Chapter 100
______________
BASIC POLICIES
Outline of Topics
101 Basic policies.
102 The constitutional provision.
103 The copyright law.
104 The Copyright Office.
105 Statutory authority for examination.
106 Copyright Office Regulations.
107 The establishment, maintenance, and availability
of a public record.
108 The examination process.
108.01 Nature of examination.
108.02 Scope of examination.
108.03 Comparison of works.
108.04 Extent of copyright claims.
108.05 Factual determinations.
108.06 Adverse claims.
108.07 Rule of doubt.
108.08 Cautionary or warning letters.
108.09 Refusal to register.
108.10 Obscene or pornographic works.
108.11 Works containing classified information.
109 Communications between the applicant and the
Copyright Office.
109.01 In general.
109.02 Copyright Office communications.
109.03 Opinions and advice.
109.04 One letter concerning more than one application.
109.05 Communications from applicants.
109.06 Languages.
-1 -
[1984]
Chapter 100
BASIC POLICIES
Outline of Topics -2 -
110 Applicants.
110.01 Minors.
110.02 Mental incompetents.
110.03 Prisoners.
110.04 Paupers.
110.05 Agents.
110.06 Attorneys.
110.07 False representation.
111 Territorial limitations.
112 Recordations and Import Statements.
[1984]
CHAPTER 100
BASIC POLICIES
101 Basic policies. Set forth below are the policies
upon which the examining and related practices of
the Copyright Office are based.
102 The constitutional provision. The Constitution
of the United States provides, in Article I,
Section 8, that the "Congress shall have Power
...To promote the Progress of Science and
useful Arts, by securing for limited Times to
Authors and Inventors the exclusive Right to
their respective Writings and Discoveries."
103 The copyright law. The U.S. copyright law is
based upon the above provision of the Consti-
tution, especially as it relates to the
"Writings" of "Authors." The current copyright
law is the Copyright Act which became fully
effective on January I, 1978, including Title
17 of the United States Code, and amendments
thereof. The previous law was the Copyright
Act of 1909, as amended.
104 The Copyright Office. The copyright law provides
that all administrative functions and duties which
it imposes are, except as otherwise specified, the
responsibility of the Register of Copyrights as
director of the Copyright Office of the Library of
Congress and that the Register, together with sub-
ordinate officers and employees of the Office,
shall be appointed by the Librarian of Congress and
shall act under the Librarian's general direction
and supervision. See 17 U.S.C. 701(a). The Copy-
right Office is a department of the Library of
Congress, and the Register of Copyrights is also
Assistant Librarian of Congress for Copyright
Services. In addition to its principal function,
which is the performance of all duties relating to
the registration of copyrights, the policies and
practices of the Copyright Office are also designed
to promote the overall objectives of the Library of
Congress. See the Library of Congress Regulations,
LCR 215.
100-1
[1984]
100-2
105 Statutory authority for examination. Section
410(a) of the current law specifies that when,
"after examination, the Register determines that
...the material deposited constitutes copyright-
able subject matter and that the other legal and
formal requirements. ..have been met, the
Register shall register the claim and issue to the
applicant a certificate of registration under the
seal of the Copyright Office." Section 410(b)
provides that in "any case in which the Register
of Copyrights determines that. ..the material
deposited does not constitute copyrightable subject
matter or that the claim is invalid for any other
reason, the Register shall refuse registration and
shall notify the applicant in writing of the
reasons for such refusal." Section 205(a) states
that any "transfer of copyright ownership or other
document pertaining to a copyright may be recorded
in the Copyright Office." These provisions,
together with other pertinent sections of the law,
constitute the statutory basis for the examining
and related practices of the Copyright Office.
106 Copyright Office Regulations. The Register of
Copyrights is authorized by section 702 of the
copyright law to establish, subject to the approval
of the Librarian of Congress, regulations not
inconsistent with law for the administration of
the functions and duties made the responsibility of
of the Register. The Copyright Office Regulations,
including those relating to examination, registra-
tion, and recordation, are embodied in Title 37 of
the Code of Federal Regulations.
