[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: 37CFR202.3]

[Page 419-424]
 
             TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
                                CONGRESS
 
PART 202--REGISTRATION OF CLAIMS TO COPYRIGHT--Table of Contents
 
Sec. 202.3  Registration of copyright.

    (a) General. (1) This section prescribes conditions for the 
registration of copyright, and the application to be made for 
registration under sections 408 and 409 of title 17 of the United States 
Code, as amended by Pub. L. 94-553.
    (2) For the purposes of this section, the terms audiovisual work, 
compilation, copy, derivative work, device, fixation, literary work, 
motion picture, phonorecord, pictorial, graphic and sculptural works, 
process, sound recording, and their variant forms, have the meanings set 
forth in section 101 of title 17. The term author includes an employer 
or other person for whom a work is ``made for hire'' under section 101 
of title 17.
    (3) For the purposes of this section, a copyright claimant is 
either:
    (i) The author of a work;
    (ii) A person or organization that has obtained ownership of all 
rights under the copyright initially belonging to the author.<SUP>1
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    1</SUP>  This category includes a person or organization that has 
obtained, from the author or from an entity that has obtained ownership 
of all rights under the copyright initially belonging to the author, the 
contractual right to claim legal title to the copyright in an 
application for copyright registration.
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    (b) Administrative classification and application forms--(1) Classes 
of works. For the purpose of registration, the Register of Copyrights 
has prescribed the classes of works in which copyright may be claimed. 
These classes, and examples of works which they include, are as follows:
    (i) Class TX: Nondramatic literary works. This class includes all 
published and unpublished nondramatic literary works. Examples: Fiction; 
nonfiction; poetry; textbooks; reference works; directories; catalogs; 
advertising copy; and compilations of information.
    (ii) Class PA: Works of the performing arts. This class includes all 
published and unpublished works prepared for the purpose of being 
performed directly before an audience or indirectly by means of a device 
or process. Examples: Musical works, including any accompanying words; 
dramatic works, including any accompanying music; pantomimes and 
choreographic works; and motion pictures and other audiovisual works.
    (iii) Class VA: Works of the visual arts. This class includes all 
published and unpublished pictorial, graphic, and sculptural works. 
Examples: Two dimensional and three dimensional works of the fine, 
graphic, and applied arts; photographs; prints and art reproductions; 
maps, globes, and charts; technical drawings, diagrams, and models; and 
pictorial or graphic labels and advertisements.
    (iv) Class SR: Sound recordings. This class includes all published 
and unpublished sound recordings fixed on and after February 15, 1972. 
Claims to copyright in literary, dramatic, and musical works embodied in 
phonorecords may also be registered in this class under paragraph (b)(3) 
of this section if:
    (A) Registration is sought on the same application for both a 
recorded literary, dramatic, or musical work and a sound recording;
    (B) The recorded literary, dramatic, or musical work and the sound 
recording are embodied in the same phonorecord; and
    (C) The same claimant is seeking registration of both the recorded 
literary, dramatic, or musical work and the sound recording.
    (v) Class SE: Serials. A serial is a work issued or intended to be 
issued in successive parts bearing numerical or chronological 
designations and intended to be continued indefinitely.

[[Page 420]]

