD.T published work 1n Class G, H, I, or K that 1s impracticable of deposit or unsuited to Cop,rr1ght attice tUing procedures because or itl weight, .1ae, fragUi tyt or monetary valuel' photographs or other ident1t7ing repro ·1uctlons -1 be depoe! ted in lieu of copies. (17 U.S.C. I 13) 1. The word "photographs" in this connection includes photostats and other photographio methods ot reproduction. The Ottice will encourage the tiling ot photographs in most cases talling wi thin the tour specified olasses. The Exam'n ing Division will lirite 1n appro priate cases requesting that the optional torm of' deposit be OOD sidered, but it applicant insiats upon depositing copies, registration will be made, and bis future deP08ita ot actual copies will not be questioned. 2. The term hrUing prooedures" is to be construed as referring to the ordinary procedure of' tUing materilU on ~okshelves or in tUing cab1net.~ It should not be contused with the Itorage procedures in the stacks .Ltilized tor bulky objects. 3. Exceptions to optional deposita (i) Where the work involved 1s a tine print ortwo-dimens1onal art reproduction (ii} Where the Library of Congreas determines that the aotual work is needed for 1.ta oollections or tor exchange purposes (e.gell anatomical models)
5-8 J 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, fragili ty, 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 0t equal size and ID1St DOt be smaller than 5 x 7 inches or larger than 9 x 12 inches in dimension. The preferred size is 8 x 10 inches. Each photograph or reproduction, regardless of size, shall present the work in an mge that is lifesize or larger; or, if a.-ller than lifesize, the image must be at least 4 inches in one of its diJlensions. 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 measureaent of one dimension of the work. 7. The copyright notice and ita 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 a&T include in each set a drawing of the fora of the notice showing it. exact appearance, its d1meDSions, and its specific poait.ion on the work. Such drawing shall be ot the .... daenaion as the sut.1ttecl photographs.
5-9 ,.2.2 publiahog HOLk1~ (conttd) 80 Each photograph O~ roproduction mu~t contain· the title of the work either on the tront or back thQreot~ 9.. Whore the required dimension or title 18 omitted trom the photograph but appeare on the application, it ma7 be added by the examiner, with an appro priate annotation_ .J (l 'or a published motion picture (Clase L or M)" the Office requests, in addition to the required. oopies" a description vhlch "IltB:$ consist ot a synopsis, preae book, oontlnuit1D or other 1dent1tying matter. '.2e3 MgltlPle registrationa_ l. Where two or more applications are submitted for separate component works within a composite or other larger work, or rO'l" the composite or other larger work as a whole and separate com ponent works therein, the npp1icant· will not be required to depos1 t roor8 than tvo copies ot the complete work (or one cop¥ whero this aatiat1ee the statutory roqu1rement) e Examp1S8J (1) A telephono diroct0r.1 in ono volume, with t\1O Class A applications tor separate rogistration ot the al~ betioo.l (white) section and tho classified (yellow) section (2) A book or six JIlUSical composition. ,.11th seven ClaS8 E applications. one tor the book as a whole and six tor the !nd1v1dual oompositions IX~ The necessity tor depositing copies with each application _7 be avoided only when tho •• veral applications are lIubmitted at the lSIIJIIe time and all tho works tall within tho same ola •••
5.2.3 Multiple registrations. (cent'd) Exception I In caseD where a bilingual A work i8 registered at the same time on lorm1-B Ad Interim and Form 1-8 FOl'eign, 0417 one copy (or two tmder the waiver ot-tee provisions) will be required. Examples. (1) 1 book ot text and illustrations, with Class 1 application tor text and Class K application tor illus trations a tour copiea required. (2) Separate application tor an1Ddi rldual musical composition in a colleotion, submitted atter regis tration tor the song book as a whole bad been oompleted I two additional copies required. III. Where thu applicant requests our advice ooncorning the number ot copies to be deposited in cases ot multiple registra tions, the Orfice w111 suggest deposit ot two oopies (or one wbere appropriate) to~ eaoh application, as a matter ot caution.
5-11 Part 5.) QUALITY AND CONTENT OF COPIES 5.).1 Best Edition. I. General reg,yirement. The deposit copies must be "of the best edition thereof then published, ••• n (17 U.S.C. I 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. () An illustrated edition of a book rather than an unillustrated one. (4) A printed edition rather than a mimeo graphed one. 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 reas>n 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. a. Where two or DlOre editions of different quality are published siDNltaneously, 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.
5-12 (cont'd) III. Where we are aware of a bgtt~r edition. (cont1d) b. In the case or a foreign work, registration may be made on the basis ot the copios received, and a request tor copies or the best sdition may be sent laters o. Where the Copyright Office bas intormation that prior to the date on which the application is fUed two or more editions of the same work but\ . at different physical quality have been pub lished at different timos, and the best edition is not the tirst published edition, we will request submission at copies of both the first published edition and of the best edition. 1. The faots given on 'the application (and affidavit, whore required) shall rofor to the first published edition. 2. The copies will be compared generally to determine that the:, are SUbstantially identical as to copyright notice and literary, musical, or artistic oontent. 3. It the copies are substantially identical as to oop;rrlghtable matter, both sets will be referred to the Library for selection. One set will be solected for retention and the other set will be returned following reg1stration. 4. If the oopies differ as to notioe or oopy rightable matter, the case wUl ba dealt with on its own merits. Examples I (1) The first pUblished oopies bear an inadequate notioe, the ola1m will be rejected. (2) The best edition oontains new oopyrightable matter; registra tion tor both editions will be requ1rSd.
5-13 Ch. 5 5.3.1 5.3.1 Best 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 Class K application). (5) Photostats of a commercial label. 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. c. 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. 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 periodicals as a number of separate items or as a serial.
en, 5
5.:5.2
5-14
5.3.2 Complete copies.
I. The copies deposited must be "complete copies"
(17 U.S.C. §§ 12, 13, 22)
II. In general, copies of an entire work as published
must be deposited. (See topic 5.2.2., I)
Examples of copies not acceptable because
not complete:
(1) A book with missing pages
(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 published
in an atlas
('r ) One earring
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.
Example:
(1) A game consisting of a copyrightable
board and directions, and uncopy
rightable game rack and pieces
IV. An unpublished manuscript (Class C, D, or E) which
is sufficiently developed to be used for delivery
or performance, is acceptable as a complete copy
even though there i~ some indication that additional
material may later be added.
[ 1973 ]
5-15 Cb. 5 5.3·3 '.'.3 DQfect1v§ 2onl~. I. The copies doposited should 1» freo from 8ub3tantial dofects suoh as blnnk pnaoo, overprinted pages, torn or mutilated p~ges, brokon piecos of jowelry, etoo>o Whore tho defect 18 found during the courso or ordinary examination ot the copies, registration will be withheld and a porfeot oop,y will be requ~sted. 11$ Where the defeot is not one that would normally bave been found in the course of ordinaq ElXOJIl lnation, bu.t 18 disoovered within six months atter registration, the Cop,yrlght Oftioe vill wri te requesting a new oop,y. It the dof'eot 1& disoovered after six months, the case wlll be returned to the Library to be handled by the Departmont conoerned. &" In suoh cases the detective copy vll1 be held in the U.B~ envelope, but no follow-up lettor wUl be sont. If' no reply 18 received in 30 days, the Service Division vill return the imparfeot oOPr, with a carbon oopy ot the Copyright Ottioe letter, to tho Librar,y. be In such cases it is not necessary to ofter to return th~ defeotive copy to the appli cant. However, tho copy ahould. be returned. it the applicant requests it, even it it haa bean acoessionode 00 In such cases the applioation will not be annotated, and the registration number will not be stamped on the new copy" ,.,.4 Botic, in QOQieao 1. Horig (trot nubliRhad in th(j United Statea. The deposit oopies ot a workol a U. S. citizen or domiciliar,y, (except a work subject to the ad interim prOVisions), or the deposit copieD of a work first published in the United Stateo, Illust bear an appropriate notioe ot copYl'ighto (An to appropriate notice, see Chapter 4; as to publica tion, see Ohapter 3e)
5-16 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. 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 mimeographed work or on any work of which only a few copies were published. II. Works first published abroad. (See topic 8.2.1) a. With the exception of works seeking ad interim registration, the copies of works deposited for registration following publication abroad after June 18, 1959 must bear a notice of copyright in the required form and position. 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. III. UnpUblished works. The deposit copies of unpublished works need not bear a 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 Jlust be accompanied by an appro priate affidavit of their domestiQ production. (17 U.S.C. §§ 16 and 17; see also Chapter 6.)
5-17 5.)06 Identity between deposit copies. lID ~nlore th'J law rcquir~:J dopon If or two 00p103 of a workp thoBe oop1ao should bo 1dontlc!1lo a c Examples ot unaocupt~ble dopoo1taa (1) Two pieoes of jewelrYD idontical excopt tor tho1r goms; one cont~in8 emer~ldft and the othor rubies (2) Two textile swatohos~ one oon~~lnlna a des ign in :red. and green ~ the othor oontaining tho sam~ design in gray and blue t~) Two textile a_tobes ehowing different stretohos of the repetitive pattern (4) Two labelso idontical excopt tor tho pl"oduQt ll'l&D1$Jl one tor Drl-Dup Prunos and the other for 0-0 Raisine (5) A teal' sheet of eo periodical adver tisement and a proof oopy or the same advertisement ~6) Two copies of a telephone book, the contonts ot whioh are identical but vhloh are bound in different covers beeauee thoy are distributed 1Jll differont loo81itlo~ 110 Exoeptions to tho ~aquirement for identity be tween the copies are reoognized only wIlen tho oiroWlstances are unusual or' tho ditferenoee &r$ 80 minor as to be nealiglble~
5-18 Part 5.4 FAILURE TO DEPOSIT 5 .. 401 ~~tno It tho required COpiC1S nl"a not nf.1' mJ;p l:. l y dopont tadn~ e.fter tho work b~o boon publlohod with notlcG p ttthe Register of CopyrlghtfJ r.'/).Y l.'.t any t11':::.t atter the publication of tho \lol~kD upon nctu:'l.l notd.eel' require the proprietor of tho coplright to dcpou1t them 0000" (17 U.SeC& B 14) Ie The statute -wUl loO deemed to authorize the Register to require the submission ot an application and teo for ~egi8tration as well as the deposit of cop1es& The 1'6 queet ter oompliance will ask tor all threo" lIe Even where all three elamenteD oopy-,lpplica tioD and tee~ have been received: oompliance aotion'maT be undertaken to require oorrection ot an existing informal:!.ty in the application preventing immediate registrat10Ue XIII> It the olaimant refuses to OOIQply with requests or ignores several lettersD the Offico will then oon~ldor in eaoh case whotbor to ~nke a formal demand t.or complianoe and what further action to to.ks e '.4.2 Exoeptions. x. Foreign works protected unde~ the Universa] Copyright Convention and tirst publishod abroad with the copyright notice specified in seo. 9(0) of tho statute are exampt trom the deposit, domand~ and compliance provlsionse lIe It is not the practice ot tho Complianoe Soction to initiate compliance action with reopact to any foreign publicationse XIX. GenorallYll unless the works upon examination 880m olearly registrable, inoluding correct notioe of oopyrightD the Complianoe Seotion will Dot initiato compliance action.
Ch, 6 Chapter 6 Manufacturing. Clause Outline of Topics Part 6.1 1. N 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 registrat~on 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 6.2.2 Manufacture in U. S. I. Processes to be performed in U. B. II. Partial manufacture in U. B,' III. Lind ted claims and disclaimel:"s 6.2.3 Affidavit I. When required II. As evidence of U. S. manuractiure III. Form of affidavit IV. Content, V. Execution 6.2.4 Illustrations in books Part 6. 3 PERIODlCAIB 6.3.1 Periodicals subject to manufacturing clause I. In general II. Exceptions to general rule 6-1
Ch. 6 6-2 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 LlmOORAPHS AND PHOTOENGRAVINGS 6.4.1 When subject to manufacturing clause I. General rule II. Pictorial or graphic works nof Lnc.Luded III. Statutory exceptions 6.4.2 Illustrations in books I. Where book is subject to manufa.cturing clause II. Where book is not subj ect 'co manu facturing clause III. Where text is in public domain IV. Separability of text and illustrations 6.4.3 Separate lithographs and photoengravings I. 1,p general II. Illustrations in books a.s separate.' works III. Collection of pictorial works 6.4.4 Evidence of registrability I. As to illustrations in books II. As to separate pictorial yorks
Ch•.6 6.1.1 Chapter 6. MANUFAC'IURING 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. 6 16): a. The text of any book or periodical by a U. S. author or domiciled aJ.ien, 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 periodicaJ. 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 6 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 8 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 accompaniei 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. Manufa,cture in an tncorporat.ed terri tory or in an organized unincorporated terri tory of the U. S. will be regarded an manufacture "wi thin the limits of the United States" (Code, 9 16), for purposes of regis tration. Tncluded are: 1. Panama Canal ZOne 2 • !he Virgin Islands 3. Puerto Rico 4. Guaa 6-3
6.1.2 Chs 6 6-4 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 pub.Lf.shed outside the United States. (See Ch. 8, Works first published abroad.) 1. Uorks by U. S • citizens or domiciliaries. 2. UorkH 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 c Ltizens of a country party to the U.C.C. and who do not first publish the work in such a country. b. A book or periodical in a foreign language is not registrable ad interj~. c. If an application for ad interim registration is recei ved for a work in a class which is not sub ject to the manufactur1,ng clause (e.g., a drama or a book of music), an apl?'licat,ion for full-term registration on the appropriate :fom (e.g., Fonn D or Fonn E Foreign) nay be s:ugsested instead. tI. American edition. Aftel1 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 .lithin five years of foreign publication may be registered in Class A or B.
Ch. 6 6.2.1 6-5 Part 6.2 BOOKS OF TEXT 6.2.1 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 16 in the English language (see tonic 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. Manu:facture in the U. S. is not required for the registration of books in the followinp; in stances: 1. Books in raised characters for the blind (such as Braille). 2. Books "of foreign origin in a language or languagee 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 Bought. (See topic 6.1.2 and Chapter 8.)
Ch. 6 6-66.2.1 6.2.1 Books subject to manufacturing clause. (cont'd) 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 B 9(c). (See Chapter 8.) 5. Books in any language by foreign authors, first published in a U.C.C. c.ountry with the U.C.'C. notice specified in I 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, the Office will suggest that the affidavit be .j 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 .nimeographed, type wri tten, or similar book may be made on Form A-B Foreign. 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 (wi thout the affidavit) would be used if the book was by an American' citizen or domiciliary, and Form A-B Foreign would be used in all. other cases. II. Other works published in book form. a. Dramas. Dramatic works, though published in book fom, may be registered in Class D without regard to the place of manufacture. However, when the
6-1 6.2.1 Books subject to manufacturine 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 trp.ated 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 book subject to the manufactur ing requirements. 2. When the bul.k 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 c~npilation 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. f 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 tp the place o~ manu facture, unless those works are lithographs or ho to e n g ra V i n ~ s SUbject to the manufacturing claus(~ see Part 6.4).
Ch. 6 6.2.1 6-8 (cont'd) II!. Language and authors~p. a. English language. 1. The following English-language books are subject to the manufacturing requirements: (a) Books first published in the Un! ted States. (b) Books by U. S. citizens and domicili aries. (c) Books by citizens or countries not party to the U.C.C. and not first published in a U.C.C. country. (d) 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. 1. Assuming that it otherwise qualifieS for regis tration, a book in a foreign language by a foreign author, first published abroad, may be registered on Form A-B Foreign Without re gard to the place of manurec ture, 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. 3. A book in a foreign language must be manu factured in the United States if the a~thor is a citizen of or domiciled 1n the United Statesi if manufactured abroad, it cannot be reg~6tered.on either Form A-B Foreign or Form A-B Ad Interim.
6.2.1 Ch, ~ ~ 6-9 6.2.1 Books subject to manufacturing clause. (cont'd) III. ~nguage and authorship. (cont'd) ~. 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, "'i thout 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 Int.erim, might be prefer able. (b) If the English and foreign lan guaGe material are evenly balanced, dual regiatrations may be made on both Form A-B Foreign and Form A-B Ad Interim, without correspondence. Ii' either Fonn A-B Ad Interim or Form A-B Foreign is received alone, registratlon will be made, but a cautionary ~e~Ler should be sent pointing out the possibility of an additional entry on the other form.
~ 6.2.1 6-10 6.2.1 ~oks 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 Fom A-B Ad Interim, wi thout correspondence. If only Form A-B Foreign is received, registration should be made, but a cautionary letteI pointing out the possibility of ad interim registration should be sent. (d) In any of the above cases, no disclaimer or limitation of claim need be included on the application. d. Mixed languages: U. S. author. ylhere a book by a U. S. author, manufactu~ed abroad, is partly in English and partly in a foreign language: 1. An appl1cation on Form A-B Foreign cannot be accepted, 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 Ehglfsb aai foreign-language material are evenly balanced, or the foreign-language material predonrlnates. e. Mixed authorship: foreign-language work. Where a book in a foreign-language, manufactured abroad, 1s written by authors of more than one nationality, registration may be made on Form A-B Foreign, even if one or more oi the authors 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.
Ch. 6 6-11 '6:?72 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 publisheq 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, and 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 fir.st publication abroad. 6.2.2 Manufacture in U. S. I. Processes to be performed in U. S. a. Printing from' type. If a book subject to the manu facturing clau:3e is printed from type, then the setting of the type, the making of any plates, and bhe 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 !Deet the requirements of manufacture in the U. S.
Ch. 6 6-12 6~2.2 6.2.2 Hanufacture in U. S. (cont'd) I. Processes to be perfol~ed in U. S. (cont'd) b. Lithographic or photoengraving proces~. 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, un~er the rule of doubt, e.s complying with the requirement that the lithographic process be performed in the U. S. 1~e 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 un:lt, the entire text must be manufactured in the United States. Where only a portion of the 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. (2) An English-French and French-English dictionary by a United States author, printed partly in the United States and partly abroad.
abo 6 6-13 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 p~inted abroad, the claim being limited to the English version. (2) Defoe's "Moll Flanders" with its pu.bLic domain text printed abroad and a new J.ntroduction prdzrt.ed in the United States, the claim being limited to the introduction. (3) 1\ collection of short stories in English, some by U. S. authors printed in the U. S. 'and, some by Australian authors printed in Australia, the claim being limited to the works of the U. S. authors. III. Limited cl~ims and disclaimers. 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. b. Where the notice contains no limitation or disclaimer, an application in which the claim is clearly limited may be accepted with a cautionary letter. 6.2.3 Affidavit. I. When reauired. An appropriate affidavit of manufacture in theriited 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 othe~ case.
·Ch. 6 6.2.) 6-llt. 6.2.3 Affidavit. (cont'd) II. As evidence of U. S. manufacture. a. A properly completed affidavit showing compliance wi.th the requirements of U. S. manufacture will usually be accepted as establishing such compliance. But j.f 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 defini tely that the requirements of American maIlJI 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). For example: the affidavit and imprint show that the book was printed in Canada. III. Form of affidavit. a. The Office will generally r equi re use of the affidavi t fonn 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 retu~ned to the applicant for completion. If an incomplete affi.davi t 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. ft 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: 1f the book is mimeographed or typewritten, the form of affidavit on Application Form A may ~ be rev1~ed +0 state that the ~opies vere "pro ducedfl ~or ,'fmimeographed" or iltypedlt ) in the U. S.) 1
eh. 6 6-15 b:2:'3 \.,. 6.2.3 Affidavit. (cont'd) Dr. 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 r.o~ required) of the establishment performing ea~h process; and d. ~~e date of the completion-of the printing of the book or the date of publication (see Chap. 3). v. Execution. 8.. 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 a.t the top of the form and that in the jurat or sea.l may be ignored as long as the two give the same state. Exarnple5: (1) "Baea County, Colorado" in one place, "Yucca Coun~, Colbrado" in the other: acceptable. (2) "Baca County, ColoradoII in one place, "Jasper County, Missouri II in the other: "the Office 'all request a new affidavi:t. b.. Affiant. 1. The affidavit must be m~de by. (1) the copyright claimant, or (2) his aU~horized agent residing in the U. S., or (3) the prin~er. 2. A mistake or oversight in indicating the capacity of the affiant vdll not-bar acceptance of the affidavit. Examples: (1) Affiant is tqe claimant but he has checked the block ~eferring to the agent or vrinter.
6-16 6.2.S Affi~vit. (cont'd) v. ~xecution. (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 ;i.nformed, it will assume he is the authorized agent of the claimant. (3) None of the three blocks on the forw has been checked but the affidavit r~6 been signed. Unless otherwise informed, the Office will assume that the signa ture is that of the claimant, the claioant'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 im tials nay 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 ~ the affidavit states that i~ represents hlis signature. (c) An illegible he..:.'"lQwrit:ten signature Day be accepted. 2. T~e name of a corporatio~ or other organization is ~ot acceptable as the signature of the affiant unless it is acoompanied by the signature of an individual. Examples: (1) "Sturm and Drang Co. 1I is not acceptable. (2) "John Callahan, Inc. by Job.-, Ca.ll.a.han, President" is acceptable.
ab. 6 6.2.46-17 6.2.3 Affidavit. (cont'd) v. Execution. (cont'd) d. Date of execution. 'I'he affidavit must ordinarily give the date of its execution. ~be 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. t. Expiration of notary's commission. An af':f'idavit 'withotlt the date of expiration of the notary' B 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 seaJ. is required only when the state law requt res it. 'I'he 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 fonnalities is not required, but if it is necessary to request a new application such compliance may be suggested.) h. Certificate of notary's commission. The Office does not require such a certificate even thow;z:h. 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. 0.2.4 nlustrations in books. Where a book subject to the manu facturing clause contains illustrations produced by litho graphic or photoengraving process, such illustrations (it not wi thin an excepted category) must also be manufactured in the United States to be registrable. (See Part 6.4.)
6-18 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 -eo general rule. Manufacture in the U. S. is not required for the registration of periodicals in the following instances: a. Periodicals in raised characters for the blind (such as Braille). b. Periodicals,lI of foreign origin in a language or languages other than Englishll -- that is, foreign language periodicals of foreign publishers. Note: a periodical published by a U. S. citizen or domiciliary is not regarded as a work "of foreign origin." (See topic 6.2.l.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.) 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 e 9(c). (See Chapter 8. ) 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.) 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.
Ch. 6 6.3.3 6-19 6.3.3 Book rules not applicable. I. Evidence of U. S. manuracture. 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 lIlB.nufacture of the illustra tions in a periodical, even though they are lithographs or photoengravings, is not considered in determining the registrability of a work.
6.4.1 Ch. 6 6-20 Pert 6.4 LITHOGRAPHS.AID PKOTODGRAVINGS 6.4.1 When sub,1ect to manuf'acturiDg 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) IlUSt 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 Ulustrates a scientific work or reproduces a work of art need not be MnUfactured in the Un!ted States, and 'Ia1 be registered regardless of where it was manufactured. (see topic 6.4.l.,III.) b. Where the author of a li thosraph or photoengraving first published abroad is the citizen of a foreign countr,y party to the U .C.C., or where the lithograph or photo engraTing was first pu.blished in a foreigu. U.C.C. countl'7 and the author is neither a U.S. c1tizen nor dcII1cUi&r1, the work is exempted from the -.nutaetu.r1ng ..a requirements if it bears the special U.C.C. copyright ..., 1'1Ot1ce prescribed in § 9(0). (see C21apter 8) II. Pictorial. or pphio works not included. a. ihose produced Ex other moesses. Pictori&1. or graphic works produced abroad by a process not teebn1ca.ll1 a lithographic or photoengrav1J:lg process..., be registered. Bx:amples: (1) Photogre:vures, rotograwres, etehings, line engravings, .zzotints, wooa. cuts, drypo1nts, aquatints, collotJpes, aDd works pro4uced b1 stipple and C1'qon ensrav1ng, etc. (2 Photographs. () 3) Band drawings or paintings. b. nlustrations in works other thaD books • Lithographs or pb.oteeDgrav1Dp Wich are neither 11luetrations 111. a work cl·usit1ed as a book nor separate works are not considered subJect to the anufaetur1Dg require ments. Thus, where a work to be registered in a class other than A (e.g., a periodical, a ~, or a ... leal QClIII)Osition) contain8 lithographs or photoengra"f'iDp as 1llustrati0D8, thq JIq be iD cluded as OQI.PODeD,t parts of 'the work registered """"l (ill class B, D, or I), reprdless of where thq were -.nutaatJlNd •
Ch. 6 6.4.1 6-21 6.4.1 When subject to manufacturing clause. (cont'd) III. Statutory exceptions. a. In general. Li t.hographs end photoengravings, v!hcthcr published separately or in books, are exempted fr~n the manufacturing requirements if "the subjectn re presented are located in a foreign country and illus trate a scientific work or reproduce a work of art" (e 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 (a) an illustration published as part of a "scientific work," or (b) a reproduction of a "work of art." b. Scope of th~:.. exempt.Lonc , 1. The "subject represented. 'I The subject which must be located abroad may be either: (a) 'rhe actual thJng shown In the picture (e.g., a real person or thing, such as Winston Churchill, the Eiffel Tower, or Mont Blanc), or (b) The pictorial or graphic work which is reproduced in the lithograph or photo engraving (e. g., a Gennan ana'tomf.cad, drawing, a painting in the Louvre). 2. "Located in a foreign country." (a) The "sUbject" is IIloc ated 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
Ch. 6 6.4.1 6-22 6.4.1 When subject to manufacturing cl~~~o (cont'd) III. Statutory exceptions. (contid) b. (cont'd) 2. (cont'd) (a) (cont'd) (2) ~le pictorial or graphic work which is reproduced in the lithograph OT 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). (b) A "subject" is not "located in a foreign country" simply because it has been trans ported there from the Unit0d States for the purpose of being reproduced. Examples: (1) A painting located permanently in an American galleI"'J (even though by a foreign artist) (2) m~etches created in the United States for the purpose of repro~ d~ction as irlustrations in a book 3. Illustration of alscien~ific work. A lithograph or photoengraving "illustrates a scientific work" if it is an illustration published in a book or similar work deal:l.ng with a scientific subject, or if the lithograph or.photoengraving itself depicts a scientitic subject. Examples: (1. ) Lithographic reproductions of anatomical drawings by a physician in Germany, published as separate wall charts
~-23 6.4.1 When subject to manufacturin::~ cLnuse , (cont ' <1) III. Statutory exceptions. (contra) b. (cont'd) 3. (cont'd) Examples: (cont'd) (2) A photoengraving of the Taj Mahal in a book on architecture (3) Litbographic reproductions of photo graphs of native villages in the Belgian Congo, illustrating a treatise on anthropology 4. Reproduction of a. "'ork of art. (a) A lithoeraph 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) Pl1otoengravings reprodUcing drawings of scenes in London (b) A lithograph or photoengraving which repro duces a ';Torle 'Of art located abroad need not be manufactured in the United States, ever.. though the vo:;rk of art was created abroad for the sole purpose of such reproduction. Examples are ~ithog~aphs or photoengravings reproducing: (1) Drawings/made in England to illustrate a special edition of Dickens' works (2) Paintings of Christmas symbols made'in Genaany for greeting cards
6-24 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. EJcamples: (1) illustrations in a book by a foreign author in a foreign language (see topic 6.2.1, III) may be includ.ed 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. vlhere 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.) N. 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.: 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.
ab. 6 6.4.3 6-25 6.4.2 nlustrations in books. (cont' d) IV. Separability ot text and Ulus trations • ( cent' d) b. Where the illust.ratioll8 in a book are not required to be manufactured in the U.S. (e. g ., lithographs or photoengravings illustrating scientitic works, lithographic reproductions of works of art located abroad, or wood cuts): 1. A claim limited to the illustrations alone ay be registered in the appropriate Clus F-IC, even though the text and illustrations were both anutactured abroad. 2. If the book 18 registered ad interill, the illustrations ay be registered separately in the appropriate Clus F-IC. c. Limited claiJu and disclaimers. See topic 6.2.2 III. 6.4.3 Separate li thOgrapha aDd photoeyraviw. I. In seneral. Lithographs or photoengravings, to be regis trable as separate works 1n Classes F-K, IIWIt be manufac tured 1n the U.S. unless they ccae wi thin the statutOl"1 exceptions noted in topic 6 .4.1, nI. II. Illustrations in books &8 separate works. !!.'he 1llustra\" tions in a book may be treated as separate works (see topic 6.4.2, IV). III. Collection of pictorial works. A number ot lithographs or photoengrav1Dgs published together 111 book form (with oDly brief incidental text or none) may be a collection of separate works. Thus : a. For reg1stratiOD ot the entire collection as a whole in an appropriate Class '-:I, each lithograph or photo engraving DIUIt be aantactured in the United States or IlUSt be within the statutory exceptioDS noted in topic 6.4.1, In. b. It &IV' of the lithosrat>h8 or photoellgraviuaa 111 the collection is not wi thin the statutory exceptiou 8Il4 bas been -.tactured abroad, a claillliJd.ted to the other works in the eollection (those anutactured ia the U.S. and those wi thin the exceptions) JIIIJI3 be registered in an appropriate CD.aa. J'-IC.
Ch, 6 6.4.4 6-26 6.4.4 Evidence of registrab~lity. I. As to illustrations in books. Where an appropriate affi davit of U. S. manufacture (see topic 6.2.3) is submitted wi th 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 illu~trations. 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 requir~nent (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. II. As to separate pictorial works. a. 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 registration of the pictorial work is not barred by the manufacturing clause. 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 ,.
Qh. 7 Chapter 7 CITIZENSHIP AND DOMICILE OF THE AQTIlQR Outline ot Topios Part 7. 1 IN 0EgtAL 7.1.1 Statutory provisions I. U. S. authors II. Foreign authors 7.1.2 Copyright Ottice Folicy 7.1.3 Authors and proprietors Ie Author's oitieenshlp determinative II. Which author III. Posthumous work 7.1~4 Time as ot which status ot author is determined Part 7.2 WORKS BY FOREIGN AND STATELESS AtrrHORS OOMICILED ABROAD 7.2.1 In general I. Conditions tor U. S. Copyright II. Citieens of countries with whioh t~e U. S. has oopyright relations III. Citieens ot countries with whioh the U. S. has no oopyright relations 7.2.2 stateless authors I. Detinition II. Eligibility tor U. S. Copyright 1-1
7-2 Part 7.3 WORKS BY FClREIGN AUTHClRS DC\tof!ClLED IN THE U. S. 7.3.1 In'general I. Pennanent residence IIc Existence of copyright relations with country of domicile 7.3.2 Territories Part 7.4 7.3.3 Unpublished works WORKS OF MIXED AlJTlIlRSHIP 7.L.l Various nationalities I. Specific contributions II • El1pible parts proportionately small
Chapter 7. CITIZENSHIP AND DaaCILE OF 11m AumOR
Part 7.1 IN GENERAL
7.1.1 Statutory Provisions
I. U. S. Authors. A work by a citizen ot 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,
nI. b. 3 conceming 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 ot the U. S. is subject to
copyright only under one ot the following condi
tions:
a. It the author was domiciled in the U. S. on
the date of first publication ot the work
{17 U.S.C. §9(a»j
b. It 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 1s a citizen ot a "pro
claimed country" (one with which the U. s.
has copyright relations as determined by
a Presidential proclamation) or
2. It the author is a citizen ot a countr,y
wich is a party to the Universal Copy
right Convention, the Buenos Aires Conven
tion of 1910, or the Mexico C1ty Convention
of 19a:!. (See 1tem 7.2 .l.II.b. concerning
a work whose author 1s a c1 t1zen of a coun
try with which the U. S. has copyright re
lations only through the U.O.C. and that
is first published in the U. S.)
c. It the work was first published in a count...')"
(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 stateles8.
7-3
(~)
Ch. 7 1.1.2 Chiyrirht Office POliC~. In generalj a statement of citizen s p or domicile will e accepted at face value. SUch a statement will not be questioned unless it is contradicted, by other information in the filej or unless it appears con trary to facts that are commonly known. Likewisej the Copy right Office will not attempt to settle questions of domicile or otfer 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 oitizenship but has not yet been naturalized. (2) An application stating, for instance j that Shostakovich is a Polish citizen will be questioned. 7.1.3 Authors and Proprietors I. Author's cttizenshi t determinative. In.generalj it Is the citizenship or domicile) of the Itauthortl ot a work, rather than that of the copyright owner, that determines its eligibility for U.S. copyright. The citizenship of the copyrd.pht, owner, as such, is generally immaterial for this purpose. Examplesl (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 Shoatakovich, 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.
7.1.3 Ch. ? 7-5 7.1.3 Authors and Proprietors (cont1d) II. Which aythor. The "author ll whose citaenahip (or domioile) is determinative in a partioular case is the person yho oreated the material oovered by the oopyright olaim. a. In the case of a "new version," the oitizenship (Qr domicile) of the author of the oopyrightable n8\l matter, rather than that of the author of an earlier version upon which the present work 1s based, is the deciding faotor. 'Examples z (1) A composition by a Russian oomposer, edited and arranged by an Amerioan citizen, may be registered on the basis of the ney matter. (2) A translation of "Gone With The Wind" by a Russian citizen m~ not be reg istered (unless first pUblished in a foreign v.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 faotor. ExamplesI (1) Registration may be made for a York written by a Russian citizen as employee for hire of an American publisher. (2) Registration may be made for a periodical, the publisher of yhloh 1s an Amerioan citizen, regardless of the oitizenship of the various contributors, editors, eto. (S-62)
7.1.4 Ch. 7 7-6 7.1.3 Authors and Prgprietors (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 require ments. (See Supplementary Practice No. 3Y.) 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 o 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 ). (1973J --'
Q!'!.:...l 7-7 7·2 .. 1 Part 7 .. 2 WORKS BY FOREIGN A.ND STATELESS AUmORS OOMICILED ABROAD 7.2.1 In General I. Condi tiona 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.8.. has copyright relations; or b. '!he work was first published in a U.C.C. country (other than the U. 8.); or c. '!he author is stateless. II. Ci tizens of countries with "Which the U. S. has copy right relations. a. In general, a published or unpublished work by a ci tizen of' a 'proclaimed country, " or of' a country which is a parvto the Universal Copyright Conven tion or the Buenos Aires Copyright Convention of 1.910, is eligible for registration, regardless of the domicila of the author or the place of' first publication. b. A work whose author is a ci ti zen 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. Ci tizens of countries 'With which the U. S. has no copyright relations. a. An unpub1.ished work by a citizen of a country that does not have copyright relations with the U. 8. cannot be registered if the author is domiciled abroad (unless he is a ref'ugee "Who has his habitual residence in a state part7 to Protocol I of' the U.C.C.). (~).
Ch. '7 1·2.1 1-8 1.2.1 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. 1.2.2 stateless Authors I. Definition. A stateless author is an author who has renounced or has been deprived of his former citizen ship, and 'WlAO has not yet become a citizen of another country. II. Eligibility for U. S. COpyr~. 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. (4-6")
7 .J. 1 I" , Ch. 7 7-9 Part 7.3 "'(IRKS RY FOREIGN AUTHORS D0MICILED IN THE U.S. In General. A published work by a foreign author may be eIIe!b~or 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 yenerally rerarded as "domiciled" in the U.S. if he intends to make his permanent residence within its territorial limits. II" Existence of copyrirht relations with country of aomlcile. A work by an author whO lis a citizen of a country with which the U. S. has no copyright relations will not be elieible for registration by virtue of the author I s domicile in any country other than the U.S., even if it is a country with whioh the U.S. has copyri~ht 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. t 1. Puerto Rico 2. Panama Canal Zone 3. Virgin Islands 4. Guam 7.3.3 Unpublished \-lorks. It is questionable, under the wording or 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 reristration is deferred and the applicant is informed of the problem and of the procedure for securiny copyripht by pUblication with notice; if registration for the work in unpublished form 1s still desired, it may be made under the rule or doubt. (S-62)
7-10 Part 7.4 "'ORKS OF ~IXED AUTHORSHIP 7.4.1 Various nationalities. A work written ~ointly by authors of various nationalities, some of "Thom are eliy.1ble to secure U. S. copyri~ht, will be registered on the basis of the authorship of those who are e1ifible. "(Rut see topic 6.2.1, III. It; mixed authorship I foreign lane:uaf'e work). " I. Specific contributions. Ordinarily no effort is made to have th~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. He Eligible parts proportionately small. However, where tne parts of the work t.hat are eligible for registra tion are so small in proportion to the work as a whole that the entry mipht otherwise be misleading, the apo1icant will be requested to specify those portions of the work in which copyripht is claimed. Example: (1) A piano concerto by Shostakovich in which the only copyrirhtable matter consists of dynamics and a brief biographical sketch by an American editor.
Ch. n Chapter 8 Works First Published Abroad (including Ad Interim CopyriGht 1 Outline ot TOpics Part 8.1 IN GENERAL 8.1.1 First publication abroad I. What constitutes II. Simultaneous publication 8.1.2 COPY1"iabtab11ity of worlts first published abroad I. Publica.tion in a U.C.C. Country II. Ad Interim cQpyr:J.ght 8.1. 3 Effect of first }'uhllclltion abroad I • Oene ra.l. r'l.Llc.' n. Exeeptiol1S U. UYlpubliE:hed reglstration b. Ac1 Interim regist.rat1on III. Requl r-emen t.s for regi s tra tion IV. Rc£¢.s trabil1 ty of' American edition of "'ork fir6t published abroad a. GenernL rule b. Registration for American edition of vork registered ad interim Part 8.2 NOl'ICE OF COPYRIGllrp 8.2.1 General requirement of copyright notice I. First publication abroad a. Heim case doctrine b. WO'rks aubject to ad interim reaiatro.tion . 8-1
Ch. (3 8-2 Part 8.2 HO'rrCE OF COPYRIGHT (cont' a) II. L~ter pUblication a. U.C.C. requirements b. Late r publication in United St:ltcs 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 Ie In general II. Name of the copyright proprietor III. DatP. in thc notice IV. Position of the notice Part 8.3. REQUIREMENTS FOR REGISTRA'frON 8.3.1 Necessity for registration I. In gene ra L II. U•C•C. worlm I. Unpub.l Lshed works II. Published vo rks a. U. S. author b. Foreign or stateless authors c. Waiver-of-fee option Part 5.4 AD INTERIM ';OPYRIGHT 8.4.1 In general I. Definition II. Cross-references 8.4.2 Works subject to ad interim registr~tion I. Scope of ad interim copyright II. V.C.C. exemption III. Copyright Office policy concerning ad interim registration
co, 8 8-3 Part 8.4 AD INl'ERn.1 COPYRIGH'r (cont I d) a. In general b. 'Horks exempted under U.C. C. 8.4.3 Requirements for ad interim registration I. Time limi ts 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 copier. I. In general II. Import statenent 8./ •• 6 Extension of ad interim copyright to full tenn 1. Statutory provi sfon II. RequirfflnenLs for full term registration III. Extension of F.ubsist1ng ad interim copy· rle;hlP under U. C. C•
8.1.1 Ch. 8 Chapter 8. COPYRlmrr IN ~IORKS FIRSr PUBLISHED ABOOAD (I!'ICLUDING AD III rERUf COPYRIGHT) Part 8.1 IN..QENEJ~AL 8.1.1 f!rs~ publication ~proad. I. What constitu~es. For purposes of this chapter of the Com pendium, a work is regarded as firs~ published abroad it first publica~lon took place in a foreign country - tha~ is, in a country which is outside ~he territorial limits of the United Sta~es and which is not an incorporated or unincor porated territory of the United sta~es or an organized area under ~he jurisdiction of the United States. II. Simultaneous RUbltcation. For purposes of this chapter of the Compendium, though no~ 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 cat:.lon in the United States rather than firs~ 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 Stat:.es 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 ~he 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 gopyright&bility 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. cOJUlt:.ry. Where the author of a work is not a ci~izen or domiciliary of the United states, the work is copyrightable if first published in e foreign coun try that is a party to the U.C.C., even if the author is a citizen of a country with which tbe United States does not have copyright relations. 8-5 (April 1961)
8-6 8.1.2 g~rigQtability of works first published abroad. (cont'd) I. P~b1i~ation 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 !nterim~righ~. 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 publicatiun, 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 • Exceptioll.f?• a. Unpublished registration. Copyright in a work first registered in unpublished form is secured by the act of registratiun 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 rna terial for ,... hich un pub.l.l shed 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. ). 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.).1.11.) b. Ad interim.rceistration. 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 Par t 8.1+.) ~
Ch. 8 8.1.3 8-7 8.1.3 Effect of first publication abroad. (cont'd) II. Exceptions. (conti d) b. Ad interim registration. (cont'd> 1. Ad interim copyright lasts a maximum of five years. and the ad interim term is computed from the date of first publication abroad. (See topic 8.4.3.1.> 2. Ad interim copyright may be extended to the full term if an American 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.b.ll.b.> In luch case the full copyright tenD 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 accompanied by a copy or copies of the foreign edition. (See topic 8.4.3.11.) 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. (See topic 8.4.0.11.) b. Registration for American edition of work registered ad interim. When the American edition of an English-lan guage book or peridocial 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 haa been manufactured and published within five years after the date of first publication abroad.
8-8 Pal't 8.2 NOTICE OF' COfYHIGtrl' 8.2.1 General reS!;l1remont ot eoW1;9iht notd.ce, I. First publication abl'oad. To eeeu, Q coptright in the Uii1te(Fs'£a'£es,worb, ·Wst pUb118hed abroad must gcneral11' boar the statuto17 copyright notice at tho time of first publication) this is true regardless ot 'tmather the author is a oitizen or domioiliary of the lhnted statos, a oiti zen ot a U.C.C. oount17 or ot a count17 not a party to 't.he U.O.C., or whether the 'WOrk was first published in a U.C.C. oountl'1. (As to notioe requirements in general, see Chapter 4J Jl8 to publioation, see Chapter 3.) a. eina cn The major!ty opinion in the 1946 case 0 III V. 'suggested that works bi tore1gn au hors mignt, seoure copyright in the United States by pUblication without notico abroad. 1. On the basis of this opinion the Cc>pyr1ght Otfioe tor some t:1Jne registered works first published abroad without en acceptable notice, under the rule ot doubt. 2. The Copyright Office now taltas the position that, ...J whatever validity the 1fa1JlI case dootrine ~ have had at one time, the dootrine is no longer etfective in"l1&W ot the U.C.C. and later developments. (37 C.l.B. 8 202.2(a)(3).) II. !AteI' publicat.1o,e. a. U.O.O. ~remont8. The statute CI 9(0» provides that the speoial exemptions tor works protected un4er the U.O.C. "shall apply only it from the time ot .first pub lioation all the copies otthe work published with the authorit7 ot the author or othOl" oopyright proprietor shall bear the symbol <i) aoooJli)an1ed b,y the name ot the ooWr1sht proprietor end the· year date ot first publica tion plaoed in such a manner and location as to g1 \'e reasonable notice ot claim of qopyright. It
Ch. 8 8.2.1 8-9 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 sale in the United States by authority of the copyright proprie to~' bear the statutory copyright notice. (17 U.S.C. § 10.) Ill. CoPyr1sht Office policy. a. No retroactive eff!ct. The Copyright Officels 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 regu14tions (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 cation 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 aS8\111ption that all copies as first published bore the reqUired notice. Except in the case specified in paragraph d, below, no question will be raised 8S to whether other copies have ever been published without notice under the authority of the copyright o~er, either in the United States or abroad. d. Previous publication indicated. Where information appearing 1n 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.l.h.)
ChI 8 8.~.2 8-10 A.2.2. For.m and position of notice. I. In gene ral. a. As aru:j.e, registration will be made for 0. work first published abroad if it bears a copyright notice satts ty1ns the ordinary ,requirements ,of IS 19 and 20 of the Code. ,(See, Chapter 4.) b. Registration will 'be made, tor a work eligible for protection unde~ the Un~versal ,Copyright Convention ,(see Part 7. 2) i£ it bears a notice satisfying the U~C~C. require~ntsspeclfiedin I 9(c) -- the symbol C>j 'accompanied by the name of the copyright p;oprietor and the year of first publication, placed tn such nanner and location as to give reasonable notice oi: claim of copyright. e . WhereregiBtl'll.bility of a work depends upon the availability of tt~ U.C.C. exemptions ot I 9(c), the copies as first published should bear the special U.C.C. notice (se,a ,paragmph b., 'above). Where the notice in such a' case mee ts the ordinary requirements ot I 19 but not the U.C.C. reqUirements ot I 9(c), registration will be made under the rule of douh+, and a crautionary letter will be sent. Examples: 1. Notice includes "Copyrip:ht:" nr "Copr. II ins tcad of' ©. 2. Notice on pictorial work does not include year date. d'. W~re the notice on a work first published abroad meets (lei ther the requirements of ,iii 19 and 20 nor those of I 9(c), full-term copyright registration will be denfed, However, it the work 1P an English-language book or periodic,al, ad interim registration rtl'J,y be possible. II. Name of the copyright proprietor. a. As a general rule, the notice appearing on a work first published abroad ohould contain the name of the owner of the right to secure U. S. copyright on the dAte of first publication, 'and registration st~uld be made in that name .
ab. 8 8.2.2 8-11 8.2.2 Fora and position of notice. (cont'd) b • Where the foreign edition bears ORe notice, aud it agrees with the claimant DaMd in the application, registration will be made in tbat DUe, even i1' the copies refer to SOl180118 else as the OVDer or:r licensee of V.S. rights. B:xamples: 1. .ot1ce reads: "C Xavier KWlLqut 1958 - Wow &Del F.lQtter Music PI1b11shers, Ixclusive Liceuees for all Western Hemisphere Countries. .. :Registration vUl be made in the D8IIle of Kuaquat without questi011. 2. .otic. reads: "e Char1.. Brown Ltd., London, 1959; lor U.S.A. and canada, Brown J6J.sic, IDc., lew York. It Beg1stration will be made in the D8III8 of Charles Brown Ltd., withoat question. c. Where the foreign edition bears one notice which agrees with the claimant DIUIed in the application bllt speci ficall1 excludes the United States 'Ire. 1.... effect, registration should be refUsed. Bmaple: I'otice reads: "e Cbarle. Brown Ltd., 1959, for the entire world (exclQd1ng U.S.A. and CanMa)." 4. Where the foreiga eel1t10n contains two separa1ie cow risbt notices, and the DUe in ODe of the notices &&1"ee8 with the cla:SMDt DUed in the application, reg1stration v1ll be ade, wess the other notice is specifically identified as appl7!ng to the V.S. cowript. Bxamp1ea: 1. lotices: C Editions Maldemer 1958 10 Drainboard Pub. Co. 1958 An application in ei1iher DaIle v1ll be accepted. 2 • Kotices : ~ Elaine Fairqhilci 1958 ~ in u.s. A. by Bang and Whi~er Seieatlfic Pu.bllcatlou 1955 An application in the DUe of .... J'a1rch1l4 v1ll be questioned..
8-12 ~ 8.2.2 8.2.2 Form and position of notice. (cont'd) II. Name of the copyright proprietor. (cont'd) 3. Notices: 0 Peter Rabbit Music Co., Ltd., London, 1959, for the entire world (excluding U.S.A. and Canada) ~~eter 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 Outsider; 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 on Form A-B Ad Interim. 3. In cases other than those described in paragraph 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:
8-13 8.2.2. Form and position of notice. (cont'd) II. Name of the copyright proprietor. (cont1d) (a) Registration in the name in the notice, 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. ~. Where the U.S. edition of a work originally registered 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. Ill. Date in the notice. a. As a rule, 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 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 publica tion abroad. (37 C.F.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) if the work were first published in the U.S. would be equally acceptable if the work were first published abroad. b. Where the author of a work is not a citizen or domiciliary of the U.S., and the author is a citizen of a U.C.C. country or the work was first published in a U.C.C. country, the position requirements are satisfied if the notice is "printed in such manner and location as to give reasonable notice of claim of copyright." Where, in such cases, the notice is a substantial departure from the ordinary require ments of § 20, a cautionary letter may be sent. Examples: (1) Notice on last page of book; accept as "reasonable" but send cautionary letter. (2) Notice on page 213 of 650-page book; reject.
b.3.1 Ch, [J 8.3.1 Hecesoity torregiotniLt.1,on. I. In Genel"El..L. \'lorkB;t1rst pUblishcd Ilb],"O/.\et are eoncr.;llly sUbJ~ct to. -:the .~.rea1stmt:f,on 'l"Cquirements as works f'1rstpublisheq; in: .the' U. S. (See Ch:lptcl'S 'u.nd 9). Howe,vcr, it is riot: the prnctice of' tbe CODlp11ance ScetioI to inlt~te. ~QJI1pliance a'ct1on \l1th respect to foreign pub 11~tions (see ,f.Qplc".4.2.) II. U~ C. C. ,worltB.. I'oreiSn 'Wurks protected under the Uni vel''': sal OOpyr18htOolivent:ton AAd first pUDlished a.broad with tbe cOpyriogh:t' notice: apeo1t1e41n I 9(0) arc exempt from ~ deposit,. demand, and ooinplianceprov1alona of the statute. ' .(See' topic 5.4.2, I .. ) e.s.a ~p1esand teea, (Se,eChapters 5 and 9). 1.. Unl>ub11shedworks. 'or reg1s'tmt10n in. unpublls1led form, workJI of' foreign or1g1n II1UBt meet' the ' same depos1 t and tee requirements .ae those app11cable·to 4omest10 works. (See topic. ,.2.1.) II. PUb11ahcd wOl~k&. a. U. S. author. rlhe~ the author e"f a. work is a U. B. c1t1zeno,r. domiciliury thesta'tute requites that, except in the eaee 01' ad interim r'E!s1stration, deposit 00 made of two' cOIJies 01' the WOrk 0.0 first published abrot\d o.nd the ordinary re61strat1on fee. l?or ad interim ro61otrut~o.ti 111 fJ~hcaoe'. th«r flta,tute requirec. clopaoi t ot one copy· of' tho f'Qr~1sn edi t10n and the Nai.strot1on,tee or$6'~oo. ,. 'l'}lo wa1ver~of-1'ee option ia not ·available to works by U. S. cit1zen's or domi 0111il.1'1oa.· '(See Fa1't ,.2.) b. tore1gn, or stateiess authors. 1. In lSeneral., Where the autho~of thtJwork ill l'oz'cign or stateless and not domiciled 1n the U. S., and . f1rst. pub11cat1011 'tOOltplace 1n a t'ore1en country, the statute ord1na:r~ly requires the dapos1t of "one cOmplete'copy ot: the bes~ ~d1tlon tl1en published in such f'oreigncountr;Y'" (9 lJ) and the prescr1bed res1f.)t~t1onfee· (9,215). See IAraera,ph c, he loW', concernmg the requ1rcJllji:nta 1'01' wa,1vcr-of'-:f'e9 re6istrat10ns. .
Ch. 8 8.3.2 8-15 8.3.2 Copies and fees. (cont i d) II. Published works. (cont'd) b. (cont t 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 sent later. (See topic 5.3.1.111 and 8.2.1. rrr.e.: c. Waiver-of-fee option. 1. 'Where the author and copyright proprietor of a work first published abroad are neither citizens nor domiciliaries of the U.S., payment of the registration fee may be waived if the following deposits are made in the Copyright Office "within six months from the date of first publication abroad ," (Code, § 2151. (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 the 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 is a U.S. citizen or domiciliary.
Ch. 8 8.3.2 8-16 8.3.2 Copies and fees. (cont'd) 11. 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.
Ch. 8 8.4.1 8-17 Part 8.4 AD INTERIM COPYRIGHT 8.4.1 In general. 1. 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 may be ex tended to the full term if an American edition is manu factured and published within the five-year period and if a claim to copyright in the American edition is also registeTed. 11. 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. 111. c. As to practices concerning books and periodicals by authors of different nationalities, see topic 6.2.1. Ill. 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, see 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 8.2.1.111. h. As to the pTactices concerning the copyright notice, see topic 8.2.2. i. As to practices concerning copies and fees, see topic 8.3.2.
8-18 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··condi tions: 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 entirley manufactured abroad (see topic 6.2.2). d. It must have been first pUblished abroad (see topic 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 and 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 another class or dual registration (see topic 6.2.1). Examples: (a) A drama pUblished in book form. (b) A U.C.C. book puhl.Lshed with "Copyright" ra ther than '@I in the notice. (e ) A book partly in English and partly in French. (d) A oook written partly by an American and partly by a non-American U.C.C. author.
8-19 8.4.2 Works subject to ad interim registration. (cont'd) 111. Copyright Office policy concerning ad interim registration. (cont t 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 formel insufficiency in the application (e.g., leek of signature, lack of address of claimant, etc.), an effort will be made to obtain a new application within ~he 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. 11. COPy and fee. a. For ad interim registration the statute (§§ 22, 215) requires the deposit of "one complete copy of the foreign edition," and a registration fee of $6.00.
th. 9 8. ij.4 8-20 8.4.3 Requircm'~nts for ud interim recistrat~. (eont!l1) II, Copy and fee. (cont'd) b. The waiver~oi'-f'ee option, pcnnlttinc recJ[ll,l'i..l.~iol1 on the basis of em applica tioa, two COp:tI~:1) and II catalog card, applies to ad interim regi:3tl~),.tion3 where neither the author nor the copyright propr-Le to r is a u.s. clti~~n or domiciliary. III. ~kB published in installments. Where a work 16 first published abroad in instalhnents, a separa.te ad interim registration mUI3t be ma.de for each installment. IImfever, where an AmeriCll.n edition 01' the entire work is l)ubllshed before all the i'oreign installments have been puhl.Lshed, only those published abroad before the date of U. S. pUblicr:Ltion may be registered ad interim. 8.4.4 Uotice of: copyrigh~. (See Pa.rt 3.2 and topic 4.1. 3.1.) I. Notice on C0111es IUl f~Eu?liDhed abroad. a. Works subject to ad :l.:ltl;"lr:Ua rce;latration need not bear a notice at the time of first publication abroad, and ad interim rcgistrot:l.qn will be mado whether the copies bear 0. eood notice, a defective notice, or no notice. b. Whei'e the CO!)y or coprea depoe.rted for ad intel'1m reg istmt10n bear- no not-Lee .• re8istrat.ion will ordinarily be made 'Without cor-reapondonce., Where the notice is defective (e,g., yeu.r clD..te lacking; initia.ls rather than name uaed j notice a t end of book] l'egJfltrat:t.on should be made bu'\; 11 cautdonary letter should be Gent pointing out tbe nece saf ty for correcting the notice before any copfe s are pu.blished in the U. S. Where the name in the notice differ~ fl~m the name given as copy~ right proprietor in the ad Lrrte rdm a.pIJlication, the variance will b1 questioned, but regiatxation in a name other than that 1n the notice ,.,.111 not be re rused, (~e topic 8.2.2.11.2.) II. Notice on U. S. edition. a. Where the U. S. edition 01' a work origina.lly rc;r::ifltered ad interim contains no new lJV3,tter, reeiatratlon '-1il1 be refused unless the notice contains the year (lnt'.: of first publication llbroa.d~ "(See topic 8.2.2.II.e.2)."