107 The establishment, maintenance, and availability of
a public record. The foregoing constitute the
basis for the establishment and maintenance by the
Copyright Office of a reliable and useful public
record which includes all registrations of copy-
right claims and recordations of documents
pertaining to copyrights. This record is made
available to the public by the Copyright Office
through (I) the issuance of certificates of copy-
right registration which attest that registration
[1984]
100-3
107 The establishment, maintenance, and availability
of a public record. (cont’d)
has been made and which may constitute prima facie
evidence of the validity of the copyright and of
the facts stated in the certificate, (2) the
publication of the Catalogs of Copyright Entries,
which provide the basic facts of registration for
all registered works, (3) the issuance of certi-
ficates certifying that transfers of copyright
ownership or other documents pertaining to copy-
rights have been recorded, (4) the issuance of
certified copies of applications, deposit copies,
documents, and various other materials submitted to
the Copyright Office in connection with registra-
tions and recordations, (5) the maintenance in the
Copyright Office of the Copyright Card Catalog, for
public use in searching for completed registrations
and recorded documents, and (6) the providing of a
Copyright Office reference service to furnish, by
means of written search reports, the facts of
registration and recordation contained in the files
of the Office. This system depends, for its
reliability and usefulness, primarily upon the
examination process.
108 The examination process. The examination process,
which is the principal means of creating and main-
taining a reliable and useful public record,
includes the examination of (I) the copies or
phonorecords of works submitted for registration,
(2) the application for registration, (3) all
other material and correspondence submitted with
the claim, and (4) copies of any copyright Office
correspondence relating to the registration of
the claim.
108.01 Nature of examination. Examination is made
to determine (I) whether or not the work for
which registration is sought constitutes copy-
rightable subject matter and (2) whether or not
the other legal and formal requirements have
been met, including those set forth in the
Copyright Office Regulations and in the Com-
pendium of Copyright Office Practices.
[1984]
100-4
108 The examination process. (cont'd)
108.02 Scope of examination. The Copyright Office
registers claims to copyright whenever the
requirements of the law appear to be met.
It does not grant copyrights.
108.03 Comparison of works. The Copyright Office does
not generally make comparisons of copyright
deposits to determine whether or not particular
material has already been registered.
108.04 Extent of copyright claims. In general the
registration of a claim to copyright is con-
sidered to extend to all the component parts of
the work which are the subject matter of copy-
right and in which the applicant has the right
to claim on the basis of the particular appli-
cation under consideration. Where part of the
work was previously published or was covered by
a previous registration, the copyright claim as
reflected in the application should generally
..be limited to the new material covered by the
claim being registered. Also, where a work ,
contains material which is unpublished and
unregistered, and where the claim does not
extend to such material, the application
should reflect this limitation in the scope
of the registration. Moreover, the coverage
of a registration cannot, subject to certain
exceptions, extend beyond the material
deposited to make that registration.
108.05 Factual determinations. In connection with
its examining and related activities, the
Copyright Office does not ordinarily make
findings of fact with respect to publication
or any other thing done outside the Copyright
Office.
108.05(a) Requests for explanation. The Copyright
Office reserves the right to request, in
appropriate cases, explanations of state-
ments made by an applicant.
[1984]
100-5
108 The examination process. (cont'd)
108.05 Factual determinations. (cont'd)
108.05(b) Administrative notice. The Copyright
Office may take notice of matters of
general knowledge. It may use such knowl-
edge as the basis for questioning applica-
tions that appear to contain or be based
upon inaccurate or erroneous information.
108.06 Adverse claims. The sequence of receipt in
the Copyright Office of separate claims by two
or more applicants plays no part in determining
registrability. Where the Copyright Office is
aware that two or more persons or organizations
are adversely claiming copyright in, and are
seeking separate registrations for, the same
material, the Office may inform each applicant
of the existence of the other claim(s) and
inquire concerning the basis of each claim.
