U.S. Copyright Office, Compendium of U.S. Copyright Office Practices ch. 1400 (3d ed. 2021)
| 1401 | What This Chapter Covers | 3 |
|---|---|---|
| 1402 | Applications | 3 |
| 1402.1 | Statutory Basis for the Application | 3 |
| 1402.2 | Statutory Requirements for Applications | 4 |
| 1402.3 | Types of Applications | 5 |
| 1403 | The Standard Application | 7 |
| 1404 | Paper Applications | 8 |
| 1405 | The Single Application | 10 |
| 1405.1 | Who May File the Single Application? | 10 |
| 1405.2 | Eligibility Requirements | 11 |
| 1405.3 | Works That Cannot Be Registered with the Single Application | 12 |
| 1405.4 | The One Work Requirement | 13 |
| 1405.5 | The One Author Requirement | 15 |
| 1405.6 | The One Owner Requirement | 17 |
| 1405.7 | Content Requirements | 18 |
| 1406 | Group Registration Applications | 19 |
| 1406.1 | Group Registration of Unpublished Works (GRUW) | 19 |
| 1406.2 | Group Registration of Serials (GRSE) | 19 |
| 1406.3 | Group Registration of Newspapers (GRNP) | 20 |
| 1406.4 | Group Registration of Newsletters (GRNL) | 20 |
| 1406.5 | Group Registration of Contributions to Periodicals (GRCP) | 20 |
| 1406.6 | Group Registration of Short Online Literary Works (GRTX) | 21 |
| 1406.7 | Group Registration of Published Photographs (GRPPH) and Group Registration of Unpublished Photographs (GRUPH) | 21 |
| 1406.8 | Group Registration of Database Updates or Revisions | 21 |
| 1406.9 | Group Registration of Questions, Answers, and Other Items Prepared for Use in a Secure Test (GRSTQ) | 21 |
| 1407 | Supplementary Registration: Online Application / Form CA | 22 |
| 1408 | Renewal Registration Applications: Form RE and RE/Addendum | 24 |
|---|---|---|
| 1409 | GATT Registration Applications: Form GATT | 24 |
| 1410 | Preregistration | 24 |
| 1411 | Waivers | 24 |
| 1412 | Filing Fees | 25 |
| 1412.1 | Statutory Basis for Setting Filing Fees | 25 |
| 1412.2 | Where to Find Specific Filing Fee Information | 25 |
| 1412.3 | Submitting Filing Fees | 25 |
| 1412.4 | Acceptable Forms of Payment | 25 |
| 1412.5 | Deposit Accounts | 26 |
| 1412.6 | Refunds | 27 |
| 1412.7 | Cancellation of Registration in Cases of Dishonored Checks | 27 |
| 1412.8 | Special Handling Fees | 27 |
To seek a copyright registration for a work of authorship, an applicant must submit a completed application, deposit copy(ies), and filing fee.
This Chapter provides a general overview of the types of applications that may be used to register or preregister a work of authorship created or first published on or after January 1, 1978. It also discusses the filing fees for applying to register or preregister a work. For a detailed discussion of the U.S. Copyright Office's registration practices, see the following chapters:
Section 408(a) of the Copyright Act provides that a copyright owner or the owner of any of the exclusive rights in a work may seek a registration by delivering an application, filing fee, and an appropriate deposit to the U.S. Copyright Office. The Copyright Act gives the Register of Copyrights the authority to establish administrative classes of works for registration, to create application forms, and to specify the information that should be included in the application. See 17 U.S.C. §§ 408(a), 408(c)(1), 409, 702.
Pursuant to this authority, the U.S. Copyright Office has created five administrative classes for purposes of registration, namely, nondramatic literary works (Class TX), works of the visual arts (Class VA), works of the performing arts (Class PA), sound recordings (Class SR), and serials (Class SE). The Office has created different versions of its online application and paper applications for each class of works. Registration is administered by the Office's Registration Program, which includes three divisions: Literary, Performing Arts, and Visual Arts. Applications are assigned to one of these divisions, depending on the classification of the work.
NOTE: The administrative classes are solely for administrative purposes, and they have no bearing on the substantive subject matter of copyright or the exclusive rights provided by the copyright law. See 17 U.S.C. § 408(c)(1).
