Compendium II: Copyright Office Practices

CHAPTER 1900

RECORDS, INDEXES, AND DEPOSITS OF THE COPYRIGHT OFFICE;

INSPECTION, COPYING, ADDITIONAL CERTIFICATES,

AND OTHER CERTIFICATIONS

OUTLINE OF TOPICS

1901 Records of the Copyright Office; statutory provisions.

1902 Inspection of Copyright Office records and deposits in

general.

1902.01 Completed records.

1902.02 Pending applications, documents, and open

correspondence files.

1902.03 Official correspondence.

1902.04 Time and place of inspection.

1902.05 Records not open to public inspection.

1902.06 Requests by the public for information in the

in-process files.

1902.06(a) Requests not requiring payment of a fee.

Limited access to in-process files.

1902.06(b) Requests requiring payment of a fee.

1902.07 Administrative staff manuals.

1902.08 Materials not open for public inspection.

1903 Copying Copyright Office records, indexes,

correspondence, and deposits in general.

1903.01 Making copies.

1903.02 Requests for copies other than additional

certificates.

1903.03 Copies of records.

1903.04 Materials which may generally be copied.

1903.05 Materials which may generally not be copied.

1903.06 Administrative staff manuals.

[1998]

1904 Copies of deposits.

1904.01 Authorization to make copies of deposits.

1904.02 Nature of copies or phonorecords.

1905 Certificates of registration.

1905.01 Nature of the certificate.

1906 Additional certificates of registration. correspondence

file.

1906.01 Registration made on or after January 1, 1978.

1906.02 Registration made on or before December 31, 1977.

1906.03 Prints or labels registered in the Patent Office

before July 1, 1940.

1907 Certificate of recordation.

1907.01 Nature of the certificate of recordation.

1908 Certified CODV of a recorded document.

1908.01 Microfilm recordation.

1908.02 Preparation of copies of document.

1908.03 Certification of copies of recorded documents.

1909 Certification in general.

1909.01 Register's name on certification.

1909.02 Authentication of certified documents issued by the

Copyright Office.

1909.03 Omission of Register's name or Copyright Office

seal.

1909.04 Appeal from denial of certification.

1909.05 Undeliverable certifications.

1909.06 Who may authenticate documents.

[1998]

1909.07 Certifications.

1) Certification of original certificates of

registration, rejected applications, or

recordation of documents.

2) Certification of statements from the public

record.

3) Certification of a deposit in a format

different from the original.

4) Certification of other materials.

1909.08 Method of requesting certification.

1) Specific request for certification.

2) Full identification of material to be

certified.

1909.09 Preparation and handling of certifications in

general.

1909.10 Certified copies of official records.

1909.11 Certified copies of correspondence.

1909.12 Certified copies of search reports.

1909.13 Certification of copies of information circulars,

former circulars, and blank application forms.

1909.14 Certified copies of material deposited for

copyright or mask work registration.

1909.15 Jurisdictional requirement for certifying material

deposited for copyright.

1909.16 Form and content of certified copies of material

deposited for copyright or mask work registration

(other than phonorecords and Patent Office

deposits) .

1909.16(a) Copies of part or portions of a work.

1909.16(b) Copies of photographs and identifying

reproductions deposited for certain

three-dimensional works.

1910 Certification of actual deposit copy when required by

the court.

[1998]

1911 Fees in general.

1911.01 Statutory fees.

1911.02 Photoduplication Service and Motion picture,

Broadcasting, and Recorded Sound Division fees.

1911.03 Certification fees.

1912 Applicabilitv of fees to other U.S. Government agencies.

[END OF CHAPTER 1900]

[1998]

CHAPTER 1900

RECORDS, INDEXES, AND DEPOSITS OF THE COPYRIGHT OFFICE;

INSPECTION, COPYING, ADDITIONAL CERTIFICATES,

AND OTHER CERTIFICATIONS

1901 Records of the Copyright Office; statutory provisions.

The copyright code states that the Register of

Copyrights shall provide and keep records of all

deposits, registrations, recordations, and other

actions taken by the Copyright Office and shall prepare

indexes of all such records. See 17 U.S.C. 705. The

statute also provides the fee schedule for Office

services in connection with searches of the records,

and the certification of copies of records. See 17

U.S.C. 708.

1902 Inspection of Copyright Office records and deposits in

general. The public may inspect completed records and

indexes relating to a processed application for

registration--whether the claim was registered or

rejected--and may inspect copies, phonorecords, or

identifying material deposited in connection with such

applications. They may also inspect completed records

and indexes related to a recorded document. See 17

U.S.C. 705 and 37 C.F.R. 201.2 (b) (1) .

Persons who satisfy the criteria set out in the

regulations and in 1902.02 of this chapter may have

access to pending applications for registration, the

deposit material accompanying them, and documents that

have been submitted to the Office for recordation which

have not yet been recorded. See 37 C.F.R. 201.2(b) (4) .

Also see section 1902.02 below.