8-21 8.4.4 Notice of copyright. (See Part B.2). (cont'd) 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 t 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 t a cautionary letter may be sent. (See topic 8.2.2.11.) 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 t 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 t 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 remainder. This process is continued until the 1,sOO-copy quota has been exhausted. b. The 1,SOO-copy limit on importation does not apply to "8 foreign newspaper or magazine" (17 U.S.C. § l07(b». Since an unlimited number of copies of these works can be imported, the issuance of an import statement limited to It500 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.
Oh, 8 8-22~6
8.4.5 ImE?rtation of copies. (~ont'd).
II.b.1 (cont'd)
It applies to popular works issued periodically
to a general rea.dership, but is not considered
to apply to scholarly, technical, or professional
periodicals iOBued to'a specialized readership.
Importsta.te~nts are issued tor this latter
1:.ype of matel"ial.
2. Issuance of import s~ltementB 1s also withheld
tor contributions tc) peri9dicalsp bt\t for a. dif
ferent reason. In tbat case the impol"tatton l1nd
tattons npply, and to issue import atat~ltl{:lnts for
several contributionl3 to the same issue, of a. peri
odical couLd result 1n the importation of con~ider
ably more tha.n 1,500 copies.
8.4.6~tension of ad inte~~y·ri1flt~Li'.uJ.ltenn.
I. Statutory provIsion. llwnlne'ftl' within the period ot such
aa:-bIt.e'Ja protee'tion an authorized edition ot such boob
or ~eal.a shall be published within the United States,
in aCccmIanee with 'the manutacturing provisions specified
1Il 8eCU0Il 16 ot 'thia "title, and whenever 'the provisions
or tJd.a t.:I.'Ue as to deposit. ot copiea, relistration, tiline
at attUarita, 8Dd tbe printing ot the copyright notice
-.u .... 1reeD 4Ial¥ cc.pllea nth, the copJ'r11ht .ball be
e:adiwIIIIId to eaIur. in 8UCh & 'book 01' periodical tor the
.... pl'Ov14e4 in th18 title. tt (11 u.a.c. ~ .3.)
a. Where the first U. S. edition of a work or1ginally
registered ad interim contains no copyr:Lght:'"l.bl.e nevr
ma;tt~r, registra.tioI~will be ma.de on:!.y 11' the follow~
ing four requirements are met:
1. The U. S. edition was produced 1n complia.nce ",1 ttl
the ma.nufacturing requirements~ (see Chapter 6.)
2. It was publ:lah.ed in the U. S. within the i'ive-year
ad. inter;l.m ternl" as computed from the da to of i'lret
pUblication ~broad.
3. The copies as published bear the r~qllirod otut'ltOry
copyl"ight notice, including the yeO-i' lb:L'~ of i'j,,;:;t
pUblication abroad •. (See ChaI>ter l~.) .J
8-23 8.4.6 Extension of ad interim copyright to full term. (cont'd) II. ReQuirements for full-term 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 should 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 made after the ad interim term has expired I as a doubtful case. A cautionary letter will be sent in such cases. III. Extension of subsisting ad interim copyrights under U.C.C. a. The statute (§ 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 date, is automatically extended to the full term. 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 reg istered on or before the effective date. It was 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 ad interim 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 meets the four requirements specified in topic 8.4.6.II.a., above.
Ch.U Chapter 11 Renewal Registration OUtline or Topics Part n a llJMTIOB OF ORIG:nw.. COPmIQft i'.IRM 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 TDDj LIMITS :roB RBDWAL 11.2.1 Twenty-eighth year I. IDformal application n. Det&Us III. Amendment after dealUine 11.2.2 CtBputing term I. Application before renewal year n . Application after renewal year nI . COpyright Office receipt IV. Veek-end or holi~ Part 11.3 OnGDIAL BlGIS'J!RA'lIO! 11 .3.1 Firs t term cla1ll I. S1JaultaneOWl fUing n . Orig1D8l cla1Jllant and copies 11-1
11-2 th. 11 Part 11.3 ORIGINAL REGISTRATION (cont'd) 11.3.2 Change ot polia,y I. Examples Part 11.4 PRESIDENTIAL EXTENSION-OF-TlME PROCLAMATIONS 11.4.1 S~otlon 9 11.4.2 Annotation 11.4.3 Citizenship and domicile of claimant Part 11.5 Octrl'RIBOTlOO TO PERIODICAIB AND COOCBlTE WOR:KS 11.5.1 Separate claims I. Identitication of composite work II. DUferent claimants III. Ins t&llients. , slngleent~ 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 registereo 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
11-3
Ch. 11
Part 11.6 WORKS FIBST PUBLISHED ABROAD IN ENGLISH (cont'd)
11.6.4 Four months exceeded
11.6.5 No American edition
Part 11.7 RENEWAL CLAI¥.ANTS, AtrrHCItS AND THEIR HEIRS
11.7.1 Authors
I. Name
II. Detinitions
ll.7.2 Widows and children
I. Single olas,
II. Defin! tion ot "widow"
III. Definition or ·children
11.7.3 Executors
I. Will
II. Author deceased prior to renewal year
III. Qualification
IV. Per,onal right
V. Intesta t.
11.7.4 Next ot kin
I. Absence ot will
II. Detinitions
III. Will, no executor
Part U.S RENEWAL CLAIMANTS, PROPR:OO;('f(S
11.8.1 Proprietors in General
I. Detinl tlon
II. Deri~t10n ot title
11-4 Ch. 11 .,J Part 11.8 RENEWAL ClAIMANTS I PROPRIET CRS (cont1d) ll.e.a PosthumoWl workl I. Proper clAilll&nt II. Dafini tions 1l.8.~ Composite Works I. Proprietor-claimant II. Definitions III. Individual contributions 11.8.4 Corpora te claimant I. Questionable claim II. When not acceptable III. Special circumstances 11.8.5 Employer for hire I. Employer-elaimant II. Definitions III. Work made for hire IV. More than one author v. Doubt re. proprietor-elaimant 11.8.6 Prints and lAbels registered in the Patent ortic. I. Proprietor entitled II. Author not entitled Part 11.9 JOm RENEWAL CLAIMm'S 11.9.1 Several claimants, lame application 11.9.2 Later application, ... work I. All cla1m8 already registered II. Same claim8 already regiltered j III. Adverle clAiae
11-5 Part 1l.10 ONACCEPI'ABLE RENEWAL CUlM:) 11.10.1 Personal right I. Living person II. Claimants JIlUSt be Dalll8d III. Authority to app11J acceptable addr.ae 11.10.2 Statutory cla1mants I. Failure to qual1t7 II. Successors or representative. III. A,sslgnment ot renewal 1ntere8~ 11.10.3 Material covered I. Later ~ereion tIe Rev18b~ published version
eh. 11 11.1.1 Chapter n , RENEWAL REGISTRATICN Part 11.1 DURATIOO' 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 ot copyright in published works. II. Date in notice. It the year date in the copyright notice is earlier than the actual date of publication, the original copyright term is computed trom the last day ot 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 vithin 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 arfice, and lasts for twenty-eight years from that exact date. I. Prior to 1949. Until 1949 the effective date ot an unpublished registration was regarded by the Copyright 'arfice as the date the copy was deposited, even though the application and fee may have been received later. Thus, the duration ot copyright in an unpublished work registered before 1949 is generally computed fram the date of deposit of the cop,y and this date is given on the renewal application. However, it a renewal appli cation Is received more than twenty-eight years trom the date of deposit of the copy but len than twenty eight years from the date when the application or fee was' received, registration viII be made. ~ 11-7
11-8 Ch. 11 11.1.2 11.1.2 Unpublished worb. (oont'd) II. Preeaptian ot new attn. When a work o:rlgina1l7 regis tered in unpublished tona ie later published, the date ot publication will not affect the duration ot oowright in the unpublished work or the time-l1D1ts tor renewal reg1e tration. Hovner, independent renewal registration tor the published version vUl be made CD. the irrebuttable pree\Dll~ tion that it oontaina new _tter.
Ch. 11 11-9 11.2.1 Part 11.2 TIME LIMI'l'S FOR RENEWAL 11.2.1 Twenty-eighth year. A copyright may be renewed for a second term 01' twenty-eight year., provided an acceptable appJ.1cation, and fee are received in the Copyright O:N'ice or the Library of' Congress within the twenty-eighth year of the original COw right tel'll. I. Into~ application. A. letter, telephone call, or telegram may be accepted in lieu of a toruJ. application, proviclecl it adequately identities the work in question and the proper claimant or buis of claim, and provided there is a fee in the Office. II. Details. !'he physical details of renewal registration need not be cCllllPleted before the original. term expires, if Ul acceptable application and fee are received before the deadline. III. Amencment atter deadline. If an unacceptable application, necea.itatiq correspondence, is received within the proper tt.e-limits, it may be amended.and accepted atter the dead line it it originally contained a correct statement of either the c1&i-.nt or the basis of claim. A special ettort is _de, however, to obtain a tully-acceptable application before the original term expires. 11.2.2 COJ!l?U.tiag term. The renewal year comprise. the year ending on the date of expiration of' the original copyright term. It in clude. both the twenty-seventh and twenty-eighth anniversaries ot the date on which the copyright began. I. Application before renewal. Jear. An application received at any time betore the beginning 0 the renewal year DlUIt be rejected, and an entirely new application must be submitted at the proper tiM. II. Application atter reneval year. If an application or fe. is receiftd atter the reneval. year has expired, the claim IRUIt be rejected • .~
11-10 rh. 11 11.2.2 11.2.2 Computing term. (cont1d) II. (cont'd) a. When the office records or original certificate c(\ntain an error, omission. or J8tent ambiguity with respect to the date of publication or regis tration, which may have misled the renewal ap plicant, registration 1s possible after the twenty-eigth year as a doubtful case. b. When the office records state a date of publica tion which ·bas 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 OfUce 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 Ubrary of Congress is regarded as equivalent to receipt in the Copyright arfice, 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 ~ay.
11-11 Part 11.3 ORIGINAL REGISTRATIDrl 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 sub!lli tted 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 tor 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.
11-12 Ch.ll 11.4.1 Part 11.4 PRESIDENTIAL EX'l'ENSION-CF-TIM8 PROCIAl4ATlOOS 11.4.1 Section 9. When, under the authority of section 9 ot the copyright law, the President issues a proclamation extending the time-limits for renewal registration to the benefit ot citizens ot a certain nation, the Copyright atfice will regis ter renewal claims submitted within the times specified in the proclamation. 11.4.2 Annotation. The records or these registrations vill be annotated to reter to the authority tor the entries. 1-1.4.3 Citizenship and domicile ot claimant. Tla citize~... "hip and domicile ot a renewal claimant, 'While immaterial in all other renewal cases, may be considered in determining a cceptabili ty under an extension-ot-time proclamation.
11-13 Ch. 11
11.5.1
Part 11. 5 CONTRIBUTIONS TO PERIODICALS AND CCW>CSITE WCRl{S.
11.'.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 o,f composite work. A renewal application
covering a co~r~bution which was not registered separately
must clearly identify the periodical or other composite
work in whioh 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. pifferent olalman,!:!. 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 coapoat te 'work as a whole. The Copyright arfice
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 I single entry. When, under a former practice,
a number of installments of a serial were registered for
cop,yright under a .single entry number, a single renewal
application will be accepted.
IV. Insta111llents. 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
ch1ll in an individual contribution which was not registered
separately must be based·on first publication of the work.
Examples an application covering a short storr
whicb appeared in BEST SHORT STORnS
OF 1923, a reprint anthology, would be
rejected.
eh. 11 111.6.1 Part 11.6 WORKS FIRST PUBLISgD ABR0tJ2 II BLISH 11.6.1 law prior to 1949. Renewal regi.trat1oft tor work. first published abroad in English is govemed to some extent by the ad interim provisions 01' the oopyright law as they Ixi.tld. prior to the 1949 aMndment. r. Time limits. Theile provided t~t. ad interim regll.tration was possible only withtn 60 g~YIl of first publication abroad, and that the ad interim oOP,Yright 1~8t.d tor tour months from the date of registr~t10n. It we. necessary that a U.S. edition be published during the ad interim period and ~egistered in order to extend the ad interim CQ~ight to the full term. II. Qomputing term. It b th' poaltion ot the Copyright Office that, unaor these provisions, the term 01' PJ'otection is computed from thl;l 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 never registered. If th_ toreign edition of a work was never registered ad ~ntoria but the later American edition was registered, the Copyright attice will accept a re newal application covering the American edition. I. Cautionary letter. If the appl1oation 11 received less than twenty-eight years tram the <!at. ot foreign publication, a cautionary letter will be sent eXPlaining that the effect of registration is doubtful. II. New matter. If t!'J.e application is received more than twenty-e.ight years trOll the date ot f01"eign publication, a cautionary letter will explaill that renewal registra tion covers only the new matter in the American edition, it &n1. 11.6.3 Both editions registered. It ad interim and full-term regi.tra tions were both made wi thin the proper time-limit., renewal regis tration .y be made to cover both editions. I. Single renewal application. The present practice ot the Copyright Office is to perm! t the filing ot a lingle renewal application covering both the ad interim and full-term regis trations, regardless of whetber or not the American edi tiOl! contained new matter. a. The data 01' both registration. are included on the single application.
11-15 Ch. 11 11:6-:3 11.6.3 Both editions registered. (cont'd) I. (coot '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 tirst publication ot the American edition and the twenty-eighth anniversary ot first publication of the foreign edition. II. Separate applications. If the applicant preters, he may tile 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 co~ight in the particular edition it covers. b. The Copyright Office will annotate each application to reter to the other edition. III. Installments. When a work was first published abroad in serial installments a~d 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 vo11.lDle. IV. Application too late. If the renewal application is received 'more than twenty-eight years from the date of fir~t 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 pub1i'cation 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 elata, based on an ad interim registration.
11-16 th. 11 11. 7.1 Part 1l.7 RENEWAL ClAIMANTS. Atn'HORS AND THEIR HEIRS 11.7.1 Authors. I. 1f!m!. The author, if living, may claim renewal, whether his work was published in his true name, an assumed name, or anonymously_ a. It the author is still liVing the renewal application Lust be filed in his own name, e~en it he is insane or incompeten'tf. b. If an applicant is claiming renewal as "the author" and his name does not appear in the original records ot 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 omiuion of the claimant I s name natural. Examples 2 works of multiple authorship; pictorial reproductions; and obviously anonymous works. 110 Definitions. The term -authorl' 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, llluetratore, etc •• b. The term "author" does not include employers for hire, publishers, corporations, firms, partnerships, religioue ordera, fraternal organizations, or any other impersonal entity. 11.7.2 Widowe and Children. I • Singl, class. If the author is dead, his widow (widower) and children are anti tled to claim renewal. The widow and children are regarded as a sulgle 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.
11-17 11.'.2 JUdI"" I'd gh1J.dtnn. (ooD~'cl) II. (oo..t'c1) a. A v1clov clOOI not 1018 hoI" renewal riGht, lIPOD roaarriac o• b. A cllYOl"oocl IPOUiO 1. DOt an acoeptablo r.newal olataut, but the Cop,rigbt Oll1oe will Dot 1JIqu1Joe into the Ya11dltl of a llU'l'ille or & cl1yoroe. o. The teras llvite ot the author" or "vite ot the deoeued author" are not acoeptabl. bu.. ot olaim. W. Rgin1!1pn pr "ghildroo.· The term "cb1ldreA· leDOr&113 rot8r8 to the progeD¥ ot the author. a. The Comlsht Ottieo will regi8ter a r ... Deval elm 1Jl the name ot an illegitimate ohUcl, vhetber acknowledged or not. b. Adopted children are acceptable renewal oldaut. •• o. Step.ob.Udrea are DOt entitled to claim roneval. d. Grandcbildren a~ other de8oendant.8 bel0nd the tirat degree Ci4nnot olaim reneval as ·the ohildren ot th~ author." e. The COP1Tigbt Ottlee vilJ request .. nev application it a child i8 e l.a1ming reneval .. the author' 8 "ne.xt-ot-kiJi. If I. Will. It the author died, leaving a vill, aDd 1t DO widow or children exist at the tiM the reneval appllcatio.n i' tUed, the author', executor. M¥ claia reneval 1n their ow ......
ll-18 (cont'd) II. A'!Jthor dece,sed prior to rencwal loar. The author Deed not live into the renewal Tear in order for his exeoutors to claim. III. Qu4l1riclt12D. In order to be regarded as aD "executor," a clailumt .IIlU8t have been named in the author's will, and presumably' must ba...e been qualitied in probate proceedings. However, the Copyright Ottioe will not retuae registration in the name ot an executor eveD it tbe aut-bor'. viII ha. not been probated. IV • PerpoMl right. Tbe right to 01&1m. renewal .. "executor" i. a personal one,. and the iadivid ual executor must be named in the renewal applioation. a. The author'. legatees have no right to cla1Jll renewal. b. j renewal olaim oannot be registered in the name of "The Estate of John Doe," even it executors have Dot yet been qualified under the author's will. v. Intenta!!. In no oase can the administrator of an intestate author's estate claim renewal. I. Absenc. ot yill. It the author Is dead and no widow or ohildren sUtvive him, and it there Is "the absence of a Will," the author's next of kin are ent! tIed to 018111 renewal. n. ~[initionJ. The term "next of kin" reters oDl,y to blood relatives of tbe author. a. It ia not olear whether the term· "next of kin" refer. oD11 to the living relatives of the nearest degree at COD8angW.ntt.y, or whether' it also includes the dlt8CeDdats at dead relatives clAdmlng on the theor1 ot repre8entation.
11-19 11.7.4 Noxt of kin. (cont'd) II. Dofinittong. (cont'd) a. (cont'd) Example I An author had two brothers, one ot whom died leaving two sons, me.,y the nephews claim renewal equally with the surviving brother? b. The Copyright Ottice viII register the claim ot any blood relative as "next of kin," regardless ot the degree ot oonsan quin1ty. o. The statement ot the basis ot olaim on the renewal application must not consist solely ot a statement ot relationship, examplesI sister, mother, niece, etc. The claim it selt should be stated as "next of kin of the deceased author, there being no will,' although kinship mar be specified parenthe tically. d. Statements such as "heirs" or "representa tive ot heirs" are not acceptable either as olaimants or as bases ot claim. III. Will, no executor. If the author lett a will but no executol'S exist at the time tor renewal, the proper renewal claimant is unolear. a. Except in the situation noted in topic 11.7.4.1II.c.2., below, the Copyright Oftice will acoept a claim in the names of the next ot kin, on the basis ot judicial authority. b. If it is unclear whether exeoutors still exist, registration ~ be made in the names of both the exeoutors and the next ot kin, on separate applications and for separate feeS. (Januarr 1960)
Ch. 11 11. 7 .4 11-20 11.7.4 Next ot kin. (cont'd) III. Will, no executor. (cont'd) b. (cont'd) Example: The executor himselt is unsure whether or not he was actually discharged. c. It 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 ot an executor. When the estate has been settled and the executors discharged, or when the executor is removed betore the estate is completely admini8tered, the court _y appoint an "administrator de bonis non cum testamento annexo" (administrator de bonis non with the will annexed; admini8 trator d.b.n.c. t.a.) to deal with the r.-ining or atter-acquired property under the will. 1. The Copyright Office will register re newal claims in the names ot adminis trators c.t.a. or administrators d.b.n.c. t.a. Except u noted in para graph 2, below, the Copyright Office will &1so register renewal claims tor the 8Ule 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 buis of separate applications and fees. 2. Ordinarily', registration will be made in the names ot the author's next of kin, even when &dm1nistrators c. t.a. or administrators d.b.n.c.t.a. exist.
11-21 PJh.....L1. 11 •7 ./~ 11.7.4 lic~ or ktn. (cont'd) III. ~nll, no ~xoeHtor, (cont'd) o. (cont'd) 2. (cont'd) IIsWionl It tho author lott a will with out nlJlDing an exeoutor, and an administrator o.t.a. or an ad ministrator d.b.n.o.t.a. is in existence at the time of renewal registration, an applieation in tho name of the next of kin will be refused on the basis of Gibrn.!) v. National Committeo or Glbron. (Jnnue.r.Y 1960)
11-22 thl 11 li.i:1 Part 11.S !m'~m:HAL CLAni~NTSI PROPRIJ1.'TORS I. Ratinlti2Q. The term -proprietor- reters to the owner of oOP)'l'lgbt on the date'the renewal application 11 tUed. II. perhntion ot title. III order to claim renowal a8 ·proprietor,· the olAimDnt must deri.,e hie title directl)' or iDdireotl)' tr~1\ the.or181D41·coP)'l'lsht ower. I. fringE cla1Jllagt. It a work 1I.lIposthumous· vitbiD the l188Ding ot the copJright law, the proprietor 11 the 01111' proper clal1l&nt. •• Generally, the author's widow, children, executors, or !lext ot kin have no right to claim renewal in • posthumous work. b. It a work consists ot the 'tritings ot more than one· person, and it one ot the authors died betore tiret publication, the work 18 r~garded as partially poa thUlQOUB, and renewal or copyr1.ght in tbe posthumoua material Dust be claimed by the proprietor. Example I collection or letters by ~amoU8 author, edited by his widow} widow IDay c1aill renewal in ber editing al "author,· but publisher claims renewal in lettera .a lIproprietor ot copyright in • posthumous work." o. There is doubt under the wording ot the renewal section,as'to vhether tho proprietor ot a posthumoua work may claim renewal when the work vas originally ,publlsbed .s a contribution to a periodical and not registered separately. Tbe Oopyright Oftice will aocept applications trom the proprietor, £rom the author'a executors, widov, ohildren, or next or kin, or tr.. both, prov1d~ separate applications and teel are 8ubmitted'. II. R!tini tions: The term "posthumous work" includes a work tiret ' published after the aut.hor's death, and registration in such a work i8 made only in the l18JllU or the proprietor. It i8 unclear whether tho tollowing ,,;orks are llpoathumous,II and the Cowrigbt ottioe will aocept claims by the proprietors, b,. the author'e benericiaries, or botbl a. Works reg18t~rod a8 unpubllD~o4 attpr the author'a death, but hever publishGd. ..~ ..,
11-23 (;h. 11 11.1.\.2 11.8.2 Posthumous works. (cont1d) II. Definitions. (cont1d) b. Works registered as unpublished during tho author' P life, but published after his death. 11.8.3 Composite works. I. Proprietor-claimant. The proprietor of a periodic, cyclopedic, or other composite work My olaim renewl in the work as a whole. II. Detini tiona. Generally, a composite work is an origi!1l1l publication relating to a variety of subJects, to which. number of different authors have oontributed 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 hill writings, is not a composite work. c. A work wh:1ch 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 compos!t. work may claim renewl in the wl)rk as a whole, the author of an individual contribution, or his beneficiaries, -7 als'" claim renewl in his contribution. a. It i8 unclear whether the proprietor's claim in the entire wo:,k covers everTthing in the -work that i. not separately renewed. b. If a renewal application covering an individual contri bution 18 received too late for registration, the Copy right Office furnishes the applicant with the facts of renewal registration for the composite work.
11-24 Ch. 11 11.8.4 11.8.~ Corporate cla:1JDant. In the Case of a ·work cOPJrighted by a cor porate body otherwise than as assignee or licensee of the author the statute gives the proprietor the right to claim renewal. L, Questionable claim. This basis of olaim 11 always questiDned unless it has been established by previous oorrespondence. 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 oommon 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 tor hire, or is a print or label for which registration was made in the Patent Offioe. III. Special oircumstances. In cases other than those listed in item 11.8.4, II, above, registration on this basis will be Itrongly discouraged and will be made only when the applicant indicates that there were special circumstances under whioh the claim might conceivably be said to apply. Examples: (1) Works to whioh the stockholders of a corpora tion have contributed indistinguishable parts. (2) Works written or created by members ot 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 direotly for the corporation and the arrangement did not amount to employment for hire. (4) Motion piotures, when the applicant asserts that the work was produced under special cir cumstances and ws not copyrighted by an em ployer for whom the work 'Was made for hire.
Ch.ll 11.8.5 11-25 BIlplozer for hire. Renewal copyright in works copyrighted by aD employer for whom they were made for hire DI81 be cla1lled by the proprietor. I. BIIlRloxer-cla1marlt. Generally, in order for this basis of cla1ll to be acceptable, the origiDa1 copyright claiant JIWIt bave secured the copyriSht by virtue of hi. employment of the author, rather than through an;,y transfer of rights atter the work was completed. II . Defin1 tiODlL !he Cop,yr1ght Office will ake no effort to determine whether or not a particular arrangement constituted employJMmt for hire. a. A renewal claim as "author" w111 be questioned when the original records of the regi8tration state that the work was -.de for hire. b. A renewal cla1a as "proprietor of copyright in a work made for hire" will be questioned when the origiDa1 copyright claiant was also the only author li8ted on our records. 1. The claim will be registered if the lDd1vidual was li8ted &8 "author" by virtue of being an employer for hire. 2. The claim wUl be rejected if the person listed as "author" on the orig1Dal records wrote the work h1llSelf, unless an explanation is offered indicating the author was _ployed for hire, and iD&dvertent:l.7 or by agreement with the employer cla1Jled copyright in his own DaIle. In. Work -.de for hire. The law specifies that, in order for this claim to be applicable, the work mwst have been copy righted by the employer for ¥bOIl the work was _de for hire. a. .0 provision is made for the case in which the work was -ae for hire, but the 8aPloyer transterred hi8 CCIIIIIIOn law liter&1'7 property to a third person prior to PI1blication. b. When this 8i tuation is presented the Cop,yr1ght Office w1ll register a claim as "proprietor of copJr1ght in a work ade tor hire," but w1l1 point the difficW. t7 ou.t to the applicant.
11-26 Bmplgyer for hire. (cont'd) IV. More tban one author. When more than one author con tributed to a work, the renewal claimant need not speci:f'.y that all of the authors vere employed for hire. a. If only some of the authors were employed, this fact should appear on the renewal application. b. The Copyright Office wU1 accept cla1Jls by authors or their beneficiaries and proprietors of copyright in a work made .tor hire on the lame application, provided no patent inconsistency i8 presented. V. Doubt re. proRrietor-cla1JllaDt. Although there is doubt, under the wording of the renewal section, as to whether the proprietor of copyright in a work ade for hire may claim renewal when the work vas origiD&lly published as a contribution to a periodical aDd not registered sepa rately, the Copyright Office will accept the claim with out question. 11.8.6 Prats 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 anti tled. The author of such a work bas no renewal rights.
Ch, 11 11.9.1 11-27 Part 11.9 JOINT RENEWAL CLAIMANTS 11.9.1 Several claimants. same application. When a number ot difterent persons are entitled to claim renewal in the same work, they may Bubmi t their claims on the same application, or they may submit separate applications and tees. It is not necessary that all posaib1e claimants join in applying tor regietration in order to secure a renewal. 11.9.2 Later application. same work. When renewal registra tion tor a work has already been mado and a later application covering the same work is received, the Co~ight attice vill tirst determine vhat claims bave been regiltered. I. All claims already redstered. It all ot the claims stated on the later application bave already been registerld, the applica tion will be rejected. II. Some claims already,registered. It any ot the claims stated on the later application bave not been reilstered, and are not incon sistent with the earlier c1a1m8, the applica tion will be passed without question, eVln though it may also contain cla1ml vhich have alrea~y been registered. III • .ldverse claims stated on the later application are or may be in conflict vi th a claim or claiu vhich bave already been registered, a ~.tter ot explanation 18 requested trom the second appl1,.. cant. The later claim vill be registered without turther question it the applicant rea ... rta 1t. Examples ot typical adverse claim 11 tuat10111 a a. Contlicts among second proviso claimants (the author and hia beneticiaries). 1. When an earlier claim was regi. tered in the name ot an author'. next ot kiD, and a new application is submitted by an executor, the attice requests intormation concean ing exi8t.n~e ot a will.
th. 11 11.9.2 11-28 11.9.2 Later application. same work. (cont1d) III • Adverse claims ( cont I d) Example8 (cont1d)a a. (cont1d) 2. When a claim wae regi8tered in the name ot an author, and hi8 widow now claiu, the arfice asks the date ot the author's death. (a) If the date i8 earlier than that on which the tir8t appli cation was filed, registration is made without further ado~ (b) If the author was liJIing when regi8tration wae made in hi8 name, the widow'8 cl.s.im may also be registered as a doubttul case, despite the principle that renewal rights vest on the date of a valid registration. b. Conflicts among· first and seecnd proviso claimants (proprietor8 as against author8 and their beneficiaries). 1. When a claim was registered in the name ot an author, and a new application is submitted as "proprietor of copyright in a work made tor hire," the arfice requests information concerning the circumstances under which the work was written. 2. When a claim was registered in the name of one ot several authors, and a new applica tion is submitted a8 "proprietor of copyright in a work made for hire- without restricting the claim to the work of a particular author or authors, the otfice aske whether the claim covers the material written by the person in wh08e name regi8tration has already been made. (a) If 80, regi8tration will be made if the applicant re&8eert8 hie claim. (b) If not, a new application should be submitted confining the claim to the material written by emp1oyee8 tor hire.
Cl~ 11_ 11-29 11.10.1 Part 11.10 UNACCEPrABLE RENEWAL CLAIMS 11.10.1 Personal right. The right to claim a renewl copyright is a personal right. I. Living person. A renewal can be claimed onl,. b,. a living person. Example. When a olaimant dies whUe hi. renewal application i8 in the maUe, a new application in the name of a different claimant must be submitted. II. Cla_nts mWlt be named. The renewal right aocrues to an individual person or firm, and not to a statue. Examples. claims by "The Executors of James Fitzgerald" or "the executors of the author," or by lithe neJl.t ot kin of the author" are not acceptable. III. Authority to apply; acceptable address. The renewal application should be submitted by the claimant himselt, 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 I 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.
Ch. 11 11.10.2 11-30 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. It none of the claimants listed in the statute exists or can be identified, registration must be retused. II. Suocessors or representatives. The successors or representatives of a person who could have claimed it 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 _de in the names of an "assignee, n "proprietor, n "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 ot 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 I Where it appears trom 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 verdon. 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.
Ch. 12 Chapter 12 Assignments and Related Dooumentl outline of Topios Part 12.1 IN GENERAL 12.1.1 Statutory provisions 12.1.2 Copyright Ottice polioy I. Substantive contents II. A.ny related instrument Part 12.2 THE NATURE OF THE DOCUMENT 12.2.1 Kind at instrument submitted 12.2.~ Relation to copyright 1. Indirect or potential II. No registration for work reterred to III. Relationship not clear IV. No purpose served V. Eftort 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 instrwnent. in writing" I. No special form II. The aotual instrument II~. gandvritten signature IV. Illegible dooument 12.3.3 IISigned by the proprietor ot the copyright" !. Handwritten' signature of transferor II. Apparent inconsistency III. Authority to sign IV. Signature of individual 12.3.4 Identification ot'parties I. Identitioation at transferee 12-1
Ch, 12 12-2 Part 12.3 lQRMAL SUFFICIENCY OF THE DOCUMENT (cont'd) 12.3.4 Identification of parties (cont1d) II. Failure to identif,y neoessary parties III. Indexing IV. One-party documents 12.3.5 Identifioation of subject matter 1. Date not required II. Failure to identity subjeot matter III. Titles IV. Outside sources V. No titles given 12.3.6 Words ot present conveyance 1. Example II. Lacking clear words of present conveyance III. Intention manifest 12.3.7 Completeness 1. In general H. Attachments III. Incorporation by reference IV. Part of larger document 12.3.8 Other formal requirements 1. Freedom from obvious errors II. Date of execution III. Consular oertificate ot acknowlegement Part 12.4 DOCUMENTS M1ENDING 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
12-3 Ch. 12 Part 12.4 DOCUMmTS AMmDING COPYRIGHT OFFICE RECORDS (corrt.td ) 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 RECORDA TION 12.5.1 In general 12.5.2 Dat~ of recordation\ 12•5.3 Indexing I. Preparation under names and titles IT • 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
Ch. 12 12.1.1 Chapter 12. ASSIGNNENTS AND RELAn;D DOCUMENTS Part 12.1 IN GENERAL 12.1.1 Statutory provisions. 1. A "copyright ••• may be assigned, granted, or mortgaged 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." (1'( 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 reject the document. Examples: (1) A document purporting to be an assignment which is actually a self-serving declaration signed by the "assignee." 12-5 [1973]
Ch, 12 12.1.2 12-6 12.1.2 CopYright O(fic& po.121. (cont'd) I. Substantive oon~~nts. (oont'd) h. (cont'd) Examples: (oont'd) (2) A dooument purporting to be an abandonment of oopyright whioh is signed by someone other than the oopyright owner. II. Any related instrument. Generally, the Copyright Oftioe does not require recordation ot a dooument but will, upon request, record al1l formally aooeptable 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 oertain oases, reoordation of an assign ment may be required as a oondition of regis tration in the name of an assignee. (See Chapter 4 (Notioe), 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 referenoe to the assignment (e.g., "Copyright 1954 John Doe; assigned to Richarrl Roe"). (2) Registration of an ad interim olaim has been made in the name of the assignor; the U.S. edition has been published unohanged with a notice in the name of the assignor, but with a referenoe to the assignment (e.g., "Copyright 1954 John Doe, assigned to Riohard Roell).
gh.:....1l 12.1.2 12-7 12.1.2 CopYright Office polioY. (oont'd) II. Any related instrument. (oont'd) o. In oertain oases, reoordation of an affidavit or other dooument may be required as a oondi tion of renewal registration or of annotation ot oomp1eted reoords. Examples: (1) Where a partioular author I s name appears nowhere in our reoords in oonnection with an entrl, and the omission of his name oannot logi cally be explained, registration of a renewal olaim in his name will be made on~ it doouments supporting his authorship are reoorded. (2) Reoords of a registration cannot be ohanged to oorrect an applioant's error or to supplement the informa tion given, but may be annotated to refer to a recorded document setting forth the facts.
Qh, 12 12,2.1 12-8 Part 12,2 TUE NATURE or THEQ9QUMQT 12,2,1 Kind of instrument submittedo Although the law speaks 0~11 ofthe.recordat~on of assignments (that is, generallT, a transfer of complete ownership of a copy right), the Copyright Office will record &n1 kind of instrument whichappe8.1"s 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 COpyrifhted work for certain p~po8es • (2) A mortgage. (3) A will. (4) A court decree, suoh as a deoree of distribution, eto. .j(5) A statement of abandonment of oopy· right. (6) An affidavit (suoh as a statement with respeot to the authorship of a work) • (7) An agreement or oontract (.uch as an employment agreement). (8) A oertificate of change of name or of oorporate title. (9) A oertifioate or oorporate merger. (10) A power of attorney. 12.2.2 Belation to gOP!Eight. The dooum~nt need not have a direct relation to a oopyright to be reoorded, but may be que.tioned unless some poslible direot or indireot relation oan be peroeived. I. Ipdiregt or potential. The relation to a oopyright ma, be indireot or potential.
ChI 12 12.2.2 12-9 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 will be discouraged and, in appropriate cases, refused. [1973J
Ch. 12 12.2.2 12-10 12.2.2 Relation to c9PY!ight. (cont'd) V. Effort to record what cannot be registered. Where it is clear that the applicant is seeking to substitute recording a document for registering a copyright claim, or to assert by recordation a claim for which registration would be refused, the document will be rejected. 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 recordation. 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. [1973]
Ch, 12 12,3,1 12-11 Part 12,3 FORMAL SUFFICIENCY OF THE DOCUMENT 12,3,1 Ip geperal. In order to be recorded, a document must lenerally meet six formal requirements I 1 • It must be II an instrument in wr1ting , II 2, If' it purports to be an assignment, it must be ltsigned bY' the proprietor ot the oopyright." 3. If' it purports to be an al11gnment9 it must identit1 the aseignor and assignee, 4. It must adequately identitY the ooP1 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 Qwn terms. 12.3.2 "An instrument in writing. II I. no special form. The Copyright Offioe does not provide, suggest, or require any speoial form for assignments or other types of' doouments. II. Ahe aotual instrument. The document to be recorded should be the actual instrument by which the oonveyance or other commitment was made. a. The original oopy (or one of the original oopies) should be submitted for reoordation. b. A typewritten, photostatic, or other copy of the dooument will be questioned, but may be aooepted (with an annotation on the official record) upon the speoifio request of the sender. o. Where the original of the dooument in question is on tile in a public office, a cOPY' certified by the appropriate official will be acoepted.
Ch, 12 12.3.2 J 12-12 12.3.2 "An instrument in writing." (cont'd) II. The actual instrument. (cont1d) 0. (cont ld) Examples: (1) Certificate of corporate merger. (2) Petition for ohange of Dame. (3) Court deoree. III. Hanclvritten signature. As long as it oontains an individual t s aotual handwritten signature, any type of legible dooument whioh meets the other formal requirements will be aooepted tor reoordation. Examples: (1) Handwritten or typewritten original. (2) Assignment in the form of a letter. (3) Carbon original. (4) ~imeographed original. (5) Printed original. IV. Illegible document. An illegible document, or one whioh oould not be reproduced legibly on miorofilm, will not be acoepted. 12.3.) "Signed by the proprietor of the oopyright'." I. Handwritten signature of transferor. As a rule, the dooument to be reoorded should contain the aotual handwritten signature of the person or per sons making the transfer, commitment, or deolaration. a. An unsigned document is returned for signature before reoordation.
12-13 Ch. 12 12.3.3 12.3.3 "Signed by the proprietor of the copyright. 1I (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 questdoned 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 indi vid 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).
12-14 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 gi. ven 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 JDaT 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 authori ty to sign on behalf of the copyright proprietor will not be questioned. III. Authority to sim. 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.
Ch. 12 12• .3 •.3 12-15 12.3.3 "Signed bY the woprietor of the oOpYright." (cont'd) III. Authority to sign. (oont'd) b. No question ~ill ordinarily be raised in the case of an assignment of oopyright in a contri bution to a periodioa1 signed in the name of the periodical (e.g., SaturdaY' ~~) rather than that of the publisher (e.g., Curtis Publishing Co.). IV. SigpatWe of individyal. As a rule, the signature shou14 be the aotual handwritten signature ot an individual person, and should give the individual's own name rather than that ot the person or organi .ation he maJ represent. ·a. A penoil signature is aooeptable. b. A hand-printed signature is aooeptab1e. o. A printed, typewritten, rubber-stamp, or faosimile signature will be questioned. d. An illiterate person's mark is aooeptab1e if accompanied by another person's signature attesting to its authentioity. e. The signature need not be legible or include the full name of the assignor, as long as the name is suffioiently identified elsewhere in the dooument, 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 oopyright (assignments; lioenses, _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 neoessary parties will be questioned, but reoordation will not be refused.
Ch, 12 12.3.4 12-16 12.3.4 Identitigation ot parties. (oont'd) II. Failure to identify neoessary Parties. (oont'd) Examples: (1) "I, John Sohmo, do hereby assign all rights, including oopyright, in the work entitled 'How to Burn Toast.'" (2) " ••• copyright is hereby assigned to 01 Pres, as executor of the author ••• " (the author not being identi tied by name). III. Indexing. When a document which tails to identify the neoessary 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 Identif.ication of sub1ect matter. I. Date not required. While ·the document need not include copyright data or bibliographic informa tion, it should contain a reasonably precise identifioation of the subject matter with which it deals. II. Failure to identify sub1egt matter. A dooument which fails to identify its subject matter will be questioned. Examples: (1) "I hereby asngn my copyright to the Mercenary Music Co." (2) " ••• copyright in _~_.,.-__~~ is hereby assigned ••• " (space left blank through oversight).
Ch. 12 12.3.5 12-17 12.3.5 Identifioation of subJeot matter. (oont'd) II. Failure to identify subJeot matter. (cont'd) Examples:, (oont' d) (3) " ••• oopyright in OPENING CHORUS is hereby assigned ••• " (referenoe to part of soore of an operetta mean ingless when document oonsidered by itself). III. Titles. As long as the subjeot matter is ade quately identified it need not oontain the titles under whioh' the works were registered tor oopy right. ,a. An abbreviated or entirely different title, or a different desoriptive phrase, may be employed. Examples: (1) 111957 Sales Manuall1 instead of "Fabulous Deals for '57." (2) "Style No. 1?3B," instead of "Polka Dots on Parade." b.' The registration number may be used instead of the title. o. A blanket assignment or other transfer, in whioh no individual titles are given, may b~ reoorded without question. Example: (1) II oopyrights 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 j,t oontains; no information from souroes oUtside the' dooument will be supplied.
Ch. 12 12.3.5 12.3.5 12.3.6 12.3.7 12-18 Identification of sub1ect matter. (oont'd) V. ~o titles given. When a dooument in whioh no titles are speoified is reoorded, the index cards will oontain the notation "No titles given. 1I Words of present gonyeyanoe. I. Example. A document purporting to be an assign ment should contain words to the effeot that 'oopy right is presently being oonveyed (e.g., Ill, Horaoe C. Rucksaok, do hereby assign, sell, trans fer, gran~, and oonvey oopyright in 'Old Rag, I Love You,' to the Sperryville Literary Sooiety, Ino." II. Lagking olear words of present oonveyanoe. Where the applioant obviously wishes to have an assignment reoorded, a dooument whioh laoks olear words of p~esent oonveyanoe will be questioned. Examples: (1) A letter referring to an "understanding that you will have the assignment re oorded," aooompanied by the oertifioate of registration. (2) A letter addressed to the author giVing him "permission to seek another publisher and to take whatever steps are neoessary to have the oopyright transferred to you." (3) A letter from an author indioating that "the publisher has agreed to assign the copyright to me." (4) A letter addressed to the Copyright Offioe, asking the Register of Copyrights to make a transfer of the oopyright. III. Intention manifest. Where the intention to assign the oopyright is manifest from a reading of the doou ment as a whole, the faot that it is in the form of a letter or is inexaotly or vaguely worded will not preolude its reoordation. Cgmpletenees. I. In general. In general, a dooument will not be reoorded unless it is oomplete by its own terms.
Oh. 12 12.3.7 12.3.7 12-19 Cgmpleteness. (oont'd) II. Attagbments. Except as provided in paragraph d. below, a dooument whioh reters to specitio attaohment. (e.g., " ••• as enumerated in Schedule A, which is attaohed hereto and made a part here ote •• ") will be reoorded only it the attaohments are also submitted tor reoordation. a. Exoept as provided in paragraph dAi below, BUb mission ot the attaohments will be required even it they are irrelevant to the oop,yright (e.g., tax-torms, reoeipted bill) or it they duplioate information already in the reoords at the Cop,yright Ottioe (e.g., the original oertitioate ot oop,yright registration. a oopy at the oopyrighted work. another dooument whioh has alreaq, been reoorded). b. Exoept as provided in paragraph d, below, sub ;mission ot the attaohments will be reql11red even if they include a list ot titles whioh would substantially inorease the reoording tee, and whioh are irrelevant to the transaotion Whioh the applioant is interested in, reoording. o. Submission of the attaohments mq be avoided by deleting the referenoe trom the boq, of the 'doouments, and the paper m83' be returned to the applioant for this purposes When suggest ing this alternative, the) Copyright Offioe will suggest the desirability of having &nf ohanges in the exeouted dooument initialled by all parties. d. In exoeptional oases, where the sender asserts that all three of the following factors exist and speoifioally requests that the dooument be reoorded as submitted, reoordation may be made without the attaohments (with an annotation of the otfioial reoord). 1. The attaohment is oompletely unavailable; and 2. The attaohment is unnecessary to identify the subjeot matt~r of the dooument; and 3. It wo'uld be impossible or wholly impraotioable to seoure permission from the parties to make aqy ohanges in the dooument. \.... (lOY. 1959)
12-20 12.3.7 00mpl.t.n9's. (oont'd) III. ImorporatloD bx reter,pgl. When the terma ot an oth.r instrument are aerelT "incorporated b, reter 'DOe" in the dooument to be recorded, attachment ot the other inltrum.nt ia ~t required. Exampl•• (1) "In aooordano. with the terma ot a mutual undertaldJII prlYiouall entered into be tw•• n the partiea.on MaT 29, 19'7, whioh 11 inoorporated bl retereDO' berewith, llord O. WUloware her.b, transtera •••II IV. PEt pt larger dooum,pt. Wh,n a dooument indioatea on it. tact that it ia part ot a larger 1natrument (e.g •• vbv. it 11 aarked "AttacbMllt 0" or "lxhibit A") the ooapl.tlllea. ot the dOOUlllllt 11 nora&ll,r questioned, but r.oordation will not b. r,twled. 12.3.8 othlr tgrp'l requiroments. I. 1t'14om froa pbylQu8 error'. a. .u a rul. no attempt 11 mad. to verity the tact • •tated in a dooum.nt submitted tor reoordation. titl.s, r.gistration numbera. authors, dat •• , .to., are transoribed without oh.cking th.ir &COWaol · b. Wh.n an obvioua .rror ot a mat.rial nature 11 r.o opieed in the ordin&r1 U8Ildnation ot the dooument, the paper ia returned tor oorreotion, in such oa •••• the OOP1Eight Ottio. will lugg.st the desirabilit, of hav1J:lg &D1 oh&Jlles in the IXeouted dooument Wtialled bl all parti••• Inmpleal (1) A dooument .ubmitt.d tor r.oordation in 19S7 giv•• a 19S. date ot ex.oution. (2) Th. nam.. ot the ulignor and aslign.. are &coid.ntal1T r.vvaed. U) Th. l.tter ot tranamittal r.ter. to one title aDd the dooum.at to an .ntir'17 ditter.nt on•• o. • ..... aDd titl•• will g.n.l·allT b. tranaorib.don the iaAl.x oard. IXaot1T u th.y app.ar in tb. doo Mnt, but vh.r. tb.r. 1a no qu.ation but that a tIPographioal .rror baa been mad. in tb. dooument, the .rror vill b. oorr.ot.d in indexlaa the doo.ent.
eh. 1!2 ll.3:.S 12-21 12.3.8 Other formal reguirements. (oont'd) I. frledom from oblious errors. (oont'd) e, (cont td) Examplest (1) "Great RussianQl Short Novels18 (2) "Ma.s&ame du Barry" II. Date of exegution. a. Thedooument to be reoorded need not bear a date although, if it does state a date of exeoution, this information will be transoribed on the index carde, b. While the law provides oonsequenoes for failure to reoord an assignment within three months of its execution (or six months if executed abroad), the Copyright Office will reoord a document at any time after its execution. However, if the speoified recording period is nearing expiration, the Copyright Offioe may point out the statutory provisions when further correspondence is necessary. III. Consular gertifioate of aoknowledgment .• a. Seotion 29 of Title 17 provides~ "Every assignment of copyright execu.t.ed in a foreign country shall be acknowledged by the assignor before a consular officer or secretary of legation of the United states authorbed by law to administer oaths or perform notarial aots. The certificate of such acknowledgment under the hand and official seal of such con sular officer or secretary of legat.fon shall be prima facie evidence of the execrution of the instrument." b. If a document appears to be an as&ignment which has been executed abroad, and whi.ch does not contain a consular certificate of aeknowledgmen~ of the assignor's signature, the document. will be
Ch, 12 12.3.8 12-22 12.3.8 Other formal requirements. (cont1d) III. ConsYlar cer~~f.ioate of aoknowledgment. (oont1d) b. (oont1d) held and the provisions of seotion 29 will be called to the attention of the sender. 1. The document may be returned to the sender, upon request, so that a oertifioate may be obtained. 2. The dooument may be reoorded without the oertifioate (with an annotation on the offioial record) at the specific request of the sender. o. Reoordation of foreign doouments whioh are clearly not assignments will be made without reference to section 29, but where the nature of the dooument is unolear, the provisions of that section may be oalled to the attention of the sender. d. Sinoe the statute refers to acknowledgment of the signature of the assignor, a consular oer tifioate 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 oertifioate. Example: (1) The signature of the assignor has been acknOWledged before a notarial officer of the oountry of execution, and the notary's signature has in turn been oertified by a consular officer.
Ch •. 12 12.4.1 12-23 Part 12.4 DOCUMENTS AMENDING COPYRIGHT OFFICE RECORDS 12.4.1 In general. I. Regulation §2~1.5(a). The Regulations of the Copy right Office 37 C.F.R. §201.5(a)) ~o 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 a~ particular case justi fies the pl~~ing of an annotation upon ~ 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. ~ocument to correct. amend. or amplify. Where an applicant desires to correct, amend, or amplify a oompleted Copyright Office reoord, he may submit for reoordation 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 A.S to its legal effect. II. Conditions. A statement of abandonment should generally meet the following conditionsl 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 Qlear words of present abandonment. o. 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.
Ch. 12 12.4.2 12-24 12.4.2 Aband0nment§. (cont1d) 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 oonditions. Where a statement does not meet one or more of these conditions, the sender will be informed conoerning themp but reoordation 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 reoord of registration and the catalog oards 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.
Ch. 12 12.4.3 12.4.3 Correction of errors. (cont'd) I. Correction of errors in copn:ight registration. (conttd) 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 lrllere 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: (l) Change of title. (2) Change of maiden name to married name. (3) Addition of a pseudonym.
12-26 Ch. 12 12.4.4 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.
12-27 Ch. 12 12.5.1 Part 12.5 RECORDATION 12.5.1 In general. The recordation process involves initial exam.ina.tion 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 coveririg 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.e., 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)").
12-28 Ch. 12 12.5.3 12.5.4 Chan~s in unrecorded document. I. Requests f.or 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."
12-29 12.5.5 Regording fees. (oont'di II.. Separate as.signments. A fee is required for each separate assignment or document, even if the, appear on the same page e . III. Titles. In determining the number of'titles in a document, the following oonsiderations. are observed: . a. Every title of oopyrighted or oopyrighta.ble works listed in the doot1llB nt is included, but not designations referring to unoopyrightable matter (trademarks, patents, etc.) b. The term "title" for this purpose generally denotes "appellation" or "denomination!' rather than "registration," "work," or "oopyright.1! 1. Where the same title is repeated more than onoe in the same document~ it is oounted as only one title, unless the dooument is tQO long or oomplex to make finding of duplioates feasible. (a) Duplioate titles are counted as a single "title" for purposes of oom puting the fee, even when differ.ent registration numbers or dates ane indioated. The same is true in the oase of various issues, volumes, chapters, installments,. etc., even when listed separately under differ ent numbers and dates. Examples of one IItitle": (1) --'.'Ferlin Husky Fan Club News," vol. 1, no. J, 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 Ban," Installment II
Ch, 12 12.5.5 12-30 12.5.5 Reoording fees. (conttd) III. Titles. (conttd) b. (oonttd) 1• (conttd) (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. ExamplesI (1 ) -RONDO (Massenet) -RONDO (Respighi) (2) --"Combination Waffle Iron and Pants Presser" -"Combination Waffle Iron and Pants Presser (side view)" (3) --liThe 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 Isntt 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 ree will be charged.
Ch, 32 12.5.-5 12-31 12.5.5 Recording fees. (cont'd) III. Titles. (cont1d) b. (cont1d) 1- (cont'd) (d) (cont'd) Examples a (1 ) "How to Get Ahead in the Govern ment, or Ten W818 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 Offioe will make separate index cards under the various listings, upon the speoifio request of the sender and payment of separate fifty-oent fees. IV. Pages. a., In determining the number of pages in a dooument, 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.
Chaptor 13 iP..1"'l~i..sf.Jfti Outline ot Topics Part 13.1 IN GENERAL 13.1.1 statutor,y provisions I. Exclusive rights aDd the ·compulsor,r ~cense· II. The "notioe ot use- requirement III. The "notioe ot intentioll to WI.- requirement 13.1.2 Oop,yright Ottice policT Part 13.2 APPROPRIA.lENESS OF A. NOTIOE OF USE 13.2.1 In General 13.2.2 Works listed should be copyrighted 13.2.3 Works listed Bhould be musical oompositions 13.2.4 Works listed should be reoorded or lioensed tor recording 13.2.5 Notice should be filed b7 oopyright owner 13.2.6 Other cases where a not~ce ~ or should be tiled Part 13.3 IVHHAL SlJUICIENQY AND REOORDATION or A NOTICE or PSI 13.3.1 Form 13.3.2 Oopyright owner 13.3.3 Title 13.3.4 Date at reoordation 13.3.' Reoordinl tee I. Statutor;r proTi.ion II. Humber ot titles 13-1
13-2 Part 13.4 IO!ICBS OJ' lOD'.\PtIOI TO 11SB 13.4.1 Definition 13.4.2 Process1Dg of .otices of Intention to Use
Ch. 13 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." &. 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" provf ded 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 "notace of intention to use," and sends a duplicate of this notice to the Copyright Officej (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. 13-3
Ch. 13
13.1.1 l3~
13.1.1 StatutOry provisions. (cont'd)
II. The "notice ot use" requirement. "It shall be the
duty of the copyrignt~ owner, it he uses the musical
composition himselt tQr the man~acture ot parts of
instruments s~rv:$.ng to rep;-oduce mechanically the
musical wprk, or l1censes ot~ers to do so, to tile
notice thereot, accompanied by a recording fee, in
the Copyright ottice, and any fa,;1lu.re to file such
notice sball be ... c~plet, det,nse to any suit,
action, or proceeding tpr any inf'r1ngeaent of such
co~yrlght." (17 U.S.C•• lee),)
III. The "notice of:S.ntentionto us," requirement.
"Whenever any person, l~ thi absence ot a lice~se
..greem~nt, iD~end.. to us, ... co~y%'1ghted m\lsical can..
posi tion upOn the ~rts of 1nstl"Ulllepts serving to
reproduce mechanically-the musical work, relying upon
the compulsory license prq"is:$.on ot this title, he
shall serve notice of such intention, by registered 'i
mail, upon the cQPyr.\ght proprietor at his last
address disclosed by the recc;»rds of the Copyright
Oftice, sending to the COPYl'1ght Oftice a-duplicate ..,)
pf such notice; ••• " (17 U.~.C. 1101{e).)
