Chapter 700
APPLICATIONS AND FEES
Outline of Topics
701 Application forms.
701.01 Statutory authorization.
701.02 Statutory requirements.
702 Basic application forms.
702.01 Class TX, Form TX: Nondramatic Literary Works
Other Than Serials.
702.02 Class TX, Form SE: Serials.
702.03 Class PA, Form PA: Works of the Performing Arts.
702.04 Class VA, Form VA: Works of the Visual Arts.
702.05 Class SR, Form SR: Sound Recordings.
703 Renewal application: Form RE.
704 Registration forms for special cases.
704.01 Form CA: Supplementary Registration.
704.02 Form GR/CP: Group Registration for Contribu-
tions to Periodicals.
705 Import Statement.
705.01 Form IS: Request for Issuance of an Import
Statement.
706 Submission of material.
707 Quality and legibility of application forms.
707.01 Only application forms issued by the Copyright
Office may be used.
707.02 Information given on the application forms
should be typewritten or legibly printed in
black ink.
708 Selection of most appropriate application form.
708.01 Nature of authorship determinative.
708.02 Two forms seem appropriate: song lyrics,
speeches, and other works prepared for oral
delivery.
-1 -
[1984]
Chapter 700
APPLICATIONS AND FEES
Outline of Topics -2 –
703 Selection of most appropriate application form.
(cont'd)
708.03 Contributions to collective works.
708.04 Derivative works.
708.05 Works in which the claim includes two or more
categories of authorship.
709 Classification for administrative purposes only.
[Numbers 710 through 749 are reserved.]
750 Fees.
750.01 Applicability of fees to U.S. Government.
750.02 Refunds.
Effective date of fee schedule under the current Act.
752 Submission of registration fees.
753 Form of payment.
753.01 Currency.
753.02 Fees remitted from outside the United States or
made payable in foreign currency.
754 Deposit Accounts.
754.01 Minimum requirements for Deposit Accounts.
755 Cancellation of registration in cases of dishonored checks.
756 Fees not specified in section 708 of the current
Act.
[1984]
Chapter 700
APPLICATIONS AND FEES
701 Application forms. The following are the statutory
provisions relating to the application forms.
701.01 Statutory authorization. The Register of Copy-
rights is authorized to specify by regulation
the administrative classes into which works are
to be placed for purposes of deposit and regis-
tration. This administrative classification of
works has no significance with respect to the
subject matter of copyright or the exclusive
rights provided by the copyright law. See 17
U.S.C. 408(c)(I).
701.02 Statutory requirements. Section 409 of the
copyright law specifies that the application for
copyright registration shall be made on a form
prescribed by the Register of copyrights and
that it shall include:
1) the name and address of the copyright claim-
ant;
2) in the case of a work other than an anony-
mous or pseudonymous work, the name and
nationality or nation of domicile of the
author or authors, and, if one or more of
the authors is dead, the dates of their
deaths;
3) if the work is anonymous or pseudonymous,
the nationality or nation of domicile of
the author or authors;
4) in the case of a work made for hire, a
statement to the effect that it is such a
work;
5) if the copyright claimant is not the au-
thor, a brief statement of how the claimant
obtained ownership of the copyright;
6) the title of the work, together with any
previous or alternative titles under which
the work can be identified.
700-1
[1984]
700-2
1) Application forms. (cont'd)
701.02 Statutory requirements. (cont'd)
7) the year in which creation of the work was
completed;
8) if the work has been published, the date
and nation of its first publication;
9) in the case of a compilation or derivative
work, an identification of any preexisting
work or works that it is based on or incor-
porates, and a brief, general statement of
the additional material covered by the
copyright claim being registered;
10) in the case of a published work containing
material of which copies are required by
section 601 of the current Act to be manu-
factured in the United States, the names of
the persons or organizations who performed
the processes specified by subsection (c)
of section 601 with respect to that mate-
rial, and the places where those processes
were performed; and
11) any other information regarded by the Reg-
ister of Copyrights as bearing upon the
preparation or identification of the work
or the existence, ownership, or duration of
the copyright.
