CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY REGISTRATIONS
1501
Applicability of this chapter. This chapter contains the practices to be followed in correcting or amplifying Copyright Office records these practices are general in nature, and each case should be dealt with on its own merits.
Moreover, this chapter does not deal with those errors in the record of a basic registration that the Office itself should have recognized at the time the registration was made in such cases the Office will take appropriate measures to rectify its error. See 37 C.F.R. 201.5(a)(2). Nor does this chapter deal with adverse contentions incident to registration. See section 108.06 of Chapter 100: BASIC POLICIES see also sections 1318.04 and 1318.05 of Chapter 1300: RENEWAL OF COPYRIGHT.
1502
Basic registrations. Most such corrections and amplifications involve "basic registrations." A "basic registration means any of the following: (A) a copyright registration made under section 408 of the copyright law; (B) a renewal registration made under section 304 of the copyright law (C) a registration of claim to copyright made under the copyright law as it existed before January 1, 1978; or (D) a renewal registration made under the copyright law as it existed before January 1, 1978. See 37 C.F.R. 201.5(a)(1)(i). Once a basic registration has been made in the Copyright Office for a work, that basic registration will ordinarily stand as the fundamental copyright record on which other, later records relating to the particular work can be built.
1503
Means used for correcting and amplifying Copyright Office records. The following means are available for correcting or ampllfying Copyright Office records.
1503.01
Supplementary registrations. A supplementary registration to correct certain errors in a copyright registration or to amplify the information given in a copyright registration is a special type of copyright registration provided for in the copyright law. See 17 U.S.C. 408(d). One supplementary registration may correct or amplify information in only one basic registration.
1503.02
Recordation of documents. A document to correct certain errors in a copyright
registration or to amplify the information given in a registration may be recorded in the Copyright Office, provided that the requirements for recordation are met. See Chapter 1600: RECORDATION OF TRANSFERS AND OTHER DOCUMENTS PERTAINING TO A COPYRIGHT.
1503.03
Additional basic registrations. Certain kinds of errors may be corrected only by making an additional basic registration. See also sections 1506 and 1507 below.
1504
Supplementary registrations: procedures used for correcting and amplifying Copyright Office records. A supplementary registration may be made either to correct or to amplify information given in a basic registration. The appropriate form prescribed by the Copyright Office for a supplementary registration is Form CA.
1504.01
Supplementary registrations: corrections. A "correction" is appropriate if the information in the basic registration was incorrect at the time that basic registration was made, and the error is not one
that the Copyright Office itself should have recognized. See 37 C.F.R. 201.5(b)(2)(i).
Examples:
1)
A basic registration identified someone incorrectly as the author of the work.
2)
A work was registered as published when publication had not actually taken place.
3)
The statement of the extent of the claim is inaccurate.
1504.02
Supplementary registrations: amplifications. An "amplification" is appropriate in order to accomplish the following purposes:
1)
To reflect additional information that could have been given, but was omitted, at the time basic registration was made (e.g., a co-author's name was omitted); or
2)
To reflect changes in facts, other than those relating to transfer, license, or ownership of rights in the work, that have occurred since the basic registration was made (e.g., a change in the title of the work or a change in an author's or claimant's name); or
3)
To clarify information given in the basic registration (e.g., the statement of changes or additions in the version being registered was not sufficiently explicit); or
See 37 C.F.R. 20l.5(b)(2)(ii).
4)
To have individual titles in a collection indexed separately in the Copyright Office
catalogs.
1504.03
Supplementary registrations: correcting or amplifying information in another supple mentary registration. Although a supplementary registration may be made to correct or amplify the information in any completed basic registration, a supplementary registration cannot be made to correct or amplify the information contained in another supplementary registration. Where a supplementary registration contains an error, a new
supplementary registration should be made to correct or amplify the information contained in the basic registration in question.
1504.04
Supplementary registrations: when not appropriate. Supplementary registration is not appropriate:
1)
As an amplification to reflect the ownership, division, allocation, licensing, or transfer of rights in a work, whether at the time the basic registration was made or thereafter (see also section l507.0l(b) below); or
2)
To correct errors in statements or notices on the copies or phonorecords of a work; or
3)
To reflect changes in the content of a work; or
4)
As a substitute for renewal registration; or
5)
To add a renewal claimant; or
6)
To change the basis of claim or change the renewal claimant after the renewal period has expired; or
7)
As a substitute for recording a transfer or other document pertaining to copy right ownership.
