Compendium of US Copyright Office Practices (1973)/Chapter 15

by US Copyright Office

Chapter 15

Certificates and Certifcations

Outline of Topics

Part 15.1	CERTIFICATES OF REGISTRATION
	15.1.1	Statutory provisions
	15.1.2	Preparation of original certificates
	15.1.3	Mailing of original certificates
	15.1.4	Certificates returned by Post Office
	15.1.5	Remailing of returned certificates
Part 15.2	CERTIFICATION IN GENERAL
	15.2.1	Certifying officer
		I.	Statutory provision
		II.	Certification by the Register of Copyrights
		III.	"The absence or the Register"
	15.2.2	Nature and kinds of certified documents
		I.	Nature of certified document
		II.	Kinds of certified documents
			a.	Original certificates
			b.	Additional certificates
			c.	Certified copies of officia1 records
			d.	Certified copies or correspondence
			e.	Certified copies of copyright deposits, etc.
			f.	Other certifications
	15.2.3	Determination of whether a certified docu­ment can or should be furnished
		I.	In general
		II.	What does the applicant want?
		III.	Is the applicant entitled to receive the document?
	15.2.4	Preparation and handling of certified documents
		I.	Certified documents must be prepared under Copyright Office direction and control
		II.	Need for speed and accuracy
		III.	Use in foreign proceedings
		IV.	Mailing of certified documents
Part 15.3	TYPES OF CERTIFICATIONS
	15.3.1	Additional certificates
		I.	Requests for additional certificate.
		II.	Form and contents of additional certificate.
		III.	Preparation and handling of additional certificates
	15.3.2	Certified copies of official records
	15.3.3	Certified copies of correspondence
	15.3.4	Certified copies of copyright deposits, etc.
		I.	Circumstances under which copies of deposits may be made and certified
		II.	Form and contents of certified copies of deposits (other than Patent Office deposits)
		III.	Certified copies of prints and labels deposited in the Patent Office
	15.3.5	Other certifications
Part 15.4	FEES
	15.4.1	Statutory provisions and regulations
	15.4.2	Handling of fee for photo-duplication and certification

Chapter 15. CERTIFICATES AND CERTIFICATIONS

Part 15.1 CERTIFICATES OF REGISTRATION

15.1.1

Statutory provisions.

I.

When registration has been made "the person recorded as the claimant of the copyright shall be entitled to a certificate of registration under seal of the copyright office,..." (17 U.S.C. §209)

II.

The certificate shall contain the name and address of the claimant, the citizenship of the author, the place or domicile of an alien author domiciled in the United States, the author's name "(when the records of the copyright office shall show the same)," the title, "the date of publication if the work has been reproduced in copies for sale, or publicly distributed," and "such marks as to class designation and entry number as shall fully identify the entry." A certificate of book registration shall also state the receipt of the affidavit, and "the date of the completion of the printing, or the date at publication of the book." (17 U.S.C. §209)

III.

The Register of Copyrights shall prepare a printed form for the said certificate, to be filled out in each case as above provided for in the case of all registrations made after July 1, 1909, and in the case of all previous registrations so far as the copyright office record books shall show such facts, which cer­tificate, sealed with the seal of the copyright office, shall, upon payment of the prescribed fee, be given to an, person making application for the same." (17 U.S.C. §209)

IV.

"Said certificate shall be admitted in any court as prima facie evidence of the facts stated therein." (17 U.S.C. §209)

V.

"The seal used in the copyright office on July 1, 1909, shall be the seal of the copyright office, and by it all papers issued from the copyright office requiring authentication shall be authenticated." (17 U.S.C. §206)

15.1.2.

Preparation of original certificates.

I.

As a rule, the body of the certificate is pre­pared by the applicant himself, as a duplicate of his application. This document becomes the certificate of registration when the signature of the Register of Copyrights and the seal of the Copyright Office have been affixed.

II.

It is not essential that the applicant himself prepare the body of the certificate. As long as the necessary information has been provided, the Copyright Office may prepare the certificate in appropriate cases.

15.1.3

Mailing of original certificates.

I.

As a rule, original certificates are mailed in window envelopes, to the address the applicant has indicated in the "return address" box on the certificate itself.

a.

The date the certificate is mailed is re­corded on a mailing sheet.

b.

No separate record is made or the addressee, since this information appears in the "return address" box of the application covering the same entry.

II.

It the "return address" box in the certificate to be mailed contains an insufficient address, but a complete address can be found from other sources, a special mailing envelope will be typed.

III.

If the "return address" box is blank, the cer­tificate will be mailed to the first copyright claimant listed in the body of the certificate.