Applicants should use the form that is most appropriate for the type of work being registered. If the work contains more than one type of authorship, applicants should use the form that corresponds to the predominant type of copyrightable authorship in that work. For example, if the claim involves a children's book that includes both text and illustrations, the applicant should use the application that corresponds to the predominant form of authorship in the book. If the book contains only a few illustrations, the applicant should use the appropriate application for a Literary Work. If the book mostly contains illustrations with a small amount of text, the applicant should use the appropriate application for a Work of the Visual Arts. If the types of authorship are roughly equal, the applicant may use the application that would be appropriate for either type of authorship. See 37 C.F.R. § 202.3(b)(2)(iii).
NOTE: When registering a sound recording, the applicant must use the appropriate application for sound recording authorship, regardless of whether the sound recording is the predominant form of authorship in the work. See id.
Section 409 of the Copyright Act states that "[t]he application for copyright registration shall be made on a form prescribed by the Register of Copyrights." 17 U.S.C. § 409. Although the Register of Copyrights has been given discretion in how to organize and establish the requirements for the Standard Application and paper applications (which are discussed in Sections 1403 and 1404 below), Section 409 also sets forth certain elements that must be contained in these forms:
1. The name and address of the copyright claimant;
2. In the case of a work other than an anonymous or pseudonymous work, the name and nationality or domicile of the author or authors, and, if one or more of the authors is dead, the dates of their deaths;
3. If the work is anonymous or pseudonymous, the nationality or domicile of the author or authors;
4. In the case of a work made for hire, a statement to this effect;
5. If the copyright claimant is not the author, a brief statement of how the claimant obtained ownership of the copyright;
6. The title of the work, together with any previous or alternative titles under which the work can be identified;
7. The year in which creation of the work was completed;
8. If the work has been published, the date and nation of its first publication; and
9. In the case of a compilation or derivative work, an identification of any preexisting work or works that it is based on or incorporates, and a brief, general statement of the additional material covered by the copyright claim being registered.
17 U.S.C. § 409(1-9). The statute also allows the Register to request additional information in the application. Specifically, it grants the Register broad authority to require “any other information [that] bear[s] upon the preparation or identification of the work or the existence, ownership, or duration of the copyright.” Id. § 409(10).
The Office offers other applications that request some — but not all — of the information listed in Section 409, such as the Single Application (which is discussed in Section 1405). These specialized forms do not request all of the information listed in Section 409, because in order to use them certain types of information cannot be present in the claim. For example, an applicant cannot use the Single Application to register a work created by an individual author who transferred his or her copyright to another party. Thus, there is no need to request “a brief statement of how the claimant obtained ownership of the copyright” in this form.
Section 408(c)(1) of the Copyright Act authorizes the Register to establish an administrative procedure for registering a group of related works. Section 408(d) authorizes the Register to establish a procedure for issuing a supplementary registration to correct or amplify the information given in an existing registration. And Section 408(f)(1) authorizes the Register to establish a procedure for issuing a preregistration for unpublished works that are being prepared for commercial distribution.
Congress gave the Register the discretion to develop an appropriate application for these types of records. See 17 U.S.C. § 408(c)(1), (d), (f)(1). The specific requirements for the various group registration options that the Office currently offers are discussed in Chapter 1100, the requirements for a supplementary registration are discussed in Chapter 1800, and the requirements for preregistration are discussed in Chapter 1600.
The U.S. Copyright Office offers the types of applications described below. An applicant should choose an appropriate application based on whether he or she is seeking a basic registration, a group registration, a supplementary registration, a renewal registration, a GATT registration, or a preregistration. For a definition and discussion of each type of record, see Chapter 200, Section 202.1.
An application for a basic registration covers a work of authorship created or first published on or after January 1, 1978 or an unpublished work created prior to January
1, 1978 and still protected by copyright. For this type of registration, the applicant should use one of the following applications:
NOTE: This registration accommodation is not available using the online application for a “single serial issue” or a paper application submitted on Form SE.
NOTE: This type of claim must be registered with the online application for a “sound recording” or a paper application submitted on Form SR. For additional information concerning this option, see Chapter 500, Section 511.
See 37 C.F.R. § 202.3(b)(2)(i)(A), (ii)(A). For additional information concerning the Standard Application, see Section 1403. For information concerning the Office’s paper applications, see Section 1404.
Single Application. This application may be used to register one work created by one person, provided that the copyright in the work is solely owned by that individual. It also may be used to register a sound recording and the musical work, dramatic work, or literary work embodied in that recording if certain requirements have been met. For additional information concerning this application, see Section 1405.
