Chapter 1200
MANUFACTURING PROVISIONS
Outline of Topics
1201 Background information.
1201.01 Works published before January 1, 1978.
1201.02 Works published after December 31, 1977.
1201.03 Extension of ad interim copyright to full term.
1201.04 Registration of U.S. edition optional in certain
cases.
1201.05 Manufacture of U.S. edition not required in
certain cases.
1201.06 Ad interim registration made but no U.S.
edition.
1201.07 No ad interim registration made.
1202 Basic requirements under current Act.
1202.01 Two-thousand copy limit.
1203 Works covered by the manufacturing requirements.
1204 Works not covered by the manufacturing require-
ments.
1205 Meaning of the word “preponderantly."
1205.01 Literary material of secondary importance.
1205.02 Literary material predominant.
1205.03 pictorial and literary material approximately
equal.
1206 Meaning of the word "substantial."
1207 Copies.
1208 Manufacture in the United States.
1209 Situations where the manufacturing requirements
are not applicable.
1209.01 Author not U.S. national or domiciliary.
1209.02 Author domiciled outside the United States for
one year.
1209.03 Employment for hire.
1209.04 Manufacture in Canada.
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[1984]
Chapter 1200
Manufacturing Provisions
Outline of Topics -2 –
1210 Manufacturing processes covered.
1210.01 Copies printed from type.
1210.02 Lithographic or photoengraving process.
1210.03 Printing and binding.
1211 Manufacturing processes not covered.
1212 Entry under an Import Statement.
1212.01 Basic registration required.
1212.02 Import Statement may be issued for published
or unpublished work.
1212.03 Import Statement not required.
1213 Who may request an Import Statement.
1213.01 Limit of one basic Import Statement for each
work.
1214 Completion of Form IS.
1214.01 Identification of work.
1214.02 Person designated to receive Import Statement.
1214.03 Fee and contact.
1214.04 Certification.
1214.05 Registration number.
1215 New versions.
[1984]
Chapter 1200
MANUFACTURING PROVISIONS
1201 Background information. The provisions of this
chapter deal with the requirement, as a con-
dition of full copyright protection, that
certain works be manufactured in the United
States or Canada.
1201.01 Works published before January 1, 1978. In
the case of works published before January 1,
1978, and subject to the manufacturing clause
of title 17, U.S.C., as it existed on
December 31, 1977, compliance with that pro-
vision constitutes a condition of copyright
in the United States. Works first published
before January 1, 1978, in violation of such
requirements are in the public domain in the
United States and cannot be registered under
the current Act. However, any work in which
ad interim copyright under that law subsisted,
or was capable of being secured, on December
31, 1977, is accorded copyright protection
for the term or terms provided by section 304
of the current Act, and registration may be
made under section 408 of that Act. Where
applicable, and upon request, an Import
Statement will be issued for such works,
permitting importation of up to 2,000 copies.
See section 107 of the Transitional and
Supplementary Provisions of the current Act.
For fuller explanation of the practices
governing ad interim copyright as well as the
general practices under the manufacturing
clause of the Act of 1909, as amended, see
Compendium I.
1201.02 Works published after December 31, 1977.
In the case of works first published after
December 31, 1977, the manufacturing
requirements of section 601 of the current
Act are applicable. Failure to comply
with the manufacturing requirements may
affect enjoyment of the exclusive rights
of reproduction and distribution of
copies, but such failure has no effect on
any other exclusive rights.
1200-1
[1984]
1200-2
1201 Background information. (cont’d)
1201.03 Extension of ad interim copyright to full
term. The Act of 1909, as amended, pro-
provided for the extension of ad interim copy-
rights to full term if both of the following
two conditions were met:
1) a U.S. edition was produced in compliance
with the manufacturing requirements and
published with the required statutory
copyright notice in the United States
within a five-year period computed from
the date of first publication abroad,
and
2) the claim in the U.S. edition was
registered in the Copyright Office.
If registration of the U.S. edition was sought
after expiration of the five-year period, the
Copyright Office would register the claim
under the rule of doubt, if that U.S. edition
had been manufactured and published within the
five-year ad interim term. See Compendium I,
Chapter 8, topic 8.4.6.II.b.
