Part 2 out of 3
and works republished with new matter added. The law provides that
derivative works, published or unpublished, are independently
copyrightable and that the copyright in such a work does not affect or
extend the protection, if any, in the underlying work. Under the 1909
law, courts have also held that the notice of copyright on a derivative
work ordinarily need not include the dates or other information
pertaining to the earlier works incorporated in it. This principle is
specifically preserved in the present copyright law. Thus, if the copy
(or the record, disk, or tape) constitutes a derivative version of the
work, these points should be kept in mind:
+ The date in the copyright notice is not necessarily an indication of
when copyright in all the material in the work will expire. Some of the
material may already be in the public domain, and some parts of the
work may expire sooner than others.
+ Even if some of the material in the derivative work is in the public
domain and free for use, this does not mean that the "new" material
added to it can be used without permission from the owner of copyright
in the derivative work. It may be necessary to compare editions to
determine what is free to use and what is not.
+ Ownership of rights in the material included in a derivative work and
in the preexisting work upon which it may be based may differ, and
permission obtained from the owners of certain parts of the work may
not authorize the use of other parts.
THE NAME IN THE COPYRIGHT NOTICE
Under the copyright statute in effect before 1978, the notice was
required to include "the name of the copyright proprietor." The present
act requires that the notice include "the name of the owner of copyright
in the work, or an abbreviation by which the name can be recognized, or a
generally known alternative designation of the owner." The name in the
notice (sometimes in combination with the other statements on the copy,
records, disk, tape, container, or label) often gives persons wishing to
use the work the information needed to identify the owner from whom
licenses or permission can be sought. In other cases, the name provides a
starting point for a search in the Copyright Office records or catalogs,
as explained at the beginning of this circular.
In the case of works published before 1978, copyright registration is
made in the name of the individual person or the entity identified as the
copyright owner in the notice. For works published on or after January 1,
1978, registration is made in the name of the person or entity owning all
the rights on the date the registration is made. This may or may not be
the name appearing in the notice. In addition to its records of copyright
registration, the Copyright Office maintains extensive records of
assignments, exclusive licenses, and other documents dealing with
*Ad interim* copyright was a special short-term copyright that applied to
certain books and periodicals in the English language that were first
manufactured and published outside the United States. It was a partial
exception to the manufacturing requirements of the previous U.S.
copyright law. Its purpose was to secure temporary U.S. protection for a
work, pending the manufacture of an edition in the United States. The ad
interim requirements changed several times over the years and were
subject to a number of exceptions and qualifications.
The manufacturing provisions of the copyright act expired on July 1,
1986, and are no longer a part of the copyright law. The transitional and
supplementary provisions of the act provide that for any work in which ad
interim copyright was subsisting or capable of being secured on December
31, 1977, copyright protection would be extended for a term compatible
with the other works in which copyright was subsisting on the effective
date of the new act. Consequently, if the work was first published on or
after July 1, 1977, and was eligible for ad interim copyright protection,
the provisions of the present copyright act will be applicable to the
protection of these works. Anyone investigating the copyright status of
an English-language book or periodical first published outside the United
States before July 1, 1977, should check carefully to determine:
+ Whether the manufacturing requirements were applicable to the work;
+ If so, whether the ad interim requirements were met.
FOR FURTHER INFORMATION
Information via the Internet: Frequently requested circulars,
announcements, regulations, other related materials, and all copyright
application forms are available via the Internet. You may access these
via the Copyright Office homepage at www.loc.gov/copyright.
Information by fax: Circulars and other information (but not application
forms) are available by Fax-on-Demand at (202)707-2600.
Information by telephone: For general information about copyright, call
the Copyright Public Information Office at (202)707-3000. The TTY number
is (202)707-6737. Information specialists are on duty from 8:30 a.m. to
5:00 p.m., eastern time, Monday through Friday, except federal holidays.
Recorded information is available 24 hours a day. Or, if you know which
application forms and circulars you want, request them from the Forms and
Publications Hotline at (202)707-9100 24 hours a day. Leave a recorded
Information by regular mail:
Library of Congress
Publications Section, LM-455
101 Independence Avenue, S.E.
Washington, D.C. 20559-6000
UNITED STATES COPYRIGHT OFFICE / THE LIBRARY OF CONGRESS
SEARCH REQUEST FORM
Library of Congress
101 Independence Avenue, S.E.
Reference & Bibliography Section
8:30 a.m. to 5 p.m., Monday through Friday, eastern time
Type of work:
_ Book _ Music _ Motion Picture _ Drama _ Sound Recording
_ Computer Program _ Photograph/Artwork _ Map _ Periodical
_ Contribution _ Architectural Work _ Mask Work
Search information you require:
_ Registration _ Renewal _ Assignment _ Address
Specifics of work to be searched:
COPYRIGHT CLAIMANT (name in c notice):
APPROXIMATE YEAR DATE OF PUBLICATION/CREATION:
REGISTRATION NUMBER (if known):
OTHER IDENTIFYING INFORMATION:
If you need more space please attach additional pages.
Estimates are based on the Copyright Office fee of $65  an hour or
fraction of an hour consumed. The more information you furnish as a basis
for the search, the better service we can provide. The time between the
date of receipt of your fee for the search and your receiving a report
will vary from 8 to 12 weeks depending on workload.
NAMES, TITLES, AND SHORT PHRASES ARE NOT COPYRIGHTABLE.
Please read Circular 22 for more information on copyright searches.
DAYTIME TELEPHONE NO. ( ) ___-____
Convey results of estimate/search by telephone
_ yes _ no
Fee enclosed? _ yes Amount $________
1 NOTE: Registration filing fees and search fees are effective through
June 30, 2002. For information on the fee changes, please write the
Copyright Office, check the Copyright Office Website at
www.loc.gov/copyright, or call (202) 707-3000.
2 "Ad interim copyright" refers to a special short term of copyright
available to certain pre-1978 books and periodicals. For further
information on ad interim copyright, see page 10.
[Federal Register: September 29, 1995 (Volume 60, Number 189)]
LIBRARY OF CONGRESS
37 CFR Parts 201 and 202
[Docket No. 95-1B]
Restoration of Certain Berne and WTO Works
AGENCY: Copyright Office, Library of Congress.
ACTION: Final regulations
SUMMARY: The Copyright Office is issuing final regulations establishing
procedures that govern the filing of Notices of Intent to Enforce
copyright (NIEs) and the registering of copyright claims to restored
works as required by the Uruguay Round Agreements Act. The Act
automatically restores copyright for certain foreign works effective
January 1, 1996. Although restoration is automatic, the copyright owner
may file a Notice of Intent to Enforce the Restored Copyright with the
Copyright Office in order to enforce rights against reliance parties.
EFFECTIVE DATE: These final regulations are effective October 1, 1995.
FOR FURTHER INFORMATION CONTACT: Marilyn J. Kretsinger, Acting General
Counsel, Copyright GC/I&R, P.O. Box 70400, Southwest Station,
Washington, D.C. 20024. Telephone: (202) 707-8380. Telefax: (202) 707-
On December 8, 1994, President Clinton signed the "Uruguay Round
Agreements Act" (URAA), Pub. L. No. 103-465, 108 Stat. 4809. The URAA
contains several significant copyright amendments. It amends the
software rental provision found in 17 U.S.C. 109(b) by eliminating the
expiration or sunset date, amends Titles 17 and 18 to create civil and
criminal remedies for "bootlegging" sound recordings of live musical
performances and music videos, and adds a new 17 U.S.C. Sec. 104A which
restores copyright in certain foreign works. The URAA also gives the
Copyright Office several responsibilities related to restoration of
A. Restoration of Copyright in Eligible Works
Under the URAA, restoration of copyright in works from countries which
are currently eligible occurs automatically on January 1, 1996. An
eligible country is a nation, other than the United States, that is a
member of the Berne Convention, 1 or a member of
the World Trade Organization, or is the subject of a presidential
proclamation declaring its eligibility.
\1\ Convention concerning the creation of an International Union
for the Protection of Literary and Artistic Works (Sept. 9, 1886,
revised in 1908, 1928, 1948, 1967, 1971), hereinafter cited as the
Works from any source country eligible under the URAA may be
subject to automatic copyright restoration. However, to be so restored,
a work must meet certain other requirements:
1. It is not in the public domain in its source country through
expiration of the term of protection;
2. It is in the public domain in the United States due to
noncompliance with formalities imposed at any time by United States
copyright law, lack of subject matter protection in the case of sound
recordings fixed before February 15, 1972, or lack of national
3. It has at least one author or rightholder who was, at the time
the work was created, a national or domiciliary of an eligible country;
4. If published, it was first published in an eligible country and
was not published in the United States during the 30-day period
following publication in such eligible country.