All such claims will be registered if they are
reasserted and if they are in order as con-
firmed by the response to the Copyright Office
inquiry. The Copyright Office does not conduct
"opposition" or "interference" proceedings such
as those provided by the Federal trademark and
patent laws.
108.07 The rule of doubt. The Copyright Office will
register the claim even though there is a
reasonable doubt about the ultimate action
which might be taken under the same circum-
stances by an appropriate court with respect
to whether (I) the material deposited for
registration constitutes copyrightable subject
matter or (2) the other legal and formal
requirements of the statute have been met.
108.08 Cautionary or warning letters. When regis-
tration is made under the rule of doubt, the
copyright Office will ordinarily send a letter
to the applicant cautioning that the claim may
not be valid and stating the reason: and such
letter may warn, where appropriate, that the
[1984]
100-6
108 The examination process. (cont'd)
108.08 Cautionary or warning letters. (cont'd)
problem may exist for future works and point
out how it can be avoided. The Office may
send the letter and withhold the application
until specifically authorized by the applicant
to make registration, or it may make registra-
tion before sending the letter.
108.09 Refusal to register. The Copyright Office will
not register a claim where (I) the material
deposited does not constitute copyrightable
subject matter or (2) the claim is invalid for
any other reason. See also section 108.07
above concerning the rule of doubt. The Office
will notify the applicant in writing of the
reasons for such refusal.
108.10 Obscene or pornographic works. The Copyright
Office w111 not ordinari1y attempt to examine a
work to determine whether it contains material
that might be considered obscene or pornographic.
108.11 Works containing classified information. When,
in examining or processing materials received
in the Copyright Office, it is noted that such
material contains, or reasonably appears to
contain, information classified by the U.S.
Government for such reasons as national defense
or national security, (1) the appropriate
security official of the Library of Congress
should be immediately notified through super-
visory channels, (2) the material should be
held or disposed of in accordance with
instructions from that official, and (3) the
examination or other processing of the material
by the Copyright Office should be suspended
until the matter is resolved.
109 Communications between the applicant and the Copy-
right Office. Communications between the Copyright
Office and applicants may be by letter or other
written means, by telephone, or by personal inter-
view.
[1984]
100-7
109 Communications between the applicant and the Copy-
right Office. (cont'd)
109.01 In general. As a general policy the Copyright
Office may register claims without communica-
ting with the applicant whenever possible. The
Copyright Office will communicate with the
applicant before registration only when the
claim as a whole is not in substantial compli-
ance with the practices of the Copyright Office
as reflected in this Compendium.
109.02 Copyright Office communications. All Copyright
Office communications should be clear in meaning,
concise in statement, and polite in tone.
109.03 Opinions and advice. Copyright Office communi-
cations that result from the examination of
claims should be limited to questions concern-
ing registration and related matters. They
should conform to the general policy of the
Copyright Office by avoiding the expression of
opinions or the offer of advice on such matters
as the rights of persons in connection with
contracts or alleged infringements. Also,
there should be no offer or undertaking to
resolve disputes concerning conflicting claims
to copyright or similar matters. See section
108.06 above, concerning adverse claims.
109.04 One letter concerning more than one applica-
tion. When more than one application is sub-
mitted to the Copyright Office by an applicant
in one package, the Office will ordinarily
attempt to deal in a single letter with all of
those applications which require correspon-
dence, rather than produce a separate letter
for each one. Also, the Office may deal in
one letter with materials received separately
from a single applicant.
109.05 Communications from applicants. The Copyright
Office will generally-consider all statements
and materials submitted by applicants. However,
any abusive or scurrilous written materials
[1984]
100-8
109 Communications between the applicant and the Copy-
right Office. (cont'd)
109.05 Communications from applicants. (cont'd)
directed to the Office or any of its employees
will be returned unanswered: see 37 C.F.R.