An application for a group registration may be used to register a claim to copyright in a group of related works, such as a group of unpublished works, a group of serials, newspapers, or newsletters, a group of contributions to periodicals, a group of short online literary works, or a group of published or unpublished photographs. This type of application may also be used to register a group of updates or revisions to a database, or a group of questions, answers, or other items prepared for use in a secure test. The Office has created specific applications that must be used to seek a group registration. For information concerning these forms, see Section 1406.
The Standard Application is an online form that may be submitted through the U.S. Copyright Office's electronic registration system. For specific information on how to complete the various fields in this application, see Chapter 600.
The Office offers different versions of this application, which may be used to register for the following types of works:
Works of the performing arts include musical works (either with or without lyrics), dramatic works (such as a screenplay, play, or other script), pantomimes, and choreographic works.
Sound recordings are works that contain sound recording authorship. An applicant must select the option for “sound recording” if he or she intends to register that element of the work with the Standard Application (even if the work also contains other types of authorship, such as music or lyrics). If the applicant does not intend to register sound recording authorship, the work should be registered using the form that would be appropriate for the predominant type of copyrightable authorship in that work (even if it happens to contain one or more sound recordings). Likewise, the applicant should not select the option for “sound recording” if the applicant intends to register the sounds accompanying a motion picture or other audiovisual work.
NOTE: The Office only registers sound recordings that were fixed on or after February 15, 1972. For information concerning this issue, see Chapter 800, Section 803.5(D).
The Standard Application may not be used to seek a supplementary registration, a renewal registration, or a registration for a restored work, a mask work, or a vessel design. See Streamlining the Single Application and Clarifying Eligibility Requirements, 83 Fed. Reg. 5227, 5229 (Feb. 6, 2018).
Likewise, this form may not be used to register a group of related works, unless it is expressly permitted under the Office’s regulations. Specifically, the Standard Application may be used to register a group of secure test items. 37 C.F.R. § 202.13(c)(1). It also may be used to register a group of updates or revisions to a photographic database, but only if the applicant has obtained prior authorization from the Visual Arts Division. See id. § 202.3(b)(5)(ii)(A).
The U.S. Copyright Office strongly encourages applicants to use the Standard Application rather than a paper application. Claims submitted through the electronic registration system can be examined more quickly and efficiently, and as a result, the Office charges a lower filing fee for the Standard Application. However, the Office will accept paper applications for claims involving the following types of works:
NOTE: A paper application may not be used to register an architectural work. To register this type of work, applicants must use the Standard Application.
NOTE: The Office only registers sound recordings that were fixed on or after February 15, 1972. For information concerning this issue, see Chapter 800, Section 803.5(D).
Form MW must be used to register a claim in a mask work that is fixed in a semiconductor chip product by or under the authority of the owner of the mask work. A mask work is a series of related images, however fixed or encoded, having or representing the predetermined, three-dimensional pattern of metallic, insulating, or semiconductor material present or removed from the layers of a semiconductor chip product, and in which the relation of the images to one another is such that each image has the pattern of the surface of one form of the semiconductor chip product. For more information on mask works, see Chapter 1200.
Form D-VH must be used to register a claim in a vessel design. These forms apply only to water crafts that are designed and capable of (i) independently steering a course on or through water by themselves or via propulsion, and (ii) transporting one or more passengers. For more information on vessel designs, see Chapter 1300.
When preparing a paper application applicants must use the official forms that are provided by the Office. The information provided on the application must be legible and should be typewritten or printed in black ink. If an applicant needs more space, he or she may provide additional information with a continuation sheet submitted on Form CON.
The applications listed above may not be used to seek a supplementary registration, a renewal registration, or a registration for a restored work. See Streamlining the Single Application and Clarifying Eligibility Requirements, 83 Fed. Reg. 5227, 5229 (Feb. 6, 2018).
Likewise, these forms may not be used to register a group of related works, unless it is expressly permitted under the Office’s regulations. Specifically, Form VA may be used to register a group of updates or revisions to a photographic database, and Form TX must be used to register a group of updates or revisions to any other type of database. See id. § 202.3(b)(5)(ii)(A).
The Single Application is an online form designed for authors who file the simplest kind of claims. The U.S. Copyright Office charges a lower filing fee for this application, which is intended to benefit individual creators and encourage them to register their works.
