Termination of transfers and licenses granted by the author on or after January 1, 1978.
Chapter 1600
RECORDATION OF TRANSFERS AND OTHER DOCUMENTS PERTAINING TO A COPYRIGHT
1601
Applicability of this chapter. This chapter contains the requirements for the recordation of transfers and other documents pertaining to a copyright under 17 U.S.C. 205, and the termination of transfers and licenses granted by the author covering the extended renewal term under 17 U.S.C. 304(c). The practices concerning the filing or recordation of the following documents are not included either in this chapter or elsewhere in Compendium II, and requirements other than those in this chapter may apply.
1)
Notices of Identity and Signal Carriage Complement, and Statement of Account of cable systems. See 17 U.S.C. 111(d) and 37 C.F.R. 201.11 and 201.17.
2)
Certain contracts entered into by cable systems located outside of the 48 contiguous States. See 17 U.S.C. 111(e) and 37 C.F.R. 201.12.
3)
Original, signed notices of intention to obtain compulsory license to make and distribute phonorecords of nondramatic musical works. See 17 U.S.C. 115(b) and 37 C.F.R. 201.18.
4)
License agreements, and terms and rates of royalty payments, voluntarily negotiated between one or more
public broadcasting entities and certain owners of copyright. See 17 U.S.C. 118 and 37 C.F.R. 201.9.
5)
Notification of filing and determination of actions. See 17 U.S.C. 508 and Federal Register for June 2, 1978, 43 Fed. Reg. 24151 (1978), as modified in Federal Register for June 19, 1980, 45 Fed. Reg. 41548.
6)
Statements regarding the identity of authors of anonymous and pseudonymous works, and statements relating to the death of authors. See 17 U.S.C. 302.
1602
Statutory provisions relating to transfers and other documents pertaining to a copyright. The following are the principal statutory prov1sions relating to transfers and other documents pertaining to a copy right.
1602.01
Execution of transfers of copyright ownership. A transfer of copyright ownership, other than by operation of law, is not valid unless an instrument of conveyance, or a note or memorandum of the transfer, is in writing and signed by the owner of the rights conveyed or such owner's duly authorized agent. 17 U.S.C. 204.
1602.02
Recordation of transfers and other documents: conditions for recordation. Any transfer of copyright
ownership or other document pertaining to a copyright may be recorded in the Copyright Office if the document filed for recordation bears the actual signature of the person who executed it, or if it is accompanied by a sworn or official certification that it is a true copy of the original, signed document. 17 U.S.C. 205(a).
1603
Copyright Office policy. The Copyright Office will generally not attempt to judge the legal sufficiency or interpret the substantive contents of a purported transfer: recordation will be made if the formal requirements have been met. However, a document will be examined to determine whether the requirements for recordation have been met.
1603.01
General rule. If the document purports to be a transfer of a copyright and is signed by the owner of the rights conveyed, the owner's authorized agent, or one entitled to make the transfer, it will be indexed as a "transfer."
1603.02
Exceptions. In exceptional cases, where it seems clear that the recordation of a document will not
accomplish what was intended by the person who submitted it, the Copyright Office will in the first instance communicate with that person. If such person reasserts his or her request for recordation, the Copyright Office will record the document.
1603.03
Other documents pertaining to a copyright. Any other document, including a self-serving declaration, will be recorded in the Copyright Office, if it pertains to a copyright. A document shall be considered to "pertain to a copyright" if it has a direct or indirect relationship to the existence, scope, duration, or identification of a copyright, or to the ownership, division, allocation, licensing, transfer, or exercise of rights under a copyright. That relationship may be past, present, future, or potential. See 37 C.F.R. 201.4.
1603.04
Recordation not required. In general, the Copyright Office does not require the recordation of documents. However, in certain cases, recordation of an affidavit or other document may be required as a condition of renewal registration or of annotation of completed Copyright Office records.
Example:
Where a renewal claim is submitted by an author whose name appears nowhere in the Copyright Office records in connection with the original registration and the omission of his or her name cannot be satisfactorily explained, registration of a renewal claim in that author's name will be made only if a document supporting the claim of authorship is recorded.
1603.05
When recordation suggested. Even though the Copyright Office does not generally require recordation of documents, it may point out the recordation provisions of the law and suggest the desirability of recording an instrument.
