[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 1999]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR201.4]

[Page 344-345]
 
             TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
                                CONGRESS
 
PART 201--GENERAL PROVISIONS--Table of Contents
 
Sec. 201.4  Recordation of transfers and certain other documents.

    (a) General. (1) This section prescribes conditions for the 
recordation of transfers of copyright ownership and other documents 
pertaining to a copyright under section 205 of Title 17 of the United 
States Code, as amended by Pub. L. 94-553. The filing or recordation of 
the following documents is not within the provisions of this section:
    (i) Certain contracts entered into by cable systems located outside 
of the 48 contiguous States (17 U.S.C. 111(e); see 37 CFR 201.12);
    (ii) Notices of identity and signal carriage complement, and 
statements of account, of cable systems (17 U.S.C. 111(d); see 37 CFR 
201.11; 201.17);
    (iii) Original, signed notices of intention to obtain compulsory 
license to make and distribute phonorecords of nondramatic musical works 
(17 U.S.C. 115(b); see 37 CFR 201.18);
    (iv) License agreements, and terms and rates of royalty payments, 
voluntarily negotiated between one or more public broadcasting entities 
and certain owners of copyright (17 U.S.C 118; see 37 CFR 201.9);
    (v) Notices of termination (17 U.S.C. 203, 304(c); see 37 CFR 
201.10); and
    (vi) Statements regarding the identity of authors of anonymous and 
pseudonymous works, and statements relating to the death of authors (17 
U.S.C. 302).
    (2) A transfer of copyright ownership has the meaning set forth in 
section 101 of Title 17 of the United States Code, as amended by Pub. L. 
94-553. 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.
    (3) For purposes of this section:
    (i) 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; and
    (ii) 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 or the 
original.
    (b) Forms. The Copyright Office does not provide forms for the use 
of persons recording documents.
    (c) Recordable documents. Any transfer of copyright ownership 
(including any instrument of conveyance, or note or memorandum of the 
transfer), or any other document pertaining to a copyright, may be 
recorded in the Copyright Office if it is accompanied by the fee set 
forth in paragraph (d) of this section, and if the requirements of this 
paragraph with respect to signatures, completeness, and legibility are 
met.

[[Page 345]]

    (1) 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 legible 
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 parties to the 
signed document, or by an authorized representative of that person.
    (2) To be recordable, the document must be complete by its own 
terms.
    (i) 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. 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. 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 person seeking 
recordation submits a written request specifically asserting that:
    (A) The attachment is completely unavailable for recordation; and
    (B) The attachment is not essential to the identification of the 
subject matter of the document; and
    (C) It would be impossible or wholly impracticable to have the 
parties to the document sign or initial a deletion of the reference.

In such exceptional cases, the Copyright Office records of the document 
will be annotated to show that recordation was made in response to a 
specific request under this paragraph.
    (ii) If a document otherwise record- able under this indicates on 
its face that it is a self-contained part of a larger instrument (for 
example: if it is designated ``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.
    (iii) When the document submitted for recordation merely identifies 
or incorporates 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.
    (3) To be recordable, the document must be legible and capable of 
being reproduced in legible microform copies.
    (d) Fees. The fee for recordation of a document is prescribed in 
Sec. 201.3(c).
    (e) Recordation. The date of recordation is the date when a proper 
document under paragraph (c) of this section and a proper fee under 
paragraph (d) of this section are all received in the Copyright Office. 
After recordation the document is returned to the sender with a 
certificate of record.

(17 U.S.C. 205, 702, 708)

[43 FR 35044, Aug. 8, 1978, as amended at 53 FR 123, Jan. 5, 1988; 56 FR 
59885, Nov. 26, 1991; 64 FR 29521, June 1, 1999]