Notwithstanding the fact that the work meets the above
requirements, any work ever owned or administered by the Alien Property
Custodian and in which the restored copyright would be owned by a
government or instrumentality thereof, is not a restored work.
B. Effective Date of Restoration
Eligible copyrights are restored automatically on the date the
Agreement on Trade Related Aspects of Intellectual Property (TRIPs)
enters into force with respect to the United States (URAA, section
514(a)). As discussed in the Notice of Policy Decision and Public
Meeting, the Copyright Office has concluded that the effective date of
copyright restoration is January 1, 1996. 60 FR 7793 (Feb. 9, 1995).
President Clinton has confirmed that the date on which the obligations
of the TRIPs Agreement will take effect for the United States is
January 1, 1996. Proclamation No. 6780, 60 FR 15845 (Mar. 27, 1995).
II. The Copyright Office's Responsibilities
Although copyright restoration is automatic for eligible works, the
URAA charged the Office with establishing regulations to govern the
filing of Notices of Intent to Enforce (NIEs) restored copyrights and
the registering of copyright claims in restored works by no later than
October 1, 1995.
The Act also requires the Office to publish a list in the Federal
Register identifying restored works and their ownership where NIEs have
been filed with the Office. The Office must also maintain a list
containing all NIEs for inspection and copying by the public.
A. Notices of Intent To Enforce
1. Notification of Reliance Party
The URAA directs the owner of a restored work to notify reliance
parties if the owner of the rights in a restored work plans to enforce
those rights. A reliance party is typically a business or individual
who, relying on the public domain status of a work, was already using
the work prior to December 8, 1994, the date of enactment of the URAA.
2 The URAA authorizes the owner of a right in a restored work
either to provide actual notice by serving a NIE directly on a reliance
party or to provide constructive notice through the filing of a NIE
with the Copyright Office.
\2\ This is true for the great majority of works. However, for
works from any country which was not eligible under the URAA as of
December 8, 1994, reliance parties would be those using the work
before the date on which that country becomes an eligible country by
joining Berne, the WTO, or as a result of a Presidential
2. Effective Filing Date
A work whose source country is a member of the Berne Convention or
the World Trade Organization on January 1, 1996, is restored on that
date. The owner of such a work may file a NIE concerning that work
between January 1, 1996, and December 31, 1997. The Office will publish
the first listing of NIEs no later than May 1, 1996, and will publish
lists at regular four-month intervals for a period of two years
In the case of works from any source country which became eligible
for restoration under the URAA after January 1, 1996, owners of such
works may file NIEs with the Copyright Office for a two year period
starting from the date that country became eligible. The Office will
also publish a list of NIEs as detailed above, for works from any of
those countries, but the time frame for such lists will be measured
from the date a particular country becomes eligible.
3. Effect of Notice on Reliance Party
A reliance party has a twelve-month period to sell off previously
manufactured stock, to publicly perform or display the work, or to
authorize others to conduct these activities. This period begins when
the owner of a restored work notifies the reliance party that the owner
is enforcing copyright in the identified work. The date runs from
either the date of publication in the Federal Register identifying the
work or receipt of actual notice. If Notice of Intent to Enforce a
Restored Copyright is provided both by publication in the Federal
Register and service on the reliance party, the period runs from
whichever date is the earlier, the date of Federal Register publication
or service of actual notice. All reliance parties, except those who
created certain derivative works, must cease using the work at the end
of the twelve-month period unless they reach a licensing agreement with
the copyright owner for continued use of the restored work.
B. Registration of Copyright Claims in Restored Works
The second filing that the owner of a restored work may choose to
make with the Copyright Office is an application for registration of a
copyright claim. Copyright registration is voluntary; the URAA directs
the Office to have procedures for such registration, but it does not
require owners of the restored works to register. Although the owner of
a work not considered a Berne work as defined in 17 U.S.C. 101 must
obtain or seek registration for a work before he or she can bring a
copyright infringement action, the owner of rights in a Berne work does
not have to register before initiating suit. 3
\3\ It would seem that this exception would apply only to works
that meet the definition of a ``Berne Convention work'' in 17 U.S.C.
It is true that the holder of a copyright certificate of
registration may secure some procedural advantages in litigating a
copyright suit based on the effective date of registration. If
registration is made before or within 5 years of publication, it will
establish prima facie evidence in court of the validity of the
copyright and of the facts stated in the certificate; and if
registration is made within 3 months after publication of the work or
prior to an infringement of the work, statutory damages and attorney's
fees will be available to the copyright owner in court actions.
Otherwise, only an award of actual damages and profits is available to
the copyright owner.
III. The Comments
A. Comments Submitted
The Copyright Office sought public comment concerning the
implementation of the URAA both prior to and after publication of its
Notice of Proposed Rulemaking (NPRM). The Office first published a
notice inviting interested parties to submit written comments and/or to
attend a public meeting held at the Copyright Office on March 20, 1995,
to discuss issues
related to NIEs and registration of restored works. 60 FR 7793 (Feb. 9,
1995). The Office sent this notice to over ninety authors rights
organizations and industry groups, as well as 182 foreign government
agencies with copyright authority, to give them the opportunity to
respond. Approximately forty individuals attended the meeting,
including representatives from authors' rights organizations, museums,
the publishing industry, the film industry, and the computer software
industry. 4 Fifteen written comments were submitted. The Office
considered all of these views as it developed proposed procedures for
the filing of NIEs and the registering of copyright claims in restored
works. On July 10, the Office published proposed regulations in the
Federal Register. 60 FR 35522 (July 10, 1995).
\4\ A copy of all written comments and a summary of the meeting
can be found in the Public Information Office of the Copyright
Office, Room LM-401, James Madison Memorial Building, Washington,
In the Notice of Proposed Rulemaking, the Office invited interested
parties to submit written comments on the proposed regulations. The
Office received comments from the following parties: The Association of
American Publishers (AAP); Irwin Karp; Janine Lorente, for Societe des
Auteurs et Compositeurs Dramatiques (SACD); Nancy McAleer, for Thomson
& Thomson; Bill Patry; David Pierce; Linda Shaughnessy, for AP Watt
Ltd. Literary Agents; Ellen Theg, for International Television Trading
Corp.; and Richard Wincor, of Coudert Brothers.
The Office notes that some of the comments received in response to
the NPRM had already been addressed, and some called for minor
clarifications that have been made to the final regulations. Other
comments, whether raised for the first or second time, raise
substantive issues that are discussed below.
B. Issues Related to Notices of Intent To Enforce
Ms. Shaughnessy stated that since copyright restoration is to occur
automatically, the procedures for filing NIEs are exceptionally
onerous. She asserted it should be sufficient to file one NIE for all
of the titles of one author. Ms. Shaughnessy illustrated her point by
noting that she will be filing for 73 authors, but there will be
hundreds of titles involved. Comment 3. Ms. Lorente asserted that the
NIE is a formality in violation of at least the spirit of Berne and
that because reliance parties are free to continue to exploit restored
works in the United States unless a NIE is filed, an author cannot
exercise his or her rights in the restored work automatically. Comment
5, at 1.
The Copyright Office again emphasizes that the restoration of
copyright in certain foreign works considered in the public domain in
the United States creates a conflict between reliance parties' and
copyright owners' legitimate concerns. Reliance parties have invested
capital and labor in the lawful exploitation of public domain property;
the sudden restoration of copyright divests them of these investments.
Without some provision addressing this potential loss, there could be
challenges based on the ``taking'' clause of the Fifth Amendment of the
U.S. Constitution. On the other hand, it is important that the United
States restore copyright protection in certain foreign works. The
United States arguably failed to conform its law fully to the Berne
Convention in 1989 when it declined to interpret Article 18(1) on
restoration 5 as being mandatory. The U.S. Justice Department in
its review of the URAA legislation concluded that under existing
precedents interpreting the Fifth Amendment, the Notice of Intent to
Enforce the Restored Copyright avoided an unconstitutional ``taking.''
6 Thus, the Justice Department considered these provisions as
\5\ This Convention shall apply to all works which, at the
moment of its coming into force, have not yet fallen into the public
domain in the country of origin through the expiry of the term of
protection. Berne Convention art. 18(1)(Paris text).