13.1.2 C02y;1ght Oftice policy.
I. The function the Copyright Oftice performs in recording
notices ot use is similar to its fUQct10n in recording
assignments and related documents. (See Chapter 12.)
a. As a rule the Copyright Office ,makes no eftort to
evaluate the ~ccuracy of the statements given in a
notice of useI but merely records and indexes any
notice of use that meets the minim~ tormal require
ments. (See part :],.3. 3~)
'b. In exceptional casesf where it seems clear from the
notice ot use itself, o~ from accompanying corres ..
pondence, that the notice has been filed under a
misconception of the If;l.w, the Copyright Office will
WTite, pointing out the poss~ble difficulty.
Examples of common ~isconceptions
notices of use: concerning
(1) That a notice of use may be tiled instead
ot ~egisteri~ a cl.~ to copyright.
Ch. 13 13.1.2 13-5 13.1.2 Copyright Office policy. (cont'd) I. (cont'd) b. (cont'd) Examples of camDOn misconceptions concerning notices ot use: (cont'd) (2) That til1D8 8. notice ot use secures copyright protection tor the perform ance recorded, or tor the recording as such. (3) That tiliD8 8. notice ot use otters pro tection tor the title or idea tor a song or a recording. (4) That filing a notice of use is required for non-musical material (stories, p.:>ems, 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 Oftice will require the recordation of a notice of use. Where appropriate, however, the Office may point out the "cca 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 it requested.
Cb. 13 13·2.1 13-6 Part 13.2 APPROPRIATBDSS OF A IO'rICB OF USE 13.2.1 In General. General.11, the tollowing tour circwutances should &l1 exist in order for the recordation ot 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 caa positions. nI. All works listed in 'the notice should either have been recorded. or licensed for recordina by the copyright owner. IV. The notice should be tUed under the authority and in the Dame of the present owner ot cowrigb.t in all COlll poei tiona it lists. 13.2.2 Works listed should be comishted . I. .As a rule, where it is apP8l"8nt that the works listed on a notice ot use hav:e not let been cop;yrigb.ted, or are nov in the public dCIDILin, the des1rabUit7 ot recording the notice will be questioned. lxamples: (1) Title lilted as: "Rock, Caterpillar, Rock (no copyright tiled as let)." (2) Title list... as: "Beethoven's S7JQhOD;1 J(o. 1." II. Where a notice ot use is accompu1 ed 'b7 an application tor registration coveriag the s .... ccapoaition as that listec1 on the notice, no queltion v11l be railed con cerD1.ng the tact that the caaposi tiOD has not let been cowrigb.ted . a. !his 18 true even where the title given on 'the notice il tollowed'b7 a ltatelent IUah as "cop;yr18ht peD4:1nc" or "8ublDittecl herew1:tb.." b. Where an application &Del notice ot ue coverina the s_ \ULpublishecl ca.poeition are tue4 concvrotl7,
Ch. 13 13·2.2 13-1 13.2.2 Works listed should be comighted. ( cont 'd) n. (cont'd) b. (cont'd) aDd action on the application JllUSt be deferred because of scme defect, action on the notice of use should not be deferred WLless there is reason to doubt that registration for the work wUl be cCllllpleted. IJNnples: (1) Where the detect i8 lack of sigoature, the notice of use should be recorded without vai ting for the new application. (2) Where there is a question &8 to the own ership of the copyright, the notice of use should not be recorded Wltll entry has been made. III • Where it is clear or probable that the com positions listed on a notice of use bave been published with a copyright notice, the fact that cla1JDs to copyright have never been regis tered v1ll not affect the recordabllity of the notice. In appropriate cases, however, the ne cessity for registering a claia -.:y be pointed out to the person Bubllitting the notice, aDd the case JIIIEQ' be referred to the Compliance Section for possible action. 13.2.3 WorM listed should be llUSical c,ogositioDa. I. Recordation of a notice of use should be discouraged where it Be.. clear that the works li8ted on the notice are neither .. ieal ccapositiona nor copyrightable works conta1D1q JIWIic. (1) Title on notice: "'!'he Poems of D,ylan lUl.kweed, To!. II". (2) Title on notice: "Mario Lasagna Sings! (a Concert Ball Recording, WaIL-TITI)."
Ch. 13 13.2.3 13-8 13.2.3 Works listed should be musical campositione. (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. ExampleR: (1) Title on notice: "The Miraculous Minota.Ur, a dramatic cantata by Bela Earayk (Du-12345, January 13, 1949 J" • (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, 19 49)." 13.2.4 Works listed should be recorded or licensed for recording.i 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;
Ch. 13 13.2. 4 13-9 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 fom 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 authori ty 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 queataoned if it appears that the person listed is not now the copyright owner. II. The copyright ovnez listed in a notice of use should be the present owner of the copyright, even though copyright was secured in the name of an earlie:r 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 mayor 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 reyised version of the composition consists of non-musical elements.
C21. 1913·2. 13-10 13.2.6 Other cases where a notice may or should be fUed. (cont'd) I. (cont'd) b. (cont'd) 1xulp1es: (1) Bew words tor an old song. (2) A medlq consisting of a compilation ot old songs. (3) A new abridgement of Bandel's "Messiah." II. Where a notice of use bas been recorded for a composi tion during the first term of cowright, it is doubtful whether a new notice need be recorded when the copyright is renewed., but the recor41ng of a notice vill not be cl1scograged 111 such a case. III. Where a notice of use has been recorded tor a compositioD in the Dame of the owner of copyright at that time, it is doubttul whether a new notice need be recorded when the copyright is transferred to a new owner, but the recording of a notice vUl not be discouraged in such a case. IV. A DeW notice of use JIIJ:1 be tiled to correct aD error in a previously recorded notice.
Ch. 13 13·3·1rs-n Part 13. 3 ForMAL SUFFICIENCY AND RECORDATION OF A NOTICE OF l]'..:m 13.3.1 Fonn. A notice of use should be filed on Form U. The second half of the fOnD, 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. \olhere all the compositions are owned jointly or in common by two or more ovners , 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 t\TO or more ovne.rs and two or more titles are given in the notice, the Copyright Office records may be spot checked to detennine whether all the owners listed actually O\'-U 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-123 45, June 30, 1956)".
Ch. lJ 13·3·3 13-12 13.3.3 Title. (conttd) II. (cont td) Examples: (2) Title on notice: "ICY Heart's a Wanderer by James Schovill, in Pardon ICY Past (Ep-123456, June 30, 1956)". III • A notice will be IiLccepted i! it contains a title suffi cient to identi:f)' the musical cCDposi tion in question. As further means of identification, however, it is desirable that the title be followed by' the II8IIleS of the authors, the registration number, aDd 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 1ihemselves . Where this information has been g1 ven, aDd it appears that there JDIq be a mis UDderstaDd1ng concernillg the notice of use requir-.ents or the purpose of a notice of use, a new notice should be requested CIIl1 tting this information. 13.3.4. Date of recordation. I. The date of recordation for a notice of use is the date 1ihe last necess&r1 element (acceptable notice and required fee) is received. a. When it is necessary to request & new notice because of saDe defect in the earlier one filed, the Qate the new no'tice 1s 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 recorda'tion.
Ch. 13 13.3.4 13-13 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 fuDd8 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 i8 the date the notice vas 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 • lumber of titles. a. Generall1, in determining the waber of titles in a notice of use, the seme considerations as those applicable to assigmaents and re1ated docUJDents are observed. (See itea 12.5.5.111.) b. Where a notice lists the general title of a COllec ti ve work, together with the titles of two or more caapositions included in the work, it 111&1 be neces sary to ask the sender how he wishes the notice in dexed, in order to determine the recording fee. (lx8aple: T1tle g1ven as "Scae of IC.Y 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 UDder the collective title, the Cop;yright Office will write and re~est a new notice of use g1 Ting only the collective title and charge for only one title. 2. If the sender wishes the notice ot \18e indexed under both the 1Dd1 vidual titles and the
Ch. 13 13-14 13.3.5 13.3.5 R~cording fee. (cont'd) II. Number of titles. (cont'd) b. (cont'd) 2.. (cont'd) collective title, he will be requested to tile a new notice listing th~ 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 tiled listing the individual titles separ ately, each followed by the title of the collective work. EJlSmple: "FinderI s Keepers, in Some of My Best Friends are Children Folio •.11
Cb\13 13 ..1 13-15 Part 13.4 BOTICES OF lITDTIOR TO USE Definition. A "notice of intention to use" is a notice given to the copyright owner by sOIDeone who iatends to record the copyrighted work on mechanical instruments without a specific license, under the "compul.sor,y licensing provisions. It (See i tea 13.1.1.) The notice of intention to use is sent to the copyright owner by registered mati, and a COW is sent to the Copyright Office. Bo special form is required. Proc.sl1DS of Botices 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 at the notice itself. Index cards are prepared under the t1 tles listed in the notice, and the notice i8 then fUed by number. 'l'he tee required tor recording a notice ot 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 aeet these requirements, the Copyright Office will write to the sender pointing out the provisions of the law.
Chapter 15 'Certifigates and CertjjJ.cu.\~~ Outline of Topics l'art 15.1 CERTIfICATES OF REGISTRATION 15.1.1 Statutory provisions 15.1.2 Preparation of original certificates 15.1.3 Mailing of original certiticates 15.1.4 Certificates returned by Post Ottice 15.1.5 Remailing ot returned certificates Part 15.2 CERTIFICATIQn~.UGENEaU. 15.2.1 Certifying officer I. Statutory provision II. Certification by the Register ot Copyrights III. "The absence or the Register" 15.2.2 Nature and kinds of oertified doouments I. Nature of oert1f'ied dooument II. Klllds of certified documents a. Original certificates b. Additional certifioates c. Certified oopies ot ottioia1 records d. Certified oopies or oorrespondence e. Certified copies ot copyright deposits, etc. t. Other certif'ioations 15.2.3 Determination ot whether a certified docu ment oan or should be furnished I. In general II. What does the applicant want? III. Is the applicant entitled to receive the document? 15-1
Qb. l' 15-2 Part 15.2 CERTIFICATES IN GENERAL (cc1ntinued) 15.2.4 Preparation and handling of certified documents I. Certified documents must be prepared under Copyright Office direotion and control II. Need for speed and accuraal III. Use in foreign proceedings IV. Mailing of certified documents Part 15.3 TYPES or CERTIFICATIONS 15.3.1 Additional certificates I. Requests tor additional certificate. II. lorm aM contents ot additional certificate. III. Preparation and handling ot additional certifioates 15.3.2 15.3.3 15.3.4 Certified oopies of otficial records Certified copies of correspondence Certified copies of copyright deposits, eto. I. Circumstances uDder which oopie. of deposits m~ be made and certified II. Form and contents of certified copies of deposits (other than Patent Office deposits) III. Certified oopies of prints aM labels deposited in the Patent Offioe 15.3.5 Other certifioations Part 15.4 DI§ 15.4.1 15.4.2 Statutory provisions and regulations H&Ddling of fe8. tor photoduplioation aDd certification
Chapter 15. CERTIFICATES AND CERTIFICATIONS Part 15.1 Q.~TIFICATES OF REGISTRATION 15.1.1 StatutorY provision,. I. When registration has been made "the person recorded as the claimant of the copyright shall be entitled to a certificate or registration UDder seal of the copyright ofrice, • • • " (17 U.S.C. 5209) II. The oertificate shall contain the name and address ot the olaimant, the citi~enship of the author, the place ot domicile ot an alien author domiciled in the United States, the author's name "(when the records ot the copyright oftice shall show the same)," the title, "the date ot publication if the work h~~ boen reproduoed in copies for sale, or publicly distributed," and "such marks as to class des:t.gnation 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 ot the completion of the printing, or the date at pUblication of the book." (17 U.S.C. §209) III. "rhe Register of Copyrights shall prepare a printed form for the said certificate, to be tilled out in each case as above provided for in the oase of all registrations made atter JuJ.y 1, 1909, and in the case ot all previous registrations so far as the copyright oftice record books shall show suoh facts, whioh cer titioate, sealed with the seal of the copyright oftice, shall, upon payment ot the presoribed fee, be given to an, person making applioation tor the same." (17 U.S.C. §209) IV. "Said certificate shall be admitted in any court as prima facie evidence of the tacts stated therein." (17 U.S.C. §209) 15-3
15-4 1 5•1. 1 §i:'), t .pt (lJ'.z...J:.r..2Xltl:!£l..!11j. ( cont t d ) v. "Tho seal u.'3cd in the copyrizht office on July 1, 1909, ahall be the Deal of tho copyr1~ht offico, and by it 0.11 paper-s issued frc:J th,) copyright orfice requiring authentica.tion sh~ll be authenticated." (17 U.S.C. §206) 15.1.2 ~erat1on of oriein~l aerttflr~1!n~. I. As a rule, the bodt ot the certificate is pre pared b,Y the applicant himsolf, as a duplicate ot his application. This document becomes the certificate of registration when the signature of the Register ot Copyrights and the seal ot the Copyright Ottice have been aftixed. II. It is not essential that the applicant himself prepare the body ot the certificate. As long as the necessary information has been provided, the Copyright Otfice may prepare the certificate in appropriate cases. 15.1.3 Mailing of or:tg:i.nal certificates. I. As a rule, original certificates are mailed in window envelopes, to the address the applicant haa indicated in the "return address" box on the certificate itself. a. The date the certificate is mailed is re corded on a mailing shoet. b. No separate record is made or the addressee, sinoe this information appears in the "return address" box of the applioation covering the seme entry. II. It the "return address" box in the certificate to be mailed contains an insufficient addres8, but a complete address can be found trom other sources, a special mailing envelope will be typed.
15-5 15.1.3 Halli~g of original certiticntea. (cont'd) III. If the "return address" box is blank, the cer tificate will be mailed to the tirst copyright claimant listed in the bod1 ot the certificate. Exceptiops it the "return address" box is blank on a renewal certificate, the oertificate should be retlU'nec:l to the examiner tor correotion. IV. The follOWing are special circumstanoes UDder which a oertit!cate 111&1 be mailed I a. If the Office is instructed to .ma1l the oer tifioate to an address other than that given in the "return address" box, the examiner will attach a slip oontaining the oorrect mailing address to the certificate when he passes the application. This address will be recordod on the mailing sheet. b. It the certificate is tOt be mailed as an enolosure to a letter, the person signing the letter shall inform the clerk in charge ot mailing certificates ot the date hil letter is mailed, so that this can be re corded on the mailing sheet. c. If an import statement is to b. mailed with an ad interim certificate, this fact will be recorded on tho mailing sheet. It the import statement is to be sent to an addressee other than that ot the certitioate, the mailing sheet should show the addrels to which the statement was sent. d. It the applicant sends postage or a Itamped envelope for the return ot his oertifioate, it should be used for that purpole. 15.1.4 gertifipat es returned by Post 0ftic,. I. When a certificate is returned as undeliverable, this fact should be indicated on the mailing sheet.
Ch, 15 15.1.5 15-6 15.1.4 Certificates returned by Poat 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 II r et urn address ll 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
Ch. 15 15-7 15.2.1 Part 15.2 CERrIFICATIONS 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 Copyrights. 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.
Ch, 15 15-8 15.2.2 15.2.1 Certifxing officpr. (oont'd) III. "The absence or the RElsJJlte.:,," a. The "absence" or the Register, in this sense, refors to an·indefinite or protracted period during whioh circumstances suoh as a serious illnes8 or a special appointment to another Job have actUlL1J.y lett the position vacant .. It does not refer to oases such &s those where the Register is still occupying the position but is OD. leave or is representing the government at an international oonf'erence. b. The Librarian at Congress will determine whether a particular situation constitutes -the absence of the Register" and will pro vide for the certification of document. during such a period. 15.2.;(. IItwe aM kinds o( certified dogullIents. If. .l!.mte or a certif'hKi document. A certified document is an orficial paper attesting to one or more tacts, bearing the seal of the Copyright Otfice and issued in the n~e of the Register ot Copyrights or otherauthori.ed certit.ring officer. (Bee topic 15.2.1.) A document that lacks either the name or the seal is not properly oertified. II. ·11nds of certified dOCltmqntJ. a. Original gertificates. Certain oertified documents are issued. as a matter or course, with no separate fee tor certifioation •. 1. Original certifioates of registration, see Part 15.1. 2. Assignments and other recorded documents, which are returned to the sender with a certificate of recordation.
Ch. 15 15-9 15.2.2 15.2.2 Nature 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 appl1.cation for the saae " (17 U.S.C. §209). (See topic l5.3.~ 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 records. 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 tration 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.1I" .R. § 201.2(b»
Ch, 15 15.2.2 15-10 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 lillli.nary 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. §20l.2(c). See topic 1;.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, Il8moranda, 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 attomey." (37 C.F.R. § 201.2(c)(3» 3. In the case ot "correspondence, appli cation torms and any accomp&n¥ing Jll8.terial torming a part ot a pending or rejected application," inspection and the making of copies are pel"llli. t ted only "upon presentation of written authorisa tion of the claimant or his agent, or upon sua-iss ion to the Register of Copy rights ••• of a written request which is deemed by hill to show good cause tor such access and which establishes that the person making the request is one proper11 and directly ccneerned ," (37 C.F.R. §20l.2(c)(2»
15-11 15.2.2 J!turo and kinds of gertified doc\wents. (oont1d) tIe Kinds of certified doguments. (cont1d) o. Certified copies of oopyright deposits I etc. Upon p~ent ot certification and photodup lioation tees, oertified oopies &~ be furnished of oopies, manuscripts, photo graphs, drawings, and other material deposited in oonnection with a oopyright registration. Suoh copies will be furnished onl1 upon the authorl~ation of the copyright owner or his agent, upon a court order, or when requested bl an attorneY' in oonneotion with aotual or ~ospeotive li~igation. (37 C.F.R. 1291.2(d)(2). See topic 15.3.4) f. Other gertifications. Upon payment of eer- tification and anY' neoess&rl search fees, the Offlcem~ furnish a certified statement attesting to anT fact within its official knOWledge and competence. (See "opic 15.3.~) Examples: (1) Certified search reports; (2) Certification attesting to the tact that jurisdiotion over registration for commercial prints and labels was transferred to the Copyright Office in 19401 (3) Certification of an old oftice circular. 15.2.3 petenp1p&tion of whether a certified dogYm!nt can or ,hoUl d be furnished. I. In geperal. In tultilllng a request tor a cer tified document, two questions must be decided. (1) What document doe8 the applicant want? (2) Is the applicant qualified or entitled to receive this document?
Ch. 15 15.2.3 15-12 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 'la certified photostat of my certi ficate,1l 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 lIa photostat of Registration No. EU-22779 11 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.
15-13 Cn. 15 1'5_2.3 15.2.3 ~tmination of whether a ceT~ifle9 dORnwent c~n Ot IbolUs! be furnished. (cont'd 11. What does the anplicBpt w~1; lcont'd) b. (cont'rn 1. (oont'd) Example I The applioant s&7s he has lost the- oDl1' OOP1 ot his song, aIld vishes another~ . 2. U there is IUJT suggestion or implioa tion 1n the oase that oertification is desh·ed, the Copyright Ottice should write tor turther instruotions betore referring the material to the Photodup lication Sel~ice. In particular, it it appears that tho material is desired as evidence in connection vith aqr sort of legal or administr~tive proceeding, it should not bo furnished without tirst inqUiring whether certifioation is desired. o. l.fo.n,y letter/) do not tully identif1 the reg.. istration tox' which tbl;y "ish an additional certificate or other certified dooument. 1. It the letter gives at least the regis trationnumber aDd the title, the docu mont can usually be furnished by going directly to the record book, without the need ot searching in the catalogs. 2. It the letter gives no registration num ber, but contains other intormation (e.g., title, author, claimant, etc.) tram whioh the registration could be identified, the request should be forwarded to the Refer e.Qoe Search Section for searching. The same is trueit'the registration number and title (or other information given) do not coincide.
Ch. 15 15.2.3 15-14 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-745l0," 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)
Ch. 15 15.2.4 15-15 15.2.3 ent can 0 III. Is ~e apPltcant eytitled 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 15.3.3.11, 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 uOOer 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 Orfice. 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.
lmu..JJ 15-16115.2.4 1'.2.4 PreParatipn apd handlipg of ctrtitlQd dogum'nt•• (~ODt'd) I. Certified dOcument, Wilt ~e ~P~ll~ i':dt; Copn:1ght OWg, dir,gtfqp and controL (oont' d) b. (oout'd) 2. In turni.hiDg mat.rill to the Photodup l1cation S.rvice tor photoooPl!Dg, the Cop11"ight Ottio. must ol.arl1 .peair, wh.th,r it il to b' returned to the Oftio. tor c.rtifioation. o. Th. Copp-ight Ottic. will not certity ID7 ..tw11l pr.pared outaid. itl control. 1. Th. Otriae will not cert1f1 copies ot works, photostats, photographs, addi tion.1 certific.t. forms, or other material sent in tor this purpose, this is in aocordance with the Orfic.'s gener.l policy not to und.rtake compari 10DS of material. 2. One. anune.rtif'led photoooPI of COPI right Office records, correspondence, or deposits has left the Library, 1t cannot be returnad later tor c.rtifio. tion; this is beaaus. of the possibilitl that the material mAl be alter.d in th. 1.nt.rval. ExceptioDl If the material was not certified because or an error on the part or the Copyright Ottice or the Pbotoduplio.tion Servic., it oan be re turned tor oertific.tion. II. lIeed tor speed and ngcUUQX. M&!\1 oertified docnaentl are requ.sted for use as evidenoe ill prooeedings berore oourt. or admin1.trative ..enoi.l. a. Certified documents .hould therefor. be pre pared without dell.)', and in some O'I.S the utmost spe.d is necessary. It correspondeno. 1, netd,d, 1t should likewise be handled with di.patoh.
Ch. 15
15-17 15.2.4
1S.2.4 Preparation r.ro hnudlin!! of ccrtifj('d nrll~,,"'.,nt!3. (cont'd)
II. Need for sneeg ~nd aCC1WQC1. (cont'd)
b. When the reoords needed to prepare a certi
fiad document are in the process of being
bound, a letter should be sent to the appli
oant immediately, informing him that a delay
will be unavoidable.
c. The need tor acouracl is even more important
than the need for speed in preparing oerti
fied doouments.
1. The faots contained in a certified doou
ment can often arfeot the outoome of a
case in court, or can even be the turning
point in the oaae. Anl error, even a
seemingll minor one, can have drastic
consequenoes; in aD( case, it reflects
upon the efficiencl of the Office.
2. Certified documents should not onll be
prepared with the utmost care and accur
aCl; ev~ry document must also be reviewed
with equal cm~e. In reviewing a certifi
cation of material received from the
Fbotoduplication Service, it ie espeaial~
necessary to check the photocopies against
the material copied, to determine whether
they are complete and in the right order.
III. Va' in foreign proce8din~§. The Office is occa
.ionally called upon to furnish certified docu
ment. for use in litigation or other proceedings
in a foreign country. Usuall, the applicant
wishes the certifioate authenticated bl the
Authentication Office of the Department of State,
or certified bl a consular officer of the countrl
involved, or both. While the Office viII cooper
ate to 80me extent in facilitating the obtaining
ot these additional documents, it will not
advance fees or provide messenger service tor
this purpose.
Ch. 15 15.2.4 15-18 J 15.2.4 Preparation and bandliD& of certified documents. (cont'd) IV • Mailing of certified documents. Unless apecial correspondence is necessary, certi fied documents are mailed to the applicant with a printed form letter which indicates the amount recel ved, 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.
Oh. 1S 15-19 15.3.1 Part 15.3 IDES OF CERTIFICATIONS 1'.3.1 Additional gertifigates (See topic 1'.2.2.II.(b~) I. Bequests for additional certifigates. a. Additional oertificates are requested under a wide variet,y of names, of whioh the to1low iDg are some of the most commonl 1. "Duplioate certifioate" 2. "COPT of reoord," or "oertified oOPT of reoord" 3. "Cop,y of registration" or "certified oOPT ot registration" 4. "Copy ot oopyright" or "oert1tied oopy ot copyright" s. "Photostat ot aertlticate," "certified photostat of your record" or "certified photostat ot registration" 6. "Copyright" (al in "I have lost mf copy right and would like to obtain another") b. Where it is clear that what the applicant wants is an otticial document proving the existence of a particular ooPtright and showing the tacts appearing in the reoord ot copyright registration, it is genera1l1 sate to send him an additional certificate. 1• This is true even when the terminology used in the request is highly ambiguous, or reters to a "photostat" or "photocopy." 2. A oertitied oOP1 of an application does not have the same eVidentiar,y value as an additional oertifioate. It should not be sent unless the applioant clearly wants it, and does not want an additional certiticate instead.
Ch, 15 15.3.1 15-20 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 .",ith a search fee, a further search can be undertaken. 2. If the applicant appears to o.",n the liter ary property in the work, it may be appropriate to suggest that registration be made, and to send instructions con cerning registration.
Ch. 15 15-21 15.3.1 15.3.1 Additional certificates (cont'd) I. ReQMests for additjpnal 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 al terna ti ves 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.
Ch. 15 15-22 15.3.1 15.3.1 Additional certificates (cont'd) II. FOrm and contents of a4ditioD§l 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 froll 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 partioular 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 ma~ 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 t.hat he can also obtain a "certificate of date of deposit of copies." A special fora is proVided for this certificate, and the regular certification fee of '3.00 is charged for it.
Ch. 15 15-23 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 lie" 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 OD the applica tion only, and should not be included on an additional certificate. 3. Pencil annota tiona, in! tials, and similar internal markings should not be reproduced on additional certifi cates. The same is true of renewal registration numbers.
Ch, 15 15.3.1 15-24 15.3.1 Additional certificates (cont'd) II. FOrm and contents of additional certificates. (cont'd) d. (cont td) 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 J, 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).
Ch. 15 15-25 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 Copyri~ht Office will supply a photocopy at its own expense. 2. The applicant is charged the regular feaof i2.00 for such an additional certificate. III. Preparation and handline of additioD!~certi ficatas. a. In preparing additional certificates, ever,y 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.
Ch. 15 15.3.2 15-26 15.3.1 Additional certificates (cont'd) III. ti 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 15.2.2.1.1.0) I. The Copyright Office will furnish a certified copy of any paper that can be regarded as an official record of the Office (see Chap~er 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-l909 applications but not Patent Office appli cat l.Ons 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 CatalQK of Copnillht Entries
15-27 Ch, 15 15.3.2 15.3.2 Certified copies of official records (cont'd) III. S~ecial 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 entr,y. 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.
15-28 Ch, 15 15.3.3 16,3,2 Certified copies of ofJ:icial, records (conttd) IV. (cont'd) b. (oont'd) 2. This necessitates withdrawing the appli cation from tile, and having it stamped with the registration number. c, The Patent Ottice records ot print and label registrations vere transferred to the Oopy right Offioe in 1940, but it was tound impossible to transfer the records ot assign monts and related doouments, sinoe thel were inseparably- combined with the reoords of patent assignments. Thus, &n1'0ne wishing a certified copy of an assignment or related dooument covering a print or label regis tered in the Patent Oftice betore 1940 should be referred to the Patent Office. 16.3.3 Cl£tifie4 oopt,s of 90rrespondencg (See topio 15.2.2.11.d. ) 1. Oopies ot correspondence (certified or not) can be turnished only under the following circ~ .tances: a. The material to be copied must oonsist of "offioial correspondence, inoluding prelim inary applications, between oopyright claimants or their agents and the Oopyright Office" (37 C.F.R. §201.2(c». Such material inoludes anything (other than deposit copies) that the applioant sent to the Oopyright Ottioe and that beaame a part of the oorrespoDdenoe tile-including un registered applioations-and the file copies of the Offioe's letters to th~ applioant. It also includes &D1 mailing wrappers pre .oned in the oorrespondenoe file, and re turn reoeipts or similar material furnished by- the Poat Otfice or Western Union in
15-29 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 I recommenda tions, etc. b. The correspondence must. generally relate directly to a completed registration or to a recorded docUIlent. 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 directl.}" concerned." (37 C.F. R. § 201.2(c)(2)(11». 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 responsiblli ty of determining what pieces of correspondence the applicant wishes copied and, of those, wbich he is entitled to have copied.
Ch. 15 15-30 15.3.4 15.3.3 Certified copies of correspondenc§ (cont'd) II. (cont'd) a. Only those pieces of correspondence \lhich are to be copied \lil1 be sent to the Photoduplication Service. b. In appropriate cases the Chief of the Reference Division may consult \lith the Chief of the Examining Division in deter mining the availability of certain correspondence for copying. III. Every certification covering correspondence must be special11 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 copi§s of copyright deposits. etc. (See topic l5.2.2.11.e.) I. Circl1mAtances W¥i,r which copies of deposits aay 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 \1111 permit the copying of copyright deposits: 1. 'When authorized in writing by the cOP1right o\lner or his designated agent; 2. When reqUired in connection \lith actual or prospective litigation in which the copyrighted work is involved, if the attorney for eithsr side gives the
Ch. 15 15-31 15.3.4 15.3.4 Certified copies of copyright deposits. etc. (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. J. 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 • copy of a deposit, the deposit must generally be under the Jurisdiction of the Office. The Orfice will generally not certify a copy of a deposit that bas been transferred to the Library of Congress, even if the deposit is still physically in the Copyright Orfice. 1. It may be possible for the Library to certify the copy in certain cases, if the deposit baa been retained in its collections. 2. When the Copyright Orfice receives a re quest tor a certified copy of a deposit that has been transferred to the Library,
15-32 15.3.4 Certified copies of copyright deposits. etc. (cont'd) I. Civcb:§tance~~er Whi~ copies of deposits _y be made a,nd certified. (cont 'd) b. (cont Id) 2. (cont'd) it will write to the applicant explaini~ 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.
th. 15 15-33 15.3.4 15.3.4 Certified copies of copyright deposits. etc. (cont'd) 1. (ccnt Id ) c. (cont.ld) 2. (cont td ) (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 content of c tified co i (other than Patent Office deposits • a. As a rule, certified copies of copyright deposits consist of one or more photocopies or photographs, aocompanied by a printed oertification 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 certifioation 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.
Ch, 15 15-34 15.3.4 15.3.4 Certified copies of copyright deposits. etc. (cont'd) II. b. (cont td ) 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.
Ch. 1515-35 15.3.4 15.3.4 Certified copies of coPyriiht 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 (31 C.F.R. §202.16) permit the deposit of photographs or other identifying reproductions in lieu of copies under certain conditions (see topic 5.2.2.1.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 dra",n 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 Patept 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 "'ill add the registration nUJIber 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 requireti for a Patent Office registration. Since
ChI 15 15-36 15.3.5 15.3.4 Certified copies of copyright deposits. etc. (cont1d) III. Certified co ie of rints and ited 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 15.2.2.11.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.
• • • Ch, 15 15-37 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 copyri~ht, 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, aDd the accompanying fees should be made payable to the Re~ister of Copyrights." (37 C.F.R. § 201.2(dHl» 15.4.2 Handling of fees for photoduplication and certifica liQn. 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.
Ch, 15 15-3815.4.2 I. II. III. IV. (cont'd) c. When there is ~ doubt as to the correct photoduplication fee the material should be referred to the Photoduplication Service for an estimate. Before writing for a fee for a certified photo copy, the Office should examine the material to be copied and estimate the photoduplication fee &s 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 haDdling, 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. No charge is made for certified documents pre pared at the request of another government agency if needed for official purposes. 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 oilled for the material in such cases.
Number 1 2 3 4 5 6 7 8 ! 9\... 10 11 12 13 14 15 16 SUPPLEMENTARY PRACTICES TABLE OF CONr:t:;NTS Title COMMERCIAL PRINTS AND LABELS PATENT APPLICATIONS UNPUBLISHED COLLECTIONS INSIGNIA SINGLE APPLICATION FOR SEVERAL VERSIONS OF THE SAME WORK OBSCEN~~ WORKS CONFIDENTIAL MAT~RIAL WORKS OF ART (Withdrawn, July 1913) GOVERNM}~NT PUBLICATIONS MECHANICAL REPRODUCTION OF TIDCT HA'l'TER PRACTICES CONCl!.:RNING "REFERRALS" PRACTICFJS: VARIANCE IN CLAIM INVOLVING FOREIGN BUSINESS ORGANIZATION TERMINOLOGY REFERRAL OF CERTAIN CASES INVOLVING PUBLISHED WORKS FROM THE EXAMINING DIVISION TO THE COMPLIANCE SECTION, REFERENCE DIVISION MUSIC EXAMINING: NJt..'W MATTJ<.:R l<lINIMAL OR NOT CLEARLY STATED CANCELLATION CASJ<.:S DETERMINATION 01" EFF.t:CTIVE DATE OF REGISTRATION FOR UNPUBLISHED WORKS WHERJ<.: THE MATERIAL SUB MITTED FOR REGISTRATION CONTAINJ<.:D A CLEAR DISCREPANCY WHICH THE COPYRIGHT OFFIC.t: SHOULD HAVE OBSERVlW BEFORE COMPLr~TING Tllli EN'l'RY s-i Page S-2 8-5 s-6 8-7 8-8 S-9 S-10 8-11 8-16 8-20 S-21 S-42 8-45 S-47 s-48 S-50
I S-lA SUPPLEMENTARY PRACTICES "'"TABLE OF' CONTENTS (continued) Number 'ritle Page 11 UNITr~D STATBS STATEMENTS COPYRIGH'r RELATIONS AND ACCEP'l'ABLE OF CITIZENSHIP (Withdrawn, July 19(3) S-52 18 NOTICE CONTAINING THE YEAR DATE IN WHICH COPYRIGHT WAS SECURED PLUS AN EARLIER DATE OR DATES NOT APPLICABLE TO TIlli WORK 8-73 19 ANNOTATION IN ANTEDATED NOTICE CASES WHERE THERE IS MORE THAN ONE YEAR DATE IN THE NOTICE s-74 20 REVISED PROCgoURE FOR APPEAL CASES S-'(5 21 PRACTICE CONCERNING THB FEE TO BE CHARGED IN CASES PENDING IN THE COPYRIGHT OFFICE ON 'l'ffi!; EFFECTIVE DA'l'E OF THE FEE INCIlliASE (November 26, 1965] S-'(8 22 23 DATES OF RECEIPT APPEARING ON THE APPLICATION AND COPIES OR COpy RETURN OF' DEPOSIT COPIES IN CASES WHERE NO REPLY HAS BEEN RECEIVED TO COPYRIGHT OFF'ICE CORRESPONDENCE S-81 s-84 ...; 24 RIDERS TO APPLICATIONS s-85 25 INQUIRIES CONCERNING THE COPYRIGHT OFFICE AND OTllliR DEPARTMENTS OF l'HE LIBRARY s-87 26 CORRESPONDENCE MATERIAL IN CASES INVOLVING REPRINT 8-88 27 USE OF PSEUDONYMS IN THE COPYRIGHT NOTICE s-89 28 SINGLE APPLICATION SUBMIT1~D FOR SEVERAL VERSIONS OF Tlill SAME PUBLISHED OR UNPUBLISHED WORK S-92 29 SINGLE PAGE RULE FOR COPYRIGHT NOTICE S-96 30 IlliFUNDING OF EXCESS FEES S-98 (1973 ]
S-lB SUPPLEMEN~Y PRACTICES TABLE OF CONTENTS (continued) Number Title Page 31 REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD S-99 32 ORAL ADVISORY OPINIONS REGISTRABILITY CONCERNING S-121 33 RECORDATION OF DOCUMENTS SUBMITTED BY GOVERNMENT AGENCIES WITHOUT PAYMENT OF THE STATUTORY FEE S-122 34 PROPER "APPLICATION RECEIVED II DATE ON APPLICATIONS FOR UNPUBLISHED WORKS S-123 35 POSITION OF THE COPYRIGHT NOTICE ON COMPUTER PROGRAMS OF DOMESTIC ORIGIN FIRST PUBLISHED IN THE FORM OF MACHINE READABLE TAPE OR MACHINE PUNCHED CARDS S-125 36 REFLECTION IN THE COPYRIGHT OFFICE RECORDS OF LIMITING STATEMENTS APPEARING NEAR THE COPYRIGHT NOTICE S-127 37 THE USE OF A SURNAME NOTICE ONLY IN THE COPYRIGHT S-129 38 STANDARD REFERENCE DATA ACT CLAIMS BY THE U.S. GOVERNMENT: REGISTRATION WITH OUT A FEE S-132 39 CITIZENSHIP OF CLAIMANT IN POSTHUMOUS WORKS S-134 \.- [1973]
8-2 No. 1 COMtfERCIAL 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 becane 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 e 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 depos1t copies are copies of the work 8S first published. In such eases, in order to determine whether the copies first published bore a copyright notice, we will ask the applicant to submit copies of the york 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]
S-3 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 ei ther Form KK or Form A. (,) A single-page advertisement consisting of text only may be registered on either Form KK or Form A. [July 195'] IV. Conunercial 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. (,) 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 cautiona.ry 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]
5-4 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 by the Copyright Office. The Office will use the extra deposit copies (those in excess of two) in fulfilling requests for a copy of the print or label. Such extra copies may be furnished to anyone upon written request. A copy of the written request or letter of transmittal will be placed in the print or label folder. [July 1952]
8-5 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]
s-6 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 8 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]
S-7 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 rea.dily 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 I s right to use it in the deposited work. [July 195;]
s-8 JNo. 5 SINGLE APPLICATION FOR SEVERAL VERSIONS OF THE SAME WORK Single Application for Several Versions of the Same Work. Where several versions of the smne 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]
6-9 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]
5-10 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]
8-11 through 8-15 No. d WORKS OF ART (pp. 8-11 through 8-15) Withdrawn as Supplemental Practice and incorporated in Chapter 2, July 1973. (July 1973]
5-16 Xo. :1 GOVERNMElfT PUBLICATIONS I. ksic Rule. Publications of the United States Government are not copyrightable (17 u.S.C. § 8). II. Authorship 8S Criterion. a. GoverJ:III.ent authorship. 1. A work authored by a U.S. Government agency (1.e., oy its officers or employees as a part of their official 1uties), regardless of whether it 1s published or unpubllsned, is a U.S. Government publication and 1s not copyr1ghtab1e. Examples: (1) Acts of Congress. (2) Executive orders or proclamations. (3) Agency rules and regulations, bulletins, reports, forms, circulars. (4) Federal court dec1sions. Exceptions: (1) Under Section 8, Title 17, U.S.C. the Postmaster General 1s authorized to secure copyrignt on behalf of the United States in black and white illustrations of U.S. postage stamps, together with such descriptive, historical, and philatelic in:formation with regard to the stamps a. the Postaaster General deems Bui table. (2) Under Bection 6 of the Standard Reterence Data Act, 82 Stat. 340, the Secretary of CCDDlerce may secure copyright on behalf of the United States as author or proprietor of any standard reference data that he pre pares or make. aTailab1e under the Act. 2. A copyright claim by a private person in a reprint of a Goverument publication is not registrable (unless it contains copyrightable new matter.)
8-11 3. .An appropriate discla1Jler should be giTen on the applica tion where a work COlltains a stlbstantial aouat ot Govern Mnt ..teri&1 as well &8 _terial prifttel;y au:thored. loveTer, ¥bere the aoTerlDeDt _terial is Tery' II1nor no disclaimer is necessary provided the work is not a collectiTe work. (For the practice as 1;0 collective works, 8ee i'tell. II. b.6) • l't the eua1ner has a doubt as to whetb.er the Gover.ent aaterial i8 "Te ry ainor, n he should vr1te tor a discla1Jler. In DO cue should the eDlliner accept an appli cation which lists a Govemment ot1"icer or sployee as an au:thor ot aoTeroaent _terial no _tter how minor that material JIIQ' be. -.• It the Oftice has intomation indicating that a work printed and distributed privately with a copyright notice was autb.ored by a U.8. aoTeruaent agency, we v1ll inquire as to the Qovern ment t s authorship ot the work. lxaaples: A Oovenaent agency is D8Iled as the clamant or author. A GoYer_eDt otficer in his official capacity is D.IUIed as the cla1mant or author. Iftle work appears to be aD official report of the U.8. Governaent. b. Prin.te authorship. 1. A work whose author is a Govermaent officer or _ployee who had prepared the material on his own t1Jae as his OVll persoDal work and not as a part of his official duties, is not a GoTenaent publication and My be considered for registration. 2. A work prepared under a Govena.ent grant or contract, or sponsored by a Goverraent agency, may be considered for registration without correspondence. Example: A work in which the copies bear the legend: "This report prepared by Artbur Little COIIlpany under U.8. Defense Department Contract Lli'-1330" and the Little CCIIlpany 1s named as cla1Daant and author on the application. 3. The work of' a private author, though printed and distributed by the aoTerllllent for its use, is not necessarily a Governaent publication. A copyright clam by the private author Il&Y be registrable.
5-18 B:xaaple: A scientific treatise by a private author who pe~it8 the Defense Department to print and distribute copies to Army personnel with a copyright notice in the autbor's Daae. 4. When an individual is nsaed as author in the application but the work bears the indicia of a Government publication, ve will inquire as to the facts of Government or private authorship of the vork. Examples: (1) A Government agency is the cla1Jlant. (2) The work appears to be an official GoverDllent report. ( 3) The work vas printed by the Government Printing Office. 5. In the case of works o'therwise registrable wi tbout disclaimer which contain incidental material such as for exaaple a sbort preface, foreword, introductory statement or epilogue, regis tration _y be considered without 'the necessity of a disclaimer, even 'though the incidental material was written by a Congressman, senator, or o'ther GoverDlllent eaployee. 6. If the author of one or IIOre of the contributions to a collective work (other than a periodical) is a Government _ployee, we should inquire whether his portion was written as a part of his official duties. 7. Where a claim is based on new matter of private authorship but 'the work contains Govertlllent material, if it seems appro priate in order to clearly indicate tbe basis of 'the claa, we JI&Y reque.t the new matter statement be accaapan1ed by a discla1lDer. III. Oove1'llllent Printing. The fact that a vork 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 organization is named as the autbor or claimant, ve will inquire as to the facts of Government or private authorship. (See items II.b.3) and 4 above.) IV. Clam by or on Behalf of tbe United States Government. a. Except as specified in item. II.a.l. above, a claim ot copyright by a particular agency of the U.S. Government, or by an officer ot tbe U.S. Goverlllllent in bis official capacity, or by an indi vidual "on behalf' or" or "in trust for" the U.S. Goverraent, vill be treated as a claim of copyright by the Government.
S-19 b. A claim of copyright by the U.S. Government in a published work is an indication that the work is a Government pUbli cation, 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 the name of a private person and was later acquired by the Government, registration may be con sidered in the name of the original claimant and we will suggest recordation of the assignment to the Government. V. Governments Other Than the United States. a. State governments. Publications of State governments or of their local sUb divisions (counties, cities, school boards, housing author ities, etc.) do not fall within the prohibition of § 8. It should be noted, however, that public ordinances, court decisions and similar official legal documents of State and local govern ments are not considered copyrightable for reasons of public policy. b. District of Columbia. Publications of the government of the District of Columbia will be treated as publica~ions of the U,S. Government. c. Territories of the United States. 1. Incorporated territories. The governments of incorporated territories of the U.S. (e.g., Puerto Rico) may be comparable with State govern ments, though this is a matter of doubt. Their publica tions may be accepted for registration with a cautionary letter. 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. [1973J
S-19a V. Governments Other Than the United States (cont'd) d. F'oreign governments. Publications o~ the governments o~ ~oreign countries with which we have copyright relations are acceptable for regis tration. Exception: Registration will not be made ~or statutes, court opinions, and similar official documents which are inherently uncopyrightable in the United States. e. 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 registration. VI. Periodicals. A disclaimer is not requested ~or a periodical despite the presence of some Government material in it. However, where an entire periodical appears to be an official publication of a Government agency, it will be questioned. [1973J
8-20 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, microfi.1m 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 19561
S-21 No. 11 PRACTICES CONCERNING "REFERRALS" 1. In General. A. Definition. A "referral" is a case in which registra tion has been made and, thereafter, an apparent error or inconsistency 1s discovered which cannot be resolved without returning the case to the Examining Division or the Service Division for action. B. General Policy. 1. AJJ 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 ma.y cause cataloging problems. a. In such cases, the catalogers should resolve, reflect, or overlook the variance, without referring the case to the Examining Division. 6 -67
S-22
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 ever,y referral case; as a rule,
ever,y 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.
5-23 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.
s-24 Examples of eases 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 eases that should not be referred: 1) In notice: The Snyder-Gray Co. In application: Snyder-Gra¥ 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.
3-25 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.
s-26 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 SEARCHnlG Title on application: FAMOUS CATALOOERS 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
8-27 b. Title on copies: LOSE UGLY POUNDS IN MINU'l'ES •• • USE BLASTO Title on appli cation: BLASTO REDUCING PILU3 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 72lB SUMMER STORM Ti tIe 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
8-28 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 o~ in rel atively Ilinor respects. 4. A case should be referred where the cataloger notes that: a. Bone 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, tragUity, or monetary value), or because of questions as to the size, number, or clarity of the photographs or drawing. in a set. I. Authorship 1. In General. A case .hould be referred if the author ship line has been left completely blank. 2. B8Dle 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, 8Jld 3) The problem has not been resolved by an notation or pencil check. b. An apparent varience 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
5-29 1Dd1vidual who wrote the work, nUe the application is correct it it gives 0Ill.7 the DaM ot the eDqU.o;yer tor hire. '!'here is DO legal requirement that the 'Y8r1aDce be resalved on the application 1D such cases. c. As a rule, the tollow1Dg cases should be reterred: 1 3l Author' s name 0lIl1tted ent1rel7 2 Author' s name misspelled or incomplete Application g1 ves 0Dl7 part ot authors listed on copies 4) Author g1 ven on application ent~ ditterent fraa author 1Ddicated on C'!JC1W, 'but n.riance could 10g1ca1l.7 be expla1Decl b7 use ot pseud 0JVDl or empl.OYJI8nt-tor-h1re relationship. Examples: a) on copies: B1 Ccmra4 Van Dam Author on application: CcIIIm1ttee OIl Historical Cont1D.u1 ty, Inc. Action: Do DOt reter b) On copies: B1 Cwm:J Dgb.. llacamber Author on application: Martin 1IBp1re (CWUl1D8b&m Maccaber) Action: Do not reter c) On copies: B1 Ernest B~ Author OIl application: .ADDa Livia Plurabelle Action: Reter d. In au;,y ot the cases listed in subsection e, above, it the exa-:Jner notes the CIII1ssion, error" or variance aDd decides that DO annotation is neeea 8U7" he should check the appropriate space OIl the application tom to show that the problem has been resolved as tar as eX81D:J n:Jng is concerned. 3. C1 tiZeB8h1;P ot Author a. The law (11 U.8 .0. 209) requires that the certificate iDclu4e the oi tizenship ot at least ODe of the authors, whethe%' or not &'t13 ot the authors' DameS are given • •
S-30
b. It, 1D the ord1.Dar.Y coarse of catalog1Dg, the
cataloger DOtes that the citizenship of the author
18 COQletel7 JI1ss1Dg trca the application, he
should return the case as a referral.
c. i'he cataloger should ~e DO effort to determine
whether or DOt the citizenship included on the
application is acceptable for purposes of regis
tration.
4. DaI1cUe aDd Address ot the Author. These factors ~
be ignored b1 the cataloger.
5. "Author ot • • ." {Forms B aDd E J'oreiet
a. A case 8houJ.d not be referred where a statement of
the nature of au'thorsh1p (e.g., words, lIll8ic,
~t, etc.) has been aa1tted altogether, or
where there i8 DO direct and 1rreconcUable conf'1ict
between the application and copies.
Enuaples:
1) On copies: Words and BIIIio 117 DoDald L. Dixon
aDd Henr,y Horner
On application: Words b7 DoDald L. Dlxon aDd
-.eic b7 Bem7 Horner
Action: Do DOt refer
2) On copies: B7 If&r1a LaP1au.
On application: ArraDgement b1 Mildred F. '1'hcau
Action: Do DOt reter
b. A case should be reterred where there is a direct
&lid 1rreCODcUable conflict between the Dature ot
authorslUp 1Dd1cated on the copies aDd that g1 ven
1D the application.
Exam;ples:
1) on copies: Worde b7 CatariDa Cataldo,
JlU8ic b7 Maria Bal41n1
On application: Words b7 Maria Bald1D1
-.sic b7 CatariDa Cataldo
Action: Reter
8-31 2) on copies: Words and JllWJic b1 Willi_ Steinj Arranged b1 StaDley L. l3emhe1m on application: Words, lIl18ic, and arrangement by Stanley L. Bernhe1ll Action: Refer, except where work is obviously adapted trem or based on the orig1Dal ~ser's work.. 6. "Author of Ori61D!l Work which has been Re:e,roguced" (Form B) A case should not be referred even if this space has been left blank. or is in apparent coDtlict with the copies. F. Pablication and Manufacture 1. Date of Pu.blication a. A case should be referred if the application. for a work registered as published does DOt include a hll statell8nt (month, dq, and year) of the date of publication. b. A case should be referred if the ;year in the COW r1pt notice is either earlier or later than the date of publication given in the application, unless: 1) The variance bas been reflected on the application (bJ annotation or otherwise); or 2) The variance is expla1D.ed b7 the tact that the work DOW being registered is the first publil!3tion of a work ,Pre'Y1ous17 registered in unpublished tora, or the firs~ U.S. edition ot a work. origiD&lly registered ad inter1Jl. 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 orig1Dal17 received in the Copyright Office. Bxaaples: 1) Application stating publication date of August 1 received in the CopJright Office on July 25 and reaches cataloger on Auaust 5; do not refer.
S-32 2) App~ication statiDg piblication date of August ~ received in OopJTigbt Office on Jul7 ~5 aDd reaches cataloger on Jul7 25; refer. d. A case iD'9Ol T.l.ng da1l7 DeV8papers should be referred if the (late of publication giTeD in the application is ~ater than the date of issue appearing on the copies. It the elate of p,lblication precedes the date of issue on the copies bJ two or IIOre c1qs, a re terral should be .-de. 2. Place of Pab1ication. A case suba1tted on Form A-B Interia should be reterred if the COUDt17 ot publication is stated &s U.8.A. 3. Periodical in wb.ich Work First Pllb~ishecl. a. A case suba1:tted 011 Fora BB shcNld be reterred unless the application a4equatel7 i4eatit1es the particular issue of the periodical 1D which the contribution was tirst published, but it i8 DOt _0888&17 that the infor mation in this space be CCIIPlete or ent1reJ.7 accurate. b. A case sula1tted on Fom IX should be reterred u4er the s_ circwutaDces as those described in Item a, aboft, if the copie. aOCCllQUV'1D8 the applieation are clearl.1' taken trom a periodical. J,.. Mamltacture. 9le COUDt17 of -.nutacture "M:¥ be ignored b7 the cataloger. G. PreTious Rel1.tration or Pllb1icatiOlL, and .ev Matter. 8tateMllts appear1Dg in thi8 ~1De 8hould be iga.ored as far &8 reterral8 are concerned. This is true eftD wb.en a stateJent such as "DOlle" appears in the new _tter ~1De. (But see IteR II. F. ~. b.(2), above, concern1Dg utedated =ti08S). S1a1lar17, the Mre abseDoe ot a D8W _tter 8tatement should .DOt be cause tor reterral. However, if the COW states it is a "repriDt, " a referral should be JlBde. B. U.8. Id1tion of Foreie Work (P'ol'SA aDd 0). Statements appearing in this 11De aB:¥ be ignored as tar as referrals are concerned. (But see Item II. F. 1. b. (2) aboTe, concerning antedated DOtioes.) I. Demit Account, Corre8POndence, aDd Return Address. These 11Des ~ be igaored as tar as referrals are concerned.
5-33 J. Siggatve. 'l'h1s line E:1 be igDOred as far as referrals are concerDed. K. Af'fidaT1t (Fora A). 1. '!'he law (ft1;1e 17, U.8. C., Section 17) requires that an att1daY1t of .anu:tacture accCJ!!IPfI.IV the application for registration of a c1cIDestic book. 2. The cataloger should Dl&ke DO effort to reexamine the affidavit. It, in the ord1Dar7 course of catalog1Dg, he DOtes that the affidavit is cc.p1etel7 'blaDk., he should refer the case. L. Date aDd Fee Boxes aDd Registration Bumber. 1. !he cataloger should make DO spec1al effort to check the c1ate aDd fee boxes to detel'Jll1De their COIQleteDess aDd accuracy. If, in the ord1Dar7 course of catalogiDg, he DOtes a clear error or ciD1ssion in these spaces, he should refer the case. 2. Aa a rule, the cataloger should -.ke DO effort to eftluate the classification of a work in a particular case. a. If he DOtes a clear error in JUDllbering, the case should be referred. Bxamples: 1) A work numbered as Iu. with a publication date on the application. 2) A work numbered in Clus P with an application subm1tted on Fora C. 3) A work numbered in Class Mwith the "photoplq" box checked on Fora L-M. b. Referrals JUiY be lBde in certain cases involv1.D8 classification as between "books" aDd "periodicals." A case should be referred if:
S-34 1) Registration has been ..a.e in CLass A, the copies bear a series title, an issue lUDlber, and a date including a month 8114 preT10us registrations have been DBde in Class B. 2) Registration has been -.de in CLass B and the copies bear no 1n41eation wbatever of serial piblication -.de under the same general title, or tbat they are serial publications regularl1 registered in CLass A. M. Bxam:Sner·s Initials. 1. The cataloger need not check tor the presence ot the eil'N":Sner·s 1n1t1als on the application, and should normal.l.7 reter to thea ODly when it is Decessar.Y to dete1"ll1De whether a oase has been numbered vithout 8Z1¥ examination. 2. If the cataloger notes 8Z1¥ consistent failure to 1D1 tiel applicatioDB, he should call the Jl&tter to the attention ot the appropriate ExM:Sning DiT1sion Section Head. B. Deposit Copies. 1. A case should be referred it the deposit copies are so iDcaa;plete, IIltUated, or DOn-identical that the validity of the registration is open to doubt. 2. Minor discrepancies or difterences between the copies shou1d oot call tor a referral, and a case should not be referred when the 01l1.7 difterence between the copies is in color. 3. A case should not be referred because the cataloger knows of the existence of a better edition of the work, UDles8 there W8 also clear reasOD, OD the face 'of the application or copies, tor the examiner to know of its existence at the time of registration.