This application may be used to register one work by one author that is solely owned by that individual. It also may be used to register one sound recording and one musical work, literary work, or dramatic work if certain requirements have been met. For detailed information concerning these requirements see Sections 1405.1 through 1405.7 below.
If the Office determines that a particular work does not satisfy these requirements, it will refuse registration and instruct the applicant to resubmit the claim using the Standard Application. If the applicant wishes to proceed with the claim, he or she must submit a new application, filing fee, and another copy or phonorecord of the work. The effective date of registration will be based on the date that the new submission is received by the Office.
See generally Streamlining the Single Application and Clarifying Eligibility Requirements, 83 Fed. Reg. 66,627 (Dec. 27, 2018); Streamlining the Single Application and Clarifying Eligibility Requirements, 83 Fed. Reg. 5227 (Feb. 6, 2018); Single Application Option, 78 Fed. Reg. 38,843 (June 28, 2013).
To access the Single Application, the applicant must log into the electronic registration system and select the link designated for claims involving “one work by one author.”
Before proceeding with this form, the applicant must confirm that he or she has read and understood the eligibility requirements that govern the Single Application. For guidance on how to complete the various fields in this application, applicants should consult Using the Single Application (Circular 11) and the help text that accompanies this form.
A Single Application may be certified and submitted by the individual who created the work. But the U.S. Copyright Office recognizes that many authors are not familiar with the electronic registration system, and some individual creators may prefer to have an authorized agent submit the application on their behalf. Therefore, the Office will accept an application that has been certified and submitted by a duly authorized agent, provided that the agent is identified in the Correspondent section of the form. See 37 C.F.R. § 202.3(c)(1), (3)(i). If the Office determines that a third party filed a Single Application, but failed to identify itself in the form, the Office will refuse to register the claim. See Streamlining the Single Application and Clarifying Eligibility Requirements, 83 Fed. Reg. 5227, 5229 (Feb. 6, 2018).
An applicant may register a claim with the Single Application, provided that the following conditions have been met:
See 37 C.F.R. § 202.3(b)(2)(i)(B)(1).
As a general rule, the Single Application may be used to register only one work by one author, but there is a limited exception for sound recordings. Specifically, this application may be used to register one sound recording and one musical work, literary work, or dramatic work—notwithstanding the fact that a sound recording and the work embodied in that recording are separate works. To do so, applicants must satisfy the following conditions (in addition to the other requirements listed above):
See 37 C.F.R. § 202.3(b)(2)(i)(B)(2).
These requirements are discussed in more detail in Sections 1405.4 through 1405.7. Works that do not satisfy these requirements cannot be registered with the Single Application.
See generally Streamlining the Single Application and Clarifying Eligibility Requirements, 83 Fed. Reg. 5227, 5228 (Feb. 6, 2018).
The Single Application cannot be used to register the following types of works:
In particular, this form cannot be used to register the following works, because they contain multiple works of authorship or because these claims tend to be very complex:
See 37 C.F.R. § 202.3(b)(2)(i)(B)(3).
To register claims involving these works, applicants must submit a Standard Application, a paper application, or one of the applications described in Section 1406.
Applicants may not use the Single Application if the deposit contains material created by two or more authors (even if they only intend to register material created by one of those individuals). For the same reason, this application may not be used to register a derivative work based on a preexisting work by a different author. And a work created solely by one individual cannot be registered with the Single Application if the author transferred his or her rights to another party, if the work is co-owned by two or more parties, or if the author is deceased.
For additional information concerning these restrictions, see Sections 1405.4 through 1405.7.
See generally Streamlining the Single Application and Clarifying Eligibility Requirements, 83 Fed. Reg. 5227, 5229 (Feb. 6, 2018); Single Application Option, 78 Fed. Reg. 38,843, 38,844 (June 28, 2013).
The Single Application may be used to register one work, provided that the applicant satisfies the other eligibility requirements for this form.
The following are representative examples of works that may qualify as one work for purposes of the Single Application:
Literary Works:
Visual Art Works:
Dramatic Works, Audiovisual Works, and Motion Pictures
One stage play.
One screenplay.
A song and a sound recording are separate works. Therefore, the Single Applicant may be used to register:
As discussed in Section 1405.2, a musical work and a sound recording may both be registered with the Single Application if the following requirements have been met:
The following are representative examples of works that do not qualify as a one work for purposes of the Single Application:
Two articles.
