COMPENDIUM: Chapter 1500

Deposits

1501 What This Chapter Covers

This Chapter discusses the deposit requirements for a variety of creative works. It is divided into two parts: Sections 1503 through 1510 discuss the deposit requirements for copyright registration, while Section 1511 discusses the mandatory deposit requirement (i.e., the deposit to the Library of Congress that is required of all works that are published in the United States). The information in this Chapter applies only to works subject to copyright protection under the 1976 Copyright Act.

• For a discussion of the deposit requirements for works first copyrighted under federal law prior to January 1, 1978, see Chapter 2100.
• For a discussion of the deposit requirements for mask works, see Chapter 1200, Section 1210.2(C).
• For a discussion of the deposit requirements for vessel designs, see Chapter 1300, Section 1313.

1502 Deposit for Registration Distinguished from Mandatory Deposit

The U.S. Copyright Act provides for two separate sets of deposit requirements: deposits submitted in connection with registration applications and those submitted in accordance with the mandatory deposit provisions (or “legal deposit” provisions) of the law. The U.S. Copyright Office administers both sets of provisions.

The Register of Copyrights specifies by regulation the form of deposit that must accompany a copyright claim and registration application. Said regulations reflect and inform the ability of the Office to examine the work for copyrightable authorship, to verify the authorship claimed in the application, and to verify the facts stated in the application. Deposits may also be used for evidentiary purposes in litigation involving a copyrighted work. Since registration is not required as a condition for copyright protection, the Register has the authority to adjust or exempt the deposit requirements as appropriate for certain works or application procedures, weighing the needs or concerns of applicants and the public. 17 U.S.C. §§ 407(c), 408(c)(1). Deposits may also be selected by the Library of Congress. 17 U.S.C. § 704.

Mandatory deposit is a statutory requirement for the benefit of the national collection of the Library of Congress. Section 407 of the Copyright Act provides that the owner of copyright or the owner of the exclusive right of publication in a work published in the United States must deposit two copies or phonorecords of the work within three months after publication. 17 U.S.C. § 407(a). As noted above and discussed below in Section 1511.3, the Register has exempted certain works from this requirement.

In most cases, a deposit submitted for registration may be used to satisfy the mandatory deposit requirement, provided that the applicant submits two complete copies or two Chapter 1500: 8 12/22/2014 complete phonorecords of the best edition of the work. See 17 U.S.C. § 408(b). In such cases, there is no need to submit additional copies or phonorecords for the purpose of mandatory deposit. (For a definition of the term “best edition,” see Section 1504.) The double application of best edition formats to both the registration and mandatory deposit provisions was constructed in the analog world as part of the 1976 Act for the benefit and convenience of copyright owners, i.e., to minimize the number of necessary submissions to the Copyright Office and therefore the cost of compliance.

For some classes of works, the deposit requirements for registration and mandatory deposit are not the same. In such cases, a separate submission of copies, phonorecords, or identifying material may be needed to register the work and to satisfy the mandatory deposit requirements. For example, mandatory deposit for a computer program requires two complete copies of the best edition, while registration may be accomplished with identifying material containing a selection of the source code for that work. In the digital context, such nuance and distinction is even more important, and applicable regulations are therefore subject to change.

1503 Deposit for Registration

To register a copyright claim, an applicant must submit (i) a completed application, (ii) the appropriate filing fee, and (iii) a complete deposit of the work.

Section 408 of the Copyright Act provides general requirements for registration deposit copies. These requirements vary depending on whether the applicant intends to register a published work, an unpublished work, or a foreign work.

• For unpublished works, the applicant generally should submit one complete copy or phonorecord of the work. See 17 U.S.C. § 408(b)(1), 37 C.F.R. § 202.20(c)(1)(i). In the case of an unpublished pictorial, graphic, or sculptural work, the applicant generally may submit identifying material in lieu of an actual copy. See 37 C.F.R. § 202.20(c)(2)(iv), (xi)(A).
• For works first published in the United States on or after January 1, 1978, the applicant generally should submit two complete copies or phonorecords of the best edition of the work. See 37 C.F.R. § 202.20(c)(1)(iii). However, there are several exceptions to this rule, which are discussed in Sections 1509.1 through 1509.3.
• For works published solely in a foreign country, the applicant should submit one complete copy or phonorecord of the work as first published in that country. 37 C.F.R. § 202.20(c)(1)(iv). For works first published in a foreign country and subsequently published in the United States, the applicant may submit one complete copy or phonorecord of the work as first published in the foreign country or one complete copy or phonorecord of the best edition as published in the United States.
• A work that is first published simultaneously in the United States and a foreign country is considered published in the United States. Id. As such, two complete copies or phonorecords of the best edition are generally required for such works.

The terms “best edition,” “complete copy,” and “identifying material” are defined and discussed in Sections 1504, 1505, and 1506. Section 1507 discusses the appropriate format for the deposit, while Sections 1508.1 through 1508.7 discuss the procedure for submitting the deposit to the Office. Section 1508.8 discusses the procedure for requesting special relief from the deposit requirements.

1504 What Is the Best Edition of the Work?

The “best edition” of a work is defined as “the edition, published in the United States at any time before the date of deposit, that the Library of Congress determines to be most suitable for its purposes.” 17 U.S.C. § 101; 37 C.F.R. §§ 202.19(b)(1), 202.20(b)(1).

The criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

NOTE: If a work is first published in both hard copy format (i.e., in a physically tangible format) and an electronic format, the requirements set forth in the Best Edition Statement for the hard copy format apply. 37 C.F.R. § 202.20(b)(1). It is the applicant’s responsibility to submit the correct deposit.

1505 What Is a Complete Copy or Phonorecord?

The meaning of the term “complete” copy or phonorecord varies depending on the following factors:

• The type of work.
• Whether the work is unpublished or published.
• If published, whether the work was published in electronic or hard copy format.
• If the work was published as a contribution to a collective work.

See 37 C.F.R. § 202.20(b)(2). These factors are discussed in Sections 1505.1 through 1505.5 below.

1505.1 Copies or Phonorecords of Unpublished Works

A copy or phonorecord of an unpublished work is complete if it contains all of the copyrightable authorship claimed on the application. See 37.C.F.R. § 202.20(b)(2)(i).

1505.2 Copies or Phonorecords of Published Works

A copy or phonorecord of a published work is complete if it “includes all elements comprising the applicable unit of publication of the work, including elements that, if considered separately, would not be copyrightable subject matter.” 37 C.F.R. § 202.20(b)(2)(ii).

There are several exceptions to this rule. Where certain physically separable elements usually attached to a unit of publication are missing, the copy or phonorecord is complete if:

• The deposit contains all parts of the work claimed on the application;
• The removal of the missing elements did not physically damage the copy or phonorecord or garble its contents; and
• The work is exempt from the mandatory deposit requirements under 17 U.S.C. § 407; or
• The deposit consists entirely of a “container, wrapper, or holder, such as an envelope, sleeve, jacket, slipcase, box, bag, folder, binder, or other receptacle acceptable for deposit….”

37 C.F.R. § 202.20(b)(2)(ii).

1505.3 Electronic Copies or Phonorecords of Unpublished Works

An electronic copy or phonorecord of an unpublished work is complete if it is submitted in a digital file that contains all of the copyrightable authorship claimed on the application. 37 C.F.R. § 202.20(b)(2)(iii)(A).

1505.4 Electronic Copies or Phonorecords of Published Works

If the work is published solely in an electronic format, a copy or phonorecord of that work is complete if it is submitted in a digital file that contains all elements constituting the work in its published form (i.e., the complete work as published), including metadata and authorship for which registration is not sought. 37 C.F.R. § 202.20(b)(2)(iii)(B) (“Publication in an electronic only format requires submission of the digital file[s] in exact first-publication form and content.”).

1505.5 Copies or Phonorecords of a Contribution to a Collective Work

As a general rule, a copy or phonorecord of a contribution to a published collective work is complete if the applicant submits one of the following:

• One complete copy of the best edition of the entire published collective work; or
• A photocopy or facsimile copy (i.e., an exact copy equivalent) of the contribution as it was published in the collective work.

If the contribution was published in a newspaper, the copy is complete if the applicant submits one of the following:

• The complete section containing the contribution; or
• The contribution cut out from the newspaper in which it appeared.

See 37 C.F.R. § 202.20(b)(2)(iv).

1506 Identifying Material

Identifying material (“ID material”) is material that adequately represents the authorship claimed in an unpublished or published work. The U.S. Copyright Office has the authority to accept identifying material in lieu of a complete copy or phonorecord in cases where the copies or phonorecords would be too “bulky, unwieldy, easily broken, or otherwise impractical [to serve] as records identifying the work registered.” H.R. REP. NO. 94–1476, at 154 (1976), reprinted in 1976 U.S.C.C.A.N. 5659, 5770.

Examples:

• To register a sculpture, the applicant may submit identifying material consisting of photographs taken at every angle of the sculpture, rather than submitting the actual sculpture. See 37 C.F.R. §§ 202.20(c)(2)(xi)(A)(1), 202.21(b).
• To register a copyrightable design that has been applied to the back of a useful article, such as a chair, the applicant may submit drawings of the design as it appears on the chair rather than the actual piece of furniture. See 37 C.F.R. §§ 202.20(c)(2)(xi)(B)(2), 202.21(a).
• To register a computer program, the applicant generally may submit identifying material containing a selection of the source code from the program. See 37 C.F.R. § 202.20(c)(2)(vii).

Submitting identifying material may be mandatory or permissive. In some cases, the applicant must submit identifying material in lieu of copies or phonorecords of the actual work, while in other cases the applicant has the option of submitting identifying material or actual copies or phonorecords of the work. Identifying material must be visually perceptible to the naked eye, meaning that the Office’s staff should not have to use a machine or device to examine the work. See 37 C.F.R. § 202.21(a).

The Register also may require submission of identifying material by regulation, in addition to the best edition. 17 U.S.C. § 408(b).

The specific type of identifying material that should be submitted varies depending on the type of work. The cases where identifying material is an acceptable substitute for copies or phonorecords of the actual work are described in the following sections:

Literary Works

• Computer programs: Section 1509.1(C)
• Databases: Sections 1509.1(D)(2) and 1509.1(D)(3).
• GATT Literary Works: Section 1509.1(J).

Works of the Performing Arts

• Musical works published in motion pictures: Section 1509.2(A)(5).
• Audiovisual works that have not been fixed on CD-ROM: Section 1509.2(E)(2).
• Unpublished motion pictures: Section 1509.2(F)(2).
• GATT Works of the Performing Arts: Section 1509.2(H).

Visual Art Works

• Unpublished pictorial or graphic works: Section 1509.3(A)(1).
• Pictorial or graphic works published in a limited edition: Section 1509.3(A)(3).
• Pictorial or graphic works reproduced in sheet-like material: Section 1509.3(A)(4).
• Prints, labels, and other advertising matter that is inseparable from a three- dimensional object: Section 1509.3(A)(9).
• Pictorial or graphic works reproduced on three-dimensional containers or holders: Section 1509.3(A)(10).
• Three-dimensional visual arts works: Section 1509.3(B).
• Architectural works: Section 1509.3(D).
• GATT Visual Arts Works: Section 1509.3(E)(3).

1507 Acceptable Formats for Registration Deposits

Depending on the type of work, the applicant may submit deposit copy(ies) in one of two formats:

• Hard copy (by mail).
• Electronic (by upload).

These formats are discussed in Sections 1507.1 and 1507.2. Instructions for submitting deposits in hard copy format are provided in Section 1508.2. Instructions for submitting deposits in electronic format are provided in Section 1508.1.

1507.1 Hard Copy Format

Hard copy deposits are copies and phonorecords embodied in a physically tangible format. Examples of hard copy deposits include, but are not limited to, the following:

• Printed materials
• CDs
• DVDs
• Fabric
• Film

The deposit requirements for works fixed in hard copy format vary depending on whether the work is unpublished or published.

• Unpublished works: For unpublished works fixed in hard copy format, the applicant should submit one complete hard copy of the work. If the unpublished work is fixed in both electronic and hard copy format, the applicant may submit one complete copy in an electronic format (provided that the requirements set forth in Section 1507.2 have been met).
• Published works fixed solely in hard copy format: For published works fixed solely in hard copy format the applicant should submit complete copy(ies) or phonorecord(s) of the work in hard copy format.
• Published works fixed in both electronic and hard copy format: If the work was first published in both electronic and hard copy formats, the applicant generally must submit complete copy(ies) or phonorecord(s) in hard copy format. See 37 C.F.R. § 202.20(b)(1).

The U.S. Copyright Office will not ordinarily conduct research as to whether a different deposit is required (e.g., best edition) and generally leaves this factual determination to the applicant. In such cases, the Office leaves it to a court to determine whether a failure to meet the applicable deposit requirement was a knowing misrepresentation upon the Office.

For a definition of the term “complete,” see Section 1505. For information on the deposit requirements for specific types of works that are typically fixed in hard copy format, see Sections 1509.1 through 1509.3.

1507.2 Electronic Format

Electronic deposit copy(ies) are copies or phonorecords embodied in electronic format, rather than or in addition to a hard copy format. Applicants may submit registration deposit copy(ies) in electronic format, provided that (i) the copy(ies) are “complete” as defined in Sections 1505.3 and 1505.4, (ii) the copy(ies) are submitted in one of the acceptable file formats discussed in Section 1508.1, and (ii) one or more of the following conditions has been met:

• The work is unpublished.
• The work is not subject to the best edition requirements.
• The work has been published only in electronic format.
• Chapter 1500: 14 12/22/2014 The work has been published and identifying material is permitted or required in lieu of a hard copy of the best edition.
• The applicant is using the group registration option for serials and is using an online application to register the works.
• The applicant is submitting a group of photographs under the pilot program for the group registration of published photographs or the group registration of databases that consist predominantly of photographs.
• The Office agrees to accept electronic copies or phonorecords under a grant of special relief.

For all other classes of works, applicants must submit the deposit in hard copy format (even if the application and filing fee are submitted through the electronic registration system).

1508 How to Submit a Registration Deposit

The applicant should submit registration deposit copy(ies) at the same time that the application and filing fee are submitted. Depending on the type of application and the deposit requirements for the work, the deposit copy(ies) may be submitted electronically or in hard copy format. These options are discussed in Sections 1508.1and 1508.2. For information concerning the difference between an electronic copy and a hard copy, see Section 1507.1 and 1507.2.

NOTE: To examine a work for copyrightable authorship, the U.S. Copyright Office’s Registration Program must be able to view or listen to the deposit material without the need to enter a password. Therefore, a deposit copy or phonorecord should not contain digital rights management controls or otherwise require a password to unlock the copyrighted material, regardless of whether it is uploaded in electronic format or submitted in a hard copy (i.e., physically tangible) format. Additionally, deposit copies and phonorecords must not contain any built-in limitations on the period of use.

1508.1 Electronic Deposit Copy(ies)

When completing an online application, the applicant may submit deposit copy(ies), phonorecords, or identifying material in an electronic format, provided that the work satisfies the requirements set forth in Section 1507.2. If work does not satisfy these requirements, the applicant must submit the deposit copy(ies) in a hard copy format.

If the applicant submits a work that is not eligible for submission in electronic format, a member of the Registration Program may communicate with the applicant to request a proper deposit. This process will delay the examination of the application and may change the effective date of registration.

The preferred methods for submitting the deposit in electronic format, in order of preference, are as follows:

• Uploading electronic files to the electronic registration system: When submitting an online application, the applicant may upload a digital file to the Office’s server that contains a complete copy of the work that is claimed in the application. For guidance in uploading the files, see copyright.gov/eco/faq.html.
• Submitting electronic files by mail, by courier, or by hand delivery: When submitting an online application or a paper application, the applicant may submit a digital file that contains a complete copy of the work that is claimed in the application. The files should be saved onto a physical storage device, such as a flash drive, CD-ROM, DVD, or the like. The storage device may be delivered to the Office by mail, by courier, or by hand delivery. For guidance on this procedure, see Sections 1508.3 through 1508.5.
• Identifying material: If identifying material is permitted or required for the deposit, the applicant may submit that material in an electronic format. Specifically, the applicant may upload the identifying material to the Office’s server in the format that is most appropriate for the type of authorship that is claimed in the application. In the alternative, the applicant may download the identifying material onto a physical storage device, such as a flash drive, CD-ROM, or DVD, and may deliver that device to the Office by mail, by courier, or by hand delivery. For guidance on this procedure, see Sections 1508.3 through 1508.5.

NOTE: When submitting an online application and delivering the deposit by mail, by courier, or by hand delivery, the applicant must attach a shipping slip to each deposit. If the applicant fails to attach a shipping slip to each deposit, the Office will be unable to connect the deposit with the application. For information concerning this procedure, see Section 1508.2.

The applicant must submit the electronic deposit copy(ies), phonorecords or identifying material in an acceptable file format, regardless of whether they are uploaded through the electronic registration system or submitted on a physical storage device.

Failure to submit the deposit copy(ies) in an acceptable file format will delay the examination of the claim and will affect the effective date of registration. The Office cannot assign an effective date of registration for a work submitted in electronic format until it has received a file that can be opened and examined by the Registration Program.