8-35 III. SpeCific Practices tor Fom U. A. In General. B;y Dature a notice ot use 18 an entirely ditterent tne ot lepl instrament tJooa an application tor orig1Dal or reDeW8l registration. It is generally recorded without aDJ' ettort on the put ot the Cow right ottice to check the tacts it .tate., &Del the cataloger should ~1l7 not reter a DoOtice of use eTen it he recopizes or discovers an error in the intor-.tion included in it. B. ... ot CoR1r1sbt Owner. A notice of use should be reterred where it is apparent on the tace ot the notice tbat the owersh1p ot COIJ1r1ght in 8Cl111e ot the CCIIlPO siti0D8 11atecl 18 difterent traI tbat ot other•• c. OJI1s8ion ot Date ot Receipt, Title, or Cla1unt. A DOtice ot use should be reterred where the date ot re ceipt in the Cop,yright Ottice, title, or n.- ot the cop.yright claimaDt bas been c:m.tted. IV. Specitic Practioe. tor :rcma B. A. CLa1aat 1. __ ot CL.~"nt a. A cue IIhould be reterred where the IllUDe ot the reDeV&l cla1ant has been ClIIl1 tted traa the application. b. A cue should be reterre4 where the reD8W8l cla1ant i. identified so 1DadeCJ1&t~ tbat it vould be '"17 ditt1cul t or 1IIpo8sible to 81J1&le hill out as an 1D4iv1c1u&l. Examples: 1) 1Il". de Bai., cla1Jl1ng as w1clower ot the author. 2) '!'he Spe1'r1v1lle Literar.v Society, cla1m1 ug as authora. 3) Lora Shoot1nptick, cla g as next-ot-kin. '•'u
8-36 c. A ClUe should. I10t be :reterred where the appli .101011 apparen't17 COIlta1u &II. adequate state ...10 ot a reDAnI8l cla1aBt aDd. there i8 DO obv1ou CODf'lict betwea this .tate.nt and 'the tacts appear1Dg on tile tace ot that par ticul.ar application. 1) A aue should 11010 'be ret.ned e'VU tbm&b the stateMDt ot the cla1aDt t s __ -.:r conta1D errors in spe1l1Dg or -.:r ft17 111 lIOIII8 cletaU traa the author ship stataent appeariDg el.sewbere OIl the torm. BuIqiles vbere reterrals sJaoul.d. DOt be 1B4e: a) Mrs. Peter C. Omabie, cl.a1-1 n s as Y1.d.ow ot "Peter C. or..b7•• b) Cla1--n:t stated. as: !'homas LaDe BooM Author ot BeDevable Matter stated. as: JteDtuc1q BooDe. c) !'edq otterback, cla1Jl1Dg as ..xt-ot-k1D ot WUl1.8a Otterbuck. 2) A aue shoW.cl DOt be reterred eva though the cataloger WJ¥ DOte that the cla1mBDt·. __ is 111 coatl1ct wi til ather renewal appl1cat10D8 su'llm1ttecl earlier or at the ... 101M, or ~ baTe reason to 'belieft 'tIiaat the claDaDt DUeCl 11 clead or DO lODger in uistence. 3) Where the ......1ner DOtes • 411crepaaa;y 1D the __ ot 'the reaewal cla1MDt vb1eb he feels is not .utticientq 1II;portaat to correspcm4 about, Jae shoald. add a 1111lt pencil check to the appropriate space OIl the fora, to show tbat the d1fficuJ.t7 has been DOted. 2. Address of Cl a1·pt. see ltea n. A. 2., aboYe.
8-37 3. Buis ot Renewal ata1m. a. A cue shculd be reterred where the reDeW8l appli cation states arJ¥ reDeWal claimant without 1D d1oat1Dg the basis of the claim. b. A case sboald be reterred where the statement of the basis of claim i8 a substauti&1 or caaplete departure trcD. the acceptable statements listed on page 4 of Fol'W. R. 1) EDmpJ.es of cases that should be referred: a) Executor of the widow ot the author. b) Proprietor per agreement. c) Wife of the author. d) Bephew of the author. e) ,Adm1 ntstrator. f) Heir. 2) In addition to the statements listed on page 4 of Form R, the following basel of claim are acceptable: a) Ad.i nistrator CUll testamento a D ra8XO (or administrator c.t.a.). b) Admi nj strator with the w1ll annexed. c) Mmj n 1 st rat or de bonis DOn C1DI testa.nto aDDeXO (or administrator d.b.n.c.t.a.). d) ,Administrator de bonis non with the w1ll mmexed. c. A case should not be referred where the statement of the basis of cla1m contains the substance ot one of the cla1Jlls stated on page 4 of Form R.
8-38 k8IIq)les: 1) Bext-of-kiD of the author. 2) :lxecutor of the esta'te of Idw1D Ar11DgtoD BraDsv1ck. 3) SoD of the author. Jt.) Proprietor of a work .a4e for hire. 5) Arranger. d. Ord1Dar~ the catalopr sllould -.ke 110 effort to evalua'te the legal nl14i1;J' of a reDeV&1 cl&1JI as stated on the application. If, in the or41Dar7 coarse of catalog1Da, he DOWS a clear u4 1rreccmcllable OODtJ.1ct, he should refer the ease. 'lnnples of cases where referrals should be 1184e: 1) U.S. Steel Corporation, cl a 1m1 Dg as widow of the author. 2) J_s If. PraDklin, Jr., cla1.' Dg &8 Dext-ot kin of J_s !bqer l'raDklin. 3) It. reaewal cla1a &8 "proprietor of CGP1Z'1ght in a CCIIIPOs1 te work" 1a a work identified as a "pl.q in three acts." B. !1tle 1. It. aue should be reterred where the 1;itle of the work. has been c.1tted t:rC'a the renewal application. 2. A case should be referred. where, in the or41Dar7 COU'8e of ca:talog1Dg, the cataloger DOtes that the title given in tbe reDeW8l application i8 10 titterent trcII that appearing in the or1i1Dal otfice recor4e that there is 4ou.bt as to the work the re D8W8l cla1a COftrl.
8-39 Emmples: a) OIl application: Son of The Volt Man, I Love You OIl orig1.Dal records: !he Borth Dakota Val tz • b) OIl application: 8pezor.yv:Ule, Va., Borthwest Quarter OIl orig1.Dal recor4s: 8perrTY1lle, Va., Borth Quarter c) Oil application: 101 1'hiDgs a Bo7 C8D Do with Wrecked Cars On orig1.Dal records: Life Along !be Shirley HighvlQ'. 3. A case shoald DDt be reterred wkere there is DO real dCMbt that the title given on the reuewaJ. application reters to the ... work as that covered b1 the orig1.Dal elltr.Y', even it the title lacks speciticiV, T&ries trca the title gi'YeJl ill the orig1ra8l rec0r4s, or contaiDa errors or CD1.ssions. a) OIl application: '!'he Muds ot Laagerhau On orig1.Dal recorcl8: '!brougb the Ialaacls ot Lu.ger baDa with OWl aa4 e-ra. b) OIl application: !oB4o Ceppr1ch1s10 0Jl origj .... recorcls: BcmdD capr1cc1080. ~. Where the examiner DOtes a d1screpanC!l' between the title gi'YeD. on the reDnIl appl1oat1oa aDd that appearing ill the orig1D&l records ot the eDtr;y, be Y1ll attempt to re:neat t.be title ot record on the application b1 _ana ot pencil DOtat10D8. c. Reuewal Matter. 'Bd. factor -.:r be 19a.ored 'b7 the cataloger as tar .. reterrals are coacerMd. D. ocmtribut1cm to Per1oc11eal or eggos1te Work. 1. When, from the face of the reDeV&l application, it 1. clear tbat the work ill qU8stiOll is a separate COIltri but10n to a per1ocl1aal or ot1ler .-pos1te work, the
6-40 .... should be referred UDless the application a4eCl\1&~ 1cIeDt1t1es 'the per1od1oal or acwpoa1te work. In t.he cue of a perio41-.l, referral ehGald H -u UDles. the part1cnalar 1 ••ue 18 vh1cb 'the oontr1bll:t1OJl vas tirst pabl1shed is 14••t1t1ed. 2. It 18 DOt ._s8&17 that the iDtomat101l 1D this apace be CCIIPlete or ut1rel7 accarate. I. _thor. of Renewable. Matter. 1. Where reDft&1 is cla1Md 1Jl the __ of an author's v14ov, children, ex.aaton, or uxt of kiD, reterral should be -u if the reDeVal appl1eatiOA does DOt state the __ of at least OM an.thor of renewable _tter, altb.oqb this __ ...4 DOt DeaessarU7 appear 1a tile space provided tor it. !he cue 8hoal4 also be referred where .... 1ib&1l .. atltbor of raevable _tter is 1D41cate4, &D4 it is !IIposs1ble to cleter aiDe OIl whose authorship the elaD. is 'basK. 2. A cue .hoald be reterred 1Jhere, in the ord1Daz7 oourse ot catalOi1D8, a OOIltlict or clear 1DC0D8i. teJlc;r is DOted betweIL the :renewal cla1a .ta'ted OIl aD appli_ticm and Ule .tat.eu:t of the "authors of renewa'ble atter" appear1Dg on the ... application. Jtnuw;pl es : a) IeD8wl Cla MJ1't: MImIV Belclv1Jl as athor ot vor48 'A1lthor 0'1 ReDewable II&.tter: ~ BlJ.dw1D as ..thor of -.ic. b) ReIIft&l Cl·,wnt;: Saael Shadwell as arranpr Aa:thor 0'1 Reuvable Matter: 8...:1. Shadwell as ..thor of words ... asia 3. As a rule, the following cases shoald DOt be referred: a) Author's DaM mi8spelled or iDCQIU)lete. b) Application gi'nlS 0D.17 part of au.'thor8 listed OIl orig1Dal records.
5-41 F. Facti of Origina.l Begistration. 1. A case should be reterred where the original registration DlDDber, or either the date of publication or date of registration, have been C81tted trca the renewal appli cation. A cue shoald not be referred because of CIIl18Sion ot the D8III8 ot the orig1Dal copyright claimant. 2. Where, in the ordiJIar7 cour8e ot catalog1Dc, the cataloger notes a discrepanq or obvious error in the DDber or date given in the reDe\l8l application, he should refer the cue. A case should not be referred tor discrepencie8 involv1Dg the Dame ot the original COP1right cla1maDt. 3. A case should be reterred where the Space8 tor both the date of publication and date ot registration have been tilled in or where the date obvioual1' appears in the wrong l1De. G• Deposit Account, OorreSPO!!dence, Return Address and Sieture. These lines ru:s be ignored as tar as reterral8 are concerDed. H. Date aud Fee Boxes. 1. The cataloger should -.ke no special etfort to determine whether the renewal application has been filed within the statutor,y t:1Jlle l1m1ts • 2. It the cataloger in the ord.1Da:ry course of cataloging, notes a clear error or CIIl1ss1on in the date aDd fee boxes, or DOtes tbat the application has been received too earl1' or too late tor renewal registration, he should reter the case. I. Buun 1n er ' s IDit1a.ls. see Item n. M., above.
S-42 No. 12 PRACTIcm: VARIANCE IN CLAIM INVOLVING FOREIGN BUSINESS ORGANIZATION TERMINOLOGY Note: The Compendium of Copyright Practices, Chapter 4, Parts 4.2.3.1 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. 10-58
8-43 2. Firm name in both application and notice. Example: In notice: Kreuz-Verlag GmbH In application: Kreuz-Verlag Practice: Annotate Reason: Although ~oreign laws may require the use o~ certain designations as a part o~ the ~irm name, the Copyright O~~ice will not question the name in the notice as long as it is su~~icient to identif.y the copyright proprietor. 3. Firm name in notice and ~irm name plUS name o~ 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 ~irm 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 ~irm and individual not clear. C. Different Claimants. 1. Firm name in notice and real person in application, and the reverse. Example: In notice: Librairie Ga11imard In application: Felix Gal1imard Practice: Question the variance
8-44 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 Casterrnan 8.r.1. Practice: Question the variance
5-45 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.!!!ll 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: 10-66
s-46 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 appHcant writes us the eqUivalent of "let's forget the whole thing," the case should ordina.rily not be referred to the Compliance Section untn after the Examining Division has written once more, pointing out the obligation to register in general terms.
8.47 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 cues of this sort the wora end DlUSic ot the song should be so well-known end tamiliar that an average exaainer should be reuonab17 certain ot the lack of new words end BlUSic tro. the tace of the copy. The tact that & DlUSicologist or tolklorist would recognize the wora and JllU8ic u old is not in itself sufficient to justify' questioning the chill, and under ordinary ci1'CWl8tences an euainer is not justified in undertaking research to contirm hi. suspicions.9-60
s-48 No. 15 CANCELIATION 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 fata1.ly 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 ef:forts 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. 2-66
S-49
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
a 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
"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 specifical.ly drawn, and should be furnished
and charged for separately from certifications of
correspondence in the case.
8-50 Bo. 16 DIltfBRMIllAfiOB OF EFFZC'fIV.I ~D OF 1tBGISTBA'l'IOIl JOR OlIPUBLISBBD WORKS WHBBB TD MAmRIAL SUlICI'lTBD FOR RlGIS'lti'rIOIl OOJITAIJIED A CLBAR DIS CRBPAlfCI WHICH THE OOPXRIGIl'l' omCl SHOOLD BAVI O:BSERVID BDOD OCJ4PLm'IKO TJII D'.r.Rr 1. The following bnothetlcal case illustrates the probl_: an appllcatlon Form:l, res18tratlon fee, and ODe COW of an unpubl.lsh.ed JIII18lcal work are received in the CopJrlgbt Ottlce OIl MIQ' 15, 1961. Re&18tration of the claim 18 made aDd a re&1stratlon D1DIber assisned to the work OIl Mq 22, 1961. OD MI\Y 26th an error is disCO'ftred sub staDt~ affect1D& the re&1stratlOD which the Copyr1&ht Offlce should bave observed prior to Jl&k1D& the ent1'7 on .,. 22D4. '!'he Cop,yri&ht Office requests a new applicatlon Form B which i. reeelved on June 5, 1961, and which bears the latter elate of recelpt. TU effective date of re&1s tration for &11 unpublished work 18 the date on which the last of the three elements required for re&1stration, tbat is, the application, caw, and fee, is received in acceptable f01"ll in the Oop,yri&ht Office. 2. In cases ot thls k1Dd invo! v1ng unpublished works, the date of re&1stratiOD should ord1DarUy be the elate which would have been used it the re&1stration had. not inwlved. aD error which the Cop,yrigbt Ottlce should have observed prior to .ak1D& the entl'7. In the above Jmltioued exNq)1e, the effective date of the re&1stration would be MIQr 15, 1961. Accord1ngJl, the later date ot recelpt would be reIIOved trcm the new application Form :I aDd replaced by the earlier date, n"l'E'17, Mq 15, 1961. 3. In cases where the error necessitates request1n& a DeW COW of an unpublished. work, determ1Dation of the effective date of re&1stration v1ll depend upon the nature of the new COW. !hUB, tor example, assuming the .amesequence of dates &1ven in the first parasraph of this JMIIOnmdum: 2-61
8-51 a. If the DeW ct:I'f!I' i. the ... &8 the earlier et:1W ill content, but tifters ~ ill 1Dtor ..t1cm about the author, conr1gbt OVDer, t1tle, aDd the like, the DeW Cl1VT Bhould be given the earlier date of __ 15, 1967. b. It the conr1gb.table content. of the 11ft COPT are ill UO' 1nQ' 41fterent trcII. the COIlteDt. of the earl1er OlTJ1T, the D8V fJIJ'W ahould be &1ftD the later date, that i., the ute of U. actual. rece1pt; ill the Office, "-' 1, JUDe 5, J.967. .... In &IV post regi.trat1ou. case iIl'YOln.ng deposit of a new can, the dates of receipt appeariDg on the D8V COW azul ill the "co.P1 received" box on the application -.st be -.de to corre.poDd. 5. The aboTe _ntioned prooedures are BOt applicable to pab1ished works because the te1'll of co:P.Yrigb.t protection for P'ib1isbed works i. ~ted trca the date of first publicaticm rather thaD :r.rc. the effectiw date of regis tration.
S-52 through S-'(2 UNITED STATES COPYRIGHT RELATIONS AND ACCEPTABLE STATEMENTS OF CITIZENSHIP (pp. S-52 through S-'(2) Withdrawn as Supplemental Practice July 19'(3. [July 1973]
S-73 No. 18 NOTICE CONTAINING THE YEAR DATE IN WHICH OOPYRIGHT 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 ra.ised by such a notice, of course, is whether the earlier dates have any effect on the tenn 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. 6-64
S-74 No. 19 ArmOTATION 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 Gould 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 ." 3- 66
S-75 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 ~f 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 fo~ 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. 11-65
8-16 a. In cases where the answer to the first appeal was signed perso~ by the Assistant Chief, the letter of rep:Q' is tned for the personal signature ot the Chief, Examining Division. 3. !bird and later appeals. All appeals after the second go direct:Q' to the Chiet, Examining Division, for decision. Unless a tourth and subsequent appeal presents new grounds for reversiDg the decision, the Chiet of the Division DI8\Y de~ 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 appeal has been filed. Bowever, there JIl8¥ be circumstances (e .g., where an attorney has made a special trip f'rom another citY' without first requesting an appointment) where it would be 1JIpolite not to listen to the applicant's arguments and to try to clarity the Copyright Otf'ice's reasons tor its action. 110 cCllllllitments ot any kind 118¥ 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 ot the case. In such discussions the Copyright Otf'ice should be represented by' the person who has responsibility tor acting on the appeal--the Section Bead. (or Assistant Bead) in tirst appeals, the Assistant Chiet in second appeals, and the Chiet ot the Examining Division in subsequent appeals. lie mq call in others to attend the conference or to represent him, it appropriate. In certain very unusual or important cases, the Register ot Copyrights JI8¥ represent the Otf'ice in the discussion ot an appeal.
8-77 3. It ia U8U&lJ.y the purpose of the discussion of 8Il appeal merely to elicit 1nt01'll&tion and clarity posi tiona, rather th8ll to aettle the cue once and for all. However, where facts are brought out in the discussion which cCllll;pletely chaDge the cClllplexion of a case (e.a., a work b;y a Turkish citizen is found to have been first publiahed in a U.C.C. country), it mq be appropriate to indicate wbat action the ottice Ml' take. In any cue, a brief written report of the conference should be added to the correspondence tile, and the final action of the ottice ahould be stated or contirlled in a letter to the applicant.
S-78 No. 21 PRACl'ICE 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 89-2517, 89th Cong., 1st Sess., which provides for increases in most fees for copyright registrations and other services, was approved on October 'Zl, 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 proper~ 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. Wi th 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. 11-65
6-79 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.
8-80 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, 8 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 Z7, 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 Z7, 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.
6-81 No. 22 DATES OF RECEIPl' APPEARIlCG OX THE APPLICATION AKD COPIES OR COP! 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 ot 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 ot 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 trequently result in the loss of rights. A. Date of Receipt ot 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 ot a new application received after correspoa4ence, 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 80 the information on the application and certificate will be uniform. It 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. 1-66
5-82
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,
stamp the date of receipt of each copy in the
"Two copies received" box. Thus:
I c rec'd (first date>
I 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.
Ill. It sometimes happens in the case of unpublished
works that the copy originally deposited is
returned for correction, and is resubmitted at a
5-83 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.
8-84 Bo. 23 RE'.MU OF DIPOSrr OOPIBS D ~qm WHIRE 10 REPLY BAS Ball BECEIVED m OOPnUGH'l' OFFICE OORRlS:POlO:DCE As a geDer&1 rule, when DO ~ is received to CopJrigbt Office correspcmdenC8 and the case is closed, the depoeit copies wUl be reta1Ded in the COp,yrigb.t Office fUes. lfb.1s rule applies to both published and UDP'lblished .terial. If the applicant later requests the return of his pa.blished COl'1' or copies and we have two copies in our fUe, ODe copt wUl be returned. The applicant w111 be advised that the seCODd coW has beea reta1Decl as a part of the CopJrigtrt Office fUe in the cue in accordance with our uaal practice. If there is ~ one con in our fUes, we wUl DOt return that caw \IDless it re&8ODably appears that the work '1lJa:3 DOt haTe been published, or the Section Read. or Assistant 8ectiQD Read approves its return after considering all of the CUCUJlStances. III the case of unpublished _ter1&l, the deposit COW wUl be returned if the applicant requests it. 1-67
8-85 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. Wha t 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: 1-67
5-86 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. J. 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 q:onsists of extraneous information not called for by the applica tion, a new application omitting any reference to the rider will be requested.
s-87 No. 25 INQUIRIES CONCERNIKJ 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 Copyrighv Office, ~ 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. 1-67
8-88 50. 26 COBRESPOIDENCE IN CASES IlWOLVING REPRIJT 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 Uf¥ date covering the earlier material. The year date appearing in the notice is acre than one year later than the year in which copyright in the earlier Jlaterial was secured. In the first situation, there is a question as to whether there is sufficient new II&tter to support a new reg istration, and we IlUSt 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 statulS of a work hinges on an applicant t 8 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 mq have been 10Bt by use of a postdated notice. We wUl point this out to the applicant to avoid telling him only halt 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 Camlot 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. 1-67
8.89
Iro. 27
USB or PSEUDOl{DI; m THE COPnUGHT BOTICE
One ot the essential elements ot the required
statutory notice on a published work is the nae ot the
copyright owner or proprietor, that is, the name ot the
person or organization legalJ.y entitled to the copyright
at the time ot tirst publication. Generally, unless the
name in the notice identities saleone who is entitled to
secure the copyright, registration ot the claim to copy
right would not be euthorized.
Whether the use of a pseudonym in the notice
satisties the statutory requirements is not altogether
clear. The problem arises fran the tact that one of the
principal purposes ot the copyright notice is to identity the
copyright owner to the public, whereas a pseudonym mq be
used to conceal that identity. Since it is desirable that
our- actions be consistent throughout the DiVision, the
tollowing practices will be adopted.
1) If the work is unpublished and bears a copyright
notice containing a pseudOEJ11ll or other tictitious name, the
use ot such a notice at the time ot publication will be dis
couraged unless the pseudonym actually discloses the identity
ot the person or organization legally entitled to claim caw
right. Since one ot the principal purposes ot the notice is
to identity the copyright owner to the general public, a
name &Ssociated with the owner in the mind ot the public is
alwqs desirable.
2) It the work has been published with a pseudorqm
or other fictitious neme in the copyright notice, our action
will depend upon whether the name in the notice is capable ot
identitying the copyright proprietor to the public.
a) Where the owner'. identity is well known
under the pseu.dorJp or other fictitious name
the application w111 not be questioned, even
though the relationship between the two
names is not disclosed on the application.
1-67
S-9O However, if the relationship between the two neMS is not disclosed on the appli cation, the name of the copyright claimant given in the application _st agree with the n8lle appearina in the copyright notice. Ex maple: in the case of a work copyrighted by' Mark i'Wain, the application will not be questioned. merely because it D8IIIeS Mark Twain as copyright claimant and author, aince the author was as well known under his p8eudo~ as by his reaJ. n ... , Samuel Clemens. b) Where the pseudonym or other fictitious name is incapable of identitying the copyright proprietor to the public, the claim will be rejected. Examples: John Doe, pseud.on1m of _-----; or, An7 Man, U.S.A., pseudoD1Jll or -----. c) In aJ.l other cases where we have knowledge that the name in the copyright notice is pseudoDymous 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 pseudonyJDOUS or fictitious name mq create some doubt atfecting the validity of the copyright cla1Jll. Ordinarily, we will not question an appli cant's assertion that the public 8Bsociates the pseudolJ1l1 or other fictitious name with the true copyright owner. 3 ) When the copyright notice contains a pseudonya 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 lega1.ly entitled to claim the copyright should be disclosed on the application. The disclosure should be explicit, and Il8¥
8-91 appear in connection with the name of the copyright claiJlant or the name of the athor shown on the application, or, preferably, both. For example, 88sUJl1:Dg that the nme in the notice contains the pseudo!Jp "WILLS DBlIGB," the clabDant should be identified on the application &8 follows: "WELtS, DREIGH, pseud~ of Eli Winthrop." The n8Jle of the author on the application should be accCIB,PBDied by his :pseuclon1m within parentheses: ''Eli Winthrop (WILtS DREIGH)." Whenever there is a difference be tween the name in the notice on the copies and the naae of the copyright claillant given on the application, the discrepancy mq be resolved by adding an annotation to both the application and certificate, provided, of course, the relationship between the two n.-es is explicitly disclosed elsewhere on the application. BO'1'.I: It is clear that nothing in the law prevents the author trCllll writing under a pseud~ or reuining aDODYJIOus • • 0 problem arises lmless the pseudo~ or fictitioua naae appears in the copyright notice. When an author wishes to conceal his identity, he mq wish to arrange with his publisher 80 that at the tiJlle of first publication his publisher (or another) will be "the person or organization leg~ entitled to the copyright."
Bo. 28 SDGLE APPLIOATIOB S1JJI([ftBD FOR SEVBRAL VlBSIOIS OF fD SAME PtJBLISBID OR 0 PUBLISBBD WORK I. Ptibl1shed Works. Where aeftral versions of the s_ pv.blished work (e.g., different ~nts of the same sODS; or BDgl1sh, Frellch, aDd Spanish oyersions of the ... book) are separate1.7 bOUDd bat are lubll1tted with one app11catiOD, the follow1Dg practices applJ. A. UDitarx hblicat1on. Where the appl1eant .tates, or we haoye other reason to belie.,., that the se'ftrat verl10ns were first published together as a s1Di1e work, 1.e., as aUDit, thq II8IY be registered together on the ODe applicat1oll. b1PIple: Both 'ftrsions coataiD the same aeries t1tlej also, there il a s1Dg1e sale price. B. UDitar7 ~ication 9gat10D&ble. Where there i8 DOth1Dg (other thaD the a1Dgle date of pabl1cation gi'ftD 1A the appl1cation) to 1D41 cate that the aeftra1. 'ft%'810D8 were publiahed together u a s1Dgle UDitar,y work, we w1ll 1Dqa1re whether such was the O&8e. Braple: Bach .,.rsion bears a 41fferent priee u4/or ser1es DlUlber C. SeJ!l!te Publications. Where we are 1Ilfomed that nell tbou.ab P1ibiished 011 the .... dIQ' the le.,.rat 'ftrsions were published separat8q, the folloviDg pract10es al'P17: 1. Venio.. are .ubateat1&1.ll differeat. Where sneral 'ftrsions of a s1D&le work are pablisbed separatel.7 CII1 the 88M 4q aDd _ch ftrslOD coata1Da suffic1ent 41fferut conr1shtable
8-93 2. 3. _terial 1;0 sQPOrt a eopJr1pt OD its own, we w1l1 uk tor aepante app1icatiou. It is alwqa pre terable to 1nclw1e, in the apace prori.4e4 tor the title on the applicatiOD, wor4a which w1l1 i48l1ti1)' the particular version iD qu8stiOB. For eDIIple, the title could read: ABBAmIMll'l'S lOll PIOO SOLO ABD SAB (BD&lish aDA J'reDah traulatioDS ot a Geman Book) DiftereDoea Are VIlcomietable. Where aeftral ftr8iou ot a a1D&le work are publishe4 sepe.rat~ OD the same 4q ... the 0Dl.7 difterenoe8 between the ftr81cms are 'a1Dor or iDvolft u.cowr1&htable el.-nt8, we w1l1 register 0D1.7 ODe ot the ftrsiau, whic1lever Ter8ion the rea1tter Y1shes. L1IIe 2 ot the applicatiOD ah.oal4 preterab17 i4eDti1)' the particular ftnion after the title. b1PQles: Arrangewnta tor Horn Quartet aDd 'frCUoDe Qaartet where the 0Dl7 ditterenoe i8 the transposition 141tiQ1l8 tor Hip, Med111Dl aDA Low Voices where the oaq ditterellce is the transposition catalogs where the ~ dittereDces are 111 the .-8 ot the localities where the7 are pitUishec1 A4ftrtis1Dg brochures with the a_ pictor1al aDd text _tter but in ditterent colors ODe Version More CCDjplete. Where se'ftral versiou of a a1Dgle work are pu.b1iahe4 sep&1'&'teq on the ... 4alJ, aDd ODe ftr8ion is DMn'8 ccmplete thaD.
the other (e.g., ODe 'Yersion COIltains all the COw rigb.table _terial in the other ODe, plu ad41tiOD&l eo:wrigbtable _terial), we v111 register ~ the -.ore ccmplete version. '.rbe application should con tain a title which v111 identi17 the particular version involved in the registration. Ex.aDqUe: ODe book conta1D1Dg the words to a KiW8D1s Song Book, the other containing the s words plu the lIll8ic. '.reacher's ed1tion aDd student's ed1tion of a book, the former containing the latter plu other text. II. Ugublished Works. Where several versions of the sue unpu'b lishecl works are sulDl1tted with a s1Dgle application, the follow ing practices app:q. A.. VersioDS are substant1alll different. Where each versioD contaiDs sufficient different oowrightaDle _ter1al to 8upport a cowright OD its own, we v1ll eDC01Ir8ge the reid.tter to ate separate registrations. However, a single registration "Ia7 be considered if the applicant insists proy14ed the authorship of each version is the s_, and a siDgle identi17ing ti'tle is given. b1PIple8: Arrangements of a cc.position for p1a:Do 801.0 aDd. for dance orchestra !we> Tersions of a script for & TV ea-ercial for LuzianDe Coffee, one 30-seC0D4s and the other 60-seconds A pl.aJ' wi t.h &1ternate endings EDglilh, lren.cb u4 Spanish Tersions of a popular Bona, vitil clifferent ~iC8 aDd II1Dor chaDges 1D teJI;po aDd pbrasilag
8-95 B. Difteru.ees are UncOPl!'1gh'table. Where the 41ft.renees beween the 'fVS10D8 are JI1Dor or inwlft WloopJr1gbtable el.-nts, the vers10u ~ be registered together 01\ a s1Dg1.e appl1c.tiorl. 'Ixam;ples: !be same 1IIS1c in d1fterent k8Js !he ... 4raw1Dg in 'black aDd white aDd in color
s-96 Ro. 29 SINGIE PAGE RULE FOR COP!RIGHT 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 ti tIe 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 otber 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 Dot 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 pod tion :for the notice; consequently, a notice on any accessible portion of the work is acceptable. 3-67
5-97 However, where registrations are being made in Classes Band 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 senti a warning letter.
S-98 No. 30 REFUNDING OF EXCESS FEES According to the Regulations of the Copyright Office excess fees in the amount of $1.00 or less will not be returned unless specifically requested by the remitter. If a refUnd is requested, the amount will be refunded by postage stamps. ~xcess fees in the amount of $1.01 or nore will be refUnded by check. [1973J
8-99 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 proc~dures A. Letter, application or copy. Gener~, 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. Fomal 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. 6-67
8-100 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. Responsibilitl 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. Part I
5-101 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. Part I
S-l02 II. Responsibility for Error (cont'd) B. No Examining Division Error (cont'd) 4. Two Registra.tions 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 C0w.right. 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. Part I L
5-103 Part II 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,
8-104 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. Part II
5-105 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 M1.lsic Publishing Co." whereas the correct name of the proprietor is "David Rose Publi shing 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!!! 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 ASOAP firm, the other a BMI firm). See Part III. Part II
Part II s-l06 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
5-101 II. Published works (cont'd) A. Authorized publication (cont'd) 2. Chapge 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 II corrective entry, II 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 (1.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: Part II
6-108 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 l 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. Part II
8-109 III. 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 Masic Co. should be zenia Publishing Co. b. Line 1 contains the name of a com.pany that was non-existent at the time of registration. An author planned to do bUsiness under the name Saxton Music Publishing Co. and registered bis claim under that name only to find out later that :eMI 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 wi th state statutes. Part II
S-110 III. 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 pennanent, 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 wunistakably 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 J Inc. Mormax Music Corp. should be Momax Music Co. Part II
5-111 III. Unpublished works (cont'd) A. Authorized registration (cont'd) 4. Other changes (cont'd) Examples (cont'd) a. (cont.t d ) Oakland Publishing Co. should be Oakland Publishing, Inc. Barnaby Music Inc. should be Barnaby Music Corp. John Nicklaus should be John Micklaus Mary Stem 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 givan. 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). Part II ..J
5-112 III. Unpublished. works (cont td) 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 lIcorrective entry,lI 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. Part II
S-113 Part III Corrective Entries 1. 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 cOPlrightable 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 ."J the work is published, the corrected copy should be treated as an errata sheet (See Part I, Section II.B.). 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.
5-114 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 thi s change. II. When may a 11 corrective entryll 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 \\'Ork in unpublished form could create diffi culties because of the uncertainty as to the duration of copyrd.ght, protection. Therefore, the reviser should carefully evaluate the applicant t 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, Le., 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 tem 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 Part III
8-115 II. When may a "corrective entry" be made? (ecnt td) B. Published works (cont'd) 1. (cont rd) of the t.erm, 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 It 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 addi tdon, 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). Part III
S-116 III. Processing of Corrective Entries (cont'd) B. Examining procedures (cont rd ) 2. Original pUblished copies not available. In e~eptiona1 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 Orig:Lnal 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 "cor-rect.ed" copies in addition to a corrected application. B. Acceptance of ICorrected"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. Part III
8-117 IV. B. Acceptance of "Corrected" Copies (cont'd) 1. Authorized Publication (cont.td) 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 mst, only a very few of the incorrect copies were pUblished, the corrected copies representing the bulk of those actually first published could be accepted. '!he 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 ..,J incorrect copies were published, the corrected copies cannot be used. Copies of the original edi tion 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. IMroRTANT: 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. Part III
S-118 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 unpublished 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
8-119 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 &'plicates 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. Part IV
8-120 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.) Part IV
8-121 No. 32 ORAL DELIVERY OPDfIOIS COICBRlmlG REGISTRABILITY Occasionally members of the public seek oral advice concerning the registrability of their works in advance of filing an appl.ication for registration. Such opinions are ordinarUy solicited in the course of a visit to the Public Information Office of the Copyright Office. M a general rule, unless registration is unquestionably 1JIlpossible, we will advise that an application should be fUed to enable \1S to give the case thorough consideration. Usually visi tors are seen by Bection Heads, Assistant Section Beada, or Benior Kx&ainers. 'rhese persons should refrain frc. g1vina opinions either for or against registration and should not cOJla1 t the Office to a certain course of action, particularly where registrabUity ia unclear or doubtful for &DY reaaon. Occasionally, the visitor Jl&y inadvertently bypass the Public Information Office and uy come directly to the D:l. vison work area tor oral opinions. Such visitors should be referred to the appropriate Section Head, Assistant Section Bead or a Senior Bxaainer and the above policy concerning visita to the Public Intomation Office should be followed. EDminera other than Senior Examiners should not discuss the regiatrablli ty of a work, nor take any other action with respect to it, before an application has been filed for registration of the clam to copyright. Por this purpose an application is not considered to have been filed until it haa been deposited in the custody of authorized personnel in the Servi~e Division or in the Public Infor mation Office. lxamining Division personnel should ask aeabers of the public to take applications to the Public Information Office for filing. [Iov_ber 1967]
8-122 Bo. 33 RICORnA.TIOI OP OOCUM.D'.rS StJlI(!'l'ftD BY GOVIRJIMDT AGDCIBS WI'J.'HOU'f PAIMDT OP 'fill S!'A'lU'l'ORY J'.U According to an opinion of 'the Caaptroll.er General dated July 18, 1951 (90 USPQ 194), there 18 no legal objection to the recordation of' an aaaignaent sumn1tted by an agency of the United States government without requiring tha't agency to pay the ata'tutory tee. However, it a tee i8 received with a document, 1't will be applied toward the recordat10n. [AprU 1968]
5-123 Bo. 34 PROP:IR "APPLlCA'rIOI RBCBIVBD" DATI 01 APPLlCA'l'IOIS FOR UBPUBLISDD WORKS It is iaportant to have accurate date8 8'tamped in the boxe8 on pages 2 and _ of the application for 'the registration of a claia in an unpubliahed work 8ince they play a vital role in cc..puting the 'tera of copyright. When aD application lacks necessary iDf'01"ll&tion but is otherwise acceptable, we usually return it tor 811endaent aDd re -fUing. 'fhe date we receive the application again with 'the added sta1ielaent is s1i8llped on it. 8caet1aes, we request a caaple'tely new application with the additional intoraatioa instead of returning the original application tor aendaent. In response to 'this request, we ~ receive a new appli cation with the requested iDf'omation but the application may be other wise unacceptable. lor example, the wrong fora :u.y bave 'been su'bJl1.t1;ed. DepeDding u.pon the cirCUll8tances and in accordance Wi'ttl established practices, we ~ transfer the new infol'lll8tion from the second application to the original application with an aDDOtation. 'fhe following practice should govern the proper "application receivedII date in the8e ca8es: A. It the orig1Dal application lacked necessary information which we added to it on the basia ot a statement received in a later application, we should add the date of receipt of that later application to the "application received" boxes of the original application. '!'be original application, including the certificate portion, should be annotated as follows: *Added fraa new application received on _ aDd fUed with correspondence. B. If the Dew application suba1.t1ied at our reqllest is unsigned but otherwise correct, we should return the Dew application for sig Dature. C. It the applicant respoDds to our request for additional intoraation by telephone or in a covering letter, we should treat the new intor ...tion received in this manner as it it were iDt01"ll&tioD given on a new application. We should add to the "application receivedII boxes
S-124 the date of the telephone call or the date the covering letter was received. This procedure should be followed becau.se the claa was not acceptable u.ntil we received the ais.ing intor IIation. The application and certificate should be annotated as follows: *Added as per telephone call fraa _ received on • See correspondence tile. or: *Added frOll letter signed by ~~ _ received on and filed with correspondence. Cases where necessary information is missing from the appli cation should be distingu.ished traa those where there is an amb1gu.i ty which is later claritied by correspondence and annotation. For example, instead of sending a new application clarifying an au.thorship variance, the applicant IIq state in a letter that the person listed at the au.thor ship line is an _ployer for hire of the person l18IIled on the copy. We aay add this cJ.ar1tication to the application. The annotation v11l u.su.al1y show the date ot receipt of the letter. We should not, however, add this date to the "application receivedII 'boxes because the application was correct and contained all the requ.ired information when it was first filed. For fu.rther 1nfomation on the problem of applying dates see Su.ppleaent&ry' Practices 10. 22: DATES OF RECEIPT APPEARIIG OI 'l'IE APPLICATIOli AID COPIES OR COPY. [Nay 1968]
8-125 110. 35 POSITIOI OF TJIB COPYRIGB'r IOTICE ON CCIIPU'tER PROGRAMS OF IOJESTIC ORIGIN FIRST PUBLISDD 111 TO FORM OF MACHIn RIADABLB TAPE OR MACHDIE PtJICBED CARm In accordance with a decision made in April 1964, the Copyright Office will accept computer programs for registration as "books" in Cl&8s A, provided they contain the requ1si te 8IIOunt of authorship and Jleet the other registration requirements. Where a program is first published in the fora of punched cards or on _gnetic tape, the work does not bave "pages; II this raises the question of compliance with the requirement that the notice on a "book" appear either on the title page or the page 1JDediately following the title page. While this provision cannot be ignored, it should not be given an unreasonably strict construction. '!'he following general guidelines should govern these cases. Our present practice requires a print-out of the entire program to accaa.pany the deposit cOpies where first publication was in a fora that cannot be perceived visually or read by humans. As a general rule, the position of the notice should be considered acceptable if it appears on the S8lle page or fold of the print-out as the title of the work. It the notice appears on a page or fold other than that on which the title appears, the nature ot the aaterial intervening between the title and the notice should be taken into con sideration in determining whether the position of the notice is acceptable. If all, or a part of the substantive bocly of the work intervenes so that it would be unreasonable to conclude that the notice appeared lion the ti tle page iJlmediately following, II registration should be refused. Where the deposit copies consist of a set of :machine punched cards that also bear printed aaterial, a single copyright notice located in an acceptable position wUl suffice to pel'll1t registration of the set. A single card contains only a few worda and sbould not necessarily be equated with a "page. II Consequently, registration should not be refused if the copyright notice does not appear on the 8ame card or the card iDDediately following the one bearing the title. Where several cards intervene between the title card and the card containing the not.ice, again the nature ot the material reproduced on the intervening. cards
8-126 should be taken into consideration in deter-ining whether the position of the notice is acceptable. If all, or a part of the aubstaD.ti ve body of the work. is reprochlced on the intervening cards so that it would be unreasonable to conclude that the DOtice appeared "on the title page of the page ~ediately tollowing," regis'tration should be refused. Where a work is reproduced on _chine punched cards that are packaged in a box or other container intended aa a pel'll&l1ent receptacle tor the cards, a notice located on the box or other con tainer may suffice it the 'title alBO appears on the box or container, aotwi thstanding the tact that none ot the cards th.selyes bear a notice [See Copyright Of'fice Regulations § 202.2(b)(lO)]. [August 1968]
8-127 REFL~TIOIf IIf THE COPYRIGHT Ol"FICE RECORDS OF LIMITIIG S'rATIMEI'fS APPBARIIfG lEAR THJ: COPYRIGHT JIO'rICE The O:ff'ice of Education has adopted a regulation which contemplates that, for same works prepared under i t8 contracts, the contractor will be pel'lll1 tted to claim copyright for a l1mi ted tllle only. The Office of Education will require the contractor in su.ch cases to add to the copyright notice a stat_ent that copyright is cla1med only until a certain time, after which the work. will be in the pablic domain, according to the contractual agreement. In this context, we have considered the question whether statements appearing near the copyright notice that l1.m1 t the rights that the copyright claimant is asserting should be required to be reflected in the application and referred to in the Catalog of Copy right Entries. Examples of sueh statements would be those that pel'lll1 t certain uses of the work, or, as in the cases under the Office of Education regulation, l1Jllit the duration of the copyright claim. Tbe following policy has been formulated: 1. L1JI1 ting statements appearing wi tb tbe copyright notice, bu.t not on the applications, are so numerous and so various in nature that it would not be practical as a general rule for the Office either to require that they be included in the application or to annotate the application. 2. If such l1a1ting statements are not reflected on the application, the Office should not undertake to renect them in its catalog entries. 3. If a l1Jll1tation is stated in the application, 1t should also be reflected 1n the catalog entry. 4. The only instances known to U8 of an official requirement that a copyright notice be accompanied by a limiting stat_ent is the O:ff'ice of Education regulation. We may not know in &Di1 particular case
8-128 whether a work containing 8uch limiting state .ent i8 one subject to the Office of Education regulation and we should not undertake to inquire in every such case. We have informed the Office of Education that: (a) It, in cases where it requires the limiting statement to acccmpany the notice, it wishes to have that atatement reflected in our regis tration records, it should instruct the copyright claimant to state the l1Jli tation in the application for registration. (b) If no such statement. appears in the application, the l1ll1 tat ion accaapanying the notice will not be reflected in our registration records. If' in the future we learn of any other governaental regulation requiring a l1a1tation, we will give the sBIle in:t'orJll8,tion to the agency concerned. lJ.'he above policy does not concern disclaimers, i.e., statements of exclusion or l1Jlli tation which indicate that some portiODS of the work are not covered by the claim of copyright. The present practices of the Of'f'ice in this regard are not being changed. (Io..-ber 1968]
8-129 No. 37 TIm USE OF A SlJRNAME ONLY IN 1~ COPYRIGHT NOTICE Generally the presence of only the surname of the copyright owner in the notice of copyright is sufficient for registra tion purposes, unless the names of one or more other individuals with the same surname appear in a position on the copy that might mislead the public as to the identity of the copyright proprietor. In those instances where the general practice is followed and registration is made, a cautionary letter should be sent to the applicant explaining that while registration is being made, one purpose of the copyright notice is to identify the copyright proprietor, and that the use of the surname only in the notice may be of doubtful validity. The following hypothetical cases illustrate this general rule, and set out the practices to be followed in each case. 1. Where the copyright notice contains only the pro prietor's surname and the copies do not bear the full name of any individual vii th that surname placed in such a position that it might mislead the public as to the identity of the copyright proprietor, we should register the claim with a warninB letter and an annotation showing that only the surname appears in the notice. In notice: Smith On copy No full name with the surname Smith In apple Claimed by John Smith Practice Register with a warning letter and an annotation showing that only the sur name appears in the notice. Where it is necessary that we request an application, our letter should instruct the applicant to state the relationship [1973J
S-130 2. 3. between the surname and the claimant's name given at line 1. For example, line 1 could read: "Smith, surname of John Smith. If An annot.atdon should not be placed on an application showing the relationship at line 1. Where the copyright notice contains only the pro prietor's surname and the copies do not bear the :t:ull name of any individual with that surname placed in such a position that it might mislead the public as to the identity of the copyright pro prietor, and line 1 of the application lists two or more individuals with the same surname as proprietors, we should register the claim with a warning letter and an annotation showing that only the surname appears in the notice. In notice: Smith On copy No full name with the surname Smith In apple Claimed by John Smith and Jean Smith Practice Same as example 1. Where the copyright notice contains only the pro prietor's surname and his fUll name appears on the copies we should register the claim provided the copies do not bear the fUll name of any other individual with that surname placed in such a position that it might mislead the public as to the identity 0;- the copyright proprietor. In notice: Smith On copy John P. Smith In apple Claimed by John P. Smith Practice Same as example 1, except where regis tration is being made in Classes F-K. Because of the statutory notice provi sions for works in Classes E~K, registration should be made without either a warning letter or an annotation. [1973]
S-131 4. Where the copyright notice contains only the proprie tor's surname and his full name appears on the copies, but the full name of another individual with the same surname who is not included as a copyright proprietor on line 1 of the application also appears on the copies in such a position that it might mislead the public as to the identity of the copyright proprietor, we should correspond to ascertain whether the name of the other individual is entitled to be listed on line 1 of the application as a copyright proprietor. If the correspondence reveals that the other individ ual is also entitled to claim copyright in the work, a new application should be requested with the appro priate explanatory statement given on line 1. In the event the other individual whose name appears on the copy is not entitled to claim copyright in the work, with the exception of works falling in Classes F-K, registration must be refused on the ground that use of the surname alone in the notice under these circumstances fails to adequately identif.1 the copy right proprietor. Registration with a warning letter may be made under these circumstances for works falling in Classes F-K. In notice: Smith On copy Jean Smith and John Smith In appl. Claimed by John Smith Practice Correspond to ascertain whether Jean Smith is also entitled to claim copy right in the work, in which case a new application should be filed with the statement "Smith, surname of John Smith and Jean Smith" appearing on line 1. If correspondence reveals that "Jean Smith" is not entitled to claim copy right in the work, registration must be refused in classes other than F-K on the ground that use of the surname alone in the notice under these cir cumstances fails to adequately identif.1 the copyright proprietor. If the work falls in Classes F-K and correspondence has revealed that "Jean Smith" is not entitled to claim copyright in the work, registration ahouf.d be made with a warn ing letter. [1973J
S-132 No. 38 STANDARD REFERENCE DA'I'A ACT CLAIMS BY THE U.S. GOV~RNMENT: REGISTRATION WITHOUT A FEE The Standard Reference Data Act, Public Law ~396 (15 U.S.C. 290), provides that the Secretary of Commerce may secure copy right and renewal thereof on behalf of the United States as author or proprietor in standard reference data prepared or made available under the Act. This Office has concluded that the registration fee will be waived for works submitted in accordance with the Standard Reference Data Act. In registering works under the Standard Reference Data Act without a registration fee two annotations should be made on both the appJication and the certificate. The first annotation involves placing an asterisk at both lines 1 and 3, generally. The asterisk should be placed at both lines 1 and 3 of the application and certificate to indicate that registration of the claim is authorized on the basis of the Standard Reference Data Act, even though the Government is the proprietor and author, and the asterisk should be keyed to the comment in the annotation box. If the Government is the proprietor, but not the author, the asterisk should ,be placed at line 1 only. Example: The statement on the application would read: * Claim registered under the Standard Reference Data Act, P.L. 90-396 (15 U.S.C. 290). (Cert.) The statement on the certificate would read: * Claim registered under the Standard Reference Data Act, P.L. 90-396 (15 U.S.C. 290). [1973J