Two or more illustrations on a single page.
The Single Application may be used to register one work created by one individual, provided that the applicant satisfies the other eligibility requirements for this form.
The following are representative examples of works created by one person:
As discussed in Section 1405.3, the Single Application may not be used if the work was created by two or more individuals or if it was created as a joint work. (For a definition and discussion of joint works, see Chapter 500, Section 505.) The following are representative examples of works created by more than one author that are not eligible for this form:
Likewise, the Single Application may not be used to register a work created by or on behalf of a company, an organization, or any other legal entity, or a work created as a work made for hire. (For a definition and discussion of works made for hire, see Chapter 500, Section 506.) The following are representative examples of works that do not qualify as a work created by an individual author:
The Single Application may be used to register one work by one author if that individual is the sole owner of the copyright in that work, and if the applicant satisfies the other eligibility requirements for this form.
An applicant may not use the Single Application if the copyright or any of the exclusive rights in the work are owned or co-owned by two or more individuals. This form may not be used if the copyright is owned by a company, an organization, or other legal entity. It may not be used if the author transferred the copyright or any of the exclusive rights to a third party, either by written agreement or by operation of law. Likewise, this form may not be used if the author is deceased. (For a discussion of copyright ownership and transfers, see Chapter 600, Sections 619 and 620.)
The following are representative examples of works that cannot be registered with the Single Application, because they are owned or co-owned by more than one party, or because the works are not solely owned by the author:
A published novel by an author in which the publisher has acquired an exclusive license in the right of reproduction and distribution.
One photograph taken by a photographer who granted the exclusive right of reproduction to a stock photography service and therefore no longer owns all of the rights in the work.
The Single Application may be used to register one work if all of the content was created by the same individual, and if the applicant satisfies the other eligibility requirements for this form.
The following are representative examples of works that satisfy this requirement:
The Single Application may not be used if the work contains material created by two or more authors, even if the applicant does not intend to name the other authors in the application and does not intend to claim their contributions in the application.
The following are representative examples of works containing material created by two or more authors that cannot be registered with this form:
A novel written by one individual with an introduction and an afterword written by two other individuals.
A translation by a different author of a work that is not in the public domain.
As a general rule, applicants should file separate applications, deposit copy(ies), and filing fees for each work they seek to register. In certain limited circumstances, there are options available for registering groups of related works with one application, one filing fee, and one set of deposit copies. All of these group registration options have specific application requirements, which are discussed below.
In certain cases, an applicant may register up to ten unpublished works with one application, one filing fee, and one set of deposit copies. An applicant also may register up to ten unpublished sound recordings and ten musical works, literary works, or dramatic works if certain requirements are met. In both cases, the applicant must use the online application designated for “unpublished works.” The Standard Application or a paper application may not be used for this type of claim.
For information concerning the registration requirements for a group of unpublished works, see Chapter 1100, Section 1106. For guidance in completing the online application, see Chapter 1100, Section 1106.5.
As mentioned in Section 1403, serials are works issued, or intended to be issued, in successive parts bearing numerical or chronological designations and intended to be continued indefinitely. This category includes but is not limited to periodicals (including newspapers), magazines, bulletins, newsletters, annuals, blogs, journals, and proceedings of societies.
In certain cases, an applicant may register a group of serials with one application, one filing fee, and one set of deposit copies. To do so, the applicant must use the online application designated for “Serial Issues.” The Standard Application for a “Literary Work” or a “Single Serial Issue” or a paper application may not be used to register this type of claim.
For information concerning the registration requirements for a group of serial issues, see Chapter 1100, Sections 1107.2 through 1107.5. For guidance in completing the online application, see Chapter 1100, Section 1107.7.
Newspapers are periodicals that are mainly designed to be a primary source of written information on current events. A newspaper contains a broad range of news on all subjects and activities, and is not limited to any specific subject matter. They are intended either for the general public or a particular ethnic, cultural, or national group.
In certain cases, an applicant may register a group of newspaper issues with one application, one filing fee, and one set of deposit copies. To do so, the applicant must use the online application designated for “daily newspapers.” The Standard Application or a paper application may not be used to register this type of claim.
For information concerning the registration requirements for a group of newspaper issues, see Chapter 1100, Section 1108. For guidance in completing the online application, see Chapter 1100, Section 1108.6.
