[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: 37CFR202.19]
[Page 431-435]
TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
CONGRESS
PART 202--REGISTRATION OF CLAIMS TO COPYRIGHT--Table of Contents
Sec. 202.19 Deposit of published copies or phonorecords for the Library of Congress.
(a) General. This section prescribes rules pertaining to the deposit
of copies and phonorecords of published works for the Library of
Congress under section 407 of title 17 of the United States Code, as
amended by Pub. L. 94-553. The provisions of this section are not
applicable to the deposit of copies and phonorecords for purposes of
copyright registration under section 408 of title 17, except as
expressly adopted in Sec. 202.20 of these regulations.
(b) Definitions. For the purposes of this section:
(1)(i) The best edition of a work is the edition, published in the
United States at any time before the date of deposit, that the Library
of Congress determines to be most suitable for its purposes.
(ii) Criteria for selection of the ``best edition'' from among two
or more published editions of the same version of the same work are set
forth in the statement entitled ``Best Edition of Published Copyrighted
Works for the Collections of the Library of Congress'' (hereafter
referred to as the ``Best Edition Statement'') in effect at the time of
deposit. Copies of the Best Edition Statement are available upon request
made to the Copyright Acquisitions Division.
(iii) Where no specific criteria for the selection of the ``best
edition'' are established in the Best Edition Statement, that edition
which, in the judgment of the Library of Congress, represents the
highest quality for its purposes shall be considered the ``best
edition''. In such cases:
(A) When the Copyright Office is aware that two or more editions of
a work have been published it will consult with other appropriate
officials of the Library of Congress to obtain instructions as to the
``best edition'' and (except in cases for which special relief is
granted) will require deposit of that edition; and
(B) When a potential depositor is uncertain which of two or more
published editions comprises the ``best edition'', inquiry should be
made to the Copyright Acquisitions Division.
(iv) Where differences between two or more ``editions'' of a work
represent variations in copyrightable content, each edition is
considered a separate version, and hence a different work, for the
purpose of this section, and criteria
[[Page 432]]
of ``best edition'' based on such differences do not apply.
(2) A complete copy includes all elements comprising the unit of
publication of the best edition of the work, including elements that, if
considered separately, would not be copyrightable subject matter or
would otherwise be exempt from mandatory deposit requirements under
paragraph (c) of this section. In the case of sound recordings, a
``complete'' phonorecord includes the phonorecord, together with any
printed or other visually perceptible material published with such
phonorecord (such as textual or pictorial matter appearing on record
sleeves or album covers, or embodied in leaflets or booklets included in
a sleeve, album, or other container). In the case of a musical
composition published in copies only, or in both copies and
phonorecords:
(i) If the only publication of copies in the United States took
place by the rental, lease, or lending of a full score and parts, a full
score is a ``complete'' copy; and
(ii) If the only publication of copies in the United States took
place by the rental, lease, or lending of a conductor's score and parts,
a conductor's score is a ``complete'' copy.
In the case of a motion picture, a copy is ``complete'' if the
reproduction of all of the visual and aural elements comprising the
copyrightable subject matter in the work is clean, undamaged,
undeteriorated, and free of splices, and if the copy itself and its
physical housing are free of any defects that would interfere with the
performance of the work or that would cause mechanical, visual, or
audible defects or distortions.
(3) The terms architectural works, copies, collective work, device,
fixed, literary work, machine, motion picture, phonorecord, publication,
sound recording, useful article, and their variant forms, have the
meanings given to them in 17 U.S.C. 101.
(c) Exemptions from deposit requirements. The following categories
of material are exempt from the deposit requirements of section 407(a)
of title 17:
(1) Diagrams and models illustrating scientific or technical works
or formulating scientific or technical information in linear or three-
dimensional form, such as an architectural or engineering blueprint,
plan, or design, a mechanical drawing, or an anatomical model.
(2) Greeting cards, picture postcards, and stationery.
(3) Lectures, sermons, speeches, and addresses when published
individually and not as a collection of the works of one or more
authors.
(4) Literary, dramatic, and musical works published only as embodied
in phonorecords. This category does not exempt the owner of copyright,
or of the exclusive right of publication, in a sound recording resulting
from the fixation of such works in a phonorecord from the applicable
deposit requirements for the sound recording.
(5) Automated databases available only on-line in the United States.