A current list of acceptable file formats is posted on the Office’s website at www.copyright.gov/eco/help-file-types.html. The list includes, but is not limited to, the following file formats:

• pdf
• txt
• wpd
• doc
• tif
• svg
• jpg
• html
• wav
• Chapter 1500: 16 12/22/2014 mpeg, including mp3

37 C.F.R. § 202.20(b)(2)(iii)(C).

The electronic registration system has a sixty minute “time out” feature that limits the size and the number of files that may be submitted during each upload session. These limits vary depending on the connection speed of the applicant’s computer. The maximum size for files submitted with a typical modem is 11.3 MB, while the maximum size for files submitted with a typical broadband connection is 170 MB.

If the applicant intends to upload a large number of files, the Office encourages the applicant to submit the deposit in one or more compressed ZIP files. If the applicant intends to upload a very large file, the Office encourages the applicant to compress the deposit in a ZIP file or to separate the deposit into two or more smaller files. Alternatively, the applicant may upload the deposit during two or more upload sessions; information concerning this procedure is available on the Office’s website at copyright.gov/eco/faq.html.

If the applicant is unable to upload the deposit with these options, then as discussed above, the applicant may save the deposit copy(ies) onto a physical storage device and deliver it to the Office by mail, by courier, or by hand delivery, together with a shipping slip that connects the deposit with the online application.

1508.2 Hard Copy Deposits

The applicant must submit the deposit copy(ies), phonorecords, or identifying material in a hard copy format in the following situations:

• The work is not eligible for submission in electronic format because it does not satisfy the requirements set forth in Section 1507.2.
• The applicant is submitting a paper application rather than an online application.
• The applicant prefers to submit the deposit copy(ies) in a hard copy format rather than an electronic format.

Applicants may submit the deposit copy(ies) in a hard copy format by mail, by courier, or by hand. These delivery options are discussed in Sections 1508.3 through 1508.5.

When the applicant submits an online application and filing fee and subsequently submits the deposit copy(ies) using one of these methods, the applicant must attach a shipping slip to the deposit copy(ies) to ensure that the deposit will be paired with the online application. See 37 C.F.R. 202.3(b)(2)(i)(D). To create a shipping slip the applicant must click the Create Shipping Slip button at the bottom of the Case Summary screen then click the shipping slip link that appears in the field marked Send By Mail. The applicant must print one or more copies of the shipping slip, attach a copy to each deposit copy, and send all of these items to the Office in a single package (regardless of whether the deposit is submitted by mail, by courier, or by hand).

The effective date of registration for claims submitted by mail, by courier, or by hand will be determined based on the date that the Office receives an acceptable application, the correct filing fee, and the deposit copy(ies) together with the corresponding shipping slip. If the shipping slip is not included with each physical deposit, the deposit copy(ies) cannot be connected with the application. In such cases, the application and the deposit copy(ies) will not be examined by a member of the Registration Program unless the applicant contacts the Office and agrees to pay an additional fee to locate the deposit copy(ies). The amount of this fee is set forth in the Office’s fee schedule under the heading “Retrievals and Copies of Records” (www.copyright.gov/docs/fees.html). If the Office is unable to locate the deposit copy(ies), the applicant will be required to resubmit the deposit copy(ies) to the Office with the required shipping slip (in addition to the location and retrieval fee). This process will change the effective date of registration for the claim.

1508.3 Submitting the Deposit by Mail

When completing an online application and submitting a hard copy deposit by mail, the applicant should send the deposit copy(ies) and the shipping slip(s) in a single package to the address specified on the shipping slip.

When submitting a paper application, the applicant should send the completed application, proper filing fee, and the deposit copy(ies) in a single package to the address specified in space 9 of the application under the heading marked “Mail To.”

1508.4 Submitting the Deposit by Courier

To submit hard copy deposits by courier, the applicant should place all the required materials in a single package (including the appropriate shipping slip(s) when submitting an online application). The package should be sent to the Congressional Courier Acceptance Site (“CCAS”), which is located at 2nd and D Streets NE, Washington, DC. This location is open Monday through Friday from 8:30 a.m. to 4:00 p.m. Eastern Time, except for federal holidays. Short term parking for cars and bicycles is available.

Registration materials submitted through a courier service will not receive a dated receipt from the Office but will instead receive one dated by CCAS. The CCAS date of receipt is considered the date of receipt in the Office.

NOTE: A courier may deliver up to ten items at a time. Packages that are more than four inches by fourteen inches by eighteen inches will not be accepted. In such cases, the courier will be directed to deliver the package to an offsite mail processing center.

1508.5 Submitting the Deposit by Hand

To submit hard copy deposits in person, the applicant should place all the required materials in a single package (including the appropriate shipping slip(s) when submitting an online application). The package should be delivered by hand to the U.S. Copyright Office’s Public Information Office (“PIO”). PIO is open to the public Monday through Friday, 8:30 a.m. to 5:00 p.m. Eastern Time, except for federal holidays. PIO is located at the following address:

Public Information Office U.S. Copyright Office James Madison Memorial Building, Room LM-401 101 Independence Avenue SE Washington D.C.

An applicant who delivers registration materials to PIO during regular office hours will receive a date-stamped receipt that lists the title of no more than one of the works listed on the application.

NOTE: Visitors to the U.S. Copyright Office must pass through security before entering the building. Sealed packages or packages that are more than twenty-four inches wide by fifteen inches high are not permitted.

1508.6 Screening Deposits for Anthrax and Other Contaminants

In October 2001, envelopes contaminated with anthrax arrived in some Congressional offices. This caused a one-week closure of Capitol Hill buildings, including the James Madison Memorial Building of the Library of Congress where the U.S. Copyright Office is located. Since that time, all mail that is sent to the Office is screened offsite for anthrax or other contaminants prior to delivery. This process will delay the delivery of any deposit that is sent to the Office by mail or by courier.

1508.6(A) Deposits Damaged During Contaminants Screening

In some cases the screening for anthrax and other contaminants may damage the deposit. When a deposit is damaged due to this process, a member of the Registration Program will notify the applicant and request a replacement deposit.

The replacement deposit should be submitted to the address specified in the notification from the Office, together with a written declaration confirming that the replacement is identical to the deposit that was previously submitted, including the copyright notice (if appropriate). If the work is approved for registration, the delay in the examination of the work will not affect the effective date of registration.

If the applicant fails to submit a replacement deposit within the time specified in Chapter 600, Section 605.6, the file will be closed.

1508.6(B) How to Avoid Damage to Deposit Copy(ies)

To avoid damage to the deposit, applicants should package the following items in cardboard boxes rather than envelopes for delivery to the Office:

• Audiocassettes, videocassettes, CDs, and DVDs.
• Microform.
• Photographs.
• Glossy advertisements, color photocopies, and other print items.

NOTE: CDs packaged in standard full-sized jewel boxes are more likely to survive the screening process than those packaged in slim-line cases.

In all cases, applicants are encouraged to remove any internal and external plastic packaging from the deposit. This type of material may melt during the irradiation process, which may damage the deposit.

1508.7 Special Handling

1508.7(A) How to Request Special Handling When Submitting an Application

Special handling is a procedure for expediting the examination and processing of an application. The U.S. Copyright Office offers this service in certain circumstances where a copyright owner or other interested parties have a compelling reason for the expedited issuance of a certificate of registration (e.g., as a prerequisite for bringing a copyright infringement suit in federal district court). For information concerning this procedure, see Chapter 600, Section 623.

1508.7(B) How to Request Special Handling for a Pending Application

A request for special handling may be made at any time before the U.S. Copyright Office issues a certificate of registration. If an application is currently pending, the applicant may ask the Office to process the claim on an expedited basis, provided that the applicant pays the special handling fee and provided that there is a compelling reason for the request. For information concerning this procedure, see Chapter 600, Section 623.5(D).

1508.8 Special Relief from Registration Deposit Requirements

This Section discusses the procedure for requesting special relief from the registration deposit requirements. For information concerning the procedure for requesting special relief from the mandatory deposit requirements, see Section 1511.9.

1508.8(A) What Is Special Relief?

The U.S. Copyright Office is authorized to grant special relief from the registration deposit requirements in certain circumstances. Specifically, the Office may allow the applicant to submit:

• One copy or phonorecord, or alternative identifying material (in lieu of submitting one or two copy(ies) or phonorecord(s) of the work).
• Incomplete copy(ies) or phonorecord(s) or copy(ies) or phonorecord(s) other than those normally comprising the best edition.
• Actual copy(ies) of the work (in lieu of submitting identifying material).
• Identifying material that does not comply with Section 202.21 of the Office’s regulations.

37 C.F.R. § 202.20(d)(1).

1508.8(B) How to Request Special Relief

A request for special relief must be made in writing and must include the specific reason(s) why the request should be granted. The request should be addressed to the Associate Register of Copyrights and Director of Registration Policy and Practice and should be signed by or on behalf of the person who signed the application. 37 C.F.R § 202.20(d)(3). The Associate Register will consider a request for special relief once the Office has received a completed application, the correct filing fee, and the deposit copy(ies).

When completing an online application, the applicant may submit a request for special relief in the Note to Copyright Office field. Alternatively, the applicant may submit the request along with the deposit copy by using the following procedures:

• When submitting the deposit through the electronic registration system, the applicant may upload the request and the deposit through the Electronic Deposit Upload screen, provided that the work is eligible for submission in an electronic format. See Section 1507.2. When using this option, the request should be prepared as a separate file and it should be uploaded before the deposit copy.
• When submitting the deposit by mail, by courier, or by hand, the request for special relief may be attached to the shipping slip.

When completing a paper application, the applicant may submit a request for special relief together with the application, the deposit, and the filing fee.

Once an application has been filed, the applicant may request special relief in response to an email or other written communication from a member of the Registration Program. Alternatively, the applicant may submit the request by mail to the following address:

Associate Register of Copyrights and Director of Registration Policy and Practice

U.S. Copyright Office P.O. Box 70400 Washington, DC 20024-0400

If the request is granted and if the work is approved for registration, a member of the Registration Program will add an annotation to the certificate of registration indicating that the work was registered under a grant of special relief.

If the request is denied, a member of the Registration Program will notify the applicant in writing. If the relevant deposit requirements have not been met, the staff member may ask the applicant to submit a replacement deposit. The replacement deposit should be sent to the address specified in the communication from the Office, together with a written declaration confirming that the work contained in the replacement is identical to the work contained in the initial deposit, including the copyright notice (if any).

If the work is approved for registration and if the copyrightable content of the replacement deposit and the initial deposit is the same, the effective date of registration will be determined based on the date that the Office received the initial deposit, the completed application, and the correct filing fee. If the copyrightable content is not the same, the effective date of registration will be determined based on the date that the Office received the replacement deposit, the completed application, and the correct filing fee.

If the applicant is unable to submit an acceptable deposit, the Office may refuse to register the claim.

1508.8(C) Ongoing or Continuous Grant of Special Relief

In certain situations, the Register of Copyrights may grant special relief on an ongoing or continuous basis for particular categories of works or for particular circumstances encountered by specific applicants. See Part 202—Registration of Claims to Copyright, Deposit Requirements 43 Fed. Reg. 41,975, 41,976 (Sept. 19, 1978).

1508.8(D) Termination of Special Relief

The Register of Copyrights may terminate any ongoing or continuous grant of special relief after consulting with other appropriate officials of the Library of Congress. In such cases, the Office will issue a written notice of termination that will be sent to the individual or organization that received the grant of special relief at the last address shown in the Office’s records. A notice may be issued at any time, but the termination will not go into effect until thirty days after the date that the notice is mailed. The notice will apply to works deposited after the effective date of the termination, but the termination does not affect the validity of any deposit or registration previously made under the grant of special relief. See 37 C.F.R. § 202.20(d)(4).

1509 Deposit Requirements for Specific Types of Works

The Register of Copyrights has established specific deposit requirements for certain classes of works. See 17 U.S.C. § 408(c)(1) (stating that the Register of Copyrights has the authority to “specify by regulation the administrative classes into which works are to be placed for the purposes of deposit and registration, and the nature of the copies or phonorecords to be deposited in the various classes specified.”). These requirements are discussed in Sections 1509.1 through 1509.3 below. For questions concerning works that are not addressed in these sections, applicants may contact the Public Information Office at (202) 707-5959, Monday through Friday, between the hours of 8:30 a.m. – 5:00 p.m. Eastern Time.

1509.1 Deposit Requirements for Literary Works

A literary work is a nondramatic work that explains, describes, or narrates a particular subject, theme, or idea through the use of narrative, descriptive, or explanatory text, rather than dialog or dramatic action. Generally, nondramatic literary works are intended to be read; they are not intended to be performed before an audience.

Examples of nondramatic literary works include the following types of works:

• Fiction
• Nonfiction
• Poetry
• Directories
• Catalogs
• Textbooks
• Reference works
• Advertising copy
• Book jackets
• Instructional works
• Compilations of information
• Computer programs
• Videogames
• Databases
• Serials

See 37 C.F.R. § 202.3(b)(1)(i).

To register an unpublished literary work, the applicant generally should submit one complete copy or phonorecord of the work. See 37 C.F.R. § 202.20(c)(1)(i).

To register a literary work that was first published in the United States on or after January 1, 1978, the applicant generally should submit two complete copies or phonorecords of the best edition of the work. See id. § 202.20(c)(1)(iii).

As discussed in Section 1504, the criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

To register a literary work published in both electronic and hard copy formats, the applicant should submit complete copies of the best edition in the hard copy format. If the work was published solely in electronic format, the applicant may submit digital file(s) containing a complete copy of the work, provided that the requirements set forth in Section 1507.2 have been met.

There are exceptions to these rules for certain types of literary works. The deposit requirements for these types of works are discussed in Sections 1509.1(A) through 1509.1(J).

Section 1509.1(K) contains a series of charts that summarize the deposit requirements for these types of works. For detailed information on the copyrightability and registration of literary works, see Chapter 700.

1509.1(A) Book Jackets

To register a claim in the text, artwork, or other copyrightable material that appears only on a book jacket, the applicant should submit one complete copy of the jacket. The Chapter 1500: 23 12/22/2014 applicant need not submit a copy of the book itself, unless the copyrightable material is physically attached to the book (as in the case of an illustration on the cover of a paperback). See 37 C.F.R. § 202.20(c)(2)(i)(K) (requiring only one complete copy of works reproduced on three-dimensional containers); Part 202 – Registration of Claims to Copyright, Deposit Requirements, 43 Fed. Reg. 41,975, 41,978 (Sept. 19, 1978) (explaining that the exception for containers applies to book jackets).

1509.1(B) Games

A game may be registered as a literary work if the predominant form of authorship in the work consists of text. Examples of works that may satisfy this requirement include word games, card games, party games, riddles, brain teasers, and similar diversions, including the instructions or directions for playing a particular game.

The deposit requirement for a game varies, depending on whether the literary work is reproduced in a two-dimensional or three-dimensional object.

• To register a two-dimensional game, the applicant should submit one complete copy if the game is unpublished. If the game has been published, the applicant should submit one complete copy of the best edition.
• If the game is reproduced in or on a three-dimensional object, the applicant generally should submit identifying material of all of the copyrightable authorship claimed in the application, regardless of whether the game is published or unpublished. However, if the game consists of multiple parts that are packaged and published in a box or similar container that is larger than 12 by 24 by 6 inches, the applicant may submit one complete copy of the best edition in lieu of identifying material.

See 37 C.F.R. § 202.20(c)(1)(i) (requiring one complete copy for an unpublished work), (c)(2)(i)(J) (requiring one complete copy of works published in the form of two- dimensional games), (c)(2)(xi)(A)(1) (permitting identifying material for three- dimensional sculptural works), (c)(2)(xi)(B)(3) (exception to rule requiring identifying material for three-dimensional games published in a container of a designated size), (c)(2)(i)(G) (one complete copy required for works subject to the exception set forth in § 202.20(c)(2)(xi)(B)); see also Part 202 – Registration of Claims to Copyright, Deposit Requirements, 43 Fed. Reg. 41,975, 41,976 (Sept. 19, 1978) (explaining that only one copy is required for works consisting of multiple parts that include three or more three dimensional, physically separable parts, such as board games, models kits, and certain kinds of craft kits).

1509.1(C) Computer Programs

To register a computer program, the applicant should submit “one copy of identifying portions” for the specific version of the program that the applicant intends to register. See 37 C.F.R. § 202.20(c)(2)(vii). The identifying material that should be submitted may vary depending on the following factors:

• Was the program fixed or published in a CD-ROM?
• Is the program a derivative computer program?
• Does the source code for the program contain trade secret material?
• Has the applicant asserted a claim in the screen displays generated by the program?
• Has the applicant asserted a claim in the user manual or other documentation for the program?

These topics are discussed in Sections 1509.1(C)(2) through 1509.1(C)(8) below.

1509.1(C)(1) Source Code

To register a claim in a computer program that is not fixed in CD-ROM, the applicant should submit an identifying portion of the source code for the specific version of the program that the applicant intends to register, regardless of whether the program is published or unpublished and regardless of whether the program is fixed in a semiconductor chip, a magnetic tape or disk, or any other storage media. The source code should be submitted either on paper or in an electronic file in a form that is perceptible to the human eye without the aid of a machine or device. See 37 C.F.R. § 202.20(c)(2)(vii).