1201.04 Registration of U.S. edition optional in
certain cases. For works manufactured and
first published outside the United States after
December 31, 1972, where ad interim registra-
tion was made and a U.S. edition, substantially
identical with that first published abroad, was
manufactured and published with notice within
the five-year term, a new registration is not
required to extend the copyright to the full
term. See section 107 of the Transitional and
Supplementary Provisions of the current Act.
If, however, the applicant desires to place on
record the facts concerning the U.S. manufac-
tured edition, the Copyright Office will not
refuse registration.
1201.05 Manufacture of U.S. edition not required in
certain cases. Manufacture of a U.S. edition
is not required for works in which ad interim
copyright was subsisting or was capable of
[1984]
1200-3
1201 Background information. (cont'd)
1201.05 Manufacture of U.S. edition not required in certain cases. (cont’d)
being secured on December 31, 1977. See
section 107, Transitional and Supplementary
Provisions of the current Act. However, where
a U.S. edition, substantially identical with
that first published outside of the United
States, was manufactured and published within
the five-year term, the Copyright Office will
not refuse registration.
1201.06 Ad interim registration made but no U.S.
edition. With respect to works manufactured
and first published abroad before December 31,
1972, for which ad interim registration was
made but no U.S. edition was manufactured
and published within the five-year ad interim
term, no new registration is possible.
1201.07 No ad interim registration made. Any
English-language book or periodical published
before July 1, 1977, which was subject to the
manufacturing requirements of the Act of 1909,
as amended, for which ad interim registration
was not made, cannot now be registered.
1202 Basic requirements under current Act. Copies of
certain works consisting preponderantly of non-
dramatic literary material in the English language
must be manufactured in the United States or Canada
in order to satisfy the manufacturing requirements
of the current Act. See 17 U.S.C. 601.
1202.01 Two-thousand copy limit. If such a work
has been manufactured outside the United
States or Canada, importation into the
United States is limited to no more than
2,000 such copies upon issuance of an
Import Statement by the Copyright Office.
[1984]
1200-4
1203 Works covered by the manufacturing requirements.
The manufacturing requirements apply to copies
of certain nondramatic literary works in the
English language. Literary works are works,
other than audiovisual works, expressed in words,
numbers, or other verbal or numerical symbols
or indicia. See 17 U.S.C. 101. A nondramatic
literary work is any literary work other than a
drama. A drama is a work that tells a story by
means of dialog or action and represents or gives
directions for representing all or a substantial
portion of a story as actually occurring rather
than merely being narrated or described. See
also section 431 of Chapter 400: WORKS OF THE
PERFORMING ARTS AND SOUND RECORDINGS.
1204 Works not covered by the manufacturing require-
ments. Dramatic, musical, pictorial, and graphic
works, as well as works in languages other than
English and works in the public domain in the
United States, are among the works not included
within the manufacturing requirements. Such works
may thus be imported in unlimited quantities.
Examples:
1) The acting version of a play, although in book
form, is a dramatic work, and not subject to
the manufacturing requirements.
2) A painting reproduced by lithographic, mezzotint,
or other process, is not a nondramatic literary
work, and is thus not subject to the manu-
facturing requirements of the current Act.
1205 Meaning of the word "preponderantly." The
manufacturing requirements apply only to works
which consist "preponderantly" of nondramatic
literary materials in the English language.
According to H.R. Report No.94-1476, 94th
Cong., 2d Sess. 167, a work consists "prepon-
derantly" of nondramatic literary material, if
such material exceeds the exempted material
[1984]
1200-5
1205 Meaning of the word "preponderantly." (cont'd)
in "importance." If a work consists prepon-
derantly of exempted material, e.g., pictures,
photographs, plays, or music, the manufac-
turing requirements do not apply and copies
may be imported in unlimited quantities.
However, in Stonehill Communications, Inc. v.