Exception: if the "return address" box is blank on a renewal certificate, the certificate should be returned to the examiner for correction.

IV.

The following are special circumstances under which a certificate may be mailed:

a.

If the Office is instructed to ma1l the certificate to an address other than that given in the "return address" box, the examiner will attach a slip containing the correct mailing address to the certificate when he passes the application. This address will be recorded on the mailing sheet.

b

If the certificate is to be mailed as an enclosure to a letter, the person signing the letter shall inform the clerk in charge of mailing certificates of the date his letter is mailed, so that this can be re­corded on the mailing sheet.

c.

If an import statement is to be mailed with an ad interim certificate, this fact will be recorded on the mailing sheet. It the import statement is to be sent to an addressee other than that of the certificate, the mailing sheet should show the address to which the statement was sent.

d.

If the applicant sends postage or a stamped envelope for the return of his certificate, it should be used for that purpose.

15.1.4

Certificates returned by Post 0ffice.

I.

When a certificate is returned as undeliverable, this fact should be indicated on the mailing sheet.

II.

In certain cases, the certificate may be re­-mailed to a new address:

a.

If the certificate contains the name and address of a claimant, other than that indicated in the "ret urn address" box, it will be remailed to the new address.

b.

In certain cases, the undelivered certifi­cate may be remailed to an author or specified co-author, even if he is not a copyright claimant.

III.

If no alternate address can be found, the regis­tration number and date of return will be indicated on the mailing envelope, and both the certificate and envelope will be filed by number in a special file, to await inquiries from the applicant.

IV.

In remailing a certificate returned by the Post Office, the certificate shall be left in the original envelope and both shall be mailed in another envelope. The date of remailing should be recorded on the mailing sheet.

15.1.5

Remailing of returned certificates. When a certifi­cate that has been returned to the Copyright Office for some reason other than merely because it was un­deliverable, and is ready to be remailed, it should be referred to the examiner who will attach a slip indicating the circumstances of the case; if the certificate is to accompany a letter, the examiner will give the slip, together with the date of mailing, to the clerk in charge of mailing certificates. The following are the most usual circumstances of this type:

1)

Certificate remailed without change

2)

New certificate for same registration mailed

3)

Corrected certificate mailed

Part 15.2 CERTIFICATIONS IN GENERAL

15.2.1

Certifying officer.

I.

Statutory provision. "There shall be appointed by the Librarian of Congress a Register of Copy­rights, and one Assistant Register of Copyrights, who shall have authority during the absence of the Register of Copyrights to attach the copy­right office seal to all papers issued from the said office and to sign such certificates and other papers as may be necessary." (17 U.S.C. § 202)

II.

Certification by the Register of Copyrights. Except during his "absence," all papers bearing the seal of the Copyright Office will be issued in the name of the Register of Copyrights.

a.

As a rule, certified documents issued in his name will bear a facsimile signature of the Register, affixed along with the Copyright Office seal by a person to whom the Register has delegated this authority.

b.

Specially-drawn certifications will bear the typewritten name and title of the Register, followed by the handwritten signature and typewritten name and title of the Assistant Register of Copyrights.

1.

If the Assistant Register is not avail­able to sign such a certification, the

document will be drawn for the personal signature of the Register.

2.

If neither the Register nor the Assistant Register is available to sign such a certification, the appropriate official to whom the Register has delegated this authority will do so.

III.

"The absence or the Register"

a.

The "absence" or the Register, in this sense, refers to an indefinite or protracted period during which circumstances such as a serious illness or a special appointment to another job have actually left the position vacant. It does not refer to cases such as those where the Register is still occupying the position but is on leave or is representing the government at an international conference.

b.

The Librarian at Congress will determine whether a particular situation constitutes "the absence of the Register" and will pro­vide for the certification of documents during such a period.

15.2.2.

Nature and kinds of certified documents.

I.

Nature or a certified document. A certified document is an official paper attesting to one or more tacts, bearing the seal of the Copyright Office and issued in the name of the Register of Copyrights or other authorized certifying officer. (See topic 15.2.1.) A document that lacks either the name or the seal is not properly certified.

II.

Kinds of certified document.

a.

Original certificates. Certain certified documents are issued. as a matter or course, with no separate fee for certification.

1.

Original certificates of registration, see Part 15.1.

2.

Assignments and other recorded documents, which are returned to the sender with a

certificate of recordation.

b.

Additional certificates. Additional certi­ficates of registration are, "upon payment of the prescribed fee,...given to any person making application for the same" (17 U.S.C. §209). (See topic 15.3.1.)