The applicant may submit the entire source code for the computer program, or in the alternative, the applicant may submit representative portions of the source code. The amount of code that is required varies depending on whether the work is a derivative computer program or whether the program contains trade secret material. These issues are discussed in Sections 1509.1(C)(2) through 1509.1(C)(4) below.

In all cases, applicants should add the title and version number of the program to the first page of the code. This helps the Registration Program determine whether the version described in the application matches the version shown in the identifying material. To help staff determine whether a sufficient amount of code has been submitted, applicants may insert page numbers on each page of source code where applicable.

The applicant does not need to provide the total number of lines of source code that appear in the program. However, if there are inconsistencies in the identifying material, such as missing page numbers or gaps between the line numbers for the source code, a member of the Registration Program may communicate with the applicant to determine whether the deposit is complete.

See H.R. REP. NO. 94-1476, at 153 (1976), reprinted in 1976 U.S.C.C.A.N. 5659, 5769 (authorizing the Register of Copyrights to “allow or require deposit of print-outs of computer programs under certain circumstances”); see also Registration of Claims to Copyright Deposit Requirements for Computer Programs Containing Trade Secrets and for Computer Screen Displays, 54 Fed. Reg. 13,173, 13,174-75 (Mar. 31, 1989).

1509.1(C)(2) Derivative Computer Programs

If the computer program contains a substantial amount of unclaimable material, the program should be registered as a derivative work. For purposes of registration, unclaimable material includes:

• Previously published material,
• Previously registered material,
• Material that is in the public domain, or
• Copyrightable material that is owned by a third party.

A registration for a derivative computer program covers the new material or revised material that the author contributed to that work, but it does not cover any of the unclaimable material that may appear in the program. See Chapter 700, Section 721.8.

To register a claim in a derivative computer program, the applicant should submit a portion of the source code for the specific version of the program that the applicant intends to register.

• If the new material or revised material appears throughout the entire program, the applicant should submit a copy of the first and last twenty-five pages of the source code for that version.
• If the new material or revised material does not appear in the first and last twenty- five pages of the source code, the applicant should submit any fifty pages of source code that contain new or revised material.

In all cases, the applicant should submit the page of the source code that contains the copyright notice (if any) for the specific version that the applicant intends to register. 37 C.F.R. § 202.20(c)(vii)(A)(1).

1509.1(C)(3) Source Code That Does Not Contain Trade Secret Material

This Section discusses the deposit requirements for submitting source code that does not contain trade secret material.

The applicant should submit a portion of the source code for the specific version that the applicant intends to register. Specifically, the applicant should submit one copy of the first twenty-five pages and the last twenty-five pages of the source code for that version. In addition, the applicant should submit the page of the source code that contains the copyright notice (if any) for that version. 37 C.F.R. § 202.20(c)(2)(vii)(A)(1).

If the source code does not have a precise beginning, middle, or end, the applicant should submit fifty pages that reasonably represent the first and last twenty-five pages of the code.

If the entire program is fifty pages or less, the applicant should submit the entire source code. In addition, the applicant should inform the U.S. Copyright Office that the entire code has been submitted. When submitting an online application this information should be provided in the Note to Copyright Office file; when submitting a paper application on Form TX this information should be provided in a cover letter.

1509.1(C)(4) Source Code That Contains Trade Secret Material

1509.1(C)(4)(a) Background

Section 705(a) of the Copyright Act requires the Register of Copyrights to prepare and maintain “records of deposits, registrations, recordations, and other actions” taken by the U.S. Copyright Office. 17 U.S.C. § 705(a). Section 705(b) states that all deposits maintained by the Office in connection with a completed copyright registration, “shall be open to public inspection.” Id. § 705(b).

In the 1980s a concern was expressed that making computer programs available for public inspection could jeopardize a copyright owner’s trade secret protection under state law. In response to these concerns, the Office established a specific procedure for submitting source code that contains trade secret material.

For purposes of registration, a trade secret includes “any formula, pattern, device or compilation of information which is used in one’s business, and which gives him an opportunity to obtain an advantage over competitors who do not know or use it.” Kewanee Oil Co. v. Bicron Corp., 416 U.S. 470, 474-75 (1974) (quoting the Restatement of Torts § 757, comment b (1939)).

See generally Registration of Claims to Copyright Deposit Requirements for Computer Programs Containing Trade Secrets and for Computer Screen Displays, 54 Fed. Reg. 13,173, 13,173 (Mar. 31, 1989); Registration of Claims to Copyright; Deposit Requirements for Computer Programs Containing Trade Secrets, 51 Fed. Reg. 34,667, 34,667-68 (Sept. 30, 1986); Notice of Inquiry Deposit of Computer Programs and Other Works Containing Trade Secrets, 48 Fed. Reg. 22,951, 22,952 (May 23, 1983).

1509.1(C)(4)(b) Computer Programs That Contain Trade Secret Material

If the source code for the computer program contains trade secret material, the applicant should submit twenty to sixty pages of code for the specific version that the applicant intends to register using one of the following options:

• The applicant may submit the first ten pages and last ten pages of source code, provided that none of the code is blocked out;
• The applicant may submit the first twenty-five pages and last twenty-five pages of source code with the portions of the code that contain trade secret material blocked out, provided that the blocked out portions are proportionately less than the remaining material and provided that the unblocked portions contain an appreciable amount of original authorship;
• Chapter 1500: 27 12/22/2014 The applicant may submit the first twenty-five pages and last twenty-five pages of object code for the program together with ten or more consecutive pages of source code, provided that none of the source code is blocked out; or
• If the source code for the entire program is less than fifty pages, the applicant may submit the entire code with the portions of the code that contain trade secret material blocked out, provided that the blocked out portions are proportionately less than the remaining material and provided that the unblocked portions contain an appreciable amount of original authorship.

See 37 C.F.R. § 202.20(c)(2)(vii)(A)(2); see also Data General Corp. v. Grumman Systems Support Corp., 825 F. Supp. 340, 356 (D. Mass. 1993) (“In the case of a computer program that contains trade secret material . . . the Copyright Office permits the deposit to take the form of a symbolic filing . . . .”).

In all cases, the applicant should submit the portion of the source code that contains the copyright notice (if any) for the specific version that the applicant intends to register.

In addition, the applicant should notify the Office that the source code contains trade secret material. When completing an online application, this information should be provided in the Note to Copyright Office field. When completing a paper application on Form TX, this information should be provided in a cover letter.

1509.1(C)(4)(c) Derivative Computer Programs That Contain Trade Secret Material

If the applicant intends to register a derivative computer program that contains trade secret material and if the new material or revised material appears throughout the entire program, the applicant should submit a portion of the source code for that version using one of the following options:

• The applicant may submit the first ten pages and last ten pages of source code, provided that none of the code is blocked out; or
• The applicant may submit the first twenty-five pages and last twenty-five pages of source code with the portions of the code that contain trade secret material blocked out, provided that the blocked out portions are proportionately less than the remaining material and provided that the unblocked portions contain an appreciable amount of original computer code.

If the new material or revised material does not appear throughout the entire program or within the first twenty-five pages and last twenty-five pages of the source code, the applicant should use one of the following options:

• The applicant may submit twenty pages of code that are representative of the new or revised material, provided that none of the code is blocked out; or
• The applicant may submit any fifty pages of source code that are representative of the new or revised material. The portions of the code that contain trade secret material may be blocked out, provided that the blocked out portions are Chapter 1500: 28 12/22/2014 proportionately less than the remaining material and provided that the unblocked portions contain an appreciable amount of original computer code.

In all cases, the applicant should submit the portion of the source code that contains the copyright notice (if any) for the specific version that the applicant intends to register. See 37 C.F.R. § 202.20(c)(2)(vii)(A)(2).

In addition, the applicant should notify the Office that the source code contains trade secret material. When completing an online application, this information should be provided in the Note to Copyright Office field. When completing a paper application on Form TX, this information should be provided in a cover letter.

1509.1(C)(4)(d) Appropriate Method for Blocking Out Source Code That Contains Trade Secret Material

As discussed in Sections 1509.1(C)(4)(b) and 1509.1(C)(4)(c), an applicant may block out the portions of the source code that contain trade secret material. The applicant should not block out any portions of the source code that do not contain trade secret material.

The applicant may block out entire words or phrases in the source code that are trade secrets. In the alternative, the applicant may block out entire pages of the code containing trade secrets, provided that the applicant leaves a vertical or diagonal strip of visible text on each page that is sufficient to show that the page contains copyrightable authorship. In all cases, the blocked out portions should be “proportionately less than the material remaining, and the deposit [should reveal] an appreciable amount of original computer code.” 37 C.F.R. § 202.20(c)(2)(vii)(A)(2).

The U.S. Copyright Office will not accept blocked out pages that conceal virtually all of the copyrightable expression in the work. The unblocked portions of the deposit must contain enough computer code to enable the Registration Program to determine whether the deposit contains a sufficient amount of copyrightable expression to warrant registration under Sections 102(a) and 410 of the Copyright Act. The Office has not attempted to quantify the amount of source code that must remain visible, because the determination of copyrightable expression can never be based on an arbitrary formula. Instead, the regulation requires “[a]n appreciable amount of original computer code,” meaning sufficient original computer code to constitute recognizable copyrightable expression. Id. Whether a particular deposit meets this standard will be determined on a case-by-case basis. In most cases, the presence of copyrightable authorship is readily apparent. However, if all of the copyrightable expression has been blocked out and only uncopyrightable material remains visible, a member of the Registration Program will ask the applicant to submit an acceptable printout of source code. If the applicant is unable or unwilling to submit a deposit with copyrightable authorship that is visible to the Registration Program, registration may be refused, even if the unblocked portions represent more than fifty percent of the source code shown in the identifying material. See Registration of Claims to Copyright Deposit Requirements for Computer Programs Containing Trade Secrets and for Computer Screen Displays, 54 Fed. Reg. 13,173, 13,174 & n.3, 13,175 (Mar. 31, 1989).

1509.1(C)(4)(e) Special Relief for Computer Programs Containing Trade Secrets

If the applicant is unable or unwilling to deposit source code using any of the options discussed in Sections 1509.1(C)(4)(b) and 1509.1(C)(4)(c), the applicant may ask for special relief from the deposit requirements. For information concerning this procedure, see Section 1508.8.

See 37 C.F.R. § 202.20(d)(1)(iv); Notice of Inquiry Deposit of Computer Programs and Other Works Containing Trade Secrets, 48 Fed. Reg. 22,951, 22,953-54 (May 23, 1983).

1509.1(C)(5) Computer Programs Fixed in a CD-ROM

“[A] CD-ROM package, whenever available, is the preferred form of deposit for the works embodied therein, both for registration and mandatory deposit.” Registration of Claims to Copyright: Deposit of CD-ROM Format, 56 Fed. Reg. 47,402 (Sept. 19, 1991).

If a computer program has been fixed in a CD-ROM, the applicant must submit “one complete copy of the entire CD-ROM package, including a complete copy of any accompanying operating software and instructional manual” for the program. 37 C.F.R. § 202.20(c)(2)(xix)(A). In addition, the applicant should submit a portion of the source code for the specific version of the program that the applicant intends to register.

CD-ROMs typically contain a copy of the source code for the computer program that has been converted or compiled into object code. If the applicant fails to submit identifying material a member of the Registration Program may conduct a brief search of the files and folders on the CD-ROM to determine whether the code can be viewed. If a member of the Registration Program is unable to locate or access the code from the CD-ROM, he or she will ask the applicant to submit a file or print out containing an appropriate portion of the code. Id. § 202.20(c)(2)(xix)(B). The requirements for the submission of source code are discussed in Sections 1509.1(C)(1) through 1509.1(C)(4) above.

See generally Registration of Claims to Copyright; Mandatory Deposit of Machine- Readable Copies, 54 Fed. Reg. 42,295, 42,298 (Oct. 16, 1989) (“The Examining Division is required to examine for copyrightable authorship. Machine-readable copies are generally unsuitable for this task.”).

1509.1(C)(6) Object Code

Section 410(a) directs the Register of Copyrights to examine claims to copyright and to determine whether the material deposited “constitutes copyrightable subject matter.” 17 U.S.C. § 410(a). The U.S. Copyright Office considers source code to be the best representation of the copyrightable literary authorship in a computer program for examining purposes. By contrast, object code cannot be examined for copyrightable authorship, because it is written in a machine language that is unintelligible to human beings.

If the applicant is unable to deposit source code, the applicant may submit the first twenty-five pages and last twenty-five pages of object code for the specific version of the program that the applicant intends to register. The applicant must state in writing that the work deposited contains copyrightable authorship, and the applicant must request Chapter 1500: 30 12/22/2014 registration under the Rule of Doubt. In the case of an online application, this statement should be provided in the Note to Copyright Office field. In the case of a paper application, this statement should be provided in a cover letter. If the object code contains a copyright notice for the program, the applicant should submit the portion of the code where the notice appears. The notice should be underlined or highlighted, and the content of that notice should be decoded and presented in words and numbers that are comprehensible to the Registration Program.

If the applicant submits object code instead of source code, the Registration Program will examine the application to determine whether the formal and legal requirements for registration have been satisfied. However, the Registration Program will not make any determination concerning the existence of copyrightable authorship in the object code, even if the applicant submits other deposit material that clearly contains copyrightable authorship, such as screen displays or a user manual. Instead, the Registration Program will accept the applicant’s assertion that the object code represents an original work of authorship and will register the claim in the work under the Rule of Doubt. This limitation will be reflected on the certificate of registration and in the online public record with an annotation, such as: “Regarding deposit: registration made under rule of doubt.” See 37 C.F.R. § 202.20(c)(2)(vii)(B).

The annotation indicates that the program has been registered without any examination for copyrightable authorship, and therefore, without a prima facie presumption of validity. If there is a legal dispute involving the program, the courts can evaluate the copyrightability of the object code.

See generally Registration of Claims to Copyright Deposit Requirements for Computer Programs Containing Trade Secrets and for Computer Screen Displays, 54 Fed. Reg. 13,173, 13,173, 13,175 (Mar. 31, 1989); Registration of Claims to Copyright; Deposit Requirements for Computer Programs Containing Trade Secrets, 51 Fed. Reg. 34,667, 34,668 (Sept. 30, 1986); Notice of Inquiry Deposit of Computer Programs and Other Works Containing Trade Secrets, 48 Fed. Reg. 22,951, 22,952 (May 23, 1983).

1509.1(C)(7) Computer Screen Displays

As a general rule, a computer program and the screen displays generated by that program are considered the same work, because in most cases the screen displays are created by the program code. If the copyright in the program and the screen displays are owned by the same claimant, the program and any related screen displays may be registered with the same application. See Chapter 700, Section 721.10.

When an applicant expressly asserts a claim in a computer program, the registration covers the copyrightable expression in the program code and any copyrightable screen displays that may be generated by that code, even if the applicant does not submit a copy of the screen displays with the application. By contrast, if an applicant only asserts a claim in screen displays the registration does not cover the computer program unless the applicant submits appropriate identifying material for that program. See Registration Decision; Registration and Deposit of Computer Screen Displays, 53 Fed. Reg. 21,817, 21,819-20 (June 10, 1988).

When screen displays are specifically claimed in the application for registration, the applicant must submit the appropriate identifying material for the screen displays together with the identifying material for the program code. The applicant may submit a visual reproduction of the screen displays, such as printouts, photographs, or drawings, provided that the reproductions are no smaller than three by three inches and no larger than nine by twelve inches. 37 C.F.R. § 202.20(c)(2)(vii)(C)(1). Alternatively, the applicant may submit a CD-ROM, DVD-ROM, and/or a user manual for the computer program, provided that it contains legible reproductions of the screen displays. (In this respect, the Compendium of U.S. Copyright Office Practices, Third Edition supersedes the Office’s policy statement concerning the registration and deposit of screen displays. See 54 Fed. Reg. 13,173, 13,177 (Mar. 31, 1989).)

If the screen displays primarily contain audiovisual material, the applicant should submit that material on a ½ inch VHS format videotape or request special relief. However, if the screen displays simply demonstrate the functions of the computer program, the applicant should submit printouts, photographs, or drawings that meet the size requirements discussed above. 37 C.F.R. § 202.20(c)(2)(vii)(C)(2).

NOTE: If the applicant is unable to submit identifying material using any of these options, the applicant may ask for special relief from the deposit requirements. For information concerning this procedure, see Section 1508.8. In the alternative, the applicant may submit two complete copies of the work as published.

1509.1(C)(8) User Manuals and Other Documentation for a Computer Program

User manuals, instructional booklets, flowcharts, and other documentation that explain the development or operation of a computer program may be registered with the U.S. Copyright Office, provided that they contain a sufficient amount of original copyrightable authorship. See Chapter 700, Section 721.11.

If a user manual or other documentation is published together with a computer program as a single unit, and if all of the copyrightable expression is owned by the same claimant, the program and the documentation may be registered with one application and one filing fee. See 37 C.F.R. § 202.3(b)(4)(i)(A). By contrast, if the user manual or other documentation is published separately from the computer program or if they are owned by different claimants, each element is considered a separate work and a separate application for each element is required.