Example:
An application for registration is submitted where a claim in the same work has already been registered in the name of the prior owner of copyright. When the second registration is sought to reflect the change of ownership, the Copyright Office will refuse to make a second registration, but will point out the desirability of reflecting the change in ownership by recording the instrument of transfer.
1604
The nature of the document. The document may be questioned by the Copyright Office, unless it perceives
some direct or indirect relationship to a copyright.
Examples:
1)
A bill of sale of a business.
2)
A birth or death certificate.
3)
A blanket power of attorney.
1604.01
Recordation not a substitute for registration. A document may be recorded even if a claim to copyright in the work to which it refers has not been registered for copyright. However, where it is clear that the applicant is seeking to substitute recordation of a document for registration of a claim, or to assert by recordation a claim for which registration would be refused, recordation of the document will be discouraged.
1604.02
Relationship between document and copyright unclear. Where the relationship between the document to be recorded and copyright is unclear or obscure, recordation will be delayed and the sender may be asked his or her purpose in submitting the instrument.
Examples:
1)
A document consisting of a collection of newspaper clippings referring to a night club performer.
2)
A bill of lading referring to a shipment of motion picture films.
1604.03
Document apparently submitted in error. Where it seems probable that the document has been submitted to the Copyright Office in error, it may be questioned or, in clear cases, returned without recordation.
Example:
An assignment of rights in a trademark or patent.
1605
Formal sufficiency of document. In order to be regarded as a "transfer," a document must generally meet the following formal requirements:
1)
It must be "an instrument in writing."
2)
It must be signed by the owner of the rights conveyed or by such owner's duly authorized agent.
3)
It must identify the transferor and transferee.
4)
It must contain words of conveyance.
5)
It must be complete by its own terms.
1605.01
Instrument in writing. To be recordable, the instrument must be in writing. The Copyright Office does not provide, suggest, or require any special form for the transfer of a copyright or other document pertaining to a copyright. Any type of legible document which meets the other formal requirements will be accepted for recordation, if it contains an individual's actual signature.
Examples:
1)
Handwritten or typewritten original.
2)
Transfer in the form of a letter.
3)
Carbon of original.
4)
Mimeographed original.
5)
Printed original.
1605.02
Actual signature. To be recordable, the document must bear the actual signature or signatures of the person or persons who executed it. Alternatively, the document may be recorded if it is a legible photocopy or other full-size facsimile reproduction of the signed document, accompanied by a sworn certification or an official certification that the reproduction is a true copy of the signed document. Any sworn certification accompanying a reproduction shall be signed by at least one of the persons who executed the document, or by an authorized representative of that person. See 17 U.S.C. 205 and 37 C.F.R. 201.4(c)(1).
1605.02(a)
Sworn certification. A "sworn certification" is an affidavit under the official seal of any officer authorized to administer oaths within the United States, or if the original is located outside of the United States,
under the official seal of any diplomatic or consular officer of the United States or of a person authorized to administer oaths whose authority is proved by the certificate of such an officer, or a statement in accordance with section 1746 of title 28 of the United States Code. 37 C.F.R. 201.4(a)(3)(i).
1605.02(b)
Official certification. An "official certification" is a certification, by the appropriate Government official, that the original of the document is on file in a public office and that the reproduction is a true copy of
the original. See 37 C.F.R. 201.4(a)(3)(ii).
Examples:
1)
Copy of a certificate of corporate merger, bearing the certification of the Secretary of State.
2)
Court decree establishing a change of name of a person, certified by the clerk of the court.
1605.03
Illegible document. An illegible document or one which cannot be reproduced legibly on microfilm will not be accepted for recordation. See 37 C.F.R. 201. 04(c)(3)
1605.04
Signature of transferor. As a rule, the document to be recorded should contain the actual handwritten signature of the person executing the document or of such owner's duly authorized agent. See 37 C.F.R. 201.4(c)(1).
1605.04(a)
Unsigned document. An unsigned document will be returned for signature before recordation.
1605.04(b)
Two-party instrument. In the case of a two party instrument which on its face calls for the signature of both parties, the lack of the signature of one of the parties will be questioned.
1605.04(c)
Multi-party instrument. If a number of transferors are identified in the body of the document, and spaces have been provided for the signatures of all of them, the document will be questioned if any of the signatures is missing, unless an additional copy of the document containing the missing signatures is submitted for recordation at the same time. Each such instrument of transfer is indexed only under the particular signatures it contains.