The public may also inspect the Office's authorization

file, which contains original copies of requests for

copies of deposits for reasons of pending or

prospective litigation, sworn statements of persons

requesting such copies; claimants' letters authorizing

deposits to be copied; and claimants' death

certificates supplied by the next of kin who request

copies of deposits. The file also contains complete

copies of the deposit requested or a brief description

of oversized copies, three dimensional works or

negatives or a copy of the tape cover and accompanying

materials for audio-visual deposits, copies of each

certification issued for a deposit, and copies of the

photo identifications of persons who have filed

requests, statements, authorizations or death

certificates. These documents are retained in the

authorization file for a period of 10 years from the

end of the calendar year in which they were filed.

Portions of this file are available for public

inspection and copying pursuant to section 1903.

[1998]

1900-2

1902 Inspection of Copyright Office records and deposits in

qenera1. (cont'd}

1902.01 Completed records. All completed records and

indexes relating to a registration or a rejection

or to a recorded document, and all articles

deposited in connection with completed

registrations or rejections and retained under the

control of the Copyright Office, are open to

public inspection. See 17 U.S.C. 705. Before

being permitted to inspect any deposit, however,

the requester must (1} show proper photo

identification, including a photograph and current

address, and (2} complete and sign a "Request for

Inspection of Copyright Deposit" (Form C-8},

indicating agreement not to copy or deface the

material to be inspected. Requesters who need to

make limited notes about the deposit copy during

the inspection may do so only on the form provided

for that purpose by the Certifications and

Documents staff. The staff will review all notes

before requesters leave the inspection area.

1902.02 Pending applications. documents. and open

correspondence files. Access will be afforded to

pending applications for registration, the deposit

material accompanying them, and pending documents

for recordation and to open correspondence files

on such materials in the following instances:

1. In the case of applications for registration,

the deposits accompanying them and

correspondence files, access will be afforded

upon the request of the copyright claimant or

an authorized representative. In exceptional

circumstances, the Register may allow

inspection of pending applications and open

correspondence files by someone other than

the copyright claimant or the claimant's

representative upon receipt of a written

request which is deemed by the Register to

show good cause for such access and

establishes that the person making the

request is properly and directly concerned.

The written request for such access should be

addressed to the General Counsel, Copyright

GC/I&R, P.O. Box 70400, Southwest Station,

Washington, D.C. 20024 or faxed to the

General Counsel at 202-707-8366.

2. Access to documents will be afforded upon the

request of one of the persons who executed

the document or an authorized representative

of that person.

[1998]

1900-3

1902 Inspection of Copyright Office records and deposits in

general. (cont'd)

1902.03 Official correspondence. Official correspondence,

including preliminary applications between

copyright claimants or their agents and the

Copyright Office, that relate directly to a

completed registration, a recorded document, a

rejected application for registration, or a

document for which recordation was refused, may be

inspected by the public. NOTE: That portion of

official correspondence that is directly related

to rejected applications for registration or

documents for which recordation was refused and

which once represented a closed case is open for

public inspection and copying. This is true even

though the once-closed case may have been later

re-opened by some subsequent action on the part of

the copyright claimant, an authorized agent

thereof, or by the Copyright Office.

1902.04 Time and place of inspection. All of the

materials open for inspection may be inspected

during the operating hours of the Copyright

Office, 8:30 a.m. to 5:00 p.m., Monday through

Friday, except legal holidays, in the

Certifications and Documents Section of the

Information and Reference Division. Some of these

materials are not stored on the premises of the

Copyright Office and access to them cannot be

assured unless arrangements are made in advance

with the Certifications and Documents Section.

Where authorized, inspection of pending

applications and documents will be permitted in

the Certification and Documents Section.

1902.05 Records not open to public inspection. The

general policy of the Copyright Office is to

prohibit access to in-process files and to any

areas where they are kept. Access to certain

information contained in Copyright Office

in-process files may be allowed under conditions

specified in section 1902.06(b) below. See 37

C.F.R. 201.2(b) (2) .In-process files are those

which the Copyright Office prepares for its own

internal use in connection with pending

applications for registration or for the

recordation of documents and which are preliminary

to the completion of the public record. These

files include the Receipt-In-Process Records,

Exception Tracking System Records, accounting

files, open unfinished business files, and other

files of a similar nature. Certain information

contained in Copyright Office in-process files may

[1998]

1900-4

1902 Inspection of Copyright Office records and deposits in

qenera1. (cont'd)

1902.05 Records not open to public inspection. (cont'd)

be obtained by anyone upon request. See section

1902.06 below. In no case, however, will access

be permitted to any financial or accounting

records without the prior approval of the Register

or the General Counsel.

1902.06 Requests by the public for information in the

in-process files.

1902.06(a) Requests not requiring payment of a fee.