See 37 C.F.R. 20l.5(b)(2)(ii), (iii), and (iv).
1504.05
Supplementary registrations: basic registration a prerequisite. Supplementary registration can be made only if a basic copyright registration for the same work has already been completed. The application for supplementary registration must clearly identify the registration to be corrected or amplified. See 17 U.S.C. 408(d).
1504.06
Supplementary registrations: time limits. The following are time limits for making a supplementary registration.
1504.06(a)
To correct or amplify a basic original registration. As a general rule, supplementary registration to correct or amplify
an original basic registration may be made at any time. However, for works which were published or registered or both before January 1, 1978, and are still subject to renewal registration, a supplementary
registration affecting the original term of copyright can only be made during the first 28-year term.
Example:
A work is published and registered in
1954. An application for supplementary registration is submitted in 1983 to change the year date of publication to 1955. The application for supplementary registration will be refused.
1504.06(b)
To correct a renewal registration. Supplementary registration to correct a
renewal claimant or basis of claim in a basic renewal registration may be made only if the application for supplementary registration and fee are received in the copyright Office within the statutory time limits for renewal. If the error or omission in a basic renewal registration is extremely minor, and does not involve the identity of the renewal claimant or the legal basis of claim, supplementary registration may be made at any time. See 37 C.F.R. 201.5(b) (2)(iv).
1504.07
Supplementary registrations: persons entitled to submit application. After a basic copyright registration has been completed, any author or other copyright claimant of the work, or the owner of any exclusive right in the work, or the duly authorized agent of any such author, other claimant, or owner, who wishes to correct or amplify the information given in the basic registration for the work may file an application for supplementary registration. See 37 C.F.R. 201.5(b)(1).
1504.08
Supplementary registrations: their effect. The following are effects of making a supplementary registration.
l504.08(a)
New registration number and certificate. The Copyright Office will assign to a supplementary registration a new registration number in the appropriate class, and issue a certificate of supplementary registration under that number. See 37 C.F.R. 201.5(d)(1).
1504.08(b)
Augmenting basic registration. The information contained in a supplementary registration augments but does not supersede that contained in the basic registration. The basic registration will not be expunged or cancelled. See 17 U.S.C. 408(d) and 37 C.F.R. 201.5(d)(2).
1504.08(c)
Cross-referencing. If the person who, or on whose behalf, an application for supplementary registration is submitted is the same as the person identified as the copyright claimant in the basic registration, the Copyright Office will place a note referring to the supplementary registration on its records of the basic registration. See 37 C.F.R. 201.5(b)(1), note 3. The Office will follow the same practice with respect to an application for supplementary registration submitted by the duly authorized agent or successor in interest of the copyright claimant in the basic registration.
NOTE: Successors in interest, for this purpose, are those who derive their title from the claimant, as for example, an assignee.
1505
Recordation of documents: procedures used for correcting and amplifying Copyright Office records. In certain cases a document may be recorded either to correct or to amplify information given in a basic registration. Such a document may be recorded at any time. See also Chapter 1600: RECORDATION OF TRANSFERS AND OTHER DOCUMENTS PERTAINING TO A COPYRIGHT.
1505.01
Recordation of documents: corrections or amplifications of completed registrations. Ordinarily, when a person who is entitled to file an application for supplementary registration wishes to correct or amplify a copy right registration, an application for supplementary registration should be submitted. See section 1504.07 above. However, if an application for supplementary registration is not appropriate, or if the application for supplementary registration is appropriate but the sender insists on the recordation of a document, an affidavit or signed statement outlining the error or amplification may be
recorded in the Copyright Office. In some instances, recordation of a document supporting the basis for registration of a claim to renewal copyright is required before registration can be made.
Example:
Where a renewal claim is submitted by an author whose name neither appears in the records of the original registration nor in a supplementary registration which has been cross-referenced to the original registration and the omission cannot be satisfactorily explained, registration of a renewal claim in that author's name will generally be made only if a document supporting the claim of authorship is recorded.