1605.04(d)
Signature of transferee not required. The signature of the transferee is not a requirement, and the lack of the transferee's signature will not be questioned unless the instrument involves mutual undertakings requiring the
transferee's signature for its validity.
1605.05
Apparent inconsistency. When there is an apparent inconsistency between the person named in the body of an instrument as transferor and the person whose signature appears on it, the document is questioned.
1605.05(a)
Corporation or other impersonal legal entity as transferor. If the transferor is a corporation
or other impersonal legal entity, the capacity of the individual executing the document on behalf of the transferor should be specified. If, however, the capacity is not shown on the document, the Copyright Office will generally not question the omission.
1605.05(b)
Document signed by legal representative or attorney-in-fact. If the document has been
signed by a legal representative e.g., executor, administrator, or trustee) or attorney-in-fact of an individual, the document will be questioned unless the individual's capacity is specifically stated.
1605.05(c)
Reconcilable variance between names: indexing. When there is a reconcilable variance between the signature on the document and the name of the transferor appearing in the body of the document, the instrument will generally be indexed under what can be determined to be the fullest form of the legal name. The document will generally not be indexed under the name of an agent or official of a corporation or other impersonal legal entity, although cross references under his or her name may be appropriate in certain cases. Where the document has been signed by a legal representative or
attorney-in-fact, it will be indexed under the name of the person whom the signer represents, and cross-references may be made under the name of the signer.
1605.06
Authority to sign. The Copyright Office does not conduct searches in order to determine whether a document has been signed by the owner of the copyright as shown in its records; nor will it question the authority of a particular person to sign as copyright owner. However, if the capacity indicated in the instrument is not one that would ordinarily entitle the person to bind the organization, the Copyright Office will request clarification before completing the processing of the document.
Examples:
1)
A document executed on behalf of a publishing company signed by an attorney purporting to represent the company will not be questioned.
2)
A transfer of copyright in a musical work executed by the publisher's bookkeeper will be questioned.
1605.06(a)
Signer is not copyright owner. In certain cases, where it seems clear from correspondence
or other material in the file that the person signing the document is not the copyright owner, the Copyright Office will call the discrepancy to the attention of the sender, but will not refuse to record the document if the sender continues to request recordation.
1605.06(b)
Contribution to a periodical. No question will ordinarily be raised in the case of a transfer of copyright in a contribution to a periodical signed in the name of the periodical rather than that of its publisher.
Example:
Transfer of copyright in a magazine article is signed in the name of The Saturday Evening Post rather than its publisher, Curtis Publishing Company.
1605.07
Signature of individual. As a rule, the signature should be the actual handwritten signature of an
individual person, and should give the individual's own name rather than that of the person or organization he or she may represent.
Examples:
1)
A pencil signature is acceptable.
2)
A hand-printed signature is acceptable.
3)
A printed, typewritten, rubber-stamped, or facsimile signature will be questioned.
4)
A person's mark is acceptable if accompanied by another person's signature attesting to its authenticity.
5)
The signature need not be legible or include the full name of the signer, if the name is sufficiently identified elsewhere in the document: but initials or a monogram will generally not be regarded as a signature.
1605.08
Signatures required on work-for-hire agreements. The statute defines a work made for hire as a work prepared by an employee within the scope of his or her employment, or a work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audio visual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test, or as an atlas, if the parties expressly agree in a written instrument signed by them that the work shall be considered a work made for hire. See 17 U.S.C. 101. An employment for hire agreement signed by both parties may be recorded in the Copyright Office under 17 U.S.C. 205 as a "document pertaining to a copyright." However, if the agreement is not signed by both parties, the Copyright Office will call this omission to the attention of the sender, but will not refuse to record the document if the sender continues to request recordation.
1606
Identification of parties. In general, any document purporting to transfer a copyright or rights under a copyright should clearly identify the transferee as well as the transferor.
1606.01
Failure to identify necessary parties. Documents which fail to identify the necessary parties will be questioned, but recordation will not be refused if, following correspondence, the sender continues to request recordation.
Examples:
1)
"I, John Doe, do hereby assign all rights, including copyright, in the work entitled HOW TO BURN TOAST." (Transferee not named).
2)
"...copyright is hereby assigned to Richard Roe, as Executor of the author..." (The author not identified by name.
1606.02
Indexing. When a document which fails to identify the necessary parties is recorded, it will be indexed only under the names it contains: no indexing will be done under other names furnished in correspondence or elsewhere. See section 1614.02 below.