To register a computer program together with the user manual or other documentation for that program, the applicant should submit identifying portions of the program code along with one complete copy of the manual or other documentation. (The deposit requirements for computer programs are discussed in Sections 1509.1(C)(1) through 1509.1(C)(6) above.)

To register a user manual or other documentation without asserting a claim in the computer program, the applicant should submit two complete copies of the user manual or other documentation (if the work has been published) or one complete copy of the user manual or other documentation (if the work is unpublished).

1509.1(D) Databases

This Section discusses the deposit requirements for registering a specific version of a single-file or multi-file database.

NOTE: A registration for a specific version of a database does not cover previously published versions of that database. Likewise, it does not cover any subsequent updates or revisions that may be made to the database, regardless of whether the database is published or unpublished. However, the Office has established a special procedure that allows applicants to register a database together with the subsequent updates or revisions that were made to that database within a period of three months or less. The deposit requirements for this group registration option are discussed in Chapter 1100, Section 1117.6.

1509.1(D)(1) Databases Fixed in CD-ROMs

If the database has been fixed in a CD-ROM, the applicant should submit “one complete copy of the entire CD-ROM package.” See 37 C.F.R. § 202.20(c)(2)(xix)(A). If a member of the Registration Program is unable to view the CD-ROM using the equipment available in the U.S. Copyright Office, he or she will communicate with the applicant. See id. § 202.20(c)(2)(xix)(B).

In all other cases, the applicant should submit identifying portions of the database, as discussed in Sections 1509.1(D)(2) and 1509.1(D)(3) below.

1509.1(D)(2) Databases That Do Not Consist Predominantly of Photographs

This Section discusses the deposit requirements for a database that does not consist predominantly of photographs.

The applicant should submit identifying portions for the specific version of the database that the applicant intends to register, regardless of whether the database is published or unpublished. The identifying portions should be submitted on paper or in microfilm and should be visually perceptible without the aid of a machine or device. See 37 C.F.R. § 202.20(c)(2)(vii)(D).

The amount of material that is required varies depending on whether the applicant intends to register a revised database, and whether the database contains a single data file or multiple separate and distinct data files. For purposes of registration, a data file is a group of records pertaining to a common subject matter, regardless of the size or the amount of data within the records. Id. § 202.20(c)(2)(vii)(D)(2).

• If the database contains a single data file, the applicant should submit the first twenty-five pages and last twenty-five pages or equivalent units of the database.
• If the applicant intends to register a database that contains multiple separate or distinct data files, the applicant should submit fifty complete data records from each data file or the entire data file, whichever is less. In addition, the applicant should submit a descriptive statement containing the information set forth in Chapter 1100, Section 1117.6(C).
• Chapter 1500: 33 12/22/2014 If the applicant intends to register a revised version of a database, the applicant should submit fifty representative pages or data records that were added to or modified in that version. If the revised database contains multiple separate or distinct data files, the applicant also should submit a descriptive statement containing the information set forth in Chapter 1100, Section 1117.6(C).

See id. § 202.20(c)(2)(vii)(D)(1), (3), (4).

If the database contains a copyright notice, the applicant should provide the following information:

• If the notice is in a machine-readable format, the applicant should provide the exact content of the notice and indicate the manner and frequency with which it is displayed (e.g., at a terminal when a user signs on, continuously on the terminal display, on print outs from the database, etc.).
• If the notice appears on copies of the database or on magnetic tape reels or the containers for those reels, the applicant should submit a photocopy or other sample of the notice.

Id. § 202.20(c)(2)(vii)(D)(6)-(7).

1509.1(D)(3) Databases That Predominantly Consist of Photographs

This Section discusses the deposit requirements for a database that consists predominantly of photographs.

In all cases, the applicant must submit a copy of each photograph that is included in the claim. 37 C.F.R. § 202.20(c)(2)(vii)(D)(8). The applicant may submit the photographs in a hard copy format using one of the formats described in Chapter 1100, Section 1116.4. In the alternative, the applicant may upload the photographs in an electronic format, provided that the applicant obtains permission to use the electronic registration system from the Visual Arts Division, and submits the online application and the deposit copies after consulting with, and under the supervision of, that Division.

If the applicant intends to register the authorship involved in selecting, coordinating, and/or arranging the photographs that appear in the database, but does not intend to register the individual photographs, the applicant should submit identifying portions of the database using one of the methods described in Section 1509.1(D)(2).

NOTE: In some cases, the Visual Arts Division may ask the applicant to submit additional deposit material, particularly when the claim is submitted using the electronic registration system. For specific guidance, applicants should contact the Visual Arts Division at (202) 707-8202.

See generally Deposit Requirements for Registration of Automated Databases That Predominantly Consist of Photographs, 76 Fed. Reg. 5106 (Jan. 28, 2011); Registration of Claims to Copyright, 76 Fed. Reg. 4072 (Jan. 24, 2011).

1509.1(E) Literary Works Fixed in a CD-ROM

To register a literary work that is fixed in a CD-ROM, the applicant generally should submit one complete copy of the entire CD-ROM package, “including a complete copy of any accompanying operating software and instructional manual . . . .” 37 C.F.R. § 202.20(c)(2)(xix)(A). If the work is fixed in print as well as in the CD-ROM, the applicant also should submit a printed version of the work that is embodied in the CD-ROM. Id.

A complete copy of a published CD-ROM package includes all the elements comprising the applicable unit of publication, “including elements that if considered separately would not be copyrightable subject matter or could be the subject of a separate registration.” Id.

Examples:

• A user manual.
• Installation instructions.
• Packaging that contains descriptive or instructional material.

If the CD-ROM is not the primary component of the published literary work, the applicant should submit two copies of the work as published.

Example:

• The applicant intends to register a workbook that contains text and illustrations together with a CD-ROM that is attached to the back cover. The CD-ROM is published with the workbook and it contains tests and other ancillary material. Because the workbook is the primary component of the published literary work, the applicant should submit two complete copies of the entire workbook package (including the CD-ROM).

If a member of the Registration Program is unable to view the CD-ROM using standard Office equipment, the Office may accept alternative deposit materials under a grant of special relief (in addition to the complete CD-ROM package). See id. § 202.20(c)(2)(xix)(B). For information concerning this procedure, see Section 1508.8.

1509.1(F) Instructional Works

As a general rule, the applicant should submit two copies or phonorecords of the best edition of a published instructional work, such as a cookbook, a user guide or instructional manual that is contained in the package for a computer program, or the instructions for using a machine, appliance, or other device.

By contrast, only one copy or phonorecord is required to register the instructions for needlework or a craft kit, regardless of whether the work is published or unpublished. 37 C.F.R. § 202.20(c)(2)(i)(J).

1509.1(G) Tests and Answer Material for Tests

To register a test or answer material for a test that was published in another literary work, the applicant should submit two complete copies of that literary work.

If the test or answer material for a test is unpublished or if it was not published with another literary work, the applicant should submit one complete copy of the test and/or answer sheets that the applicant intends to register. 37 C.F.R. § 202.20(c)(2)(vi).

For a discussion of the deposit requirements for secure tests, see Chapter 700, Sections 720.2 and 720.4.

1509.1(H) Deposit Requirements for Group Registration Options

The Office offers a group registration option for serials, daily newspapers, daily newsletters, contributions to periodicals, and databases. The deposit requirements for these options are discussed in the following sections of Chapter 1100:

• Serials: Section 1109.5.
• Daily Newspapers: Section 1110.5.
• Daily Newsletters: Section 1111.5.
• Contributions to Periodicals: Section 1115.5.
• Databases: Section 1117.6.

1509.1(I) Foreign Literary Works

To register an unpublished literary work that was created by a citizen or national of a foreign country, the applicant should submit one complete copy or phonorecord that contains all the authorship claimed on the application.

To register a literary work that was published solely in a foreign country, the applicant should submit one complete copy or phonorecord of the work as first published in that country. See 37 C.F.R. § 202.20(c)(1)(iv); see also 37 C.F.R., pt. 202, app. B (“For works first published only in a country other than the United States, the law requires the deposit of the best edition as first published.”)

If the work was first published in a foreign country and then subsequently published in the United States, the applicant may submit one complete copy or phonorecord of the work as first published in the foreign country. Alternatively, the applicant may submit one complete copy or phonorecord of the best edition of the work as published in the United States. See 37 C.F.R. § 202.20(c)(1)(iv). As discussed in Section 1504, the criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

1509.1(J) GATT Literary Works

The General Agreement on Tariffs and Trade (“GATT”) is an international trade agreement. To register a published literary work that was restored to copyright protection in the United States under GATT, the applicant may submit deposit copy(ies) in the following formats listed in descending order of preference:

1. The work as first published.
2. A reprint or rerelease of the work as first published.
3. A photocopy or identical reproduction of the work as first published.
4. A revised version which includes a substantial amount of the copyrightable content of the restored work with an indication in writing of the percentage of the restored work appearing in the revision.

See 37 C.F.R. § 202.12(c)(4)(i). For general information concerning GATT registrations, see Chapter 2000, Section 2007.

1509.1(K) Deposit Requirements for Literary Works: At a Glance

The following charts provide a brief summary of the deposit requirements for registering various types of literary works. For a detailed discussion of these requirements, see Sections 1509.1(A) through 1509.1(J) above.

General Requirements

Nature of the Work Published Unpublished

Unpublished works n/a One complete copy representing the entire copyrightable content

Works first published in the United States before 1/1/78

Two complete copies of the work as first published

n/a

Works first published in the United States between 1/1/78 and 3/1/89 that are not listed below

Two complete copies of the best edition (including the copyright notice for the first published edition)

n/a

Works first published in the United States after 3/1/89 that are not listed below

Two complete copies of the best edition

n/a

Nature of the Work Published Unpublished

Works that are not listed below that are published solely in a foreign country

One complete copy of the work as first published in the foreign country

n/a

Works that are not listed below that are first published in a foreign country and subsequently published in the United States

One complete copy of the work as first published in the foreign country or one complete copy of the best edition as published in the United States

n/a

Literary works published solely in hard copy format that are not listed below

Two complete copies of the best edition in hard copy format

n/a

Literary works published in hard copy and electronic format that are not listed below

Two complete copies of the best edition in hard copy format

n/a

Literary works published solely in electronic format that are not listed below

See Section 1507.2 n/a

Serials and Contributions to Collective Works

Nature of the Work Published Unpublished

Serials Two complete copies of the best edition

One complete copy representing the entire copyrightable content

Contributions to collective works other than newspapers

One complete copy of the best edition of the collective work, the entire page containing the contribution, or a photocopy or other reproduction of the contribution

One complete copy representing the entire copyrightable content

Contributions to newspapers One complete section containing the contribution or a cut out of the contribution from the newspaper

One complete copy representing the entire copyrightable content

Computer Programs

Nature of the Work Published Unpublished

Computer programs Submit the first and last twenty-five pages (or equivalent units) of the source code. Additionally, a page or the equivalent unit that contains the notice (if any)

Submit the first and last twenty-five pages (or equivalent units) of the source code. Additionally, a page or the equivalent unit that contains the notice (if any)

Derivative computer programs If revisions occur throughout the program, submit the first and last twenty-five pages of the source code. If revisions do not appear in the first or last twenty-five pages, submit fifty pages of source code containing revised material. In both cases, submit the page of the source code that contains the notice (if any).

If revisions occur throughout the program, submit the first and last twenty-five pages of the source code. If revisions do not appear in the first or last twenty-five pages, submit fifty pages of source code containing revised material. In both cases, submit the page of the source code that contains the notice (if any).

Computer programs that contain trade secrets

See Section 1509.1(C)(4) See Section 1509.1(C)(4)

Computer programs fixed in CD- ROM format

One complete copy of the CD- ROM package and identifying portions of the source code for the program

One complete copy of the CD- ROM package and identifying portions of the source code for the program

Computer screen displays See Section 1509.1(C)(7) See Section 1509.1(C)(7)

User manuals and other documentation for a computer program

See Section 1509.1(C)(8) See Section 1509.1(C)(8)

Databases

Nature of the Work Published Unpublished

Databases fixed in CD-ROM One complete copy of the CD- ROM package

One complete copy of the CD- ROM package

Nature of the Work Published Unpublished

Single-file databases One copy of the first and last twenty-five pages or equivalent units of the database, together with a copy of the notice (if any)

One copy of the first and last twenty-five pages or equivalent units of the database, together with a copy of the notice (if any)

Multi-file databases Fifty complete data records from each data file or the entire data file (whichever is less), together with a descriptive statement containing the information set forth in Chapter 1100, Section 1117.6(C), and a copy of the notice (if any)

Fifty complete data records from each data file or the entire data file (whichever is less), together with a descriptive statement containing the information set forth in Chapter 1100, Section 1117.6(C), and a copy of the notice (if any)

Revised single file databases Fifty representative pages or data records that were added to or modified in the specific version of the database that the applicant intends to register, together with a copy of the notice (if any)

Fifty representative pages or data records that were added to or modified in the specific version of the database that the applicant intends to register, together with a copy of the notice (if any)

Revised multi-file databases Fifty representative pages or data records that were added to or modified in the specific version of the database that the applicant intends to register, together with (i) a copy of the notice (if any), and (ii) a descriptive statement containing the information set forth in Chapter 1100, Section 1117.6(C)

Fifty representative pages or data records that were added to or modified in the specific version of the database that the applicant intends to register, together with (i) a copy of the notice (if any) and (ii) a descriptive statement containing the information set forth in Chapter 1100, Section 1117.6(C)

Databases consisting predominantly of photographs

See Section 1509.1(D)(3) See Section 1509.1(D)(3)

Instructional Works and Tests

Nature of the Work Published Unpublished

Instructional works, such as cookbooks and user manuals

Two complete copies of the best edition

One complete copy representing the entire copyrightable content

Instructions for needlework or craft kits

One complete copy of the best edition

One complete copy representing the entire copyrightable content

Tests and answer material for tests

One complete copy of the best edition

One complete copy representing the entire copyrightable content

Secure tests See Chapter 700, Section 720.1 See Chapter 700, Section 720.1

Other Types of Literary Works

Nature of the Work Published Unpublished

Book jackets One complete copy of the best edition

One complete copy representing the entire copyrightable content

Lectures, sermons, speeches, and addresses

When published individually, one complete copy of the best edition

One complete copy representing the entire copyrightable content

Literary works fixed on phonorecords

One complete phonorecord of the best edition

One complete phonorecord representing the entire copyrightable content

Two-dimensional games One complete copy of the best edition

One complete copy representing the entire copyrightable content

Nature of the Work Published Unpublished

Games reproduced in three- dimensional objects

Identifying material representing the entire copyrightable content (unless the game consists of multiple parts that are packaged and published in container larger than twelve by twenty-four by six inches, in which case the applicant may submit one complete of the best edition in lieu of identifying material)

Identifying material representing the entire copyrightable content

Literary works fixed in a CD- ROM

See Section 1509.1(E) See Section 1509.1(E)

Multimedia kits One complete copy of the best edition

One complete copy representing the entire copyrightable content

Group Registration Options

Nature of the Work Published Unpublished

Group registration of serials See Chapter 1100, Section 1109.5

n/a

Group registration of daily newspapers

See Chapter 1100, Section 1110.5

n/a

Group registration of daily newsletters

See Chapter 1100, Section 1111.5

n/a

Group registration of contributions to periodicals

See Chapter 1100, Section 1115.5

n/a

Group registration of databases See Chapter 1100, Section 1117.6

See Chapter 1100, Section 1117.6

1509.2 Deposit Requirements for Works of the Performing Arts

The U.S. Copyright Office uses the term “work of the performing arts” to refer collectively to the following works of authorship:

• Musical Works, including any accompanying words.
• Sound Recordings.
• Dramatic Works, including any accompanying music.
• Choreographic works.
• Pantomimes.
• Audiovisual Works.
• Motion Pictures.

The Copyright Act does not define the term “work of the performing arts,” nor does it provide definitions for the majority of the works listed above. As a general matter, a work that was created to be performed “directly before an audience or indirectly by means of a device or process” is a work of the performing arts. 37 C.F.R. § 202.3(b)(1)(ii).

The deposit requirements for certain works of the performing arts are discussed in Sections 1509.2(A) through 1509.2(G). Section 1509.2(I) contains a series of charts that summarize the deposit requirements for these types of works. For detailed information on the copyrightability and registration of works of the performing arts, see Chapter 800.

1509.2(A) Musical Works

Musical works may be fixed in visually perceptible copies (e.g., sheet music), on phonorecords (e.g., an audio recording), or in a motion picture or other audiovisual work.

1509.2(A)(1) Unpublished Musical Works

To register an unpublished musical work, the applicant should submit one complete copy or phonorecord of the work that contains all the authorship claimed on the application.

1509.2(A)(2) Musical Works Published in Copies

To register a musical work first published in the United States in printed copies (or in both printed copies and phonorecords), the applicant should submit two complete copies of the best edition of the work.

