Compendium of US Copyright Office Practices (1973)/Chapter 5

Published works. The law provides that "After copyright has been secured by publication or the work with the notice at copyright ......, there shall be promptly deposited,", ..... (17 U.S.O. § 13) Concerning ad interim and waiver-of-fee deposits see topic 5.1.5.

5.1.3

Premature deposits.

I.

When copies of a work otherwise acceptable for registration are deposited before the date of publication, and the Office is informed that publication will be made in the near future, the Office will hold the copies

pending the receipt (after publication) of the application and fee.

Example.: Two copies of a book ready for publication are deposited by a publisher shortly before the announced date of publication.

II.

When book material is received in manuscript or other unpublished form, the copy or copies are usually returned to the applicant. If there is some question as to the copyright ability of the work, the Office will retain one copy tor the tile. Id advised that publication in the form submitted will be made in the near future and the copies will be acceptable for registration after publication, the Office will retain both copies.

5.1.4

Delayed deposits.

I.

The Office will accept deposits for full-term registration at any time during the copyright term at 28 years after first publication.

a.

A deposit made after the expiration or the 28-rear term will not be accepted for registration (except for foreign works specially qualified for later registration under an applicable extension proclamation).

5.1.5

Ad Interim and waiver-of-fee deposits.

I.

A deposit for ad interim registration must be received within six months after the book or periodical was first published abroad. (17 U.S.C. § 22) Registration for foreign works under the waiver-of-fee provision is likewise conditional upon deposit of two copies (with application and catalog card) within six months following publication abroad. (17 U.S.C. § 215)

a.

The six-months' period expires on the same day or the month as the date of first publication. Thus, if publication occurred on January 15, the period runs through July 15.

b.

If the six-months' period ends on a non-working day (Saturday, Sunday or a holiday), receipt or the deposit in the Library or Congress or the Copyright office on the next working day (Monday or the day after the holiday) will be on time. (17 U.S.C. § 216)

Part 5.2 ARTICLES TO BE DEPOSITED

5.2.1

Unpublished works.

I.

Unpublished works cannot be registered in Classes A, B, F, H, or K, and the registration of unpublished works in other classes is optional with the

claimant.

II.

The following deposits are required for the registration of unpublished works:

a.

Class C, D, or E: one complete copy (which may be a photostat).

b.

Class G or I: one copy, photograph or other identifying reproduction.

c.

Class J: one photographic print.

d.

Class L: a title and description, with one print taken from each scene or act.

e.

Class M: a title and description, with at least two prints taken from different sections of the complete motion picture.

5.2.2

Published works.

I.

The following deposits are required for the registration of published works:

a.

In general, two complete copies of the best edition then published.

b.

For a work by a foreign or stateless author published abroad: either (1) one complete copy of the best edition so published, if the fee is paid, or (2) two such copies if a catalog card is submitted in lieu of the fee. (But see topic 5.3.1 as to "best edition.")

c.

U.S. citizens or domicilaries are required to deposit two copies of their works first published abroad except works subject to ad interim copyright.

d.

For a work to be registered ad interim: If by an American author or domiciliary one complete copy of the foreign edition. If by a foreign or stateless author, same as in item (b).

e.

For special registration of an article in a multi-volume encyclopedia: two copies of the volume containing the article.

f.

For special registration of a contribution to a periodical other than a commercial print a one complete copy of the issue containing the contribution.

g.

For a commercial print published in a periodical: two copies of the periodical, one copy or the periodical and one tear sheet, or two tear sheets.

h.

In exceptional oases, where the applicant states that it is impossible to obtain a copy or copied or the work, photostat or microfilm copies will be accepted. Reprints will be accepted only where the applicant states that it is impossible to secure copies or to make copies of the original edition. In such cases, the Office will annotate its records (the application and certificate) to show the nature of the copies deposited.

i.

For any published work in Class G, H, I, or K that is impracticable of deposit or unsuited to Copyright Office filing procedures because or its weight, size, fragility or monetary value, photographs or other identifying reproductions may be depoesited in lieu of copies. (17 U.S.C. § 13)

1.