\6\ See Memorandum from Chris Schroeder, Counsellor to the
Assistant Attorney General, Office of Legal Counsel, United States
Dept. of Justice to Ira S. Shapiro, General Counsel, USTR, on
Whether Certain Copyright Provisions in the Draft Legislation to
Implement the Uruguay Round of Multilateral Trade Negotiations Would
Constitute a Taking Under the Fifth Amendment (July 29, 1994).
We believe that such a filing is not inconsistent with the Berne
Convention because Article 18(3) 7 of the Berne Convention
specifically permits member nations to determine ``conditions'' for
applying the principles of restoration. Copyright restoration occurs
automatically; the URAA merely creates a narrow set of conditions
requiring notification to reliance parties. Moreover, the information
sought on the NIEs is calculated to assist in the voluntary licensing
of the restored work. The decision of Congress to enact these
provisions is, therefore, supported by the legitimate interests of both
reliance parties and copyright owners, by constitutional
considerations, and by Article 18(3) of the Berne Convention.
\7\ The application of this principle shall be subject to any
provisions contained in special conventions to that effect existing
or to be concluded between countries of the Union. In the absence of
such provisions, the respective countries shall determine, each in
so far as it is concerned, the conditions of application of this
principle. Berne Convention art. 18(3) (Paris text).
The Office has tried, however, to make the procedures for filing
NIEs practical, realizing that too detailed requirements would burden
the owner and that too general ones would serve neither the owner nor
the user of the restored work.
The Office also notes that the URAA makes such filings less onerous
by permitting the owner to notify all reliance parties of a restored
work by filing in one central place, the Copyright Office. Only if the
owner does not file with the Copyright Office within the appropriate
time period, as detailed above, must the owner provide actual notice to
each user of a restored work in order to enforce rights.
The Office is permitting an owner of multiple works to file one NIE
if each work is identified by title, has the same author, is owned by
the same identified copyright owner or owner of an exclusive right, and
the rights owned are the same.
2. Effective Date
Mr. Patry stated that January 1, 1995, is the initial date of
copyright restoration. Comment 2, at 1. Mr. Karp asserted that the
effective date of 104(A) is December 8, 1994, but that first
restoration of copyrights will occur on January 1, 1996. Comment 8, at
2. The Office reaffirms its recognition of January 1, 1996, as the
effective date of initial copyright restoration.
3. Minor Errors or Omissions
Ms. Lorente noted that it is often impossible for foreign authors
to know the English language title under which a work is being
exploited, especially as it is often not a literal translation. She,
therefore, asked that a NIE not be invalidated if it gives the literal
translation of the foreign title, and later it is determined that the
English language title under which the work is exploited is different
from the one given in the NIE. Comment 5, at 2.
All information on the NIE other than the original title of the
foreign work must be completed in English. The law requires that an
English translation of a foreign title be given on the NIE; it does not
specify that it be the English title under which the work was
The Copyright Office will record the NIE under the titles that are
provided; ultimately only a court can determine the validity of a NIE.
However, the Office believes that a reasonable construction of the
requirements would permit good faith discrepancies in the English
Furthermore, the URAA allows a party who has filed a NIE with the
Copyright Office to correct minor errors or omissions by further notice
at any time after the NIE is filed. The procedures and fees are the
same for filing a NIE which corrects a previously filed NIE, except
that the party making the correction should refer to previous NIE's
volume and page number in the Copyright Office Documents Records, if
known, on the corrected NIE.
4. Additional Information
The AAP asked the Office to require copyright owners to expand on
the information contained in the NIEs, such as the format on which
first the work was fixed (film, disk, etc.), contributors (editors,
publishers, or director, animator, screenwriter, cinematographer, etc.)
and for photographs, collections, etc. a description (material/
subjects, organization, and/or classification). The AAP also asked the
Office to request an e-mail address, names and addresses of any agents,
representatives, or collecting societies that can serve as licensing
authorities. The AAP suggested that the Office consider incentives such
as fee discounts, for those providing more complete information.
Comment 7, at 6-8. Ms. Theg asked that the year of creation be included
in the NIE instead of the year of publication, since she believed it to
be more consistently available. Comment 9, at 2.
The Office has incorporated some of the AAP's suggestions into the
NIE format and hopes it has struck an appropriate balance in its NIE by
requesting information helpful to reliance parties, while not burdening
the filer of the NIE with lengthy and detailed suggested information.
5. Accessible and Useful Public Record
The URAA requires the Copyright Office to publish the titles and
owners of restored works in the Federal Register. Since publication in
the Federal Register is costly and the parties indicated that such
information would not be as accessible as information made available
via the Internet, the Office is limiting the information published in
the Federal Register to what the law requires. Much of the information
contained in the NIE will be available on COPICS, the Copyright
Office's automated database of registrations and recorded copyright
transfers and other documents. These records may be accessed by the
public on terminals in the Copyright Office at the Library of Congress
and are also available via the Internet.
Since Internet access is not universal, Ms. Lorente asked that
other means of getting information about NIEs, including written
inquiries to the Copyright Office, should not be excluded. Comment 5,
at 3. The AAP stated that it would be useful if the database could be
searched in directories that listed all works restored in a particular
country of origin. Comment 7, at 11. The AAP also asked that each work/
title be given in a separate entry in the database. Comment 7, at 9.
Traditional search methods will continue to be available; NIEs may
be searched in the COPICS database under the name of the owner, the
titles it contains, as well as the names of the authors, if given.
Although the Office will not index works by country of origin in the
COPICS database or provide separate entries in the database for
multiple works listed on one NIE, each work can be easily identified
since the database is searchable by title, author, and the owner or
owner of an exclusive right.
Finally, though online access will be the primary means for
providing this information to the public, upon request the Copyright
Office staff will search the records at the rate of $20 for each hour
or fraction thereof and furnish a written report. Search requests
should be sent to the Reference and Bibliography Section, Copyright
Office, Library of Congress, Washington, D.C. 20559-6000. In addition,
individuals may come to the Office and do their own search free of
6. Filing Fee
Ms. Lorente stated that restoration of copyright should be
automatic, and without a fee, comment 5, at 3, and Ms. Shaughnessy
asked that only one fee be charged for all the works of an author.
The Office notes that all of the works involved have been
considered in the public domain in the United States. The URAA provides
that restoration of eligible works is automatic, and a NIE may be filed
directly on a reliance party. However, a notice which is effective
against all reliance parties may be filed with the Copyright Office.
The Office must examine and record that notice, issue an
acknowledgement, create a catalog entry that includes among other
things all the titles, publish the information in the Federal Register,
and maintain the online catalog of the information. The URAA gives the
Office authority to fix reasonable fees based on these costs.
The Office realizes that requiring a filing on each work of an
author will be onerous and we will permit multiple works meeting the
criteria described in our regulations to be filed on one notice for a
Ms. Lorente, Mr. Pierce and Ms. Theg all asserted that it is
essential that the Copyright Office confirm the filing of a NIE. Ms.
Lorente stated that it is very important that an author or agent have a
document providing that he or she has complied with the URAA's
provisions. See comment 5, at 2; comment 6, at 1; and comment 9, at 3.
Ms. McAleer stressed that the acknowledgement of the recording of a NIE
is an essential service because of the possibility that the NIE may be
misplaced, causing its publication in the Federal Register to be
delayed. Comment 4.
The Office will mail an acknowledgement of recordation to the filer
of a NIE, including the date of receipt, the volume and page on which
the NIE is recorded, and the anticipated date of publication in the
Federal Register. The Office will not issue a certificate of
recordation. Completed recordations will appear in the COPICS database
and the Federal Register.
Mr. Pierce asked that the Office require NIE filers, other than the
author, to reference documents of transfer by date, parties and rights
transferred, if any. He stated that this would decrease fraud and be
less burdensome than filing the agreements with the Documents Unit of
the Copyright Office. Comment 6, at 2.
While the Copyright Office agrees that such a requirement might be
useful, it cannot adopt this requirement since it is not authorized by
9. Federal Register Publication
The AAP agreed that, compared to the online database, the lists
published in the Federal Register would be of secondary importance. AAP
suggested, however, that the Federal Register entry also include the
name of the author if possible. Comment 7, at 11.
In order to minimize costs, the Office has concluded that only the
minimum information (title, name of the first owner or owner of an
exclusive right identified on the NIE), will be included in the list of
NIEs published in the Federal Register.