The exemption does not include the following: automated databases
distributed in the form of machine-readable copies (such as magnetic
tape or disks, CD-ROM formats, punch cards, or the like); computerized
information works in the nature of statistical compendia, serials, and
reference works; works published in a form requiring the use of a
machine or device for purposes of optical enlargement (such as film,
filmstrips, slide films and works published in any variety of
microform); works published in visually perceptible form but used in
connection with optical scanning devices; and works reproduced in CD-ROM
formats.
(6) Three-dimensional sculptural works, and any works published only
as reproduced in or on jewelry, dolls, toys, games, plaques, floor
coverings, wallpaper and similar commercial wall coverings, textiles and
other fabrics, packaging material, or any useful article. Globes, relief
models, and similar cartographic representations of area are not within
this category and are subject to the applicable deposit requirements.
(7) Prints, labels, and other advertising matter, including
catalogs, published in connection with the rental lease, lending,
licensing, or sale of articles of merchandise, works of authorship, or
services.
[[Page 433]]
(8) Tests, and answer material for tests when published separately
from other literary works.
(9) Works first published as individual contributions to collective
works. This category does not exempt the owner of copyright, or of the
exclusive right of publication, in the collective work as a whole, from
the applicable deposit requirements for the collective work.
(10) Works first published outside the United States and later
published in the United States without change in copyrightable content,
if:
(i) Registration for the work was made under 17 U.S.C. 408 before
the work was published in the United States; or
(ii) Registration for the work was made under 17 U.S.C. 408 after
the work was published in the United States but before a demand for
deposit is made under 17 U.S.C. 407(d).
(11) Works published only as embodied in a soundtrack that is an
integral part of a motion picture. This category does not exempt the
owner of copyright, or of the exclusive right of publication, in the
motion picture, from the applicable deposit requirements for the motion
picture.
(12) Motion pictures that consist of television transmission
programs and that have been published, if at all, only by reason of a
license or other grant to a nonprofit institution of the right to make a
fixation of such programs directly from a transmission to the public,
with or without the right to make further uses of such fixations.
(d) Nature of required deposit. (1) Subject to the provisions of
paragraph (d)(2) of this section, the deposit required to satisfy the
provisions of section 407(a) of title 17 shall consist of:
(i) In the case of published works other than sound recordings, two
complete copies of the best edition; and
(ii) In the case of published sound recordings, two complete
phonorecords of the best edition.
(2) In the case of certain published works not exempt from deposit
requirements under paragraph (c) of this section, the following special
provisions shall apply:
(i) In the case of published three-dimensional cartographic
representations of area, such as globes and relief models, the deposit
of one complete copy of the best edition of the work will suffice in
lieu of the two copies required by paragraph (d)(1) of this section.
(ii) In the case of published motion pictures, the deposit of one
complete copy of the best edition of the work will suffice in lieu of
the two copies required by paragraph (d)(1) of this section. Any deposit
of a published motion picture must be accompanied by a separate
description of its contents, such as a continuity, pressbook, or
synopsis. The Library of Congress may, at its sole discretion, enter
into an agreement permitting the return of copies of published motion
pictures to the depositor under certain conditions and establishing
certain rights and obligations of the Library with respect to such
copies. In the event of termination of such an agreement by the Library
it shall not be subject to reinstatement, nor shall the depositor or any
successor in interest of the depositor be entitled to any similar or
subsequent agreement with the Library, unless at the sole discretion of
the Library it would be in the best interests of the Library to
reinstate the agreement or enter into a new agreement.
(iii) In the case of any published work deposited in the form of a
hologram, the deposit shall be accompanied by:
(A) Two sets of precise instructions for displaying the image fixed
in the hologram; and
(B) Two sets of identifying material in compliance with Sec. 202.21
of these regulations and clearly showing the displayed image.
(iv) In any case where an individual author is the owner of
copyright in a published pictorial or graphic work and (A) less than
five copies of the work have been published, or (B) the work has been
published and sold or offered for sale in a limited edition consisting
of no more than three hundred numbered copies, the deposit of one
complete copy of the best edition of the work or, alternatively, the
deposit of photographs or other identifying material in compliance with
Sec. 202.21 of these regulations, will suffice in lieu of the
[[Page 434]]
two copies required by paragraph (d)(1) of this section.
(v) In the case of a musical composition published in copies only,
or in both copies and phonorecords, if the only publication of copies in
the United States took place by rental, lease, or lending, the deposit
of one complete copy of the best edition will suffice in lieu of the two
copies required by paragraph (d)(1) of this section.