Limited access to in-process files. Public

access to a limited amount of information

contained in the Copyright Office's

in-process files is permitted on a computer

terminal designated for that purpose in the

Records Maintenance Unit of the Information

and Reference Division. The in-process file

may be accessed between 8:30 a.m. and 5:00

p.m., Monday through Friday, excepting legal

holidays, upon payment of the applicable

fees. The following information is

available:

1) the title(s) of the work(s), including,

in the case of serials, volume number,

date of issue, and issue number. NOTE:

Only the first title listed in an

application or document is included;

2) the date(s) of receipt of the

application or document;

3) the class of an application for

registration;

4) the number of deposit copies, sets of

identifying material, or phonorecords

received;

5) the name of the remitter; and

6) the name of the claimant, if different

from the name of the remitter.

1902.06(b) Requests requiring payment of a fee. Certain

information contained in the Copyright Office

in-process files may be obtained by anyone

upon request and the payment of applicable

fees to the Certifications and Documents

[1998]

1900-5

1902 Inspection of Copyright Office records and deposits in

general. (cont'd)

1902.06 Requests by the public for information in the

in-process files. (cont'd)

1902.06(b) Requests requiring Payment of a fee.

(cont'd)

Section, Information and Reference Division.

The following information will be supplied in

response to each such request:

1) the date(s) of receipt of: (i) the

application(s) for registration that may

have been submitted and is (are) being

processed; (ii) the document(s) that may

have been submitted for recordation and

is (are) being processed; and (iii) the

copy (copies) or phonorecord(s) that may

have been deposited;

2) the title(s) of the work(s), including

(if a serial) the date of issue, volume

number, and issue number;

3) the name of the remitter;

4) the description or classification, if an

application for registration;

5) the number of copies or phonorecords

deposited; and

6) the name of the claimant, if different

from the name of the remitter.

7) the registration status of the claim.

8) the registration number, if any.

1902.07 Administrative staff manuals. Administrative

staff manuals, referred to as "Compendium of

Office Practices I" and "Compendium of Office

Practices II," are prepared for the general

guidance of the Copyright Office staff in making

registration and recording documents, and for the

public who avails itself of the registration and

recordation systems. These manuals are available

for public inspection in the Certifications and

Documents Section from 8:30 a.m. to 5:00 p.m.,

Monday through Friday, except legal holidays. See

37 C.F.R. 201.2(b) (7) .See also section 1903.06.

[1998]

1900-6

1902 Inspection of Copyright Office records and deposits in

general. (cont'd)

1902.08 Materials not open for public inspection. As a

general rule and subject to requirements of the

Freedom of Information Act and the Privacy Act,

the Office will not permit public inspection of

notes, internal memoranda, information relating to

facts concerning personal privacy or financial

information, trade secrets, or internal matters of

a relatively trivial nature. Similarly, material

relating to internal matters of personnel and

procedures, Office administration, security

matters or internal considerations of policy,

including the work product of an attorney, are not

open to public inspection.

1903 Copying Copyright Office records. indexes.

correspondence. and deposits in general. Copies may be

made of any public records or indexes of the Copyright

Office, including the Office's file of litigation

statements and other documents, known as (the

"authorization file") .See section 1904.01(2); see 17

U.S.C. 706(a) .Copies of applications may be made by

the requester or may be furnished by the Copyright

Office upon payment of the duplication fees. Copies

may be made of official correspondence, including

preliminary applications between copyright claimants or

their agents and the Office, and directly relating to a

completed registration, a recorded document, a rejected

application for registration, or a document for which

recordation was refused. Requests for copies of

correspondence should include the information specified

in the Copyright Office regulations. See 37 C.F.R.

201.2(c) and (d) .See also section 1903.02 below for

requirements. Copies or reproductions of materials

deposited for registration and retained under the

control of the Copyright Office will be furnished under

the conditions specified below. The copyright owner or

anyone providing a litigation statement may use a

camera or other small copying device to copy a deposit

if the copy is made in the Certifications and Documents

Section under the supervision of Copyright Office

personnel and if no electrical power, special lights,

or other equipment is required. However, only copies

made by the Copyright Office will be certified by the

Office. See 17 U.S.C. 706(b) and 37 C.F.R. 201.2(d) .

See also sections 1904 and 1906 below.

1903.01 Making copies. If the requested copies can be

made routinely on the photocopying equipment

available in the Certifications and Documents

Section, the copies will be prepared by Copyright

Office staff. If the amount of material to be

[1998]

1900-7

1903 Copying Copyright Office records, indexes,

correspondence, and deposits in general. (cont'd)

1903.01 Making copies. (cont'd)

reproduced or its complexity makes duplication by

the Certifications and Documents staff

impracticable, the copies will be made by the

Photoduplication Service of the Library of

Congress or the Motion picture, Broadcasting and

Recorded Sound Division. The current duplication

fees will be charged. See section 1911 below.