The word "photographs" in this connection includes photostats and other photographic methods of reproduction. The Office will encourage the filing of photographs in most cases falling within the

four specified classes. The Examining Division will write in appropriate cases requesting that the optional form of deposit be considered, but it applicant insists upon depositing copies, registration will be made, and his future deposits of actual copies will not be questioned.

2.

The term "filing procedures" is to be construed as referring to the ordinary procedure of filing materials on bookshelves or in filing cabinets. It should not be contused with the storage procedures in the stacks utilized tor bulky objects.

3.

Exceptions to optional deposits:

(i)

Where the work involved is a fine print or two-dimensional art reproduction

(ii)

Where the Library of Congress determines that the actual work is needed for its collections or for exchange purposes (e.g. anatomical models)

(iii)

Works which the Copyright Office cannot adequately examine from photographs

(iv)

Two-dimensional works which are not impracticable of deposit because of their size, weight, fragility, or monetary value (e.g., textiles)

4.

Two sets of photographs or reproductions will be required whenever two copies of the work would ordinarily be deposited, and each set must be complete and identical.

5.

All photographs and reproductions of any one work shall be of equal size and must not be smaller than 5 × 7 inches or larger than 9 × 12 inches in dimension. The preferred size is 8 × 10 inches. Each photograph or reproduction, regardless of size, shall present the work in an image that is lifesize or larger; or, if smaller than lifesize, the image must be at least 4 inches in one of its dimensions.

6.

At least one corresponding photograph or reproduction in each set must show or bear an indication on the front or back thereof of the exact measurement of one dimension

of the work.

7.

The copyright notice and its position on the work must be clearly visible on at least one corresponding photograph or reproduction in each set. In those cases where it is difficult or impossible to obtain a photograph properly showing the notice, the applicant may include in each set a drawing of the form of the notice showing it. exact appearance, its dimensions, and its specific position on the work. Such drawing shall be of the dimension as the submitted photographs.

8.

Each photograph reproduction must contain the title of the work either on the front or back thereof.

9.

Whore the required dimension or title is omitted from the photograph but appears on the application, it may be added by the examiner, with an appropriate annotation.

j.

For a published motion picture (Class L or M) the Office requests, in addition to the required copies, a description which may consist of a synopsis, press book, oontinuited or other identifying matter.

5.2.3

Multiple registrations.

I.

Where two or more applications are submitted for separate component works within a composite or other larger work, or for the composite or other larger work as a whole and separate component works therein, the npp1icant· will not be required to deposit more than two copies of the complete work (or one copy where this satisfies the statutory requirement).

Examples:

(1)

A telephone directory in one volume, Class A applications for separate registration of the alphabetical (white) section and the classified (yellow) section

(2)

A book or six musical compositions with seven Class E applications. one for the book as a whole and six for the individual compositions

II.

The necessity tor depositing copies with each application to be avoided only when the several applications are submitted at the same time and all the works tall within the same class.

Exception: In cases where a bilingual work is registered at the same time on Form A-B Ad Interim and Form A-B Foreign, only one copy (or two under the waiver-of-fee provisions) will be required.

Examples.

(1)

A book of text and illustrations, with Class A application for text and Class K application for illustrations: four copies required.

(2)

Separate application for an individual musical composition in a collection, submitted after registration for the song book as a whole had been completed: two additional copies required.

III.

Where the applicant requests our advice concerning the number of copies to be deposited in cases of multiple registrations, the Office will suggest deposit of two copies (or one where appropriate) for each application, as a matter of caution.

Part 5.3 QUALITY AND CONTENT OF COPIES

5.3.1

Best Edition.

I.

General requirement. The deposit copies must be "of the best edition thereof then published, ..." (17 U.S.C. § 13). If the copies themselves, or other information at our disposal at the time of registration, indicate that the work is simultaneously published in two or more editions of different quality, we will generally require that the deposit copies be of the best edition.

Examples:

(1)

A deluxe limited edition of a book rather than the regular trade edition.

(2)

A cloth-bound trade edition of the book rather than a paper-bound "pocket" edition.

(3)

An illustrated edition of a book rather than an unillustrated one.

(4)

A printed edition rather than a mimeographed one.

