[Federal Register Volume 83, Number 247 (Thursday, December 27, 2018)]
[Rules and Regulations]
[Pages 66627-66630]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-27823]


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LIBRARY OF CONGRESS

Copyright Office

37 CFR Parts 201, 202, 211, and 212

[Docket No. 2018-1]


Streamlining the Single Application and Clarifying Eligibility 
Requirements

AGENCY: U.S. Copyright Office, Library of Congress.

ACTION: Final rule.

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SUMMARY: The U.S. Copyright Office is amending its regulations to 
update the eligibility requirements for its application forms to 
reflect recent technical updates. The final rule clarifies that the 
Single Application may be used to register one work that is created and 
solely owned by one author and is not a work made for hire. It also 
confirms that 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. The final rule further clarifies 
the eligibility requirements for the Standard Application, which may be 
used to register certain works that are not eligible for the Single 
Application. It updates the eligibility requirements for the paper 
applications of both the Single Application and Standard Application by 
clarifying that these forms may be certified with a typed, printed, or 
handwritten signature, and by eliminating the ``short form'' version of 
these forms. The rule also makes several technical amendments to the 
regulations governing preregistration, mask works, vessel designs, the 
unit of publication registration option, and the group registration 
option for database updates.

DATES: Effective January 28, 2019.

FOR FURTHER INFORMATION CONTACT: Robert J. Kasunic, Associate Register 
of Copyrights and Director of Registration Policy and Practice; Erik 
Bertin, Deputy Director of Registration Policy and Practice; or Anna 
Bonny Chauvet, Assistant General Counsel, by telephone at 202-707-8040 
or by email at [email protected], [email protected], or 
[email protected].

SUPPLEMENTARY INFORMATION: 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 
``Office''). 17 U.S.C. 408(a). The statute gives the Register of 
Copyrights the authority to issue regulations concerning the specific 
nature of the deposit that should be submitted, the amount of the fee, 
and the information that should be included in the application. 17 
U.S.C. 408(c)(1), 409(10), 702, 708(b).
    On February 6, 2018, the Office issued a notice of proposed 
rulemaking (the ``NPRM'') proposing to update the regulations governing 
its application forms to coincide with technical upgrades to its 
current electronic registration system. 83 FR 5227 (Feb. 6, 2018). The 
NPRM proposed changes to the regulations governing the Single 
Application to reflect changes in the Office's electronic registration 
system and made a number of technical amendments. With respect to the 
Single Application, the proposed rule clarified that the Single 
Application may be used if (i) the claim is limited to one work, (ii) 
the work was created by one individual, (iii) all of the content 
appearing in the work was created by that individual, (iv) the author 
is sole owner of all rights in the work, and (v) the work is not a work 
made for hire. See 83 FR at 5228, 5229.
    One exception is made for sound recordings that embody separate 
musical, literary, or dramatic works. The NPRM explained current 
Copyright Office practice that the Single Application may be used to 
register one sound recording and one musical work, literary work, or 
dramatic work together if certain requirements have been met, 
notwithstanding the fact that a sound recording and the work embodied 
in that recording are separate works. In particular, (i) the author of 
the sound recording and the work embodied in that recording must be the 
same individual, (ii) the author must own the copyright in both works, 
and (iii) the author must be the only performer

[[Page 66628]]