1903.02 Requests for copies other than additional

certificates. Requests for copies of records,

indexes, material from the authorization file,

correspondence, and deposits should be made to the

Certifications and Documents Section. Fees are

charged for making copies, for any searches

required to find the material, and for

certification. Failure to provide a registration

number and year date, or volume and document

number for a recorded document, may result in a

search charge to find the material. To minimize

search fees and expedite copying, the request for

copies should include the following information

when available:

1) A clear identification of the type of records

or deposits to be copied (for example copies

of deposits, correspondence, catalog entries,

etc. ) .

2) A specification of whether the copies are to

be certified or uncertified.

3) A clear identification of the specific

records to be copied including, where

possible, the type of work involved (for

example a novel, song lyrics, technical

drawing), the registration number, if any,

the year date or approximate year date of

registration or submission to the Office, the

complete title of the work, the author(s)

including any pseudonym, the claimant(s), and

if the requested copy is of an assignment,

license, contract, or other recorded

document, the volume and page number of the

recorded document.

4) The telephone number and address of the

requester.

See 37 C.F.R. 201.2(d) .

[1998]

1900-8

1903 Copying of Copyright Office records. indexes.

correspondence. and deposits in general. (cont'd)

1903.03 Copies of records. The Copyright Office will

furnish a copy of any official record upon request

and payment of the duplication fee. Official

records include completed records of

registrations, rejections, or recorded documents;

indexes; litigation statements; and catalog

entries relating to a registration or a recorded

document.

1903.04 Materials which may generally be copied. The

Copyright Office will furnish a copy of official

correspondence, including preliminary

applications, between copyright and mask work

claimants or their agents and the Office, that

directly relate to a completed registration

(however, see section 1903 above), a recorded

document, a rejected application for registration

or a document for which recordation was refused.

See 37 C.F.R. 201.2(c) (1) .

1903.05 Materials which may generally not be copied. The

Copyright Office will not make copies available o

correspondence, application forms, and any

accompanying material (including deposit material

forming part of a pending application. As a

general rule and subject to requirements of the

Freedom of Information Act and the Privacy Act,

the Office will not furnish copies of notes,

internal memoranda, information relating to facts

concerning personal privacy or financial

information, trade secret or internal matters of

relatively trivial nature. Similarly, no copies

will be furnished of material relating to internal

matters of personnel and procedures, Office

administration, security matters, or internal

consideration of policy and decisional matters,

including the work product of office attorneys.

1903.06 Administrative staff manuals. Copies of

Compendium I (1973) are available for purchase

from the National Technical Information Service

and copies of Compendium II (1984) may be

purchased from the Government Printing Office. A

Compendium II is updated, changes will be

available on-line at www.loc.gov/copyright. In

addition, requests for photocopies of the

administrative staff manuals referred to as

"Compendium of Copyright Office Practices I" and

"Compendium of Copyright Office Practices II" may

be submitted to the Certifications and Documents

Section of the Copyright Office during regular

[1998]

1900-9

1903 Copying of Copyright Office records. indexes.

correspondence. and deposits in general. (cont'd)

1903.06 Administrative staff manuals. (cont'd)

work hours, 8:30 a.m. to 5:00 p.m., Monday through

Friday, except legal holidays. A fee will be

charged for this service.

1904 Copies of deposits. Requests for copies or

phonorecords of deposited articles retained under the

continuous control of the Copyright Office should be

made to the Certifications and Documents Section.

Requests for copies of deposits that have been

transferred to the Library of Congress should be made

to the Photoduplication Service or to the custodial

division of the Library that has the copy in its

collection.

1904.01 Authorization to make copies of deposits.

Reproductions of the copies, phonorecords, or

identifying material deposited in connection with

a copyright or mask work registration or a refusal

to register a published or unpublished work, and

held in the custody of the Copyright Office will

be provided only when one of the following three

conditions have been met:

1) The Copyright Office receives written

authorization from the copyright or mask work

claimant of record or his or her designated

agent, or from the owner of any of the

exclusive rights in the copyright or mask

work whose ownership is demonstrated by

written documentation of the transfer of

ownership. If the requester appears in

person and alleges to be entitled to a

reproduction of the deposit material on one

of the foregoing bases, identification

consisting of a photo I.D. and a current

address is required along with the above-

mentioned written authorization. A copy of

the photo identification will be retained in

the authorization file. If the request is

made by telephone, the Office will ask for a

written request.

2) The Copyright Office receives a completed

Copyright Office litigation statement form

from an attorney on behalf of either the

plaintiff or defendant in connection with

litigation, actual or prospective, involving

the copyrighted work or mask work. The

following information must be included on the

completed form: (i) the names of all the

[1998]

1900-10

1904 Copies of deposits. (cont'd)

1904.01 Authorization to make copies of deposits.

(cont'd)

parties involved and the nature of the

controversy; and (ii) the name of the court

in which the actual case is pending or, in

the case of a prospective proceeding, a full

statement of the facts of the controversy in

which the work is involved; and (iii) a sworn

statement from the requester that the

reproduction is to be used in connection with

the specified litigation. In addition, the

Office will ask for photo identification from

any person filing a litigation statement, a

copy of that identification will be made part

of the file. The name of any authorized

person receiving deposit copies will be

retained in the authorization file.