1606.03
One-party documents. A document which necessarily involves only one party (e.g., an affidavit) will be indexed under the single name involved.
1607
Identification of subject of document. Recordation of a document gives all persons constructive notice of the facts stated in the recorded document, but only if both of the following two conditions are met:
1)
The document, or material attached to it, specifically identifies the work to which it pertains so that, after the document is indexed by the Copyright Office, it would be revealed by a reasonable search under the title or registration number of the work: and
2)
Registration has been made for the work.
See 17 U.S.C. 205(c).
1607.01
Failure to identify work. A document which fails to identify the work will be questioned.
Examples:
1)
A document containing the statement "I hereby assign my copyright to the ABC Music Co."
2)
"...copyright in OPENING CHORUS is hereby assigned..." (Reference being to only a part of the work.)
3)
If the title or other identification of a work appears to have been inadvertently omitted.
1607.02
Titles. If the material which is the subject of the document is otherwise adequately identified, the document need not contain the title under which the work was registered.
1607.02(a)
Abbreviated title or different title or different descriptive phrase. An abbreviated or entirely
different title, or a different descriptive phrase, may be employed.
Examples:
1)
"This Year's Sales Manual" instead of "This Year's Fabulous Deals."
2)
"Style No. 173B" instead of "Field Flowers."
1607.02(b)
Registration number used instead of title. The registration number may be used instead of the title.
1607.02(c)
Blanket transfer. A blanket transfer, in which no individual titles are given, will be recorded without question.
Example:
"Copyrights in all the published works of John Doe are hereby assigned...."
1607.03
No titles given. When a document in which no titles are specified is recorded, the catalog entry will contain the notation: "No Titles Given."
1607.04
Outside sources. A document will be indexed solely under the titles or other identifying matter it contains: no information from sources outside the document will be supplied. Thus, for example, the Copyright Office will not index titles given only in a covering letter.
1608
Transfer documents: words of conveyance. A document purporting to be a transfer should contain words to the effect that copyright ownership is being conveyed.
Example:
"I, John Doe, do hereby assign, sell, transfer, grant, and convey copyright in 'I Love You Truly' to the ABC Publishing Co., Inc."
1608
Transfer documents: words of conveyance.(cont'd)
1608.01
No clear words of conveyance. Where a document purports to be a transfer, but lacks clear words of conveyance, the document will generally be recorded without questioning it.
1608.02
Intention manifest. Where the intention to transfer the copyright is manifest from a reading of the
document as a whole, the fact that the document is in the form of a letter or inexactly or vaguely worded will not preclude its recordation as a transfer.
1609
Completeness of document. In general, a document will not be recorded unless it is complete by its own terms.
1609.01
Attachments. A document that contains a reference to any schedule, appendix, exhibit, addendum, or
other material as being attached to the document or made a part of it shall be recordable only if the attachment is also submitted for recordation with the document or if the reference is deleted by the parties to the document.
1609.01(a)
Document returned for amendment. If a document has been submitted for recordation and has been
returned by the Copyright Office at the request of the sender for deletion of the reference to an attachment, the document will be recorded only if the deletion is signed or initialed by the persons who executed the document or by their authorized representatives.
1609.01(b)
Exceptional cases. In exceptional cases, a document containing a reference to an attachment will be recorded without the attached material and without deletion of the reference if the sender asserts in writing that all three of the following factors exist and specifically requests that the document be recorded as submitted: (1) the attachment is completely unavailable for recordation; and (2) the attachment is not essential to identify the subject matter of the document; and (3) it would be impossible or wholly impractical to have the parties to the document sign or initial a deletion of the reference. In such cases, the copyright Office record of the document will be annotated to show that recordat1on was made 1n response to a specific request. See 37 C.F.R.201.4(c)(2).
1610
Incorporation by reference. When the document submitted for recordation merely identifies or incor porates by reference another document, or certain terms of another document, the Copyright Office will raise no question of completeness, and will not require recordation of the other document. 37 C.F.R. 201.4(c)(2)(iii).
Example:
A document reads in part as follows: "In accordance with the terms of mutual undertaking previously entered into between the parties on January 2, 1978, which is incorporated by reference herewith, John Doe hereby transfers..."
1611
Part of a larger document. If a document otherwise recordable indicates on its face that it is a self contained part of a larger document, e.g., where it is marked "Attachment A" or "Exhibit B," the Copyright Office will raise the question of completeness, but will record the document if the person requesting recordation asserts that the document is sufficiently complete as it stands. See 37 C.F.R. 204(c)(2)(ii).