1.

Additional certificates are typewritten, certified copies of the record of a registration, and have the same legal effect as the original certificate.

2.

Additional certificates are generally typed on printed forms from information taken from the official records of the Copyright Office. Sometimes an additional certificate may be a substantial duplicate of the original certificate, but this is frequently not the case because of the many changes in the size, format, or wording of the printed certificate forms over the years.

c.

Certified copies of official records. Upon payment of certification and photoduplica­tion fees, certified copies may be furnished of official records of the Copyright Office. (See topic 15.3.2)

1.

Examples of official records: entries in the record books, numbered applica­tions, indexes to registration, recorded assignments and related documents,notices of use, and notices of intention to use.

2.

The Copyright Office Regulations provide that such copies may be made "of completed records and indexes relating to a regis­tration or a recorded document ... at such times as will not result in inter­ference with or delay in the work of the Copyright Office." (37 C.F.R. § 201.2(b))

d.

Certified copies of correspondence. Upon payment of certification and photoduplication fees. certified copies may be furnished of "official correspondence, including pre­liminary applications between copyright claimants or their agents and the Copyright

Office, and directly relating to a completed registration or to a recorded. document." (37 C.F.R. §201.2(c). See topic 15.3.3.)

1.

Requests for correspondence "shall identify the specific material desired and shall contain a statement enabling the Copyright Office to determine if the writer is properly and directly con­cerned." (37 C.F.R. §201.2(d)(3))

2.

Copies may not be furnished of "corre­spondence, memoranda, reports, opinions, and similar material relating to internal matters of personnel and procedures, office administration, security matters, and internal consideration of policy and decisional matters, including the work product of an attorney." (37 C.F.R. § 201.2(c)(3))

3.

In the case of "correspondence, appli­cation forms and any accompanying material forming a part of a pending or rejected application," inspection and the making of copies are permitted only "upon presentation of written authorisa­tion of the claimant or his agent, or upon submission to the Register of Copy­rights ... of a written request which is deemed by hill to show good cause for such access and which establishes that the person making the request is one proper1y and directly concerned ," (37 C.F.R. §20l.2(c)(2))

e.

Certified copies of copyright deposits etc. Upon payment of certification and photodup­lication fees, certified copies may be furnished of copies, manuscripts, photo­graphs, drawings, and other material deposited in connection with a copyright registration. Such copies will be furnished only upon the authorization of the copyright owner or his agent, upon a court order, or when requested by an attorney in connection with actual or prospective litigation. (37 C.F.R. 1291.2(d)(2). See topic 15.3.4)

f.

Other Certifications. Upon payment of certification and any necessary search fees, the Office may furnish a certified statement attesting to any fact within its official knowledge and competence. (See topic 15.3.5)

Examples:

(1)

Certified search reports;

(2)

Certification attesting to the fact that jurisdiction over registration for commercial prints and labels was transferred to the Copyright Office in 1940;

(3)

Certification of an old office circular.

15.2.3

Determination of whether a certified document can or should be furnished.

I.

In general. In fulfilling a request for a cer­tified document, two questions must be decided:

(1)

What document does the applicant want?

(2)

Is the applicant qualified or entitled to receive this document?

In correspondence concerning these questions it is appropriate to explain the various documents available and the requirements for obtaining them, but the Office cannot offer advice as to what kind of documents may be needed in litiga­tion or for other purposes.

II.

What does the applicant want?

a.

Some letters requesting certified documents are ambiguous and cannot be taken literally.

1.

Where the meaning of the request seems clear in context, it may be appropriate to furnish the document without further correspondence; for example, a request for "a certified photostat of my certi­ficate," accompanied by a fee of $2.00, can be answered by sending an additional certificate of registration.

2.

Where the meaning of the request is not clear, the Office should write for fur­ther instructions; for example, a re­quest for "a photostat of Registration No. EU-22779" could refer equally to an additional certificate, a copy of the application, or a copy of the manuscript deposited.

b.

Where a letter requesting photostatic copies of material in the Copyright Office fails to specify whether or not the copies should be certified, the case should be carefully con­sidered on its merits.

1.

If there is nothing whatever in the case to suggest that the applicant wishes the document certified, the case may be treated as a request for photoduplication.

Example: The applicant says he has lost the only copy of his song, and wishes another.

2.

If there is any suggestion or implication in the case that certification is desired, the Copyright Office should write for further instructions before referring the material to the Photodup­lication Service. In particular, it it appears that the material is desired as evidence in connection with any sort of legal or administrative proceeding, it should not be furnished without first inquiring whether certification is desired.

c.