C. Issues Related to Registration of a Restored Work
1. Simultaneous Registration
Ms. Lorente asserted that registration is a second formality, and
asked for simultaneous filing of NIEs and registration of copyright
claims. She also argued both should be automatic and at no additional
cost. Comment 5, at 2. Ms. Theg asked that the application for
registration be modified to include the additional information
requested in the NIE so that the NIE filing requirements could be
satisfied at the time of making an application for registration.
Comment 9, at 1.
As discussed earlier, procedures permitting the copyright
registration of restored works are not formalities in violation of the
Berne Convention. Registration is entirely voluntary for Berne works
since copyright registration of restored works is not a prerequisite
for the filing of a copyright infringement action. Registration of a
claim in a work involves significant additional work and by law
requires a fee. The Office has, however, attempted to keep the
processing work and the fees to a minimum.
2. New URAA Related Registration Procedures
Mr. Pierce observed that registration, especially of motion
pictures, is often very burdensome for foreign works, because of the
difficulty in determining original publication dates and in submitting
a copy of the work as first released. He concluded that applications
will be filed for only a small percentage of the works unless the
Office considers adopting more liberal deposit requirements such as
accepting PAL, SECAM, VHS formats or written descriptions, allowing the
registration of related works with multiple publication dates on one
application, accepting approximate publication dates, and accepting a
previously submitted deposit instead of requiring a new deposit.
Comment 6, at 2. Ms. Theg asked that deposit requirements be waived
entirely. Comment 9, at 2.
On the other side, the AAP questioned the necessity for changes in
the existing registration and recordation systems. If such changes are
made, the AAP asserted that they should not create precedent for other
registration and deposit practices. The AAP also questioned the need
for procedures allowing blanket exemptions in some instances for
depositing materials, accepting descriptive materials instead of a copy
of the work, and allowing certain collections such as photos or TV
series to be given a single identifying group name or title. The AAP is
concerned that these procedures will make it difficult for reliance
parties to identify restored works and comply with the law. The AAP
asked that the Office instead deal with special situations on a case-
by-case basis. Comment 7, at 12-16.
The procedures developed for the registration of copyright claims
for restored works must both balance the needs of applicants for
copyright registration, reliance parties, the public, and the Copyright
Office and also establish a system that will be feasible
administratively and elicit necessary information. As indicated in our
final regulations, these new procedures apply only to works restored
under the URAA and NAFTA; they thus have no precedential effect on
3. Claimant for Registration
Mr. Patry noted that the applicable statutory language relating to
the filing of NIEs permits the ``owners of restored copyright or the
owner of an exclusive right therein'' to file a NIE, while the URAA
statutory language covering registration indicates that ``owners of
restored copyrights'' may apply for copyright registration. He asserted
the statute's failure to mention the owner of an exclusive right in
connection with registration means that only an author may file a
registration. Comment 2, at 1-2.
The Office agrees that the restored copyright vests initially in
the author as determined by the law of the source country of the work.
A work, however, is registered in the name of a claimant. 17 U.S.C.
409. ``Claimant'' is a term of art defined in existing Copyright Office
regulations, as either the author of a work or a person or organization
that has obtained ownership of all rights under the copyright initially
belonging to the author. 37 CFR 202.3(a)(3). Thus, an owner of only an
exclusive right would not be permitted to file an application in his or
her own name as the copyright claimant, although he or she could submit
an application. While the URAA authorizes the Office to adopt
regulations permitting owners of restored copyrights to file for
registration of the restored copyright, there is nothing in the URAA to
suggest that parties who register a restored work are any different
from those under existing copyright law and regulations. Moreover, it
seems essential to retain the concept of claimant since authors may no
longer be alive.
4. Foreign Law
The AAP stated that since URAA registrations may create legal
presumptions as to the validity of the copyright and the facts stated
on the registration certificate, the Office should question an
applicant's determination of foreign law issues. Comment 7, at 15. Mr.
Karp asserted that since foreign law questions will arise with respect
to many issues related to rights restored, including initial ownership,
the Office should accept multiple NIEs or registrations for the same
work. Comment 8, at 2.
The Copyright Office will accept such multiple, and possibly
adverse, NIEs and registrations for the same work. One of the more
difficult issues facing the Office is to what extent foreign law issues
should be raised in the registration process. Section 104A(b) of the
Act provides: ``A restored work vests initially in the author or
initial rightholder of the work as determined by the law of the source
country of the work.'' Determining the appropriate source country and
the applicable foreign law is a question that must ultimately be
resolved by a court. At most, the Office could simply question whether
or not an author was in fact the author under the law of the source
country. The applicant's answer would have to be accepted. The Office
does not, therefore, plan to question an applicant's determination of
foreign law issues.
IV. Procedures for Notices of Intent To Enforce
A Copyright Office task force has been meeting for several months
to discuss issues related to establishing regulations for URAA filings.
The Office also carefully considered the comments made at the public
meeting and those submitted by interested parties in response to the
Notice of Policy Decision and Public Meeting and the Notice of Proposed
Rulemaking. Most of the commentators supported a detailed NIE rather
than one limited to the minimal information required by the statute.
Based on those comments, the Office is requesting more information from
the filer of a NIE than required under the URAA. As provided in the
statute, this additional information will not affect the validity of
the notice. Additional information such as the identity of the author
is essential, however, for efficient and timely identification of a
specific work where enforcement of copyright is sought. The additional
information will also facilitate the licensing of uses of restored
works. Therefore, the Office urges those parties who are filing NIEs to
provide as much of this additional information as possible.
A. Format for NIEs
1. Constructive Notice
The Copyright Office will not publish NIE forms; however, a
suggested format for NIEs to be filed with the Office is included in
the Appendix below. This format is available over the Internet and can
be downloaded for use as a form. The suggested format requests
information required by the statute and optional information which is
2. Actual Notice
Those parties choosing to serve actual Notice of Intent to Enforce
a Restored Copyright on the reliance party should note that the URAA
requires additional information. Therefore, if they use the Copyright
Office's NIE format as a guide for the actual notice, it will be
incomplete unless the additional information specified is added. The
Notices of Intent to Enforce a Restored Copyright served on a
reliance party shall be signed by the owner or the owner's agent,
shall identify the restored work and the work in which the restored
work is used, if any, in detail sufficient to identify them, include
an English translation of the title, any other alternative titles
known to the owner by which the work may be identified, the use or
uses to which the owner objects, and an address and telephone number
at which the reliance party may contact the owner. If the notice is
signed by an agent, the agency relationship must have been
constituted in writing and signed by the owner before service of the
\8\ Emphasis added to show additional requirements for actual
104A(e)(2)(B) of the URAA. Actual notices may be served on a reliance
party at any time after the work is restored.
3. Who may file a Notice of Intent To Enforce?
A NIE may be filed by someone who has the authority to sign it. The
statute says that the NIE must be signed by the owner or the owner's
agent. It can also be signed by the owner of any exclusive right in the
restored copyright. As noted in the URAA and emphasized in the
certification requirement, an agent cannot sign a NIE unless the agency
relationship was constituted in writing signed by the owner before the
notice is filed. 104A(e)(1)(A)(i) of the URAA.
B. Filing Fee
The filing fee is 30 U. S. dollars 9 for a NIE covering one
work; for a NIE covering multiple works the fee is $30 for the first
work, plus one dollar for each additional work. This fee includes the
cost of an acknowledgement of recordation which will be mailed to the
filer after the Copyright Office records the NIE. The regulations
provide special instructions for payment of the filing fee, including
payment by credit card. These instructions must be followed in order to
permit processing of the fee. In addition, the filer of a NIE must
insure that sufficient funds are available for payment. Insufficient
fees could delay the effective date of notice.
\9\ All references to charges will be in terms of U.S. dollars.
For all URAA filings, both recordation of a NIE and registration of
a restored work, the Copyright Office will accept Visa and MasterCard
and American Express credit cards to facilitate payment in U.S. dollars.
Payment by credit card is, however, available only for URAA
\10\ Acceptance of credit cards for URAA filings will serve as a
test, however, by which the Office can determine at a later date the
feasibility of accepting credit cards for other registrations and
The Office requires the filer of a NIE to sign a certification
statement at the end of the document filed indicating that the
information given is correct to the best of his or her knowledge. The
URAA explicitly states that any materially false statement knowingly
made with respect to any restored copyright identified in any Notice of
Intent shall make void all claims and assertions made with respect to
such restored copyright. 104A(e)(3) of the URAA.
D. Mailing Address
Time is critical with processing NIEs, and it is, therefore,
important that URAA mail not come in with regular Copyright Office
mail. All NIEs should be mailed to: URAA/GATT, NIEs and Registrations,
P.O. Box 72400, Southwest Station, Washington, D.C. 20024, USA.