Martuge, 512 F. Supp. 349 (S.D.N.Y. 1981),
the Court found the "importance" test and the
instructions in the legislative history vague
and difficult to apply. "In the absence of
congressional or duly authorized guidelines,"
stated the Court, "the answer is an objective
test --in this instance, a 'mechanical' one."
The Court held that in the absence of any
other standards, "a book 'consists of prepon-
derantly nondramatic literary material . . .
in the English language' when more than half
of its surface area, exclusive of margins,
consists of English-language text."
1205.01 Literary material of secondary importance.
Where the literary material in a work consists
merely of a foreword or preface, and captions,
headings, or brief descriptions or explanations of
pictorial, graphic, or other nonliterary material,
the manufacturing requirements do not apply, and
the Copyright Office will not issue an Import
Statement.
1205.02 Literary Material predominant. Where the pic-
torial, graphic, or other nonliterary material
clearly forms less than one-half of a work in
which nondramatic literary material predomi-
nates, the manufacturing requirements apply to
the textual portion of the work, and an Import
Statement will be issued on request.
1205.03 pictorial and literary material approximately
equal. If the pictorial material and non-
dramatic literary material are approximately
equal in importance or quantity, it is unclear
whether the import restrictions apply, and
an Import Statement will be issued on request.
[1984]
1200-6
1206 Meaning of the word "substantial." If, on the date
importation is sought or public distribution in the
United States is made, the author of any substan-
tial part of such material is neither a national
nor a domiciliary of the United States, the manu-
facturing requirements do not apply. 17 U.S.C.
601(b)(I). In this context, "substantial" has a
meaning that suggests real worth and importance and
would connote less than "preponderantly" (as used
in section 601(a) of the current Act) but more than
incidental or minimal.
Examples:
1) A two-page preface to a 100-page work presum-
ably would not be considered to be a "substan-
tial" portion of the work.
2) A 25-page portion of a 90-page article would be
considered "substantial."
1207 Copies. The manufacturing requirements of the
law extend only to copies of a work. "Copies"
are material objects, other than phonorecords,
in which a work is fixed by any method now known
or later developed, and from which the work can be
perceived, reproduced, or otherwise communicated,
either directly or with the aid of a machine or
device. 17 U.S.C. 101. Thus, phonorecords are
outside the scope of the manufacturing require-
ments of the Act.
1208 Manufacture in the United States. The United
States, when used in a geographical sense, com-
prises the several States, the District of Columbia
and the Commonwealth of Puerto Rico, and the
organized territories under the jurisdiction of the
United States Government. 17 U.S.C. 101. The
organized territories include Guam and the U.S.
Virgin Islands. Manufacture in a territorial area
under the jurisdiction of the United States which
is not considered an "organized territory" is not
regarded as manufacture in the United States. See
section 1102.08 of Chapter 1100: ELIGIBILITY.
[1984]
1200-7
1209 Situations where the manufacturing requirements
are not applicable. The manufacturing require-
ments are not applicable in the following situa-
tions:
1209.01 Author not U.S. national or domiciliary.
If, on the date when importation is sought
or public distribution in the United States
is made, the author of any substantial part
of the nondramatic literary material in the
English language is neither a national nor
a domiciliary of the United States, the
manufacturing provisions do not apply. Where
a work was previously registered naming as
author a person who was at that time neither
a national nor a domiciliary of the United
States, a request for an Import Statement
for such work will not ordinarily be ques-
tioned, since the nationality or domicile of
the author may have changed between the time
registration was made and the time importation
is sought.
1209.02 Author domiciled outside the United States
for one year. If the author is a national
of the United States but he or she has been
domiciled outside the United States for a
continuous period of at least one year
immediately preceding the date when importa-
tion is sought or public distribution in the
United States is made, the manufacturing
requirements are not applicable.
Examples:
1) If the author of an English-language book
is a U.S. citizen who has been domiciled
in France for three years before requesting
importation of a book manufactured in the
Netherlands, unlimited importation is
allowed.
2) If, with regard to the work mentioned in
the above example, the importation of a
reprint edition is later requested after
the author has changed his domicile to the
United States, an Import Statement would
be required.
[1984]
1200-8
1209 Situations where the manufacturing requirements
are not applicable.