1612
Other formal requirements. The following are other formal requirements relating to transfers and other documents pertaining to a copyright.
1612.01
Freedom from obvious errors. As a rule no attempt is made to verify the facts stated in the document submitted for recordation: titles, registration numbers, authors, dates, and the like are transcribed without checking their accuracy. However, when an obvious error of a material nature is recognized in the ordinary examination of the document, the document is returned for correction; in such cases, the Copyright Office will suggest the desirability of having any changes in the document initialed by all the persons who executed the document.
Examples:
1)
A document submitted for recordation in a particular year gives a later year as the date of execution.
2)
The names of the tranferor and transferee are accidentially reversed.
NOTE: Although names and titles will generally be indexed exactly as they appear in the document, where there is a minor typographical error made in the document, the document will be indexed under the correct name or title.
Examples:
1)
"Great Russiand Short Stories"
2)
"Macame Du Barry"
1612.02
Date of execution. The document to be recorded need not bear a date. However, if it does state a date of execution, this information will be transcribed on the catalog entry. While 17 U.S.C. 205 provides certain consequences for failure to record a transfer within one month after its execution in the United States or within two months after its execution outside the United States, the Copyright Office will record a document at any time after its execution.
1612.03
Certificate of acknowledgment. A certificate of acknowledgment is not required for the validity of a transfer, but is prima facie evidence of the execution of the transfer if:
1)
In the case of a transfer executed in the United States, the certificate is issued by a person authorized to administer oaths within the United States: or
2)
In the case of a transfer executed in a foreign country, the certificate is issued by a diplomatic or consular officer of the united States, or by a person authorized to administer oaths whose authority is proved by a certificate of such an officer, or by a competent foreign authority pursuant to the provisions of the 1961 Hague Convention Abolishing the Requirement of Legalization for Foreign Public Documents (e.g., the apostille procedure).
See 17 U.S.C. 204(b).
1613
Documents to correct or amplify Copyright Office records. In certain circumstances, recordation of a document is the appropriate means of correcting or amplifying a completed Copyright Office record. However, the Office suggests that an application for supplementary registration be submitted in most such cases. Nevertheless, if the sender insists, the Office will in any case accept for recordation a document giving the pertinent information. For detailed practices in this connection, see Chapter 1500: CORRECTIONS AND AMPLIFICATIONS OF COPYRIGHT OFFICE RECORDS; SUPPLEMENTARY REGISTRATIONS.
1614
Recordation. In general, the recordation procedure includes initial examination of documents for formal sufficiency, determination of the recording fee, assigning identifying volume and page numbers, microfilming the document, preparing an index entry under the appropriate names and titles, and returning the recorded document with a certificate of record.
1614.01
Date of recordation. The date of recordation is the date upon which the last necessary element (acceptable document and required fee) is received in the Copyright Office. See 37 C.F.R. 201.4.
1614.01(a)
Document returned for correction. When a document is returned to the sender for correction, the date on which the corrected document is received in the Copyright Office is generally regarded as the date of recordation.
1614.01(b)
Less than entire fee received. When less than the entire fee is received in the Copyright
Office, together with the document in recordable form, the date of recordation is the date on which the amount of the total required fee is received in the Copyright Office.
Example:
If a document containing three titles is received in recordable form, together with only the basic fee for recordation of a document, the date of recordation is the date on which the fee covering the additional titles is received in the Copyright
Office.
1614.02
Indexing. A recorded document is indexed under the names of the parties and the titles listed in the document. The catalog entry contains the date of recordation, the inclusive volume and page numbers assigned to the document, and the following information, if given in the document: the date of execution, the names of the authors, and the registration number and year date of registration.
1614.03
Amendments in document submitted for recordation. The Copyright Office will not itself make any changes or corrections in a document submitted for recordation, even when specifically requested or authorized to do so by the sender.
Examples:
1)
Sender requests Copyright Office to change the year date of execution from "1968" to "1978."
2)
Sender requests Copyright Office to delete reference to an attachment.
1614.04
Recordable document returned. Even though a document is in order for recordation and is accompanied by the appropriate fee, if the process of recordation in the Copyright Office has not been started when a request to return or change the document is received from the sender, the Office may return the document to the sender, suggesting that any change be initialed by the persons who executed it. In such cases, the date the returned document is received in the Copyright Office will be the date of recordation.