V. Procedures for Registering Copyright Claims in Restored Works
The URAA raises a number of unique considerations regarding the
registration of copyright claims in restored works. First, a number of
technical requirements, many of which are contained in the definition
of ``restored work,'' govern whether a foreign work is subject to
automatic restoration under the URAA. In many cases applicants seeking
registration will be foreign claimants who are unfamiliar with the
registration procedures in the United States Copyright Office. In
addition, communication over technical issues may be difficult.
Finally, virtually all of the restored copyrights will be older works;
and in some cases, submitting a copy or phonorecord of the work will be
The Copyright Office weighed all of these considerations before
developing a procedure for registering copyright claims in restored
works. The Office has adopted a simplified procedure, which will still
maintain the integrity of the public record and adhere to the
provisions of the existing copyright law and the URAA.
The Office will register a claim to United States copyright in any
work for which copyright protection is restored by the URAA, even if a
registration was previously made before the work entered the public
domain in this country. The Office will also register a claim for any
work previously registered where the Office originally advised the
copyright claimant that there was some doubt concerning compliance with
the formal requirements of the law.
A. Registration Forms
Because the URAA creates unique eligibility requirements, the
Copyright Office concluded that it should create two new registration
forms and a continuation page specifically designed to obtain the
information necessary for a GATT registration made under the URAA. They
are Form GATT, Form GATT/GRP and Form GATT/CON. The Form GATT covers
registration of individual restored works and restored works published
under a single series title, Form GATT/GRP covers registration of
groups of related restored works under the conditions set forth in the
regulations, and the Form GATT/CON is a page providing additional space
and may be used with either of the GATT application forms.
B. Deposit Required
In recognition of the difficulty some applicants may have in
submitting a deposit of an older work ``as first published,'' the
Office has established special deposit regulations for URAA restored
works. These regulations permit a deposit of other than the first
published edition of the work, if absolutely necessary; applicants
should keep in mind, however, that the deposit serves as a crucial part
of the public record, and it is their interest to make a complete
C. Filing Fee
The filing fee for registration is $20, since the Copyright Office
believes the work in administering the registration procedure for
restored works will be roughly comparable to general
registration procedures. In addition, the regulations contain special
group registration options which will permit the registration of:
(1) A group of works published under a single series title. Form
GATT should be used; the fee is $20 for up to a calendar year's worth
of episodes, installments, or issues published under the same single
series title; and
(2) A group of at least two, but up to ten related individual works
published within the same calendar year. Form GATT/GRP should be used,
the fee is ten dollars per individual work, that is between $20-$100
The registration regulations contain special instructions for
payment of the filing fee, including payment by credit card.
D. Mailing Address
All GATT/URAA applications for registration should be mailed to:
URAA/GATT, NIEs and Registrations, P.O. Box 72400, Southwest Station,
Washington, DC 20024, USA.
Exactly a year before the URAA was signed into law, Congress
enacted the North American Free Trade Agreement Implementation Act
(NAFTA) of December 8, 1993, adding a new section 104A to the Copyright
Code that allowed copyright restoration in certain Mexican and Canadian
works. See generally, Federal Register notices leading to the
implementation of NAFTA, 59 FR 1408 (Jan. 10, 1994); 59 FR 12162 (Mar.
16, 1994); and 59 FR 58787 (Nov. 15, 1994). Although Congress modeled
the URAA provisions on NAFTA, there are significant differences. For
example, under the URAA, copyright restoration is automatic; under
NAFTA it was not. Moreover, the URAA requires an English translation of
the title as part of the NIE, but NAFTA did not require an English
translation for NAFTA statements of intent.
In enacting these two laws, Congress intended the restoration
provisions to operate separately from one another. Therefore, works
restored under NAFTA are not additionally restored under the URAA. It
is clear that Congress intended a new section 104A enacted in the URAA,
to replace the NAFTA version of section 104A. Unfortunately, the
statutory language in the URAA creates some ambiguities. The recent
presidential proclamation clarifies some of these questions. 60 FR
15845 (Mar. 27, 1995).
The regulation governing filings under NAFTA will be amended to
reflect a reference to the public law. This change is made necessary by
the deletion of the NAFTA version of section 104A. In addition,
Secs. 201.33 and 202.12 of the Copyright Office regulations contain
provisions clarifying that works already restored under NAFTA do not
additionally fall within the provisions of the URAA.
Despite the differences in NAFTA and URAA notice filings, the
registration procedures, including deposit preferences, available for
URAA restored works are also available for those works restored under
List of Subjects
37 CFR Part 201
Cable television, Copyright, Jukeboxes, Literary works, Satellites.
37 CFR Part 202
In consideration of the foregoing, the Copyright Office amends 37
CFR parts 201 and 202 in the manner set forth below:
PART 201--GENERAL PROVISIONS
1. The authority citation for part 201 is revised to read as
Authority: 17 U.S.C. 702.
2. Section 201.31 is amended by revising the first sentence of
paragraph (a) to read as follows:
Sec. 201.31 Procedures for copyright restoration in the United States
for certain motion pictures and their contents in accordance with the
North American Free Trade Agreement.
(a) General. This section prescribes the procedures for submission
of Statements of Intent pertaining to the restoration of copyright
protection in the United States for certain motion pictures and works
embodied therein as required by the North American Free Trade Agreement
Implementation Act of December 8, 1993, Public Law No. 103-182. * * *
* * * * *
3. Section 201.33 is added to read as follows:
Sec. 201.33 Procedures for filing Notices of Intent to Enforce a
restored copyright under the Uruguay Round Agreements Act.
(a) General. This section prescribes the procedures for submission
of Notices of Intent to Enforce a Restored Copyright under the Uruguay
Round Agreements Act, as required in 17 U.S.C. 104A(a). On or before
May 1, 1996, and every four months thereafter, the Copyright Office
will publish in the Federal Register a list of works for which Notices
of Intent to Enforce have been filed. It will maintain a list of these
works. The Office will also make a more complete version of the
information contained in the Notice of Intent to Enforce available on
its automated database, which can be accessed over the Internet.
(b) Definitions--(1) NAFTA work means a work restored to copyright
on January 1, 1995, as a result of compliance with procedures contained
in the North American Free Trade Agreement Implementation Act of
December 8, 1993, Public Law No. 103-182.
(2) Reliance party means any person who--
(i) With respect to a particular work, engages in acts, before the
source country of that work becomes an eligible country under the URAA,
which would have violated 17 U.S.C. 106 if the restored work had been
subject to a copyright protection and who, after the source country
becomes an eligible country, continues to engage in such acts;
(ii) Before the source country of a particular work becomes an
eligible country, makes or acquires one or more copies of phonorecords
of that work; or
(iii) As the result of the sale or other disposition of a
derivative work, covered under the new 17 U.S.C. 104A(d)(3), or of
significant assets of a person, described in the new 17 U.S.C. 104
A(d)(3) (A) or (B), is a successor, assignee or licensee of that
(3) Restored work means an original work of authorship that--
(i) Is protected under 17 U.S.C. 104A(a);
(ii) Is not in the public domain in its source country through
expiration of term of protection;
(iii) Is in the public domain in the United States due to--
(A) Noncompliance with formalities imposed at any time by United
States copyright law, including failure of renewal, lack of proper
notice, or failure to comply with any manufacturing requirements;
(B) Lack of subject matter protection in the case of sound
recordings fixed before February 15, 1972; or
(C) Lack of national eligibility; and
(iv) Has at least one author or rightholder who was, at the time
the work was created, a national or domiciliary of an eligible country,
and if published, was first published in an eligible country and not
published in the United States during the 30-day period following
publication in such eligible country.
(4) Source country of a restored work is--
(i) A nation other than the United States; and
(ii) In the case of an unpublished work--
(A) The eligible country in which the author or rightholder is a
national or domiciliary, or, if a restored work has more than one
author or rightholder, the majority of foreign authors or rightholders
are nationals or domiciliaries of eligible countries; or
(B) If the majority of authors or rightholders are not foreign, the
nation other than the United States which has the most significant
contacts with the work; and
(iii) In the case of a published work--
(A) The eligible country in which the work is first published; or
(B) If the restored work is published on the same day in two or
more eligible countries, the eligible country which has the most
significant contacts with the work.