1209.03 Employment for hire. If a substantial part of
the nonexempt text of a work made for hire was
prepared for an employer or other person who
is not a national or domiciliary of the United
States or a domestic corporation or enterprise,
the manufacturing requirements do not apply.
Example:
If a U.S. citizen prepares an English-
language book as an employee for hire of
a French citizen or French corporation,
unlimited importation would be allowed.
1209.04 Manufacture in Canada. If a copyrighted
nondramatic literary work in the English
language was printed or reprinted in
Canada, copies could be imported into the
United States in unlimited numbers on or
after January I, 1978, since Canadian
manufacture satisfies the manufacturing
requirements of the current Act.
1210 Manufacturing processes covered. Copies produced
by one or more of the processes mentioned below
are subject to the requirement of manufacture in
the United States or Canada.
1210.01 Copies printed from type. If copies are printed
directly from type that has been set, or directly
from plates made from such type, the setting of
the type and the making of the plates must be
performed in the United States or Canada.
1210.02 Lithographic or photoengraving process. If
the making of plates by a lithographic or
photoengraving process is a final or inter-
mediate step preceding the printing of the
copies, the plates must be made in the United
States or Canada. The law permits the making
of reproduction proofs ("repro proofs") abroad,
provided that the plates from which the copies
are printed are made in the United States or
Canada and are not themselves imported.
Similarly, the importation of computer tapes
from which plates can be prepared is permitted.
[1984]
1200-9
1210 Manufacturing processes covered. (cont'd)
1210.03 Printing and binding. If there is a final
process-of producing multiple copies and any
binding of the copies, this must be performed
in the United States or Canada.
1211 Manufacturing processes not covered. Photocopying
is not considered a "printing process." Thus, if
copies have been produced by photocopying, such
reproduction is exempt from the manufacturing
requirements. Copies produced in multiples by
typewriter, by mimeograph, or by hand are also
not covered by the manufacturing requirements.
Copies reproduced in raised characters for the
use of the blind are exempt from the manufacturing
requirements. See 17 U.S.C. 601(b)(5).
1212 Entry under an Import Statement. In any case
where issuance of an Import Statement is appro-
priate, importation of 2,000 copies is permitted,
irrespective of the time the work may have been
published, and irrespective of whether registra-
tion was made under the current Act or under the
Act of 1909, as amended. Where the copyright
owner of a work in which ad interim copyright
was subsisting on December 31, 1977, has already
imported the 1,500 copies allowed under the Act
of 1909, a new Import Statement will be issued
upon request, permitting importation of an addi-
tional 500 copies.
Examples:
1) For a work by a U.S. author, published and
registered in 1970 as ad interim, where no U.S.
edition was manufactured within five years as
required by the Act of 1909, as amended, no
new Import Statement can be issued because
ad interim copyright was not subsisting on
December 31, 1977.
2) For a work manufactured in the United States
and registered in Class A in 1975 for which
no Import statement has been issued, an Import
Statement could be issued on request, per-
mitting importation of 2,000 copies, if the
work were reprinted outside of the United
States or Canada.
[1984]
1200-10
1212 Entry under an Import Statement. (cont'd)
1212.01 Basic registration required. There must be a
basic registration in the Copyright Office for
the work before an Import Statement will be
issued. However, the application for regis-
tration of a claim to copyright may be submitted
simultaneously with the Form IS, which is the
form for requesting issuance of an Import State-
ment.
1212.02 Import Statement may be issued for published
or unpublished work. The Copyright Office will
issue an Import Statement for an unpublished
work on request. Where it appears that the work
to be imported will be substantially different
from the unpublished version in which a claim
was or is being registered, the Copyright Office
may point out that the Import Statement applies
only to the particular work that is registered.
See also section 1215 below.