Example:
Document received in the Renewals and Documents Section of the Examining Division, but not yet stamped with volume and page number, may be returned to the sender.
1614.05
Recording fees. For a document consisting of six pages or less covering no more than one title, a
basic recording fee is charged. An additional fee is charged for each page over six and each title over one. For the specific amounts, see 17 U.S.C. 708: see also 37 C.F.R. 201.4(d).
1614.06
Separate transfers. A fee is required for each separate transfer or other document, even if two or more documents appear on the same page. 37 C.F.R. 201.4(d)(1).
Examples:
1)
"A" hereby transfers all right, title, and interest in a musical composition to "B," "C," and "D." This is a single transfer for the purpose of computing the recordation fee.
2)
On a single page, but in separate paragraphs: "A" hereby transfers a one-third interest in the copyright in a musical composition to "B." "A" hereby transfers a one-third interest in the copyright in the same musical composition
to "C." "All hereby transfers a one-third interest in the copyright in the same musical composition to "D." The document is signed once. This is a single transfer for the purpose of computing the recordation fee.
3)
The same situation as in example 2 above, but the document is dated and signed at each paragraph setting out the separate conveyances. This would be regarded as three transfers for the purpose of computing the recordation fee.
4)
On a single page: "A" tranfers the copyright to "B" who transfers a portion of that right to "C." This would be regarded as two transfers for the purpose of computing the recordation fee.
1614.07
Titles. Generally, every title listed in a document is counted, but not designations referring
to uncopyrightab1e matter.
Examples:
1)
A trademark consisting of the word "EKSRON."
2)
A mechanical patent designated as "Process for the Impacting of Crushed Marble."
1614.07(a)
Definition of title. The term "title" for the purpose of computing the fee for recordation generally denotes "appellation" or "denomination," rather than "registration," "work," or "copyright." 37 C.F.R. 201.4(d)(2).
1614.07(b)
Same title repeated. Where the same title is repeated more than once in the same document, it is counted as only one title, unless the document is too long or complex to make the finding of repetitions feasible.
1614.07(c)
Single and multiple titles distinguished. Titles that are repeated are counted as a single "title" for the purpose of computing the fee, even when different registration numbers or dates are indicated. The same is true in the case of various issues, volumes, chapters, installments, etc., even when listed separately under different numbers and dates, but they must be listed consecutively in a series. On the other hand, if the titles are not listed consecutively in a series, they will be considered separate titles and separate fees will be charged.
Examples of one title:
1)
"Fan Club News, " vol. 1, no. 3 (June 1981) "Fan Club News, " vol. 1, no. 4 (July 1981) "Fan Club News, " vol. 1, no. S (Aug. 1981)
2)
"Trapped in the Snack Bar, " Installment I "Trapped in the Snack Bar," Installment II
"The Adventures of Cyril," Installment I "The Adventures of Cyril," Installment IV
1614.07(d)
Same title repeated with different descriptive matter. Where the same title is repeated more
than once in the same document, but the repetitions are followed by different descriptive matter, subtitles, names of authors, or the like, separate fees will be charged.
Examples of two titles:
1)
"Rondo II (Massenet) "Rondo" (Respighi)
2)
"Architectural Drawing of Union Station front elevation" "Architectural Drawing of Union Station
side elevation"
3)
"You Are the One" (from Summer Romance) "You Are the One" (from Sunny Days)
1614.07(e)
Alternative titles. Where a work is clearly listed under alternative titles, or where both old and new titles are clearly indicated, separate fees will be charged. Use of the conjunctive "or"will not generally be treated
as denoting alternative titles.
Example of one title:
"How to Get Ahead in Life or Ten Ways to Improve Your Memory"
Examples of two titles:
1)
"Money Isn't Everything," also known as "Who Wants to Be Rich?"
2)
"Cafe Tales," formerly known as "Draw One"
1614.07(f)
Descriptive subtitle or translation. Even though a work is listed under a title which contains descriptive matter that could be characterized as a subtitle or translation, only one fee will be charged.
Examples of one title:
1)
"On the Water (Auf dem Wasser)"
2)
"You Are the Oneil (Romantic Song)
1614.07(g)
Additional fees for title indexing. In cases where, under the practice set forth above, only one fee would normally be charged, the Copyright Office will nevertheless index the title variations separately, upon the specific request of the sender and payment of additional fees.