3) The Copyright Office receives a court order

for a reproduction of the deposit copies,

phonorecords, or identifying material of a

work which is the subject of litigation. The

order must be issued by a court having

jurisdiction over the case in which the

reproduction is to be submitted as evidence.

1904.02 Nature of copies or phonorecords. Upon

authorization and receipt of the duplication fee,

the Copyright Office will supply a photocopy of

copies, phonorecords, or identifying material

deposited as part of a copyright or mask work

registration. When a request is made for a

reproduction of a work, such as a sound recording

embodied on an audiotape or cassette, or a work

embodied on a floppy disk, a CD-ROM or other

format in which either a sound recording or the

underlying musical, dramatic, or literary work is

embodied, the Copyright Office will provide a

reproduction when possible. The Office reserves

the right to substitute a monaural reproduction

for a stereo, quadraphonic, or any other fixation

accepted for deposit. The Office will provide the

title and the registration number of the work

along with the date of any registration that has

been made. In response to a specific request, the

Office will provide reproductions of any printed

or other visually perceptible material published

with a phonorecord. For other deposit materials,

the Office will supply uncertified copies that

depict or reproduce the deposit with varying

degrees of fidelity depending on the needs of the

requester. For example: a photocopy of a

[1998]

1900-11

1904 Copies of deposits. (cont'd)

1904.02 Nature of copies or phonorecords. (cont'd)

photograph can be supplied if such a reproduction

is suited to the requester's needs. For the

nature of certified copies, see section 1909

below.

1905 Certificates of registration. After the Register of

Copyrights determines that the material deposited for

registration constitutes copyrightable or mask work

subject matter, and that the other legal and formal

requirements of the law have been met, the Register

will register the claim and issue to the applicant a

certificate of registration under the seal of the

Copyright Office. The certificate will contain the

information given in the application, together with the

number and effective date of the registration. See 17

U.S.C. sections 410(a), 908(e) .A certificate of

renewal registration will be issued for works first

published or registered before January 1, 1978, upon

compliance with the renewal provisions of the copyright

code. See 17 U.S.C. 304(a) .Certificates returned to

the Copyright Office as undeliverable will be mailed a

second time unless they were undeliverable because the

addressee moved and left no forwarding address.

Certificates returned a second time are destroyed after

updating the Office's records to show the status of the

mailing was "undeliverable."

1905.01 Nature of the certificate. The certificate of

registration or certificate of renewal is a

digital image of the application made on a form

containing the signature of the Register of

Copyrights and the seal of the Copyright Office.

1906 Additional certificates of registration. Additional

certificates of an original or renewal registration

will be issued to anyone upon request and payment of

the fee. See 17 U.S.C. 706(a) .Additional

certificates are certified copies of the record of

registration and have the same legal effect as the

original certificate. Certified copies of additional

certificates may also be requested from the

Certifications and Documents Section upon payment of

the appropriate fee. The manner in which additional

certificates are prepared may vary, depending upon the

date of the original registration. Additional

certificates are prepared by the Certifications and

Documents Section of the Information and Reference

Division. The Copyright Office will not issue

additional certificates of cancelled registrations. It

will, however, certify a copy of the cancelled

registration in the same manner as it certifies any

[1998]

1900-12

~

1906 Additional certificates of registration. (cont'd)

.other public record. See sections 1903.03(a) above and

1909.06 below. The Office will certify copies of

applications refused registration as part of the

correspondence file.

1906.01 Registration made on or after January 1, 1978.

Additional certificates for registrations made on

or after January 1, 1978, are duplicate

facsimiles. These may be made from original

applications, from a microfilm copy or from

another imaged copy. The additional certificate

contains the signature of the current Register of

Copyrights together with the seal of the Copyright

Office. Each such additional certificate is

stamped to identify it as an additional

certificate.

1906.02 Registration made on or before December 31, 1977.

Additional certificates for registrations made on

or before December 31, 1977, consist of a

photocopy of the application that was used to make

the original registration with a pre-printed

certification statement attached. The

registration number, date of certification, and

the signature of the current Register of

.Copyrights are added to the certification

statement form, which is issued under the seal of

the Copyright Office. In cases where a photocopy

of the application cannot be used to produce an

additional certificate of registration, an

additional certificate may be made by typing the

name of the claimant, title, date of publication,

date of receipt of copy(s), and the registration

number on a pre-printed certification form. The

name of the Register of Copyrights is then added

to the form together with the seal of the

Copyright Office.

1906.03 Prints or labels registered in the Patent Office

before July 1, 1940. The Patent Office retained

carbon copies of each certificate issued by that

Office. Copies of the Patent Office records were

transferred to the Copyright Office on July 1,

1940. 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 the carbon copy of the original

certificate of registration together with the

Copyright Office's certification of the photocopy.