6-133 The second annotation involves placing two asterisks in the fee box on both the application and certificate, and the two asterisks should be keyed to the comment in the annota tion box. The fee box must be annotated in order to indicate that in this particular case the fee is being waived. Example: The statement on the application would read: ** Fee waived (Cert.) The statement on the certificate would read: ** Fee waived [1973]
8-134 No. 39 CITIZENSHIP OF CLAIMANT IN POSTHUMOUS WORKS Topic 7.1.3.III of the Compendium states the basic policy with respect to posthumous works, which is to request the citizenship of the deceased author and the citizenship of the copyright claimant. It is our position that the law is unclear whether the citizenship of the deceased author or of the claimant controls in posthumous work cases. 1he Compendium contains no exceptions for cases where the name of the deceased author appears in the notice and registration is made with either "Estate of X" or "Y, executor of the estate of Xl! given in the claimant line on the application. In this situation, as well as where the estate or the executor is named as the copyright owner in the notice, we should ask for the citizenship of the copyright claimant, if the work is posthumous. This practice applies in all cases except where the work is eligible under the Universal Copyright Convention by virtue of the place of publication. Please note that we are not taking the position that an "estate" as such necessarily has a citizenship. There are doubts about the propriety of using "Estate of X" in the notice (or at the claimant line of the application) since the estate per se is not usually regarded as a legal entity capable of holding property. Consequently, we should not literally ask for the "citizenship of the Estate of X;" we should ask for the citizenship of the claimant. The true legal holder of the literary property interest (who is presumably represented by the phrase "Estate of X") does have a citizenship, and this is the information needed at line 1. Title to personalty such as copyright usually vests in the personal representative of the deceased author in the case of a will. In case of intestacy the court would usually appoint an administrator (depending upon the size of the estate). [1973J
S-135 Since eligibility to claim copyright is one of the fundamental requirements of our law, the citizenship of the claimant, as well as that of the deceased author, is required in the posthumous work situation to assure a complete legal record, except where the work is eligible under the U.C.C. because of first publication in a U.C.C. country other than the United States. ~ [1973J
INDEX to COMPENDIUM OF COPYRIGHT OFFICE PRACTICES - A - Page ~mffiNT OF COPYRIGHT 12-23 See also ASSIGNMENTS AND RELATED DOCUMENTS ABBREVIATIONS IN THE COPYRIGHT NOTICE, USE OF As statutory element for Classes F to K 4-8 As variant form of claimant's name 4-20 See also NOTICE O} COPYRIGHT ADDITION TO A COMPLETED RECORD, REQUEST FOR S-99 See also ASSIGNMENTS .AND RELATED DOCUMENTS; -C'ANCELLATION CASES; PRACTICES CONCERNING "REFERRALS rr ~ ADDRESSES, ~ WORKS PREPARED FOR ORAL DELIVERY (CLASS C) AD INTERIM COPYRIGHT Definition 8-rr Duration of term 8-17 See also RENEWAL OF COPYRIGHT ExtenSIOn-or-term under U.C.C. automatic 8-23 See also UNIVERSAL COPYRIGHT CONV'ENTION ~: The page references shown in the right-hand column of this INDEX 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 "15-3" destgnates the third page in Chapter 15). The letter "s II preceding the hyphen indicates pages appearing in the Addendum of Supplementary Practices. - 1 [1973]
INDEX AD INTERIM COPYRIGHT (cont'd) FUll term protection, extension to Manufacturing requirement inapplicable Registration requirements Generally Importation of copies Notice of copyright Time limitations U.S. edi.tion U.S. edition of works first published abroad in installments Renewal of copyright, U.S. edition as prerequisite for AFFIDAVIT OF MANUFACTURE, see r4ANUF'ACTURl<~ IN T}ffi UNITED STATES ANNOTATION IN ANTEDATED NOTICE CAS:~i::l WHERE 'rHEllli IS MORE THAN ONE YEAR DA'rE IN THE NOTICE See also NOTICE CONTAINING TID; YEAR DATE IN -WHICH COPYRIGHT WAS SECURED PLUS AN EARLIER DATE OR DATES NOT APPLICABLE TO THE WORK: NOTICE OF COPYRIGHT ANTEDATED NOTICE, ~ NOTICE OF CDPYRIGHT YEAR DATE APPEAL CASES, REVISED PROCEDURE FOR APPLICATION FORM, DATES OF RECEIPT APPEARING ON See also DETERMINATION OF EFFECTIVE DAT1'~ OF -REGISTRATION FOR UNPUBLISHlm WORKS WHERE TIili 14ATERIAL SUBMITTED FOR REGISTRATION CONTAINED A CLEAR DISCREPANCY \<lHICH THE COPYRIGHT OFFICE SHOULD HAVE OBSERVED BEFORi; COMPL1TING THE ENTRY APPLICATION FORM, PROPER "APPLICATION RECEIVED" DATE FOR UNPUBLISHED WORKS See also PROPER "APPLICATION RECEIVED" DATE -01f"Ai5PLICATIONS FOR UNPUBLISHED WORKS APPLICATION FORMS, RIDERS TO AQUATINTS Manufacturing provisions inapplicable - 2 [19l3 ] Page 0..22 6-5, 6-8 0..19 8-21 8-20 8-19 0-22 8-20 11-15 S-14 S-'75 s-81 S-123 8-05 6-20
INDEX Page ART, WORKS OF 2-2'(1 ~ also WORKS OF ART (CLASS G) ASSIGNMENTS AND RELATED DOCUMENTS Amendment of Copyright Office r-ecords by documents, see Document amending Copyr-ight Office records Contents, see 1Va1uation 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 CAN CELLATION 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 As substitute for registration 12-10 Attachments 12-19 Authority to sign 12-14 Completeness, requirement of 12-18 Date of execution 12-21 Errors, freedom from obvious 12-20 F'oreign assignment of copyright, acknOWledgment of 12-21 Formal sufficiency 12-11 Incorporation by reference of another instrument 12-20 Indexing Generally 12-16 Information fram sources outside the document 12-17 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 inconsistency between 12-13 - 3 [1973 ]
INDEX
ASSIG.N:MENTS AND IlliLATED DOCUMENTS (cont ' d)
Document entitled to recordation (cont'd)
Signature, handwritten
Signature of individual person required
Subject matter, identification of
Submitted in error
Time limitations
Titles under which the works were registered
for copyright, inclusion of
Transferor, handwritten signature of
Words of present conveyance, requirement of
Evaluation of contents
Recordation
Changes in document made before
Date of recordation, determination of
Fees prescribed
Assignment, each separate
Pages, determination of number of
Statutory provisions
Titles, determination of number of
Generally
Indexing
Recordation of affidavit, etc., as prerequisite
for renewal registration or annotation of
completed records
See also REN1~AL OF COPYRIGHT
RecordationLOf assignment as prerequisite for
registration in name of assignee
See also NOTICE OF COPYRIGHT
Statutory provisions
ASSISTANT REGISTER OF COPYRIGHTS
As certifYing officer, ~ 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
- 4
[19(3 ]
Page .,J
12-12
12-15
12-16
12-10
12-21
12-17
12-12
12-18
12-5
12-28
12-2'(
12-29
12-::51
12-28
12-29
12-27
12-2'{
12-7 .J
4-14, 12-6
12-5
INDEX Page BINDING OF BOOKS, see MANlli~CTlJRING IN THE UNITED STATES: Processes to be performed . BOOKS, ~ CLASS A MATERIAL - C CANC~LLATION CASES s-48 See also ASSIGI~lliNTS AND RELAT~D DOCill~~NTS; -PRACTICES CONCERNING "REFERRALS "s REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETBD RECORD CANCELLATION OF A COMPLETED R.ECORD, REQlJl~ST FOR S-99 See also ASSIGNMENTS AND RELATED DOCm~NTS; CANCELLATION CASES; PRAC~ICES CONCERNING "REFERRALS II CERTIFICATE OF REGISTRATION Additional copy, request for, ~ CERTIFICATIONS Addressee appearing on 15-4 Duplicate copy, request for, see CERTIFICATIONS ~ailing of original - 15-4 See also Returned by Post Office as -undeliverable Preparation of' original- 15-4 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 regi.stration 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, ~ Certifying officer - 5
INDEX CERTIFICATIONS (contld) Certificates of registration, additional, see Additional certificates of registration Certified copies of copyright deposits Authority to request Conditions justifying requests for Court order Litigation, actual or prospective Control of deposit by Copyright Office, necessity of Form and content (except Patent Office deposits) Form and content (Patent Office deposits only) Permission to copy deposit, responsibility for grantine; Prints and labels deposited in the Patent Office See also Certified documents: nature and kind Certified copies of correspondence Certified copies of offici.al records Certified documents: nature and kind Assignments and other recorded documents Certificates of registration, additional Certificates of registratibn, original See also CERTIFICATE OF REGISTRATION Copyright deposits, certified copies of Correspondence, certified copies of Facts within official knOWledge and competence of Copyright Office, certified statement attesting to Generally Official records, certified copies of Certified documents: preparation and handling Copyright Office direction and control, necessity of Foreign proceedings, use of documents in Mailing procedure Speed and accuracy, importance of Certified documents, requests for Generally Requirements and limiting conditions Certifying officer - 6 [19(3] Page 15-30 15-31 15-30 15-31 15-:53 15-35 15-32 15-35 15-28 15-26 15-8 15-9 15-8 .J 15-11 15-10 15-11 15-8 15-9 15-15 15-17 15-18 15-16 15-11 15-14 15-7
15-8 INDEX Page CERTIFICATIONS (cont'd) Certitying officer, absence of Commercial prints or labels, see Certified copies of copyright deposits; Prints or labels deposited in the Patent Office Copyright deposits, see Certified copies of copyright depositS;-Certified documents: nature and kind Correspondence, see Certified copies of corres pondence; 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 --- 15-3'7 Forms provided, see Printed forms provided Official records:-see Certified copies of official records; Certified documents: nature and kind Photodup1ication Service Fees involving 15-37 Responsibility shared with Copyright Office 15-32 Printed forms provided Certification A (Original instrument of assignment or other document as recorded), see ASSIGNMENTS AND RELATED DOCUMENTS Certification B (Certified copies of assign ments and related documents) 15-26 Certification C (Certified copies of applica tions for registration except Patent Office applications) 15-26 Certification D (Certified copies of copyright deposits except Patent Office deposits) 15-33 Certification E (Additional certificates of registration for prints or labels registered in Patent Office) 15-24 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 - 7
INDEX CERTIFICATIONS (cont'd) Prints or labels deposited in the Patent Office, request for certified copy of See also Certified copies of copyright -deposits Records, official, see Certified copies of official records; Certified docmnents: nature and kind Register of Copyrights As certifYing officer Registration, certificates of, see CERTIFICATE OF REGISTRATION See also Additional certif~cates of -registration Special certified reports, statements, and the like CERTIFIED DOCUMENTS, ~ CERTIFICATIONS CITIZENSHIP AND DOMICILE OF AUTHOR Author Citizenship status As determining eligibility Time of determination Definition Domicile abroad, effect of Domicile in U.S.A., effect of New version or "new matter" Posthmnous work Work made for hire Citizenship, see Author; Copyright owner or proprietor; Foreign author Copyright owner or proprietor Citizenship status Generally not relevant Posthmnous work Waiver-of-fee option, effect upon Domicile Posthmnous work Waiver-of-fee option, effect upon Copyright proprietor, see Copyright owner or proprietor Domicile abroad, effect of Foreign and stateless authors U.S. author Page .,j 15-35 15-7 15-36 (-3 7-6 7-5 1-3, (-7 7-9, 8-15 °(_5 (-6 '(-5 /-4 '(-6 8-15 1-6 d-15 7-7 '(-3 - 8 [1973]
--- INDEX CITIZENSHIP AND DOMICILE OF AUTHOR (cont'd) Domicile in U.S.A., effect of Foreign author Generally Waiver-of-fee option Domicile in U.S.A., territories included Foreign author Citizenship status: effect upon eligibility generally Domicile abroad: effect upon eligibility Domicile in U.S.A.: effect upon eligibility Mixed authorship, works involving See also MANUFACTURE IN THE UNITED STATES Policy regarding evidentiary value of statements of "Proclaimed" countries Eligibility of citizens for U.S. copyright Stateless author Definition Eligibility for U.S. copyright U.S. author: eligibility Foreign-language books and periodicals Generally See also MANUFACTURE IN THE UNITED STATES CITIZENSHIP OF CLAII~T IN POSTHUMOUS WORKS CLAIMAN'l', COPYRIGHT, ~ NOTICE OF COPYRIGHT; REN"BWAL OF COPYRIGHT CLAIM TO COPYRIGHT, VARIANCE IN, see NOTICE OF COPYRIGHT -- See also PRACTICES: VARllU~CE IN CLAIM INVOLVING FOREIGN BUSINESS ORGANIZATION TERMINOLOGY CLASS A MATERIAL Copyright notice: requirements Form prescribed Position prescribed Year date See also NOTICE OF COPYRIGHT; ---PLACE OF PUBLICATION English-language works, see ~~~C~ IN THE UNITED STATES -- See also AD IN1'ERDiJ COPYRIGH'r - 9 [1973J Page 7-3, '7-9 8-15 7-9 7-3 7-7 7-3, 7-9 6-10, 7-10 7-4 '/-3, 7-~( 7-8 7-3, (-8 6-8 7-3 8-134 4-8 4-35,8-10, 8-13 4-27
IND:EX CLASS A MATERIAL (cont' d) Foreign works See also CITIZENSHIP DOI~CILE OF -AUTHOR; PLACE OF PUBLICATION Manufacturing requirement See also MANUFACTURE IN THE UNITED STATES Registration As prerequisite to renewal registration Recordation of document, relationship to CLASS B MATERIAL, ~ PERIODICALS (CLASS B) CLASS C MATERIAL, see WORKS PREPARED FOR ORAL DELIV1:RY (CLASSC') CLASS D MATERIAL, see DRAMAS AND DRAMATICO-MUSICAL COMPOSITIONS (CLASS D) CLASS E MATERIAL, ~ MUSIC (CLASS E) CLASS F MATERIAL, ~ MAPS (CLASS F) CLASS G MATERIAL, ~ WORKS OF ART (CLASS G) CLASS H MATERIAL, see REPRODUCTIONS OF WORKS OF ART (CLASS H) CLASSIFIED OR RESTRICTED MATERIAL CLASS I MATERIAL, see DRAWINGS OR PLASTIC WORKS OF A SCIENTIFIC OR~CHNICAL CHARACTER (CLASS I) CLASS J MATERIAL, ~ 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, ~ MOTION PICTURES (CLASSES L-M) CLASS M MATERIAL, see MOTION PICTURES (CLASSES L-M) COLLECTIONS OF WORKS, UNPUBLISHED - 10 (1973 ] Page 7-3, 7-7 6-3, 6-5 11-11 12-9 2-121 2-141 2-181 2_2'(1 S-10 2-421 2-571 2-5'71 s-6
--- INDEX COLLECTIVE WORKS, ~ COl>1POSITE WORKS, CON TRIBUTIONS TO COLLO'l'YPES Manufacturing provisions inapplicable COMMERCIAL PRINT.3 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 Form prescribed Position prescribed See also NOTICE OF COPYRIGHT Extra copies deposited in Patent Office, requests for See also CERTIFICATIONS ManufiC'turing requirement See also MANUFAC'lIURE IN THE UNITED STATES Multi-page and single-page prints, classification of Registration As prerequisite to renewal registration Recordation of document, relationship to Trade-mark registration: effect upon copyright COMPLIANCE PROVIS IONS OF 'l'HE LAW, IMPLEMENTAT ION WITHIN COPYRIGHT OFFICE OF COMPOSER, see CITIZENSHIP AND DOMICILE OF AUTHOR; PLACE OF PUBLICATION; RENE.'WAL OF COPYRIGHT COMPOSIT"~ "\'lORKS, CONTRIBUTIONS TO Copyright notice: requirements Form prescribed Position prescribed Year date See also NOTICE OF COPYRIGHT Renewal of copyright in Generally Proprietors of' claims to - 11 [197 3 ] Page 6-20 S-2 2-130 4-8 4-39, 8-10, 8-13 s-4 6-'(, 6-20, 6-25 S-3 11-11 12-9 S-2 s-45 4-8 4-36 4-27 11-13 11-23
INDEX COMPOSITE WORKS, CONTRIBUTIONS TO (cont td ) Registration As prerequisite to renewal registration Recordation of document, relationship to See also CLASS A MATERIAL "COMPULSORY LICENSE" See ~ NOTICE OF INTI~NTION TO USE; NOTICE OF USE COMPUTER PROGRAMS: POSITION OF COPYRIGHT NOTICE ON COMPUTER PROGRAMS OF DOMESTIC ORIGIN FIRST PUBLISHED IN 'IHE FORM OF MACHINE READABLE TAPE OR MACHINE PUNCHED CARDS CONFIDENTIAL MATERIAL CONTRIBUTIONS TO COMPOSITE OR COLLECTIVE WORKS, see COMPOSITE WORKS) CONTRIBUTIONS TO --See also CLASS A MATERIAL CON'rRIBUTIONS '1'0 PERIODICALS (CLASS B, FORM BB) Classification for registration purposes Copyright notice: requirements Form prescribed Position prescribed Year date See also NOTICE OF COPYRIGHT Manufacturing requirement Registration As prerequisite to renewal registration Recordation of document, relationship to Requirements for Renewal of copyright in Generally Proprietors of claims to ~ also PERIODICALS (CLASS B) COPIES DEPOSITED Best edition Doubtful due to character of copies deposited or other information Foreign works Generally Publication doubtful due to character of copies deposited or other information Two or more editions of different quality - 12 [1973J Page 11-11 12-9 1:5-3 S-125 S-lO 2-130 4-8 4-38, 8-10, 8-13 4-2'( 6-18 11-11 12-9 2-129 11-13 11-23 5-13 8-15 5-11 5-13 5-11
-- 5-14 IND1'X COPI~S DEPOSITED (cont'd) Completeness: entire work must be deposited Date or receipt appearing on See also DETE~lINATION OF EFFECTIV~ DATE -OF REGISTRATION FOR UNPUBLISH8D WORKS WHERE THE MATERIAL SUBMITTED FOR REGIS TRATION CONTAINED A CLEAR DISCllliPANCY WHICH THE COPYRIGHT OFFICE SHOULD HAVE OBSERVED BElt'ORE COI-1PLETING Tllli ENTRY Defects, freedom from substantial Identity between deposit copies, necessity of Manufacturing requirements, necessity of affidavit attesting to compliance with Notice of copyright Ad interim registration, works subject to See also AD INTERIM COPYRIGHT Works by foreign authors published abroad before June 18, 1959 Works by foreign authors published abroad on or after June 18, 1959 Works first published in the United States Unpublished works Published works Return, in absence of reply to Copyright Office correspondence Unpublished works COPIES, DEPOSIT OF, see DEPOSIT 01" COPIES See also COPIES DEPOSITED COpy DEPOS ITED, ~ COPIES DEPOS ITED COPYRIGHT, ABANDOM-1ENT OF See also ASSIGmlliNTS AND RELATED DOCUMENTS 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 ORGANIZATION TERMINOLOGY COPYRIGHT CLAIMANT, see NOTICE OF COPYRIGHT; RENEWAL OF COPYRIGHT - 13 [1973] Page s-En 5-15 5-17 5-16, 6-13 5-16 5-16 5-16 5-15 5-16 5-5ff s-84 5-5 12-23
s-96 INDEX COPYRIGHT NOTICE, ~ NOTICE OF' COPYRIGHT COPYRIGHT NOTIC~, SINGLE PAGE RULE FOR See also N011JCE 01i' COPYRIGHT COPYRIGHT OFFICE, IN~UIRIES CONCERNING OTHER DEPARTMENTS OF THE LIBRARY AND COPYRIGHT OWNER OR PROPRIETOR, see NOTICE OF COPYRIGHT: Claimant, identify of -- COPYRIGHT REGISTRATION, CANCELLATION OF, see CANCELLA TION CAS~S; REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD COPYRIGHT RENE.'WAL, ~ ~N1'WAL OF COPYRIGHT COPYRIGHT TERM, DURA1'ION OF See also RENEWAL OF COPYRIGHT CORRECTION IN A COMPLETED RECORD, llliQUEST FOR See also ASSIGNMENTS AND RELATED DOCUM8NTS; ---cANCELLATION CASES; PRACTICES CONCERNING "llliFERRALS " CORRESPONDENCE Absence of reply, return of deposit copies in cases involving Certified copies of See also CERTIFICATIONS Inquir1es-concerning the Copyright Office and other departments of the Library Reprint material, cases involving CORRESPONDENCE IN CASES INVOLVING REPRINT MATERIAL DATE OF PUBLICATION Application received in advance of Choice of, factors affecting Consignment or release, effect of Definition Incomplete date on application, effect of Indefinite or qualified date on application effect of - 14 [1973] Page s-8"1 11-7 S-99 s-84 15-10, 15-28 S-87 s-88 8-88 3-14 3-11 3-12 3-11 3-13 3-14
INDEX Page DATE OF PUBLICATION (cont'd) 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 application, effect of :S-14 Separate parts, works pub.l.Lshed in :5-12 Works first published abroad 3-13 DATES OF RECEIPT APPEARING ON THE APPLICATION AND COPIES OR COpy S-81 See also PROPER "APPLICATION RECEIVED" DATE - O'if".APPLICATI ONS FOR UNPUBLISHED WORKS DEPOSIT OF COPIES Delayed 5-3 Failure to deposit 5-18 Premature 5-:5 Requirements generally Multiple registrations 5-9 Published works 5-5 Unpublished works 5-5 Time limitations Ad interim registration, works subject to 5-4, 8-19 See also AD INTERIM COPYRIGHT PubliS'hedworks 5-3 Unpublished works 5-3 Waiver-of-fee option 5-4, 8-15 DESIGNS FOR WORKS OF ART, see WORKS 01' ART (CLASS G) - 2-2'(1 DETERMINATION OF EFFECTIVE DATE OF REGISTRATION FOR UNPUBLISHED womes WHERE THE MATERIAL SUBMITTED FOR REGIS1~TION CONTAINED A CLEAR DISCREPANCY WHICH THE COPYRIGHT OFFICE SHOULD HAVE OBSERVED BEFORE COMPLETING Tl:lli ENTRY S-50 See also PRACTICES CONCERNING"REFERRALS"; -UNPUBLISHED WORKS DOCUM.lMS, see ASSIGNMENTS AND RELATED DOCUl,iENTS; CERTIFICATIONS DOMICILE OF AUTHOR, ~ CITIZENSHIP AND DOMICILE OF AUTHOR - 15 [1973 ]
INDEX DRAMAS AND DRAMATICO-MUSICAL COMPOSITIONS (CLASS D) Copyright notice: requirements Published works Form prescribed Pos it i.on prescribed Year date See also NOTICE 0/ COPYRIGHT Manufacturing provisions inapplicable Registration As prerequisite to renewal registration Recordation of document, relationship to DRAWINGS BY HAND Manufacturing provisions inapplicable DRAWINGS OR PLASTIC WORKS OF A SCIENTIFIC OR TECHNICAL CHARACTl:;R (CLASS I) Copyright notice: requirements Published works Form prescribed Position prescribed See also NOTICE OF COPYRIGHT Manufacturing requirement See also MANUFACTURE IN THE UNITED STATES Regist'ra ti'Oil As prerequisite to renewal registration Recordation of document, relationship to DRYFOINTS Manufacturing provisions inapplicable DURATION OF COPYRIGHT TERM See also RENEWAL OF COPYRIGHT - E EDITING OF MUSIC, COPYRIGHTABILITY OF ENGRAVING BY STIPPLE AND CRAYON Manufacturing provisions inapplicable - 16 [1973] Page 4-8 4-35, 4-3e, 8-10, 0-13 4-21 6-6 11-11 12-9 6-20 4-d 4-39, 0-10, 8-13 6-'(, 6-20, 6-25 11-11 12-9 6-20 11-7 s-4f 6-20
INDEX Page ENGRAVINGS, LINE Manufacturing provisions inapplicable 6-20 ERRORS IN REGISTRATION Correction of See also CANCELLATION CASES; PRACTICES -CONCERNING IIREFERRALS 11; REQUEST FOR CORRECTION IN, ADDITION TO, OR CAN CELLATION 01" A COMPLETED RECORD Unpublished works, measurement of copyright term after correction involving See also UNPUBLISHED WORKS 12-24 S-50 ETCHINGS Manufacturing provisions inapplicable 6-20 ~ EVIDENCE OF PUBLICATION Appearance of copies Date of publication in application, presence Information furnished by applicant Prior rejection for publication vTi thout statutory notice Sale, unauthorized, or public distribution of copies without statutory notice of 3-16 3-16 3-18 3-18 3-18 - F - FEE INCREASE, PRACTICE CONCERNING CASES PENDING COPYRIGHT OFFICE ON NOVEMBER 26, 1965 IN THE S-78 FEE, REGISTRATION OF STANDARD REFERENCE DATA ACT CLAIMS BY U.S. GOVERNMENT WITHOU'l' PAYMEN'r OF S-132 FEES, REFUNDING OF EXCESS S-98 II FOLK SONGS, 11 NE.'W VERSIONS OF s-47 FOREIGN BUSINESS ORGANIZATION TERMINOLOGY, VARIANCE IN COPYRIGHT CLAIM INVOLVING 8-42 FOREIGN GOVERNMENTS, REGISTRABILITY OF PUBLICATIONS OF S-19 FORM U, USE OF, ~ NOTICE OF USE - 17 -
INDEX - G GENERAL PUBLICATION Definition Deposit of copies in public library, as Indiscriminate gifts of copies, as Leasing or renting of copies, as Leaving copies in a public place for anyone to take, as Part of work, effect of publication of Policy of Copyright Office regarding Sale of a single copy, as See also LIMITED PUBLICATION; PUBLIC DISCLOSURE GOVERNMENT PUBLICATIONS Copyrightability or registrability of Foreign governments, works of Generally International governmental organizations, works of Printed by U.S. Government, works State and territorial governments, works of U.S. Government, works of Generally Standard Reference Data Act - H HAND PAINTINGS AND DRAWINGS Manufacturing provisions inapplicable - I ILLUSTRATIONS, PICTORIAL OR GRAPHIC ~~nufacturing requirement See also ~UU~ACTURE IN THE UNITED STATES See also LITHOGRAPHS AND PHOTOENGRAVINGS - 18 [1973 ] Page 3-4 3-5 3-4 3-4 3-4 3-5 3-3 3-4 S-19 s-16 S-19 S-16 S-18 s-16 S-132 6-20 6-20
INDEX INITIALS IN THE COPYRIGHT NOTICE, USE OF As statutory element (Classes F - K) As variant f'orm of' claimant's name (Classes A, B, D, E, Land M) See also NOTICE OF COPYRIGHT INQUIRIES CONCERNING THE COPYRIGPT OFFICE AND OTHER DEPARTl-1ENTS OF THE LIBRARY INSIGNIA, INQUIRY BY COPYRIGHT OFFICE REGARDING APPLICANr 's RIGHT TO USE WELL- KNOWN INTERNATIONAL GOVERNMENTAL ORGANIZATIONS, REGISTRABILITY OF PUBLICATIONS OF - L LAB::LS AND PRINTS, see COMMERCIAL PRINTS OR LABELS (CLASS K, FORM K~ LECTUR.E;S, ~ \010RKS PREPARED FOR ORAL DELIVERY (CLASS C) LIBRARY OF CONGRESS, INQUIRIES. CONCERNING THE COPYRIGHT OFFICE AND OTHER DEPARTMENTS OF LICENSE, "COMPULSORY" See also NOTICE OF INTENTION TO USE; -NOTICE OF USE LIMI1TID PUBLICATION Definition Policy of' Copyright Of'fice regarding See ~ GENERAL PUBLICATION; PUBLIC DISCLOSURE LITHOGRAPHS AND PHOTOENGRAVINGS Manuf'acturing requirement Classes F through K, separate works registrable in Illustrations in books Illustrations in works other than books Statutory exceptions See also MANl.JI<'ACTURE IN Tllli UNITED STATES - 19 [1973 ] Page 4-8 4-20 s-87 S-7 S-19 2-141 8-87 13-3 3-6 3-7 6-25 6-1'/, 6-20, 6-24 6-20 6-21
--- INDEX - M MAGAZINES, ~ PERIODICALS (CLASS B) MANUFACTURE IN TIm UNITED STATES Ad interim registration, works subject to See also AD INTERIM COPYRIGHT Affidavit As evidence of U.S. manufacture As prerequisite to registration in Class A on Form A Content of Date of execution Form of Necessity of Books not printed ~glish-language books See also AD INTERIM COPYRIGHT Exceptions to general requirement Ad interim registration, works subject to Books by foreign authors first pUblished in U.C.C. country with U.C.C. notice See also PLACE OF PUBLICATION Books by nationals of foreign U.C.C• countries first published abroad with U.C.C. notice Books in raised characters for the blind (Braille) Dramatic works Foreign-language books by foreign authors Musical compositions Pictorial or graphic works Foreign-language books Graphic works registrable in Classes F through K See also LITHOGRAPHS AND PHOTOENGRAVINas IllustratiOiiS in books See also LITHOGRAPHS AND PHOTOENGRAVINGS Lithographs and photoengravings Generally Separate works registered in Classes F through K Statutory exception to manufacturing requirement See also LITHOGRAPHS AND PHOTOENGRAVINGS - 20 [1973] Page 2-121 6-5 6-14 6-13 6-14 6-l'f 6-14 6-3, 6-1:5 6-6 6-5, 6-8 6-5 6-6, 8-10, 8-18 J 6-6, 8-10, 8-18 6-5 6-6 6-5 6-'7 6-'(, 6-20 6-5, 6-8 6-7, 6-20 6-17, 6-20, 6-24 6-17, 6-20 6-25 6-21
INDEX MANUFACTURE IN THE UNITED ~TATES (cont'd) Mixed authorship English-languaee work Foreign-language work Mixed languages Foreign author U.S. author Not required for books in any language by foreign authors, first published in U.C.C. country with U.C.C. notice See also PLACE OF PUBLICATION: -lJiiIT'VERSAL COPYRIGHT CONV£NTION Not required for books in any language by nationals of foreign U.C.C. countries, first published outside the United States with U.C.C. notice See also UNIVERSAL COPYRIGHT CONVENTION Not required for books in raised characters for the blind (Braille) Not required for dramatic works, though published in book form Not required for foreign-language books by foreign authors Not required for musical compositiolW, though published in'book form with lYrics and incidental text in English Partial compliance Limitation or disclaimer in notice preferable Text of book as indivisible unit Text of book consisting of separable component works Periodicals, requirements for See also PERIODICALS (CLASS B) Pictorial-or-graphic works other than lithographs or photoengravings Processes to be performed Binding, lithographing, and photoengraving Printing from type Requirements in general Territorial limits MANID'ACTURING CLAUSE, ~ MANUFACTUllli IN THE UNITED STATES - 21 [1973 ] Page 6-11 6-10 6-9 6-10 6-6, 8-10, 8-1B 6-6, 8-10, 8-18 6-5 6-6 6-5 6-'( 6-13 6-12 6-13 2-123, 6-18, 8-6 6-20 6-12 6-11 6-3 6-3
INDEX MANUSCRIPTS, ~ UNPUBLISHED WORKS MAPS (CLASS F) Copyright notice: requirements Form prescribed Position prescribed See also NOTICE OF COPYRIGHT Manufacturing requirement See also ~~~CTURE IN THE UNITED STAT~S RegistratIOn As prerequisite to renewal registration Recordation of document, relationship to Mb;CHANICAL REPRODUCTION OF MUSIC MECHANICAL REPRODUCTION OF TEXT MATTER MEZ:lOT INTS Manufacturing provisions inapplicable MOTION PICTURES (CLASSES L-M) Classification as photoplays (Class L) or motion pictures other than photoplays (Class M) Copyright notice, see Registration require ments: PublishedlWorks Definition Exhibition or performance of Fees, registration Filmstrips not registrable in Classes Land M l~nufacturing provisions inapplicable New matter as basis of registration Publication, nature of Registration As prerequisite to renewal registration Recordation of document, relationship to Registration requirements Authorship, information required regarding Published works Copyright notice Form prescribed Position prescribed Year date See also NOTICE OF COPYRIGHT - 22 Page 4-8 4-39, 8-10, 8-13 6-'7, 6-20, 6-25 11-11 12-9 13-3, 13-15 S-20 6-20 2-513 2-5'( 3 2-575, 3-9 2-519 2-5'(4 2-577 2-580 2-5'(5 11-11 12-9 2-5'(9 4-8 4-40 4-27 [1973 ]
INDEX Page MOTION PICTURES (CLASSES L-M) (cont'd) Registration requirements (cont'd) Published works (cont'd) Generally 2-577 Unpublished motion pictures 2-578 Scenarios, synopses, and outlines not C(4 registrable in Classes Land M 2-5 Scripts not registrable in Classes L and M 2-5"(4 Sound tracks 2-574 Unit registration of related works .2-580 MOVIES, ~ MOTION PICTURES (CLASSES L-M) 2-571 MUSIC (CLASS E) Adaptations or arrangements of musical compositions 2-198 Books of 2-189 Compilations of 2-190, 2-200 Content, evaluation of Musical 2-l83ff Textual 2-1B6ff Copies deposited, nature and completeness of 2-192 See also COPIES DEPOSITED Copyrightnotice: position Effect upon classification 2-191 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--- ---- 2-183 Editing of musical compositions 2-199, s-47 Lyrics, new 2-199 See also MUSIC EXAMINING: NEW MA'l''l'ER ---MINIMAL OR NOT CLEARLY STATED Manufacturing provisions inapplicable 6-'7 New versions or "new matter" 2-198, S-4'l Orchestrations, bandstrations, and instrumental parts 2-194 Registration requirements Published musical compositions 2-197 UnpUblished musical compositions 2-196 - 23 [1973]
INDEX Page ·wJ MUSIC (CLASS E) (cont'd) Revisions or additions Sound recordings unacceptable for deposit in Class E Textual content, evaluation of Unpublished musical compositions, collections of 2-193, s-4( 2 2-193 -186ff 2-197 MUSIC EXAMINING: CLEARLY STATED NEW MATTER MINH1AL OR NOT 8-41' MUSIC, MECHANICAL REPRODUCTION OF See also NOTICE OF USE 13-3, 13-15 - N NEWSPAPERS, ~ PERIODICALS (CLASS B) 2-121 N1~ VERSIONS OF MUSICAL COMPOSITIONS, COPYRIGHTABILITY OF See ~ MUSIC (CLASS E) 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 NOTICE OF COPYRIGHT Abbreviation of name in 4-20 See also Name of claimant: variant forms AccesSibility of 1.j.-41 Accidental omission of 4-5 Ad interim registration, works subject to 4-6, d-20 See also AD INTERIM COPYRIGHT Claimant,~ntity of Assignee in notice 4-14 By reference, incorporated 4-12 Deceased person named in notice 4-12 Estate, executor, or administrator in notice 4-1.;, 7-6, 3-134 Generally 4-10 Licensee in notice 4-16 Surnames, use of 4-10, 5-129 Trustee in notice 4-13 Wrong claimant named in notice 4-13 - 24 [1973 ]
INDEX NOTICE OF COPYRIGHT (cont'd) Concealed Concealment or loss likely when work is placed in use Different claimants named in notice and application Dispersed elements General rule Name of claimant separated Other matters intervening Year date separated Foreign works Form prescribed Initials in As statutory element (Classes F-K) As variant form of claimant's name In manuscript form In reverse Legibility and visibility Blurred, concealed or microscopic notice Limitations or disclaimers in Effect of Preferable where part of work does not meet manufacturing requirement See also MANUI"ACTURE IN TIili UNITED STATES RefleCtIon-In the Copyright Office records of limiting statements appearing near the copyright notice Microscopic Name of claimant: variant forms Abbreviations, initials, trade names, etc. Accepted alternative designation Basis of acceptance for registration Corporate subsidiary or department "Inc. II and "Corp.", omission of Initials Minor variations Nicknames Pseudonym Trade name Necessary for all works published in the United States Nickname in On computer programs of domestic origin first pub lished in the form of machine readable tape or machine punched cards, position of the copYright notice Page 4-41 4-43 S-129, 4-26 4-33 4-33 4-34 4-34 8-8 4-8 4-8 4-20 4-41 4-44 4-41 4-44 6-13 S-127 4-41 4-20 4-20 4-23 4-19 4-18 4-20 4-n 4-23 4-23, S-89 4-20 4-5 4-23 8-125 - 25 [1973 ]
INDEX
Page
NOTICE OF COPYRIGHT (cont'd)
On detachable tag, wrapper, or container 4-42
On dust jacket of book 4-44
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
Posi tion prescribed'"
Books 4-35, 8-10, 8-13
See also CLASS A Y.LATERIAL
Classes-F~ough K, works subject
to registration in 4-39
See also COMMERCIAL PRINTS OR LABELS
-(CLASS K, FORM KK); DRAWINGS OR
PLASTIC WORKS OF A SCIENTIFIC OR
TECHNICAL CHARAC'rER (CLASS I);
MAPS (CLASS F); PHOTOGRAPHS (CLASS
J); PRINTS AND PICTORIAL ILLUS
TRATIONS (CLASS K, FORM K);
REPRODUCTIONS OF WORKS OF ART
(CLASS H); SINGLE PAGE RULE FOR
COPYRIGHT NOTICES; WORKS OF ART
(CLASS G)
Contribution to composite or collp.ctive work 4-36
Contributions to periodicals 4-38
See also CONTRIBUTIONS TO PERIODICALS
-(CLASS B, FORM BB)
Dramas and dramatico-musical compositions 4-38
See also DRAMAS AND DRAMATICO
-M'lJS'I'CAL COMPOSITIONS (CLASS D)
Motion pictures 4-40
See also MOTION PICTURES
Music- (CLASS L-M) 4-:58
~ ~ MUSIC
Periodicals (CLASS E)
4-36, 8-10, 8-13
See also PERIODICALS (CLASS B)
Pseudonym in 4-23, s-89
See also Name of claimant: variant forms
- 26 -
[19'{3]
INDEX
NOTICE OF COPYRIGHT (cont'd)
Single-page rule
See also Position prescribed
Tradename1n
See also Name of claimant: variant forms
Unpublishecrworks
Copyright notice unnecessary
Published versions, year date require
ment in notice on
Variant forms of
Year date
Earlier than date of pUblication
(antedated notice)
Form of
Later than date of publication
(postdated notice)
Unnecessary, but variance exists
See also ANNOTATION IN ANTEDATED NOTICE CASES
-w'illiRE THERE IS MORE THAN ONE YEAR DATE IN THE
NOTICE; NOTICE CONTAINING THE YEAR DATE IN
WHICH COPYRIGHT WAS SECURED PLUS AN EARLIER
DATE OR DATES NOT APPLICABLE TO THE WORK
Year date requirements
Generally
New version or "new matter"
Published version of work previously regis
tered in unpublished form
Published work
U.S. edition of work previously published
abroad
NOTICE OF INTENTION TO USE
NOTICE OF USE
Assignment of ownership, desirability of recording
Authority to file
Common misconceptions concerning
"Compulsory license"
Copyright owner's authority to file
See also Recordation requirements
Copyright-oMners hip
As prerequisite for filing of notice
Change after renewal of copyright
Joint, or in common
Transfer after recordation
- 2'{
[1973 ]
Page
4-39, s-96
4-20
4-5
4-28
4-9
4-31
4-28
4-29
4-32
4-27
4-28
4-28
4-28
4-28
13-15
13-9
13-9
13-5
13-3
13-9
13-9
13-10
13-11
13-10
INDEX NOTICE OF USE (cont'd) Date of recordation, determination of Filing of, see Recordation requirements Form U, filing of notice on See also Recordation requirements License; compulsory Notice of intention to use OwnerShip of copyright, see Copyright ownership Policy of the Copyright Office regarding Recordation, desirability of Recordation requirements Authority of person filing notice Copyrighted works only Copyright renewed after orig'nal recordation Copyright transferred after original recordation Fees prescribed Filing of notice, authorization for Form prescribed for filing notice Generally Musical compositions only New versions or "new matter" Registration of works listed in notice Ti t.Les Musical composition, identification of each Number, determination of Works recorded or licensed for recording only Requirement, statutory See also Statutory provisions Statutory-provisions "Compulsory license" Exclusive right of copyright owner Notice of intention to use, requirement of ~ ~ NOTICE OF INTENTION TO USE - 0 OBSCENE WORKS ORAL ADVISORY OPINIONS CONCERNING REGISTRABILITY - 28 Page 13-12 13-11 13-3 13-15 13-4 13-5 13-9 13-6 13-10 13-10 13-13 13-9 13-11 13-6 13-7 13-9 13-7 13-11 13-13 13-8 13-4 13-3 13-3 13-4 8-9 S-121
IND.EX ORAL DELIVERY, WORKS PREPAIlliD FOR, see WORKS PREPARED FOR ORAL DELIVERY (CLAsse) OWNER OF COPYRIGHT, see NOTICE OF COPYRIGHT: Claimant, identity o~ - P PAINTING BY HAND Manufacturing provisions inapplicable PAMPHLETS, ~ CLASS A MAT.t:RIAL PATBNT APPLICATIONS PERIODICALS (CLASS B) Contributions to See also CONTRIBUTIONS TO PERIODICALS - (CLASS B, FORM BB) Copyrieht notice: reqUirements Form prescribed Position prescribed Year date See also NOTICE OF COPYRIGHT; PLACE -o'F'P"""UBLI CAT ION Definition ~mnufacturing requirement See also MANUFACTum; IN THE UNITED STATES Regi stra tTOii'"" As prerequisite to renewal registration Recordation of document, relationship to Registration requirements Contributions to periodicals See also CONTRIBUTIONS TO PERIODICALS -(CLASS B, FORN BB) Copyright notice, see Copyright notice: requirements Daily newspapers Generally Magazines Periodicals other than daily newspapers - 29 [1973 ] Page 2-141 6-20 S-5 2-129 4-8 4-36, 8-10, 0..13 4-27 2-125 2-12::5, 6-18, 8-6 11-11 12-9 2-129 2-128, 3-15 2-124, 5-4, 5-5 2-12'( 2-127
INDEX PHONOGRAPH RECORDINGS, ~ SOUND RECORDINGS PHOTOENGRAVINGS, ~ LITHOGRAPHS AND PHOTOENGRAVINGS PHOTOGRAPHS Manufacturing provisions inapplicable See also PHOTOORAPHS (CLASS J) PHOTOORAPHS (CLASS J) Classification As books in Class A As contributions to periodicals in Class B (Form BB) Generally Composition of Copyright notice: requirements Generally Published works Form prescribed Position 2-440, Year date U.C.C. notice See also NOTICE OF COPYRIGHT Unpublished works Copyrightability Generally New matter Domestic works Foreign works Manufacturing provisions inapplicable Motion pictures unacceptable in Class J See also MOTION PICTURES (CLASSES L-M) Multiple photographs and collections See also COLLECTIONS OF WORKS, UNPUBLISHED Old photographs as basis of claim Publication of Published as printed reproductions Registration As prerequisite to renewal registration Recordation of document, relationship to Registration requirements Application form prescribed Deposit of copy or copies Fee Time limitation - 30 Page .j 6-20 2-430 2-431 2-425 2-433 2-439 2-440, 4-8 4-39, 8-10, 8-13 2-440 2-440, 2-441 , 2-442 .j 2-432 2-438 2-425 2-426 2-44'7, 6-20 2-424 2-42'( 2-43( 2-439 2-424 11-11 12-9 2-442 2-443 2-445 2-446
INDEX PHOTOGRAPHS (CLASS J) (cont t d ) Statutory provisions Subject of photograph As basis of claj~ Generally Text and compilations of photographs Unpublished collections of PHOTOGRAVURES Manufacturing provisions inapplicable PLACE OF PUBLICATION First pUblic~tion abroad Ad interim registration, works subject to See also AD INTERIM COPYRIGHT Copyrightab"ITity, effect upon Definition Effect in general Notice of copyright Ad interim registration Changes in Copyright Office policy not retroactive Evidentiary value of notice on copy or copies deposited See also COPIES DEPOSITED Form and position prescribed Later publication Name of claimant Assignment, variance necessitating recordation of See also AS3IGNMENTS AND -:RELATED DOCUMENTS; NOTICE OF COPYRIGHT General rule Two or more notices Requirements generally Territorial exclusion contained in U.C.C. requirements Registrability of later U.S. edition Registration requirements Ad interim rna terial, ~ AD INTERIM COPYRIGHT Assignment as prerequisite "Best edition" See also COPIES DEPOSITED - 31 (1973 ) Page 2-423 2-435 2-433 2-425, 2-429 s-6 6-20 8-6 8-5 8-5 8-6 8-8 8-9 8-9 8-10, 8-13 8-8 4-14, 8-12, 12-6 8-10 8-11 8-8 8-11 8-8 8-'( 8-12 8-15
--- INDEX PLACE OF PUBLICATION (cont'd) First publication abroad (cont'd) Registration requirements (cont'd) Exemptions under U.C.C. See also UNTVERSAL COPYRIGHT' CONVENTION Fee prescribed See also Waiver-of-fee option Foreign-or-5tate1ess author Generally Notice of copyright, see First pUb lication abroad, Notice of copyright Time limitations Ad interim material See also AD INTERl}l COPYRIGHT WaiveT:Of:fee option U.S. author Waiver-of-fee option Simultaneously in U.S.A. and in foreign country First publication in United States Ad interim registration unauthorized Notice of copyright necessary See also NOTICE OF COPYRIGHT Registration requirements Deposit of copy or copies See also DEPOSIT OF COPIES Fee prescr1'bed Ivlanufacture See also ~~ACTURE IN THE -uNITED STATES Waiver-of-fee option not available POSITION OF THE COPYRIGHT NOTICE ON CO~~UTER PROGRAVS OF DOMESTIC ORIGIN FIRST PUBLISHED IN THE FORIvI OF MACHINE READABLE TAPE OR MACHINE PUNCHED CARDS POSTHUMOUS WORKS Citizenship of claimant Copyright notice in name of deceased person Renewal rights in PRACTICE CONCE&'ITNG THE FEE TO BE CHARGED IN CASES PENDING IN THE COPYRIGHT OFFICE ON THE EFFECTIVE DATE OF THE FEE INCREASE [November 26, 1965] - 32 [1973 ] Page 8-H3 8-14 8-14 8-'i, 8-19 8-19 8-15 8-14 8-15 8-5 8-18 4-5 5-5 J 8-14 6-8 8-15 S-125 7-6, S-134 4-12 11-22
INDEX
Page
PRACTICES CONCERNING "RE:FERRALS"
Application Form A through M, specific
practices for 8-23
Application Form R, specific practices for S-35
Application Form U, Dpecific practices for S-35
Definition of "referral" and general policy S-21
See also CANCELLA'l'ION CASES; REQUEST FOR
-CORRECTION IN, ADDITION TO, OR CANCELLATION
OF A COMPLETED RECORD
PRACTICES: VARIANCE IN CLAlli INVOLVING FOIlliIGN
BUSTNESS ORGANIZATION TERMINOLOGY S-42
PRINTS AND LABELS, see COM.t-1ERCIAL PRINTS AND LABELS;
COMMERCIAL PRINTS OR LABELS (CLASS K, FORM YJ\)
See also PRINTS AND PICTORIAL ILLUSTRATIONS
- (CLASS K, FORM K)
PRINTS AND PICTORIAL ILLUSTRATIONS (CLASS K, FORM K)
Copyright notice: requirements
Form prescribed l~_S
Position prescribed 4.·39, 8-10, 8-13
See also NOTICE OF COPYRIGHT
Fine art,-woTks of 2-276
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, re18,tionship to 12-9
Useful articles
Attractiveness distinguished from copyright
ability 2-29'{
Embodiment of artwork in, effect of 2-286
PROPER "APPLICATION RECEIVED" DATE ON APPLICAT LONS
FOR UNPUBLISHED WORKS 8-123
PROPRIETOR OF COPYRIGHT, see NOTICE OF COPYRIGHT:
Claimant, identity of --
PSEUDONYM IN 'lm COPYRIGHT NOTICE, USE OF 4-23, 8-89
See also NOTICE OF COPYRIGHT
- 33
(1973 ]
INDEX. PUBLICATIONS OF GOVERNMENTS, COPYRIGHTABILIl'Y OR REGISTRABILITY OF Foreign governments, works of International governmental organizations, works of State and territorial governments, works of U.S. Government, works of PUBLICATIONS OF 'raE UNITED STATES GOVE~fr~N1' PUBLIC DISCLOSurn~ Exhibition of an artistic or graphic work Exhibition of motion pictures Performance, rendition, or presentation of literary, dramatic, or musical work Sound recordings, effect of sale of See also GENERAL PUBLICATION; LIMITED PUBLICATION - R RECEIPT, DATES OF, see DATES OF RECEIPT APPEARING ON Tlill APPLICA'rION ANi:i COPIES OR COPY; PROPER lIAPPLI_ CA'l'ION RECElVED lI DATE ON APPLICATIONS FOR UNPUBLISlillD WORKS See also DETERMINATION OF EFFECTIVE DATE OF REGIS -TRATION FOR UNPUBLISIlliD WORKS WHERE TID~ MATERIAL SUBNITTED FOR REGIS'l'RATION CONTAINE1J A CLBAR DISCREPANCY WHICH THE COPYRIGHT OFFICE SHOULD HAVE OBSERVED BEFORE CQl.1PL£TING THE ENTRY RECORD, REQUES'l' FOR CORRECnON IN, ADDITION TO, OR CANCELLATION OF A COMPLETED See also ASSIGM~NTS AND RELATED DOCUMENTS; ----CANCELLA~ION CASES; PRACTICES CONCERNING lIREFERRALS 11 RECORDATION, ~ ASSIGNMEN'l'S AND RELAT.t;D DOCUMENTS; NOTICE OF USE RECORDATION OF DOCUMENTS St.JBlvlI1"l':E:D BY GOVERNMENT AGENCIES WITHOUT PAYMEN'l' OF THE STATUTORY FEE RECORDINGS: PHONOGRAPH, SOlJIlID, AND TAPE See SOUND RECORDINGS - 34 [1973 ] Page S-19 S-19 s-18 8-16 s-16 3-5, 3-8 2-515, 3-9 3_'( 3-10 S-99 S-122
INDEX REFERRAL OF CERTAIN CASES INVOLVING PUBLISHED WORKS FROM THE ~~INING DIVISION TO THE COMPLIANCE SECTION, REFERENCE DIVISION I"REFERRALS," PRACTICES CONCERNING See also CANCELLATION CASES; REQUES'l' FOR -CORRECTION IN, ADDITION TO, OR CANCEU.ATION OF A COMPLETED RECORD REFLECTION IN THE; COPYRIGHT OFFICE RECORDS OF LIMITING STATEMENTS APPEARING NEAR THE COPYRIGHT NOTICE REFUNDING OF EXCESS FEES REGISTER OF COPYRIGHTS As certifYing officer See also CIffirrrFICATIONS REGISTRATION, CANCELLATION OF COPYRIGHT, see CANCELLATION CASES; PRACTICES CONCERNING "REF.b.:RRALS""";REQUEST FOR CORRECTION IN, ADDITION TO, OR CANC.E:LLATION OF A COMPLETED RECORD See also ASSIGNMENTS AND RELATED DOCUMENTS: ---Document amending Copyright Office records REGISTRATION, CERTIFICATES OF, see CERTIFICATE OF REGISTRATION -- REGISTRATION OF UNPUBLISHED WORK, DETERMINATION OF EFFECTIVE DATE WHERE ERROR viAS INVOLVED IN ORIGINAL See also CANCELLATION CASES; PRACTICES CONCERNING ---"REFERRALS"; REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A CO~~LETED RECORD RENEWAL OF COPYRIGHT Claimants: authors and their heirs Administrators Authors Children, 1'1idoW3 (or "lidm'Ters) and Executors Legatees Next-of-kin - 35 [1913 ] Page s-45 S-21 S-lZl S-98 15-7 S-50 11-18 11-16 11,..16 11-17 11-18 11-18
INDEX Page RENtWAL 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 Horks 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 Corporat'on as claimant 11-24 Employer as claimant 11-25 Periodic or cyclopedic works, renewal rights in 11-23 Posthumous works, r-enewa.L rie;hts in 11-22 Prints and labels registered in Patent Office, r enewa.L rights in 11-26 Works made for hire, r enewal rights 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 composite works 11-13 Duration of original copyright term English-language works first published abroad 11-"( 11-14 JErrors involved in, correction of Applicant responsible 12-24, S-113 Copyright Office responsible 8-35 Extension-of-time proclamations, presidential 11-12 liNe'" matter II in published version of vlorle previously regcstered in unpublished form, presumption of 11-8 Orig-inal registration, necessity of' 11-11 Posthumous works 11-22 Published works 11-( Term of copyright, duration of 11-'7 Time limitations 11-9 Unpublished works Generally 11-'( Published versions of, presumption of "new matter" contained in 11-8 REPRINT MATERIAL, CORRE3~ONDENCE IN CAGES INVOLVING 8-88 - 36 [19'13 ]
INm.:x REPRODUCTION, MECHANICAL Music Text matter REPRODUCTIONS OF WORKS OF ART (CLASS H) Copyright notice: requirements Form prescribed Position prescribed See also NOTICE OF COPYRIGHT Fine art, works of Manufacturing requirement See also MANUFACTURE IN THE UNITED STATES Registration As prerequisite to renewal registration Recordation of document, relationship to Useful articles Attractiveness distinguished from copyrightabi1ity Embodiment of artwork in, effect of REQ.UES1' FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD Duplicate registrations See also Error, responsibility for Error:-responsibility for Abandonment of copyright Applicant responsible Corrective entries As distinguished from changes after registration As distingUished from "substitute entries" Definition Duplicate registrations Processing of Published works Copies, special procedures where registration involves errors in Unauthorized publication Time limitations - 37 \.... . [1973] Page 13-3, 13-15 8-20 4-8 4-39, 8-10, 8-13 2-216 6-7,6-20,6-25 11-11 12-9 2-297 2-286 S-102, S-118ff 12-2;:>, S-102 S-114 S-113 S-113 S-118ff S-115 S-116 S-l17 S-114
INDEX IlliQUEST FOR CORRECTION IN, ADDI'l'ION TO, OR CANCELLATION OF A COMPLET~D RECORD (cont'd) Error, responsibility for (cont'd) Applicant responsible (cont t d) Duplicate registrations Generally Published works Authorized publication Unauthorized publication Unpublished works Authorized registration Unauthorized registration See also ASSIGNMENTS AND RELATED -DOCUMENTS Change after registration Copyright Office responsible See also CANCELLATION CASES; -PRACtICES CONCERNING "REFERRALS" Procedures, initial Registrations, duplicate See also Error, responsibility for See also ASSIGNNENTS AND RELA'rED DOCUMENTS; -CAnCELLATION CASES; FRAC'rrCES CONCERNING "REFERRALS" llliSTRICTBD MATERIAL, see CONFIDENTIAL MATillUAL IlliTURN OF DEPOSIT COPIES IN CASES ~I£RE NO REPLY HAS BEEN RECEIVED TO COPYRIGH'l' OFFICE CORRESPONDEHCE REVISED PROCEDURE FOR APPEAL CASES RIDERS TO APPLICATIONS ROTOGRAVUR.I;;S 14anufacturing provisions inapplicable - sd - Page S-102 s-ioi S-lOS S-lO( S-lO""( S-112 s.ioi S-lOO S-99 S-102, S-118ff s-84 S-(5 s-85 6-20 [19'(3]
INDEX - S SCULPTURE, see REPRODUCTIONS OF WORYJ3 OF' ART (CLASS HJ;WORKS OF ART (CLASS G) SERMONS , see WORKS PREPARED FOR ORAL DELIVERY (CLASS C) SINGLE APPLICATION FOR SEVERAL VERSIONS OF THE SAME WORK See also SINGLE APPLICATION SDru4ITTED FOR SEVERAL -vERSIONS OF THE SAME PUBLISHED OR UNPUBLISHED WORK SINGLE APPLICATION SUBMITTED FOR SEVERAL VERSIONS OF THE SAME PUBLISHED OR UNPUBLISHED WORK See also SINGLE APPLICATION FOR SEVERAL VERSIONS -OF THE SAME WORK SINGLE-PAGE RULE FOR COPYRIG}IT NOTICES See also NOTICE OF COPYRIGHT. SOUND RECORDINGS Deposit for purposes of registration unacceptable Musical compositions (Class E) Works prepared for oral delivery (Class C) Sale not generally regarded as publication of material recorded See also PUBLIC DISCLOSURE SOUNDTRACKS In motion pictures STANDARD REFERENCE DATA ACT CLAIMS BY THE U.S. GOVERNl--1ENT: REGISTRATION WITHOUT A FEE STATE GOVERNMENTS, REGISTRABILITY OF PUBLICATIONS OF SURNAME ONLY IN THE COPYRIGH'r NOTICE, USE OF - T TAPE RECORDINGS, ~ SOUND RECORDINGS TERRITORIAL GOVERNMENTS, COPYRIGHTABILITY OR REGISTRATILITY OF PUBLICATIONS OF TEXT MATTER, COPYRIGHTABILITY OF MECHANICAL REPRODUCTION OF - 39 [19'(3 ] Page 2-271 2-141 s-8 S-92 s-96 2-193 2-145 3-10 2-514 S-132 s-18 S-129 s-18 8-20
INDEX TRADE NAME IN THE COPYRIGHT NOTICE, USE OF See also NOTICB OF COPYRIGHT TRANSFER OF COPYRIGHT, see ASSIG~lliNT8 AND RELATED DOCUMENTS 'l'WO OR MORE VERSIONS OF THE SANE WORK, ONE APPLICATION COVERING - u - UNIT REGISTRATION FOR WORK PUBLISHED IN SEPARABLE PARTS UNIVERSAL COPYRIGHT CONVENTION Ad interim copyrights, automatic extension of subsisting See also AD INTER]}1 COPYRIGHT Exemption-rrQm compliance provisions of the statute under Exemption from manufacturing requirement under See also ~~ACTURE IN THE UNITED 8TATES Foreign workS protected under Parties to Exemptions granted Citizenship status as basis of See also CITIZENSHIP AND DO~CILE -OF AUTHOR Place of publication as basis of See also PLACE OF PUBLICATION UNPUBLISHED COLLECTIONS UNPUBLISHED WORKS Copyright notice unnecessary See also Published versions Copyright, renewal of Deposit requirements See also DEPOSIT OF COPIES Errors in registration, correction of Applicant responsible See also ASSIGID1ENTS AND-RELATED -DOCUMENTS _ 40 _ Page 4-20 8-8, S-92 s-8, S-92 8-23 8-14 6-6, 8-18 7-3, 7-"1, 8-5 6-6 0..5 s-6 4-5 11-7 5-5 8-107, S-112 [1973 ]
INDEX UNPUBLISHED WORKS (cont' d) Errors in registration, correction of (cont'd) Copyright Office responsible Date of registration, determination of effective Generally See also CANCELLATION CASES; PRACTICES -C'ONCERNING "REFERRALS II Generally See also REQUEST FOR CORRECTION IN, -ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD Notice of copyright unnecessary See also Published versions Published""'Versions of Copyright notice Necessity of Year date appearing in Renewal of copyright in USE, NOTICES OF, ~ NOTICE OF USE USE OF PSEUDONYMS IN THE COPYRIGHT NOTICE \'-.:" See ~ NOTICE OF COPYRIGHT - W WIDOWS OR WIDOWERS, COPYRIGHT RENEWAL RIGHTS OF WOOD CUTS Manufacturing provisions inapplicable WORKS NOT REPRODUCED FOR SALE, ~ UNPUBLISHED WORKS WORKS OF ART (CLASS G) Classification As contributions to books or periodicals As multi-page works By purpose, function or use Generally - 41 (1973] Page S-50 S-lOO 12-24 4-5 s-89 11-16 6-20 2-280 2-2'77 2-286 2_2'(5
INDEX WORKS OF ART (CLASS G) (cont'd) Copyright notice: requirements Published works Form prescribed Position prescribed See also NOTICE OF COPYRIGHT Copyrighta'bITity Pictorial or graphic material Revisions and new matter Sculptural material Utilitarian articles Lace, deposit of copies as published Manufacturing requirement See also MANUFACTURE IN THE UNITED STATES Multi-pageworks Generally Separate registration for individual work of art appearing in Pictorial or graphic material As contributions to books or periodicals Copyrightable subject matter Generally Minimal standards Unpublished collections of See also COLLECTIONS OF WORKS, UNPUBLISHED Purpose, function, or use for which the material is designed as affecting classification See also Utilitarian articles Registration As prerequisite to renewal registration Recordation of document, relationship to Sculptural material Copyrightable subject matter Generally Minimal standards Generally Single-page works Folders, fOld-outs, or the like Generally Text, see Works of art and text combined Textiles, deposit of copies as published Three-dimensional works Unpublished collections of - 42 [1973] Page 4-8 4-39, 8-10, 8-13 2-287 2-295 2-290 2-285, 2-297 2-298 6-7, 6-20, 6-25 2-277 2-280 2-280 2-273, 2-287 2-288 2-280 J 2-286 11-11 12-9 2-273, 2-290 2-291 2-284 2-276 2-275 2-298 2-284 s-6
IND WORKS OF ART (CLASS G) (cont' d) Utilitarian articles As works of art Copyrightability Attractiveness of design Availability of protection under design patent law Works of art and text combined WORKS PREPARED FOR ORAL DELIVERY (CLASS C) Copyright notice unnecessary Definition of Registration As prerequisite to renewal registration Recordation of document, relationship to Registration requirements Deposit of copy Generally Sound recordings unacceptable Textual manuscript required Non-dramatic textual works only Sound recordings unacceptable as copy of material reproduced on them \., -.' .I Unpublished works only WRITINGS OF AN AUTHOR, see topic headings under Chapter 2 -- - 43 ~.~~' [1913] Page 2-285 2-2CJr 2-298 2-2'14, 2-283 2-144 2-143 11-11 12-9 5-5 2-145 2-145 2-144 2-145 2-144
18 printed pages contain little extracted OCR body text; searchable legal-body completeness has not been established for those pages.