Newsletters are a specific type of serial that are published and distributed by mail or electronic media at least two days per week and contain information chiefly of interest to a special group, such as trade and professional associations, schools, colleges, and churches. Newsletters generally are available by subscription, but are not available on newsstands.
In certain cases, an applicant may register a group of newsletters with one application, one filing fee, and one set of deposit copies. To do so, the applicant must use the online application designated for “daily newsletters.” The Standard Application or a paper application may not be used to register this type of claim.
For information concerning the registration requirements for a group of newsletter issues, see Chapter 1100, Section 1109. For guidance in completing the online application, see Chapter 1100, Section 1109.7.
In certain cases, an applicant may register a group of works that were first published as contributions to periodicals. To do so, the applicant must use the online application designated for this group registration option. The Standard Application or a paper application may not be used to register this type of claim. For more information about exceptional cases eligible for waiving the online filing requirement, see Section 1411.
For information concerning the registration requirements for a group of contributions to periodicals, see Chapter 1100, Section 1110. For guidance in completing the online application, see Chapter 1100, Section 1110.7.
In certain cases, an applicant may register a group of short online literary works. To do so, the applicant must use the online application designated for this option. The Standard Application or a paper application may not be used for this type of claim. For information about exceptional cases eligible for waiving the online filing requirement, see Section 1411.
For information concerning the registration requirements for a group of short online literary works, see Chapter 1100, Section 1111. For guidance in completing the application for this type of claim, see Chapter 1100, Section 1111.7.
In certain cases, applicants may register a group of photographs with one application, one filing fee, and one set of deposit copies. If the photographs have been published, the applicant must use the online application designated for “published photographs.” If the photographs have not been published, the applicant must use the application designated for “unpublished photographs.” The Standard Application or a paper application may not be used to register these types of claims.
For information concerning the registration requirements for a group of photographs, see Chapter 1100, Section 1114. For guidance in completing these applications, see Chapter 1100, Section 1114.6.
In certain cases, applicants may register a group of updates or revisions to a database with one application, one filing fee, and one set of deposit copies.
To register a photographic database, the applicants may use a paper application submitted on Form VA. Alternatively, applicants may use the Standard Application, but only if they have obtained prior authorization from the Visual Arts Division.
To register any other group database claim, the applicant must use a paper application. For information concerning the registration requirements for a group of updates or revisions to a database, see Chapter 1100, Section 1112. For guidance in completing the application, see Chapter 1100, Section 1112.8.
In certain cases, an applicant may register a group of questions, answers, and other items that have been prepared for use in a secure test. To do so, applicants must use the Standard Application. A paper application may not be used for this type of claim.
For guidance in completing the application, see Copyright Registration of Secure Tests and Test Items (Circular 64).
Supplementary registrations correct or amplify the information that is set forth in an existing registration.
An application for a supplementary registration is not appropriate: (i) if the work has been revised; (ii) to reflect corrections that have been made to statements appearing on the copy(ies) or phonorecords of the work; (iii) as a substitute for a renewal registration; (iv) as a substitute for recording a transfer or other document pertaining to copyright ownership; or except in certain circumstances (v) if a work was registered as unpublished but was actually published at the time of the basic registration. For information concerning these issues, see Chapter 1800, Section 1802.7.
The U.S. Copyright Office may issue a supplementary registration that corrects or amplifies the information in any basic registration, group registration, renewal registration, or GATT registration, unless the registration has expired or unless it has been cancelled or abandoned.
As a general rule, the applicant must use the online application to correct or amplify a basic registration for the following types of works:
See 37 C.F.R. § 202.6(e)(1).
Likewise, applicants must use the online application to correct or amplify the information appearing in the following types of registrations:
Applicants must use the online application to correct or amplify the information in a group registration for a photographic database. See 37 C.F.R. § 202.3(b)(5). But before doing so, they must contact the Visual Arts Division at (202) 707-8202 to obtain prior authorization and instructions concerning the information that should be included in the application. See 37 C.F.R. § 202.6(e)(3).
Similarly, applicants must use the online application to correct or amplify the information in a registration for a group of unpublished works or a group of short online literary works. See id. § 202.6(e)(2). But before submitting the claim, the applicant must contact the Office of Registration Policy & Practice at copyinfo@copyright.gov to obtain prior authorization and instructions concerning the information that should be included in the application. For additional information, see Supplementary Registration (Circular 8).