(vi) In the case of published multimedia kits, that include literary
works, audiovisual works, sound recordings, or any combination of such
works, the deposit of one complete copy of the best edition will suffice
in lieu of the two copies required by paragraph (d)(1) of this section.
(vii) In the case of published computer programs and published
computerized information works, such as statistical compendia, serials,
and reference works that are not copy-protected, the deposit of one
complete copy of the best edition as specified in the current Library of
Congress Best Edition Statement will suffice in lieu of the two copies
required by paragraph (d)(1) of this section. If the works are copy-
protected, two copies of the best edition are required.
(viii) In the case of published architectural works, the deposit
shall consist of the most finished form of presentation drawings in the
following descending order of preference:
(A) Original format, or best quality form of reproduction, including
offset or silk screen printing;
(B) Xerographic or photographic copies on good quality paper;
(C) Positive photostat or photodirect positive;
(D) Blue line copies (diazo or ozalid process). If photographs are
submitted, they should be 8 x 10 inches and should clearly show several
exterior and interior views. The deposit should disclose the name(s) of
the architect(s) and draftsperson(s) and the building site.
(e) Special relief. (1) In the case of any published work not exempt
from deposit under paragraph (c) of this section, the Register of
Copyrights may, after consultation with other appropriate officials of
the Library of Congress and upon such conditions as the Register may
determine after such consultation:
(i) Grant an exemption from the deposit requirements of section
407(a) of title 17 on an individual basis for single works or series or
groups of works; or
(ii) Permit the deposit of one copy or phonorecord, or alternative
identifying material, in lieu of the two copies or phonorecords required
by paragraph (d)(1) of this section; or
(iii) Permit the deposit of incomplete copies or phonorecords, or
copies or phonorecords other than those normally comprising the best
edition; or
(iv) Permit the deposit of identifying material which does not
comply with Sec. 202.21 of these regulations.
(2) Any decision as to whether to grant such special relief, and the
conditions under which special relief is to be granted, shall be made by
the Register of Copyrights after consultation with other appropriate
officials of the Library of Congress, and shall be based upon the
acquisition policies of the Library of Congress then in force.
(3) Requests for special relief under this paragraph shall be made
in writing to the Chief, Examining Division, shall be signed by or on
behalf of the owner of copyright or of the exclusive right of
publication in the work, and shall set forth specific reasons why the
request should be granted.
(4) The Register of Copyrights may, after consultation with other
appropriate officials of the Library of Congress, terminate any ongoing
or continuous grant of special relief. Notice of termination shall be
given in writing and shall be sent to the individual person or
organization to whom the grant of special relief had been given, at the
last address shown in the records of the Copyright Office. A notice of
termination may be given at any time, but it shall state a specific date
of termination that is at least 30 days later than the date the notice
is mailed. Termination shall not affect the validity of any deposit made
earlier under the grant of special relief.
(f) Submission and receipt of copies and phonorecords. (1) All
copies and
[[Page 435]]
phonorecords deposited in the Copyright Office will be considered to be
deposited only in compliance with section 407 of title 17 unless they
are accompanied by an application for registration of a claim to
copyright in the work represented by the deposit, and either a
registration fee or a deposit account number on the application. Copies
or phonorecords deposited without such an accompanying application and
either a fee or a deposit account notation will not be connected with or
held for receipt of separate applications, and will not satisfy the
deposit provisions of section 408 of title 17 or Sec. 202.20 of these
regulations.
(2) All copies and phonorecords deposited in the Copyright Office
under section 407 of title 17, unless accompanied by written
instructions to the contrary, will be considered to be deposited by the
person or persons named in the copyright notice on the work.
(3) Upon request by the depositor made at the time of the deposit,
the Copyright Office will issue a certificate of receipt for the deposit
of copies or phonorecords of a work under this section. Certificates of
receipt will be issued in response to requests made after the date of
deposit only if the requesting party is identified in the records of the
Copyright Office as having made the deposit. In either case, requests
for a certificate of receipt must be in writing and accompanied by the
appropriate fee, as required in Sec. 201.3(c). A certificate of receipt
will include identification of the depositor, the work deposited, and
the nature and format of the copy or phonorecord deposited, together
with the date of receipt.
[51 FR 6403, Feb. 24, 1986, as amended at 54 FR 42299, Oct. 16, 1989; 56
FR 47403, Sept. 19, 1991; 56 FR 59885, Nov. 26, 1991; 57 FR 45310, Oct.
1, 1992; 60 FR 34168, June 30, 1995; 64 FR 29522, June 1, 1999]