II.

Presumption as to best edition. Where we have no reason to believe otherwise, we will assume that the deposit copies are of the best edition. Thus, mimeographed or typewritten copies will generally be accepted without question, unless we have reason to believe that the work has been published in a better edition. The Examining Division will not write for copies of the best edition after registration is made where, on the basis of the usual examination, it would not have been aware of the fact that a better edition had been published.

III.

Where we are aware of a better edition.

a.

Where two or more editions of different quality are published simultaneously, or where the best edition is published first, we will require deposit of copies of the best edition. The facts given in the application (and affidavit, where required) shall refer to the edition deposited.

b.

In the case or a foreign work, registration may be made on the basis of the copies received, and a request for copies of the best edition may be sent later.

c.

Where the Copyright Office has information that prior to the date on which the application is filed two or more editions of the same work but of different physical quality have been published at different times, and the best edition is not the first published edition, we will request submission of copies of both the first published edition and of the best edition.

1.

The facts given on the application (and affidavit, where required) shall refer to the first published edition.

2.

The copies will be compared generally to determine that they are substantially identical as to copyright notice and literary, musical, or artistic content.

3.

It the copies are substantially identical as to copyrightable matter, both sets will be referred to the Library for selection. One set will be selected for retention and the other set will be returned following registration.

4.

If the copies differ as to notice or copyrightable matter, the case will be dealt with on its own merits.

Examples:

(1)

The first published copies bear an inadequate notice; the claim will be rejected.

(2)

The best edition contains new copyrightable matter; registration for both editions will be required.

IV.

Where copies are not of published edition.

a.

When the character of the copies received or other information suggests that they are not copies of a published edition, the Office may question whether the work has been published in a better edition, or has been published at all.

Examples:

(1)

Proof copies or unbound copies of a printed book.

(2)

Printed pages with handwritten inserts.

(3)

A map consisting of parts pasted together.

(4)

Photographs of a print (with Class K application).

(5)

Photostats of a commercial label.

b.

But if the applicant states that the work was published in the questioned form, the copies in that form will generally be accepted, unless we are informed of a better edition.

c.

Publication of the work ordinarily will not be questioned simply because the copies are type written or handmade, unless there are other circumstances indicating that the work has not been published.

d.

Copies of a book consisting of page proof, if the applicant states that the work was published in that form, are acceptable even though the material is intended for later republication in periodicals as a number of separate items or as a serial.

5.3.2

Complete copies.

I.

The copies deposited must be "complete copies" (17 U.S.C. §§ 12, 13, 22)

II.

In general, copies of an entire work as published must be deposited. (See topic 5.2.2., I)

Examples of copies not acceptable because not complete:

(1)

A book with missing pages

(2)

Illustrations cut out of a book

(3)

One song taken out of a songbook

(4)

A contribution Clipped from a periodical or from an encyclopedia

(5)

One volume of a single two-volume work

(6)

Reprints of individual maps published in an atlas

(7)

One earring

III.

Where a copyrightable work is a part of a larger work which includes separate parts which are not copyrightable, deposit of the uncopyrightable portions is not required.

Example:

(1)

A game consisting of a copyrightable board and directions, and uncopyrightable game rack and pieces

IV.

An unpublished manuscript (Class C, D, or E) which is sufficiently developed to be used for delivery or performance, is acceptable as a complete copy even though there is some indication that additional material may later be added.

5.3.3

Defective copies.

I.

The copies deposited should be free from substantial defects such as blank pages, overprinted pages, torn or mutilated pages, broken pieces of jewelry, etc. Where the defect is found during the course or ordinary examination of the copies, registration will be withheld and a perfect copy will be requested.

II.

Where the defect is not one that would normally have been found in the course of ordinary examination, but is discovered within six months after registration, the Copyright Office will write requesting a new copy. If the defect is discovered after six months, the case will be returned to the Library to be handled by the Department concerned.

a.

In such cases the detective copy will be held in the U.S. envelope, but no follow-up letter will be sent. If no reply is received in 30 days, the Service Division will return the imperfect copy with a carbon copy of the Copyright Office letter, to the Library.

b.