(c) Forms. The Copyright Office does not provide forms for Notices
of Intent to Enforce filed with the Copyright Office. It requests that
filers of such notices follow the format set out in Appendix A of this
section and give all of the information listed in paragraph (d) of this
section. Notices of Intent to Enforce must be in English, and should be
typed or printed by hand legibly in dark, preferably black, ink, on
8 1/2 by 11 inch white paper of good quality, with at least a one inch
(or three cm) margin.
(d) Requirements for Notice of Intent to Enforce a Copyright
Restored Under the Uruguay Round Agreements Act. (1) Notices of Intent
to Enforce should be sent to the following address: URAA/GATT, NIEs and
Registrations, P.O. Box 72400, Southwest Station, Washington, DC 20024,
(2) The document should be clearly designated as ``Notice of Intent
to Enforce a Copyright Restored under the Uruguay Round Agreements
(3) Notices of Intent to Enforce must include:
(i) Required information:
(A) The title of the work, or if untitled, a brief description of
(B) An English translation of the title if title is in a foreign
(C) Alternative titles if any;
(D) Name of the copyright owner of the restored work, or of an
owner of an exclusive right therein;
(E) The address and telephone number where the owner of copyright
or the exclusive right therein can be reached; and
(F) The following certification signed and dated by the owner of
copyright, or the owner of an exclusive right therein, or the owner's
I hereby certify that for each of the work(s) listed above, I am
the copyright owner, or the owner of an exclusive right, or the
owner's authorized agent, the agency relationship having been
constituted in a writing signed by the owner before the filing of
this notice, and that the information given herein is true and
correct to the best of my knowledge.
Name (printed or typed)-----------------------------------------------
As agent for (if applicable)------------------------------------------
(ii) Optional but essential information:
(A) Type of work (painting, sculpture, music, motion picture, sound
recording, book, etc.);
(B) Name of author(s);
(C) Source country;
(D) Approximate year of publication;
(E) Additional identifying information (e.g. for movies: director,
leading actors, screenwriter, animator; for photographs or books:
subject matter; for books: editor, publisher, contributors);
(F) Rights owned by the party on whose behalf the Notice of Intent
to Enforce is filed (e.g., the right to reproduce/distribute/publicly
display/publicly perform the work, or to prepare a derivative work
based on the work, etc.); and
(G) Telefax number at which owner, exclusive rights holder, or
agent thereof can be reached.
(4) Notices of Intent to Enforce may cover multiple works provided
that each work is identified by title, all the works are by the same
author, all the works are owned by the identified copyright owner or
owner of an exclusive right, and the rights owned by the party on whose
behalf the Notice of Intent is filed are the same. In the case of
Notices of Intent to Enforce covering multiple works, the notice must
separately designate for each work covered the title of the work, or if
untitled, a brief description of the work; an English translation of
the title if the title is in a foreign language; alternative titles, if
any; the type of work; the source country; the approximate year of
publication; and additional identifying information.
(5) Notices of Intent to Enforce works restored on January 1, 1996,
may be submitted to the Copyright Office on or after January 1, 1996,
through December 31, 1997.
(1) Amount. The filing fee for recording Notices of Intent to
Enforce is 30 U.S. dollars for notices covering one work. For notices
covering multiple works as described in paragraph (d)(4) of this
section, the fee is 30 U.S. dollars, plus one dollar for each
additional work covered beyond the first designated work. For example,
the fee for a Notice of Intent to Enforce covering three works would be
$32. This fee includes the cost of an acknowledgement of recordation.
(2) Method of Payment. (i) Checks, money orders, or bank drafts.
The Copyright Office will accept checks, money orders, or bank drafts
made payable to the Register of Copyrights. Remittances must be
redeemable without service or exchange fees through a United States
institution, must be payable in United States dollars, and must be
imprinted with American Banking Association routing numbers.
International money orders, and postal money orders that are negotiable
only at a post office are not acceptable. CURRENCY WILL NOT BE
(ii) Copyright Office Deposit Account. The Copyright Office
maintains a system of Deposit Accounts for the convenience of those who
frequently use its services. The system allows an individual or firm to
establish a Deposit Account in the Copyright Office and to make advance
deposits into that account. Deposit Account holders can charge
copyright fees against the balance in their accounts instead of sending
separate remittances with each request for service. For information on
Deposit Accounts please write: Copyright Office, Library of Congress,
Washington, DC 20559-6000, and request a copy of Circular 5, ``How to
Open and Maintain a Deposit Account in the Copyright Office.''
(iii) Credit cards. For URAA filings the Copyright Office will
accept VISA and MasterCard. Debit cards cannot be accepted for payment. With the NIE, a filer using a credit card must submit a separate cover
letter stating the name of the credit card, the credit card number,
the expiration date of the credit card, the total amount, and a signature
authorizing the Office to charge the fees to the account. To protect the
security of the credit card number, the filer must not write the credit
card number on the Notice of Intent to
(f) Public online access.
(1) Almost all of the information contained in the Notice of Intent
to Enforce is available online in the Copyright Office History
Documents (COHD) file through the Library of Congress electronic
information system LC MARVEL through the Internet. Except on Federal
holidays, this information may be obtained on terminals in the
Copyright Office at the Library of Congress Monday through Friday 8:30
a.m. - 5:00 p.m. U.S. Eastern Time or over the Internet Monday - Friday
6:30 a.m. - 9:30 p.m. U.S. Eastern
Time, Saturday 8:00 a.m. - 5 p.m., and Sunday 1:00 p.m. - 5:00 p.m.
(2) Alternative ways to connect through Internet are: (i) use the
Copyright Office Home Page on the World Wide Web at: http://
lcweb.loc.gov/copyright, (ii) telnet to locis.loc.gov or the numeric
address 126.96.36.199, or (iii) telnet to marvel.loc.gov, or the
numeric address 188.8.131.52 and log in as marvel, or (iv) use a
Gopher Client to connect to marvel.loc.gov.
(3) Information available online includes: the title or brief
description if untitled; an English translation of the title; the
alternative titles if any; the name of the copyright owner or owner of
an exclusive right; the author; the type of work; the date of receipt
of the NIE in the Copyright Office; the date of publication in the
Federal Register; the rights covered by the notice; and the address,
telephone and telefax number (if given) of the copyright owner.
(4) Online records of Notices of Intent to Enforce are searchable
by the title, the copyright owner or owner of an exclusive right, and
(g) NAFTA work. The copyright owner of a work restored under NAFTA
by the filing of a NAFTA Statement of Intent to Restore with the
Copyright Office prior to January 1, 1995, is not required to file a
Notice of Intent to Enforce under this regulation.
Appendix A to Sec. 201.33--Notice of Intent To Enforce a Copyright
Restored Under the Uruguay Round Agreements Act (URAA)
(If this work does not have a title, state ``No title.'') OR
Brief description of work (for untitled works only): ________
2. English translation of title (if applicable):----------------------
3. Alternative title(s) (if any):-------------------------------------
4. Type of work:------------------------------------------------------
(e.g. painting, sculpture, music, motion picture, sound recording,
5. Name of author(s):-------------------------------------------------
6. Source country:----------------------------------------------------
7. Approximate year of publication:-----------------------------------
8. Additional identifying information:--------------------------------
(e.g. for movies; director, leading actors, screenwriter, animator,
for photographs: subject matter; for books; editor, publisher,
contributors, subject matter).
9. Name of copyright owner:-------------------------------------------
(Statements may be filed in the name of the owner of the
restored copyright or the owner of an exclusive right therein.)
10. If you are not the owner of all rights, specify the rights you
(e.g. the right to reproduce/distribute publicly display/
publicly perform the work, or to prepare a derivative work based on
11. Address at which copyright owner may be contacted:
(Give the complete address, including the country and an
``attention'' line, or ``in care of'' name, if necessary.)
12. Telephone number of owner:----------------------------------------
13. Telefax number of owner:------------------------------------------
14. Certification and Signature:
I hereby certify that, for each of the work(s) listed above, I
am the copyright owner, or the owner of an exclusive right, or the
owner's authorized agent, the agency relationship having been
constituted in a writing signed by the owner before the filing of
this notice, and that the information given herein is true and
correct to the best of my knowledge.
Name (printed or typed):-----------------------------------------------
As agent for (if applicable):------------------------------------------
Note: Notices of Intent to Enforce must be in English, except
for the original title, and either typed or printed by hand legibly
in dark, preferably black, ink. They should be on 8 1/2'' by 11''
white paper of good quality, with at least a 1-inch (or 3 cm)
PART 202--REGISTRATION OF CLAIMS TO COPYRIGHT
4. The authority citation for part 202 is revised to read as
Authority: 17 U.S.C. 702.