201.2(c)(4). Similarly, Copyright Office
employees will terminate any conversation
or interview, if an applicant makes abusive
or scurrilous statements, or engages in
threatening behavior.
109.06 Languages. The Copyright Office will ordi-
narily write to applicants only in the English
language and will ordinarily conduct conver-
sations and interviews with applicants only in
English. As a general rule, the Office is
willing to entertain applications and record
documents that are in languages other than
English, and to deal with correspondence from
applicants which is in a language other than
English. In special cases, however, the Office
may require the submission of an English
translation of statements on applications,
documents, or correspondence before it takes
action.
110 Applicants. The applicant for registration may
be the author or other copyright claimant, or the
owner of exclusive right(s) in the work. Moreover,
a duly authorized agent may apply for registration
on behalf of such author, claimant, or owner.
110.01 Minors. The author, claimant, or owner can
be a minor, even though State law may regulate
or control business dealings involving minors.
The Copyright Office will generally accept an
application submitted either by a minor or by
the minor's parents or guardian, if it is
otherwise in order.
110.02 Mental incompetents. The author, claimant,
or owner can be a mentally incompetent person.
If a committee or guardian has been appointed
for a person adjudged to be incompetent, such
committee or guardian should generally serve
as agent of the applicant.
[1984]
100-9
110 Applicants. (cont'd)
110.03 Prisoners. The author, claimant or owner can
be an inmate of a prison or other penal insti-
tution. The Copyright Office will generally
accept an application submitted by such a
person as applicant, if it is otherwise in
order.
110.04 Paupers. There is no provision of law which
requires or permits the waiver or reduction of
the registration fee or any other registration
requirement of the copyright law on the grounds
that the applicant is a pauper or is otherwise
impecunious.
110.05 Agents. Any duly authorized agent may act on
behalf of the applicant. The Copyright Office
will generally accept the statement of a person
that he or she is acting as the agent of the
author, claimant, or owner. However, the
Office may, in special cases, request such
agent to submit documentation showing that he
or she is empowered to act for the author,
claimant, or owner. Where such author,
claimant, or owner is other than a natural
person (for example, where a corporate entity
is the claimant), the application must be sub-
mitted by a natural person acting as agent.
The name of a corporate entity or other organi-
zation is not acceptable as the signature of
the applicant or agent unless it is accompanied I
by the signature of a natural person authorized
to sign on behalf of such entity or organiza-
tion.
110.06 Attorneys. The Copyright Office does not
require that the author, claimant, or owner
be represented by an attorney, although the
Office may suggest in special cases that the
applicant consider seeking the advice of an
attorney. No special qualifications or test
is imposed on lawyers as a condition to dealing
with the Copyright Office.
[1984]
100-10
110 Applicants. (cont'd)
110.07 False representation. The copyright law pro-
vides that any person who knowingly makes a
false representation of a material fact in an
application for registration, or in any written
statement filed in connection with an appli-
cation, shall be guilty of a criminal offense
and shall be fined not more than $2,500. See
17 U.S.C. 506(e).
111 Territorial limitations. The U.S. copyright law
has no extraterritorial effect in that generally
its provisions with respect to infringement extend
only to violations occurring in the United States.
Since the practices of the Copyright Office spring
solely from the U.S. law, ordinarily the Compendium
of Copyright Office Practices deals only with U.S.
copyright, unless it expressly states otherwise.
112 Recordations and Import Statements. The basic
policies set forth above also apply, with some few
alterations and exceptions, to the recordation of
transfers of copyright ownership and other docu-
ments pertaining to copyrights, and to requests for
the issuance of Import Statements. See Chapter
1200: MANUFACTURING PROVISIONS, and Chapter 1500:
CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT OFFICE
RECORDS: SUPPLEMENTARY REGISTRATIONS.
[END OF CHAPTER l00]