702 Basic application forms. Pursuant to the statutory
authority given to the Register of Copyrights, the
Copyright Office has established basic classes for
original registrations with corresponding application
forms. These classes are as follows:
702.01 Class TX, Form TX: Nondramatic Literary Works Other
Than Serials. This category includes published and
unpublished nondramatic literary works. Examples
include fiction, nonfiction, poetry, textbooks,
reference works, directories, catalogs, advertising
copy, computer programs, and compilations of infor-
mation, including data bases.
[1984]
700-3
Basic application forms. (cont'd)
702.02 Class TX, Form SE: Serials. A serial is defined
as a work issued or intended to be issued in
successive parts bearing numerical or chrono-
logical designations and intended to be con-
tinued indefinitely, such as periodicals,
newspapers, annuals, journals, and proceedings
of societies.
NOTE: A contribution to a serial is not registered
on Form SE. See section 708.01 below.
702.03 Class PA, Form PA: Works of the Performing Arts.
This category ~includes published and unpublished
works prepared for the purpose of being performed
directly before an audience or indirectly by means
of a device or process. Examples are musical
works, including any accompanying words: dramatic
works, including any accompanying music: pantomimes
and choreographic works: and motion pictures and
other audiovisual works, including accompanying
sounds, if any.
702.04 Class VA, Form VA: Works of the Visual Arts. This
category includes published and unpublished pic-
torial, graphic, and sculptural works. Examples
are two-dimensional and three-dimensional works
of fine, graphic, and applied arts, photographs,
prints and art reproductions, maps, globes, and
charts, technical drawings, diagrams, and models,
as well as pictorial or graphic labels and adver-
tisements.
702.05 Class SR, Form SR: Sound Recordings. This category
includes all published and unpublished sound re-
cordings fixed on or after February 15, 1972. In
addition, claims to copyright in literary, dramatic,
and musical works embodied in a phonorecord may be
registered in Class SR if the claimant for both the
sound recording and the underlying work is the same
and the application covers both the sound recording
and the underlying material. "Sound recordings"
are works that result from the fixation of a series
of musical, spoken, or other sounds. The audio
portions of audiovisual works, such as a motion
picture sound track or an audio cassette accompany-
ing a filmstrip, are considered an integral part of
the audiovisual work and are registrable in Class
PA rather than Class SR.
[1984]
700-4
703 Renewal application: form RE. The current Act provides
for renewal of copyright In works already in their
first term of copyright on January I, 1978. See 17
U.S.C. 304. Form RE is appropriate for all renewal
registrations, regardless of the class in which the
original registration was made.
704 Registration forms for special cases. In addition to
the forms listed above, the Copyright Office has estab-
lished two registration forms for use in special cases.
704.01 Form CA: Supplementary Registration. This form is
used to apply for supplementary registration under
section 408(d) of the current Act, in order to
correct an error in a copyright registration or to
amplify the information given in a registration.
See Chapter 1500: CORRECTIONS AND AMPLIFICATIONS OF
COPYRIGHT OFFICE RECORDS: SUPPLEMENTARY REGISTRA-
TIONS.
704.02 Form GR/CP: Group Registration for Contributions
to Periodicals. -This form is used as a adjunct
to a basic application on Form TX, Form PA, or Form
VA where the applicant is making a single registra-
tion under section 408(c)(2) of the current Act
for a group of contributions to periodicals.
705 Import Statement. Section 601(b)(2) of the current
Act permits the importation of 2000 copies of a
foreign manufactured edition of a work consisting
preponderantly of nondramatic literary material that
is in the English language and is protected under the
current Act, upon presentation to the United States
Customs Service of an Import Statement. See Chapter
1200: MANUFACTURING PROVISIONS.
705.01 Form IS: Request for Issuance of an Import State-
ment. This form implements the statutory pro-
visions prescribing an Import Statement. Copy-
right owners of works that are subject to the
manufacturing restrictions must use this form to
secure issuance of an Import Statement.