5. A new Sec. 202.12 is added to read as follows:
Sec. 202.12 Restored copyrights.
(a) General. This section prescribes rules pertaining to the
registration of foreign copyright claims which have been restored to
copyright protection under section 104A of 17 U.S.C., as amended by the
Uruguay Round Agreements Act, Public Law 103-465.
(b) Definitions. (1) For the purposes of this section, restored
work and source country, have the definition given in the URAA and
Sec. 201.33(b) of this chapter.
(2) Descriptive statement for a work embodied solely in machine-
readable format is a separate written statement giving the title of the
work, nature of the work (for example: computer program, database,
videogame, etc.), plus a brief description of the contents or subject
matter of the work.
(c) Registration. (1) General. Application, deposit, and filing fee
for registering a copyright claim in a restored work under section
104A, as amended, may be submitted to the Copyright Office on or after
January 1, 1996. The application, filing fee, and deposit should be
sent in a single package to the following address: URAA/GATT, NIEs and
Registration, P.O. Box 72400, Southwest Station, Washington, DC 20024,
(2) GATT Forms. Application for registration for single works
restored to copyright protection under URAA should be made on Form
GATT. Application for registration for a group of works published under
a single series title and published within the same calendar year
should also be made on Form GATT. Application for a group of at least
two and up to ten individual and related works as described in
paragraph (c)(5)(ii) of this section should be made on Form GATT/GRP.
GATT/URAA forms may be obtained by writing or calling the Copyright
Office Hotline at (202) 707-9100. In addition, legible photocopies of
these forms are acceptable if reproduced on good quality, 8\1/2\ by 11
inch white paper, and printed head to head so that page two is printed
on the back of page one.
(i) Amount. The filing fee for registering a copyright claim in a
restored work is 20 U.S. dollars. The filing fee for registering a
group of multiple episodes under a series title under paragraph
(c)(5)(i) of this section is also $20. The filing fee for registering a
group of related works under paragraph (c)(5)(ii) of this section is 10
U.S. dollars per individual work.
(ii) Method of payment.
(A) Checks, money orders, or bank drafts. The Copyright Office will
accept checks, money orders, or bank drafts made payable to the
Register of Copyrights. Remittances must be redeemable without service
or exchange fees through a United States institution, must be payable
in United States dollars, and must be imprinted with American Banking
Association routing numbers. In addition, international money orders,
and postal money orders that are negotiable only at a post office are
not acceptable. CURRENCY WILL NOT BE ACCEPTED.
(B) Copyright Office Deposit Account. The Copyright Office
maintains a system of Deposit Accounts for the convenience of those who
frequently use its services. The system allows an individual or firm to
establish a Deposit Account in the Copyright Office and to make advance
deposits into that account. Deposit Account holders can charge
copyright fees against the balance in their accounts instead of sending
separate remittances with each request for service. For information on
Deposit Accounts please write: Register of Copyrights, Copyright
Office, Library of Congress, Washington, DC 20559, and request a copy
of Circular 5, ``How to Open and Maintain a Deposit Account in the
(C) Credit cards. For URAA registrations the Copyright Office will
accept VISA and MasterCards, and American Express. Debit cards cannot be
accepted for payment. With the registration
application, an applicant using a credit card must submit a separate
cover letter stating the name of the credit card, the credit card
number, the expiration date of the credit card, the total amount
authorized and a signature authorizing the Office to charge the fees to
the account. To protect the security of the credit card number, the
applicant must not write the credit card number on the registration
(i) General. The deposit for a work registered as a restored work
under the amended section 104A, except for those works listed in
paragraphs (c)(4)(ii) through (iv) of this section, should consist of
one copy or phonorecord which best represents the copyrightable content
of the restored work. In descending order of preference, the deposit
(A) The work as first published;
(B) A reprint or re-release of the work as first published;
(C) A photocopy or identical reproduction of the work as first
(D) A revised version which includes a substantial amount of the
copyrightable content of the restored work with an indication in
writing of the percentage of the restored work appearing in the
(ii) Previously registered works. No deposit is needed for works
previously registered in the Copyright Office.
(iii) Works embodied solely in machine-readable format. For works
embodied only in machine-readable formats, the deposit requirements are
(A) One machine-readable copy and a descriptive statement of the
(B) Representative excerpts of the work, such as printouts; or, if
the claim extends to audiovisual elements in the work, a videotape of
what appears on the screen.
(iv) Pictorial, graphic and sculptural works. With the exception of
3-dimensional works of art, the general deposit preferences specified
under paragraph (c)(4)(i) of this section shall govern. For 3-
dimensional works of art, the preferred deposit is one or more
photographs of the work, preferably in color.
(v) Special relief. An applicant who is unable to submit any of the
preferred deposits may seek an alternative deposit under special relief
(37 CFR 202.20(d)). In such a case, the applicant should indicate in
writing why the deposit preferences cannot be met, and submit
alternative identifying materials clearly showing some portion of the
copyrightable contents of the restored work which is the subject of
(vi) Motion pictures. If the deposit is a film print (16 or 35 mm),
the applicant should contact the Performing Arts Section of the
Examining Division for delivery instructions. The telephone number is:
(202) 707-6040; the telefax number is: (202) 707-1236.
(5) Group registration. Copyright claims in more than one restored
work may be registered as a group in the following circumstances:
(i) Single series title. Works published under a single series
title in multiple episodes, installments, or issues during the same
calendar year may be registered as a group, provided the owner of U.S.
rights is the same for all episodes, installments, or issues. The Form
GATT should be used and the number of episodes or installments should
be indicated in the title line. The filing fee for registering a group
of such works is $20. In general, the deposit requirements applicable
to restored works will be applied to the episodes or installments in a
similar fashion. In the case of a weekly or daily television series,
applicants should first contact the Performing Arts Section of the
Examining Division. The telephone number is (202) 707-6040; the telefax
number is (202) 707-1236.
(ii) Group of related works. A group of related works may be
registered on the Form GATT/GRP, provided the following conditions are
met: the author(s) is the same for all works in the group; the owner of
all United States rights is the same for all works in the group; all
works must have been published in the same calendar year; all works fit
within the same subject matter category, i.e., literary works, musical
works, motion pictures, etc.; and there are at least two and not more
than ten individual works in the group submitted. Applicants
registering a group of related works must file for registration on the
Form GATT/GRP. The filing fee for registering a group of related works
is ten dollars per individual work.
(d) Works excluded. Works which are not copyrightable subject
matter under title 17 of the U.S. Code, other than sound recordings
fixed before February 15, 1972, shall not be registered as restored
Dated: September 25, 1995.
Register of Copyrights.
James H. Billington,
The Librarian of Congress.
[FR Doc. 95-24244 Filed 9-28-95; 8:45 am]
U.S. Copyright Office, WIPO Copyright Treaty
WIPO COPYRIGHT TREATY
adopted by the Diplomatic Conference on December 20, 1996
Article 1: Relation to the Berne Convention
Article 2: Scope of Copyright Protection
Article 3: Application of Articles 2 to 6 of the Berne Convention
Article 4: Computer Programs
Article 5: Compilations of Data (Databases)
Article 6: Right of Distribution
Article 7: Right of Rental
Article 8: Right of Communication to the Public
Article 9: Duration of the Protection of Photographic Works
Article 10: Limitations and Exceptions
Article 11: Obligations concerning Technological Measures
Article 12: Obligations concerning Rights Management Information
Article 13: Application in Time
Article 14: Provisions on Enforcement of Rights
Article 15: Assembly
Article 16: International Bureau
Article 17: Eligibility for Becoming Party to the Treaty
Article 18: Rights and Obligations under the Treaty
Article 19: Signature of the Treaty
Article 20: Entry into Force of the Treaty
Article 21: Effective Date of Becoming Party to the Treaty
Article 22: No Reservation to the Treaty
Article 23: Denunciation of the Treaty
Article 24: Languages of the Treaty
Article 25: Depositary
The Contracting Parties,
Desiring to develop and maintain the protection of the rights of authors
in their literary and artistic works in a manner as effective and
uniform as possible,
Recognizing the need to introduce new international rules and clarify
the interpretation of certain existing rules in order to provide
adequate solutions to the questions raised by new economic, social,
cultural and technological developments,
Recognizing the profound impact of the development and convergence of
information and communication technologies on the creation and use of
literary and artistic works,
Emphasizing the outstanding significance of copyright protection as an
incentive for literary and artistic creation,
Recognizing the need to maintain a balance between the rights of authors
and the larger public interest, particularly education, research and
access to information, as reflected in the Berne Convention,
Have agreed as follows:
Relation to the Berne Convention
(1) This Treaty is a special agreement within the meaning of Article 20
of the Berne Convention for the Protection of Literary and Artistic
Works, as regards Contracting Parties that are countries of the Union
established by that Convention. This Treaty shall not have any
connection with treaties other than the Berne Convention, nor shall it
prejudice any rights and obligations under any other treaties.