This class includes periodicals; newspapers; annuals; and the journals, 
proceedings, transactions, etc. of societies.
    (2) Application forms. For the purpose of registration, The Register 
of Copyrights has prescribed the basic forms to be used for all 
applications submitted on and after January 1, 1978. Each form 
corresponds to a class set forth in paragraph (b)(1) of this section and 
is so designated (``Form TX''; ``Form PA''; ``Form VA''; ``Form SR''; 
``Form SE''; and ``Form SE/Group''). Copies of the forms are available 
free upon request to the Public Information Office, Library of Congress, 
Copyright Office, 101 Independence Avenue, SE., Washington, DC 20559-
6000. Applications should be submitted in the class most appropriate to 
the nature of the authorship in which copyright is claimed. In the case 
of contributions to collective works, applications should be submitted 
in the class representing the copyrightable authorship in the 
contribution. In the case of derivative works, applications should be 
submitted in the class most appropriately representing the copyrightable 
authorship involved in recasting, transforming, adapting, or otherwise 
modifying the preexisting work. In cases where a work contains elements 
of authorship in which copyright is claimed which fall into two or more 
classes, the application should be submitted in the class most 
appropriate to the type of authorship that predominates in the work as a 
whole. However, in any case where registration is sought for a work 
consisting of or including a sound recording in which copyright is 
claimed <SUP>2</SUP> the application shall be submitted on Form SR.
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    <SUP>2</SUP> A sound recording does not include the sounds 
accompanying a motion picture or other audiovisual work (17 U.S.C. 101). 
For this purpose, ``accompanying'' does not require physical integration 
in the same copy. Accordingly, registration may be made for a motion 
picture or audiovisual kit in Class PA and that registration will cover 
the sounds embodied in the ``sound track'' of the motion picture or on 
disks, tapes, or the like included in the kit. Separate application in 
Class SR is not appropriate for these elements.
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    (3) Registration as a single work. (i) For the purpose of 
registration on a single application and upon payment of a single 
registration fee, the following shall be considered a single work:
    (A) In the case of published works: All copyrightable elements that 
are otherwise recognizable as self-contained works, that are included in 
a single unit of publication, and in which the copyright claimant is the 
same; and
    (B) In the case of unpublished works: all copyrightable elements 
that are otherwise recognizable as self-contained works, and are 
combined in a single unpublished ``collection.'' For these purposes, a 
combination of such elements shall be considered a ``collection'' if:
    (1) The elements are assembled in an orderly form;
    (2) The combined elements bear a single title identifying the 
collection as a whole;
    (3) The copyright claimant in all of the elements, and in the 
collection as a whole, is the same; and
    (4) All of the elements are by the same author, or, if they are by 
different authors, at least one of the authors has contributed 
copyrightable authorship to each element.

Registration of an unpublished ``collection'' extends to each 
copyrightable element in the collection and to the authorship, if any, 
involved in selecting and assembling the collection.
    (ii) In the case of applications for registration made under 
paragraphs (b)(3) through (b)(8) of this section, the ``year in which 
creation of this work was completed'', as called for by the application, 
means the latest year in which the creation of any copyrightable element 
was completed.
    (4) Group registration of related works: Automated databases. (i) 
Pursuant to the authority granted by section 408(c)(1) of title 17 of 
the United States Code, the Register of Copyrights has determined that, 
on the basis of a single application, deposit, and filing fee, a single 
registration may be made for automated databases and their updates or 
other derivative versions that are original works of authorship, if, 
where a database (or updates or other revisions thereof), if 
unpublished, is (or are) fixed, or if published is (or are) published 
only in the form of machine-

[[Page 421]]