1505.02
Recordation of documents: correction of error in recorded document. Where errors in a document are discovered following recordation, no changes in the completed record can be made, but the sender may adopt one of three
alternatives:
1)
Submit the corrected document for recordation.
2)
Submit a completely new document for recordation.
3)
Record an affidavit or other signed statement describing the error in the previously recorded instrument.
1505.03
Recordation of documents: effect. Generally, where a supplementary registration is preferable, but the sender submits a document for recordation, the Copyright Office will correspond with the sender, pointing out that no annotation will be made on the application for the basic registration. If the sender persists in requesting recordation, the document will be recorded.
1506
New basic registration: procedures used for correcting and amplifying Copyright Office records. Ordinarily, when an app11cant wishes to correct or amplify a copyright registration, a supplementary registration is suggested. However, in some instances, a supplementary registration is not appropriate, as explained in section 1507 below, and the Copyright Office will suggest that a new basic registration be made.
1506.01
New basic registration: time limits. A new basic original registration may be made, if otherwise appropriate, at any time within the life of the copyright. A new basic renewal registration must generally be made within one
year prior to the expiration of the original term of copyright. See Chapter 1300: RENEWAL OF COPYRIGHT.
1506.02
New basic registration: effect. A basic registration generally stands by itself. Where, however, a new basic registration is made to correct an earlier basic registration, the earlier basic registration will be annotated to reflect the later registration.
1507
Special situations relating amplifications of Copyright Office records. The following are examples that present problems relating to corrections to corrections and amplifications of and Copyright Office records.
1507.01
Special situations relating to ownership. As explained in section 1504.01 above, a supplementary registration is generally the appropriate method for either correcting or amplifying the statement of ownership of an earlier registration. However, in some instances, a new basic registration may be acceptable.
Example:
Where someone other than the author is incorrectly identified as copyright claimant in a registration, another basic
registration for the same version may be made by the author in his or her own name as copyright claimant.
1507.01(a)
Supplementary registration acceptable: additional authors or claimants. Where the basic original registration was made in the name of one author who is also listed as sole claimant, the Copyright Office will accept an application for supplementary registration from additional authors who now want the record to show their authorship and ownership. However, in such cases a new basic registration may be made if the applicant so desires.
1507.01(b)
Supplementary registration not appropriate. As explained in section 1504.04 above, a supplementary registration is not appropriate as an amplification to reflect the ownership, division, allocation, licensing, or transfer of rights in a work, whether at the time basic registration was made or thereafter.
Examples:
1)
Authors A and B are identified as co-claimants on the basic registration but they wish to reflect an allocation of ownership of 25 percent to A and 75 percent to B. A supplementary registration is not acceptable. An appropriate document may be submitted for recordation.
2)
A and B are named as co-authors and co-claimants of the words and music to three songs covered by a single unpublished registration. A wishes the records of the Copyright Office to reflect that he was the sole author and claimant of the words and music to two of the songs and that he and Bare co-authors and co-claimants of only the third song. The Office will accept an application for supplementary registration to correct the authorship and ownership of the two songs authored by A, and to show that the claim covers only those two songs in the original collection. Also, a new basic registration should be made for the song which was co-authored by A and B.
1507.01(c)
Transfer of ownership. Where an application for supplementary registration is submitted to reflect a transfer of copyright ownership, the Copyright Office will refuse registration but will suggest the recordation of the document of transfer. The Office will not make a supplementary registration as a means of reflecting a transfer of ownership.
1507.01(d)
Supplementary registration requested to correct statement as to rightful claimant. An application for supplementary registration may be accepted to correct a statement as to the rightful claimant in an unpublished registration effective on or after January 1, 1978, or a work first published after that date. See also section l507.0l(a) above.
NOTE: Thus, where a registration was authorized but the wrong name was given as claimant, the Copyright Office will accept an application for supplementary registration.
1507.01(e)
Statutory copyright secured before 1978. Where statutory copyright was secured before 1978, and the allegation is that a different claimant owned the copyright at the time of basic registration, the Copyright Office will refuse an application for supplementary registration. A document conveying rights from the original claimant of record may be recorded.
1507.02
Change in name or address of author or claimant. Where an applicant wishes to correct an error or have the records of the Copyright Office reflect a change in the name or address of the author or claimant in a basic registration, the Copyright Office will accept an application for supplementary registration. If the applicant so requests, the Office will record a document reflecting such correction or change.