1614.08
Pages. In determining the number of pages in a document, each side of a leaf bearing textual
matter is regarded as a "page." 37 C.F.R. 20l.4(d)(3). NOTE: A rider is considered a "page."
1615
Termination of transfers and licenses granted by the author under the extended renewal term. The following are the practices and provisions relating to the termination of transfers and licenses granted by the author
under the extended renewal term provided by the current Act.
1615.01
Statutory provision. In the case of any copyright subsisting in either its first or renewal term on January 1, 1978, other than a copyright in a work made for hire, the exclusive or nonexclusive grant of a transfer or license of the renewal copyright or any right under it, executed before January 1, 1978, by the author (or by the successors in interest of the author, as specified by section 304(a) of the current Act), otherwise than by will, is subject to termination under the conditions specified in section 304(c) of the current Act.
1615.02
Advance notice and service. The notice of termination shall be served upon each grantee whose rights are being terminated, or the grantee's successor in title, by personal service, or by first-class mail sent to an address which, after a reasonable investigation, is found to be the last known address of the grantee or successor in title. 37 C.F.R. 201.10(d)(1).
1615.02(a)
The service provision. The service provision of section 304{c){4) of the current Act will be satisfied if, before the notice of termination is served, a reasonable investigation is made by the person or persons executing the notice as to the current ownership of the rights being terminated, and based on such investigation: (i) If there is no reason to believe that such rights have been transferred by the grantee to a successor in title, the notice is served on the grantee: or (ii) if there is reason to believe that such rights have been transferred by the grantee to a particular successor in title, the notice is served on such successor in title. 37 C.F.R. 201.10(d)(2).
1615.03
Time limits. Termination of the grant may be effected at any time during a period of five years beginning at the end of 56 years from the date copyright was originally secured, or beginning on January 1, 1978, whichever is later. See 17 U.S.C. 304(c)(3).
1615.04
Forms. The Copyright Office does not provide printed forms for the use of persons serving notices of termination. 37 C.F.R. 201.10(a).
1615.05
Contents of notice. A notice of termination must include a clear identification of each of the elements listed below. The notice itself must contain a complete and unambiguous statement of facts without incorporation by reference of information in other documents or records. See 37 C.F.R. 201.10(b).
1615.05(a)
Name of each grantee. The name of each grantee whose rights are being terminated or the grantee's successor in title, and each address at which service of the notice is being made.
1615.05(b)
Title and author. The title of each work and the name of at least one author of, and the date copyright was originally secured in, each work to which the notice of termination applies; and if possible and practicable, the original copyright registration number.
1615.05(c)
Identification of grant. A brief statement reasonably identifying the grant to which the notice of termination applies.
1615.05(d)
Effective date of termination. The notice shall state the effective date of termination which shall fall within the five-year period specified in section 1615.03 above, and the notice shall be served not less than two or
more than ten years before that date. See 17 U.S.C. 304(c)(4)(A).
1615.05(e)
Person or persons who executed the grant. In the case of a termination of a grant executed by a person or persons other than the author, the notice shall contain a listing of the surviving person or persons who executed the grant. In the case of a termination of a grant executed by one or more of the authors of the work where the termination is exercised by the successors of a deceased author, the notice shall contain a listing of the names and relationships to that deceased author or all of the following, together with specific indication of the person or persons executing the notice who constitute more than one-half of that author's termination interest: That author's surviving widow or widower: and all of that author's surviving children: and, where any of that author's children are dead, all of the surviving children of any such deceased child of that author. However, instead of the information required above in this subsection, the notice may contain both of the following: (A) A statement of as much of such information as is currently available to the person or persons signing the notice, with a brief explanation of the reasons why full information is or may be lacking: together with (B) a statement that, to the best knowledge and belief of the person or persons signing the notice, the notice has been signed by all persons whose signature is necessary to terminate the grant
under section 304(c) of title 17, U.S.C., or by their duly authorized agents. See 37 C.F.R. 201.10(b)(v). NOTE: The Copyright Office will generally not question whether the interest of the person or persons on whose behalf the notice of termination was executed constitute more than one-half of the author's termination interest.
1615.06
Signature. A notice of termination shall contain the actual signature or a reproduction of the actual signature of the person or persons identified in the document as being entitled to exercise the right of termination, or of a duly authorized agent of such person or persons.
1615.06(a)
Termination of grant executed by someone other than the author. In the case of a termination of a grant executed by a person or persons other than the author, the notice shall be signed by all of the surviving persons who executed the grant, or by their duly authorized agents. See 37 C.F.R. 201.10(c)(1).