By contrast, applicants must use a paper application submitted on Form CA to correct or amplify the information appearing in the following types of registrations:
For more information on supplementary registrations, see Chapter 1800, Section 1802. For guidance in completing the online application, see Chapter 1800, Section 1802.8(A). For guidance in completing Form CA, see Chapter 1800, Section 1802.8(B).
The U.S. Copyright Office offers renewal registrations for works that were first published or registered prior to 1978. The 1909 Act made works copyrighted in the United States before January 1, 1978 subject to a renewal system whereby the term of copyright was divided into two consecutive terms with separate registration requirements. The current Copyright Act that came into effect on January 1, 1978 retained the renewal system for works that were copyrighted before 1978 and were still in their first term on January 1, 1978. Renewal registration may still be obtained for pre-1978 works in their renewal term.
Applicants must use a paper application to seek a renewal registration. Form RE is the general renewal form, and Form RE / Addendum is required for works that were not registered with the Office during their initial term. At present, applicants cannot file for renewal registration using the electronic registration system.
For an extensive discussion of registration of renewal claims and for guidance in completing these forms, see Chapter 2100.
Applicants must use Form GATT to register a foreign work that was restored to copyright protection in the United States under the 1994 Uruguay Round Agreements Act (“URAA”), codified as Section 104A of the Copyright Act. 17 U.S.C. § 104A. At present, applicants cannot seek a GATT registration using the electronic registration system.
For more information on GATT applications, see Chapter 2000, Section 2007.2.
To seek a preregistration, applicants must use the online application designated for this service. For detailed information concerning preregistration, see Chapter 1600. For guidance in completing an application for preregistration, see Chapter 1600, Section 1606.
As discussed above, applicants must use an online application to register an architectural work, a group of unpublished works, a group of photographs, a group of serials or newsletters, a group of contributions to periodicals, or a group of short online literary works. In most cases, applicants must use the online application to correct or amplify the information appearing in an existing registration. See Sections 1404, 1406.1, 1406.2, 1406.4, 1406.5, and 1407.
In exceptional cases, the U.S. Copyright Office may waive this online filing requirement, subject to such conditions that the Associate Register of Copyrights and Director of the Office of Registration Policy and Practice may impose on the applicant. An applicant may submit a request to waive this requirement in writing. It should explain why the applicant is unable to use the online application, and it should be sent to the following address:
Associate Register of Copyrights and
Director of Registration Policy & Practice
Registration Program
U.S. Copyright Office
101 Independence Avenue SE
Washington, DC 20559
See 37 C.F.R. § 202.4(c)(10), (d)(4), (f)(4), (g)(8), (h)(11), (i)(11).
Since 1997, the U.S. Copyright Office has undertaken a series of studies to determine what fees to charge for specific services relating to registration. The Office revisits its schedule of fees approximately every three years, a process during which it seeks public comment, adopts some fees, and makes recommendations for other fees to Congress.
The majority of the Office’s fee adjustments are guided by Section 708(b) of the Copyright Act, which states that, before adjusting certain fees, the Register must conduct a study of the Office’s costs for registering claims and must consider the timing of any fee adjustments and the Office’s authority to use the fees consistent with the Office’s budget. Section 708(b) also states that the Register may, based on the results of the fee study, adjust some fees “not more than necessary to cover the reasonable costs incurred by the Copyright Office for ... services ... plus a reasonable inflation adjustment to account for any estimated increase in costs.” Finally, Section 708(b) mandates that certain fees “shall be fair and equitable and give due consideration to the objectives of the copyright system.”
The U.S. Copyright Office publishes its fee schedule in Section 201.3 of Title 37 of the Code of Federal Regulations, and on the Office’s website.
When filing claims via the U.S. Copyright Office’s electronic registration system, the applicant will be prompted to provide payment on the Online Payment screen. Applicants who submit paper applications should provide a deposit account number in the appropriate space of the application or should submit the filing fees in the same envelope or package with the application and deposit copy(ies). For more specific information regarding deposit accounts, see Section 1412.5 below.
The U.S. Copyright Office has issued regulations regarding acceptable forms of payment for filing fees. See 37 C.F.R. § 201.6(a).
Applicants using the Office’s online registration system to file applications may pay fees by making a secure payment by credit or debit card, electronic check, or U.S. Copyright Office deposit account.
Applicants submitting paper applications may pay fees from a deposit account or by using checks, money orders, or bank drafts payable to the U.S. Copyright Office. Payment in cash may be made only in person at the Public Information Office.