[1984]
700-5
706 Submission of material. In order to consider regis-
tration of a claim to copyright, the Copyright Office
should receive a completed application form together
with the required fee and deposit. The application
should contain the required information and be duly
certified. Incomplete, inaccurate, or illegible appli-
cations may delay the registration process.
707 Quality and legibility of application forms. Appli-
cation forms accepted for registration become permanent
parts of the official records of the Copyright Office
and must meet archival standards and be legible.
707.01 Only application forms issued by the Copyright Office may be used. Copyright Office forms meet
strict archival standards; therefore, only forms
issued by the Office may be used to make regis-
tration. Photocopies or other reproductions of
Copyright Office forms cannot be accepted for
registration.
707.02 Information given on the application form should
be typewritten or legibly printed in black ink.
Information required by the forms must be legible
and should be typewritten or printed in black
ink. Applicants who anticipate filing a large
number of applications may place certain repeti-
tive information on the application forms they
submit by using a printing process. Carbons of
applications or applications completed in pencil
are generally not acceptable.
708 Selection of most appropriate application form. The
appropriate form is generally determined by the nature
of the authorship in which copyright is claimed. For
most works, one form will clearly be the most appro-
priate.
708.01 Nature of authorship determinative. The nature
of the authorship determines which application form
should be used for registration rather than the
material object in which the work is embodied.
Example:
A filmstrip or set of slides containing only
text should be registered on Form TX, not on
Form PA.
[1984]
700-6
Selection of most appropriate application form.
(cont'd)
708.02 Two forms seem appropriate: song lyrics, speeches,
and other works prepared for oral delivery. For
song lyrics, speeches, and other works prepared for
oral delivery, two forms appear to be appropriate
because the nature of authorship is literary and
because the work was prepared for the purpose of
performance. Although the Copyright Office will
accept either Form PA or TX, Form PA is more
appropriate.
708.03 Contributions to collective works. In the case
of contributions to collective works, applications
should be submitted in the class representing the
copyrightable authorship in the contribution.
Examples:
1) A pictorial cartoon published in a weekly
magazine should be registered on Form VA.
2) A short story published in a monthly magazine
should be registered on Form TX.
708.04 Derivative works. In the case of derivative works,
applications should be submitted in the class most
appropriately representing the copyrightable
authorship involved in recasting, transforming,
adapting, or otherwise modifying the preexisting
work.
Example:
A motion picture version of a previously pub-
lished novel should be registered on Form PA.
708.05 Works in which the claim includes two or more cate-
gories of authorship. For works in which the
claim includes copyrightable material in two or
more classes, the type of such material that
predominates generally determines the class for
registration.
[1984]
700-7
Selection of most appropriate application form.
(cont'd)
708.05 Works in which the claim includes two or more
categories of authorship. (cont'd)
Example:
A game contains pictorial material on a game
board, sculptural authorship in game pieces,
and textual authorship in the game instruc-
tions. If the pictorial and sculptural
authorship predominates, Form VA should be
used. If the textual material predominates,
Form TX should be used.
NOTE: As an exception, where the claim includes
sound recording authorship, Form SR must be used
regardless of the nature of the other material or
which type of authorship predominates. See
section 702.05 above.
Examples:
I) A kit consisting of a booklet and a cassette
tape with a claim in text and sound recording
must be registered on Form SR.
2) A phonorecord with a claim in words, music, and
sound recording must be registered on Form SR.
Classification for administrative purposes only. The
current Act specifies that the classification system
adopted by the Copyright Office is solely for adminis-
trative purposes and has no significance with respect
to the subject matter of copyright or the exclusive
rights under the current Act. See 17 U.S.C. 408(c)(I).
However, the Copyright Office may request submission
of a new application in the correct class where regis-
tration was originally sought on an inappropriate
form.
[Numbers 710 through 749 are reserved].