readable copies, all of the following conditions are met:
    (A) All of the updates or other revisions are owned by the same 
copyright claimant;
    (B) All of the updates or other revisions have the same general 
title;
    (C) All of the updates or other revisions are similar in their 
general content, including their subject;
    (D) All of the updates or other revisions are similar in their 
organization;
    (E) Each of the updates or other revisions as a whole, if published 
before March 1, 1989, bears a statutory copyright notice as first 
published and the name of the owner of copyright in each work (or an 
abbreviation by which the name can be recognized, or a generally known 
alternative designation of the owner) was the same in each notice;
    (F) Each of the updates or other revisions if published was first 
published, or if unpublished was first created, within a three-month 
period in a single calendar year; and
    (G) The deposit accompanying the application complies with 
Sec. 202.20(c)(2)(vii)(D).
    (ii) A single registration may be made on one application for both a 
database published on a single date, or if unpublished, created on a 
single date, and also for its copyrightable revisions, including updates 
covering a three-month period in a single calendar year. An application 
for group registration of automated databases under section 408(c)(1) of 
title 17 and this subsection shall consist of:
    (A) A Form TX, completed in accordance with the basic instructions 
on the form and the Special Instructions for Group Registration of an 
Automated Database and its Updates or Revisions;
    (B) The appropriate filing fee, as required in Sec. 201.3(c); and
    (C) The deposit required by Sec. 202.20(c)(2)(vii)(D).
    (5) Group registration of related serials. (i) Pursuant to the 
authority granted by section 408(c)(1) of title 17 of the United States 
Code, the Register of Copyrights has determined that, on the basis of a 
single application, deposit, and filing fee, a single registration may 
be made for a group of serials published at intervals of a week or 
longer if all the following conditions are met:
    (A) The Library of Congress receives two complimentary copies 
promptly after publication of each issue of the serial.
    (B) The single application covers no more than the issues published 
in a given three month period.
    (C) The claim to copyright for which registration is sought is in 
the collective work.
    (D) The collective work authorship is essentially new material that 
is being published for the first time.
    (E) The collective work is a work made for hire.
    (F) The author(s) and claimant(s) of the collective work are the 
same person(s) or organization(s).
    (G) Each issue must have been created no more than one year prior to 
publication and all issues included in the group registration must have 
been published in the same calendar year.
    (ii) To be eligible for group registration of serials, publishers 
must submit a letter affirming that two complimentary subscriptions to 
the particular serial have been entered for the Library of Congress. The 
letter should be sent to Library of Congress,`Group Periodicals 
Registration,' Washington, DC 20540-4161.
    (iii) The complimentary subscription copies must be addressed to: 
Group Periodicals Registration Library of Congress, Washington, DC 
20540-4161.
    (iv) The Register of Copyrights may revoke the privilege of group 
registration of serials for any publisher who fails to submit the 
required complimentary subscription copies promptly after publication of 
each issue. Notice of revocation of the group registration of serials 
privilege shall be given in writing and shall be sent to the individual 
person or organization applying for group registration of serials, at 
the last address shown in the records of the Copyright Office. A notice 
of revocation may be given at any time if the requirements of the 
regulation are not satisfied, but it shall state a specific date of 
revocation that is at least 30 days later than the date the notice is 
mailed.
    (v) To apply for group registration of serials under section 
408(c)(1) of title 17 and this subsection, the following

[[Page 422]]

items must be sent together in the same package:
    (A) A completed Form SE/Group giving the requested information.
    (B) The appropriate filing fee, as required in Sec. 201.3(c), for 
each issue covered by the group registration.
    (C) A deposit consisting of one complete copy of the best edition of 
each issue included in the group registration.
    (6) Group registration of daily newspapers. (i) Pursuant to the 
authority granted by 17 U.S.C. 408(c)(1), the Register of Copyrights has 
determined that, on the basis of a single application, microfilm 
deposit, and filing fee, a single registration may be made for a group 
of daily newspapers published in a microfilm format if the following 
conditions are met:
    (A) Registration covers a full month of issues of the same newspaper 
title published with issue dates in one calendar month.
    (B) A completed GDN application form is submitted.
    (C) A publication date is specified designating the first and last 
day that issues in the group were published.
    (D) A deposit is made of positive, 35mm silver halide microfilm 
meeting the Library's best edition criteria that includes all issues 
published as final editions in the designated calendar month. In 
addition to the final edition of the daily newspaper, the claim to 
copyright and the deposit may also include earlier editions published 
the same day in a given metropolitan area served by the newspaper, but 
may not include national or regional editions distributed beyond a given 
metropolitan area.
    (E) The appropriate filing fee, as required in Sec. 201.3(c), is 
included with the submission, or charged to an active deposit account.
    (F) Registration is sought within three months after the publication 
date of the last issue included in the group.
    (ii) As used in this regulation, newspapers means serials which are 
classified as newspapers under the policy document ``Newspapers Received 
Currently in the Library of Congress,''which is administered by the 
Newspaper Section of the Serials & Government Publications Division of 
the Library of Congress. In general, serials classified as newspapers 
are serials mainly designed to be a primary source of written 
information on current events, either local, national, or international 
in scope. A newspaper contains a broad range of news on all subjects and 
activities and is not limited to any specific subject matter. Newspapers 
are intended either for the general public or for a particular ethnic, 
cultural, or national group.
    (7) Group registration of contributions to periodicals. (i) As 
provided by section 408(c)(2) of title 17 of the United States Code, as 
amended by Pub. L. 94-553, a single registration, on the basis of a 
single application, deposit, and registration fee, may be made for a 
group of works if all of the following conditions are met:
    (A) All of the works are by the same author;
    (B) The author of each work is an individual, and not an employer or 
other person for whom the work was made for hire;
    (C) Each of the works first published as a contribution to a 
periodical (including newspapers) within a twelve-month period;<SUP>3
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    3</SUP> This does not require that each of the works must have been 
first published during the same calendar year; it does require that, to 
be grouped in a single application, the earliest and latest 
contributions must not have been first published more than twelve months 
apart.
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    (D) Each of the works, if first published before March 1, 1989, bore 
a separate copyright notice, and the name of the owner of copyright in 
each work (or an abbreviation by which the name can be recognized, or a 
generally known alternative designation of the owner) was the same in 
each notice; and
    (E) The deposit accompanying the application consists of one copy of 
the entire issue of the periodical, or of the entire section in the case 
of a newspaper, in which each contribution was first published.
    (ii) An application for group registration under section 408(c)(2) 
of title 17 and this Sec. 202.3(b)(7) shall consist of:
    (A) A basic application for registration on Form TX, Form PA, or 
Form