Many letters do not fully identify the registration for which they wish an additional certificate or other certified document.

1.

It the letter gives at least the regis­tration number and the title, the docu­ment can usually be furnished by going directly to the record book, without the need of searching in the catalogs.

2.

It the letter gives no registration num­ber, but contains other information (e.g.,

title, author, claimant, etc.) tram which the registration could be identified, the request should be forwarded to the Reference Search Section for searching. The same is true if the registration number and title (or other information given) do not coincide.

(a)

No charge is made for routine searches of this type.

(b)

If enough searching time is consumed, a search fee may be requested in appropriate cases.

3.

If the applicant's letter does not fur­nish sufficient information to permit a search, the Office should write to the applicant, requesting more information. For example, where the applicant merely requests "an additional certificate of A-74510," the Office will point out that entry numbers are repeated several times in the records, and that a title, year date, author, or other additional identi­fication is needed.

4.

The Copyright Office should not place unqualified reliance on information furnished by the applicant, since it may not always be correct. The Office should not write to the applicant indicating that it can furnish a particu­lar document until it has been determined, either by checking the record book or by searching, that the registration in question exists, and that it agrees with the facts furnished by the applicant.

III.

Is the applicant entitled to receive the document? Some certified documents can be furnished only if certain conditions or requirements have been met. (See topics 15.3.3, 15.3.4)

a.

The authority or responsibility for deter­mining whether or not the applicant is entitled to receive the document varies depending upon the type of document involved. (See topics 15.3.3.11, 15.3.4.I.c., 15.3.5)

b.

Anyone in the Copyright Office correspond­ing about certified documents of this type should be careful not to imply that they will be furnished as a matter of course, but instead should explain the conditions necessary for obtaining them.

15.2.4

Preparation and handling of certified documents.

I.

Certified documents must be prepared under Copy­right Office direction and control.

a.

In their preparation, certified documents are of two types:

1.

Documents such as additional certificates, certified search reports, etc.

2.

Photocopies of Copyright Office records, correspondence, or deposits certified by the Copyright Office.

b.

In preparing photocopies for Copyright Office certification, the Photoduplication Service

acts at the direction of the Copyright Office.

1.

The Office must furnish the material and clearly specify exactly what is to be copied.

2.

In furnishing material to the Photodup­lication Service for photocopying, the Copyright office. must clearly specify whether it is to be returned to the Office for certification.

c.

The Copyright Office will not certify any material prepared outside its control.

1.

The Office will not certify copies of works, photostats, photographs, addi­tional certificate forms, or other material sent in for this purpose, this is in accordance with the Office's general policy not to undertake compari­sons of material.

2.

Once an uncertified photocopy of Copyright Office records, correspondence, or deposits has left the Library, it cannot be returned later for certification; this is because of the possibility that the material may be altered in the interval. Exception: If the material was not certified because or an error on the part or the Copyright Office or the Pbotoduplication Service it can be re­turned for certification.

II.

Need for speed and accuracy. Many certified documents are requested for use as evidence in proceedings before court or administrative agencies.

a.

Certified documents should therefore be pre­pared without delay, and in some cases the utmost speed is necessary. It correspondence is needed, it should likewise be handled with diapatch.

b.

When the records needed to prepare a certi­fied document are in the process of being bound, a letter should be sent to the appli­cant immediately, informing him that a delay will be unavoidable.

c.

The need for accuracy is even more important than the need for speed in preparing oerti­fied documents.

1.

The facts contained in a certified docu­ment can often affect the outcome of a case in court, or can even be the turning point in the case. Any error, even a seemingly minor one, can have drastic consequences; in any case, it reflects upon the efficiency of the Office.

2.

Certified documents should not only be prepared with the utmost care and accuracy every document must also be reviewed with equal care. In reviewing a certifi­cation of material received from the Photoduplication Service, it is especially necessary to check the photocopies against the material copied, to determine whether they are complete and in the right order.

III.

Use in foreign proceedings. The Office is occasionally called upon to furnish certified docu­ments for use in litigation or other proceedings in a foreign country. Usually, the applicant wishes the certificate authenticated by the Authentication Office of the Department of State, or certified by a consular officer of the country involved, or both. While the Office will cooper­ate to some extent in facilitating the obtaining of these additional documents, it will not advance fees or provide messenger service for this purpose.

IV

Mailing of certified documents. Unless special correspondence is necessary, certi­fied documents are mailed to the applicant with a printed form letter which indicates the amount received, the fee charged, and the amount refunded. The registration numbers covered by the certified documents are indicated in the enclosures at the

bottom of this letter.