In such cases it is not necessary to offer to return the defective copy to the applicant. However, the copy should be returned if the applicant requests it, even if it has been accessionod.

c.

In such cases the application will not be annotated, and the registration number will not be stamped on the new copy.

5.3.4

Works first published in the United States.

I.

Works first published in the United States. The deposit copies of a work of a U. S. citizen or domiciliary, (except a work subject to the ad interim provisions), or the deposit copies of a work first published in the United States, must bear an appropriate notice of copyrights (As to appropriate notice, see Chapter 4; as to publication, see Chapter 3.)

a.

If such copies do not bear an appropriate notice, the application will be rejected.

1.

But if there is reason to doubt that the work has been published, the Office may advise the applicant as to publication and the appropriate notice to use if not yet published.

b.

The notice in the deposit copies must be such as presumably appeared in all copies of the published edition. The Office may question, for example, a handwritten notice in the deposit copies of a printed book or a type written notice on a contribution to a printed periodical.

1.

But it will be assumed that a handwritten or typewritten notice on the deposit copies

appeared on all published copies wherever that assumption is plausible; for example, on a mimeographed work or on any work of which only a few copies were published.

II.

Works first published abroad. (See topic 8.2.1)

a.

With the exception of works seeking ad interim registration, the copies of works deposited for registration following publication abroad after June 18, 1959 must bear a notice of copyright in the required form and position.

b.

For works by foreign authors published abroad before June 18, 1959, the deposit copies may be accepted even if they do not bear an adequate copyright notice but a warning letter will be sent in such cases.

III.

Unpublished works. The deposit copies of unpublished works need not bear a copyright notice. If an unpublished work bears a notice which would be faulty if used on the work when published, the work may be registered but we will send a cautionary letter.

5.3.5

Domestic manufacture. The deposit copies of a work subject to the manufacturing clause must have been produced in the United States; and the deposit copies of a book subject to the manufacturing clause must be accompanied by an appropriate affidavit of their domestic production. (17 U.S.C. §§ 16 and 17; see also Chapter 6.)

5.3.6

Identity between deposit copies.

I.

Where the law requires deposit of two copies of a work, these copies should be identical.

a.

Examples of unacceptable deposits

(1)

Two pieces of jewelry, identical except for their gems; one contains emeralds and the other rubies

(2)

Two textile swatches, one containing a design in red and green, the other containing the same design in gray and blue

(3)

Two textile swatches showing different stretches of the repetitive pattern

(4)

Two labels, identical except for the product name; one for Dri-Dup Prunes and the other for C-D Raisins

(5)

A tear sheet of periodical advertisement and a proof copy or the same advertisement

(6)

Two copies of a telephone book, the contents of which are identical but which are bound in different covers because they are distributed in different localites.

II.

Exceptions to the requirement for identity between the copies are recognized only when the

circumstances are unusual or the differences are as minor as to be negligible.

Part 5.4 FAILURE TO DEPOSIT

5.4.1

Statute. If the required copies are not "promptly deposited" after the work has been published with notice, "the Register of Copyrights may at any time after the publication of the work, upon actual notice, require the proprieter of the copyright to deposit them ...." (17 U.S.C § 14)

I.

The statute will be deemed to authorize the Register to require the submission of an application and and fee for registration as well as the deposit of copies. The request for compliance will ask for all three.

II.

Even where all three elementes oopy, application and fee have been received: compliance action may be undertaken to require correction of an existing informality in the application preventing immediate registration.

III.

If the claimant refuses to comply with requests or ignores several letters, the Office will

then consider in each case whether to make a formal demand for compliance and what further action to take.

5.4.2

Exceptions.

I.

Foreign works protected under the Universal Copyright Convention and first published abroad with the copyright notice specified in sec. 9(c) of the statute are exempt from the deposit, demand, and compliance

provisions.

II.

It is not the practice of the Compliance Section to initiate compliance action with respect to

any foreign publications.

III.

Generally unless the works upon examination seem clearly registrable, including correct notice of copyright, the Complianoe Section will not initiate compliance action.

Compendium of US Copyright Office Practices (1973)/Chapter 5

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