Example:
The basic registration indicates that Jane Adams is the claimant. An application for supplementary registration is submitted to change the claimant's name to her married name, Jane Adams Morgan. A supplementary application reflecting such a change is appropriate.
1507.02(a)
Change or error in name of corporate entity or other organization. When an applicant wishes to have the records of the Copyright Office reflect a change in the name of a corporate entity or other organization, the Copyright Office will accept an application for supplementary registration, and where it is likely that an official document changing the name exists, the Office may suggest that the document be recorded.
1507.03
Change of domicile, citizenship, and place of publication. Where an applicant wishes to correct an error in the basic registration with respect to the domicile or citizenship of an author or the place of publication of a work, the Copyright Office will generally accept an application for supplementary registration. If, however, the correction would affect the eligibility of the work for u.s. copyright protection, the Office will write and point out to the sender the consequences. If the work was not eligible for u.s. copyright protection on the effective date of the basic registration, that registration will be cancelled. The application for supplementary registration will be filed without action.
NOTE: In no case will the acceptance by the Copyright Office of an application for supplementary registration result in the cancellation of a preexisting basic registration, unless the applicant on the supplementary registration is the same as the applicant on the basic registration.
1507.04
Problems relating to title of work. Where an applicant wishes to reflect a change or correction of title or the addition of a subtitle in a basic registration, the Copyright Office will accept an application for supplementary registration. The recordation of a document should not be suggested for the purpose of reflecting a change of title. Nevertheless, the Office will record such a document if the sender insists, after the sender has been notified that no annotation will be made on the application or catalog entries of the basic registration.
1507.05
Problems relating to authorship. Problems relating to authorship include the following.
1507.05(a)
Problems relating to authorship: name of author omitted. Where the name of an author was omitted from the application for the basic registration, supplementary registration is appropriate. In those cases where a transfer statement would have been required on the application for the basic registration, if that author's name had been included, a transfer statement will be required on the application for supplementary registration. Where the name of the person being added did not appear anywhere on the records of registration, some documentation confirming that the person is an author may be requested.
1507.05(b)
Problems relating to authorship: deletion of name. Where applicant states that the application for basic registration erroneously included a name as author which the applicant wishes to delete, the Copyright Office will accept an application for supplementary registration. In certain instances, the Office may request additional supporting statements.
1507.05(c)
Problems relating to authorship: employment for-hire statement omitted, given in error,or stated erroneously. Where an employment-for-hire statement was either omitted, given in error, or stated erroneously, the Copyright Office will accept an application for supplementary registration which should include in appropriate cases a new or corrected transfer statement.
1507.06
Problems relating to nature or extent of authorship. Where an applicant wishes either to correct or to amplify the statement of the nature of authorship on a basic registration, an application for supplementary registration
may be submitted. In certain instances, it will be necessary to examine the work either by obtaining the deposited material or by requesting additional material from the applicant or from the collections of the Library of Congress.
Examples:
1)
The original registration limited the claim to compilation. An application for supplementary registration is submitted to make "editing" the basis of the claim. If statements on the copy suggest that there is substantial editing, the supplementary claim will be registered.
2)
An application for supplementary registration is submitted adding a new author whose only contribution is "cover art." Examination of the copy reveals that the artwork on the cover is not registrable. Supplementary registration will be refused.
1507.07
Problems relating to status of work. The following problems relate to the status of a work.
1507.07(a)
Published work registered as unpublished. Where a publ1shed work was 1ncorrectly registered as unpublished, a supplementary registration is generally inappropriate, since the deposit requirements will not ordinarily have been met. In such cases, a new basic registration should be made. See also section 1507.08(d).
1507.07(b)
Unpublished work registered as published. Where an unpublished work was registered as published, the Copyright Office will accept an application for supplementary registration.
1507.07(c)
Incorrect date of creation. Generally, the copyright Office will accept an application for supplementary registration to correct the statement of the date of creation of a work. However, the date of creation given
in the supplementary registration must be the same as, or earlier than, the year date of the effective date of the basic registration, or if the work is published, the year date must be the same as, or earlier than, the year of first publication.