1212.03 Import Statement not required. If an Import
Statement is requested, but is clearly not
required (e.g., where the nontextual matter
predominates~ or the work is in a language
other than English, or the work is in the
public domain in the United States), the Copy-
right Office will not issue the Import State-
ment. 37 C.F.R. 201.8(a)(4). The Copyright
Office will promptly so notify the requester
since copies may be in transit or at a port of
entry. However, in the case of a dispute
between the U.S. Customs Service and the copy-
right owner concerning whether unlimited
importation of copies is permissible under 17
U.S.C. 601, the Copyright Office will, in
proper cases and upon request, issue the Import
Statement. See 37 C.F.R. 201.8(a)(5).
1213 Who may request an Import Statement. An Import
Statement may be requested by the copyright owner
or by the duly authorized agent of such owner.
The copyright owner for this purpose may be:
[1984]
1200-11
1213 Who may request an Import Statement. (cont'd)
1) The author of the work (including, in the
case of a work made for hire, the employer
or other person for whom the work was pre-
pared), or
2) A copyright claimant, other than the author,
identified in the registration for the work,
or
3) A person or organization that has obtained
ownership of one or more exclusive rights,
initially owned by the author, including
the exclusive right to import copies of
the work into the United States.
See 37 C.F.R. 201.8(b)(2): see also section 1214.04
below.
1213.01 Limit of one basic Import Statement for each
work. As a general rule, only one basic
import Statement will be issued for the same
work. Exceptional cases will be dealt with
on their particular merits.
1214 Completion of Form IS. There are a number of
spaces on the Form IS to be completed by the
requester. If registration has already been
made for the work, the information provided
should agree with the information in the
certificate of registration: if registration
is being made simultaneously with the request
for an Import Statement, the information given
should agree with the information in the
application for registration. The spaces
to be completed are as follows.
1214.01 Identification of work. The title of the
work, name{s) of author(s), and name(s) of
copyright claimant(s) should be given.
1214.02 Person designated to receive Import Statement.
The full name and complete mailing address of
the person or organization to whom the Copy-
right Office will issue the Import Statement
should be given, even if the same name and
address appear elsewhere on the form. The
law provides that the Import Statement shall
be issued to the copyright owner or to a
person designated by such owner. See 17
U.S.C. 601(b)(2).
[1984]
1200-12
1214 Completion of Form IS. (cont'd)
1214.03 Fee and contact. If the requester maintains
a Deposit Account in the Copyright Office,
the Account should be identified. Other-
wise, the required fee should be enclosed
with the request. The name, address, and
telephone number of a person to contact
about the request should also be provided on
the form.
1214.04 Certification. The Form IS must include the
handwritten signature of a person who certifies
that he or she is either the copyright owner
as shown in the records of the Copyright Office,
or the duly authorized agent of the copyright
owner, and that he or she authorizes the issu-
ance of an Import Statement to the designated
person.
1214.05 Registration number. If the work has already
been registered, the applicant should give
the registration number in the appropriate
space on the Form IS. If registration is
being applied for simultaneously with the
request for an Import Statement, the Copy-
right Office will add the registration number
to the Form IS.
1215 New versions. If the version to be imported is
substantially different from the version in which
a claim to copyright was registered, a claim to
copyright in the version to be imported must also
be registered before an Import Statement covering
that version can be issued.
Examples:
1) Where an Import Statement is requested for
the fifth revised edition of a textbook, and
the registration number given on the Form IS
is found to be that for the second revised
edition, the Copyright Office will inform
the requester that no Import Statement can
be issued unless registration is made for
the fifth revised edition.
[1984]
1200-13
1215 New versions. (cont'd)
Examples: (cont'd)
2) If a novel originally manufactured, published,
and registered in the United States before 1978
is reprinted outside the United States or
Canada with a new pictorial cover, no new
registration is required for an Import State-
ment to be issued. The test for issuance of
the Import Statement is whether there is a
subsisting claim in the nondramatic literary
material, and whether the claim to copyright
in that material has been registered.
3) Where a U.S. author translates into English
a Russian-language novel and importation is
sought for the translation, a claim to copy-
right must be registered in the translation
in order for an Import Statement to be issued.
Registration for the Russian-language work is
not a necessary condition for the issuance of
the Import Statement, nor is it required that
the work in Russian be protectible in the
United States.
[END OF CHAPTER 1200]
[1984]