OCR transcription for search; preserved printed pages are authoritative
Copyright Office
Library of Congress
Washington, D. C. 20559
COMPENDIUM OF COPYRIGHT OFFICE
PRACTICES
1973 Revisions
INSTRUCTIONS :
The attached revised pages are replacements
for those in the Compendium having corre-
sponding numbers, or additional pages to
be placed in appropriate numerical sequence.
Each of the attached pages is marked with
the identifying date of this revision,
thus: [1973]
Particular attention is called to the following new
additions to Chapter 2:
# Part 2.8 WORKS OF ART (CLASS G)
Part 2.11 PHOTOGRAPHS (CLASS J)
<!-- PageBreak -->
☒
# 1973 Revisions (continued)
List of replacement and new pages :
Title page
Foreword (iii)
Preface (iv)
Table of contents (v and vi)
2-121 through 2-130 (replaces pages 2-1 through 2-10)
2-141 through 2-150 (replaces pages 2-11 through 2-20)
2-181 through 2-201 (replaces pages 2-21 through 2-42)
2-271 through 2-299
2-421 through 2-447
2-571 through 2-580 (replaces pages 2-43 through 2-52)
3-1
3-2
3-9
3-10
4-9
4-10
5-13
5-14
7-5
7-6
12-5
12-6
12-9
12-10
S-1
S-1A
S-1B
S-2
S-11 through S-16
S-19
S-19a
S-52 through S-73
S-98
S-99
S-128 through S-135
INDEX (Pages 1 through 43)
☒
☒
)
<!-- PageBreak -->
L
2
"
COMPENDIUM
of
COPYRIGHT OFFICE PRACTICES
(As of July 1, 1973)
\-
\-
<!-- PageBreak -->
)
☒
<!-- PageBreak -->
# Compendium of Copyright Office Practices
## FOREWORD
The Copyright Office has made available to the
public its administrative staff manual known as the
"Compendium of Copyright Office Practices." This step was
taken pursuant to the Freedom of Information Act (5 U.S.C.
§ 552). Accordingly, the Regulations of the Copyright
Office [37 C.F.R., ch. II (24 F.R. 4955)] were amended,
effective July 4, 1967, to provide in Section 201.2(b)(3) :
The Copyright Office maintains an administrative
staff manual referred to as its "Compendium of
Office Practices," and an index to the manual,
for the general guidance of its staff in making
registrations and recording documents. The
manual and index, as amended and supplemented
from time to time, are available in the Copyright
Office for public inspection and copying.
Although previously available for inspection and
copying, it was not until the July 1970 edition that the
Compendium was published through the Superintendent of
Documents of the Government Printing Office.
The Compendium has not yet been completed and does
not cover all aspects of Copyright Office work. Additional
portions will be issued as they are completed, and amendments
and supplements will be issued from time to time. These
changes will be published in the form of additional or
replacement pages of this looseleaf publication.
REGISTER OF COPYRIGHTS
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
# 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, further additions, deletions, and other
changes will be made from time to time. The Copyright
Office will maintain a separate record of all material
withdrawn from this volume as superseded.
<!-- PageFooter="[].973]" -->
<!-- PageBreak -->
C
# TABLE OF CONTENTS for COMPENDIUM OF COPYRIGHT OFFICE PRACTICES
Page
Preface
iii
Chapter 1
* Basic policies
Chapter 2
. Copyrightable Matter
* 2.1
In general
* 2.2 Class A
2.3
Class B (including BB)
2-121
2.4
Class C
2-141
* 2.5 Class D
2.6 Class E
2-181
* 2.7
Class F
2.8
Class G
2-271
* 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. )
V
[1973]
<!-- PageBreak -->
## Table of Contents (continued)
Page
Chapter
2 Copyrightable Matter (continued)
2.11 Class J
2.421
* 2.12 Class K (except KK)
* 2.13 Class K (KK)
2.14 Classes L and M
2-571
* 2.15 Class N
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
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 2" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
## 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
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
1
<!-- PageBreak -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
<!-- 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.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 2.3 2.3.1" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
#### 2.3.1 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.
<!-- PageBreak -->
<!-- PageHeader="Ch. 2.3 2.3.1" -->
<!-- PageHeader="2-125" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
#### 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
[1973]
<!-- PageBreak -->
<!-- PageHeader="Ch. 2.3 2.3.2" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
###### 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.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 2.3 2.3.2" -->
<!-- PageHeader="2-127" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
###### 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)
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
###### [. 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.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 2.3 2.3.3" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
###### 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.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 2.3 2.3.3" -->
<!-- PageHeader="2-129" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
###### 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.
[1973]
<!-- PageBreak -->
<!-- PageHeader="Ch. 2.3 2.3.4" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
#### 2.3.4 Contributions to Periodicals (cont'd)
##### 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).
###### End of Part 2.3.
Pages 2-131 through 2-140 reserved for future use.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
<!-- PageHeader="Ch. 2" -->
# 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
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageBreak -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
<!-- 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
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 2.4 2.4.2" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
#### 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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###### 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.
8\. 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 iten
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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###### 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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###### 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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###### 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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###### 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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###### 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.
End of Part 2.4.
Pages 2-151 through 2-180 reserved for future use.
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# 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 nocessary
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
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☒
☒
☒
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## 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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#### 2.6.1 What are musical compositions. (cont'd)
### II. Evaluation of musical content. (cont'd)
a. (cont'd)
Examples:
etc ...
etc ...
@@#
CFA GD
I love Mc-lin- da
Your last kiss left
FADC
Her love is true.
me so sad and blue.
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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#### 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 muinical subject,
with brief musical 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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###### 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 manu-
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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##### 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
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##### 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.
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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. (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.
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#### 2.6.1 What are musical compositions. (cont'd)
##### IV. Books of music. (cont'd)
###### b. Books of existing music with new matter. (cont a)
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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COPYRIGHT
OFFICE
PRACTICES
###### 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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###### 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:
afgadet
ececd-
Your eyes and limpia + your
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.
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###### 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
Take my lips ... take
o
0
O
my arms , I'm a
o
٥
o
0
victim of your charms
0
0
0
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.)
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###### 2.6.2 Nature and completeness of copies deposited. (cont'd)
###### III. Completeness of copies deposited. (cont'd)
###### 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.
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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.
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#### 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
[1973]
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## 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 4; 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.
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## 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 permission.
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
c. 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
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### 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.
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## 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
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## 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 hl
End of Part 2.6.
Pages 2-202 through 2-270 reserved for future use.
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☒
☒
☒
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# Chapter 2
## Copyrightable Matter
### Part 2.8 WORKS OF ART (CLASS G)
Outline of Topics
#### 2.8.1 IN GENERAL
I.
Copyrightable matter subject to registration
in Class G
a. Constituent elements
b. Forms of embodiment
#### 2.8.2 CLASSIFICATION OF WORKS OF ART
##### I. Nature of the material
a.
Single-page works
b.
Folders and the like
c.
Multi-page works
d.
Contributions to "books" or "periodicals"
e. Work of art and text combined
f.
Three-dimensional works
g.
Utilitarian articles
II.
Purpose, function, or use for which the
material is designed
a. Drawings or plastic works of a scien-
tific or technical character
b. Commercial prints or labels
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#### 2.8.3 REGISTRATION REQUIREMENTS
##### I. Copyrightable subject-matter
a.
Pictorial or graphic material
b.
Sculptural material
c.
New matter
d.
Utilitarian articles
##### II. Formalities of registration
a. Deposit of copy or copies
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## Chapter 2 COPYRIGHTABLE MATTER Part 2.8
## WORKS OF ART (CLASS G)
### 2.8.1 In general
#### I. Copyrightable matter subject to registration in Class G
##### a. Constituent elements
1\. Pictorial or graphic material.
Class G is appropriate for the
registration of published and unpub-
lished pictorial or graphic works
containing original authorship of a
copyrightable nature, such as, for
example, paintings, drawings,
etchings, engravings, and two-
dimensional abstract or representa-
tional designs.
2\. Sculptural material. Class G is
appropriate for the registration
of published and unpublished three-
dimensional sculptural works
containing original authorship of a
copyrightable nature, such as, for
example, statuary, carving in relief,
and three-dimensional abstract or
representational designs.
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### 2.8.1 In general (cont'd)
#### I. Copyrightable matter subject to registration in Class G (cont'd)
##### a. Constituent elements (cont'd)
3\. Text. Class G is not appropriate for
works which are primarily textual,
although the presence of captions and
incidental text in a work which is
primarily pictorial, graphic, or
sculptural will not prevent registra-
tion in Class G.
b. Forms of embodiment. Copyrightable
graphic, pictorial, or sculptural
material capable of supporting registra-
tion in Class G may be embodied in a
variety of forms, including both orna-
mental and useful articles.
1\. Ornamental articles. This category
includes all decorative articles de-
signed primarily to beautify, em-
bellish, or adorn, such as, for
example, drawings, paintings, carvings,
statuary, wall plaques, murals,
ceramic figurines, tapestries, scenic
wallpaper, mosaics, stained glass,
jewelry, artificial flowers, dolls,
and toy animals.
2\. Useful articles. This category in-
cludes all articles designed primar-
ily to serve a utilitarian function,
such as, for example, lamps and
lighting fixtures, ceramic tiles,
china and glassware, textile fabrics,
lace, and ashtrays. (See topics
2.8.2.II and 2.8.3. I.d. )
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### 2.8.2 Classification of works of art
#### I. Nature of the material
a. Single-page works. A single-page work
of art is one whose content appears on
one or both sides of a leaf, sheet, or
their equivalent. A painting on canvas,
board, or the like, may be considered a
single-page work for purposes of classi-
fication.
1\. Pictorial or graphic material.
Class G is the appropriate category
for the registration of all individ-
ual pictorial or graphic works of
art, in either published or unpub-
lished form.
(a) Class H. If the copyright
claim is based only upon a pub-
lished reproduction of an
existing work of art and does
not extend to the underlying
work reproduced, Class H is the
more appropriate category for
registration. (See Part 2.9.)
(b) Class I. If the pictorial or
graphic material is designed for
a scientific or technical use,
such as a mechanical drawing,
registration in Class I is more
appropriate. (See Part 2.10.)
However, if the work is primarily
aesthetic in its appeal or in
the effect it produces, as for
example, a drawing depicting the
exterior of a building in per-
spective with trees and shrubbery,
registration in Class G may not
be inappropriate.
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### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd)
#### a. Single-page works (cont'd)
1\. Pictorial or graphic material (cont'd)
(c) Class K. If the copyright claim
is based only upon a published
reproduction of a work which is
not a work of fine art, regis-
tration in Class K on Form K is
appropriate. (See Part 2.12.)
b. Folders and the like. A published
pictorial or graphic folder, leaflet, or
the like, which opens out so as to form
a single sheet, is considered a single-
page work for purposes of classification.
Thus, for example: twelve color repro-
ductions of original paintings appearing
on the twelve faces of an accordion-like
folder published by the museum in which
the paintings are exhibited.
1\. Single pictorial or graphic work of
art on more than one page. A pub-
lished single pictorial or graphic
work of art whose content extends
continuously across two or more
pages may be considered a single-
page work for purposes of classifi-
cation, as for example: an original
engraving of costumed figures in
procession reproduced across the
three faces or folds of a triptych-
like greeting card.
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### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd)
c. Multi-page works. A multi-page work of
art is one whose content appears on two
or more pages, sheets, or their equivalent.
1\. Published pictorial or graphic ma-
terial. Class A is generally appro-
priate for the registration of claims
to copyright in published multi-page
collections and compilations of
pictorial or graphic works of art
which have been published together
as a unit and are identified by a
common title, such as, for example :
a portfolio of twenty original paint-
ings selected by the artist from his
own previously unpublished work and
reproduced in color with a textual
introduction. NOTE: A single regis-
tration in Class G may also be appro-
priate in cases where the copyright
claim is based essentially upon
original artwork, such as, a set of
original watercolor prints published
in a portfolio without any apprecia-
ble amount of text.
(a) Copyright notice insufficient
for Class A. If a multi-page
pictorial or graphic work of art
has been published with a copy-
right notice which fails to
satisfy the notice requirements
prescribed by the law for
"books," registration in Class A
will not be possible. Neverthe-
less, if such a work bears a
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### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd)
#### c. Multi-page works (cont'd)
##### 1. Published pictorial or graphic ma- terial (cont'd)
##### (a) Copyright notice insufficient for Class A (cont'd)
notice which satisfies the
requirements of the law pre-
scribed for material registrable
in Classes F through K, regis-
tration may be made on that
basis under the rule of doubt.
The following procedures apply:
(1)
Application Form A re-
ceived. If an application
has been submitted on
Form A, registration in
Class A will be rejected.
In such a case, the Office
may offer a single regis-
tration in Class G on
Form G on the basis of the
pictorial or graphic mater-
ial which the work contains,
informing the applicant of
the doubtful nature of the
registration.
(2)
Application Form G re-
ceived. If an application
has been submitted on
Form G, registration in
Class G may be considered
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### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd) c. Multi-page works (cont'd)
#### 1. Published pictorial or graphic material (cont'd)
##### (a) Copyright notice insufficient for Class A (cont 'd)
###### (2) Application Form G received (cont'd)
on the basis of the picto-
rial or graphic material
which the work contains.
In such case, the Office
will inform the applicant
of the doubtful nature of
the registration.
(3)
No application received.
If no application has been
received, or if an opinion
is requested, the Office
will point out to the appli-
cant why registration in
Class A is not possible.
In such a case, the Office
may offer a single registra-
tion in Class G on Form G
on the basis of the picto-
rial or graphic material
which the work contains, in-
forming the applicant of the
doubtful nature of the reg-
istration.
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##### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd)
#### c. . Multi-page works (cont'd)
##### 1. Published pictorial or graphic material (cont 'd)
(b)
separate registration of indi-
vidual work of art. The mere
fact that two or more pictorial
or graphic works of art have
been published together in multi-
page form and are identified by
a common title will not prevent
the separate registration on
Form G of individual pictorial
or graphic works of art which
bear a separate copyright
notice.
2\.
Unpublished pictorial or graphic
material. A collection of unpub-
lished pictorial or graphic works of
art which are the subject of a
single claim of copyright may be con-
sidered for registration together as
a unit in Class G on Form G, provided
the pictorial or graphic material con-
stitutes a single work of common
authorship which can be identified
as a whole by a single title.
d. Contributions to "books" or "periodi-
cals. "An original pictorial or graphic
work of art first published in the form
of a contribution to a "book," newspaper,
magazine, or other "periodical," may be
considered for registration in Class G,
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###### 2.8.2 Classification of works of art (cont'd)
##### I. Nature of the material (cont'd)
###### d. Contributions to "books" or "periodi- cals" (cont d)
provided the contribution contains its
own separate copyright notice. However,
if the contribution includes a substantial
amount of text, or consists of many
pictorial or graphic works of art, a
single registration in either Class A or
in Class B may be more appropriate,
depending upon the form of publication.
1\. Class A. A single registration in
Class A is appropriate for a work
which contains text or other "book"
material and was first published in
the form of a contribution to a
"book," subject to the requirements
explained in Part 2.2; see also
topic 2.8.2. I.c.l.
###### Example :
Included as a part of a pub-
lished educational kit for ele-
mentary school children is a set
of ten reproductions of original
watercolor paintings never pre-
viously published which depict
the colonial architecture of New
England. Each reproduction bears
a copyright notice acceptable
for "book" material, together
with three or four paragraphs of
textual commentary on the parti-
cular subject depicted. Practice :
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### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd)
##### d. Contributions to "books" or "periodicals" (cont 'd)
###### 1. Class A (cont'd) Example (cont'd)
The set of ten reproductions
may be accepted for a single
registration in Class A on
Form A as a contribution to a
"book." However, if the appli-
cant insists on Class G, a
single registration may be made
on Form G.
2\. Class B. A single registration in
Class B on Form BB is appropriate for
a work which contains text or other
"book" material and was first published
in the form of a "contribution to a
periodical," subject to the require-
ments explained in Section 2.3.4.
However, even if the contribution is
wholly pictorial or graphic, regis-
tration may be considered either on
Form BB or in Class G on Form G,
depending upon the applicant's choice.
Example :
An eight-page supplement to the
Sunday edition of a newspaper
is devoted entirely to an auto-
biographical article by a local
artist, several of whose original
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### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd)
##### d. Contributions to "books" or "periodi" cals (cont'd)
###### 2. Class B (cont'd) Example (cont'd)
paintings are reproduced in color
and published for the first time
in the supplement. A copyright
notice acceptable for a "con-
tribution to a periodical"
appears on the front page of the
supplement. Practice: The sup-
plement may be accepted for a
single registration in Class B
on Form BB as a"contribution to
a periodical." However, if the
applicant insists on Class G, a
single registration may be made
on Form G, even though the extent
of protection given to the text-
ual material by such registration
is doubtful.
e. Work of art and text combined. The
presence of captions and incidental text
in a work of art will not prevent regis-
tration in Class G. However, if the
copyrightable contents of a work which is
pictorial, graphic, or sculptural in
form are entirely textual, registration
in Class G is not authorized.
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### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd)
##### e. Work of art and text combined (cont'd)
1\. Published works. If the textual mate-
rial in a work predominates, or if the
principal copyrightable element is
textual, registration in Class A may
be more appropriate (See Part 2.2),
or, under certain circumstances, in
Class B on Form BB (See topics
2.3.4. II and 2.8.2. I.d.)
2\. Unpublished works. If the textual
material is substantial and it
appears that copyright is being
claimed in both text and the work of
art, the claim should not be regis-
tered, until the scope of registration
in Class G has been explained to the
applicant. Generally, unpublished
textual material (except captions and
incidental text) should be separated
from the copy deposited, wherever
possible, and returned to the appli-
cant. Unpublished textual material
is ordinarily not entitled to copy-
right registration. However, works
prepared for oral delivery and dramas
are exceptions. (See Parts 2.4 and 2.5.)
f. Three-dimensional works. Class G is the
appropriate category for the registration
of claims to copyright in both published
and unpublished three-dimensional works
of art containing a substantial amount of
original sculpture. Copyrightable sculp-
ture includes statuary, abstract and
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### 2.8.2 Classification of works of art (cont'd)
#### I. Nature of the material (cont'd)
##### f. Three-dimensional works (cont'd)
representational carvings, bas-relief,
and the like, which are commonly exe-
cuted in hard material such as marble,
bronze, glass, or wood. Sculptural
authorship may also be embodied in works
which are shaped, cast, or molded, such
as, for example, a ceramic figurine, a
plaster of Paris plaque in bas-relief,
or a "plastic" toy formed from one of the
commonly known synthetic chemical deriva-
tives such as styrenes, vinyl compounds,
or acrylic resins. Sculptural authorship
may also be embodied in other materials
such as, for example: a molded chocolate
rabbit, a stuffed toy doll, or a floral
design decorating a cake. However, a
work may be three-dimensional in form and
yet lack authorship of a sculptural nature.
Thus, a work consisting of two-dimensional
pictorial prints reproduced on separate
pieces of cardboard which are interlocked
at right angles with one another so as to
produce an illusion of depth would not be
considered sculpture in the copyright
sense. (See also topic 2.8.3. I.)
g. Utilitarian articles. Class G is appro-
priate for the registration of a copy-
rightable work of art, even though it is
embodied in an article of utility. (See
also topic 2.8.2. II. ) Regardless of
utility or commercial value, any work
must contain sufficient copyrightable
matter to support registration. (See
topic 2.8.3. I.d. )
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###### 2.8.2 Classification of works of art (cont'd)
II.
Purpose, function, or use for which the
material is designed. Generally, registra-
tion may be made in Class G regardless of the
purpose, function, or use for which a work of
art is intended. Thus, for example, regis-
trability would not be affected by the fact
that (1) a painting is to be used as decora-
tion on metal serving trays, or (2) a hand-
carved bracket is to be used as a wall
shelf. (See also topic 2.8.2. I.g. )
a. Drawings or plastic works of a scientific
or technical character. Class I is the
appropriate category for the registration
of claims to copyright in published and
unpublished pictorial, graphic, or
sculptural material that is designed for
a scientific or technical use, such as a
mechanical drawing or an anatomical
model. (See Part 2.10.)
b. Commercial prints or labels. If a work
of art has been published in connection
with the sale or advertisement of an
article or articles of merchandise,
registration in Class K on Form KK is
appropriate. For example, registration
on Form KK would be appropriate for a
painting reproduced and first published
on the cover of a candy box, or a carved
lion's head intended for promotional dis-
play in connection with the sale or
advertisement of imported beer. However,
if the principal copyrightable element is
sculptural, Class G may be the appropriate
category for registration. (See
topic 2.13.2. II.e.l.)
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### 2.8.3 Registration requirements
I.
Copyrightable subject-matter. To be entitled
to copyright protection, a work of art must
contain an appreciable amount of original
pictorial, graphic, or sculptural material.
If a work of art consists entirely of uncopy-
rightable elements, registration is not
authorized. On the other hand, the mere
presence of uncopyrightable elements in a
work will not prevent registration on the
basis of features susceptible of protection
under the statute. Thus, an abstract design
may be registrable even though it incorpor-
ates uncopyrightable standard geometric
forms, such as circles and squares. The
copyrightability of a work of art does not
depend upon artistic merit or aesthetic
evaluation. For example, a child's drawing
may exhibit a very low level of draftsman-
ship as judged by adult standards and yet be
entitled to registration as a work of art.
Similarly, it is not necessary that a work of
art adhere to established aesthetic criteria.
Hence, the form of a copyrightable work of
art may be representational or abstract,
naturalistic or stylized. It may express a
traditional theme in a conventional manner,
or it may rely for its effect upon fantastic
or incongruous imagery and unnatural juxta-
positions or combinations. Regardless of
form, however, nothing is entitled to statu-
tory protection as a work of art unless it
can be considered the "writing of an author"
within the meaning of the United States
Constitution and the Statute.
a. Pictorial or graphic material. Class G
is appropriate for the registration of
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### 2.8.3 Registration requirements (cont'd)
#### I. Copyrightable subject-matter (cont'd)
##### a. Pictorial or graphic material (cont'd)
original pictorial or graphic material
which embodies creative authorship in
its pattern, form, shape, or configura-
tion. Creative authorship may be
expressed in the linear contours of a
drawing, the brush marks or strokes
characteristic of a painting, the
assemblage of diverse fragments compris-
ing a collage, the arrangement and
juxtaposition of pieces of colored stone
in a mosaic portrait, or the pattern of
an abstract design executed in marquetry.
Visual representation is always basic,
regardless of the form in which a work
is presented.
1\. Minimal standards. A certain minimal
amount of original creative author-
ship is essential for registration in
Class G or in any other class. Copy-
rightability depends upon the presence
of creative expression in a work, and
not upon aesthetic merit, commercial
appeal, or symbolic value. Thus, reg-
istration cannot be based upon the
simplicity of standard ornamentation
such as chevron stripes, the attract-
iveness of a conventional fleur-de-
lys design, or the religious signifi-
cance of a Greek cross. Similarly,
it is not possible to copyright com-
mon geometric figures or shapes such
as the hexagon or the ellipse, a
standard symbol such as an arrow or
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<!-- PageHeader="Ch. 2.8 2.8.3" -->
### 2.8.3 Registration requirements (cont'd)
#### I. Copyrightable subject-matter (cont'd)
##### a. Pictorial or graphic material (cont'd)
###### 1. Minimal standards (cont'd)
a five-pointed star. Likewise, mere
coloration cannot support a copyright
even though it may enhance the
aesthetic appeal or commercial value
of a work. For example, it is not
possible to copyright a new version
of a textile design merely because
the colors of red and blue appearing
in the design have been replaced by
green and yellow, respectively. The
same is true of a simple combination
of two or three standard symbols such
as a circle, a star, and a triangle,
with minor linear or spatial
variations.
Examples :
(a) An unpublished design for textile
fabric is submitted for registra-
tion in Class G. The design con-
sists of a standard unembellished
character of Chinese calligraphy
painted upon horizontally
striated grass cloth. Practice:
Registration is not authorized
in this case. Like typography,
calligraphy is not copyrightable
as such, notwithstanding the
effect achieved by calligraphic
brush strokes across a striated
surface.
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<!-- PageHeader="Ch. 2.8 2.8.3" -->
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###### 2.8.3 Registration requirements (cont'd)
#### I. Copyrightable subject-matter (cont'd)
#### a. Pictorial or graphic material (cont'd)
##### 1. Minimal standards (cont'd) Examples (cont'd)
(b) An applicant for registration
has developed a novelty item
consisting of transparently clear
plastic sheets bonded together
around their periphery, and hav-
ing a small amount of colored
liquid petroleum in the air
space between the laminated
sheets. Any slight pressure up-
on the external surface results
in the formation of undulating
patterns and shapes, no two of
which are ever identical. Prac-
tice: Since the specific out-
lines and contours of the
patterns and shapes formed by
the liquid petroleum do not owe
their origin to a human agent,
it is not possible to claim copy-
right in such patterns and shapes.
The novelty of the idea embodied
in the work and the effects
achieved by the action of the
petroleum under pressure like-
wise do not warrant registration.
b. Sculptural material. Class G is appro-
priate for the registration of original
sculpture which embodies creative author-
ship expressed in three-dimensional form
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<!-- PageHeader="Ch. 2.8 2.8.3" -->
### 2.8.3 Registration requirements (cont'd)
#### I. Copyrightable subject-matter (cont'd)
##### b. Sculptural material (cont'd)
by means of carving, casting, cutting,
molding, shaping, or otherwise processing
plastic or hard materials. Creative
sculptural authorship may be expressed
in the form, or the peripheral outline
of whatever has been given a three-
dimensional form or shape.
1\. Minimal standards. The requisite
minimal amount of original sculptural
authorship necessary for registration
in Class G does not depend upon the
aesthetic merit, commercial appeal,
or symbolic value of a work. Copy-
rightability is based upon the
creative expression of the author,
that is, the manner or way in which
he forms or fashions his material.
Thus, registration cannot be based
upon standard designs which lack
originality, such as common architec-
tural moldings, or the volute used to
decorate the capitals of Ionic and
Corinthian columns. Similarly, it is
not possible to copyright common
geometric figures or shapes in three-
dimensional form, such as the cone,
cube, or sphere. The mere fact that
a work of sculpture embodies uncopy-
rightable elements, such as standard
forms of ornamentation or embellish-
ment, will not prevent registration.
However, the creative expression
capable of supporting copyright must
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### 2.8.3 Registration requirements (cont'd)
#### I. Copyrightable subject-matter (cont'd) b. Sculptural material (cont'd)
##### 1. Minimal standards (cont'd)
consist of something more than the
mere bringing together of two or
three standard forms or shapes with
minor linear or spatial variations.
In no event can registration rest
solely upon the fact that an idea,
method, plan, or system has been
successfully communicated in three-
dimensional form. In every case, it
is the creative expression of the
author which must be able to stand
alone as an independent work apart
from the general idea which informs
it.
##### Examples :
(a) Registration in Class G is re-
quested for a design or model of
a table lamp. Cast in plaster
of Paris, the design features
the head of a horse mounted on
an iron horseshoe with toe and
heel calks which supports the
entire fixture. Electrical
wiring is concealed within the
plaster casting. Practice: If
the head of the horse is original,
registration may be considered on
that basis. However, the general
idea of embellishing a lighting
fixture with a work of art is
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<!-- PageHeader="Ch. 2.8 2.8.3" -->
### 2.8.3 Registration requirements (cont'd)
#### I. Copyrightable subject-matter (cont'd)
##### b. Sculptural material (cont'd)
###### 1. Minimal standards (cont'd) Examples (cont'd)
(a) (cont'd)
not copyrightable. The same is
true of the decorative idea of
using a horseshoe as support for
a lamp base, regardless of the
pleasing effect thereby achieved.
(b)
A toy manufacturer conceives a
novel idea for a toy consisting
of multi-colored geometrical
spheres, cubes, and cylinders of
varying sizes. All of these
parts or pieces are magnetized,
and will adhere to each other
when placed in close proximity.
Thus, it is possible to con-
struct an indefinite variety of
shapes and figures by means of
the magnetized parts or pieces.
The manufacturer desires to pro-
tect the three-dimensional
aspects of the toy before publi-
cation occurs. He applies to
the Copyright Office for regis-
tration of a design for an un-
published sculptural work of art.
His application Form G is accom-
panied by one complete set of
magnetized spheres, cubes, and
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###### 2.8.3 Registration requirements (cont'd)
###### I. Copyrightable subject-matter (cont'd)
###### b. Sculptural material (cont'd)
###### 1. Minimal standards (cont'd) Examples (cont'd)
(b) (Cont'd)
cylinders arranged in a plain
box according to size and color.
Practice: We will refuse a reg-
istration in Class G based solely
upon the unassembled toy, even
though its component parts or
pieces are potentially capable
of being arranged in copyright-
able shapes and forms. The
general idea of the toy is, of
course, uncopyrightable, regard-
less of its novelty or uniqueness.
(c)
A work described as a "mobile"
consists of nine pieces of trans-
lucent colored glass each of
which is suspended by wire from
an overhead rack designed to
rotate about a pivot in a hori-
zontal plane. The suspension
wires vary in length and no two
pieces of glass share the same
shape or outline. Registration
is sought in Class G on the
basis of the overall effect pro-
duced by the playof light upon
the suspended glass components
of a work which the applicant
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<!-- PageHeader="Ch. 2.8 2.8.3" -->
###### 8.3 Registration requirements (cont'd)
###### I. Copyrightable subject-matter (cont'd)
###### b. Sculptural material (cont'd)
1\. Minimal standards (cont'd)
Examples (cont'd)
(c) (cont'd)
describes as "three-dimensional."
No copyrightable authorship is
claimed in the design of the
individual pieces of glass.
Practice: Registration based up-
on the cumulative effect produced
by the component members of the
mobile will be refused. If
these members had contained copy-
rightable authorship, registra-
tion could have been considered
on the basis of the two-
dimensional design features dis-
played by the pieces of glass.
c. New matter. If a work of art which has
been previously published or previously
registered in unpublished form contains
new pictorial, graphic, or sculptural
material, registration based upon such
material may be made in Class G, provided
the "new matter" is original and copy-
rightable in itself.
Examples :
(1) A pencil drawing of an old man's head
has been registered as an unpublished
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###### 2.8.3 Registration requirements (cont'd)
###### I. Copyrightable subject-matter (cont'd)
###### c. New matter (cont'd) Examples (cont'd)
###### (1) (Cont'd)
drawing. Another version of the same
work is subsequently submitted for
registration. The later version
incorporates the earlier drawing with
the addition of new pictorial matter
showing the arms and torso. Practice:
The later version is entitled to reg-
istration on the basis of additional
pictorial matter.
(2) A statuette depicting a costumed
female dancer was originally pub-
lished in clear white porcelain.
Later, a color version was produced
with much hand-painted detail such
as the facial features and decorative
embroidery designs appearing on the
figure's clothing. Practice: The
painting embodied in the color ver-
sion would support an additional
registration. However, a mere change
in coloration apart from any original
artwork would not support registration,
such as, a change in the color com-
bination of the dancer's skirt from
blue and gold to red and yellow.
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<!-- PageHeader="Ch. 2.8 2.8.3" -->
###### 2.8.3 Registration requirements (cont'd)
###### I. Copyrightable subject-matter (cont'd)
d. Utilitarian articles. The copyrightabil-
ity of a work of art is not affected by
the fact that the work may also embody
utilitarian features, or that it may it-
self be embodied in an article of utility.
In all cases, registration must be based
upon those copyrightable features such
as artistic sculpture, carving, or pic-
torial representation which can be
identified separately and are capable of
existing independently as a work of art,
as for example: (1) a statuette used as
a base for a table lamp, (2) an original
painting reproduced on a porcelain
dinner plate, (3) a sculptured figure
used as a handle for a letter opener,
(4) an artistic design reproduced on
textile fabric, or (5) a stained glass
window.
1\. Attractiveness of design, The mere
fact that an article of utility is
novel, unique, and attractively
designed does not warrant its regis-
tration as a "work of art." Thus,
where design is dictated by utilitar-
ian requirements rather than aesthetic
considerations, it cannot provide a
sufficient basis for registration.
Examples of useful articles whose
design is generally dictated by
function rather than aesthetic con-
siderations include the following:
(1) automotive bodies and parts,
2\) marine hulls, (3) stoves,
toasters, vacuum cleaners and other
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###### 2.8.3 Registration requirements (cont'd)
###### I. Copyrightable subject-matter (cont'd)
###### d. Utilitarian articles (cont'd)
###### 1. Attractiveness of design (cont'd)
household appliances, (4) bottles
and food containers, (5) kitchen
utensils, (6) articles of clothing,
(7) machinery, and (8) tools and
implements.
2\.
Availability of protection under
design patent law. A useful article
may be accepted for registration as
a work of art, even though it may
also be entitled to protection under
the design patent law. (See Title 35,
United States Code.) However, a
copyright claim in the drawings or
other pictorial material submitted
in connection with a patent applica-
tion is not entitled to registration
after the patent has been issued.
(See sections 202.10(b) and
202.10(c) of the Regulations of the
Copyright Office.)
##### II. Formalities of registration
###### a. Deposit of copy or copies
1\. Published textiles and lace. The
requirement that both copies com-
prising a deposit must be identical
may present special problems in
cases where the copyrighted work
consists of a repetitive design
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<!-- PageHeader="Ch. 2.8 2.8.3" -->
##### 2.8.3 Registration requirements (cont'd)
###### II. Formalities of registration (cont'd)
###### a. Deposit of copy or copies
###### 1. Published textiles and lace (cont'd)
reproduced on a continuous roll or
sheet, as for example, a bolt of
cloth or a "web" of lace. Generally,
the copies submitted for deposit
should represent the form in which
publication first occurred. In the
case of goods sold by the yard or
fractions thereof, the copies need
not exceed one yard in length. How-
ever, if the notice of copyright
appears at regular intervals along
the selvage, margin, or edge of the
material, it is always desirable
that each copy be of sufficient
length to show two such notices in
order to establish the frequency and
regularity of their position on the
work.
END OF PART 2.8
PAGES 2-300 THROUGH 2-420
RESERVED FOR FUTURE USE
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<!-- PageHeader="Ch. 2.11" -->
## Chapter 2
### Copyrightable Matter
#### Part 2.11 PHOTOGRAPHS (CLASS J)
Outline of Topics
##### 2.11.1 IN GENERAL
I.
Statutory provisions
a.
United States Code
b. The Regulations of the Copyright Office
II.
Copyrightable matter subject to registra-
tion in Class J
a. Constituent elements
b. Forms of embodiment
##### 2.11.2 CLASSIFICATION OF PHOTOGRAPHS
I.
Origin of the material
a.
Domestic works
b.
Foreign works
II.
Nature of the material
a.
Single photographs
b.
Multiple photographs
c.
Photographs and text combined
d. Contributions to "books" and
"periodicals"
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##### 2.11.3 REGISTRATION REQUIREMENTS
###### I. Copyrightable subject-matter
a. Photographic composition
b. The subject of the photograph
c. Old photographs
d. Mechanical reproduction
e. New matter
###### II. Publication with notice
a. Publication
b. Notice of copyright
c. Exception to the general rule
d. Unpublished photographic material
III. Formalities of registration
a. Application form prescribed
b. Deposit of copy or copies
c. Fee prescribed
d. Time limitation
###### IV. Manufacturing requirement
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<!-- PageHeader="Ch. 2. 11 2.11.1" -->
# Chapter 2 COPYRIGHTABLE MATTER Part 2.11 PHOTOGRAPHS (CLASS J)
## 2.11.1 In general
### I. Statutory provisions
a. United States Code. The copyright law
provides for the registration of claims
to copyright in "Photographs." (Title 17,
U.S.C. sec. 5(j) (1964) ).
b. The Regulations of the Copyright Office.
"This class [J] includes published or
unpublished photographic prints and
filmstrips, slide films and individual
slides. Photoengravings and other
photomechanical reproductions of photo-
graphs are registered in Class K on
Form K." (37 C.F.R. sec. 202.13(1967) ).
### II. Copyrightable matter subject to registration in Class J
#### a, Constituent elements
1\. Photographic material. Class J is
appropriate for the registration of
published and unpublished still
photographs involving original author-
ship in their composition. For a
more detailed discussion of the
nature of the authorship capable of
supporting registration in Class J,
see topic 2.11.3. I.
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## 2.11.1 In general (cont'd)
### II. Copyrightable matter subject to registration in Class J (cont 'd)
#### a. Constituent elements (cont'd)
##### 1. Photographic material (cont'd)
(a) Printed reproductions. A pub-
lished reproduction of a
photograph produced by lithog-
raphy, photoengraving, roto-
gravure, collotypy, mezzotinto,
or other similar process of
reproduction, is ordinarily not
classified as a "photograph,"
but may be considered for
registration in Class K, either
on Form K as a "print or picto-
rial illustration" (See topic
2.12.1. II. a.l), or on Form KK
as a "commercial print or label"
(See topic 2.13, 1. II. a. 1).
Under certain circumstances,
registration in Class B on
Form BB as a "contribution to a
periodical" may be appropriate.
(See Section 2.3.4.)
(b) Motion pictures. Motion pic-
tures are not registrable in
Class J. Classes L and M are
appropriate for photographic
motion-picture films which are
mounted on reels and intended
for projection or exhibition.
(See Part 2.14.)
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<!-- PageHeader="Ch. 2.11 2.11.2" -->
## 2.11.1 In general (cont'd)
### II. Copyrightable matter subject to registration in Class J (cont'd)
a. Constituent elements (cont'd)
2\. Text and compilations. Class J is
generally not appropriate for works
which are primarily textual, al-
though the presence of captions and
incidental text in a work which is
primarily photographic will not pre-
vent registration in Class J. Com-
pilations of photographs may be
considered for registration in
Class J, but Class A may be prefer-
able in cases where the copyright
claim in a published collection of
photographs is limited to the compi-
lation. (See topic 2.11.2. II.b.l. )
b. Forms of embodiment. Copyrightable
photographic material cabable of sup-
porting registration in Class J may be
embodied in photographic prints and
filmstrips, slide films, and individual
slides.
## 2.11.2 Classification of photographs
### I. Origin of the material
#### a. Domestic works
1\. Definition. For purposes of regis-
tration, a photograph is considered
of domestic origin, if :
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## 2.11.2 Classification of photographs (cont'd)
### I. Origin of the material (cont'd)
#### a. Domestic works (cont'd)
##### 1. Definition (cont'd)
(a) The author was a citizen of, or
domiciled in, the United States
at the time of first publication,
or,
(b) The work was first published in
the United States, or
(c) The work is in unpublished form.
2\. Registration designator. Claims to
copyright in domestic photographs
are assigned registration numbers
preceded either by the letters Ju
(unpublished works) or the letters
Jp (published works).
#### b. Foreign works
1\. Definition. For purposes of regis-
tration, a published photograph is
considered of foreign origin, if:
(a) The author was neither a citi-
zen of, nor domiciled in, the
United States at the time of
first publication, and
(b) The work was first published
outside the United States.
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<!-- PageHeader="Ch. 2.11 2.11.2" -->
## 2.11.2 Classification of photographs (cont'd)
### I. Origin of the material (cont'd)
#### b. Foreign works (cont'd)
##### 1. Definition (cont'd) (b) (cont'd)
NOTE: A photograph which is en-
titled to registration in unpub-
lished form is always considered
of domestic origin for purposes of
registration, even if the work was
produced by an author who is neither
a citizen of, nor domiciled in, the
United States. (See topic
2.11.2. I. a. 1 (c). )
2\. Registration designator. Claims to
copyright in foreign photographs are
assigned registration numbers pre-
ceded either by the letters Jf or
Jfo. The terminal letters "f" and
"fo" signify registration under
Option A and Option B, respectively.
(See topics 2.11.3.III.b.3 and
2.11.3. III.c.2)
#### II. Nature of the material
a. Single photographs. Class J is the
appropriate category for the registra-
tion of all individual photographic
prints and film slides, in either pub-
lished or unpublished form.
b. Multiple photographs. Class J is the
appropriate category for the registra-
tion of collections of two or more
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<!-- PageHeader="Ch. 2.11 2.11.2" -->
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##### 2.11.2 Classification of photographs (cont'd)
###### II. Nature of the material (cont'd)
###### b. Multiple photographs (cont'd)
photographs including filmstrips, slide
films, and the like, in either published
or unpublished form.
1\. Published works. A collection of
photographs in book form may also
be considered for registration in
Class A on Form A, provided the work
has been published with a notice of
copyright in the form and position
prescribed by the law for a "book or
other printed publication." (See
Part 2,2 topic 4.2.1.I and Section
4.3.1.) In such case, if neither
Form A nor Form J is received, but
an opinion is requested, the Office
will suggest registration in Class A,
even though registration in Class J
would not necessarily be considered
doubtful.
2\. Unpublished works. A collection of
unpublished photographs which are
the subject of a single claim of
copyright may be considered for reg-
istration together as a unit in
Class J on Form J, provided the
photographs constitute a single work
of common authorship which can be
identified as a whole by a single
title.
c. Photographs and text combined. The
presence of captions and incidental
text in a photographic work will not
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<!-- PageHeader="Ch. 2.11 2.11.2" -->
## 2.11.2 Classification of photographs (cont'd)
### II. Nature of the material (cont'd)
#### c. Photographs and text combined (cont'd)
prevent registration in Class J. However,
if the copyrightable contents of a work
which is photographic in form are entirely
textual, registration in Class J is not
authorized, regardless of the fact that
the text is reproduced by a photomechan-
ical process or that the work appears on
microfilm, photographic transparencies,
or the like.
1\. Published works. If the textual
material is substantial, registration
in Class A would be appropriate, pro-
vided the requirements of the law
relating to the notice of copyright
on a "book" have been satisfied.
(See Part 2.2, topic 4.2.1.I and
Section 4.3.1.)
2\. Unpublished works. If the textual
material is substantial and it appears
that copyright is being claimed in
both text and photography, the claim
should not be registered until the
scope of registration in Class J has
been pointed out to the applicant.
Generally, unpublished textual mater-
ial (except captions and incidental
text ) should be separated from the
copy deposited, wherever possible,
and returned to the applicant. Un-
published textual material is ordin-
arily not entitled to copyright
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<!-- PageHeader="Ch. 2.11 2.11.2" -->
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## 2.11.2 Classification of photographs (cont'd)
### II. Nature of the material (cont'd)
#### c. Photographs and text combined (cont'd)
2\. Unpublished works (cont'd)
registration. Works prepared for
oral delivery and dramas are excep-
tions, however. (See Parts 2.4
and 2.5.)
d. Contributions to "books" or "periodi-
cals. "Class J is ordinarily not appro-
priate for photographic material first
published in the form of a contribution
to a "book," newspaper, magazine or other
"periodical," because such contributions
are generally photographic reproductions
printed by means of lithography, photo-
engraving, rotogravure, collotypy,
mezzotinto, or other similar process.
(See topic 2. 11. 1. II. a. l (a).) However,
in the unusual case where the contribu-
tion consists of a photograph itself
rather than a printed reproduction,
registration may be considered in
Class J, provided the contribution con-
tains its own separate copyright notice.
1\. Class A. If the contribution to a
"book" includes a substantial amount
of text, or consists of many photo-
graphs, a single registration in
Class A is appropriate, subject to
the requirements explained in
Part 2.2. (See also topic
2.11.2.II.b.I.)
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<!-- PageHeader="Ch. 2.11 2.11.2" -->
## 2.11.2 Classification of photographs (cont'd)
### II. Nature of the material (cont'd)
d. Contributions to "books" or "periodi-
cals (cont 'd)
#### 1. Class A (cont'd)
Example :
A pictorial filmstrip of eighty
frames, thirty of which embody
original text, has been pub-
lished with its own separate
notice as a part of an audio-
visual kit. Practice: Request
application on Form A, pointing
out the possible limitations of
registration in Class J. If
the applicant nevertheless
insists on Class J, register
the claim on Form J.
2\. Class B. A "contribution to a
periodical" may be an article, story,
pictorial illustration, or other work
first published in a periodical; a
"periodical" is a magazine, news-
paper, or similar work published at
regular intervals of less than a
year under the same general title.
If such a contribution includes a
substantial amount of text, or con-
sists of many photographs, a single
registration in Class B on Form BB
is appropriate, subject to the
requirements explained in
Section 2.3.4.
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## 2.11.2 Classification of photographs (cont'd)
### II. Nature of the material (cont'd)
#### d. Contributions to "books" or "periodi- cals (cont 'd)
##### 2. Class B (cont'd)
Example :
A set of six photographic film
slides illustrating undersea
life has been published with a
separate notice on each slide
as part of the May 1970 issue
of a monthly scientific journal
on marine biology. Practice:
Register the claim either on
Form BB or Form J. However, if
the contribution had included a
substantial amount of text, we
should request application on
Form BB, pointing out the
possible limitations of regis-
tration in Class J. If the
applicant nevertheless insists
on Class J, register the claim
on Form J.
## 2.11.3 Registration requirements
I.
Copyrightable subject-matter. To be en-
titled to copyright protection as a "photo-
graph," a work must contain an appreciable
amount of original photographic authorship.
Registration in Class J is not authorized
if creative authorship of a copyrightable
nature is lacking, as, for example, in a
case where the photograph results solely
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## 2.11.3 Registration requirements (cont'd)
### I. Copyrightable subject-matter (cont'd)
from the operation of mechanical or photo-
mechancial processes. (See topic 2.11.3.I.d. )
NOTE: The copyrightability of a photograph
depends upon the variety and extent of
elements involved in its composition and not
upon the nature of the thing depicted or the
subject photographed.
a. Photographic composition. Original
photographic composition capable of sup-
porting registration in Class J may
involve a variety of elements, such as,
time and light exposure, camera angle,
arrangement or disposition of persons,
scenery, or other subjects depicted in
the photograph. The copyrightability of
photographic composition does not depend
upon artistic merit or aesthetic
evaluation.
1\. Minimal standards. Although the copy-
rightability of photographic material
is not determined by qualitative or
aesthetic standards, a certain mini-
mal amount of original creative
authorship is essential for regis-
tration in Class J or in any other
class. The mechanical, photomechan-
ical, or other processes involved in
the production of a photograph, are
not themselves capable of supporting
registration in Class J.
b. The subject of the photograph. Regis-
tration of claims to copyright in pub-
lished or unpublished photographs does
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#### 2.11.3 Registration requirements (cont'd)
##### I. Copyrightable subject-matter (cont'd)
###### b. The subject of the photograph (cont'd)
not depend upon the nature of the subject
photographed, nor does such registration
extend to the subject depicted, regard-
less of their nature.
1\. Kinds of subjects. In general, any-
thing capable of being reduced to
visual perception by photographic
means could become the subject of a
copyrightable photograph. Examples
of commonly photographed subjects
include, but are not necessarily
limited to, the following categories :
(a)
In uncopyrightable subject, such
as a typewriter, diesel engine,
or sailing vessel. (See also
topic 2.11.3. I.b.4.)
(b)
A copyrightable subject, such
as an oil painting or a statue.
(See also topics 2.11.3.I.b.2
and 2.11.3.I.b.4.)
(c)
A living subject, such as a
human person, an animal, or
flowers.
(d) A natural subject, such as a
seascape, a sunset, or a cluster
of shade trees.
(e) An artificial subject, such as
the steel framework of an office
building, or a violin.
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#### 2.11.3 Registration requirements (cont'd)
### I. Copyrightable subject-matter (cont'd)
#### b. The subject of the photograph (cont'd)
2\. Textual matter. A photographic re-
production of textual matter is
generally not registrable as a "photo-
graph." However, the mere fact that
the principal subject of a "photo-
graph" is textual will not prevent
registration in Class J, provided
there is sufficient original photo-
graphic authorship. For example, a
copyrightable photograph could depict
a book of poems opened in the candle-
light showing the text of Samuel
Taylor Coleridge's poem "Kubla Khan."
3\. Duplication of subjects. The same
subject may be depicted in two or
more copyrightable photographs. For
example, the dome of the Capitol
building in Washington could be the
subject of many copyrightable
photographs.
4\. The subject as basis of claim. A
claim to copyright in Class J based
upon the premise that the copyright
will protect the subject depicted in
a photograph will ordinarily be re-
jected. However, there are certain
exceptions :
(a) Published works. If the photo-
graph itself is copyrightable
as such, and has been published
with the required statutory
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## 2.11.3 Registration requirements (cont'd)
### I. Copyrightable subject-matter (cont'd) b. The subject of the photograph (cont'd)
#### 4. The subject as basis of claim (cont'd)
##### (a) Published works (cont'd)
notice, registration may be made
on that basis, but the Office
will call the applicant's atten-
tion to the scope of registra-
tion in Class J.
###### Example :
A copyrightable photograph,
published with notice, depicts
a bronze statue which the
author of the photograph
wishes to protect by regis-
tration in Class J.
Practice: Write to the appli-
cant, advising him of the
scope of registration of the
"photograph," and pointing
out the registration require-
ments for a sculptural "work
of art" in Class G. (See
Part 2.8.) However, if the
applicant desires registra-
tion in Class J, knowing that
the claim is limited to the
photograph, registration may
accordingly then be made on
Form J.
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## 2.11.3 Registration requirements (cont'd)
### I. Copyrightable subject-matter (cont'd)
#### b. The subject of the photograph (cont'd)
##### 4. The subject as basis of claim (cont'd)
(b). Unpublished works. If the photo-
graph itself is copyrightable as
such, registration may be made on
that basis. However, if there is
reason to believe that the appli-
cant desires copyright protection
for the subject depicted in the
photograph, registration should
not be made until the scope of
protection afforded by registra-
tion in Class J has been pointed
out to the applicant.
###### Example :
An unpublished photograph de-
picts an electronic recording
device which has been the sub-
ject of an unsuccessful appli-
cation for design patent.
Practice: Write to the appli-
cant, pointing out that regis-
tration in Class J will not
protect the recording device
as such. Registration may be
made thereafter, if the appli-
cant so desires.
(c) Old photographs. The mere fact
that a photograph is old or depicts
a subject no longer in existence
will not prevent registration.
However, if the author of an old
photograph is deceased or unknown,
the Office may request an explana-
tion of the basis of the copyright
before registering the claim.
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## 2.11.3 Registration requirements (cont'd)
### I. Copyrightable subject-matter (cont'd) b. The subject of the photograph (cont'd)
#### 4. The subject as basis of claim (cont'd) (c). Old photographs (cont'd)
1\. Authorship. Copyright depends
upon authorship. Unless a
person is the author of a photo-
graph, or holds rights which
derive from the author, he is
not entitled to claim copyright
in it. A sharp distinction must
be drawn between title to, or
possession of, the physical
copy of a photograph, and the
copyright in the work.