Fees paid from a foreign country should be in the form of an international money order or bank check payable and immediately negotiable in the United States for the full amount of the fee required. All foreign checks or money orders must be redeemable without a service or exchange fee through a U.S. institution, payable in U.S. dollars, and imprinted with American Banking Association routing numbers. See id.
Postal money orders and international money orders that are negotiable only at a post office are not acceptable. Uncertified checks are accepted subject to collection. Where the statutory fee is submitted in the form of a check, the registration of the copyright claim or other record made by the Office is provisional until payment is received.
Receipt of valid fees is very important because it affects the effective date and validity of a registration. The effective date of registration will be the date the valid payment is received, provided that the applicant satisfied the minimum requirements for an acceptable application and deposit copy(ies) as of that date. In the event the filing fee is not paid, the registration or other record shall be expunged.
The U.S. Copyright Office maintains a system of deposit accounts for the convenience of those who frequently use the Office’s services. The system allows an individual or firm to establish a deposit account with the Office and to make advance deposits into the account. Charges for registration, recordation, or other fee services will be deducted from the outstanding balance in such accounts. See 37 C.F.R § 201.6(b).
Only certain applicants may take advantage of deposit accounts. Specifically, a person or entity must have twelve or more transactions a year with the Office before they may prepay copyright expenses by establishing a deposit account. The Office and the deposit account holder will cooperatively determine an appropriate minimum balance for the deposit account (in no case less than $450), and the Office will automatically notify the deposit account holder if the account falls below that balance.
Deposit account holders may take measures to protect against falling below the account minimum. The holder may authorize the Office to automatically replenish the account from the holder’s bank account or credit card in an amount determined by the deposit account holder. Automatic replenishment will be triggered when the deposit account falls below the minimum level of funding. The Office will notify the account holder when its account will be replenished.
The Office will close a deposit account the second time an account holder overdraws the account within any twelve-month period. An account closed for this reason can be reopened only if the account holder agrees to fund the account through automatic replenishment.
The U.S. Copyright Office will not refund fees submitted for applications for basic, supplementary, or renewal registration, including mask works and vessel designs, if the Office refuses to register the claim because the material deposited does not constitute copyrightable subject matter or because the claim is invalid for any other reason. The Office will refund payments made by mistake or in excess of the fee, depending upon the timing of the request or other factors, but amounts of $50 or less will not be refunded unless specifically requested. See 37 C.F.R. § 201.6(c)(1). For example, the Office may refund the filing fee for a duplicate submission if the applicant filed an online application, and then immediately submitted another application to register the same work because her computer crashed before she received an email acknowledging her first submission. By contrast, if the applicant submitted an application for a preregistration, a supplementary registration, or a renewal registration, the Office will not refund the filing fee, even if she actually intended to file an application for a basic registration.
When a check received in payment of the filing fee is returned to the U.S. Copyright Office marked “insufficient funds” or is otherwise marked uncollectible, the Office may cancel any registration for which the dishonored check was submitted. 37 C.F.R. § 201.7(c)(2).
The Office will notify an applicant in writing if the check could not be collected. If the filing fee is received within forty-five days from the date set forth in the notice, the Office will issue a new certificate of registration. The effective date of registration for the new certificate will be the date that the filing fee was received.
If the Office does not receive a filing fee within forty-five days, the Office will cancel the registration. If the applicant would like to resubmit the work for registration, the applicant should file a new application, together with new deposit copy(ies) and the correct filing fee. In appropriate cases, the Office reserves the right to require a certified check or money order, and in all cases, the effective date of registration will be based on the date that the new submission is received by the Office.
For additional information concerning this procedure, see Chapter 1800, Section 1807.4(B).
The U.S. Copyright Office offers expedited handling of applications and documents, as well as requests for searches, certifications, or other services. The Office charges an additional fee for expedited services, called a special handling fee. The current fees for these services are set forth in the Office’s regulations at 37 C.F.R. § 201.3(d), and on its website under the heading “Special services.” For detailed information on these fees, see Chapter 600, Section 623.6 and Chapter 2400, Section 2411.3.
The special handling fee must be paid for each application, each document, or other service for which expedited service is requested and granted. Once a request for special handling has been granted, the special handling fee is not refundable, regardless of whether the Office issues a certificate of registration or a certificate of recordation or refuses to register or refuses to record the document.