1507.07(d)
Incorrect date of publication. Generally, the copyright Office will accept an application for supplementary registration to correct the date of publication of a work. However, in the case of a work published before January 1, 1978, the Office will refuse to accept an application for supplementary registration correcting the date of publication if, according to the records of the basic registration, the original term of copyright has expired.
NOTE: In all cases involving a change in the date of publication, the Examiner must also consider the deposit requirements applicable on the effective date of the basic registration. See section 1507.08 below.
1507.07(d)(1)
Applicable notice requirements. If the work was published before 1978, the Examiner must also consider the applicable notice requirements. See the provisions of Chapter 4 of Compendium I, including situations where no notice was required, under the Regulations of the Copyright Office then in effect, for certain works first published outside the United states. In the case of works published before 1978, the following practices apply:
*
If the change in the date of publication makes the notice antedated, the application for supplementary registration will be annotated to reflect the date in the notice. The applicant must be notified as to the effect upon the term of copyright.
*
If the change in the date of publication makes the notice postdated by more than one year, supplementary registration will be refused, and the original registration will be cancelled.
*
If the change in the date of publication makes the notice postdated by one year, supplementary registration will be made and the applicant will be notified of the doubtful validity of the claim.
NOTE: If the work was published before 1978 without the required notice, supplementary registration will be refused and the original registration will be cancelled.
1507.08
Problems relating to deposits. Supplementary registration can be used only to correct errors or amplify facts stated in an earlier application for a registration that has been completed. An application for supplementary
registration is not appropriate to correct a defect in the deposit, changes in the content of the work, or errors in statements or notices on the copies or phonorecords of the work in question. Also, where a change in the date of publication results in the applicable deposit requirements not being satisfied, a new basic registration would be in order, since an appropriate deposit should be submitted.
1507.08(a)
New versions. If a work has been changed since registration was made, and if the changes are sufficient to be the basis of a registration, the proper procedure would be to make a basic registration for the revised version to reflect the additions or revisions.
1507.08(b)
Addenda and errata sheets. Where the applicant voluntarily deposits addenda or errata sheets for published works to be included and/or attached to the deposit copies after registration has been completed, such items should be referred with a memorandum of transmittal to the Chief, Acquisitions and processing Division of the Copyright Office. Where the material to be substituted or added to the deposit copy of an unpublished work contains sufficient copyrightable new matter to support a new registration, the Copyright Office will suggest that a new basic registration be made for the revised version.
1507.08(c)
Addition or correction of copyright notice. Neither a supplementary registration nor a new basic registration is appropriate to reflect the addition or correction of a copyright notice on copies or phonorecords deposited to make an earlier registration.
1507.08(d)
Applicable deposit requirements not met. Where the applicable deposit requirements were not met, a new basic registration is in order.
Examples:
1)
The basic registration indicates that the work was unpublished; the applicant now states that on the effective date of registration the work was actually published. A new application for a basic registration should be submitted with the required deposit and fee.
2)
The basic registration states that the work was first published in 1979. The applicant now asserts that the work was actually first published in 1977. Since copies as first published are required for works first published before 1978, an application for a basic registration accompanied by the required deposit should be submitted. If, however, the work was first published without an acceptable copyright notice, the basic registration will be cancelled.
3)
A published registration made in 1978 gives the date of publication as December 27, 1977. The applicant now states that the work was actually published on November 5, 1978. If the copies or phonorecords deposited in connection with the earlier registration were not of the best edition as of the effective date of that registration, a new basic registration should be made. If, however, the copies deposited earlier are the best editions as of the date of the first registration, a supplementary registration may be made to correct the date of publication.
1507.09
Problems relating to extent of claim. The Copyright Office will accept an application for supplementary registration in order to add, correct, or amplify a statement relating to the extent of claim which was omitted or given in error on the basic registration. Ordinarily, examination of the original deposit will be necessary.
1507.10
Problems relating to recorded documents. A supplementary registration is not appropriate to change the contents of a document previously recorded in the Copyright Office. See section 1505.02 above.
1507.11
Examining Division error. Where it is discovered that the record of a basic registration contains an error that the Copyright Office itself should have recognized at the time registration was made, supplementary registration is not appropriate. The Office will take measures to rectify its error. See 37 C.F.R. 201.05(a)(2).