(2) Nothing in this Treaty shall derogate from existing obligations that
Contracting Parties have to each other under the Berne Convention for
the Protection of Literary and Artistic Works.
(3) Hereinafter, "Berne Convention" shall refer to the Paris Act of July
24, 1971 of the Berne Convention for the Protection of Literary and
(4) Contracting Parties shall comply with Articles 1 to 21 and the
Appendix of the Berne Convention.
Scope of Copyright Protection
Copyright protection extends to expressions and not to ideas,
procedures, methods of operation or mathematical concepts as such.
Application of Articles 2 to 6 of the Berne Convention Contracting
Parties shall apply mutatis mutandis the provisions of Articles 2 to 6
of the Berne Convention in respect of the protection provided for in
Computer programs are protected as literary works within the meaning of
Article 2 of the Berne Convention. Such protection applies to computer
programs, whatever may be the mode or form of their expression.
Compilations of Data (Databases)
Compilations of data or other material, in any form, which by reason of
the selection or arrangement of their contents constitute intellectual
creations, are protected as such. This protection does not extend to the
data or the material itself and is without prejudice to any copyright
subsisting in the data or material contained in the compilation.
Right of Distribution
(1) Authors of literary and artistic works shall enjoy the exclusive
right of authorizing the making available to the public of the original
and copies of their works through sale or other transfer of ownership.
(2) Nothing in this Treaty shall affect the freedom of Contracting
Parties to determine the conditions, if any, under which the exhaustion
of the right in paragraph (1) applies after the first sale or other
transfer of ownership of the original or a copy of the work with the
authorization of the author.
Right of Rental
(1) Authors of:
(i) computer programs;
(ii) cinematographic works; and
(iii) works embodied in phonograms as determined in the national law of
shall enjoy the exclusive right of authorizing commercial rental to the
public of the originals or copies of their works.
(2) Paragraph (1) shall not apply:
(i) in the case of computer programs where the program itself is not the
essential object of the rental; and
(ii) in the case of cinematographic works, unless such commercial rental
has led to widespread copying of such works materially impairing the
exclusive right of reproduction.
(3) Notwithstanding the provisions of paragraph (1), a Contracting Party
that, on April 15, 1994, had and continues to have in force a system of
equitable remuneration of authors for the rental of copies of their
works embodied in phonograms may maintain that system provided that the
commercial rental of works embodied in phonograms is not giving rise to
the material impairment of the exclusive rights of reproduction of
Right of Communication to the Public
Without prejudice to the provisions of Articles 11(1)(ii), 11bis(1)(i)
and (ii), 11ter(1)(ii), 14(1)(ii) and 14bis(1) of the Berne Convention,
authors of literary and artistic works shall enjoy the exclusive right
of authorizing any communication to the public of their works, by wire
or wireless means, including the making available to the public of their
works in such a way that members of the public may access these works
from a place and at a time individually chosen by them.
Duration of the Protection of Photographic Works In respect of
photographic works, the Contracting Parties shall not apply the
provisions of Article 7(4) of the Berne Convention.
Limitations and Exceptions
(1) Contracting Parties may, in their national legislation, provide for
limitations of or exceptions to the rights granted to authors of
literary and artistic works under this Treaty in certain special cases
that do not conflict with a normal exploitation of the work and do not
unreasonably prejudice the legitimate interests of the author.
(2) Contracting Parties shall, when applying the Berne Convention,
confine any limitations of or exceptions to rights provided for therein
to certain special cases that do not conflict with a normal exploitation
of the work and do not unreasonably prejudice the legitimate interests
of the author.
Obligations concerning Technological Measures
Contracting Parties shall provide adequate legal protection and
effective legal remedies against the circumvention of effective
technological measures that are used by authors in connection with the
exercise of their rights under this Treaty or the Berne Convention and
that restrict acts, in respect of their works, which are not authorized
by the authors concerned or permitted by law.
Obligations concerning Rights Management Information
(1) Contracting Parties shall provide adequate and effective legal
remedies against any person knowingly performing any of the following
acts knowing or, with respect to civil remedies having reasonable
grounds to know, that it will induce, enable, facilitate or conceal an
infringement of any right covered by this Treaty or the Berne
(i) to remove or alter any electronic rights management information
(ii) to distribute, import for distribution, broadcast or communicate to
the public, without authority, works or copies of works knowing that
electronic rights management information has been removed or altered
(2) As used in this Article, "rights management information" means
information which identifies the work, the author of the work, the owner
of any right in the work, or information about the terms and conditions
of use of the work, and any numbers or codes that represent such
information, when any of these items of information is attached to a
copy of a work or appears in connection with the communication of a work
to the public.
Application in Time
Contracting Parties shall apply the provisions of Article 18 of the
Berne Convention to all protection provided for in this Treaty.
Provisions on Enforcement of Rights
(1) Contracting Parties undertake to adopt, in accordance with their
legal systems, the measures necessary to ensure the application of this
(2) Contracting Parties shall ensure that enforcement procedures are
available under their law so as to permit effective action against any
act of infringement of rights covered by this Treaty, including
expeditious remedies to prevent infringements and remedies which
constitute a deterrent to further infringements.
(a) The Contracting Parties shall have an Assembly.
(b) Each Contracting Party shall be represented by one delegate who may
be assisted by alternate delegates, advisors and experts.
(c) The expenses of each delegation shall be borne by the Contracting
Party that has appointed the delegation. The Assembly may ask the World
Intellectual Property Organization (hereinafter referred to as "WIPO")
to grant financial assistance to facilitate the participation of
delegations of Contracting Parties that are regarded as developing
countries in conformity with the established practice of the General
Assembly of the United Nations or that are countries in transition to a
(a) The Assembly shall deal with matters concerning the maintenance
and development of this Treaty and the application and operation of this
(b) The Assembly shall perform the function allocated to it under
Article 17(2) in respect of the admission of certain intergovernmental
organizations to become party to this Treaty.
(c) The Assembly shall decide the convocation of any diplomatic
conference for the revision of this Treaty and give the necessary
instructions to the Director General of WIPO for the preparation of such
(a) Each Contracting Party that is a State shall have one vote and
shall vote only in its own name.
(b) Any Contracting Party that is an intergovernmental organization may
participate in the vote, in place of its Member States, with a number of
votes equal to the number of its Member States which are party to this
Treaty. No such intergovernmental organization shall participate in the
vote if any one of its Member States exercises its right to vote and
(4) The Assembly shall meet in ordinary session once every two years
upon convocation by the Director General of WIPO.
(5) The Assembly shall establish its own rules of procedure, including
the convocation of extraordinary sessions, the requirements of a quorum
and, subject to the provisions of this Treaty, the required majority for
various kinds of decisions.
The International Bureau of WIPO shall perform the administrative tasks
concerning the Treaty.
Eligibility for Becoming Party to the Treaty
(1) Any Member State of WIPO may become party to this Treaty.
(2) The Assembly may decide to admit any intergovernmental organization
to become party to this Treaty which declares that it is competent in
respect of, and has its own legislation binding on all its Member States
on, matters covered by this Treaty and that it has been duly authorized,
in accordance with its internal procedures, to become party to this
(3) The European Community, having made the declaration referred to in
the preceding paragraph in the Diplomatic Conference that has adopted
this Treaty, may become party to this Treaty.
Rights and Obligations under the Treaty
Subject to any specific provisions to the contrary in this Treaty, each
Contracting Party shall enjoy all of the rights and assume all of the
obligations under this Treaty.
Signature of the Treaty
This Treaty shall be open for signature until December 31, 1997, by any
Member State of WIPO and by the European Community.
Entry into Force of the Treaty
This Treaty shall enter into force three months after 30 instruments of
ratification or accession by States have been deposited with the
Director General of WIPO.
Effective Date of Becoming Party to the Treaty
This Treaty shall bind
(i) the 30 States referred to in Article 20, from the date on which this
Treaty has entered into force;
(ii) each other State from the expiration of three months from the date
on which the State has deposited its instrument with the Director
General of WIPO;
(iii) the European Community, from the expiration of three months after
the deposit of its instrument of ratification or accession if such