1907 Certificate of recordation. Upon receipt of any

.transfer of ownership or other document pertaining to a

copyright or mask work, which meets the requirements of

[1998]

1900-13

1907 Certificate of recordation. (cont'd)

the law (see 17 U.S.C. 205(a)), the Copyright Office

will record the document and return it with a

certificate of recordation. See 17 U.S.C. 205(b) .

1907.01 Nature of the certificate of recordation. The

document submitted for recordation is returned to

the sender with an attached certificate of

recordation after a preservation copy has been

made for Copyright Office records. The

certificate consists of a form containing the

signature of the Register of Copyrights, the date

of recordation, and the volume and document number

of the recorded document. The certificate also

bears the seal of the Copyright Office.

1908 Certified COPY of a recorded document. A certification

of recordation may be issued to anyone upon request and

payment of the fee(s) .See 17 U.S.C. 706(a) .The

certification consists of a copy of the document, or

relevant portions thereof, and an attached

certification form.

1908.01 Microfilm recordation. Some documents originally

recorded in the Copyright Office on microfilm

(generally before 1982) also include a microfilm

copy of the original certificate of recordation.

In such cases, the original certificate of

recordation is reproduced along with the document

and is included in the certified copy.

1908.02 Preparation of copies of document. Copies of most

documents are prepared by the Certifications and

Documents Section of the Information and Reference

Division. A fee for making the copy will be

charged. See section 1911 below. Some copies of

documents must be prepared by the Photoduplication

Service, which charges its current fees for the

service.

1908.03 Certification of copies of recorded documents.

Copies of recorded documents are certified by the

Certifications and Documents Section of the

Information and Reference Division. Certified

copies of recorded documents are furnished by

providing a photocopy of the document printed on

paper, including a photocopy of the original

certificate of recordation, if it is on record.

See sections 1908.01 and 1908.02 above. The copy

of the document is attached to a certification

form on which is included the volume and document

number where the document is recorded, the date of

certification, and the date of recordation. The

signature of the Register of Copyrights and the

[1998]

1900-14

~

1908 Certified CODY of a recorded document. (cont'd) ..

1908.03 Certification of copies of recorded documents.

(cont'd)

seal of the Copyright Office are included on the

certificate. A fee for making the copy will be

charged at the rate established by the

Photoduplication Service.

1909 Certification in general. Certification is an official

written representation of the Copyright Office

attesting to one or more facts and bearing the seal of

that Office and issued under the name and title of the

Register of Copyrights. The Office will certify only

an authorized work product produced by the Office or

official Office records.

1909.01 Register’s name on certification. The name of the

current Register of Copyrights will be used

regardless of his or her temporary absence from

the Office for reasons such as travel, illness,

etc. Only during a change in terms, when an

Acting Register has been appointed by the

Librarian of Congress, will the name of an Acting

Register be used.

1909.02 Authentication of certified documents issued by.

the Copyright Office. The Copyright Office has

adopted an official seal to authenticate its

certified documents. See 17 U.S.C. 701(b) .The

appearance of the seal has varied during different

periods of time; however, the certification

remains valid if it was correctly sealed at the

time it was made. Use of the Library of Congress

seal or any other non-official Copyright Office

seal does not result in a valid certification.

1909.03 Omission of Register’s name or Copyright Office

seal. A document lacking either the Register's

name or the Copyright Office seal is not validly

certified.

1909.04 Appeal from denial of certification. Denial of a

request for certification may be appealed in the

following order: (1) Head, Certifications and

Documents Section, (2) Chief of the Information

and Reference Division, and (3) Register of

Copyrights, who may delegate the responsibility to

the General Counselor the Assistant General

Counsel.

1909.05 Undeliverable certifications. Certifications,

.including additional certificates of registration,

returned to the Copyright Office as undeliverable,

[1998]

1900-15

1909 Certification in general. (cont'd)

1909.05 Undeliverable certifications. (cont'd)

are generally remailed one time. If returned

again, the certification is destroyed after the

CIS image status has been updated to show that the

mailing was "undeliverable," in accordance with

retention policies established by the Register of

Copyrights for those files.

1909.06 Who may authenticate documents. Documents may be

authenticated by the person or persons to whom

that authority has been delegated by the Register

of Copyrights. Documents will generally be

authenticated by the Head of the Certifications

and Documents Section or in his/her absence by the

Assistant Chief or Chief of the Information and

Reference Division. For original certificates of

registration or certificates of recordation of

documents see sections 1905.01 and 1907.01 above.

1909.07 Certifications. Certifications are made in four

different formats depending on the nature of the

material being certified.

1) Certification of original certificates of

registration. rejected applications. or

recordation of documents. For the form of

certification of original certificates of

registration see section 1905.01 above. For

the form of certification for original

certificates of recordation of documents see

section 1907.01 above.

2) Certification of statements from the public

record. A standard certification attests to

one or more facts from the public record

about a document or deposit. It bears the

name and title of the Register of Copyrights

and is signed by the head of the Office's

Certification and Documents Section, or an

authorized designee.