featured in the recording. See id. at 5228. The Office also invited 
comment on whether the last requirement should be modified to allow for 
situations where other performers are featured in the sound recording. 
See id. at 5228-29.
    Finally, the NPRM made clear that the Single Application may be 
submitted by the author/owner of the work or by a duly authorized agent 
of the author/owner, provided that the agent is identified in the 
correspondent section of the application. The Office noted that the 
filing fee for the Single Application is lower than the fee required 
for its other applications, but that the vast majority of these claims 
are submitted by publishers, producers, distributors, or other 
corporate entities. The Office thus questioned whether these types of 
entities need a discounted filing fee, and invited comment on whether 
they should be allowed to submit the Single Application on the author/
owner's behalf. See id. at 5229.
    The NRPM also proposed a number of technical amendments. First, the 
NPRM made explicit Copyright Office practice that the Standard 
Application may be used to register any work that is eligible for 
registration under sections 408(a) and 409 of the Copyright Act, but it 
may not be used to seek a supplementary registration, a registration 
for a restored work, or a registration for a mask work or vessel 
design. It also clarified that the Standard Application may not be used 
to seek a group registration unless it is specifically permitted by the 
regulations. See id.
    Second, the proposed rule updated the regulations governing paper 
applications by clarifying that these forms may be certified with a 
typed, printed, or handwritten signature. See id.\1\
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    \1\ The proposed rule made this change only with respect to 
copyright registration applications submitted on paper. The final 
rule eliminates the handwritten signature requirements in other 
kinds of paper forms as well. See 37 CFR 202.17(g)(2)(ii)(B) (Form 
RE); id. Sec.  211.4(b)(3)(ii) (Form MW); id. 212.8(c)(1)(x)(A) 
(Form DC).
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    Third, the proposed rule eliminated the ``short form'' version of 
the paper applications. See id. at 5229-30.
    Fourth and finally, the proposed rule removed the word ``single'' 
from various places in the regulations to avoid potential confusion 
with the Single Application.
    The Office received one comment from one individual who expressed 
support for allowing ``the Single Application to 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.'' \2\ Accordingly, the 
Office is issuing a final rule nearly identical to the proposed rule, 
with a few additional technical changes. First, the final rule accounts 
for amendments resulting from a recent final rule on group registration 
of newsletters and serials. See 83 FR 61546 (Nov. 30, 2018). Second, 
the rule clarifies that claims should be submitted for registration in 
the administrative class that is most appropriate for the work being 
claimed, regardless of whether the paper or online application is used, 
and that sound recording claims should be submitted for registration in 
Class SR.
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    \2\ A copy of this comment may be found on the Office's website 
at https://www.copyright.gov/rulemaking/streamlining-single/.
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    The Office did not receive comments on any other aspect of the 
proposed rule, including the Office's question whether the author of a 
sound recording that features performers other than the author should 
be allowed to use the Single Application. The Office is accordingly 
maintaining the requirement that the author of the sound recording be 
the only performer on (and thus the sole author of) the sound 
recording. The Office remains open to revisiting this requirement in 
the course of its registration modernization process and encourages 
interested members of the public to provide views on this question in 
connection with those efforts. Similarly, due to the lack of comment, 
the Office is maintaining the ability for third parties to file Single 
Applications on behalf of the author/owner of the work, but will 
continue to monitor the usage of the Single Application. If corporate 
entities continue to be the predominant users of the Single 
Application, the Office may narrow the eligibility requirements, or 
reevaluate the need for that application entirely.
     * * *

List of Subjects

37 CFR Part 201

    Cable television, Copyright, Jukeboxes, Recordings, Satellites.

37 CFR Part 202

    Claims, Copyright.

37 CFR Part 211

    Computer technology, Science and technology, Semiconductor chip 
products.

37 CFR Part 212

    Vessels.

Final Regulations

    For the reasons set forth in the preamble, the Copyright Office 
amends 37 CFR parts 201, 202, 211, and 212 as follows:

PART 201--GENERAL PROVISIONS

0
1. The authority citation for part 201 continues to read as follows:

    Authority: 17 U.S.C. 702.


0
2. In Sec.  201.3, revise paragraph (c)(1) introductory text to read as 
follows:


Sec.  201.3  Fees for registration, recordation, and related services, 
special services, and services performed by the Licensing Division.

* * * * *
    (c) * * *

------------------------------------------------------------------------
     Registration, recordation and related services          Fees ($)
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(1) Registration of a claim in an original work of
 authorship:
 
                                * * * * *
------------------------------------------------------------------------

* * * * *

PART 202--PREREGISTRATION AND REGISTRATION OF CLAIMS TO COPYRIGHT

0
3. The authority citation for part 202 continues to read as follows:

    Authority: 17 U.S.C. 408(f), 702.


0
4. Amend Sec.  202.3 as follows:
0
a. Revise the heading for paragraph (b)(2)(i) and add introductory text 
to paragraph (b)(2)(i).
0
b. Revise paragraphs (b)(2)(i)(A) and (B).
0
c. In paragraph (b)(2)(i)(C):
0
i. Remove the word ``submission'' and add in its place ``application'';
0
ii. Remove the words ``application fee'' and add in their place 
``filing fee''; and
0
iii. Remove the word ``fund'' and add in its place ``funds''.
0
c. In paragraph (b)(2)(i)(D), remove the word ``payment'' and add in 
its place ``filing fee''.
0
d. Add a heading to paragraph (b)(2)(ii) and revise paragraph 
(b)(2)(ii)(A).
0
e. Remove paragraphs (b)(2)(ii)(B) and (C).
0
f. Redesignate paragraph (b)(2)(ii)(D) as paragraph (b)(2)(ii)(B).
0
g. Redesignate paragraph (b)(3) as paragraph (b)(2)(ii)(C) and remove 
the heading from newly redesignated paragraph (b)(2)(ii)(C).
0
h. Add paragraph (b)(2)(iii) and reserved paragraph (b)(3).