Part 15.3 TYPES OF CERTIFICATIONS

15.3.1

Additional Certificates (See topic 1.2.2.II.(b))

I.

Requests for additional certificates.

a.

Additional certificates are requested under a wide variety of names, of which the following are some of the most common:

1.

"Duplicate certificate"

2.

"Copy of record," or "certified copy of record"

3.

"Copy of registration" or "certified copy of registration"

4.

"Copy of copyright" or "certified copy of copyright"

5.

"Photostat of certificate," "certified photostat of your record" or "certified photostat of registration"

6.

"Copyright" (as in "I have lost my copy­right and would like to obtain another")

b.

Where it is clear that what the applicant wants is an official document proving the existence of a particular copyright and showing the facts appearing in the record of copyright registration, it is genera1ly safe to send him an additional certificate.

1.

This is true even when the terminology used in the request is highly ambiguous, or refers to a "photostat" or "photocopy."

2.

A certified copy of an application does not have the same evidentiary value as an additional certificate. It should not be sent unless the applicant clearly wants it, and does not want an additional certificate instead.

c.

An additional certificate is not necessarily a "duplicate" of the original certificate, since the forms used in preparing certificates have varied widely in size, format, and word­ ing over the years. However, the facts con­tained in the additional certificate are taken from the official record of the regis­tration, and are therefore presumably the same as those appearing on the original certificate.

1.

Many old certificates were issued on 3" × 5" cards, and applicants occasion­ally specify that they wish this form in requesting an additional certificate. This form has been abandoned, however, and can no longer be furnished.

2.

An additional certificate reflects only those facts appearing on the official record of that registration.

d.

When the registration for which an additional certificate is desired cannot be located:

1.

The applicant should be told that the registration cannot be found on the basis of the information he has provided. If he can furnish additional information, together with a search fee, a further search can be undertaken.

2.

If the applicant appears to own the liter­ary property in the work, it may be appropriate to suggest that registration be made, and to send instructions con­cerning registration.

e.

With respect to certificates relating to copyrights that have been renewed or are eligible for renewal:

1.

If the applicant clearly specifies that he wishes an additional certifi­cate for a particular registration number, the certificate may be furnished without calling his attention to the fact that the copyright has been renewed or is eligible for renewal. However, if the copyright is eligible for renewal and no renewal registration has been made, it may be appropriate to inform the applicant of the renewal time limits, or call the case to the atten­tion of the renewal examiners.

2.

If the applicant requests an additional certificate covering a particular work, without specifying whether he wishes a certificate of original or renewal registration, he will be informed of the alternatives available. The same is true where the applicant states that he wishes a certificate of renewal regis­tration, and several renewal registrations covering the work are found.

II.

Form and contents of additional certificates.

a.

With the exception of certificates of Patent Office print and label registrations,

all additional certificates are prepared by typing the facts of registration from the official records onto printed certificate forms.

1.

A great number and variety of forms are used, dating back to 1870.

2.

The correct form to use in a particular case depends upon the date when the registration was made.

b.

Registrations made under the law in effect before July 1, 1909 were not always accompanied by the deposit of copies; in many cases registration was made on the deposit of a title page, and the copies were deposited later. In some instances, the deposit of copies was noted on the record of registration, but in many instances this was not done.

1.

If the copies were credited on the record of registration, this fact should also be indicated on an additional certificate, together with the date of deposit.

2.

If the copies were received but not credited, no mention of the copies should be made on the additional certificate. In such cases the appli­cant should be informed that he can also obtain a "certificate of date of deposit of copies." A special form is provided for this certificate, and the regular certification fee of $3.00 is charged for it.

c.

For registration beginning in 1946, for which the combined application-certificate forms were used, the body of the original certificate was substantially identical with the body of the applications, which became the record of the entry. However, these application-certificate forms have gone through several revisions, and the present certificate forms may require some adaptation or amendment to be used as additional certificates of earlier registrations.

d.

The following practices should be followed with respect to annotations appearing on

the record of a registration:

1.

Annotations including the Letter "C" or the abbreviation. "Cert." in parentheses also appeared on the original certificate, and should be included on all additional certificates.

2.

Annotations including the letter "A" or the abbreviation "Appl." in parentheses appeared on the applica­tion only, and should not be included

on an additional certificate.

3.

Pencil annotations, initials, and similar internal markings should not be reproduced on additional certifi­cates. The same is true of renewal registration numbers.

4.