3) Certification of a deposit in a format

different from the original. A special

certification is required when the

reproduction is not exact, e.g. a cassette

tape is made from a phonorecord, a photograph

is made of a three-dimensional object, a copy

is reduced in size from the original deposit,

or a copy is made of only part of a larger

work (preface only of a book or five pages of

a twenty-page document) .Such a certificate

is issued under the name and title of the

[1998]

1900-16

---

1909 Certification in general. (cont'd) .

1909.07 Certifications. (cont'd)

Register of Copyrights, and is signed by the

head of the Certification and Documents

Section or an authorized designee.

4) Certification of other materials.

Specifically drawn certifications of other

materials, including apostilles,

exemplifications, and declarations will be

issued by the Office upon payment of a fee.

An apostille is an attachment to a

certification form required by some foreign

courts pursuant to the Hague Convention of

October 5, 1961. An apostille certifies,

under the seal and signature of the current

Register of Copyrights, that an attached

public document has been signed by the head

of the Copyright Office's Certifications and

Documents Section.

1909.08 Method of requesting certification.

Certifications, including certification of

additional certificates of registration, are made

by the Certifications and Documents Section of

.the Information and Reference Division, and all

requests for certification should be addressed to

that Section. The request should include the

following:

1) Specific request for certification. The

request should clearly indicate whether the

copies are to be certified. Where the

request is unclear whether the copies are to

be certified or not, the Copyright Office

will ask for further instructions.

2) Full identification of material to be

certified. The request should fully identify

the material to be certified. See section

1903.02 above. Failure to identify

adequately the material may necessitate an

inquiry by the Office for further information

or may result in a search fee to locate the

material.

1909.09 Preparation and handling of certifications in

general. All Copyright Office certifications must

be prepared under the direction and control of the

Copyright Office. See section 1903 above. When

.preparing copies for Office certification, the

Photoduplication Service or Motion Picture,

Broadcasting and Recorded Sound Division acts at

[1998]

1900-17

1909 Certification in general. (cont'd)

1909.09 Preparation and handling of certifications in

general. (cont'd)

the direction of the Copyright Office. When

material is submitted to those offices for

copying, the Copyright Office will observe the

following procedures:

1) Furnish the materials to be copied, identify

the exact material to be copied, and specify

the copying process to be used; and,

2) Indicate that the material is being prepared

for certification and that it should be

returned to the Copyright Office for that

purpose.

1909.10 Certified copies of official records. Upon

payment of the certification and duplication fees,

certified copies of official records of the

Copyright Office may be furnished. Examples of

official records include: entries in the

registration record books, numbered applications,

indexes to registration and recorded transfers and

other documents pertaining to a copyright or mask

work. The certified copies furnished by the

Office will be accompanied by the appropriate

certification form. See section 1909.07 above.

1909.11 Certified copies of correspondence. Upon payment

of the certification and duplication fees, the

Copyright Office will certify copies of any

correspondence which is permitted to be copied.

See section 1903.04 above. 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 in one

certification, but each item must be separately

identified in the certification.

1909.12 Certified copies of search reports. Search

reports prepared by the Copyright Office will be

certified on letterhead stationery available for

that purpose. The search report is certified

under the seal of the Register of Copyrights and

is usually signed also by the Head of the

Reference and Bibliography Section or in his or

her absence it may be signed by the Assistant

Chief or Chief of the Information and Reference

Division.

[1998]

1900-18

---

1909 Certification in general. (cont'd) .

1909.13 Certification of copies of information circulars,

former circulars, and blank application forms.

The Copyright Office will certify copies of

information circulars and blank application forms

currently or formerly issued as official

publications of the Office. Certifications are

made by the Certifications and Documents Section,

under the seal of the Register of Copyrights and

signed by the Head of the Certifications and

Documents Section or in his or her absence by the

Assistant Chief or Chief of the Information and

Reference Division.

1909.14 Certified copies of material deposited for

copyright or mask work registration. When the

Copyright Office has retained continuous control

of deposits (see section 1904 above) and it is

authorized to make copies {see section 1904.01

above), certified copies or phonorecords may be

furnished of materials deposited for copyright or

mask work registration, {whether registration is

made or refused), upon receipt of the

certification and duplication fees. The Office

will not certify copies found in the collections

.of the Library of Congress. Only the Library of

Congress can make such certifications.

NOTE: The practice of the Copyright Office

regarding the retention under its control of

materials deposited for copyright has varied at

different times. Therefore, not all materials

deposited for copyright registration are available

for copying or certification.