Fees. The fees for registration, recordation, and
certain other services are prescribed or authorized
by the current Act. See 17 U.S.C. 708(a).
[1984]
700-8
75O Fees. (cont'd)
750.01 Applicability of fees to U.S. Government. The fees
prescribed or authorized by the current Act are
also applicable to the United States Government and
any of its agencies, employees, or officers; how-
ever, the law specifies that the Register of Copy-
rights has discretion to waive this requirement in
occasional or isolated cases involving relatively
small amounts. See 17 U.S.C. 708(b).
750.02 Refunds. Money remitted to the Copyright Office
for original, basic, supplementary, or renewal
registration will not be refunded if the claim is
rejected because the material deposited does not
constitute copyrightable subject matter or because
the claim is invalid for any other reason. Payments
made by mistake or in excess of the statutory fee
will be refunded, but amounts of $5 or less will
not be refunded unless specifically requested, and
refunds of less than $1 may be made in postage
stamps. 37 C.F.R. 201.6(c).
751 Effective date of fee schedule under the current Act.
Applications for copyright registration and requests
for other fee services of the Copyright Office received
on or after January 1, 1978, are governed by the fee
schedule of the current Act. In cases where an appli-
cation, deposit, and fee were received before January I,
1978, but processing was not completed until after Janu-
ary I, 1978, the fees established in accordance with
title 17 as it existed on December 31, 1977, shall
apply. See section 109, Transitional and Supplementary
Provisions of the current Act.
752 Submission of registration fees. Registration fees
should be submitted in the same envelope or package
with the application and deposit. With regard to fees
submitted to establish or replenish Deposit Accounts,
see section 754 below.
753 Form of payment. The Copyright Office urges that all
remittances mailed to it be in the form of a check,
money order, or bank draft, payable to REGISTER OF
COPYRIGHTS.
[1984]
700-9
Form of payment. (cont'd)
753.01 Currency. The Copyright Office will accept currency
but does not assume any responsibility for monies sent
in payment of fees which are lost before receipt in
the Copyright Office.
753.02 Fees remitted from outside the United States or made
payable in foreign currency. The Copyright Office
does not accept checks drawn on foreign banks or
made payable in foreign currencies. Foreign
remittances must be in the form of an International
Money Order or Bank Draft payable in United States
dollars.
754 Deposit Accounts. The Copyright Office maintains a
system of Deposit Accounts for the convenience of those
who frequently use the services of the Office. The
system allows an individual or firm to establish a
Deposit Account in the Copyright Office and to make
advance deposits into the Account. Charges for regis-
tration, recordation, or other fee services will be
deducted from the outstanding balances in such Accounts.
754.01 Minimum requirements for Deposit Accounts. The
following are the minimum requirements for estab-
lishing and maintaining a Deposit Account in the
Copyright Office:
1) When the Account is opened, the initial deposit
must amount to at least $250.
2) All later deposits into the Account must also
be $250 or more.
3) There must be at least 12 transactions a year.
4) If fees are to be charged against a Deposit
Account, the exact name and number of the
Account should be given on all applications
for registration or other requests for fee
services.
5) The Deposit Account holder must maintain a
sufficient balance to cover all charges against
the Account.
[1984]
700-10
755 Cancellation of registration in cases of dishonored
checks. When a check received in payment of the
registration fee is returned to the Copyright Office
marked "insufficient funds" or is otherwise marked
uncollectible, the Copyright Office will cancel any
registration for which the dishonored check was
submitted: the Office will notify the applicant in
writing that the check was returned to the Copyright
Office as uncollectible, that the registration has been
cancelled, and that the certificate of registration
should be returned to the Copyright Office. When a
registration is cancelled, appropriate notations are
placed in the original record to show that the
registration has been cancelled.
755 Fees not specified in section 708 of the current Act.
Certain fees for Copyright Office services under the
Freedom of Information Act and the privacy Act are not
established in title 17, U.S.C. See 37 C.F.R. 203.6
and 204.6.
[END OF CHAPTER 700]
[1984]