As discussed in Section 1504, the criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s Chapter 1500: 43 12/22/2014 website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

1509.2(A)(3) Musical Works Published on Phonorecords

To register a musical work first published in the United States only in phonorecords the applicant should submit one complete phonorecord of the best edition of the work.

1509.2(A)(4) Musical Works Published by Rental, Lease, or Lending

To register a musical work published solely by rental, lease, or lending, the applicant should submit one complete copy of the best edition (if the work was published only in copies) or one complete copy or phonorecord of the best edition (if the work was published in both copies and phonorecords). 37 C.F.R. § 202.20(c)(2)(i)(E).

If the musical work was published solely by rental, lease, or lending as a full score and parts, the full score is considered the complete copy. Id. § 202.20(b)(2)(vi)(A). If the musical work was published as a conductor’s score and parts, the conductor’s score is considered the complete copy. Id. § 202.20(b)(2)(vi)(B).

1509.2(A)(5) Musical Works Published Only in Motion Pictures

To register a musical work that was published only as embodied in a motion picture, the applicant may submit identifying material instead of submitting a copy of the actual motion picture. Specifically, the applicant may submit the following:

• A transcription of the entire musical work; or
• A reproduction of the entire musical work on a phonorecord, and photographs or other reproductions from the motion picture showing the title of the motion picture, the credits for the soundtrack, and the copyright notice for the soundtrack (if any).

See 37 C.F.R. §§ 202.20(c)(2)(i)(I), 202.20(c)(2)(xii), 202.21(f).

1509.2(A)(6) Musical Works Published in Electronic Format

To register a musical work published in both electronic and hard copy formats, the applicant should submit complete copy(ies) or phonorecord(s) of the best edition in the hard copy format. If the musical work was published solely in electronic format, the applicant may submit digital files containing a complete copy or phonorecord of the work, provided that the requirements set forth in Section 1507.2 have been met.

1509.2(B) Sound Recordings

1509.2(B)(1) Unpublished Sound Recordings

To register an unpublished sound recording, the applicant should submit one complete phonorecord of the work that contains all of the authorship claimed on the application.

1509.2(B)(2) Published Sound Recordings

To register a sound recording first published in the United States, the applicant should submit two complete phonorecords of the best edition of the work.

As discussed in Section 1504, the criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

The deposit for a claim in a sound recording is considered complete when it “includes the phonorecord, together with any printed or other visually perceptible material” that was published with the sound recording, such as cover art, liner notes, or the sound recording container. 37 C.F.R. §§ 202.19(b)(2); 202.20(b)(2)(v). For example, the Office will not accept a CD in a plain jewel case as the deposit copy for a claim in a published sound recording if the sound recording was marketed with cover art and liner notes.

1509.2(B)(3) Sound Recordings Published in Electronic Format

To register a sound recording published in both electronic and hard copy formats, the applicant should submit complete phonorecords of the best edition in the hard copy format. If the sound recording was published solely in electronic format, the applicant may submit digital files containing a complete phonorecord of the work, provided that the requirements set forth in Section 1507.2 have been met.

1509.2(C) Dramatic Works

Dramatic works may be fixed in visually perceptible copies (e.g., a printed script), on phonorecords (e.g., an audio recording), or in a motion picture or other audiovisual work.

1509.2(C)(1) Unpublished Dramatic Works

To register an unpublished dramatic work, the applicant should submit one complete copy or phonorecord that contains all the authorship claimed in the application.

1509.2(C)(2) Published Dramatic Works

To register a dramatic work first published in the United States in visually perceptible copies, the applicant generally should submit two complete copies of the best edition of the work. If the dramatic work was published solely in electronic form, the applicant may submit a digital file containing one complete copy of the work. See Section 1507.2.

To register a dramatic work first published on phonorecords in the United States, the applicant should submit one complete phonorecord of the best edition of the work. As discussed in Section 1504, the criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

If the dramatic work was first published in a motion picture in the United States and if the dramatic work and the motion picture are authored and/or owned by the same party, the applicant may satisfy the deposit requirements for both works by submitting one complete copy of the motion picture together with the separate written description described in Section 1509.2(F)(1). A separate copy of the screenplay is not required.

If the dramatic work and the motion picture are not authored or owned by the same party, the applicant may submit one compete copy of the screenplay together with the identifying material described in Section 202.21(f) of the regulations in lieu of submitting an actual copy of the motion picture.

1509.2(D) Choreographic Works and Pantomimes

Choreographic works and pantomimes generally are fixed in visually perceptible copies, because these types of works are based on the physical movements of a person’s body. The forms of fixation for choreography and pantomime typically include dance notation, motion pictures, textual descriptions, as well as drawings, illustrations, and/or photographs. See Chapter 800, Sections 805.3(D) and 806.3(D).

1509.2(D)(1) Unpublished Choreographic Works and Pantomimes

To register an unpublished choreographic work or pantomime, the applicant should submit one complete copy that contains all the authorship claimed on the application, regardless of the medium in which it is fixed.

1509.2(D)(2) Published Choreographic Works and Pantomimes

To register a choreographic work or pantomime first published in a motion picture, the applicant should submit one complete copy of the best edition of the work. 37 C.F.R. § 202.20(c)(2)(i)(I).

If the work was first published in the United States in printed copies, the applicant generally should submit two complete copies of the best edition of the work. If the work was published solely in electronic form, the applicant may submit a digital file containing one complete copy of the work. See Section 1507.2.

As discussed in Section 1504, the criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

1509.2(E) Audiovisual Works

The term “audiovisual works” encompasses many categories of works that are “intrinsically intended to be shown by the use of machines or devices . . . .” 17 U.S.C. § 101. Motion pictures represent the largest category of audiovisual works; these types of works are discussed in Section 1509.2(F). The audiovisual components of computer screen displays are discussed in Section 1509.1(C)(7). For all other types of audiovisual Chapter 1500: 46 12/22/2014 works, the deposit requirements vary depending on whether the work has been fixed on a CD-ROM or another type of machine-readable copy.

1509.2(E)(1) Audiovisual Works Fixed in a CD-ROM

To register an audiovisual work that is fixed in a CD-ROM the applicant should submit one complete copy of the entire CD-ROM package, “including a complete copy of any accompanying operating software and instructional manual . . . .” 37 C.F.R. § 202.20(c)(2)(xix)(A).

A complete copy of a published CD-ROM package includes all the elements comprising the applicable unit of publication, “including elements that if considered separately would not be copyrightable subject matter or could be the subject of a separate registration.” Id.

If a member of the Registration Program is unable to view the CD-ROM using standard Office equipment, the Office may accept alternative deposit materials under a grant of special relief (in addition to the complete CD-ROM package). See id. § 202.20(c)(2)(xix)(B).

If the work has been fixed in any other medium of expression, the applicant should refer to Section 1509.2(E)(2).

1509.2(E)(2) Audiovisual Works Fixed in Machine-Readable Copies Other Than a CD-ROM

To register an audiovisual work that has been fixed or published solely in machine- readable copies other than a CD-ROM, the applicant should submit identifying material, such as:

• A videotape or a series of photographs depicting representative portions of the copyrightable content of the work; and
• A separate synopsis of the work.

37 C.F.R. § 202.20(c)(2)(viii)(B). The applicant also may submit any packaging and/or instructional material that accompanies the pictorial images, if that material contains copyrightable authorship.

Examples of audiovisual works that fall within this category include arcade games and videogames that are not fixed on CD-ROMs.

In all cases, the applicant should include the title of the work on the identifying material. If the work has been published the applicant also should include the copyright notice for the work (if any). Id. § 202.20(c)(2)(viii).

NOTE: If the applicant is unable to submit identifying material using any of these options, the applicant may ask for special relief from the deposit requirements. For information concerning this procedure, see Section 1508.8.

1509.2(E)(3) Audiovisual Works Published in Electronic Format

To register an audiovisual work published in electronic and hard copy formats, the applicant should submit two complete copies of the best edition in the hard copy format. If the audiovisual work was published solely in electronic format, the applicant may submit digital files containing a complete copy of the work, provided that the requirements set forth in Section 1507.2 have been met.

1509.2(F) Motion Pictures

1509.2(F)(1) Unpublished and Published Motion Pictures

To register an unpublished or published motion picture, the applicant should submit one complete copy of the work. 37 C.F.R. § 202.20(c)(2)(ii). In addition, the applicant should submit a separate written description of the nature and general content of the work, such as a continuity, pressbook, synopsis, or script. Id.

A copy of a motion picture is complete when “the reproduction of all of the visual and aural elements comprising the copyrightable subject matter in the work is clean, undamaged, undeteriorated, and free of splices, and if the copy itself and its physical housing are free of any defects that would interfere with the performance of the work or that would cause mechanical, visual, or audible defects or distortions.” 37 C.F.R. § 202.20(b)(2)(vii).

If the motion picture was first published in the United States between January 1, 1978 and March 1, 1989, the U.S. Copyright Office must examine the work for the required copyright notice. In such cases, the applicant should submit one complete copy of the best edition of the motion picture. If the best edition is in an unviewable format, the applicant should submit the best edition copy along with a copy that the Office can view, such as a DVD or video file. For information concerning the notice requirements for works published in the United States between January 1, 1978 and March 1, 1989, see Chapter 2200.

1509.2(F)(2) Alternate Deposit Option for Unpublished Motion Pictures

To register an unpublished motion picture, the applicant may submit identifying material in lieu of submitting an actual copy of the work, provided that the identifying material consists of one of the following:

• A phonorecord that contains the entire soundtrack or other sound portion of the motion picture; or
• A set of prints consisting of one frame enlargement or similar visual reproduction from each ten-minute segment of the motion picture.

See 37 C.F.R. § 202.21(g)(1).

In addition, the applicant must submit a separate written description, such as a continuity, a pressbook, or a synopsis. In all cases the description must contain the following information:

• The title or continuing title of the work, and the episode title, if any;
• The nature and general content of the program;
• The date when the work was first fixed and whether or not fixation was simultaneous with first transmission;
• The date of first transmission (if any);
• The running time; and
• The credits appearing on the work (if any).

Id. § 202.21(g)(2).

1509.2(F)(3) Motion Pictures Contained in Unviewable Formats

The U.S. Copyright Office may not have equipment to view motion pictures published in certain formats. If the applicant submits a motion picture that cannot be viewed, the separate written description must contain the following information:

• The continuing title of the work and the episode title (if any);
• The nature and general content of the program and its dialog or narration (if any);
• The running time; and
• All credits appearing on the work, including the copyright notice (if any).

37 C.F.R. § 202.21(h). At the discretion of the Office, a member of the Registration Program may communicate with the applicant in some cases to request a viewable copy of the work for examination purposes.

1509.2(F)(4) The Motion Picture Agreement

The Library of Congress may, at its sole discretion, enter into an agreement permitting the return of copies of published motion pictures to the applicant under certain conditions and establishing certain rights and obligations with respect to such copies on the part of both the applicant and the Library. See 37 C.F.R. § 202.20(c)(2)(ii).

The current Motion Picture Agreement states that after a motion picture has been registered, the deposit copy will be returned to the applicant upon written request. However, the applicant may be required to resubmit a copy of the work for the Library’s permanent collection within a period of two years. By signing the Agreement, the applicant agrees to provide the Library with a copy that meets the archival quality standards set forth in the Agreement in the event that the film is recalled. See Deposit Requirements; Motion Pictures, 43 Fed. Reg. 12,320, 12,322-24 (Mar. 24, 1978).

Applicants may request a copy of the Motion Picture Agreement by calling the Office’s Motion Picture Team at (202) 707-8182.

1509.2(F)(4)(a) Who May Enter Into the Motion Picture Agreement?

The Motion Picture Agreement may be used by the owner of copyright in a published work or the owner of the exclusive right of publication (including the exclusive right to distribute the work in the United States). The Agreement only refers to works first published in the United States.

The Agreement may also be used by the owner of copyright in a work initially published outside the United States, but later published in this country prior to the date of deposit. Works published only outside the United States may be made subject to the Agreement if (i) the owner of copyright executes the Motion Picture Agreement together with the Standard Modification of the Agreement, and (ii) if that party has an established business office in the United States or has designated an agent in the United States with express authority to receive service in the event the Agreement is breached.

Applicants may request a copy of the Standard Modification of the Motion Picture Agreement by calling the Office’s Motion Picture Team at (202) 707-8182.

1509.2(F)(4)(b) Who May Sign the Motion Picture Agreement?

The Motion Picture Agreement may be signed by an individual applicant or his or her legal representative. A business entity may sign the Agreement through a legal representative empowered to bind the entity, such as an officer of a corporation, an attorney for the applicant, or another agent who is satisfactory to the Library of Congress. In certain cases, the signing party may be required to complete the Standard Modification to the Motion Picture Agreement. Legal representatives may also be required to sign a bond that subjects that party to certain liability under the Agreement.

1509.2(F)(4)(c) The Supplementary Property Agreement

If the applicant has entered into the Motion Picture Agreement the Office may accept a deposit copy in a format other than the best edition if the applicant signs the Supplementary Property Agreement. By signing the Supplemental Property Agreement, the applicant agrees to resubmit a best edition copy of archival quality if the Library of Congress demands a copy of the motion picture under the Motion Picture Agreement.

Applicants may request a copy of the Supplementary Property Agreement by calling the Office’s Motion Picture Team at (202) 707-8182.

1509.2(F)(4)(d) Return of the Deposit Copy Under the Motion Picture Agreement

The U.S. Copyright Office will return the deposit copy to the applicant pursuant to the Motion Picture Agreement if the applicant submits a specific written request. In particular, if the applicant signs the Supplementary Property Agreement discussed in Section 1509.2(F)(4)(c), that document will be interpreted as a written request for the return of the deposit copy.

If the work is to be returned by a private courier designated by the applicant, the applicant should include shipping instructions with the request. The instructions should indicate that the motion picture is to be returned at the applicant’s expense and it Chapter 1500: 50 12/22/2014 should include the name of the courier, an account number (if any), a declaration of value, and the amount of insurance required.

If the applicant requests, the motion picture will be shipped collect by means of a private courier chosen by the Library of Congress, with insurance coverage at the applicant’s expense, to the amount of the declared value. If no value has been declared, the amount of the insurance will be based on the estimated replacement cost for a copy of identical physical characteristics produced by a commercial laboratory.

Unless the Office is otherwise directed in writing at the time of deposit, motion pictures will be returned to the applicant by Special Fourth Class Mail. In such cases, the Library of Congress does not assume any responsibility for providing insurance. Because of the high risk of loss with respect to certain films, the Office ordinarily will attempt to contact applicants who submit 35mm feature films, oversize deposits, and copies of special value for instructions for return by private courier at the applicant’s expense.

1509.2(F)(4)(e) Recall of the Deposit Copy Under the Motion Picture Agreement

At any time within two years from the date of the initial deposit, the Library of Congress may make a written request that a copy of archival quality be submitted for its permanent collections under the terms of the Motion Picture Agreement. The party receiving the request must submit one complete copy of the film, meeting the standards set forth in Appendix A of the Agreement, to the Library at the address specified in the request within six months from the date of the recall.

1509.2(F)(4)(f) Quality of the Copy Deposited Under the Motion Picture Agreement

If an applicant has signed the Motion Picture Agreement and submits a deposit copy without requesting the return of that copy, the motion picture is considered a “non- agreement” film and is treated as though there is no Agreement on file.

The standards governing the quality of a non-agreement film are set forth in Sections 1509.2(F)(1) and 1509.2(F)(2), and the special “archival quality” standards set forth in the Motion Picture Agreement and Appendix A thereto do not apply. That said, any copy recalled by the Library of Congress under the Agreement must meet all the technical guidelines set forth in Appendix A to the Agreement.

1509.2(F)(4)(g) Termination of the Motion Picture Agreement

The Library of Congress may terminate the Motion Picture Agreement for any good cause, including single or repeated instances involving a breach of the Agreement. If the Library terminates an Agreement, the termination applies only to motion pictures deposited after the termination, and does not affect the rights or obligations of either party with respect to any copies previously deposited or returned under the Agreement. If the Library terminates the Agreement, it will not reinstate the Agreement or enter into any similar or subsequent agreement with the applicant or its successors in interest, unless the Library determines in its sole discretion that doing so would be in the best interests of the Library. 37 C.F.R. § 202.20(c)(2)(ii).

1509.2(G) Foreign Works of the Performing Arts

To register an unpublished work of the performing arts that was created by a citizen or national of a foreign country, the applicant should submit one complete copy or phonorecord of the work that contains all the authorship claimed on the application.

To register a work of the performing arts that was published solely in a foreign country, the applicant should submit one complete copy or phonorecord of the work as first published in that country. 37 C.F.R. § 202.20(c)(1)(iv); see also 37 C.F.R., pt. 202, app. B (“For works first published only in a country other than the United States, the law requires the deposit of the best edition as first published.”)

If the work was published in a foreign country and then subsequently published in the United States, the applicant may submit one complete copy or phonorecord of the work as first published in the foreign country. Alternatively, the applicant may submit one complete copy or phonorecord of the best edition of the work as published in the United States. See id. As discussed in Section 1504, the criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

1509.2(H) GATT Works of the Performing Arts

GATT is an international trade agreement that extended copyright protection to certain classes of works that were in the public domain in the United States, such as sound recordings that were first fixed outside the United States before February 15, 1972. For information concerning the deposit requirements for such works, see Section 1509.1(J).