(d). Mechanical reproduction. Although
the production of a photograph
necessarily involves a mechanical
process, a photograph produced
solely by the operation of a mechan-
ical process lacks the requisite
element of creative composition and,
consequently, is not subject to
registration in Class J. The photo-
graphic reproduction of pictorial,
graphic, or textual material for the
purpose of providing regular copies
of such material, rather than for
the sake of producing "photographs"
as such, indicates that registration
in Class J is not authorized, as for
example, in the case of a photostatic .
reproduction of a real property deed.
(e). New matter. New photographic material
appearing in revised versions of photo-
graphs may support registration in
Class J, provided the new matter is
original and copyrightable in itself.
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## 2.11.3 Registration requirements (cont'd)
### I. Copyrightable subject-matter (cont'd)
b. The subject of the photograph (cont'd)
4\. The subject of the claim (cont'd)
(e). New matter (cont'd)
Example :
A filmstrip consisting of
twenty-four frames, seven
of which appeared in an
earlier published version.
II.
Publication with notice. Publication is not
a prerequisite for registration in Class J.
Thus, a photograph may be considered for
registration in either published or unpub-
lished form.
a. Publication. A photograph is generally
not considered published in the copy-
right sense until copies have actually
been placed on sale, sold, or publicly
distributed. However, the unrestricted
public exhibition of a photograph may
also constitute a publication in the
copyright sense. (See Section 3.1.1 and
topic 3.1.3. II; see also Part 4.1.)
b. Notice of copyright. The published
copies of a "photograph" must contain a
copyright notice in the form and position
prescribed by law.
1\. Form. The law requires that the copy-
right notice include the word "Copy-
right," the abbreviation "Copr.," or
the symbol @, accompanied by either:
(1) the name of the copyright owner,
or (2) the initials, monogram, mark,
or symbol of the copyright owner,
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## 2.11.3 Registration requirements (cont'd)
### II. Publication with notice (cont'd) b. Notice of copyright (cont'd)
1\. Form (cont'd)
provided his name appears on some
accessible part of the work. (See
also topic 4.2.1.II. )
2\. Position. A notice on any acces-
sible part of a single-page work is
acceptable for purposes of registra-
tion in Class J. A notice located
on the margin or permanent mounting
of a work (such as a base, pedestal,
selvage, or frame) is also accept-
able, provided the notice is visible
and not concealed. (See also
Section 4.3.6.)
3\. Year date. The year date of publi-
cation may be included in the notice
on a "photograph" but, ordinarily,
it is not required. However, for
the U.C.C. requirements in this re-
gard, see topic 2.11.3.II.b.4 and
Section 4.2.4.
4\. U.C.C. notice. The notice prescribed
in the Universal Copyright Convention
consists of the symbol @, accompanied
by the name of the copyright owner
and the year date when copyright was
first secured, either by publication,
or, in the case of an unpublished
work, by registration in the Copy-
right Office. (See also topic
4.2.4.III.) The notice must be
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## 2.11.3 Registration requirements (cont'd)
### II. Publication with notice (cont'd) b. Notice of copyright (cont'd)
#### 4. U.C.C. notice (cont'd)
located on the work in such manner
and position as to give reasonable
notice of the copyright claim.
(a) Defective U.C.C. notice accept-
able under U.S. law. If the
registrability of a work depends
upon the availability of the
U.C.C. exemptions granted under
the copyright law [17 U.S.C.
sec. 9(c)], the copies as first
published should bear the above-
mentioned U.C.C. notice. How-
ever, in such a case, where the
notice satisfies the require-
ments of Section 19 of the
statute, but not the U.C.C.
requirements of Section 9(c),
registration will be made under
the rule of doubt, and a cau-
tionary letter will be sent.
(See also Part 8.2.)
c. Exception to the general rule. A
"photograph" by a foreign author which
was first published outside the United
States before June 18, 1959 may be con-
sidered for registration, even if the
copyright notice was omitted or defec-
tive. However, a cautionary letter will
be sent in every such case. (See topic
4.1.3.II.b; see also topics 8.2.1.I.a
and 8.2.1. III.a.)
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## 2.11.3 Registration requirements (cont'd)
### II. Publication with notice (cont'd)
d. Unpublished photographic material. As
long as a photograph" remains in unpub-
lished form, no copyright notice is
required in order to secure statutory
protection. NOTE: If a "photograph"
is first registered in unpublished form
and later published with notice of copy-
right, a second registration should be
made. (See Chapter 10; see also topic
5.3.4.III. )
III. Formalities of registration. Generally,
registration of a claim to copyright in a
"photograph" cannot be made until the
Copyright Office has received a completed
application form, together with the re-
quired copy or copies, and the prescribed
registration fee. Under certain circum-
stances, a catalog card may be substituted
in lieu of the registration fee for pub-
lished works of foreign origin. (See
topic 2.11.3. III.c.2. )
a. Application form prescribed. Applica-
tion for registration of a claim to
copyright in a "photograph" should be
submitted on Form J, which is appropriate
for published or unpublished works of
both domestic and foreign origin.
(Regarding the distinction between works
of domestic and foreign origin, see
topic 2.11.2.I.)
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OFF ICE
PRACTICES
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## 2.11.3 Registration requirements (cont'd)
### III. Formalities of registration (cont'd)
#### b. Deposit of copy or copies
1\. Unpublished works. Registration of
an unpublished photograph" of either
domestic or foreign origin requires
the deposit of one complete copy of
the work. (See topic 5.2.1. II.c. )
2\. Published domestic works. Registra-
tion of a published "photograph"
not of foreign origin requires the
deposit of two complete copies of
the "best edition" of the work as
first published. (See topic
5.2.2.I.a.)
3\. Published foreign works. Registra-
tion of a published "photograph" of
foreign origin may be made on the
basis of the deposit of either one
or two copies. (See topic
5.2.2.I.b.)
(a) Option A. One complete copy of
the best edition" of the
photographic work as first pub-
lished (together with the
required registration fee) will
suffice for purposes of deposit
under Option A. In all other
respects, the deposit require-
ments are the same as those
specified for published domes-
tic works in topic 2,11.3. III.b.2.
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## 2.11.3 Registration requirements (cont'd)
### III. Formalities of registration (cont'd) b. Deposit of copy or copies (cont'd)
#### 3. Published foreign works (cont'd)
(b)
Option B. Two complete copies
of the "best edition" of the
photographic work as first pub-
lished (together with the
required catalog card) will
suffice for purposes of deposit
under Option B, provided the
copies (together with the re-
quired application and catalog
card) are received in the
Copyright Office within six
months of the date of first
publication outside the United
States. Option B is not avail-
able if either the author, co-
author, or copyright proprietor
of the work is a U.S. citizen,
domiciliary, or resident on the
date the application is filed.
In all other respects the
deposit requirements are the
same as those specified for
published domestic works in
topic 2.11.3. III.b.2.
4\. Best edition. In the case of a pub-
lished "photograph," the copy or
copies submitted for deposit should
represent the form in which the work
was first made available to the pub-
lic without restriction. Where two
or more editions or issues of dif-
ferent quality are published
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## 2.11.3 Registration requirements (cont'd)
### III. Formalities of registration (cont'd) b. Deposit of copy or copies (cont'd)
#### 4. Best edition (cont'd)
simultaneously, deposit of a copy
or copies of the "best edition" will
be required. Thus, if a "photo-
graph" is published in both black
and white and color versions, the
color version would ordinarily be
considered the "best edition." If
two copies are required for deposit,
both copies should be duplicates.
For further explanation of the re-
quirements relating to "best edition,"
see Part 5.3.
#### c. Fee prescribed
1\. Generally. The fee for each regis-
tration is six dollars ($6.00).
2\. Waiver-of-fee option. Published
"photographs of foreign origin may
be entitled to registration without
payment of the customary fee, pro-
vided all of the following elements
are received in the Copyright Office
within six months after the date of
first publication outside the United
States: (1) a completed application
Form J, (2) two copies of the work
as first published, and (3) a com-
pleted catalog card. (See also
topic 2.11.3. III.b. 3 (b) . ) NOTE :
Payment of the registration fee is
always required if:
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## 2.11.3 Registration requirements (cont'd)
### III. Formalities of registration (cont'd) c. Fee prescribed (cont'd)
#### 2. Waiver-of-fee option (cont'd)
(a) The "photograph" is in unpub-
lished form, or
(b) The author was a U.S. citizen
or domiciliary on the date of
first publication, or if the
author of the work, a co-author,
or the proprietor of the copy-
right in the work is a U.S.
citizen, domiciliary, or resi-
dent on the date the applica-
tion is filed.
#### d. Time limitation
1\. Unpublished works. There is no
obligation to register a claim to
copyright in an unpublished work.
As long as a "photograph" remains
in unpublished form, it is subject
to protection under the common law
against unauthorized use before pub-
lication without any action being
required in the Copyright Office.
However, if a work registered in
unpublished form is later published
with notice of copyright, a second
registration should be made
"promptly" thereafter. (See topic
2.11.3.III.d.2. )
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## 2.11.3 Registration requirements (cont'd)
### III. Formalities of registration (cont'd) d. Time limitation (cont'd)
2\. Published works. Application for
registration should be made
"promptly" after publication with
notice, but in no event after the
expiration of the original twenty-
eight year term of statutory pro-
tection. The special six-month
limitation prescribed for the
registration of foreign works under
Option B is explained in topics
2.11.3. III.b. 3(b) and 2.11.3. III.c.2.
IV.
Manufacturing requirement. A "photograph"
may be considered for registration in
Class J regardless of the place where the
work was produced or manufactured. (See
topic 6.4.1. II. a. )
END OF PART 2.11
PAGES 2-448 THROUGH 2-5 70
RESERVED FOR FUTURE USE
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# 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
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一
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# 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, a 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
[1973]
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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.
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## 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.
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#### 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.
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#### 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. 88 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.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 2 2.14.3" -->
<!-- PageHeader="2-578" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
## 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 2.14.3" -->
<!-- PageHeader="2-579" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
## 2.14.3 Procedure for Registration. (cont'd)
### II. Fees.
#### 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 fee 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.
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" -->
<!-- PageHeader="COPYRIGHT OFFICE PRACTICES" -->
### 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.
End of Part 2.14
<!-- PageFooter="[1973]" -->
<!-- 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.
I. 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.
Distribution of phonorecords
## Part 3.2 DATE OF PUBLICATION
### 3.2.1 In general
I. Definition
II. General policy with respect to the
date of publication
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 3" -->
## Part 3.2 DATE OF PUBLICATION (cont'd)
## 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
## 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
.3.1 Factors raising questions as to
publication
.. General practice
II. Appearance of copies
III.
. Information furnished by applicant
3.3.2
After rejection for publication without
statutory notice
I. Resubmission
I. Unauthorized publication
<!-- PageFooter="[1973]" -->
<!-- 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)
I. 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. Leasing or renting of copies. Lease or rental
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. 3 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\.
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.
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.)
## 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. 2 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 Publication. Under the
court decisions, a limited publication may be
defined as one that communicates a knowledge
of the contents of a work under 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.
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="Ch. 3 3.1.3" -->
##### 3.1.3 Public disclosure by means other than distribution of copies. (cont'd)
III. Exhibition of Motion Pictures. (cont'd)
. 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. Distribution of Phonorecords.
a.
A phonorecord, such as a disc, tape, or other
similar reproduction of a sound recording, is
not regarded as a "copy" of the musical compo-
sition, dramatic composition, or literary work
recorded on it, and is not acceptable as a
deposit copy for copyright registration of the
musical composition or the literary or dramatic
work. Therefore, the act of distributing
phonorecords does not constitute such publica-
tion as will invest a statutory copyright,
except for registration as a sound recording
in Class N.
b.
For the purposes of securing statutory copyright
and registration for a sound recording, phono-
records are regarded as "copies" thereof, and
discs, tapes, cassettes, cartridges, and other
similar reproductions of sound recordings will
be accepted as deposit copies in Class N.
c.
Distribution of phonorecords may constitute
either investitive or divestitive publication
of a sound recording, and the rules stated in
sections 3.1.1 and 3.1.2 above are applicable.
<!-- PageFooter="[1973]" -->
<!-- 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
my 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 -->
<!-- PageHeader="Ch. 3 3.2.2" -->
### 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 uniu,
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.
<!-- PageBreak -->
<!-- PageHeader="Ch. 2 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.)
c. Where it is probable that 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. 2 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 P may be accepted if received
not more than one month in advance of the date of
publication they state.
<!-- PageBreak -->
<!-- PageHeader="Ch. 3 3.3.1" -->
# 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 .
8\. 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.
<!-- 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 -->
<!-- PageHeader="Ch. 3 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.
#### . 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="Ch. 4" -->
# Chapter 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.k 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
e.
Wrong claimant
f. Trustee
g. Assignee
h. Licensee
<!-- PageBreak -->
### 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 other
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 new 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. Date 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. Separated 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 -->
## 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 which
can be registered in unpublished form (all classes
except A, B, F, H, and K), an unpublished work bear-
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 4.1.3" -->
## 4.1.3 Works published abroad. (cont'd)
### II. Works other than those subiect 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 O, (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), & 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.
1\. 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
ba 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\. C
3\. @
4\. @
5\. (c)
Unacceptable variants:
.
1\. co
2\.
C
3\. C/O
4\. C
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 substan-
tially the same form of name also appears as
claimant in the application. (See
Supplementary Practice No. 37).
Examples :
(1) Colo. Mfg. and Merch. Co.
(2) Doloukanova
(3) Maxwell's
(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.
..
Examples :
(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. )
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 4.2.3" -->
4.2.3. 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"
(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)
(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 'hame in the
notice and application is sufficient, inquiry
should be made, and a new application ex-
plaining the nature of the identificaticn
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\. 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) 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" -->
4.2.3 Name 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.
.. 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
( .... , "John Doe, Trustee, " or "John Doe, Trustee for
James Smith," or "John Doe for the benefit of James
Smith"):
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 4.2.3" -->
#### 4.2.3 Name of claimant. (cont'd.)
##### 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 "John
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.
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: 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'd)
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) If this is not the first published edition
of the work, and the earlier edition contained
a notice in the assignor's name:
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 4.2.3" -->
4.2.3 Name of claimant. (cont'd)
I. Identity of claimant. (cont'd)
g. 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.
(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 1.2.3" -->
### 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 Herman
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.
## 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.
2\. Where the variance is quite minor, or where it
involves mere descriptive matter, no annotation
18 made.
Examples:
(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 -->
<!-- PageHeader="Ch. 4 1.2.3" -->
#### 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.
(3) In notice: Educational Council of the
Affiliated American Snooker
Players
In application: Council on Education of
the Snooker Players of
America
(4) In notice: Anthony C. Payola Music
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, serials,
jewelry, etc. ), the Office writes for
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.
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 -->
<!-- PageHeader="Ch. 4 4.2.3" -->
#### 4.2.3 Name 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 a)
(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="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)
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
(111) 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 -->
<!-- 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)
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:
(1)
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.
(iv)
Glunch, registered firm name of
Glumpy Optical Co., Inc.
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 abbreviation, 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 -->
<!-- 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)
##### 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.
Examples :
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 a
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 the
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-
tered trademark of
Samuel L. Beitchman,
d.b.a. Sylbe Drug 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)
###### d. Abbreviations, initials, etc. (cont'd)
6\. (cont'd)
(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" -->
<!-- PageHeader="4-26" -->
###### 4.2.3 Name of claimant (cont'd)
###### II. Variant form of claimant's name (cont'd) d. Abbreviations, initials, etc. (cont'd)
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 a 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 -->
<!-- PageHeader="Ch. 4 4.2.4" -->
###### 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. 4 4.2.4" -->
### 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.
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 4.2.4" -->
### 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.
(b) If unpublished registration (or foreign pub-
lication for an English-language book registered
ad interim) took place before the year imme-
diately preceding the year in the notice, the
claim should be rejected for postdated notice,
unless:
<!-- PageBreak -->
<!-- PageHeader="Ch, 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.
(o)
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
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 in 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."
(d)
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="Ch. 4 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.
2\. 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.)
(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.
(b) If unpublished registration (or foreign pub-
lication for an English-language book reg-
istered ad interim) took place in the year
shown in the notice, 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 earlier
registration does not already appear on the
application, an annotation referring to the
earlier entry should be added; for example:
"Reg'd Eu-123456, July 6, 1957."
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 4.2.5" -->
###### 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)) .
(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).
##### 4.2.5 Dispersed notice.
###### I. 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 names is a
logical claimant (e.g., the author), and the
other ia identified as someone not likely to
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 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.
Example:
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:
Closet Caddy
Trade Mark Reg. U. S. Pat. Off.
Copyright 1948. 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
Office will accept a notice such as:
Copyright 1953
Standard Pulpwood Co.
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 4.3.1" -->
# Part 4.3. POSITION OF NOTICE
## 4.3.1 In booka.
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:
(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.
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).
.. If an unlimited notice appears on the title page of
the book itself but the book as such contains no new
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 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
accepted. The page 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 -->
<!-- PageHeader="4-38" -->
<!-- PageHeader="Ch. 4 4.3.3" -->
### 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 contribution
may be accepted.
II. For a multi-page contribution, the Office will recommend
that the notice be placed on the first page. If a con-
tribution 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.)
### 4.3.5 In music.
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.)
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 application on Form E will be re-
quested.
IV. Page opposite the title page or the first page of music and
reverse 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. Form A may also be accepted with
a cautionary letter where the notice appears on a page opposite
the title page or the reverse thereof. Form E may also be
accepted in these cases and where the notice appears opposite
the first page of music; a cautionary letter should be sent.
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 1.3.6" -->
## 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 ir
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 topios 4.4.2, III and 4.4.3.
IV.
V. Multi-page works. On a multi-page work of Classes
F-K material in book form ( .... , an atlas or a
book of printa) :
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. A notice 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 fabrios,
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 example,
in the case of material printed from plates or
cylinders on rotary presses, a notice appearing
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 4.3.7" -->
## 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.
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. 4 4.4.1" -->
## 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.
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.
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.
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. 4 4.4.3" -->
### 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 be registrable as a label.).
<!-- PageBreak -->
<!-- PageHeader="Ch. 4 4.4.3" -->
4.4.3 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 4.4.4" -->
#### 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 no other new matter, since
dust jackets are removable. (See also topics 4.3.1.
II. d .)
#### 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 a 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.
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. 4 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" -->
#### Deposit of Copies
Outline of Topics
##### Part 5.1 TIME OF DEPOSIT
5.1.1 Unpublished works
5.1.2 Published works
5.1.3 Premature deposits
5.1.4 Delayed deposits
5.1.5 Ad Interim and waiver-of-fee deposits
Part 5.2 ARTICLES TO BE DEPOSITED
5.2.1 Unpublished works
5.2.2 Published works
5.2.3 Multiple registrations
##### Part 5.3 QUALITY AND CONTENT OF COPIES
5.3.1 Best edition
I. General requirement
II. Presumption as to best edition
III. Where we are aware of a better edition
IV. Where copies are not of published
edition
5.3.2 Complete copies
5.3.3 Defective copies
5.3.4 Notice in copies
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 manufacture
5.3.6 Identity between deposit copies
<!-- PageBreak -->
<!-- PageHeader="Ch. 5" -->
##### Part 5.4 FAILURE TO DEPOSIT
###### 5.4.1 Statute
###### 5.4.2 Exceptions
<!-- PageBreak -->
<!-- PageHeader="Ch. 5 5.1.1" -->
##### 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 de-
posited, " .... (17 U.S.C. § 13) Concerning
ad interim and waiver-of-fee deposits see
topic 5.1.5.
###### 5.1.3 Premature deposits.
I. When copies of a work otherwise acceptable
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 fee.
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 copics
are usually returned to the applicant. If
there is some question 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.
###### 5.1.4 Delayed deposits.
I. The Office will accept deposits for full-
term registration at any time during the
copyright term of 28 years after first
publication.
<!-- PageBreak -->
<!-- PageHeader="Ch. 5 5.1.5" -->
###### 5.1.4 Delayod deposits. (cont'd)
a. A deposit made after the expiration
of the 28-year term will not be
accepted for registration (except
for foreign works specially quali-
fied for later registration under
an applicable extension proclamation).
###### 5.1.5 Ad Interim and waiver-of-foo deposits.
I. A deposit 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 under
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)
a. The six-months' period expires on
the same day of the month as the
date of first publication. Thus,
if publication occurred on January
15, the period runs through July 15.
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)
<!-- PageBreak -->
<!-- PageHeader="Ch. 5 5.2.1" -->
##### 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.
###### 5.2.2 Published 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
see topic 5.3.1 as to "best edition.")
<!-- PageBreak -->
<!-- PageHeader="Ch. 5 5.2.2" -->
###### 5.2.2 Published works. (cont'd)
C. 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).
.. 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 print: one complete copy
of the issue containing the contri-
bution.
g. 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.
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 its records (the
application and certificate) to show the
nature of the copies deposited.
<!-- 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
four 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 deposits
of actual copies will not be questioned.
2\. The term "filing procedures" is to
be construed as referring to the
ordinary procedure of filing material
on bookshelves or in filing cabinets.
It should not be confused with the
storage procedures in the stacks
itilized for bulky objects.
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
or for exchange purposes (e.g.,
anatomical models)
<!-- 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 size 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 specific
position on the work. Such drawing shall be
of the same dimension as the submitted
photographs.
<!-- PageBreak -->
<!-- PageHeader="Ch. 5 5.204" -->
###### 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.
J. For & 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 the
complete work (or one copy where this satisfies
the statutory requirement).
### Examples :
(1) A telephone directory in one volume,
with two Class A applications for
separate registration of the alpha-
betical (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
II.
The necessity for depositing copies with each
application may be avoided only when the
several applications are submitted at the same
time and all the works fall within the same
class.
<!-- PageBreak -->
<!-- PageHeader="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 illua-
trations: four copies 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.
III. Where the applicant requests our advice
concerning the number of copies to be
deposited in cases of multiple registra-
tions, the Office will suggest deposit of
two copias (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 edition rather than a mimeo-
graphed one.
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.
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 -->
<!-- PageHeader="Ch. 5 5.3.1" -->
## 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 sdition
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, whore required) shall refer to
the first published edition.
2\. The copies will be compared generally to
determine that they are substantially
identical as to copyright notice and
literary, musical, or artistic content.
3\.
f the copies are substantially identical
as to copyrightable matter, both sets will
be referred to the Library for selection.
One set will be selected for retention and
the other set will be returned following
registration.
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 bear
an inadequate notice; the claim
will be rejected.
(2)
The best edition contains new
copyrightable matter; registra-
tion for both editions will be
required.
<!-- PageBreak -->
<!-- PageHeader="Ch. 5 5.3.1" -->
5.3.1 Best 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)
4) Photographs of a print (with
Class K application) .
(5) Photostats of a commercial label.
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.
c. 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.
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
periodicals as a number of separate items or as
a serial.
<!-- PageBreak -->
<!-- PageHeader="Ch. 5 5.3.2" -->
### 5.3.2 Complete copies.
I. The copies deposited must be "complete copies"
(17 U.S.C. §§ 12, 13, 22)
II. In general, copies of an entire work as published
must be deposited. (See topic 5.2.2., I)
Examples of copies not acceptable because
not complete :
(1) A book with missing pages
(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 published
in an atlas
(7) One earring
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.
Example :
(1) A game consisting of a copyrightable
board and directions, and uncopy-
rightable game rack and pieces
IV. An unpublished manuscript (Class C, D, or E) which
is sufficiently developed to be used for delivery
or performance, is acceptable as a complete copy
even though there is some indication that additional
material may later be added.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 5 5.3.3" -->
### 5.3.3 Defective copios.
I. The copies 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 requested.
II. Where the defect is not one that would normally
have been found in the course of ordinary exam-
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.
a. 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.
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 accessioned.
c. In such cases the application will not be
annotated, and the registration number will
not be stamped on the new 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. (As 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\. 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 mimeographed work or on any work of
which only a few copies were published.
II. Works first published abroad. (See topic 8.2.1)
a. With the exception of works seeking ad interim
registration, the copies of works deposited for
registration following publication abroad after
June 18, 1959 must bear a notice of copyright
in the required form and position.
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.
III. Unpublished works. The deposit copies of unpublished
works need not bear a 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.
§§ 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 bo idontical.
a. Examples of unacceptable deposits:
(1)
Two pieces of jewelry, identical
except for their gems; one contains
emeralda and the other rubies
(2)
Two textile swatches, one containing
& design in red and green, the othor
containing the sums design in gray
and blue
(3)
Two textile swatches showing different
stretches of the repetitive pattern
(4)
Two labels, identical except for the
product name; one for Dri-Dup Prunes
and the other for C-D Raisins
(5)
A tear sheet of a periodical adver-
tisement and a 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 localities
II.
Exceptions to the requirement for identity bo-
tween the copies are recognized only when the
circumstances 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
deposited" after the work has boon published with
notice, "the Register of Copyrights my at any tiro
after the publication of the work, upon actual notice,
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 re-
quest for compliance will ask for all three.
II. Even where all three elements, copy, ipplica-
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 whether 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" -->
# 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.
I. Other works published in book form
III.
Language and authorship
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
### 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
I. As to illustrations in books
II. As to separate pictorial works
<!-- PageBreak -->
<!-- PageHeader="Ch. 6 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, { 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.
b. A book or periodical in a foreign language is not
registrable ad interim.
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.
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
### 6.2.1 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 tonic
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 8.)
<!-- PageBreak -->
<!-- PageHeader="Ch. 6 6.2.1" -->
##### 6.2.1 Books subject to manufacturing clause. (cont'd)
###### 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,
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 nimeographed, type-
written, or similar book may be made on Form
A-B Foreign.
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 be 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
<!-- PageBreak -->
###### 6.2.1 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 book subject to the manufactur-
ing requirements.
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'd)
## 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.
(d) 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.
1\. Assuming that it otherwise qualifies for regis-
tration, a book in a 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.
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-B Ad Interim.
<!-- 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-P 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 will be 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.
(d) 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.
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 authors 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, and 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.
## 6.2.2 Manufacture in U. S.
### I. Processes to be performed in U. S.
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 -->
<!-- PageHeader="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. Lithographic 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 the 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.
(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.
(2)
Defoe's "Moll Flanders" with its
public domain text printed abroad and
a new introduction printed in the
United States, the claim being limited
to the introduction.
(3) A collection of short stories in English,
some by U. S. authors printed in the U. S.
and some by Australian authors printed in
Australia, the claim being limited to the
works of the U. S. authors.
##### III. Limited claims and disclaimers.
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.
b. Where the notice contains no limitation or disclaimer,
an application in which the claim is clearly limited
may be accepted with a cautionary letter.
## 6.2.3 Affidavit.
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.
<!-- 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).
For example: the affidavit and imprint show that
the book was printed in Canada.
#### III. Form of affidavit.
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="Ch. 6 6.2.3" -->
6.2.3 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 completion- of 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 -->
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 if the affidavit states that
it represents his signature.
(c) An illegible handwritten signature may be
accepted.
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.
Examples:
(1) "Sturm and Drang Co." is not acceptable.
(2)
"John Callahan, Inc. by John Callahan,
President" is acceptable.
<!-- PageBreak -->
<!-- PageHeader="Cha. 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 necessary to request a new
application such compliance may be
suggested. )
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 a 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="Ch. 6 6.3.1" -->
<!-- PageHeader="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:
a. Periodicals in raised characters for the blind (such
as Braille).
b. Periodicals. "of foreign origin in a language or
languages other than English" -- that is, foreign-
language periodicals of foreign publishers. Note:
a periodical published by 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.)
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.)
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.)
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.
I. 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="Ch. 6 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 a
lithographic or photoengraving process may be registered.
#### Examples :
(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.
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="Ch. 6 6.4.1" -->
## 6.4.1 When subject to manufacturing clause. (cont'd)
### III. Statutory exceptions.
a. In general. Lithographs and photoengravings, whether
published separately or in books, are exempted from
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
(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:
(a) The actual thing shown in the picture
(e.g., a real person or thing, such as
Winston Churchill, the Eiffel Tower, or
Mont Blanc), or
(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."
(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).
(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)
(2) Sketches created in the United
States for the purpose of repro:
duction as illustrations in a
book
3\. Illustration of a jscientific 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'â)
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
. 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)
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. :
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'd)
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.
## 6.4.3 Separate lithographs and photoengravingg.
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.
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.
### II. As to separate pictorial works.
a. 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 registration of the pictorial work is
not barred by the manufacturing clause.
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" -->
# 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
I. 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
I. Eligibility for U. S. Copyright
<!-- PageBreak -->
### Part 7.3 WORKS BY FOREIGN AUTHORS DOMICILED IN THE U. S.
### 7.3.1 In general
#### I. Permanent residence
II. Existence 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 small
<!-- 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 is
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 a Russian citizen may not be reg-
istered (unless first published in &
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 require-
ments. (See Supplementary Practice No. 39.)
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 ).
<!-- PageFooter="[1973]" -->
<!-- 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.).
<!-- PageFooter="(4-64)." -->
<!-- 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=". July NIE ..." -->
<!-- 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
1
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
as "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 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. "( But see topic
6.2.1, III. »; 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 rule
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 -->
## 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 of
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 -->
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" -->
##### 8.1.3 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 term is computed
from the date of first publication abroad.
(See topic 8.4.3.1.)
2\. Ad interim copyright may be extended to the
full term if an American 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 term 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 accompanied 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. (See 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 peridocial 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 -->
<!-- PageHeader=". 8 8.2.1" -->
<!-- PageHeader="Part 8.2 NOTICE OF COPYRIGIN'" -->
##### 8.2.1 General requirement of copyright notice.
I. First publication abroad. To secue 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 citi-
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 -->
<!-- PageHeader="Ch. 8 8.2.1" -->
##### 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 sale 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-
cation 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.I.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 Bf 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 @.
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" -->
##### 8.2.2 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 -->
<!-- PageHeader="Ch. 8 8.2.2" -->
##### 8.2.2 Form and position of notice. (cont'd)
###### II. Name of the copyright proprietor. (cont'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 Outsider;
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 on
Form A-B Ad Interim.
3\. In cases other than those described in paragraph
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 -->
<!-- PageHeader="Ch. 8 8.2.2." -->
###### 8.2.2. Form and position of notice. (cont'd)
##### II. Name of the copyright proprietor. (cont'd)
(a) Registration in the name in the notice, 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.
+. Where the U.S. edition of a work originally registered
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.
III. Date in the notice.
a. As a rule, 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 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 publica-
tion abroad. (37 C.F.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) if the work were first
published in the U.S. would be equally acceptable if
the work were first published abroad.
b. Where the author of a work is not a citizen or domiciliary
of the U.S., and the author is a citizen of a U.C.C. country
or the work was first published in a U.C.C. country, the
position requirements are satisfied if the notice is
"printed in such manner and location as to give reasonable
notice of claim of copyright." Where, in such cases, the
notice is a substantial departure from the ordinary require-
ments of § 20, a cautionary letter may be sent.
Examples:
(1) Notice on last page of book; accept as
"reasonable" but send cautionary letter.
(2) Notice on page 213 of 650-page book; reject.
<!-- 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 abroad are generally
subject to the same registration requirements as works
first published in the U. S. (See Chapters 5 and 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 # 9(c) are exempt from
the deposit, demand, and compliance provisions of the
statuta. (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 worka.
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 registrution 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 (0.215). 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 sent
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 a
work first published abroad are neither citizens
nor domiciliaries of the U.S., payment of the
registration fee may be waived if the following
deposits are made in the Copyright Office "within
six months from the date of first publication
abroad." (Code, § 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 the
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 is a U.S.
citizen or domiciliary.
<!-- PageBreak -->
<!-- PageHeader="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 8.4.1" -->
## 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 may be ex-
tended to the full term if an American edition is manu-
factured and published within the five-year period and
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, see
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.
i. 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 entirley manufactured
abroad (see topic 6.2.2).
d. It must have been first published abroad (see topic
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.I.).
#### III. Copyright Office policy concerning ad interim registration.
a. In general. As a rule, where it is reasonably arguable
that the manufacturing and 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 another class or dual registration (see
topic 6.2.1).
Examples :
(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 oook written partly by an American and
partly by a non-American U.C.C. author.
<!-- PageBreak -->
<!-- PageHeader="Ch. 8 8.4.3" -->
##### 8.4.2 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.
###### I. 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 ( §§ 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!a)
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 interun 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.
. 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., year 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.II.2. )
###### II. Notice on U. S. edition.
a. Where the U. S. edition of a work originally registered
ad interim contains no new matter, 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 8.4.5" -->
###### 8.4.4 Notice of copyright. (See Part 8.2). (cont'd)
###### 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 remainder. 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
temas provided in this title." (17 U.S.C. § 23. )
## IT. 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 bear the required statutory
copyright notice, including the year date 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. (cont'd)
### II. Requirements for full-term 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 should
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 made after the ad interim term has expired, as
a doubtful case. A cautionary letter will be sent in
such cases.
## III. Extension of subsisting ad interim copyrights under U.C.C.
a. The statute (§ 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 date, is automatically extended to
the full term.
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 reg-
istered on or before the effective date. It was 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 ad interim
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 meets the four
requirements specified in topic 8.4.6.II.a., above.
<!-- PageBreak -->
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<!-- 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
III. 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
I. 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
I. 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 -->
<!-- PageHeader="Ch. 11" -->
## 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. Revises published version
<!-- PageBreak -->
ر
<!-- 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 -->
# Ch. 11 11.1.2
## 11.1.2 Unpublished works. (cont'd)
II. Presumption of now 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.
A
<!-- 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.
11.2.2 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.
<!-- PageBreak -->
<!-- PageHeader="Ch. 11 11.2.2" -->
## 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.
<!-- PageBreak -->
<!-- PageHeader="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 -->
# 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 -->
<!-- PageHeader="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 -->
# 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 never 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 -->
<!-- PageHeader="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.
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 widow doos not lose her renewal rights
upon romarriage.
b. A divorced spouse is not an acceptable
ronowal 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 ro-
neval claim in the name of an illegitimate
child, whether acknowledged or not.
b. Adopted children are acceptable renewal
claimants.
c. 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."
,
.. The Copyright Office will request a new
application if a child is claiming renewal
as the author's "next-of-kin."
## 11.7.3 Executors.
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
Banes.
<!-- PageFooter="(January 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," a 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. Definitions. The term "next of kin" refers
only to blood relatives of the author.
a. It is not clear whether the term "next of
kin" refers 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. Definitions. (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="(January 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 -->
<!-- PageHeader="Ch. 11 11.7.4" -->
## 11.7.4 Next of kin. (cont'd)
### III. Will, no executor. (cont'd) a. (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="Ch. 11 11.8.1" -->
## Part 11.8 RENEWAL CLAIMANTS: PROPRIET ORS
### 11.8.1 Proprietors in general.
I.
Definition. 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 from
the original copyright owner.
### 11.8.2 Posthumous works.
I.
Propor 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-
thumous, 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" -->
### 11.8.2 Posthumous works. (cont'd)
#### II. Definitions. (cont'd)
b. Works registered as unpublished during the author's
life, but published after his death.
### 11.8.3 Composite works.
I. Proprietor-claimant. The proprietor of a periodic, cyclopedie,
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 -->
<!-- PageHeader="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" -->
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 11.9.2" -->
### 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 living 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
maile, 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 -->
<!-- PageHeader="Ch. 11 11.10.2" -->
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
V.
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 -->
<!-- PageHeader="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
mortgaged 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 reject 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) h. (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 -->
<!-- PageHeader="Ch. 12 12.2.1" -->
## 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 will be discouraged and, in appropriate
cases, refused.
<!-- PageFooter="[1973]" -->
<!-- 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 is clear that the applicant is
seeking to substitute recording a document
for registering a copyright claim, or to
assert by recordation a claim for which
registration would be refused, the document
will be rejected.
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 recordation.
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.
<!-- PageFooter="[1973]" -->
<!-- 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 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" -->
<!-- PageHeader="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 (o.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.
c. 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.
<!-- PageFooter="(Nov. 1959)" -->
<!-- PageBreak -->
<!-- PageHeader="Ch. 12 12.3.8" -->
#### 12.3.7 Completeness. (cont'd)
III. Incorporation by reference. When the terms of an-
other instrument are merely "incorporated by refer-
once" 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 errorg.
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 ono.
. Names and titles will generally be transcribed on
the index cards exactly as they appear in the doo-
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.
c. 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" -->
#### 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'di
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'd)
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 -->
<!-- PageHeader="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="Ca. 13" -->
###### Part 13.4 NOTICES OF INTENTION TO USE
###### 13.4.1 Definition
###### 13.4.2 Processing of Notices of Intention to Use
<!-- PageBreak -->
<!-- PageHeader="Ch. 13 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="Ch. 13 13.1.1" -->
### 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 a 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 .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.
[. 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="Ch. 13 13.2.6" -->
## 13.2.6 Other cases where a notice may or should be filed. (cont'd)
### 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.
[I. 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="Ch. 13 13.3.3" -->
<!-- PageHeader="13-12" -->
13.3.3 Title. (cont'd)
II. (cont'd)
Examples :
(2) Title on notice: "My Heart's a
Wanderer by James Schovill, in Pardon
My Past (Ep-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
13.4.1
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 a copy is sent to the Copyright Office. No special
form is required.
## 13.4.2 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.
. 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,
It
(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 provisiong. (cont'd)
V. "The scal used in the copyright office on July
1, 1909, shall be the scal of the copyright
office, and by it all papers issued from tho
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.
c. 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 -->
<!-- PageHeader="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
<!-- PageBreak -->
<!-- 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 Copyrights.
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;
see Part 15.1.
2\. Assignments and other recorded documents,
which are returned to the sender with a
certificate of recordation.
<!-- PageBreak -->
<!-- PageHeader="Ch. 15 15.2.2" -->
### 15.2.2 Nature 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 records. 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-
tration 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))
<!-- PageBreak -->
<!-- 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?
<!-- PageBreak -->
<!-- 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.
<!-- PageBreak -->
<!-- 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-
mont 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-
sace Search Section for searching. The
same is true if the registration number
and title (or other information given)
do not coincide.
<!-- PageBreak -->
<!-- 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)
<!-- PageBreak -->
<!-- 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.
c. 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 Proparation erd handling of certified doerrants. (cont'd) II. Need for speed and accuracy. (cont'd)
b. When the records needed to prepare a certi-
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.
III. Was 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 certificateg.
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" -->
##### 5.3.1 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.
### [II. 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" -->
#### 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
15.2.2.1I.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" -->
<!-- PageHeader="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" -->
### 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 -->
<!-- PageHeader="S-1" -->
## SUPPLEMENTARY PRACTICES TABLE OF CONTENTS
Number
Title
Page
1
COMMERCIAL PRINTS AND LABELS
S-2
2
PATENT APPLICATIONS
S-5
3
UNPUBLISHED COLLECTIONS
S-6
4
INSIGNIA
S-7
5
SINGLE APPLICATION FOR SEVERAL VERSIONS OF THE SAME WORK
S-8
6
OBSCENE WORKS
S-9
7
CONFIDENTIAL MATERIAL
S-10
8
WORKS OF ART (Withdrawn, July 19/3)
S-11
9
GOVERNMENT PUBLICATIONS
S-16
10
MECHANICAL REPRODUCTION OF TEXT MATTER
S-20
11
PRACTICES CONCERNING "REFERRALS"
S-21
12
PRACTICES: VARIANCE IN CLAIM INVOLVING FOREIGN BUSINESS ORGANIZATION TERMINOLOGY
S-42
13
REFERRAL OF CERTAIN CASES INVOLVING PUBLISHED WORKS FROM THE EXAMINING DIVISION TO THE COMPLIANCE SECTION, REFERENCE DIVISION
S-45
14
MUSIC EXAMINING: NEW MATTER MINIMAL OR NOT CLEARLY STATED
S-47
15
CANCELLATION CASES
S-48
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
S-50
HAVE OBSERVED BEFORE COMPLETING THE ENTRY
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
## SUPPLEMENTARY PRACTICES TABLE OF CONTENTS (continued )
.
Number
Title
Page
17
UNITED STATES COPYRIGHT RELATIONS AND ACCEPTABLE STATEMENTS OF CITIZENSHIP (Withdrawn, July 1973)
S-52
18
NOTICE CONTAINING THE YEAR DATE IN WHICH COPYRIGHT WAS SECURED PLUS AN EARLIER DATE OR DATES NOT APPLICABLE TO THE WORK
S-73
19
ANNOTATION IN ANTEDATED NOTICE CASES WHERE THERE IS MORE THAN ONE YEAR DATE IN THE NOTICE
S-74
20
REVISED PROCEDURE FOR APPEAL CASES
S-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]
S-78
22
DATES OF RECEIPT APPEARING ON THE APPLICATION AND COPIES OR COPY
S-81
23
RETURN OF DEPOSIT COPIES IN CASES WHERE NO REPLY HAS BEEN RECEIVED TO COPYRIGHT
S-84
OFFICE CORRESPONDENCE
24
RIDERS TO APPLICATIONS
S-85
25
INQUIRIES CONCERNING THE COPYRIGHT OFFICE AND OTHER DEPARTMENTS OF THE LIBRARY
S-87
26
CORRESPONDENCE IN CASES INVOLVING REPRINT MATERIAL
S-88
27
USE OF PSEUDONYMS IN THE COPYRIGHT NOTICE
S-89
28
SINGLE APPLICATION SUBMITTED FOR SEVERAL VERSIONS OF THE SAME PUBLISHED OR UNPUBLISHED WORK
S-92
29
SINGLE PAGE RULE FOR COPYRIGHT NOTICE
S-96
30
REFUNDING OF EXCESS FEES
S-98
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="S-1B" -->
### SUPPLEMENTARY PRACTICES TABLE OF CONTENTS (continued)
Number
Title
Page
31
REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD
S-99
32
ORAL ADVISORY OPINIONS CONCERNING REGISTRABILITY
S-121
33
RECORDATION OF DOCUMENTS SUBMITTED BY GOVERNMENT AGENCIES WITHOUT PAYMENT OF THE STATUTORY FEE
S-122
34
PROPER "APPLICATION RECEIVED" DATE ON APPLICATIONS FOR UNPUBLISHED WORKS
S-123
35
POSITION OF THE COPYRIGHT NOTICE ON COMPUTER PROGRAMS OF DOMESTIC ORIGIN FIRST PUBLISHED IN THE FORM OF MACHINE READABLE TAPE OR MACHINE PUNCHED CARDS
S-125
36
REFLECTION IN THE COPYRIGHT OFFICE RECORDS OF LIMITING STATEMENTS APPEARING NEAR THE COPYRIGHT NOTICE
S-127
37
THE USE OF A SURNAME ONLY IN THE COPYRIGHT NOTICE
S-129
38
STANDARD REFERENCE DATA ACT CLAIMS BY THE U.S. GOVERNMENT: REGISTRATION WITHOUT A FEE
S-132
39
CITIZENSHIP OF CLAIMANT IN POSTHUMOUS WORKS
S-134
<!-- PageFooter="[1973]" -->
<!-- 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 -->
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 by the Copyright
Office. The Office will use the extra deposit copies
(those in excess of two) in fulfilling requests for
a copy of the print or label. Such extra copies may
be furnished to anyone upon written request. A copy
of the written request or letter of transmittal will
be placed in the print or label folder. [July 1952]
<!-- 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 -->
<!-- PageHeader="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 through S-15" -->
# No. 8 WORKS OF ART
(pp. S-11 through S-15)
Withdrawn as Supplemental Practice and
incorporated in Chapter 2, July 1973.
<!-- PageFooter="[July 1973]" -->
<!-- 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 work authored by a U.S. Government agency (i.e., by its
officers or employees as a part of their official duties),
regardless of whether it is published or unpublished, is
a U.S. Government publication and is not copyrightable.
Examples :
(1)
Acts of Congress.
2\) Executive orders or proclamations.
(3) Agency rules and regulations, bulletins, reports,
forms, circulars.
(4) Federal court decisions.
Exceptions :
(1) Under Section 8, Title 17, U.S.C. the Postmaster
General is authorized to secure copyright on behalf
of the United States in black and white illustrations
of U.S. postage stamps, together with such descriptive,
historical, and philatelic information with regard to
the stamps as the Postmaster General deems suitable.
(2) Under Section 6 of the Standard Reference Data Act,
82 Stat. 340, the Secretary of Commerce may secure
copyright on behalf of the United States as author or
proprietor of any standard reference data that he pre-
pares or makes available under the Act.
2\. A copyright claim by a private person in a reprint of a
Government publication is not registrable (unless it contains
copyrightable new matter.)
<!-- PageBreak -->
3\. An appropriate disclaimer should be given on the applica-
tion where a work contains a substantial amount of Govern-
ment material as well as material privately authored.
However, where the Goverment material is very minor no
disclaimer is necessary provided the work is not a collective
work. (For the practice as to collective works, see item
II.b.6). If the examiner has a doubt as to whether the
Government material is "very minor, " he should write for a
disclaimer. In no case should the examiner accept an appli-
cation which lists a Government officer or employee as an
author of Government material no matter how minor that
material may be.
4\. If the Office has information indicating that a work printed
and distributed privately with a copyright notice was authored
by a U.S. Government agency, we will inquire as to the Govern-
ment's authorship of the work.
Examples :
(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 U.S.
Government.
b. Private authorship.
1\. A work whose author is a Goverment officer or employee who
had prepared the material on his own time as his own personal
work and not as a part of his official duties, is not a
Government publication and may be considered for registration.
2\. A work prepared under a Government grant or contract, or
sponsored by a Government agency, may be considered for
registration without correspondence.
Example:
A work in which the copies bear the legend: "This report
prepared by Arthur Little Company under U.S. Defense
Department Contract LF-1330" and the Little Company is
named as claimant and author on the application.
3\. The work of a private author, though printed and distributed
by the Government for its use, is not necessarily a Government
publication. A copyright claim by the private author may be
registrable.
<!-- PageBreak -->
Example:
A scientific treatise by a private author who permits the
Defense Department to print and distribute copies to Army
personnel with a copyright notice in the author's name.
4\. When an individual is named as author in the application
but the work bears the indicia of a Government publication,
we will inquire as to the facts of Government or private
authorship of the work.
Examples :
(1) A Government agency is the claimant.
(2) The work appears to be an official Government report.
(3) The work was printed by the Government Printing Office.
5\. In the case of works otherwise registrable without disclaimer
which contain incidental material such as for example a short
preface, foreword, introductory statement or epilogue, regis-
tration may be considered without the necessity of a disclaimer,
even though the incidental material was written by a Congressman,
Senator, or other Government employee.
6\. If the author of one or more of the contributions to a
collective work (other than a periodical) is a Government
employee, we should inquire whether his portion was written
as a part of his official duties.
7\. Where a claim is based on new matter of private authorship
but the work contains Government material, if it seems appro-
priate in order to clearly indicate the basis of the claim,
we may request the new matter statement be accompanied by
a disclaimer.
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 organization is named as
the author or claimant, we will inquire as to the facts of Government
or private authorship. (See items II.b.3) and 4 above.)
IV. Claim by or on Behalf of the United States Government.
a. Except as specified in item II.a.l. above, a claim of copyright
by a particular agency of the U.S. Government, or by an officer
of the U.S. Government in his official capacity, or by an indi-
vidual "on behalf of" or "in trust for" the U.S. Government, will
be treated as a claim of copyright by the Government.
<!-- PageBreak -->
b. A claim of copyright by the U.S. Government in a published
work is an indication that the work is a Government publi-
cation, 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 the name of a private person and was
later acquired by the Government, registration may be con-
sidered in the name of the original claimant and we will
suggest recordation of the assignment to the Government.
### V. Governments Other Than the United States.
#### a. State governments.
Publications of State governments or of their local sub-
divisions (counties, cities, school boards, housing author-
ities, etc. ) do not fall within the prohibition of § 8. It
should be noted, however, that public ordinances, court decisions
and similar official legal documents of State and local govern-
ments are not considered copyrightable for reasons of public
policy.
#### b. District of Columbia.
Publications of the government of the District of Columbia will
be treated as publications of the U.S. Government.
#### c. Territories of the United States.
##### 1. Incorporated territories.
The governments of incorporated territories of the U.S.
(e.g., Puerto Rico) may be comparable with State govern-
ments, though this is a matter of doubt. Their publica-
tions may be accepted for registration with a cautionary
letter.
##### 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.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
### V. Governments Other Than the United States (cont'd)
#### d. Foreign governments.
Publications of the governments of foreign countries with
which we have copyright relations are acceptable for regis-
tration.
Exception: Registration will not be made for statutes,
court opinions, and similar official documents
which are inherently uncopyrightable in the
United States.
#### e. 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 registration.
### VI. Periodicals.
A disclaimer is not requested for a periodical despite the
presence of some Government material in it. However, where an
entire periodical appears to be an official publication of a
Government agency, it will be questioned.
<!-- PageFooter="[1973]" -->
<!-- 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.
### E. 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 a rule, the following cases should be referred:
1\)
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 Darm
Author on application: Committee on
Historical Continuity, Inc.
Action: Do not refer
b) On copies: By Cunningham Macomber
Author on application: Martin Maguire
(Cunningham Macomber)
Action: Do not refer
c) On copies: By Ernest Hemingway
Author on application: Anna Livia
Plurabelle
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 Author
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 cataloging, 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 E and E Foreign)
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 case 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
Action: Refer
music by Catarina Cataldo
<!-- 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 work.
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
full 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 vas
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 New Matter.
Statements appearing in this line 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 mey 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 Eu with a publication date on
the application.
2\) A work numbered 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-M.
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 cataloger 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.
### N. 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 case should not
be referred when the only difference between the copies
is in color.
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 name 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\) Mr. de Rais, claiming as widower of the
author.
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-
cation 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 par-
ticular application.
1\) A case should not be referred even
though the statement of the claimant's
name may contain errors in spelling or
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. Ormsby."
b) Claimant 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 Renewal 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 author.
2\) Executor of the estate of Edwin Arlington
Brunswick.
3\) Son of the author.
4\) Proprietor of a vork made for hire.
5\) Arranger.
d. Ordinarily the cataloger should make no effort to
evaluate the legal validity of a renewal claim as
stated on the application. If, in the ordinary
course of cataloging, 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 work identified
as a "play in three acts."
### B. Title
1\. A case should be referred where the title of the work
has been omitted 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-
newal claim covers.
<!-- PageBreak -->
Exemples :
a) On application: Son of The Wolf Man, I Love You
On original records: The North Dakota Waltz.
b) On application: Sperryville, Va., Northwest
Quarter
On original records: Sperryville, Va.,
North Quarter
c) On 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) On 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: Rondo 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 periodical 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.
### E. 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 claim 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 words
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
number, 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
omission 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 may 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" -->
<!-- PageHeader="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="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 -->
# 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="S-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.
) 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
a 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
"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 UNPUBLISHED 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 owner, 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="S-52 through S-72" -->
# No. 17 . UNITED STATES COPYRIGHT RELATIONS AND ACCEPTABLE STATEMENTS OF CITIZENSHIP
(pp. S-52 through S-72)
Withdrawn as Supplemental Practice
July 1973.
<!-- PageFooter="[July 1973]" -->
<!-- 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="S-74" -->
<!-- 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="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 appeal 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. No
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="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="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,
stamp 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="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="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="S-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 -->
## 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="8-92" -->
<!-- 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 were 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 mummber
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, we 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.
Examples: 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 may 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-96" -->
## 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" -->
## No. 30
## REFUNDING OF EXCESS FEES
According to the Regulations of the Copyright
Office excess fees in the amount of $1.00 or less will not
be returned unless specifically requested by the remitter.
If a refund is requested, the amount will be refunded by
postage stamps.
Excess fees in the amount of $1.01 or more
will be refunded by check.
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
<!-- PageHeader="S-99" -->
<!-- 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.
## Part I
<!-- 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.
## Part 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.
## Part 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,
Part 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.
## Part 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.
## Part 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
Part 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 (i.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:
Part 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 l instead of the author's name.
## Part II
<!-- PageBreak -->
### III. 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.
## Part II
<!-- PageBreak -->
### III. 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.
Part 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).
<!-- 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.
## Part 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
Part 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).
Part 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.
Part 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.
Part 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 unpublished 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.
### Part 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. )
### Part IV
<!-- PageBreak -->
## No. 32
## ORAL DELIVERY OPINIONS CONCERNING REGISTRABILITY
Occasionally members of the public seek oral advice
concerning the registrability of their works in advance of filing
an application for registration. Such opinions are ordinarily
solicited in the course of a visit to the Public Information Office
of the Copyright Office. As a general rule, unless registration is
unquestionably impossible, we will advise that an application should
be filed to enable us to give the case thorough consideration. Usually
visitors are seen by Section Heads, Assistant Section Heads, or Senior
Examiners. These persons should refrain from giving opinions either
for or against registration and should not commit the Office to a
certain course of action, particularly where registrability is unclear
or doubtful for any reason.
Occasionally, the visitor may inadvertently bypass the
Public Information Office and may come directly to the Divison work
area for oral opinions. Such visitors should be referred to the
appropriate Section Head, Assistant Section Head or a Senior Examiner
and the above policy concerning visits to the Public Information Office
should be followed. Examiners other than Senior Examiners should not
discuss the registrability of a work, nor take any other action with
respect to it, before an application has been filed for registration
of the claim to copyright. For this purpose an application is not
considered to have been filed until it has been deposited in the custody
of authorized personnel in the Service Division or in the Public Infor-
mation Office. Examining Division personnel should ask members of the
public to take applications to the Public Information Office for filing.
<!-- PageFooter="[November 1967]" -->
<!-- PageBreak -->
## No. 33
## RECORDATION OF DOCUMENTS SUBMITTED BY GOVERNMENT AGENCIES WITHOUT PAYMENT OF THE STATUTORY FEE
According to an opinion of the Comptroller General dated
July 18, 1951 (90 USPQ 194), there is no legal objection to the
recordation of an assignment submitted by an agency of the United
States government without requiring that agency to pay the statutory
fee.