1507.12
Earlier registration not authorized. If an applicant states that an earlier registration was made without the authorization of a person legally entitled to apply for registration, the Copyright Office will suggest that a complete new registration be made by the applicant. No cross reference will be made on either registration. See section 108.06 of Chapter 100: BASIC POLICIES.
1507.13
Problems relating to minor errors. An application for supplementary registration that has been filed to correct what may seem to be even extremely minor errors or changes will not be refused.
Examples:
1)
Title on certificate: SWAN SONG Title on deposit: THE SWAN SONG Title as corrected on Form CA: THE SWAN SONG
2)
Title on certificate: IILL LOVE YOU Title on deposit: IILL LOVE YOU Title as changed on Form CA: I'LL LOVE YOU (FOREVER)
3)
Name on certificate: John Munroe
Name on deposit: John D. Munroe
Name as amplified on Form CA: John Drummond Munroe
4)
Name on certificate: Jonh Francis Bacon
Name on deposit: John F. Bacon
Name as corrected on Form CA: John Francis Bacon
5)
"Material Added" statement on certificate: additional words and music.
New matter as amplified on Form CA: words in chorus added and 16 bars of new music.
1507.14
Abandonment of copyright or copyright claim. There is no provision in the copyright statute for abandoning a copyright or copyright claim or any of the rights therein. However, the Copyright Office will record an affidavit or other statement, signed by all of the copyright owners, purporting to abandon the copyright, without expressing any opinion concerning its legal effect. In such cases, the Copyright Office will request the return of the original certificate of registration.
1508
Completion of Form CA. The information provided on Form CA should agree exactly with the information as it already appears in the basic registration that has been made for the work. Generally, the Form CA should be compared with the basic registration to be corrected or amplified.
1508.01
Completion of Form CA: identification of work. To identify the work, the following information should be given:
1)
The title of the work as it appears in the basic registration, including previous or alternative titles, if they appear;
2)
The registration number of the basic registration;
3)
The year when the basic registration was completed: and
4)
The name or names of the author or authors of the work, and the copyright claimant or claimants in the work, as they appear in the basic registration.
See 37 C.F.R. 201.5(c)(1)(i) to (iv).
1508.01(a)
Minor error. If certain information given on the Form CA is incorrect, and the error is minor, the Copyright Office may correct the error without correspondence.
1508.01(b)
Missing information. If less than all the information requested above in section 1508.01 is given, but sufficient information (more than a title) is given to identify the basic registration with certainty, the Copyright Office will add by annotation the missing information from its records at the appropriate space on the application form. Where the information given on the Form CA is insufficient to identify the basic registration, the Office will communicate with the applicant.
1508.02
Completion of Form CA: correction space. This space should be completed only if the information in the basic registration was incorrect at the time the basic registration was made. The following information should be given:
1)
The line number and heading or description of the part of the basic registration where the error occurred:
2)
A transcription of the erroneous information as it appears in the basic registration:
3)
A statement of the correct information as it should have appeared: and
4)
If applicant so desires, an explanation of the error or its correction.
See 37 C.F.R. 201.05(c)(1)(v).
1508.03
Completion of Form CA: amplification space. This space should be completed only for the following reasons:
1)
To reflect changes in facts, other than those relating to transfer, license, or ownership of rights in the work, that have occurred since the basic registration was made; or
2)
To reflect additional information that could have been given, but was omitted at the time basic registration was made: or
3)
To clarify information given in the basic registration.
1508.03(a)
Amplification space: information required. The following information should also be given:
1)
The line number and heading or descrip tion of the part of the basic registration where the information to be amplified appears;
2)
A clear and succinct statement of the information to be added: and
3)
If applicant so desires, an explanation of the amplification.
See 37 C.F.R. 20l.5(c)(1)(vi).
1508.04
Completion of Form CA: information not contained in appropriate space. Where the corrected or amplified information is not contained in the appropriate space, but appears elsewhere on the application form, the claim will generally be registered without correspondence.
1508.05
Completion of Form CA: single form sufficient for correction and amplification. A single Form CA may be used both to amplify and to correct a particular basic registration.
Example:
A single Form CA may be used to show a change of title and to correct the name of an author.
1509
Effective date of supplementary registration. The effective date of a supplementary registration is the date when the Copyright Office receives the required fee and a request for a correction or amplification which reasonably identifies the work.