When a typewritten or "red ink" annota­tion does not contain the letters "(A)" or "(C)," or the abbreviations "Appl." or "Cert.," consideration must be given as to whether to include it on an additional certificate or not. Generally, the annotation should be included if it seems likely that it also appeared on the original certificate.

5.

In reproducing an annotation, abbrevia­tions such as "C.O." and "appl." should generally be written out. Annotations should be preceded by the statement "Copyright Office Note:", unless they can be put in the "annotation box" included on certificate forms in use since 1955.

e.

The cash number, date, and amount were not included on any certificate for an unpublished work until April J, 1950, or for a published work until July 1, 1950. Thus, additional certificates covering registra­tions made before those dates should omit

the information, and those for registrations made after those dates should include it.

f.

An additional certificate of copyright reg­istration for a print or label registered in the Patent Office before July 1, 1940 consists of a photocopy of a carbon copy of the Patent Office's certificate of registra­tion (which was bound in series as a record of the entry), together with the Copyright Office's certification of the photocopy (Certification E).

1.

Upon receiving a request for such a document, the Copyright Office will supply a photocopy at its own expense.

2.

The applicant is charged the regular fee of $2.00 for such an additional certificate.

III.

Preparation and handling of additional certificates.

a.

In preparing additional certificates, every­thing added to the printed certificate form (other than the signature of the Register) should be typewritten, whether the material on the original record is handwritten, type­ written, or stamped. This includes not only the material in the body of the certificate, but also the registration number, the cash number, date, and amount, the dates of receipt, and any annotations.

b.

Every additional certificate covering a registration made after July 1, 1909 (except Patent Office registrations) is stamped to identify it as an additional certificate.

c.

When the applicant requests the Office to issue an additional certificate at the same time it issues the original certificate, and includes a fee for this purpose:

1.

The Examiner should attach the letter of request (or a photocopy) to the original certificate, at the time he clears the case.

2.

The additional certificate should be prepared before the original is mailed.

15.3.2

Certified copies of official records (See topic 15.2.2.1.1.0)

I.

The Copyright Office will furnish a certified copy of any paper that can be regarded as an official record of the Office (see Chapter 14 and 37 C.F.R. §201.2.(b)). Such papers will ordinarily be furnished without question, as a matter of course.

II.

The following printed certification forms are provided for four common types of certified copies of official records:

a.

Certification B: documents assignments and related

b.

Certification C: Applications, including pre-1909 applications but not Patent Office applications

c.

Certification G: Patent Office applications

d.

Certification I: Notices of use

III.

Special typewritten certifications must be drawn up for other copies of official records. These certifications include:

a.

Copy of entry from Catalog of Copyright Entries

b.

Copy of card from Copyright Card Catalog

c.

Copy of notice of intention to use

d.

Photocopy of the entry in the record book

IV.

The following are special points to bear in mind:

a.

Although the form for filing a notice of

use (Form U) is similar to the application forms, it is different in effect (see Chapter 13). No registration is made, and no certificate is issued. An acknowledgment, similar to a certificate but not under seal, is sent at the time the notice of use is recorded, but there is no provision for fur­nishing an "additional acknowledgment." A certified (or uncertified) photocopy of the notice itself can be provided, however.

b.

For a period of some time after the white application-certificate forms were introduced in 1945-1946, the Office adopted the practice of itself transferring the informa­tion from the small pink or blue card appli­cations to the new white forms. The applicant's own application was retained in a special file, and the Office noted the transfer on the white application, which became the record of the entry.

1.

When the Office receives a request for a certified copy of an application in such a case, it should provide a copy of the applicant's own application, rather than the application prepared in this Office.

2.

This necessitates withdrawing the appli­cation from tile, and having it stamped

with the registration number.

c.

The Patent Office records of print and label registrations Were transferred to the Copyright Office in 1940, but it was found impossible to transfer the records of assign­ments and related documents, since they were inseparably combined with the records of

patent assignments. Thus, anyone wishing a certified copy of an assignment or related document covering a print or label regis­tered in the Patent Office before 1940 should be referred to the Patent Office.

16.3.3

Certified copies of correspondence (See topic 15.2.2.11.d.)

I.

Copies of correspondence (certified or not) can be furnished only under the following circumstances:

a.

The material to be copied must consist of "official correspondence, including preliminary applications, between copyright claimants or their agents and the Copyright Office" (37 C.F.R. §201.2(c)). Such material includes anything (other than deposit copies) that the applicant sent to the Copyright Office and that became a part of the Correspondence file-including un­registered applications and the file copies of the Office's letters to the applicant. It also includes any mailing wrappers preserved in the correspondence file, and re­turn receipts or similar material furnished by the Post Office or Western Union in connection with the correspondence. It does not include examiners' recommenda­tions, etc.

b.