[[Page 66629]]

0
i. In paragraph (b)(5)(i) introductory text, remove the words ``a 
single application'' and add in their place ``one application'' and 
remove the words ``a single registration'' and add in their place ``a 
group registration''.
0
j. In paragraph (b)(5)(i)(F), remove the words ``a single'' and add in 
their place ``the same''.
0
k. In paragraph (b)(5)(ii) introductory text:
0
i. Remove the words ``single registration'' and add in their place 
``group registration'';
0
ii. Remove the words ``a single date'' wherever they appear and add in 
their place ``one date''; and
0
iii. Remove the words ``a single calendar'' and add in their place 
``the same calendar''.
0
l. In paragraph (b)(5)(ii)(A), remove ``(b)(2)'' and add in its place 
``(b)(2)(ii)(A).''
0
m. Revise paragraphs (c)(1) through (3).
    The revisions and additions read as follows:


Sec.  202.3  Registration for copyright.

* * * * *
    (b) * * *
    (2) * * *
    (i) Online applications. An applicant may submit a claim through 
the Office's electronic registration system using the Standard 
Application, the Single Application, or the applications designated in 
Sec.  202.4.
    (A) The Standard Application may be used to register a work under 
sections 408(a) and 409 of title 17, including a work by one author, a 
joint work, a work made for hire, a derivative work, a collective work, 
or a compilation. The Standard Application may also be used to register 
a unit of publication under paragraph (b)(4) of this section, or a 
sound recording and a literary, dramatic, or musical work under 
paragraphs (b)(1)(iv)(A) through (C) of this section.
    (B)(1) The Single Application may be used only to register one work 
by one author. All of the content appearing in the work must be created 
by the same individual. The work must be owned by the author who 
created it, and the author and the claimant must be the same 
individual.
    (2) The Single Application may be used to register one sound 
recording and one musical work, dramatic work, or literary work if the 
conditions set forth in paragraphs (b)(1)(iv)(A) through (C) and 
(b)(2)(i)(B)(1) of this section have been met.
    (3) The following categories of works may not be registered using 
the Single Application: collective works, databases, websites, 
architectural works, choreographic works, works made for hire, works by 
more than one author, works with more than one owner, or works eligible 
for registration under Sec.  202.4 or paragraph (b)(4) or (5) of this 
section.
* * * * *
    (ii) Paper applications. (A) An applicant may submit an application 
using one of the printed forms prescribed by the Register of 
Copyrights. Each form corresponds to one of the administrative classes 
set forth in paragraph (b)(1) of this section. These forms are 
designated ``Form TX,'' ``Form PA,'' ``Form VA,'' ``Form SR,'' and 
``Form SE.'' These forms may be used to register a work under sections 
408(a) and 409 of title 17, including a work by one author, a joint 
work, a work made for hire, a derivative work, a collective work, or a 
compilation.
* * * * *
    (iii) Application class. 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 that fall into two or more classes, the application should 
be submitted in the class most appropriate to the predominant type of 
authorship 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, the application shall be 
submitted for registration in Class SR.
* * * * *
    (c) * * *
    (1) As a general rule, an application for copyright registration 
may be submitted by any author or other copyright claimant of a work, 
the owner of any exclusive right in a work, or the duly authorized 
agent of any such author, other claimant, or owner. A Single 
Application, however, may be submitted only by the author/claimant or 
by a duly authorized agent of the author/claimant, provided that the 
agent is identified in the application as the correspondent.
    (2) All applications shall include the information required by the 
particular form, and shall be accompanied by the appropriate filing 
fee, as required in Sec.  201.3(c) of this chapter, and the deposit 
required under 17 U.S.C. 408 and Sec.  202.20, Sec.  202.21, or Sec.  
202.4, as appropriate.
    (3) All applications submitted for registration shall include a 
certification.
    (i) As a general rule, the application may be certified by an 
author, claimant, an owner of exclusive rights, or a duly authorized 
agent of the author, claimant, or owner of exclusive rights. A Single 
Application, however, may be certified only by the author/claimant or 
by a duly authorized agent of the author/claimant.
    (ii) For online applications, the certification shall include the 
typed name of a party identified in paragraph (c)(3)(i) of this 
section. For paper applications, the certification shall include the 
typed, printed, or handwritten signature of a party identified in 
paragraph (c)(3)(i) of this section, and if the signature is 
handwritten it shall be accompanied by the typed or printed name of 
that party.
    (iii) The declaration shall state that the information provided 
within the application is correct to the best of the certifying party's 
knowledge.
    (iv) For online applications, the date of the certification shall 
be automatically assigned by the electronic registration system on the 
date the application is received by the Copyright Office. For paper 
applications, the certification shall include the month, day, and year 
that the certification was signed by the certifying party.
    (v) 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.
* * * * *