1615.06(b)
Termination of grant executed by one or more authors. In the case of a termination of a grant executed by one or more authors of the work, the notice as to anyone author's share shall be signed by that author or by his or her duly authorized agent. If that author is dead, the notice shall be signed by the number and proportion of the owners of that author's termination interest required under clauses (1) and (2) of section 304(c) of the current Act, or by their duly authorized agents, and shall contain a brief statement of their relationship or relationships to that author. See 37 C.F.R. 201.10(c)(2).
1615.06(c)
Termination of grant executed by duly authorized agent. Where a signature is by a duly author1zed agent, it shall clearly identify the person or persons on whose behalf the agent is acting. 37 C.F.R. 20l.l0(c)(3).
1615.06(d)
Additional requirements. The handwritten signature of each person effecting the termination shall either be accompanied by a statement of the full name and address of that person, typewritten or printed legibly by hand,
or shall clearly correspond to such a statement elsewhere in the notice. 37 C.F.R. 201.10(c)(4).
1615.07
Service. The notice of termination shall be served upon each grantee whose rights are being terminated, or the grantee's successor in title, by personal service, or by first-class mail sent to an address which, after a reasonable investigation, is found to be the last known address of the grantee or successor in title. 37 C.F.R. 201.10(d)(1).
1615.08
Scope of examination. As a general rule, the Copyright Office will not attempt to judge or comment on the legal sufficiency of a notice of termination. Recordation as a notice of termination will be made if the following formal requirements have been met:
1615.08(a)
Legibility of notice of termination. The notice of termination must be in writing and capable of being reproduced legibly on micro film.
1615.08(b)
Complete by its own terms. The notice of termination must ordinarily be complete by its own terms. The same rules are applicable as those which pertain to missing attachments or exhibits for documents recorded under 17 U.S.C. 205. See section 1609 above.
1615.08(c)
Clear identification of elements. The notice of termination must clearly identify each of the elements specified in section 1615.05 above.
1615.08(d)
Date and manner of service. The document submitted for recordation should be accompanied by a statement setting forth the date on which the notice was served and the manner of service, unless such information is contained in the notice. Where such information is not contained in the notice, and the document is not accompanied by a statement setting forth the date and/or manner of service, the Copyright Office will request that the sender submit a separate statement containing this information.
1615.08(e)
Effective date earlier than date of recordation. A notice of termination should include an-effective date of termination that is later than the date of recordation in the Copyright Office. If the document contains either an earlier date or no date of termination, the Copyright Office will suggest that the sender execute and submit for recordation a new document which gives an appropriate date of termination.
1615.08(f)
Persons not entitled to terminate. Where the Copyright Office is aware that the signature appearing on the document is not that of a person entitled to exercise the right of termination or of a duly authorized agent of
such person, the Office will suggest that a new document signed by the proper person be executed and submitted for recordation.
1615.09
Recordation. The Copyright Office will not refuse to record a document that fails to meet the requirements set forth in section 1615.08 above, but such document will not be indexed by the Copyright Office as a notice of termination.
1615.10
Recordation without prejudice. Recordation of a notice of termination by the Copyright Office is
without prejudice to any party claiming that the legal and formal requirements for issuing a valid notice have not been met.
37 C.F.R. 201.10(f)(4).
1615.11
Date of recordation. A copy of the notice shall be recorded in the Copyright Office before the effective date of termination, as a condition to its taking effect. See 17 U.S.C. 304(c)(4)(A). The date of recordation is the date when all of the elements required for recordation, including the prescribed fee and, if required, the statement setting forth the date on which the notice was served and the manner of service, have been received in the Copyright Office. After recordation, the document, including any accompanying statement, is returned to the sender with a certificate of record. See 37 C.F.R. 201.10(f)(3).
1616
Termination of transfers and licenses granted by the author on or after January 1, 1978. The practices set forth in section 1615 above are restricted to terminations under the extended renewal term provided in section 304(c) of the current Act. Practices regarding the parallel statutory provision governing termination of grants executed by the author on or after January 1, 1978, under section 203 of the current Act have not been established yet because the right of termination thereunder cannot be invoked in an appropriate termination document until the year 2003 or later. A document that purports to terminate a grant executed on or after January 1, 1978, may be recorded, but such document will not be indexed by the Copyright Office as a notice of termination.