The correspondence must generally relate directly to a completed registration or to a recorded document.

1.

Where a particular letter concerns more than one subject, only that part relating

directly to a registration or recordation will be copied.

2.

Correspondence dealing with a pending or rejected application will be furnished only when authorized by the claimant or his agent, or when a written request shows "good cause" for opening the file and "establishes that the person making the request is one properly and directly concerned." (37 C.F. R. § 201.2(c)(2)(ii)).

c.

Any request for copies of correspondence must contain a statement from which the Office can determine that the writer is a person "properly and directly concerned," and must identify the specific material desired (37 C.F.R. §201.2(d)(3)).

II.

The task of determining what correspondence can be copied is entrusted to the Chief of the Reference Division. He has the responsibility of determining what pieces of correspondence the applicant wishes copied and, of those, which he is entitled to have copied.

a.

Only those pieces of correspondence which are to be copied will be sent to the

Photoduplication Service.

b.

In appropriate cases the Chief of the Reference Division may consult with the Chief of the Examining Division in deter­mining the availability of certain correspondence for copying.

III.

Every certification covering correspondence must be specially drawn. If the various pieces of correspondence all relate to the same regis­tration, or group of related registrations, they may all be included under one certification, but each item copied must be separately identi­fied in the certification.

15.3.4

Certified copies of copyright deposits. etc. (See topic 15.2.2.11.e.)

I.

Circumstances under which copies of deposits may be made and certified.

a.

The Copyright Office Regulations (37 C.F.R. §201.2(d)) provide the following as the only circumstances under which the Office permit the copying of copyright deposits:

1.

When authorized in writing by the copyright owner or his designated agent;

2.

When required in connection with actual or prospective litigation in which the copyrighted work is involved, if the attorney for either side gives the following information in writing (pre­ferably on a special form provided for this purpose):

(a)

The names of the parties and the nature of the controversy,

(b)

The name of the court where the action is pending or, if the action is prospective, a full statement of the facts of the controversy;

(c)

Satisfactory assurances that the re­quested copy will be used only in connection with the specified litigation.

3.

When an order to have the copy made is issued by a court in a case where the copy is needed as evidence.

b.

In order for the Copyright Office to certify copy of a deposit, the deposit must generally be under the Jurisdiction of the Office. The Office will generally not certify a copy of a deposit that bas been transferred to the Library of Congress, even if the deposit is still physically in the Copyright Office.

1.

It may be possible for the Library to certify the copy in certain cases, if the deposit has been retained in its collections.

2.

When the Copyright Office receives a re­quest for a certified copy of a deposit that has been transferred to the Library, it will write to the applicant explain the situation, and will send the request on to the Library for whatever action is possible. The request will ordinarily be routed to the Photoduplication Service.

c.

Responsibility for determining whether a deposit can be copied in a particular case is shared by the Copyright Office and the Photoduplication Service.

1.

When a request for uncertified copies goes directly to the Photoduplication Service, which in turn requests the Office to provide the deposit for copying, no question as to authority will be raised, on the assumption that the conditions have been met to the satisfaction of the Photoduplication Service.

2.

When a request for certified copies is received in the Copyright Office, the Office will evaluate the request and correspond about it if, in the Office's opinion, it does not fulfill the condi­tions specified in the Copyright Office Regulations.

(a)

Responsibility for deciding whether the conditions have been met in a particular case rests with the Chief of the Reference Division, who may consult the General Counsel concern­ing doubtful cases.

(b)

When copies of less than an entire deposit are to be certified, it shall also be the responsibility of the Copyright Office to determine what parts of the deposit are to be copied, and to provide this information to the Photoduplication Service.

II.

Form and content of certified copies of deposits (other than Patent Office deposits).

a.

As a rule, certified copies of copyright deposits consist of one or more photocopies or photographs, accompanied by a printed certification form (Certification D).

1.

Photocopies prepared by processes other than photography are provided for most flat material. Black-and-white photo­graphs are usually provided for three­ dimensional deposits and for flat items requiring special lighting or composition for a proper reproduction. Color prints and transparencies have occasionally been furnished.

2.

A special certification must be drawn and typed if the material copied is less than the entire deposit, or if it is not the actual deposit copy (e.g., a photograph deposited in lieu of a copy).

b.

In any case where the Copyright Office is certifying a copy of a deposit, the material certified must include a copy of the page or surface bearing the registration number and date of deposit.

1.

This frequently means making an extra copy, and it is the responsibility of the Copyright Office to give the Photo­ duplication Service clear instructions on this point.