[[Page 423]]

VA, \4\ which shall contain the information required by the form and its 
accompanying instructions;
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    \4\ The basic application should be filed in the class appropriate 
to the nature of authorship in the majority of the contributions. 
However, if any of the contributions consists preponderantly of 
nondramatic literary material that is in the English language, the basic 
application for the entire group should be submitted on Form TX.
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    (B) An adjunct form prescribed by the Copyright Office and 
designated ``Adjunct Application for Copyright Registration for a Group 
of Contributions to Periodicals (Form GR/CP)'', which shall contain the 
information required by the form and its accompanying instructions; and
    (C) The appropriate filing fee, as required in Sec. 201.3(c), and 
the deposit required by paragraph (b)(7)(i)(E) of this section.
    (8) Group registration of daily newsletters. Pursuant to the 
authority granted by 17 U.S.C. 408(c)(1), the Register of Copyrights has 
determined that, on the basis of a single application, deposit, and 
filing fee, a single registration may be made for a group of two or more 
issues of a daily newsletter if the following conditions are met:
    (i) As used in this regulation, daily newsletter means a serial 
published and distributed by mail or electronic media (online or 
telefacsimile), or in any medium including but not limited to, paper, 
cassette tape, diskette or CD-ROM). Publication must occur on at least 
two days each week and the newsletter must contain news or information 
of interest chiefly to a special group (for example, trade and 
professional associations, corporate in-house groups, schools, colleges, 
or churches).
    (ii) The works must be essentially all new collective works or all 
new issues that have not been published before.
    (iii) Each issue must be a work made for hire.
    (iv) The author(s) and claimant(s) must be the same person(s) or 
organization(s) for all of the issues.
    (v) All the items in the group must bear issue dates within a single 
calendar month under the same continuing title.
    (vi) Deposit. (A). The deposit for newsletters registered under this 
section is one complete copy of each issue included in the group.
    (B). In addition, if requested in writing by the Copyright 
Acquisitions Division before an application for registration is 
submitted, the claimant must give the Library of Congress whichever of 
the following the Library prefers: either as many as two complimentary 
subscriptions of the newsletter in the edition most suitable to the 
Library's needs, or a single positive, 35 mm silver halide microfilm 
meeting the Library's best edition criteria that includes all issues 
published as final editions in the designated calendar month. 
Subscription copies must be delivered to the separate address specified 
by the Copyright Acquisitions Division in its request. Subscription 
copies or a microfilm are not required unless expressly requested by the 
Copyright Acquisitions Division.
    (C) The copyright owner of any newsletter that cannot meet the 
criteria set out in this section may continue to register on Form SE or 
Short Form SE.
    (vii) Registration is sought within three months after the 
publication date of the last issue included in the group.
    (viii) A Form G/DN shall be submitted for daily newsletters bearing 
issue dates within a single month, together with one copy of each issue, 
and a filing fee. The application shall designate the first and last day 
that issues in the group were published.
    (9) One registration per work. As a general rule only one copyright 
registration can be made for the same version of a particular work. 
However:
    (i) Where a work has been registered as unpublished, another 
registration may be made for the first published edition of the work, 
even if it does not represent a new version;
    (ii) Where someone other than the author is identified as copyright 
claimant in a registration, another registration for the same version 
may be made