1909.15 Jurisdictional requirement for certifying material

deposited for copyright. The Copyright Office

will certify a copy of material deposited in

connection with a claim to copyright or a mask

work only if such material has remained

continuously under the control of the Copyright

Office. Copies of such materials made part of the

Library of Congress' collections will only be

certified by the Photoduplication Service or the

Motion Picture, Broadcast, and Recorded Sound

Division. When such deposit materials are loaned

for exhibit purposes to the Library of Congress

Exhibits Office, the Copyright Office asks that

these items be returned, and the Office insists

that they not be altered in any way and that they

..not be available for public handling. In these

cases the material is considered to have remained

under the control of the Office and therefore can

[1998]

1900-19

1909 Certification in general. (cont'd)

1909.15 Jurisdictional requirement for certifying material

deposited for copyright. (cont'd)

be certified while it is on exhibit and after it

is returned to the Office. The Office will not

certify any other material returned to it from the

Library of Congress.

The Copyright Office will not certify any material

added to a deposit after registration has been

completed, except where the additional material is

added as an addendum to the original registration.

The Copyright Office will certify only those

copies which have been made by it or at its

request. It will not certify copies of deposit

material made by copyright or mask work owners or

litigants, even if those copies are made under the

supervision of the Office. See section 1903

above.

1909.16 Form .9:nd content of certified copies of material

deposited for copyright or mask work registration

(other than phonorecords and Patent Office

deposits) .The Copyright Office will provide the

best possible reproduction(s) of deposited

material, depending on the nature of the material

and the need of the requester. Photocopies are

provided for most flat material. As a general

rule, the Office certifies a copy of the entire

deposit retained by the Office. The material

certified must include a copy of the page or

surface bearing the registration number and date

of deposit, if any.

1909.16(a) Copies of part or portions of a work. When a

request is received to copy and certify only

a part or portion of a work, a special

certification clearly identifying the

material certified must be drawn and typed.

In such cases, the material copied and

certified must include the page or surface

bearing the registration number and date of

deposit, and also the page or surface bearing

the notice of copyright, if any.

1909.16(b) Copies of photographs and identifying

reproductions deposited for certain

three-dimensional works. To certify copies

of photographs or reproductions deposited in

lieu of three-dimensional or over-size

copies, a certification must be prepared

which identifies the "certified copies" as

[1998]

1900-20

~

1909 Certification in general. (cont'd) .

1909.16 Form and content of certified copies of material

deposited for copyright or mask work registration

(other than phonorecords and Patent Office

deposits) .(cont'd)

1909.16(b) Copies of photographs and identifying

reproductions deposited for certain

three-dimensional works. (cont'd)

copies of photographs or identifying material

deposited in lieu of copies. In such cases

all of the photographs or reproductions in a

set should be reproduced, unless the request

specifies that only certain ones are to be

copied. In all cases, however, the material

copied and certified should include the page

or surface bearing the registration number

and date of receipt of the deposit, if any,

and also the page or surface showing the

notice of copyright, if any. For some

pre-1956 registrations where both

three-dimensional copies and photographs may

be available, the Copyright Office will

certify the photographs, unless the applicant

specifically requests certification of the

.three-dimensional copies.

1910 Certification of actual deposit CODY when required by

the court. When required by a court, the Copyright

Office will certify the actual copy, phonorecord, or

identifying material used to make the registration, or

to refuse registration, provided that the copy,

phonorecord, or identifying material has been under the

continuous control of the Copyright Office. The actual

deposit material will be made available only upon the

condition that it will be promptly returned to the

custody of the Copyright Office. A certificate is

drawn to show that the copy, phonorecord, or

identifying material is the copy, phonorecord, or

identifying material used to make or to refuse the

registration. If the deposit material has been

transferred to the Library of Congress's collections,

the Office will not certify that copy, phonorecord, or

identifying material.

1911 Fees in general. Fees are charged for the various

services provided by the Copyright Office, the

Photoduplication Service, or the Motion picture,

Broadcasting, and Recorded Sound Division.

1911.01 Statutory fees. Fees are charged for certain

.services as set forth in section 708 of the

Copyright Act and section 908(d) of the

[1998]

1900-21

1911 Fees in general. (cont'd)

1911.01 Statutory fees. (cont'd)

Semiconductor Chip Protection Act of 1984. They

are payable to the Register of Copyrights.

Fees are charged:

1) For issuance of an additional certificate of

registration;

2) For issuance of any other certification;

3) For making a search or any related service;

and

4) For a special service, at a rate fixed by the

Register.

1911.02 Photoduplication Service and Motion Picture

 and Recorded-Sound Division fees.

Fees for the making of copies by these units are

established by them and are payable to the Library

of Congress at the copying rate then in effect for

their services.

1911.03 Certification fees. The check for preparing a

certification should be made payable to "the

Register of Copyrights," regardless of which

Library service unit is preparing the

certification.

1912 Applicability of fees to other U.S. Government

agencies. Section 708(b) of the Copyright Act provides

that all fees prescribed by the Act are applicable to

the United States Government and any of its agencies,

employees, or officers, but that the Register of

Copyrights has discretion to waive these requirements

in occasional or isolated cases involving relatively

small amounts.

[END OF CHAPTER 1900]

[1998]