2.

Where the material is being photographed, it is permissible for the Office to type the number and date on a slip of paper which can be placed next to the object and photographed with it, thus avoiding the necessity of making another expensive photograph.

c.

When requested, it is permissible to copy and certify only certain pages or portions of a work. A special certification clearly identifying the material certified must be drawn and typed in such cases, and the material copied and certified must include the page or surface bearing the registration number and date of deposit.

d.

In Classes G, H, I, K, and KK, before August 11, 1956, photographs were sometimes deposited in addition to, or instead of, three-dimensional copies, although their legal status was unclear.

1.

Copies of these photographs may be certi­fied, but not as actual deposits; special certifications must be typed, referring to them as "deposited in connection with ..." a particular registration.

2.

Copies of these photographs are not to be provided when the applicant requests copies

of the deposit; they are supplied only when specifically requested.

e.

As of August 11, 1956 the statute (17 U.S.C. §13) and the Regulations (31 C.F.R. §202.16) permit the deposit of photographs or other identifying reproductions in lieu of copies under certain conditions (see topic 5.2.2.1.i.)

1.

In such cases a special certification, identifying the material as "photographs or identifying reproductions deposited in the Copyright Office in lieu of copies as provided by Section 13 of Title 17,

U.S. Code, . . . ," should be drawn and typed.

2.

In such cases all of the photographs or reproductions in a set should be repro­duced unless the request specified that only certain ones are to be copied.

III.

Certified copies of prints and labels deposited in the Patent Office.

a.

When the Copyright Office receives a request for a certified copy of a print or label

deposited in the Patent Office before July 1, 1940:

1.

It will add the registration number and date of receipt to one of the copies in the Patent Office file wrapper.

2.

It will have the copy photocopied.

3.

It will certify the photocopy by attach­ing a special printed form (Certifica­tion F).

b.

Ten copies of a print or label were required for a Patent Office registration. Since only two copies are needed for copyright purposes, the Office will furnish the extra copies in excess of two without charge, one at a time, if they are to be certified.

1.

A special printed form (Certification H) is provided for this purpose.

2.

If the special printed form is used, it is not necessary to add the regis­tration number and date of deposit to the copy.

15.3.5

Other certifications (See topic 15.2.2.11.f.)

Aside from certified search reports which are drawn and typed by the Reference Search Section, other certifications are generally unique and require care­ful consideration in drafting. Preparation of such certifications should be undertaken in conjunction with the Chief of the Examining Division, the General Counsel, or the Chief of the Reference Division, de­pending upon the nature of the statement or material to be certified.

Part 15.4 FEES

15.4.1

Statutory provisions and regulations.

I.

"The Register of Copyrights shall receive, and the persons to whom the services designated are

rendered shall pay, the following fees:

...

"For every additional certificate of regis­tration, $2.

"For certifying a copy of an application for registration of copyright, and for all other certifications, $3." (17 U.S.C. §215)

II.

"Requests for additional certificates of regis­tration should be sent to the Copyright Office, and the accompanying fees should be made payable to the Register of Copyrights." (37 C.F.R. § 201.2(d)(1))

15.4.2

Handling of fees for photoduplication and certifica­tion.

I.

When writing about the fees for certified photo­copies, separate remittances should be requested.

a.

If the total fee is included in a single remittance made payable to the Register of Copyrights, it is possible to have the photoduplication fee transferred to the Photoduplication Service.

b.

It is possible but preferable not to trans­fer funds from a Copyright Office deposit account to the Photoduplication Service. Before writing for a photoduplication fee, however, the Office should determine whether the applicant also maintains a deposit account in the Photoduplication Service.

c.

When there is any doubt as to the correct photoduplication fee the material should be referred to the Photoduplication Service for an estimate.

II.

Before writing for a fee for a certified photo­ copy, the Office should examine the material to be copied and estimate the photoduplication fee as accurately as possible.

a.

A current schedule of Photoduplication Service fees is available for use as an enclosure to Copyright Office letters.

b.

In quoting photoduplication fees, it should be borne in mind that the Photoduplication Service charges an additional fee for postage and handling,

but that this fee is not charged if the material is certified by the Copyright Office.

c.

In appropriate cases, the Copyright Office will obtain an estimate from the Photoduplication Service before communicating with the applicant.

III.

No charge is made for certified documents pre­pared at the request of another government agency if needed for official purposes.

IV.

In exceptional cases, where the material is needed immediately for use in court or for simi­lar purposes, it may be possible to supply certified documents before the required fee has been received. The applicant will be billed for the material in such cases.