[[Page 424]]

by the author in his or her own name as copyright claimant;<SUP>5
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    </SUP>\5\ An author includes an employer or other person for whom a 
work is ``made for hire'' under 17 U.S.C. 101. This paragraph does not 
permit an employee or other person working ``for hire'' under that 
section to make a later registration in his or her own name. In the case 
of authors of a joint work, this paragraph does permit a later 
registration by one author in his or her own name as copyright claimant, 
where an earlier registration identifies only another author as 
claimant.
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    (iii) Where an applicant for registration alleges that an earlier 
registration for the same version is unauthorized and legally invalid, a 
registration may be made by that applicant; and
    (iv) Supplementary registrations may be made, under the conditions 
of Sec. 201.5 of these regulations, to correct or amplify the 
information in a registration made under this section.
    (c) Application for registration. (1) An application for copyright 
registration may be submitted by any author or other copyright claimant 
of a work, or the owner of any exclusive right in a work, or the duly 
authorized agent of any such author, other claimant, or owner.
    (2) An application for copyright registration shall be submitted on 
the appropriate form prescribed by the Register of Copyrights under 
paragraph (b) of this section, and shall be accompanied by the 
appropriate filing fee, as required in Sec. 201.3(c), and the deposit 
required under 17 U.S.C. 408 and Sec. 202.20 of these regulations.<SUP>6</SUP> 
The application shall contain the information required by the form and 
its accompanying instructions, and shall include a certification. The 
certification shall consist of:
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    \6\ In the case of applications for group registration of 
newspapers, contributions to periodicals, and newsletters, under 
paragraphs (b)(6), (b)(7), and (b)(8) of this section, the deposits 
shall comply with the deposits specified in the respective paragraphs, 
and the fees with those specified in Sec. 201.3.
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    (i) A designation of whether the applicant is the author of, or 
other copyright claimant or owner of exclusive rights in, the work, or 
the duly authorized agent of such author, other claimant, or owner 
(whose identity shall also be given);
    (ii) The handwritten signature of such author, other claimant, 
owner, or agent, accompanied by the typed or printed name of that 
person;
    (iii) A declaration that the statements made in the application are 
correct to the best of that person's knowledge; and
    (iv) The date of certification.

An application for registration of a published work will not be accepted 
if the date of certification is earlier than the date of publication 
given in the application.

(Pub. L. 94-553; secs. 408, 409, 410, 702)

[43 FR 966, Jan. 5, 1978; as amended at 54 FR 13181, Mar. 31, 1989; 54 
FR 21059, May 16, 1989; 55 FR 50557, Dec. 7, 1990; 56 FR 7813, 7815 Feb. 
26, 1991; 56 FR 27197, June 13, 1991; 56 FR 59885, Nov. 26, 1991; 56 FR 
65190, Dec. 16, 1991; 57 FR 39616, Sept. 1, 1992; 58 FR 17778, Apr. 6, 
1993; 60 FR 15875, Mar. 28, 1995; 60 FR 34168, June 30, 1995; 62 FR 
63657, Dec. 2, 1997; 62 FR 66822, Dec. 22, 1997; 64 FR 29522, 29523, 
June 1, 1999]