1509.2(I) Registration Deposit Requirements for Works of the Performing Arts: At a Glance

The following charts provide a brief summary of the deposit requirements for various types of works of the performing arts. For a detailed discussion of these requirements, see Sections 1509.2(A) through 1509.2(H) above.

General Requirements

Nature of the Work Published Unpublished

Unpublished works n/a One complete copy or phonorecord representing the entire copyrightable content

Works first published in the United States before 1/1/78

Two complete copies or phonorecords of the work as first published

n/a

Nature of the Work Published Unpublished

Works first published in the United States between 1/1/78 and 3/1/89 that are not listed below

Two complete copies or phonorecords of the best edition (including the copyright notice for the first published edition)

n/a

Works first published in the United States on or after 3/1/89 that are not listed below

Two complete copies or phonorecords of the best edition

n/a

Works that are not listed below that are published solely in a foreign country

One complete copy or phonorecord of the work as first published in the foreign country

n/a

Works that are not listed below that are first published in a foreign country and subsequently published in the United States that are not listed below

One complete copy or phonorecord of the work as first published in the foreign country or one complete copy of the best edition as published in the United States

n/a

Musical Works

Nature of the Work Published Unpublished

Unpublished musical works n/a One complete copy or phonorecord representing the entire copyrightable content

Musical works published in printed copies

Two complete copies of the best edition

n/a

Musical works published only in phonorecords

One complete phonorecord of the best edition

n/a

Musical works published solely by rental, lease, or lending

See Section 1509.2(A)(4) n/a

Musical works published only in motion pictures

See Section 1509.2(A)(5) n/a

Nature of the Work Published Unpublished

Musical works published solely in hard copy

Two complete copies or one complete phonorecord of the best edition in hard copy format

n/a

Musical works published in hard copy and electronic format

Two complete copies or one complete phonorecord of the best edition in hard copy format

n/a

Musical works published solely in electronic format

See Sections 1507.2 and 1509.2(A)(6)

n/a

Musical works fixed in multimedia kits

One complete copy of the best edition

One complete copy representing the entire copyrightable content

Sound Recordings

Nature of the Work Published Unpublished

Sound recordings Two complete phonorecords of the best edition

One complete phonorecord representing the entire copyrightable content

Sound recordings published solely in hard copy format

Two complete phonorecords of the best edition in hard copy format

n/a

Sound recordings published in hard copy and electronic format

Two complete phonorecords of the best edition in hard copy format

n/a

Sound recordings published solely in electronic format

See Sections 1507.2 and 1509.2(B)(3)

n/a

Sound recordings fixed in multimedia kits

One complete phonorecord of the best edition

One complete copy representing the entire copyrightable content

Dramatic Works

Nature of the Work Published Unpublished

Dramatic works fixed in visually perceptible copies

Two complete copies of the best edition

One complete copy representing the entire copyrightable content

Dramatic works fixed in phonorecords

One complete phonorecord of the best edition

One complete phonorecord representing the entire copyrightable content

Dramatic works fixed in motion pictures

See Section 1509.2(C)(2) One complete copy representing the entire copyrightable content

Dramatic works published solely in electronic format

See Sections 1507.2 and 1509.2(C)(2)

n/a

Choreographic Works and Pantomimes

Nature of the Work Published Unpublished

Choreographic works fixed in printed copies

Two complete copies of the best edition

One complete copy representing the entire copyrightable content

Choreographic works fixed in motion pictures

One complete copy of the best edition

One complete copy representing the entire copyrightable content

Pantomimes fixed in printed copies

Two complete copies of the best edition

One complete copy representing the entire copyrightable content

Pantomimes fixed in motion pictures

One complete copy of the best edition

One complete copy representing the entire copyrightable content

Choreographic works or pantomimes published solely in electronic format

See Sections 1507.2 and 1509.2(D)(2)

n/a

Audiovisual Works

Nature of the Work Published Unpublished

Motion pictures One complete copy of the best edition and a separate written description. See Section 1509.2(F).

One complete copy of the best edition and a written description, or in the alternative, identifying material and a written description containing the information set forth in Section 1509.2(F)(2)

Computer screen displays See Section 1509.1(C)(7) See Section 1509.1(C)(7)

Audiovisual works fixed in a CD- ROM

One complete copy of the entire CD-ROM package

One complete copy of the entire CD-ROM package

Audiovisual works fixed in machine-readable copies other than a CD-ROM (e.g., arcade videogames)

Identifying material consisting of a videotape or a series of photographs depicting representative portions of the work together with a separate synopsis of the work

Identifying material consisting of a videotape or a series of photographs or drawings depicting representative portions of the work together with a separate synopsis of the work

Audiovisual works published solely in hard copy format

Two complete copies of the best edition in hard copy format

n/a

Audiovisual works published in hard copy and electronic format

Two complete copies of the best edition in hard copy format

n/a

Audiovisual works published solely in electronic format

See Sections 1507.2 and 1509.2(E)(3)

n/a

Audiovisual works fixed in multimedia kits

One complete copy of the best edition

One complete copy representing the entire copyrightable content

Motion Pictures

Nature of the Work Published Unpublished

Motion pictures One complete copy of the best edition and a separate written description. See Section 1509.2(F).

One complete copy of the best edition and a written description, or in the alternative, identifying material and a separate written description containing the information set forth in Section 1509.2(F)(2)

Motion pictures published solely in electronic format

See Section 1507.2 n/a

1509.3 Visual Arts Works

The U.S. Copyright Office uses the term “visual arts works” to refer collectively to the following types of works:

• Fine art (e.g., painting and sculpture).
• Graphic art.
• Applied art (e.g., art applied to an article).
• Photographs.
• Prints and art reproductions.
• Maps, globes, and other cartographic materials.
• Technical drawings, including architectural plans.
• Diagrams.
• Models.
• Artistic crafts (e.g., textiles, jewelry, glassware, table service patterns, wall plaques, toys, dolls, stuffed toy animals, models, and the separable artistic features of two- dimensional and three-dimensional useful articles).
• Architectural works.

The deposit requirements for certain visual arts works are discussed in Sections 1509.3(A) through 1509.3(E). Section 1509.3(F) contains a series of charts that Chapter 1500: 57 12/22/2014 summarize the deposit requirements for these types of works. For detailed information on the copyrightability and registration of visual arts works, see Chapter 900.

1509.3(A) Two-Dimensional Visual Arts Works

1509.3(A)(1) Unpublished Works

To register an unpublished pictorial or graphic work, the applicant may submit identifying material instead of submitting an actual copy of the work. 37 C.F.R. § 202.20(c)(2)(iv). For information concerning the requirements for identifying material, see Section 1509.3(C).

NOTE: There is a limited exception to this rule for unpublished works fixed solely in a CD-ROM, which are discussed in Section 1509.3(A)(11).

1509.3(A)(2) Published Works

To register a pictorial or graphic work first published in the United States, the applicant generally should submit two complete copies of the best edition.

NOTE: There are several exceptions to this rule, that are discussed in Sections 1509.3(A)(3) through 1509.3(A)(12).

1509.3(A)(3) Certain Limited Editions

This Section discusses the deposit requirements for certain visual arts works that are published in a limited edition.

If an individual author owns the copyright in the work, the applicant may submit one complete copy of the best edition, or in alternative, the applicant may submit identifying material, provided that one of the following conditions has been met:

• Less than five copies of the work have been published; or
• The work has been published and sold or offered for sale in a limited edition consisting of no more than 300 numbered copies.

37 C.F.R. § 202.20(c)(2)(iv). For information concerning the requirements for identifying material, see Section 1509.3(C).

1509.3(A)(4) Works Reproduced in Sheet-like Materials

This Section discusses the deposit requirements for pictorial or graphic works that are reproduced solely in “sheet-like material.” This category includes two-dimensional works that are fixed and/or published in the following types of material:

• Textiles and other fabrics.
• Wallpaper and similar commercial wall coverings.
• Chapter 1500: 58 12/22/2014 Carpeting.
• Floor tile, and similar commercial floor coverings.
• Wrapping paper and similar packaging material.

If a visual arts work has been reproduced solely on sheet-like material, the applicant should submit the following:

• One copy of a swatch or piece of material that is sufficient to show all of the elements of the work that are claimed in the application.
• A copy of the copyright notice (if any) that appears on the work or on tags, labels, or packaging for the work.

37 C.F.R. § 202.20(c)(2)(x).

If the work contains a repeating pictorial or graphic design, the applicant should submit a copy of the complete design together with a partial repeat of that design.

The applicant should submit a copy that shows the actual color(s) of the design, including any alternate color variations of the design.

The applicant may upload an electronic copy of the work through the online registration system or may submit a hard copy of the work by mail, by courier, or by hand delivery. The applicant should not submit both electronic and hard copy deposits; a member of the Registration Program will communicate with the applicant if an electronic copy is unacceptable or inadequate for any reason.

Applicants should not submit CAD drawings as the sole form of deposit, because these types of drawings generally do not show the actual fixed or published design. When including CAD drawings in the deposit, the applicant should submit the drawings together with other identifying material, such as photographs or scanned images showing the actual work fixed in fabric or other sheet-like material or showing the actual published edition of the work.

The applicant should not submit CAD drawings or photos of the work if the copyright claim is based all or in part on the elevations, embroidery, tufts, looms, or other textural design aspects in carpet, wallpaper, or other sheet-like material. Instead, the applicant should submit an actual swatch or piece of material that shows the textural design aspects that are claimed in the application.

1509.3(A)(5) Published Greeting Cards, Picture Postcards, and Stationery

To register published greeting cards, picture postcards, or stationery, the applicant should submit one complete copy of the best edition of the work. 37 C.F.R. § 202.20(c)(2)(i)(C).

1509.3(A)(6) Published Calendars, Decals, Fabric Patches, or Emblems

To register published calendars or two-dimensional decals, fabric patches, or emblems, the applicant should submit one complete copy of the best edition of the work. 37 C.F.R. § 202.20(c)(2)(i)(J).

1509.3(A)(7) Published Games

A two-dimensional game may be registered as a work of the visual arts if the predominant form of authorship consists of pictorial or graphic authorship, such as board games, playing cards, and the like.

To register a two-dimensional game that has been published, the applicant should submit one complete copy of the best edition.

Id.; see Part 202—Registration of Claims to Copyright, Deposit Requirements, 43 Fed. Reg. 41,975, 41,976 (Sept. 19, 1978).

1509.3(A)(8) Published Needlework and Craft Kits

To register needlework or a craft kit, the applicant should submit one complete copy of the best edition of the work. 37 C.F.R. § 202.20(c)(2)(i)(J).

1509.3(A)(9) Published Commercial Prints, Labels, and Other Advertising Matter

To register prints, labels, and other advertising matter published in connection with the rental, lease, lending, licensing, or sale of services, articles of merchandise, or works of authorship, the applicant generally should submit one complete copy of the best edition of the work. 37 C.F.R. § 202.20(c)(2)(v).

If the print or label is published in a larger work, such as a newspaper or other periodical, the applicant may submit one copy of the entire page or pages where the work appears instead of submitting the entire larger work. Id.

If the print or label is physically inseparable from a three-dimensional object, the applicant generally must submit identifying material instead of submitting an actual copy of the work. Id. For information concerning the requirements for identifying material, see Section 1509.3(C).

NOTE: The rules discussed above do not apply to advertising material published in connection with motion pictures. The deposit requirements for such works are set forth in Section 1509.3(A)(2).

1509.3(A)(10) Pictorial or Graphic Works Reproduced on Three-Dimensional Containers or Holders

This Section discusses the deposit requirements for pictorial or graphic works reproduced on three-dimensional containers or holders, such as boxes, cases, and cartons, that can be readily opened out, unfolded, slit at the corners, or in some other way made adaptable for flat storage. The applicant should submit one copy of the work Chapter 1500: 60 12/22/2014 if the copy, when flattened, does not exceed ninety-six inches in any dimension. The applicant may submit identifying material if the copy, when flattened, exceeds ninety-six inches in any dimension. For information concerning the requirements for identifying material, see Section 1509.3(C).

37 C.F.R. § 202.20(c)(2)(i)(K), (c)(2)(xi)(B)(4).

1509.3(A)(11) Visual Art Works Fixed in a CD-ROM

To register a pictorial or graphic work that is fixed in a CD-ROM the applicant should submit one complete copy of the entire CD-ROM package, regardless of whether the work is published or unpublished. If the work is fixed in print as well as the CD-ROM, the applicant also should submit a printed version of the work that is embodied in the CD- ROM. 37 C.F.R. § 202.20(c)(2)(xix)(A).

A complete copy of a published CD-ROM package includes all of the elements comprising the applicable unit of publication, “including elements that if considered separately would not be copyrightable subject matter or could be the subject of a separate registration” and “including a complete copy of any accompanying operating software and instructional manual.” Id.

If a member of the Registration Program is unable to view the CD-ROM using standard Office equipment, the Office may accept alternative deposit materials under a grant of special relief (in addition to the complete CD-ROM package). See id. § 202.20(c)(2)(xix)(B).

1509.3(A)(12) Deposit Requirements for Group Registration of Published Photographs

The Office has established a procedure that allows copyright owners to register a group of published photographs or a database consisting predominantly of photographs with one application, one filing fee, and one set of deposit copies. The deposit requirements for this group registration option are discussed in Chapter 1100, Sections 1116.4 and 1117.6.

1509.3(B) Three-Dimensional Visual Arts Works

1509.3(B)(1) Identifying Material Required

When registering statues, carvings, ceramics, moldings, constructions, models, maquettes, or other three-dimensional sculptures, the applicant generally must submit identifying material instead of submitting an actual copy of the work, regardless of whether the work is published or unpublished. 37 C.F.R. § 202.20(c)(2)(xi)(A)(1). Likewise, the applicant generally must submit identifying material instead of submitting an actual copy of the work when registering jewelry, dolls, toys, or when registering any three-dimensional work that is embodied in a useful article. Id. § 202.20(c)(2)(xi)(A)(2). For information concerning the requirements for identifying material, see Section 1509.3(C).

NOTE: There are several exceptions to this rule, which are discussed in Section 1509.3(B)(2).

1509.3(B)(2) Actual Copy(ies) Permitted in Some Exceptional Cases

When registering the following types of works the applicant may submit one complete copy in lieu of identifying material:

• Published three-dimensional cartographic representations, such as globes and relief models. 37 C.F.R. § 202.20(c)(2)(i)(A).
• Three-dimensional sculptural works fixed or published solely in the form of jewelry cast in base metal that does not exceed four inches in any dimension. 37 C.F.R. § 202.20(c)(2)(i)(G), (c)(2)(xi)(B)(5).
• Games that include multiple three-dimensional parts that are packaged and published in a box or similar container with flat sides and with dimensions of no more than twelve by twenty-four by six inches. 37 C.F.R. § 202.20(c)(2)(i)(G), (c)(xi)(B)(3); see also Part 202 – Registration of Claims to Copyright, Deposit Requirements, 43 Fed. Reg. 41,975, 41,976 (Sept. 19, 1978).
• Three-dimensional visual arts works fixed or published in or on a useful article that comprises one of the elements of the unit of publication for an educational or instructional kit that also includes a literary work, an audiovisual work, a sound recording, or any combination of such works. 37 C.F.R. § 202.20(c)(2)(i)(G), (c)(2)(xi)(B)(2).

NOTE: For all other three-dimensional works, the applicant must submit identifying material instead of submitting an actual copy of the work. For information concerning the requirements for identifying material, see Section 1509.3(C).

1509.3(C) Identifying Material

When registering a visual arts work with identifying material, the applicant should submit photographic prints, transparencies, photostats, drawings, or similar two- dimensional reproductions or renderings of the work in a form that is visually perceptible without the aid of a machine or device. See 37 C.F.R. § 202.21(a). The applicant should submit as many pieces of identifying material as necessary to show the entire copyrightable content of the work claimed in the application. Id. § 202.21(b). In addition, the applicant should include the title of the work on the front, back, or mount for at least one piece of identifying material. Id. § 202.21(d).

When registering a pictorial or graphic work, the identifying material should reproduce the actual colors employed in the work. In all other cases, the identifying material may be black and white or may consist of a reproduction of the actual colors. Id. § 202.21(a).

If the work has been published with a copyright notice, the location and content of the notice should be included on at least one piece of identifying material. Id. § 202.21(e). If the work was published without a notice, applicants may include any proprietary information concerning the owner, publisher, or distributor that was published on the work or on a tag, label, or packaging for the work.

NOTE: When registering a three-dimensional sculptural work fixed or published solely in the form of jewelry cast in base metal that exceeds four inches in any dimension, applicants are encouraged to submit photographs of the actual jewelry together with hand-drawn sketches or CAD drawings. If possible, applicants should eliminate reflected glare on the surface of the jewelry because it may inhibit the examination of the work. Because a registration only covers the copyrightable authorship that is clearly shown in the identifying material, applicants are also encouraged to submit images of the jewelry from multiple perspectives, such as front, back, top-down, bottom, and side views.