However, if a fee is received with a document, it will
be applied toward the recordation.
<!-- PageFooter="[April 1968]" -->
<!-- PageBreak -->
## No. 34
# PROPER "APPLICATION RECEIVED" DATE ON APPLICATIONS FOR UNPUBLISHED WORKS
It is important to have accurate dates stamped in the boxes
on pages 2 and 4 of the application for the registration of a claim in
an unpublished work since they play a vital role in computing the term
of copyright.
When an application lacks necessary information but is
otherwise acceptable, we usually return it for amendment and re-filing.
The date we receive the application again with the added statement is
stamped on it. Sometimes, we request a completely new application with
the additional information instead of returning the original application
for amendment. In response to this request, we may receive a new appli-
cation with the requested information but the application may be other-
wise unacceptable. For example, the wrong form may have been submitted.
Depending upon the circumstances and in accordance with established
practices, we may transfer the new information from the second application
to the original application with an annotation. The following practice
should govern the proper "application received" date in these cases:
A. If the original application lacked necessary information which
we added to it on the basis of a statement received in a later
application, we should add the date of receipt of that later
application to the "application received" boxes of the original
application. The original application, including the certificate
portion, should be annotated as follows:
*Added from new application received on
and filed with correspondence.
B. If the new application submitted at our request is unsigned but
otherwise correct, we should return the new application for sig-
nature.
C. If the applicant responds to our request for additional information
by telephone or in a covering letter, we should treat the new infor-
mation received in this manner as if it were information given on
a new application. We should add to the "application received" boxes
<!-- PageBreak -->
the date of the telephone call or the date the covering letter
was received. This procedure should be followed because the
claim was not acceptable until we received the missing infor-
mation. The application and certificate should be annotated
as follows:
*Added as per telephone call from
received on
.
See correspondence
file.
or:
*Added from letter signed by
received on
and filed with
correspondence.
Cases where necessary information is missing from the appli-
cation should be distinguished from those where there is an ambiguity
which is later clarified by correspondence and annotation. For example,
instead of sending a new application clarifying an authorship variance,
the applicant may state in a letter that the person listed at the author-
ship line is an employer for hire of the person named on the copy. We
may add this clarification to the application. The annotation will
usually show the date of receipt of the letter. We should not, however,
add this date to the "application received" boxes because the application
was correct and contained all the required information when it was first
filed.
For further information on the problem of applying dates
see Supplementary Practices No. 22: DATES OF RECEIPT APPEARING ON THE
APPLICATION AND COPIES OR COPY.
<!-- PageFooter="[Nay 1968]" -->
<!-- PageBreak -->
## No. 35
# POSITION OF THE COPYRIGHT NOTICE ON COMPUTER PROGRAMS OF DOMESTIC ORIGIN FIRST PUBLISHED IN THE FORM OF MACHINE READABLE TAPE OR MACHINE PUNCHED CARDS
In accordance with a decision made in April 1964, the
Copyright Office will accept computer programs for registration as
"books" in Class A, provided they contain the requisite amount of
authorship and meet the other registration requirements.
Where a program is first published in the form of punched
cards or on magnetic tape, the work does not have "pages;" this raises
the question of compliance with the requirement that the notice on a
"book" appear either on the title page or the page immediately following
the title page. While this provision cannot be ignored, it should not
be given an unreasonably strict construction. The following general
guidelines should govern these cases.
Our present practice requires a print-out of the entire
program to accompany the deposit copies where first publication was
in a form that cannot be perceived visually or read by humans. As
a general rule, the position of the notice should be considered
acceptable if it appears on the same page or fold of the print-out
as the title of the work. If the notice appears on a page or fold
other than that on which the title appears, the nature of the material
intervening between the title and the notice should be taken into con-
sideration in determining whether the position of the notice is acceptable.
If all, or a part of the substantive body of the work intervenes so that
it would be unreasonable to conclude that the notice appeared "on the
title page immediately following, " registration should be refused.
Where the deposit copies consist of a set of machine punched
cards that also bear printed material, a single copyright notice located
in an acceptable position will suffice to permit registration of the set.
A single card contains only a few words and should not necessarily be
equated with a "page." Consequently, registration should not be refused
if the copyright notice does not appear on the same card or the card
immediately following the one bearing the title. Where several cards
intervene between the title card and the card containing the notice,
again the nature of the material reproduced on the intervening cards
<!-- PageBreak -->
should be taken into consideration in determining whether the position
of the notice is acceptable. If all, or a part of the substantive
body of the work is reproduced on the intervening cards so that it would
be unreasonable to conclude that the notice appeared "on the title page
of the page immediately following, " registration should be refused.
Where a work is reproduced on machine punched cards that
are packaged in a box or other container intended as a permanent
receptacle for the cards, a notice located on the box or other con-
tainer may suffice if the title also appears on the box or container,
notwithstanding the fact that none of the cards themselves bear a notice
[See Copyright Office Regulations § 202.2(b) (10)].
<!-- PageFooter="[August 1968]" -->
<!-- PageBreak -->
## No. 36
## REFLECTION IN THE COPYRIGHT OFFICE RECORDS OF LIMITING STATEMENTS APPEARING NEAR THE COPYRIGHT NOTICE
The Office of Education has adopted a regulation which
contemplates that, for some works prepared under its contracts, the
contractor will be permitted to claim copyright for a limited time
only. The Office of Education will require the contractor in such
cases to add to the copyright notice a statement that copyright is
claimed only until a certain time, after which the work will be in
the public domain, according to the contractual agreement.
In this context, we have considered the question whether
statements appearing near the copyright notice that limit the rights
that the copyright claimant is asserting should be required to be
reflected in the application and referred to in the Catalog of Copy-
right Entries. Examples of such statements would be those that permit
certain uses of the work, or, as in the cases under the Office of
Education regulation, limit the duration of the copyright claim.
The following policy has been formulated:
1\. Limiting statements appearing with the copyright
notice, but not on the applications, are so
numerous and so various in nature that it would
not be practical as a general rule for the Office
either to require that they be included in the
application or to annotate the application.
2\. If such limiting statements are not reflected on
the application, the Office should not undertake
to reflect them in its catalog entries.
3\. If a limitation is stated in the application,
it should also be reflected in the catalog entry.
4\. The only instances known to us of an official
requirement that a copyright notice be accompanied
by a limiting statement is the Office of Education
regulation. We may not know in any particular case
<!-- PageBreak -->
whether a work containing such limiting state-
ment is one subject to the Office of Education
regulation and we should not undertake to inquire
in every such case.
We have informed the Office of Education that:
(a) If, in cases where it requires the limiting
statement to accompany the notice, it wishes
to have that statement reflected in our regis-
tration records, it should instruct the copyright
claimant to state the limitation in the application
for registration.
(b) If no such statement. appears in the application,
the limitation accompanying the notice will not be
reflected in our registration records.
If in the future we learn of any other governmental regulation
requiring a limitation, we will give the same information to the agency
concerned.
The above policy does not concern disclaimers, i.e., statements
of exclusion or limitation which indicate that some portions of the work
are not covered by the claim of copyright. The present practices of the
Office in this regard are not being changed.
<!-- PageFooter="[November 1968]" -->
<!-- PageBreak -->
J
)
☒
)
☒
<!-- PageBreak -->
### No. 37
### THE USE OF A SURNAME ONLY IN THE COPYRIGHT NOTICE
Generally the presence of only the surname of the copyright
owner in the notice of copyright is sufficient for registra-
tion purposes, unless the names of one or more other
individuals with the same surname appear in a position on
the copy that might mislead the public as to the identity of
the copyright proprietor.
In those instances where the general practice is followed
and registration is made, a cautionary letter should be sent
to the applicant explaining that while registration is being
made, one purpose of the copyright notice is to identify the
copyright proprietor, and that the use of the surname only
in the notice may be of doubtful validity.
The following hypothetical cases illustrate this general
rule, and set out the practices to be followed in each case.
1\. Where the copyright notice contains only the pro-
prietor's surname and the copies do not bear the
full name of any individual with that surname
placed in such a position that it might mislead
the public as to the identity of the copyright
proprietor, we should register the claim with a
warning letter and an annotation showing that
only the surname appears in the notice.
In notice: Smith
On copy : No full name with the surname Smith
In appl. : Claimed by John Smith
Practice : Register with a warning letter and an
annotation showing that only the sur-
name appears in the notice. Where it
is necessary that we request an
application, our letter should instruct
the applicant to state the relationship
<!-- PageFooter="[1973]" -->
<!-- PageBreak -->
between the surname and the claimant's
name given at line 1. For example,
line 1 could read: "Smith, surname of
John Smith." An annotation should not
be placed on an application showing
the relationship at line 1.
2\. Where the copyright notice contains only the pro-
prietor's surname and the copies do not bear the
full name of any individual with that surname
placed in such a position that it might mislead
the public as to the identity of the copyright pro-
prietor, and line 1 of the application lists two
or more individuals with the same surname as
proprietors, we should register the claim with a
warning letter and an annotation showing that only
the surname appears in the notice.
In notice: Smith
On copy : No full name with the surname Smith
In appl. : Claimed by John Smith and Jean Smith
Practice : Same as example 1.
3\. Where the copyright notice contains only the pro-
prietor's surname and his full name appears on the
copies we should register the claim provided the
copies do not bear the full name of any other
individual with that surname placed in such a
position that it might mislead the public as to
the identity of the copyright proprietor.
In notice: Smith
On copy : John P. Smith
In appl. : Claimed by John P. Smith
Practice : Same as example 1, except where regis-
tration is being made in Classes F-K.
Because of the statutory notice provi-
sions for works in Classes F-K,
registration should be made without
either a warning letter or an annotation.
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4\. Where the copyright notice contains only the proprie-
tor's surname and his full name appears on the copies,
but the full name of another individual with the same
surname who is not included as a copyright proprietor
on line 1 of the application also appears on the
copies in such a position that it might mislead the
public as to the identity of the copyright proprietor,
we should correspond to ascertain whether the name of
the other individual is entitled to be listed on
line 1 of the application as a copyright proprietor.
If the correspondence reveals that the other individ-
ual is also entitled to claim copyright in the work,
a new application should be requested with the appro-
priate explanatory statement given on line 1. In the
event the other individual whose name appears on the
copy is not entitled to claim copyright in the work,
with the exception of works falling in Classes F-K,
registration must be refused on the ground that use
of the surname alone in the notice under these
circumstances fails to adequately identify the copy-
right proprietor. Registration with a warning letter
may be made under these circumstances for works
falling in Classes F-K.
In notice: Smith
On copy : Jean Smith and John Smith
In appl. : Claimed by John Smith
Practice : Correspond to ascertain whether Jean
Smith is also entitled to claim copy-
right in the work, in which case a new
application should be filed with the
statement "Smith, surname of John Smith
and Jean Smith" appearing on line 1.
If correspondence reveals that "Jean
Smith" is not entitled to claim copy-
right in the work, registration must
be refused in classes other than F-K
on the ground that use of the surname
alone in the notice under these cir-
cumstances fails to adequately identify
the copyright proprietor. If the work
falls in Classes F-K and correspondence
has revealed that "Jean Smith" is not
entitled to claim copyright in the work,
registration should be made with a warn-
ing letter.
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## STANDARD REFERENCE DATA ACT CLAIMS BY THE U.S. GOVERNMENT : REGISTRATION WITHOUT A FEE
The Standard Reference Data Act, Public Law 90-396 (15 U.S.c.
290), provides that the Secretary of Commerce may secure copy-
right and renewal thereof on behalf of the United States as
author or proprietor in standard reference data prepared or
made available under the Act.
This Office has concluded that the registration fee will be
waived for works submitted in accordance with the Standard
Reference Data Act.
In registering works under the Standard Reference Data Act
without a registration fee two annotations should be made on
both the application and the certificate.
The first annotation involves placing an asterisk at both
lines 1 and 3, generally. The asterisk should be placed at
both lines 1 and 3 of the application and certificate to
indicate that registration of the claim is authorized on the
basis of the Standard Reference Data Act, even though the
Government is the proprietor and author, and the asterisk
should be keyed to the comment in the annotation box. If
the Government is the proprietor, but not the author, the
asterisk should be placed at line 1 only.
Example :
The statement on the application would read :
\* Claim registered under the Standard Reference
Data Act, P.L. 90-396 (15 U.S.C. 290). (Cert.)
The statement on the certificate would read:
\* Claim registered under the Standard Reference
Data Act, P.L. 90-396 (15 U.S.C. 290).
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The second annotation involves placing two asterisks in the
fee box on both the application and certificate, and the
two asterisks should be keyed to the comment in the annota-
tion box. The fee box must be annotated in order to
indicate that in this particular case the fee is being
waived.
### Example :
The statement on the application would read :
** Fee Waived (Cert.)
The statement on the certificate would read :
** Fee waived
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## CITIZENSHIP OF CLAIMANT IN POSTHUMOUS WORKS
Topic 7.1.3. III of the Compendium states the basic
policy with respect to posthumous works, which is to request
the citizenship of the deceased author and the citizenship of
the copyright claimant. It is our position that the law is
unclear whether the citizenship of the deceased author or of
the claimant controls in posthumous work cases. The Compendium
contains no exceptions for cases where the name of the
deceased author appears in the notice and registration is
made with either "Estate of X" or "Y, executor of the estate
of X" given in the claimant line on the application. In this
situation, as well as where the estate or the executor is
named as the copyright owner in the notice, we should ask
for the citizenship of the copyright claimant, if the work
is posthumous. This practice applies in all cases except
where the work is eligible under the Universal Copyright
Convention by virtue of the place of publication.
Please note that we are not taking the position
that an "estate" as such necessarily has a citizenship.
There are doubts about the propriety of using "Estate of X"
in the notice (or at the claimant line of the application)
since the estate per se is not usually regarded as a legal
entity capable of holding property. Consequently, we should
not literally ask for the "citizenship of the Estate of X;"
we should ask for the citizenship of the claimant. The true
legal holder of the literary property interest (who is
presumably represented by the phrase "Estate of X") does
have a citizenship, and this is the information needed at
line 1. Title to personalty such as copyright usually
vests in the personal representative of the deceased author
in the case of a will. In case of intestacy the court would
usually appoint an administrator (depending upon the size
of the estate).
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Since eligibility to claim copyright is one of the
fundamental requirements of our law, the citizenship of the
claimant, as well as that of the deceased author, is
required in the posthumous work situation to assure a
complete legal record, except where the work is eligible
under the U.C.C. because of first publication in a U.C.C.
country other than the United States.
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## INDEX to COMPENDIUM OF COPYRIGHT OFFICE PRACTICES
\- A -
Page
ABANDONMENT OF COPYRIGHT See also ASSIGNMENTS AND RELATED DOCUMENTS
12-23
ABBREVIATIONS IN THE COPYRIGHT NOTICE, USE OF
As statutory element for Classes F to K
4-8
As variant form of claimant's name
4-20
See also NOTICE OF COPYRIGHT
ADDITION TO A COMPLETED RECORD, REQUEST FOR See also ASSIGNMENTS AND RELATED DOCUMENTS; 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
Extension of term under U.C.C. automatic See also UNIVERSAL COPYRIGHT CONVENTION
8-23
Note:
The page references shown in the right-hand column of
this INDEX 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 "15-3" designates the third
page in Chapter 15). The letter "S" preceding the
hyphen indicates pages appearing in the Addendum of
Supplementary Practices.
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## INDEX
Page
AD INTERIM COPYRIGHT (cont'd)
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 works first published
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 REGISTRATION CONTAINED A CLEAR DISCREPANCY WHICH THE COPYRIGHT OFFICE SHOULD HAVE OBSERVED BEFORE COMPLETING THE ENTRY
APPLICATION FORM, PROPER "APPLICATION RECEIVED"
DATE FOR UNPUBLISHED WORKS
S-123
See also PROPER "APPLICATION RECEIVED" DATE ON APPLICATIONS FOR UNPUBLISHED WORKS
APPLICATION FORMS, RIDERS TO
S-85
AQUATINTS
Manufacturing provisions inapplicable
6-20
- 2 -
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Page
ART, WORKS OF
2-271
See also WORKS OF ART (CLASS G)
ASSIGNMENTS AND RELATED DOCUMENTS Amendment of Copyright Office records by documents, 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 CAN-
CELLATION 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
As substitute for registration
12-10
Attachments
12-19
Authority to sign
12-14
Completeness, requirement of
12-18
Date of execution
12-21
Errors, freedom from obvious
12-20
Foreign assignment of copyright,
acknowledgment of
12-21
Formal sufficiency
12-11
Incorporation by reference of another
instrument
12-20
Indexing
Generally
12-16
Information from sources outside the
document
12-17
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 inconsistency
between
12-13
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INDEX
Page
ASSIGNMENTS AND RELATED DOCUMENTS (cont'd)
Document entitled to recordation (cont'd)
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, requirement 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 prerequisite
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
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
- 4 -
[19/3]
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BINDING OF BOOKS, see MANUFACTURING IN THE UNITED STATES :
Processes to be performed
BOOKS, see CLASS A MATERIAL
\- C -
CANCELLATION CASES
See also ASSIGNMENTS AND RELATED DOCUMENTS;
PRACTICES CONCERNING "REFERRALS"; REQUEST
FOR CORRECTION IN, ADDITION TO, OR
CANCELLATION OF A COMPLETED RECORD
S-48
CANCELLATION OF A COMPLETED RECORD, REQUEST FOR
See also ASSIGNMENTS AND RELATED DOCUMENTS;
CANCELLATION CASES; PRACTICES CONCERNING
"REFERRALS"
S-99
CERTIFICATE OF REGISTRATION
Additional copy, request for, see CERTIFICATIONS
Addressee appearing on
15-4
Duplicate copy, request for, see CERTIFICATIONS
Mailing of original
See also Returned by Post Office as
undeliverable
15-4
Preparation of original .
15-4
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
Authority to make, see Certifying officer
15-7
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Page
CERTIFICATIONS (cont'd)
Certificates of registration, additional, see Additional certificates of registration
Certified copies of copyright deposits
Authority to request
15-30
Conditions justifying requests for
Court order
15-31
Litigation, actual or prospective
15-30
Control of deposit by Copyright Office,
necessity of
15-31
Form and content (except Patent Office
deposits)
15-33
Form and content (Patent Office deposits only)
15-35
Permission to copy deposit, responsibility
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 REGISTRATION
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
15-11
Generally
15-8
Official records, certified copies of
15-9
Certified documents: preparation and handling
Copyright Office direction and control,
necessity of
15-15
Foreign proceedings, use of documents in
15-17
Mailing procedure
15-18
Speed and accuracy, importance of
15-16
Certified documents, requests for
Generally
15-11
Requirements and limiting conditions
15-14
Certifying officer
15-7
<!-- PageBreak -->
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Page
CERTIFICATIONS (cont'd)
Certifying officer, absence of
15-8
Commercial prints or labels, see Certified
copies of copyright deposits; Prints or labels deposited in the Patent Office
Copyright deposits, see Certified copies of copyright deposits; Certified documents : nature and kind
Correspondence, see Certified copies of corres- pondence; 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 provided
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 instrument of assignment or other document as recorded), see ASSIGNMENTS AND RELATED DOCUMENTS
Certification B (Certified copies of assign- ments and related documents)
15-26
Certification C (Certified copies of applica-
tions for registration except Patent Office applications )
15-26
Certification D (Certified copies of copyright deposits except Patent Office deposits)
15-33
Certification E (Additional certificates of
registration for prints or labels registered in Patent Office)
15-24
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
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Page
CERTIFICATIONS (cont'd)
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 documents: 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 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
Posthumous work
7-6
Work made for hire
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
(-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
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CITIZENSHIP AND DOMICILE OF AUTHOR (cont'd)
Domicile in U.S.A., effect of
Foreign author
Generally
7-3, 7-9
Waiver-of-fee option
8-15
Domicile in U.S.A., territories included
7-9
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
Mixed authorship, works involving See also MANUFACTURE IN THE UNITED STATES
6-10, 7-10
Policy regarding evidentiary value of statements of
7-4
"Proclaimed" countries Eligibility of citizens for U.S. copyright
7-3, 7-7
Stateless author
Definition
7-8
Eligibility for U.S. copyright
7-3, 7-8
U.S. author : eligibility
Foreign-language books and periodicals
6-8
Generally
7-3
See also MANUFACTURE IN THE UNITED STATES
CITIZENSHIP OF CLAIMANT IN POSTHUMOUS WORKS
S-134
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 ORGANIZATION
TERMINOLOGY
CLASS A MATERIAL
Copyright notice: requirements
Form prescribed
Position prescribed
Year date
4-8
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
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Page
CLASS A MATERIAL (cont'd)
Foreign works
7-3, 7-7
See also CITIZENSHIP DOMICILE OF
AUTHOR; PLACE OF PUBLICATION
Manufacturing requirement
6-3, 6-5
See also MANUFACTURE IN THE UNITED STATES
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
CLASS B MATERIAL, see PERIODICALS (CLASS B)
2-121
CLASS C MATERIAL, see WORKS PREPARED FOR ORAL DELIVERY (CLASS C)
2-141
CLASS D MATERIAL, see DRAMAS AND DRAMATICO-MUSICAL COMPOSITIONS (CLASS D)
CLASS E MATERIAL, see MUSIC (CLASS E)
2-181
CLASS F MATERIAL, see MAPS (CLASS F)
CLASS G MATERIAL, see WORKS OF ART (CLASS G)
2-271
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)
2-421
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)
2-571
CLASS M MATERIAL, see MOTION PICTURES (CLASSES L-M)
2-571
COLLECTIONS OF WORKS, UNPUBLISHED
S-6
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Page
COLLECTIVE WORKS, see COMPOSITE WORKS, CON-
TRIBUTIONS TO
COLLOTYPES
Manufacturing provisions inapplicable
6-20
COMMERCIAL PRINTS AND LABELS
S-2
See also COMMERCIAL PRINTS OR LABELS
(CLASS K, FORM KK)
COMMERCIAL PRINTS OR LABELS (CLASS K, FORM KK)
Classification of prints published in periodicals
2-130
Copyright notice: requirements
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
S-3
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
Trade-mark registration: effect upon
copyright
S-2
COMPLIANCE PROVISIONS OF THE LAW, IMPLEMENTATION
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
Renewal of copyright in
Generally
11-13
Proprietors of claims to
11-23
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Page
COMPOSITE WORKS, CONTRIBUTIONS TO (cont'd)
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
See also CLASS A MATERIAL
"COMPULSORY LICENSE"
13-3
See also NOTICE OF INTENTION TO USE; NOTICE OF USE
COMPUTER PROGRAMS : POSITION OF COPYRIGHT NOTICE ON
COMPUTER PROGRAMS OF DOMESTIC ORIGIN FIRST PUBLISHED
IN THE FORM OF MACHINE READABLE TAPE OR MACHINE
PUNCHED CARDS
S-125
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 purposes
2-130
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, relationship to
12-9
Requirements for
2-129
Renewal of copyright in
Generally
11-13
Proprietors of claims to
11-23
See also PERIODICALS (CLASS B)
COPIES DEPOSITED
Best edition
Doubtful due to character of copies
deposited or other information
5-13
Foreign works
8-15
Generally
5-11
Publication doubtful due to character of
copies deposited or other information
5-13
Two or more editions of different quality
5-11
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COPIES DEPOSITED (cont'd)
Completeness: entire work must be deposited
Date of receipt appearing on
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
Defects, freedom from substantial
Identity between deposit copies, necessity of
Manufacturing requirements, necessity of
affidavit attesting to compliance with
Notice of copyright
5-14
S-81
5-15
5-17
5-16, 6-13
5-16
Ad interim registration, works subject to
See also AD INTERIM COPYRIGHT
Works by foreign authors published abroad
before June 18, 1959
5-16
Works by foreign authors published abroad
on or after June 18, 1959
Works first published in the United States
Unpublished works
Published works
5-16
5-15
5-16
5-5ff
Return, in absence of reply to Copyright
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 ORGANIZATION TERMINOLOGY
COPYRIGHT CLAIMANT, see NOTICE OF COPYRIGHT;
RENEWAL OF COPYRIGHT
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Page
COPYRIGHT NOTICE, see NOTICE OF COPYRIGHT
COPYRIGHT NOTICE, SINGLE PAGE RULE FOR
S-96
See also NOTICE OF COPYRIGHT
COPYRIGHT OFFICE, INQUIRIES CONCERNING OTHER DEPARTMENTS OF THE LIBRARY AND
S-87
COPYRIGHT OWNER OR PROPRIETOR, see NOTICE OF COPYRIGHT : Claimant, identify of
COPYRIGHT REGISTRATION, CANCELLATION OF, see CANCELLA- TION CASES; REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD
COPYRIGHT RENEWAL, see RENEWAL OF COPYRIGHT
COPYRIGHT TERM, DURATION OF See also RENEWAL OF COPYRIGHT
11-7
CORRECTION IN A COMPLETED RECORD, REQUEST FOR
S-99
See also ASSIGNMENTS AND RELATED DOCUMENTS; CANCELLATION CASES; PRACTICES CONCERNING "REFERRALS"
CORRESPONDENCE
Absence of reply, return of deposit copies
S-84
in cases involving
Certified copies of
15-10, 15-28
See also CERTIFICATIONS
Inquiries concerning the Copyright Office and other departments of the Library
S-87
Reprint material, cases involving
S-88
CORRESPONDENCE IN CASES INVOLVING REPRINT MATERIAL
S-88
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
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DATE OF PUBLICATION (cont'd)
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
Qualified or indefinite date on application,
effect of
Separate parts, works published in
Works first published abroad
3-12
3-14
3-12
3-13
DATES OF RECEIPT APPEARING ON THE APPLICATION AND
COPIES OR COPY
S-81
See also PROPER "APPLICATION RECEIVED" DATE
ON APPLICATIONS FOR UNPUBLISHED WORKS
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 subject to
See also AD INTERIM COPYRIGHT
5-4, 8-19
Published works
5-3
Unpublished works
5-3
Waiver-of-fee option
5-4, 8-15
DESIGNS FOR WORKS OF ART, see WORKS Of ART
(CLASS G)
2-271
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
See also PRACTICES CONCERNING"REFERRALS";
UNPUBLISHED WORKS
S-50
DOCUMENTS, see ASSIGNMENTS AND RELATED DOCUMENTS;
CERTIFICATIONS
DOMICILE OF AUTHOR, see CITIZENSHIP AND DOMICILE OF AUTHOR
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## DRAMAS AND DRAMATICO-MUSICAL COMPOSITIONS (CLASS D)
Copyright notice: requirements
Published works
Form prescribed
4-8
Position prescribed
Year date
See also NOTICE OF COPYRIGHT
4-35, 4-38, 8-10, 8-13
4-27
Manufacturing provisions inapplicable
Registration
6-6
As prerequisite to renewal registration
11-11
Recordation of document, relationship 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
Form prescribed
4-8
Position prescribed
4-39, 8-10, 8-13
See
also NOTICE OF COPYRIGHT
Manufacturing requirement See also MANUFACTURE IN THE UNITED STATES
6-7, 6-20, 6-25
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
DRYPOINTS
Manufacturing provisions inapplicable
6-20
DURATION OF COPYRIGHT TERM
11-7
See also RENEWAL OF COPYRIGHT
\- E -
EDITING OF MUSIC, COPYRIGHTABILITY OF
S-47
ENGRAVING BY STIPPLE AND CRAYON
Manufacturing provisions inapplicable
6-20
[1973]
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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
Unpublished works, measurement of copyright term after correction involving See also UNPUBLISHED WORKS
S-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 distribution of copies without statutory notice
3-18
- F -
FEE INCREASE, PRACTICE CONCERNING CASES PENDING IN THE COPYRIGHT OFFICE ON NOVEMBER 26, 1965
S-78
FEE, REGISTRATION OF STANDARD REFERENCE DATA ACT CLAIMS BY U.S. GOVERNMENT WITHOUT PAYMENT OF
S-132
FEES, REFUNDING OF EXCESS
S-98
"FOLK SONGS, " NEW VERSIONS OF
S-47
FOREIGN BUSINESS ORGANIZATION TERMINOLOGY, VARIANCE IN COPYRIGHT CLAIM INVOLVING
S-42
FOREIGN GOVERNMENTS, REGISTRABILITY OF PUBLICATIONS OF
S-19
FORM U, USE OF, see NOTICE OF USE
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GENERAL PUBLICATION
Definition
3-4
Deposit of copies in public library, as
3-5
Indiscriminate gifts of copies, as
3-4
3-4
Leasing or renting of copies, as
Leaving copies in a public place for anyone
to take, as
3-4
Part of work, effect of publication of
3-5
Policy of Copyright Office regarding
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, works of
S-18
U.S. Government, works of
Generally
S-16
Standard Reference Data Act
S-132
\- H -
HAND PAINTINGS AND DRAWINGS
Manufacturing provisions inapplicable
6-20
\- I -
ILLUSTRATIONS, PICTORIAL OR GRAPHIC
Manufacturing requirement
See also MANUFACTURE IN THE UNITED STATES
See also LITHOGRAPHS AND PHOTOENGRAVINGS
6-20
\- 18 -
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INITIALS IN THE COPYRIGHT NOTICE, USE OF
As statutory 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
S-87
INSIGNIA, INQUIRY BY COPYRIGHT OFFICE REGARDING APPLICANT'S RIGHT TO USE WELL-KNOWN
S-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)
2-141
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
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\- M -
## MAGAZINES, see PERIODICALS (CLASS B)
2-121
MANUFACTURE IN THE UNITED STATES
Ad interim registration, works subject to
See also AD INTERIM COPYRIGHT
6-5
Affidavit
As evidence of U.S. manufacture
6-14
As prerequisite to registration in Class A
on Form A
6-13
Content of
6-14
Date of execution
6-17
Form of
6-14
Necessity of
6-3, 6-13
Books not printed
6-6
English-language books
See also AD INTERIM COPYRIGHT
6-5, 6-8
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
See also PLACE OF PUBLICATION
6-6, 8-10, 8-18
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 PHOTOENGRAVINGS
Illustrations in books
6-17, 6-20, 6-24
See also LITHOGRAPHS AND PHOTOENGRAVINGS
Lithographs and photoengravings
Generally
6-17, 6-20
Separate works registered in
Classes F through K
6-25
Statutory exception to manufacturing
requirement
6-21
See also LITHOGRAPHS AND PHOTOENGRAVINGS
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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 language 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 language 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 COPYRIGHT 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
Periodicals, requirements for
2-123, 6-18,
8-6
See also PERIODICALS (CLASS B)
Pictorial or graphic works other than
lithographs or photoengravings
6-20
Processes to be performed
Binding, lithographing, and photoengraving
6-12
Printing from type
6-11
Requirements in general
6-3
Territorial limits
6-3
MANUFACTURING CLAUSE, see MANUFACTURE IN THE UNITED STATES
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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 registration
11-11
Recordation of document, relationship to
12-9
MECHANICAL REPRODUCTION OF MUSIC
13-3, 13-15
MECHANICAL REPRODUCTION OF TEXT MATTER
S-20
MEZZOTINTS
Manufacturing provisions inapplicable
6-20
MOTION PICTURES (CLASSES L-M)
Classification as photoplays (Class L) or motion pictures other than photoplays
(Class M)
2-573
Copyright notice, see Registration require- ments : Published works
Definition
2-573
Exhibition or performance of
2-575, 3-9
Fees, registration
2-579
Filmstrips not registrable in Classes L and M
2-574
Manufacturing provisions inapplicable
2-577
New matter as basis of registration
2-580
Publication, nature of
2-575
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
Registration requirements Authorship, information required regarding
2-579
Published works
Copyright notice
Form prescribed
4-8
Position prescribed
4-40
Year date
4-27
See also NOTICE OF COPYRIGHT
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MOTION PICTURES (CLASSES L-M) (cont'd)
Registration requirements (cont'd)
Published works (cont'd)
Generally
2-577
Unpublished motion pictures
2-578
Scenarios, synopses, and outlines not registrable in Classes L and M
2-574
Scripts not registrable in Classes L and M
2-574
Sound tracks
2-574
Unit registration of related works
.2-580
MOVIES, see MOTION PICTURES (CLASSES L-M)
2-571
MUSIC (CLASS E)
Adaptations or arrangements of musical compositions
2-198
Books of
2-189
Compilations of
2-190, 2-200
Content, evaluation of
Musical
2-183ff
Textual
2-186ff
Copies deposited, nature and completeness of
2-192
See also COPIES DEPOSITED
Copyright notice: position
Effect upon classification
2-191
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
2-183
Editing of musical compositions
2-199, S-47
Lyrics, new
2-199
See also MUSIC EXAMINING: NEW MATTER
MINIMAL OR NOT CLEARLY STATED
Manufacturing provisions inapplicable
6-7
New versions or "new matter
2-198, S-47
Orchestrations, bandstrations, and instrumental parts
. 2-194
Registration requirements
Published musical compositions
2-197
Unpublished musical compositions
2-196
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MUSIC (CLASS E) (cont'd)
Revisions or additions
2-198, S-4/
Sound recordings unacceptable for deposit
in Class E
2-193
Textual content, evaluation of
2-186ff
Unpublished musical compositions,
collections of
2-197
MUSIC EXAMINING: NEW MATTER MINIMAL OR NOT
CLEARLY STATED
S-47
MUSIC, MECHANICAL REPRODUCTION OF
13-3, 13-15
See also NOTICE OF USE
- N -
NEWSPAPERS, see PERIODICALS (CLASS B)
2-121
NEW VERSIONS OF MUSICAL COMPOSITIONS, COPYRIGHTABILITY OF
S-47
See also MUSIC (CLASS E)
NOTICE CONTAINING THE YEAR DATE IN WHICH COPYRIGHT
WAS SECURED PLUS AN EARLIER DATE OR DATES NOT
APPLICABLE TO THE WORK
S-73
See also NOTICE OF COPYRIGHT: Year date
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
4-6, 8-20
See also AD INTERIM COPYRIGHT
Claimant, identity of
Assignee in notice
4-14
By reference, incorporated
4-12
Deceased person named in notice
4-12
Estate, executor, or administrator in notice
4-16,
7-6, S-134
Generally
4-10
Licensee in notice
4-16
Surnames, use of
4-10, S-129
Trustee in notice
4-13
Wrong claimant named in notice
4-13
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NOTICE OF COPYRIGHT (cont'd)
Concealed
4-41
Concealment or loss likely when work is placed in use
4-43
Different claimants named in notice and application
S-129, 4-26
Dispersed elements
General rule
4-33
Name of claimant separated
4-33
Other matters 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
Reflection in the Copyright Office records
of limiting statements appearing near the
S-127
copyright notice
Microscopic
4-41
Name of claimant: variant forms
Abbreviations, initials, trade names, etc.
4-20
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
Nicknames
4-23
Pseudonym
4-23, S-89
Trade name
4-20
Necessary for all works published in the United States
4-5
Nickname in
4-23
On computer programs of domestic origin first pub- lished in the form of machine readable tape or
machine punched cards, position of the copyright
notice
S-125
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NOTICE OF COPYRIGHT (cont'd)
On detachable tag, wrapper, or container
4-42
On dust jacket of book
4-44
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
Position prescribed
Books
4-6, 8-8
4-35, 8-10, 8-13
See also CLASS A MATERIAL
Classes F through K, works subject
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);
REPRODUCTIONS OF WORKS OF ART
(CLASS H); SINGLE PAGE RULE FOR
COPYRIGHT NOTICES; WORKS OF ART
(CLASS G)
Contribution to composite or collective work
Contributions to periodicals
4-36
4-38
See also CONTRIBUTIONS TO PERIODICALS
(CLASS B, FORM BB)
4-38
Dramas and dramatico-musical compositions
See also DRAMAS AND DRAMATICO-
MUSICAL COMPOSITIONS (CLASS D)
Motion pictures
See also MOTION PICTURES (CLASS L-M)
4-40
Music
4-38
See also MUSIC (CLASS E)
Periodicals
See also PERIODICALS (CLASS B)
4-36, 8-10, 8-13
Pseudonym in
4-23, S-89
See also Name of claimant: variant forms
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NOTICE OF COPYRIGHT (cont'd)
Single-page rule
4-39, S-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 require- ment 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
Unnecessary, but variance exists
4-32
See also ANNOTATION IN ANTEDATED NOTICE CASES WHERE THERE IS MORE THAN ONE YEAR DATE IN THE NOTICE; NOTICE CONTAINING THE YEAR DATE IN WHICH COPYRIGHT 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 regis- tered in unpublished form
4-28
Published work
4-28
U.S. edition of work previously published abroad
4-28
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
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NOTICE OF USE (cont'd)
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
New versions or "new matter"
13-9
Registration of works listed in notice
13-7
Titles
Musical composition, identification
of each
13-11
Number, determination of
13-13
Works recorded or licensed for
recording only
13-8
Requirement, statutory
13-4
See also Statutory provisions
Statutory provisions
"Compulsory license"
13-3
Exclusive right of copyright owner
13-3
Notice of intention to use, requirement of
13-4
See also NOTICE OF INTENTION TO USE
- 0 -
OBSCENE WORKS
S-9
ORAL ADVISORY OPINIONS CONCERNING REGISTRABILITY
S-121
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## ORAL DELIVERY, WORKS PREPARED FOR, see WORKS PREPARED FOR ORAL DELIVERY (CLASS C)
2-141
OWNER OF COPYRIGHT, see NOTICE OF COPYRIGHT:
Claimant, identity of
\- P -
PAINTING BY HAND
Manufacturing provisions inapplicable
6-20
PAMPHLETS, see CLASS A MATERIAL
### PATENT APPLICATIONS
S-5
PERIODICALS (CLASS B)
Contributions to
2-129
See also CONTRIBUTIONS TO PERIODICALS
(CLASS B, FORM BB)
Copyright notice: requirements
Form prescribed
4-8
Position prescribed
4-36, 8-10, 8-13
Year date
4-27
See also NOTICE OF COPYRIGHT; PLACE
OF PUBLICATION
Definition
2-125
Manufacturing requirement
2-123, 6-18, 8-6
See also MANUFACTURE IN THE UNITED STATES
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
Registration requirements
Contributions to periodicals
See also CONTRIBUTIONS TO PERIODICALS
(CLASS B, FORM BB)
2-129
Copyright notice, see Copyright notice:
requirements
Daily newspapers
2-128, 3-15
Generally
2-124, 5-4, 5-5
Magazines
2-127
Periodicals other than daily newspapers
2-127
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PHONOGRAPH RECORDINGS, see SOUND RECORDINGS
PHOTOENGRAVINGS, see LITHOGRAPHS AND PHOTOENGRAVINGS
PHOTOGRAPHS
Manufacturing provisions inapplicable See also PHOTOGRAPHS (CLASS J)
6-20
PHOTOGRAPHS (CLASS J)
Classification
As books in Class A
2-430
As contributions to periodicals in Class B
(Form BB)
2-431
Generally
2-425
Composition of
2-433
Copyright notice: requirements
Generally
2-439
Published works
Form prescribed
2-440, 4-8
Position 2-440,
4-39, 8-10, 8-13
Year date
2-440
U.C.C. notice
2-440, 2-441
See also NOTICE OF COPYRIGHT
Unpublished works
2-442
Copyrightability
Generally
2-432
New matter
2-438
Domestic works
2-425
Foreign works
2-426
Manufacturing provisions inapplicable
2-447, 6-20
Motion pictures unacceptable in Class J
2-424
See also MOTION PICTURES (CLASSES L-M)
Multiple photographs and collections See also COLLECTIONS OF WORKS, UNPUBLISHED
2-427
Old photographs as basis of claim
2-437
Publication of
2-439
Published as printed reproductions
2-424
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
Registration requirements
Application form prescribed
2-442
Deposit of copy or copies
2-443
Fee
2-445
Time limitation
2-446
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PHOTOGRAPHS (CLASS J) (cont'd)
Statutory provisions
2-423
Subject of photograph
As basis of claim
2-435
Generally
2-433
Text and compilations of photographs
2-425, 2-429
Unpublished collections of
S-6
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 on copy or copies deposited
8-9
See also COPIES DEPOSITED
Form and position prescribed
8-10, 8-13
Later publication
8-8
Name of claimant
Assignment, variance necessitating recordation of
4-14, 8-12, 12-6
See also ASSIGNMENTS AND RELATED DOCUMENTS; NOTICE OF COPYRIGHT
General rule
8-10
Two or more notices
8-11
Requirements generally
8-8
Territorial exclusion contained in
8-11
U.C.C. requirements
8-8
Registrability of later U.S. edition
8-7
Registration requirements
Ad interim material, see AD INTERIM COPYRIGHT
Assignment as prerequisite
8-12
"Best edition
8-15
See also COPIES DEPOSITED
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PLACE OF PUBLICATION (cont'd)
First publication abroad (cont'd)
Registration requirements (cont'd)
Exemptions under U.C.C.
8-18
See also UNIVERSAL COPYRIGHT CONVENTION
Fee prescribed
8-14
See also Waiver-of-fee option
Foreign or stateless author
8-14
Generally
8-7, 8-19
Notice of copyright, see First pub- lication abroad, Notice of copyright Time limitations
Ad interim material
8-19
See also AD INTERIM COPYRIGHT
Waiver-of-fee option
8-15
U.S. author
8-14
Waiver-of-fee option
8-15
Simultaneously in U.S.A. and in foreign
country
8-5
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
5-5
See also DEPOSIT OF COPIES
Fee prescribed
8-14
Manufacture
6-8
See also MANUFACTURE IN THE
UNITED STATES
Waiver-of-fee option not available
8-15
POSITION OF THE COPYRIGHT NOTICE ON COMPUTER PROGRAMS OF DOMESTIC ORIGIN FIRST PUBLISHED IN THE FORM OF MACHINE READABLE TAPE OR MACHINE PUNCHED CARDS
S-125
POSTHUMOUS WORKS
Citizenship of claimant
7-6, S-134
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
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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
Definition of "referral" and general policy
S-21
See also CANCELLATION CASES; REQUEST FOR
CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD
PRACTICES : VARIANCE IN CLAIM INVOLVING FOREIGN
BUSINESS ORGANIZATION TERMINOLOGY
S-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
4-3
Position prescribed
4.39, 8-10, 8-13
See also NOTICE OF COPYRIGHT
Fine art, works of
2-276
Manufacturing requirement See also MANUFACTURE IN THE UNITED STATES
6-7, 6-20, 6-25
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
Useful articles
Attractiveness distinguished from copyright-
ability
2-297
Embodiment of artwork in, effect of
2-286
PROPER "APPLICATION RECEIVED" DATE ON APPLICATIONS FOR UNPUBLISHED WORKS
S-123
PROPRIETOR OF COPYRIGHT, see NOTICE OF COPYRIGHT : Claimant, identity of
PSEUDONYM IN THE COPYRIGHT NOTICE, USE OF See also NOTICE OF COPYRIGHT
4-23, S-89
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### INDEX
Page
PUBLICATIONS OF GOVERNMENTS, COPYRIGHTABILITY OR
REGISTRABILITY OF
Foreign governments, works of
S-19
International governmental organizations, 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
2-515, 3-9
Performance, rendition, or presentation of
literary, dramatic, or musical work
3-7
Sound recordings, effect of sale of
3-10
See also GENERAL PUBLICATION; LIMITED PUBLICATION
- R -
RECEIPT, DATES OF, see DATES OF RECEIPT APPEARING ON
THE APPLICATION AND COPIES OR COPY; PROPER "APPLI-
CATION RECEIVED" DATE ON APPLICATIONS FOR UNPUBLISHED
WORKS
See also DETERMINATION OF EFFECTIVE DATE OF REGIS-
TRATION 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
S-99
See also ASSIGNMENTS AND RELATED DOCUMENTS;
CANCELLATION CASES; PRACTICES CONCERNING
"REFERRALS"
RECORDATION, see ASSIGNMENTS AND RELATED DOCUMENTS;
NOTICE OF USE
RECORDATION OF DOCUMENTS SUBMITTED BY GOVERNMENT
AGENCIES WITHOUT PAYMENT OF THE STATUTORY FEE
S-122
RECORDINGS: PHONOGRAPH, SOUND, AND TAPE
See SOUND RECORDINGS
- 34 -
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REFERRAL OF CERTAIN CASES INVOLVING PUBLISHED WORKS
FROM THE EXAMINING DIVISION TO THE COMPLIANCE
SECTION, REFERENCE DIVISION / ☒
S-45
"REFERRALS," PRACTICES CONCERNING
See also CANCELLATION CASES; REQUEST FOR
CORRECTION IN, ADDITION TO, OR CANCELLATION
OF A COMPLETED RECORD
S-21
REFLECTION IN THE COPYRIGHT OFFICE RECORDS OF LIMITING STATEMENTS APPEARING NEAR THE COPYRIGHT NOTICE
S-127
REFUNDING OF EXCESS FEES
S-98
REGISTER OF COPYRIGHTS
As certifying officer
15-7
See also CERTIFICATIONS
REGISTRATION, CANCELLATION OF COPYRIGHT, see CANCELLATION
CASES; PRACTICES CONCERNING "REFERRALS ; REQUEST FOR
CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD
See also ASSIGNMENTS AND RELATED DOCUMENTS :
Document amending Copyright Office records
REGISTRATION, CERTIFICATES OF, see CERTIFICATE OF
REGISTRATION
REGISTRATION OF UNPUBLISHED WORK, DETERMINATION OF
EFFECTIVE DATE WHERE ERROR WAS INVOLVED IN ORIGINAL
S-50
See also CANCELLATION CASES; PRACTICES CONCERNING
'REFERRALS"; REQUEST FOR CORRECTION IN,
ADDITION TO, OR CANCELLATION OF A COMPLETED
RECORD
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
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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
1.1-25
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
11-26
Works made for hire, renewal rights 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 composite 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, S-113
Copyright Office responsible
S-35
Extension-of-time proclamations, presidential
11-12
"New matter" in published version of work previously registered in unpublished form, presumption of
11-8
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, presumption of
"new matter" contained in
11-8
REPRINT MATERIAL, CORRESPONDENCE IN CASES INVOLVING
S-88
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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
2-276
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, relationship to
12-9
Useful articles
Attractiveness distinguished from
copyrightability
2-297
Embodiment of artwork in, effect of
2-286
REQUEST FOR CORRECTION IN, ADDITION TO, OR
CANCELLATION OF A COMPLETED RECORD
Duplicate registrations
S-102, S-118ff
See also Error, responsibility for
Error, responsibility for
Abandonment of copyright
12-23, S-102
Applicant responsible
Corrective entries
As distinguished from changes after registration
S-114
As distinguished from "substitute
entries'
S-113
Definition
S-113
Duplicate registrations
S-118ff
Processing of
S-115
Published works
Copies, special procedures
where registration involves errors in
S-116
Unauthorized publication
S-117
Time limitations
S-114
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REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A COMPLETED RECORD (cont'd)
Error, responsibility for (cont'd)
Applicant responsible (cont'd)
Duplicate registrations
S-102
Generally
S-101
Published works
Authorized publication
S-103
Unauthorized publication
S-10/
Unpublished works
Authorized registration
S-107
Unauthorized registration
S-112
See also ASSIGNMENTS AND RELATED DOCUMENTS
Change after registration
S-101
Copyright Office responsible
S-100
See also CANCELLATION CASES; PRACTICES CONCERNING "REFERRALS"
Procedures, initial
S-99
Registrations, duplicate
S-102, S-118ff
See also Error, responsibility for
See also ASSIGNMENTS AND RELATED DOCUMENTS; CANCELLATION CASES; PRACTICES CONCERNING "REFERRALS"
RESTRICTED MATERIAL, see CONFIDENTIAL MATERIAL
RETURN OF DEPOSIT COPIES IN CASES WHERE NO REPLY HAS BEEN RECEIVED TO COPYRIGHT OFFICE CORRESPONDENCE
S-84
REVISED PROCEDURE FOR APPEAL CASES
S-75
RIDERS TO APPLICATIONS
S-85
ROTOGRAVURE'S
Manufacturing provisions inapplicable
6-20
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INDEX
Page
- S -
SCULPTURE, see REPRODUCTIONS OF WORKS OF ART
(CLASS H); WORKS OF ART (CLASS G)
2-271
SERMONS, see WORKS PREPARED FOR ORAL DELIVERY (CLASS C)
2-141
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
SINGLE APPLICATION SUBMITTED FOR SEVERAL VERSIONS OF THE
SAME PUBLISHED OR UNPUBLISHED WORK
S-92
See also SINGLE APPLICATION FOR SEVERAL VERSIONS
OF THE SAME WORK
SINGLE-PAGE RULE FOR COPYRIGHT NOTICES
S-96
See also NOTICE OF COPYRIGHT.
SOUND RECORDINGS
Deposit for purposes of registration unacceptable
Musical compositions (Class E)
2-193
Works prepared for oral delivery (Class C)
2-145
Sale not generally regarded as publication of
material recorded
3-10
See also PUBLIC DISCLOSURE
1 SOUNDTRACKS
In motion pictures
2-574
STANDARD REFERENCE DATA ACT CLAIMS BY THE U.S.
GOVERNMENT: REGISTRATION WITHOUT A FEE
S-132
STATE GOVERNMENTS, REGISTRABILITY OF PUBLICATIONS OF
S-18
SURNAME ONLY IN THE COPYRIGHT NOTICE, USE OF
S-129
- T -
-
TAPE RECORDINGS, see SOUND RECORDINGS
TERRITORIAL GOVERNMENTS, COPYRIGHTABILITY OR REGISTRATILITY OF PUBLICATIONS OF
S-18
TEXT MATTER, COPYRIGHTABILITY OF MECHANICAL REPRODUCTION OF
S-20
- 39 -
[1973]
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TRADE NAME IN THE COPYRIGHT NOTICE, USE OF
4-20
See also NOTICE OF COPYRIGHT
TRANSFER OF COPYRIGHT, see ASSIGNMENTS AND RELATED DOCUMENTS
TWO OR MORE VERSIONS OF THE SAME WORK, ONE APPLICATION COVERING
S-8, S-92
- U -
UNIT REGISTRATION FOR WORK PUBLISHED IN SEPARABLE PARTS
S-8, S-92
UNIVERSAL COPYRIGHT CONVENTION
8-23
Ad interim copyrights, automatic extension of subsisting
See also AD INTERIM COPYRIGHT
Exemption from compliance provisions of the statute under
8-14
Exemption from manufacturing requirement under See also MANUFACTURE IN THE UNITED STATES
6-6, 8-18
Foreign works protected under
7-3, 7-7, 8-5
Parties to
Exemptions granted
Citizenship status as basis of See also CITIZENSHIP AND DOMICILE OF AUTHOR
6-6
Place of publication as basis of See also PLACE OF PUBLICATION
3-5
UNPUBLISHED COLLECTIONS
S-6
UNPUBLISHED WORKS
.
Copyright notice unnecessary See also Published versions
4-5
Copyright, renewal of
11-7
Deposit requirements
5-5
See also DEPOSIT OF COPIES
Errors in registration, correction of Applicant responsible See also ASSIGNMENTS AND RELATED DOCUMENTS
S-107, S-112
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UNPUBLISHED WORKS (cont'd)
Errors in registration, correction of (cont'd)
Copyright Office responsible
Date of registration, determination of effective
S-50
Generally
S-100
See also CANCELLATION CASES; PRACTICES CONCERNING "REFERRALS"
Generally
12-24
See also REQUEST FOR CORRECTION IN, ADDITION TO, OR CANCELLATION OF A
COMPLETED 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
USE, NOTICES OF, see NOTICE OF USE
USE OF PSEUDONYMS IN THE COPYRIGHT NOTICE
S-89
See also NOTICE OF COPYRIGHT
- W -
WIDOWS OR WIDOWERS, COPYRIGHT RENEWAL RIGHTS OF
11-16
WOOD CUTS
Manufacturing provisions inapplicable
6-20
WORKS NOT REPRODUCED FOR SALE, see UNPUBLISHED WORKS
WORKS OF ART (CLASS G)
Classification
As contributions to books or periodicals
2-280
As multi-page works
2-277
By purpose, function or use
2-286
Generally
2-275
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WORKS OF ART (CLASS G) (cont'd)
Copyright notice: requirements
Published works
Form prescribed
4-8
Position prescribed
4-39, 8-10, 8-13
See also NOTICE OF COPYRIGHT
Copyrightability
Pictorial or graphic material
2-287
Revisions and new matter
2-295
Sculptural material
2-290
Utilitarian articles
2-285, 2-297
Lace, deposit of copies as published
2-298
Manufacturing requirement
6-7, 6-20, 6-25
See also MANUFACTURE IN THE UNITED STATES
Multi-page works
Generally
2-277
Separate registration for individual
work of art appearing in
2-280
Pictorial or graphic material
As contributions to books or periodicals
2-280
Copyrightable subject matter
Generally
2-273, 2-287
Minimal standards
2-288
Unpublished collections of
2-280
See also COLLECTIONS OF WORKS, UNPUBLISHED
Purpose, function, or use for which the material
is designed as affecting classification
2-286
See also Utilitarian articles
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
Sculptural material
Copyrightable subject matter
Generally
2-273, 2-290
Minimal standards
2-291
Generally
2-284
Single-page works
Folders, fold-outs, or the like
2-276
Generally
2-275
Text, see Works of art and text combined
Textiles, deposit of copies as published
2-298
Three-dimensional works
2-284
Unpublished collections of
S-6
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WORKS OF ART (CLASS G) (cont'd)
Utilitarian articles
As works of art
2-285
Copyrightability
Attractiveness of design
2-297
Availability of protection under
design patent law
2-298
Works of art and text combined
2-274, 2-283
WORKS PREPARED FOR ORAL DELIVERY (CLASS C)
Copyright notice unnecessary
2-144
Definition of
2-143
Registration
As prerequisite to renewal registration
11-11
Recordation of document, relationship to
12-9
Registration requirements
Deposit of copy
Generally
5-5
Sound recordings unacceptable
2-145
Textual manuscript required
2-145
Non-dramatic textual works only
2-144
Sound recordings unacceptable as copy of
material reproduced on them
2-145
Unpublished works only
2-144
WRITINGS OF AN AUTHOR, see topic headings
under Chapter 2
☒
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