1509.3(D) Architectural Works

This Section discusses the deposit requirements for published or unpublished architectural works.

An “architectural work” is “the design of a building as embodied in any tangible medium of expression, including a building, architectural plans, or drawings. The work includes the overall form as well as the arrangement and composition of spaces and elements in the design, but does not include individual standard features.” 17 U.S.C. § 101. For information on the copyrightability and registrability of architectural works, see Chapter 900, Section 923.

In all cases, the applicant should submit one complete copy of an architectural drawing or blueprint in visually perceptible form showing the overall form of the building (i.e., drawings of the front, rear, sides, and top-down design elevations), and any interior arrangements of spaces and/or design elements in which copyright is claimed.

NOTE: The phrase “interior arrangements of spaces and/or design elements” refers to permanent, structural elements that define the arrangement of space within the interior of the building, rather than “interior design,” such as the selection and placement of furniture, lighting, paint, and similar items.

The Office prefers drawings comprised of the following material listed in descending order of preference:

1. Original format, or best quality form of reproduction, including offset or silk screen printing.
2. Xerographic or photographic copies on good quality paper.
3. Positive photostat or photodirect positive.
4. Blue line copies (diazo or ozalid process).

The applicant should include the following information in the deposit copy (if known):

• The name(s) of the architect(s) and draftsperson(s), and
• The building site.

See 37 C.F.R. § 202.20(c)(2)(xviii).

If the building has been constructed, the applicant also should submit good quality eight by ten inch photographs that clearly show the exterior and interior of the architectural work that is included in the claim. See id. § 202.20(c)(2)(xviii)(B).

The applicant may submit the deposit in hard copy format or may upload the deposit in electronic format through the online registration system, provided that the requirements set forth in Section 1507.2 have been met and provided that the copy may be opened and viewed without the use of any special software or viewer. Applicants should not submit an electronic copy that requires the use of licensed, proprietary software, such as AutoCad. If a freeware viewer is available that will allow a member of the Registration Program to open secured files, the applicant should submit a copy of that viewer along with the deposit material. For more information on acceptable file types, see Help: List of Acceptable File Types (www.copyright.gov/eco/help-file-types.html).

When uploading the deposit through the electronic registration system, the applicant should upload a separate file containing the name of the architect, draftsperson, or copyright owner if that information appears in a proprietary legend in the margins of the blueprints or drawings.

1509.3(E) Foreign Visual Arts Works

1509.3(E)(1) Two-Dimensional Works

To register an unpublished, two-dimensional visual arts work that was created by a citizen or national of a foreign country, the applicant may submit identifying material instead of submitting an actual copy of the work. See 37 C.F.R. § 202.20(c)(2)(iv). For information concerning the requirements for identifying material, see Section 1509.3(C).

To register a visual arts work that was published solely in a foreign country, the applicant should submit one complete copy of the work as first published in that country. 37 C.F.R. § 202.20(c)(1)(iv); 37 C.F.R., pt. 202, app. B (“For works first published only in a country other than the United States, the law requires the deposit of the best edition as first published.”) .

If the work was published in a foreign country and then subsequently published in the United States, the applicant may submit one complete copy or phonorecord of the work as first published in the foreign country. Alternatively, the applicant may submit one complete copy of the best edition of the work as published in the United States. See id. As discussed above in Section 1504, the criteria used to determine the best edition for a particular work are listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

NOTE: There are several exceptions to these rules, which are discussed in Sections 1509.3(A)(3) through 1509.3(A)(11).

1509.3(E)(2) Three-Dimensional Works

To register a three-dimensional work the applicant generally should submit identifying material, regardless of whether the foreign work is published or unpublished.

NOTE: There are several exceptions to these rules, which are discussed in Section 1509.3(B)(2).

1509.3(E)(3) GATT Visual Arts Works

GATT is an international trade agreement that extended copyright protection to certain classes of works that were in the public domain in the United States, such as works first published outside the United States before March 1, 1989 without a proper copyright notice. For information concerning the deposit requirements for such works, see Section 1509.1(J).

1509.3(F) Registration Deposit Requirements for Visual Arts Works: At a Glance

The following charts provide a brief summary of the deposit requirements for various types of visual arts works. For a detailed discussion of these requirements, see Sections 1509.3(A) through 1509.3(E) above.

Two-Dimensional Visual Arts Works

Nature of the Work Published Unpublished

Unpublished works n/a Identifying material representing the entire copyrightable content

Pictorial or graphic works (e.g., artwork, drawings, illustrations, paintings, posters, photographs, prints, brochures, exhibition catalogs) first published in the United States before 1/1/1978

Two complete copies of the work as first published

n/a

Pictorial or graphic works first published in the United States between 1/1/1978 and 3/1/1989 that are not listed below

Two complete copies of the best edition (including the copyright notice for the first published edition)

n/a

Nature of the Work Published Unpublished

Pictorial or graphic works first published in the United States after 3/1/1989 that are not listed below

Two complete copies of the best edition

n/a

Works that are not listed below that are published solely in a foreign country

One complete copy of the work as first published in the foreign country

n/a

Works that are not listed below that are first published in a foreign country and subsequently published in the United States

One complete copy of the work as first published in the foreign country or one complete copy of the best edition as published in the United States

n/a

“Limited edition” works published in quantities of five copies or fewer, or published in 300 numbered copies or fewer where the copyright is owned by an individual author

One complete copy of the best edition or identifying material

n/a

Blueprints, architectural drawings, mechanical drawings, diagrams

One complete copy of the best edition

Identifying material representing the entire copyrightable content

Two-dimensional maps or cartographic material

Two complete copies of the best edition. If published in a CD- ROM, one complete copy of the CD-ROM package. If published in machine-readable format other than a CD-ROM, identifying material.

Identifying material representing the entire copyrightable content

Artwork reproduced only in fabric, wallpaper, carpeting, floor tile, wrapping paper, or other similar sheet-like materials

One complete copy in the form of an actual swatch or piece of such material sufficient to show all elements of the work in which copyright is claimed, and the copyright notice (if any)

Identifying material representing the entire copyrightable content

Nature of the Work Published Unpublished

Greetings cards, picture postcards, stationery

One complete copy of the best edition

Identifying material representing the entire copyrightable content

Calendars One complete copy of the best edition

Identifying material representing the entire copyrightable content

Two-dimensional fabric emblems or patches, decals or heat transfers (not applied to clothing), bumper stickers, campaign buttons

One complete copy of the best edition

Identifying material representing the entire copyrightable content

Two-dimensional games One complete copy of the best edition

Identifying material representing the entire copyrightable content

Patterns, cross-stitch graphs, stitchery brochures, needlework, and craft kits

One complete copy of the best edition

Identifying material representing the entire copyrightable content

Commercial prints, labels, or other advertising matter (e.g., flyer, label, brochure, or catalog used in connection with sale of goods or services)

One complete copy of the best edition

Identifying material representing the entire copyrightable content

Commercial prints, labels, or other advertising matter published in a newspaper or other periodical

One copy of the entire page(s) of the periodical where the work appears

n/a

Commercial prints, labels, or other advertising matter inseparable from three- dimensional object (e.g., silk screen label on a bottle)

Identifying material representing the entire copyrightable content

Identifying material representing the entire copyrightable content

Advertising material published in connection with motion pictures

Two complete copies of the best edition

n/a

Nature of the Work Published Unpublished

Two-dimensional artwork reproduced on three- dimensional containers or holders

Identifying material (or one complete copy of the best edition if the box or container is less than ninety-six inches in any dimension when flattened)

One complete copy or identifying material

Contributions to collective works other than newspapers, such as photographs, drawings, cartoons, and the like

One complete copy of the best edition of the collective work, the entire page containing the contribution, or a photocopy or other reproduction of the contribution

One complete copy or identifying material

Contributions to newspapers One complete section containing the contribution or a cut-out of the contribution from the newspaper

One complete copy or identifying material

Works fixed only in a CD-ROM One complete copy of the entire CD-ROM package

One complete copy of the entire CD-ROM package

Pictorial or graphic works fixed only in machine-readable format (other than a CD-ROM)

Identifying material representing the entire copyrightable content

Identifying material representing the entire copyrightable content

Group registration of contributions to periodicals

See Chapter 1100, Section 1115.5

n/a

Group registration of published photographs

See Chapter 1100, Section 1116.4

n/a

Group registration of databases that consist predominantly of photographs

See Chapter 1100, Section 1117.6

See Chapter 1100, Section 1117.6

Three-Dimensional Visual Arts Works

Nature of the Work Published Unpublished

Unpublished works n/a Identifying material representing the entire copyrightable content

Published sculptural works (e.g., statues, carvings, ceramics, moldings, constructions, models, maquettes) that are not listed below

Identifying material representing the entire copyrightable content

Identifying material representing the entire copyrightable content

Jewelry Identifying material representing the entire copyrightable content (or one complete copy if the work is cast in base metal that is no more than four inches in any dimension)

Identifying material representing the entire copyrightable content

Dolls and toys Identifying material representing the entire copyrightable content

Identifying material representing the entire copyrightable content

Games that include multiple three-dimensional parts

Identifying material representing the entire copyrightable content (or one complete copy of the best edition if the work is packaged in a box or similar container with flat sides and with dimensions of no more than twelve inches by twenty-four inches by six inches)

Identifying material representing the entire copyrightable content

Globes, relief models, or relief maps

One complete copy (including the stand, if any)

One complete copy (including the stand, if any)

Nature of the Work Published Unpublished

Three-dimensional sculptural work (e.g., a collector’s doll, coin, or sculpture) in a box with copyrightable artwork and/or textual material with a claim in sculpture and artwork/text/photograph

Identifying material representing the entire copyrightable content of the sculptural work and the box (or one complete copy of the box if it is less than ninety-six inches in any dimension when flattened)

Identifying material representing the entire copyrightable content of the sculptural work and the box (or one complete copy of the box if it is less than ninety-six inches in any dimension when flattened)

Works attached to or embodied in a three-dimensional object

Identifying material representing the entire copyrightable content

Identifying material representing the entire copyrightable content

Works fixed or published in or on a useful article that comprises one of the elements of the unit of publication for an educational or instructional kit that also includes a literary work, an audiovisual work, a sound recording, or any combination of such works

One complete copy of the best edition

One complete copy representing the entire copyrightable content

Architectural Works

Nature of Work Published Unpublished

Unconstructed buildings See Section 1509.3(D) See Section 1509.3(D)

Constructed buildings See Section 1509.3(D) See Section 1509.3(D)

1510 Storage of Deposits

This Section discusses the Office’s practices and procedures for storing deposit copy(ies) and phonorecords.

1510.1 Deposit Storage

Section 704(a) of the Copyright Act states that “[u]pon their deposit in the Copyright Office under sections 407 and 408, all copies, phonorecords, and identifying material, Chapter 1500: 70 12/22/2014 including those deposited in connection with claims that have been refused registration, are the property of the United States Government.” 17 U.S.C. § 704(a).

Unpublished and published deposit materials that are submitted to the Office in a hard copy format are stored in offsite storage facilities, unless the deposit copy(ies) are selected by the Library of Congress for its collections or unless the deposit has been returned to the applicant under the Motion Picture Agreement. Unpublished deposit materials are stored for the entire term of copyright. Published deposit materials are currently stored for twenty years.

If the Office closes a file for a published work without issuing a registration or refuses to register a published work, the deposit materials may be offered to the Library for disposition and may or may not be selected for the Library’s collections.

1510.2 Requests for Full-Term Deposit Storage for Published Works

Full-term retention of published deposit copy(ies) may be requested in certain circumstances. This option offers copyright owners the opportunity to ensure that copies or phonorecords of their works will remain in the custody of the U.S. Copyright Office for seventy-five years from the date of first publication. A request for full-term retention may be approved by the Office of Public Records and Repositories under the following conditions:

• The work is published;
• Copyright registration is approved;
• The appropriate fee is received; and
• The copy has been continuously in the custody of the U.S. Copyright Office.

See 37 C.F.R. § 202.23(a)-(c). The Office reserves the right to deny requests for full-term storage.

For information on how to request full-term storage of published deposits, see Chapter 2400, Section 2410.

1510.3 Requests for Inspection or Copies of Deposits

Upon request, any member of the public may inspect the deposit copy(ies) or identifying material for a work that has been registered or refused by the U.S. Copyright Office. Certain parties may request a certified or uncertified copy of the deposit copy(ies) or identifying material for a copyright claim, provided that the party satisfies the conditions set forth in the Office’s regulations.

For information concerning these procedures, see Chapter 2400, Section 2407.

1511 Mandatory Deposit

As discussed above in Section 1502, the Copyright Act establishes two separate deposit requirements. Section 408 specifies the deposit requirements for registering a work with the U.S. Copyright Office, while Section 407 specifies the requirements for depositing a work with the Library of Congress.

Section 407 states that “the owner of copyright or of the exclusive right of publication in a work published in the United States shall deposit [with the U.S. Copyright Office], within three months after the date of such publication – two complete copies of the best edition” “for the use or disposition of the Library of Congress.” 17 U.S.C. § 407(a)(1), (b). In the case of a sound recording published in the United States, Section 407 states that the copyright owner or the owner of the exclusive right of publication shall deposit “two complete phonorecords of the best edition, together with any printed or other visually perceptible material published with such phonorecords.” 17 U.S.C. § 407(a)(2). This is known as the “mandatory deposit requirement.”

Submitting a published work for the use or disposition of the Library is not a condition of copyright protection. However, if compliance with the mandatory deposit requirement is not accomplished within three months of publication, the Register of Copyrights may facilitate, demand, negotiate, or exempt the provision of copies or phonorecords for the Library of Congress at any time after a work has been published in the United States. If the Office issues a written demand and if required copies or phonorecords are not received within three months of receipt of the demand, the copyright owner or owner of the exclusive right of publication in that work may be subject to fines or other monetary liability. 17 U.S.C. § 407(d).

In most cases, the owner of copyright or the exclusive right of publication may satisfy the mandatory deposit requirement by submitting an application to register the work, provided that the applicant submits two complete copies or two complete phonorecords of the best edition. Alternatively, the owner of copyright or the exclusive right of publication may submit the required number of copies or phonorecords without an application.

Some categories of works are exempt from the mandatory deposit requirement, even if a work has been published. See H.R. REP. NO. 94-1476, at 150 (1976), reprinted in 1976 U.S.C.C.A.N. 5659, 5766 (“deposit of copies or phonorecords for the Library of Congress is mandatory, but exceptions can be made for material the Library neither needs nor wants”). For information concerning these exceptions, see Section 1511.3.

By contrast, some works — namely, transmission programs — are subject to mandatory deposit, regardless of whether the work is published or unpublished. For information concerning transmission programs, see Section 1511.5.

1511.1 What Is the Best Edition for Purposes of Mandatory Deposit?

The “best edition” for purposes of mandatory deposit is defined as “the edition, published in the United States at any time before the date of deposit that the Library of Congress determines to be most suitable for its purposes.” 17 U.S.C. § 101; 37 C.F.R. § 202.19(b)(1)(i). The criteria used to determine the best edition for a particular work are Chapter 1500: 72 12/22/2014 listed in the “Best Edition Statement” set forth in Appendix B to Part 202 of the Office’s regulations. 37 C.F.R. pt. 202, app. B. The Best Edition Statement is also posted on the Office’s website in Circular 7B: Best Edition of Published Copyrighted Works for the Collections of the Library of Congress (www.copyright.gov/circs/circ07b.pdf).

Generally, if the work was published in two or more editions, the edition that is the highest quality is considered to be the best edition. “In judging quality, the Library of Congress will adhere to the criteria set forth [in the Best Edition Statement] in all but exceptional cases.” 37 C.F.R. pt. 202, app. B.

If the Best Edition Statement does not provide specific criteria for selecting the best edition of the work, the edition that “in the judgment of the Library of Congress, represents the highest quality for its purposes shall be considered the ‘best edition.’” 37 C.F.R. § 202.19(b)(1)(iii). If the copyright owner or owner of exclusive rights is uncertain as to whether a particular published edition constitutes the best edition, that party should contact the Office’s Copyright Acquisitions Division at (202) 707-7125. 37 C.F.R. § 202.19(b)(1)(iii)(B).

1511.2 What Is a Complete Copy or Phonorecord for Purposes of Mandatory Deposit?

1511.2(A) Complete Copy of a Published Work

A copy is “complete” for purposes of mandatory deposit if it contains “all elements comprising the unit of publication of the best edition of the work, including elements that, if considered separately, would not be copyrightable subject matter or would otherwise be exempt from mandatory deposit requirements.” 37 C.F.R. § 202.19(b)(2).

1511.2(B) Sound Recordings

In the case of a sound recording published in the United States, a phonorecord is “complete” if it “includes the phonorecord, together with any printed or other visually perceptible material published with such phonorecord (such as textual or pictorial matter appearing on record sleeves or album covers, or embodied in leaflets or booklets included in a sleeve, album, or other container).” 37 C.F.R. § 202.19(b)(2).

1511.2(C) Musical Compositions Published by Rental, Lease, or Lending

In the case of a musical composition published in the United States solely “by the rental, lease, or lending of a full score and parts,” the full score is considered a “complete” copy. 37 C.F.R. § 202.19(b)(2)(i). If the work was published solely “by the rental, lease, or lending of a conductor’s score and parts,” the conductor’s score is considered a “complete” copy. Id. § 202.19(b)(2)(ii).

1511.2(D) Motion Pictures

In the case of a motion picture published in the United States, a copy is “complete” if “the reproduction of all the visual and aural elements comprising the copyrightable subject matter in the work is clean, undamaged, undeteriorated, and free of splices, and if the copy itself and its physical housing are free of any defects that would interfere with the Chapter 1500: 73 12/22/2014 performance of the work or that would cause mechanical, visual, or audible defects or distortions.” 37 C.F.R. § 202.19(b)(2).

1511.2(E) Electronic Works

In the case of an electronic work published in the United States that is available only online, a copy is “complete” “if it includes all elements constituting the work in its published form, i.e., the complete work as published, including metadata and formatting codes otherwise exempt from mandatory deposit.” 37 C.F.R. § 202.19(b)(2).

Online-only works are exempt from the mandatory deposit requirement, except for electronic serials that are demanded by the U.S. Copyright Office. 37 C.F.R. §§ 202.19(c)(5), 202.24; Mandatory Deposit of Published Electronic Works Available Only Online, 75 Fed. Reg. 3863, 3865 (Jan. 25, 2010).

1511.3 Works Exempt from Mandatory Deposit

The mandatory deposit requirement only applies to works published in the United States. Unpublished works and works that are published solely outside the United States are not subject to this requirement.

Mandatory deposit does apply to works that are published simultaneously in both a foreign country and in the United States. It applies to works that are first published in a foreign country and then subsequently published or distributed in this country. It also may apply to unpublished transmission programs transmitted in the United States. For information concerning foreign works, see Section 1511.4. For information concerning transmission programs, see Section 1511.5.

Section 407 also states that the Register of Copyrights “may by regulation exempt any categories of material from the deposit requirements of this section, or require deposit of only one copy or phonorecord with respect to any categories.” 17 U.S.C. § 407(c). The Office has issued exemptions for the following categories of works:

• Tests and answer material for tests when published separately from other literary works. 37 C.F.R. § 202.19(c)(8).
• Lectures, sermons, speeches, and addresses when published individually and not as part of a collection of the works of one or more authors. 37 C.F.R. § 202.19(c)(3).
• Works first published as an individual contribution to a collective work. 37 C.F.R. § 202.19(c)(9).

NOTE: This exemption does not apply to the copyright owner or owner of the exclusive right of publication in the collective work as a whole.

• Literary, dramatic, and musical works published only in phonorecords. 37 C.F.R. § 202.19(c)(4).

NOTE: This exemption only applies to the literary, dramatic, or musical work that is embodied in a sound recording. The copyright owner or the owner of the exclusive Chapter 1500: 74 12/22/2014 right of publication in a sound recording that results from the fixation of such works is subject to the mandatory deposit requirement if the sound recording is published in the United States.

• Works published only in a soundtrack that is an integral part of a motion picture. 37 C.F.R. § 202.19(c)(11).

NOTE: This exemption does not apply to the copyright owner or the owner of the exclusive right of publication in a motion picture.

• Motion pictures that consist of television transmission programs and that have been published, if at all, only by reason of a license or other grant to a nonprofit institution of the right to make a fixation of such programs directly from a transmission to the public, with or without the right to make further uses of such fixations. 37 C.F.R. § 202.19(c)(12).
• Diagrams and models illustrating scientific or technical works or formulating scientific or technical information in linear or three-dimensional form, such as architectural or engineering blueprints, plans, or designs, mechanical drawings, or anatomical models. 37 C.F.R. § 202.19(c)(1).
• Greeting cards, picture postcards, and stationery. 37 C.F.R. § 202.19(c)(2).
• Prints, labels, and other advertising materials, including catalogs, published in connection with the rental, lease, lending, licensing, or sale of services, articles of merchandise, or works of authorship. 37 C.F.R. § 202.19(c)(7).
• Three-dimensional sculptural works. 37 C.F.R. § 202.19(c)(6).
• Works reproduced and published only in or on jewelry, dolls, toys, games, plaques, floor coverings, wallpaper and similar commercial wall coverings, textiles and other fabrics, packaging material, or any useful article. Id.
• Electronic works published in the United States that are available only online. 37 C.F.R. § 202.19(c)(5). For purposes of mandatory deposit, “electronic works” are defined as “works fixed and published solely in an electronic format.” 37 C.F.R. § 202.24(c)(3).

This exemption applies to electronic serials that are available only online, unless the Office issues a demand for a particular serial under Section 202.24 of the regulations. For information concerning electronic serials, see Sections 1511.6.

NOTE: This exemption does not apply to works that are published in the United States in both electronic formats and physical formats.

If a published work is subject to the mandatory deposit requirement, the copyright owner or owner of exclusive rights may submit a request for special relief from this requirement. For information concerning special relief, see Section 1511.9.

1511.4 Mandatory Deposit for Works Published Outside the United States

Works published solely in a foreign country are not subject to the mandatory deposit requirement.

As a general rule, works that are published both in a foreign country and in the United States are subject to mandatory deposit. However, works that are published abroad and subsequently published in the United States without any change in the copyrightable content of the work are exempt from mandatory deposit if the following conditions have been met:

• The work was registered with the U.S. Copyright Office before it was published in the United States; or
• The work was registered after it was published in the United States but before the Office issued a demand for the work under Section 407(d) of the Copyright Act.

37 C.F.R. § 202.19(c)(10).

1511.5 Mandatory Deposit for Unpublished Transmission Programs

Most unpublished works are exempt from the mandatory deposit requirement, although there is a limited exception to this rule. Specifically, the Register of Copyrights may issue a written demand for a copy or phonorecord of an audio or audiovisual transmission program for the use or disposition of the Library of Congress, even if that program is unpublished. 17 U.S.C. § 407(e); 37 C.F.R. § 202.22(d).

A “transmission program” is defined as “a body of material that, as an aggregate, has been produced for the sole purpose of transmission to the public in sequence and as a unit.” 17 U.S.C. § 101. This category includes audio or audiovisual transmissions made “via the Internet, cable, broadcasting, and satellite systems and via any other existing or future devices or processes for the communication of a performance or display whereby images or sounds are received beyond the place from which they are sent.” 37 C.F.R. § 202.22(b)(1).

For additional information concerning this procedure, see 37 C.F.R. § 202.22(d).

1511.6 Mandatory Deposit for Electronic Serials

As a general rule, the mandatory deposit requirement does not apply to electronic works published in the United States that are available only online. However, there is a limited exception to this rule.

The copyright owner or owner of the exclusive right of publication in an electronic serial published on or after February 24, 2010 is subject to mandatory deposit if the Office issues a written demand for a copy of that work for the use or disposition of the Library of Congress. See 37 C.F.R. §§ 202.19(c)(5), 202.24(a).

For purposes of mandatory deposit, an “electronic serial” is defined as “an electronic work published in the United States and available only online, issued or intended to be Chapter 1500: 76 12/22/2014 issued on an established schedule in successive parts bearing numerical or chronological designations, without subsequent alterations, and intended to be continued indefinitely.” Id. § 202.19(b)(4). (For a definition of the term “electronic work,” see Section 1511.3.)

The Register has promulgated an interim rule for this category of works. The category includes periodicals, newspapers, annuals, and the journals, proceedings, transactions, and other publications of societies. It does not include works that are published both online and in physical form. Likewise, it does not include works that are constantly updated with no demarcation between particular, discrete issues of the publication. See Mandatory Deposit of Published Electronic Works Available Only Online, 75 Fed. Reg. 3863, 3865 (Jan. 25, 2010).

For additional information concerning this procedure, see 37 C.F.R. § 202.24.

1511.7 How to Submit Mandatory Deposits

This Section discusses the procedure for submitting copies or phonorecords to the U.S. Copyright Office for the purpose of mandatory deposit.

1511.7(A) Copies or Phonorecords Submitted with an Application for Registration

As a general rule, the copyright owner or owner of the exclusive right of publication in a published work may satisfy the mandatory deposit requirement by registering that work with the U.S. Copyright Office. See 17 U.S.C. § 408(b)(2). To do so, the applicant should submit a completed application, the appropriate filing fee, and the appropriate number of complete copy(ies) or phonorecord(s) of the best edition of the work.

For guidance in completing an application and for information concerning the filing fee, see Chapters 600 and 1400. For guidance in submitting the deposit copies or phonorecords for an application, see Section 1508.

1511.7(B) Copies or Phonorecords Submitted without an Application for Registration

For some categories of works the deposit requirements for registration and mandatory deposit are not the same, such as works that may be registered with identifying material or with a grant of special relief. In such cases, a separate submission of copies, phonorecords, or identifying material may be needed to register the work and to satisfy the mandatory deposit requirements. If so, the copyright owner or owner of the exclusive right of publication may satisfy the mandatory deposit requirement by submitting the required number of copies or phonorecords of the best edition to the following address:

Library of Congress U.S. Copyright Office Attn: 407 Deposits 101 Independence Avenue SE Washington, D.C. 20559

As discussed in Section 1508.6, all mail that is sent to the Office is screened offsite for anthrax or other contaminants prior to delivery. In some cases this screening process may damage the deposit. If so, the Office will request a replacement deposit. To avoid damage to the deposit, the party submitting the deposit should follow the guidelines discussed in Section 1508.6(B).

1511.7(C) Copies or Phonorecords Submitted in Response to a Demand Notice

As discussed in Section 1511, the Register of Copyrights may issue a written demand for copies or phonorecords of any work published in the United States that is subject to the mandatory deposit requirement. A demand may be made at any time after the work has been published. 17 U.S.C. § 407(d).

If a copyright owner or owner of the exclusive right of publication receives a demand for mandatory deposit, that party should submit the required number of copies or phonorecords to the address specified in the demand notice within three months after the demand is received.

Alternatively, a copyright owner or owner of exclusive rights may respond by submitting the required copies or phonorecords together with an application to register the work and the appropriate filing fee.

• When completing an online application, the applicant should print one or more copies of the deposit copy shipping slip using the procedure discussed in Section 1508.2. The applicant should attach the demand notice and the shipping slips directly to the deposits, and should send all of these items in a single package to the address specified on the shipping slip.
• When completing a paper application, the applicant should attach the demand notice, the completed application, and the nonrefundable filing fee directly to the deposit, and should send all of these items to the following address:

Library of Congress U.S. Copyright Office – CAD/AD 101 Independence Avenue SE Washington, DC 20559-6601

NOTE: In all cases, the demand notice should be placed on top of the items in the package so that it is visible when the package is opened.

If the copyright owner or owner of exclusive rights submits the copies or phonorecords to the address specified in the demand notice without submitting an application, the appropriate filing fee, and/or the shipping slips, the Office will assume that the deposit was submitted solely for the purpose of satisfying the mandatory deposit requirement. The Office will not connect the copies or phonorecords with a separately submitted application nor will the Office hold the copies or phonorecords pending the receipt of an application. See 37 C.F.R. § 202.19(f)(1).

If the required deposit copies or phonorecords are not received in a timely manner, the party that received the demand notice may be subject to the following penalties:

• To pay a fine of not more than $250 for each work; and
• To pay the total retail price of the copies or phonorecords demanded into a specially designated fund in the Library of Congress, or if no retail price has been fixed, the reasonable cost to the Library of Congress of acquiring such copies or phonorecords; and
• To pay a fine of $2,500, in addition to any fine or liability imposed above, if the party willfully or repeatedly fails or refuses to comply with the demand.

17 U.S.C. § 407(d).

1511.7(D) Certificate of Receipt

Upon request, the Office will issue a certificate of receipt for copies or phonorecords that are submitted for the purpose of mandatory deposit, provided that the request is made at the time of the deposit. Thereafter, the Office will issue a certificate of receipt only if the request is made by the party that is identified in the Office’s records as the party that submitted the copies or phonorecords. The certificate will provide the following information:

• The depositor.
• The work deposited.
• The nature and format of the copy or phonorecord deposited.
• The date of receipt.

17 U.S.C. § 407(b); 37 C.F.R. § 202.19(f)(3).

In all cases, the request for a certificate of receipt must be made in writing and must be accompanied by the appropriate fee, which is set forth in the Office’s fee schedule under the heading marked “Receipt for deposit without registration (section 407 deposit)” (www.copyright.gov/docs/fees.html).

1511.8 Mandatory Deposit Requirements for Specific Categories of Works

To satisfy the mandatory deposit requirement, copyright owners and owners of the exclusive right of publication generally should submit two complete copies of the best edition of the work, or in the case of a sound recording, two complete phonorecords of the best edition. See 37 C.F.R. § 202.19(d)(1)(i), (ii). For a definition and discussion of the terms “best edition,” “complete copy,” and “complete phonorecord,” see Section 1504 and 1505.

There are several exceptions to this rule. For certain types of works, a party may submit (i) one copy or phonorecord instead of two, (ii) the work as first published instead of the Chapter 1500: 79 12/22/2014 best edition of the work, or (iii) identifying material instead copies or phonorecords. The specific exceptions for literary works, works of the performing arts, and visual arts works are set forth in Sections 1511.8(A) through 1511.8(G).

1511.8(A) Computer Programs and Computerized Information Works

As a general rule, a party may submit one complete copy of the best edition of the work in order to satisfy the mandatory deposit requirement for computer programs and computerized information works, such as statistical compendia, serials, and reference works. However, if the work is copy-protected, two copies of the best edition are required. Id. § 202.19(d)(2)(vii).

1511.8(B) Published Multimedia Kits

To satisfy the mandatory deposit requirement for a published multimedia kit that includes literary works, audiovisual works, sound recordings, or any combination of such works, a party may submit one complete copy of the best edition instead of two copies. Id. § 202.19(d)(2)(vi).

1511.8(C) Musical Works

A party may submit one complete copy of the best edition of a musical composition if copies of the work were published in the United States solely by rental, lease, or lending (regardless of whether the work was published only in copies or in both copies and phonorecords). Id. § 202.19(d)(2)(v).

1511.8(D) Motion Pictures

To satisfy the mandatory deposit requirement for a motion picture, a party may submit one complete copy of the work together with a separate description of its contents, such as a continuity, pressbook, or synopsis. Id. § 202.19(d)(2)(ii).

If the copyright owner or the owner of the exclusive right of publication has signed the Motion Picture Agreement, the Office may return the deposit copy to that party upon request. For information concerning this procedure, see Section 1509.2(F)(4).

1511.8(E) Limited Edition Visual Arts Works

This Section discusses the mandatory deposit requirements for pictorial or graphic works that are published in a limited edition.

If an individual author owns the copyright in the work, the copyright owner or owner of the exclusive right of publication may submit one complete copy of the best edition, or in the alternative, the owner may submit photographs or other identifying material for the work, provided that one of the following conditions has been met:

• Less than five copies of the work have been published; or
• The work has been published and sold or offered for sale in a limited edition consisting of no more than 300 numbered copies.

37 C.F.R. § 202.19(d)(2)(iv). For information concerning the requirements for identifying material, see Section 1509.3(C).

1511.8(F) Globes and Other Three-Dimensional Cartographic Works

A party may submit one complete copy of the best edition in order to satisfy the mandatory deposit requirement for a published three-dimensional cartographic representation of area, such as a globe or relief model. Id. § 202.19(d)(2)(i).

1511.8(G) Architectural Works

To satisfy the mandatory deposit requirement for an architectural work, the copyright owner or owner of the exclusive right of publication should submit presentation drawings in their most finished form. Id. § 202.19(d)(2)(viii). For information concerning the preferred format for presentation drawings, see Section 1509.3(D).

1511.9 Special Relief from the Mandatory Deposit Requirement

This Section discusses the procedure for obtaining special relief from the mandatory deposit requirements. For information concerning the procedure for requesting special relief from the deposit requirements for registration, see Section 1508.8.

The Register of Copyrights is authorized to grant special relief from the mandatory deposit requirement for any published work.

• The Office may grant an exemption on an individual basis for a single work or for a series or groups of works.
• The Office may permit the deposit of one copy or phonorecord, or alternative identifying material (in lieu of submitting two copy(ies) or phonorecord(s) of the work).
• The Office may permit the deposit of incomplete copies or phonorecords or copy(ies) or phonorecords other than those normally comprising the best edition of a work.
• The Office may permit the deposit of identifying material that does not comply with Section 202.21 of the regulations.

37 C.F.R. § 202.19(e)(1).

A request for special relief must be made in writing and must include the specific reason(s) why the request should be granted. The request should be signed by or on behalf of the copyright owner or the owner of the exclusive right of publication, and it should be sent to the Associate Register of Copyrights and Director of Registration Policy and Practice at the address specified in Section 1508.8(B). Id. § 202.19(e)(3).

The Register of Copyrights may terminate any ongoing or continuous grant of special relief after consulting with other appropriate officials of the Library of Congress. Id. § 202.19(e)(4). The procedure for terminating a grant of special relief from the Chapter 1500: 81 12/22/2014 mandatory deposit requirements is the same as the procedure for terminating a grant of special relief of the deposit requirements for registration. See Section 1508.8(D).