Sec.  202.16  [Amended]

0
5. Amend Sec.  202.16(c)(4) by:
0
a. Removing the words ``Preregistration as a single work'' and add in 
their place ``Unit of publication'';
0
b. Removing the words ``a single application'' and add in their place 
``one application'';
0
c. Removing the words ``a single preregistration fee'' and add in their 
place ``one filing fee'';
0
d. Removing the words ``a single unit'' and add in its place ``the same 
unit''; and
0
e. Removing the words ``a single work'' and add in their place ``one 
work''.

0
6. Amend Sec.  202.17 by revising paragraph (g)(2)(ii)(B) to read as 
follows:


Sec.  202.17  Renewals.

* * * * *

[[Page 66630]]

    (g) * * *
    (2) * * *
    (ii) * * *
    (B) The typed, printed, or handwritten signature of such claimant, 
successor or assignee, or agent, accompanied by the typed or printed 
name of that person if the signature is handwritten;
* * * * *

PART 211--MASK WORK PROTECTION

0
7. The authority citation for part 211 continues to read as follows:

    Authority: 17 U.S.C. 702, 908.


0
8. Amend Sec.  211.4 by revising paragraphs (b)(3)(ii) and (d) 
introductory text to read as follows:


Sec.  211.4  Registration of claims of protection in mask works.

* * * * *
    (b) * * *
    (3) * * *
    (ii) The typed, printed, or handwritten signature of the applicant, 
accompanied by the typed or printed name of that person if the 
signature is handwritten.
* * * * *
    (d) Registration for one mask work. Subject to the exceptions 
specified in paragraph (c)(2) of this section, for purposes of 
registration on one application and upon payment of one filing fee, the 
following shall be considered one work:
* * * * *

PART 212--PROTECTION OF VESSEL DESIGNS

0
9. The authority citation for part 212 continues to read as follows:

    Authority: 17 U.S.C. chapter 13.


0
10. Amend Sec.  212.3 as follows:
0
a. In paragraph (f)(1):
0
i. Remove the words ``a single make'' and add in their place ``the same 
make'';
0
ii. Remove the words ``a single application'' and add in their place 
``one application'';
0
iii. Remove the words ``used for all designs'' and add in their place 
``used to register all the designs''; and
0
iv. Remove both instances of the words ``each of the designs'' and add 
in their place ``each design''.
0
b. Revise paragraph (f)(2).
0
c. In paragraph (f)(4), remove the words ``a single'' and add in their 
place ``one''.
    The revision reads as follows:


Sec.  212.3  Registration of claims for protection of eligible designs.

* * * * *
    (f) * * *
    (2) One application. Where one application for multiple designs is 
appropriate, a separate Form D-VH/CON must be used for each design 
beyond the first appearing on Form D-VH. Each Form D-VH/CON must be 
accompanied by deposit material identifying the design that is the 
subject of the Form D-VH/CON, and the deposit material must be attached 
to the Form D-VH/CON. The Form D-VH and all the Form D-VH/CONs for the 
application must be submitted together.
* * * * *

0
11. Amend Sec.  212.8 by revising paragraphs (c)(1)(x)(A) and (B) to 
read as follows:


Sec.  212.8  Correction of errors in certificates of registration.

* * * * *
    (c) * * *
    (1) * * *
    (x) * * *
    (A) The typed, printed, or handwritten signature of the owner of 
the registered design or of the duly authorized agent of such owner 
(who shall also be identified);
    (B) The date of the signature and, if the signature is handwritten, 
the typed or printed name of the person whose signature appears; and
* * * * *

    Dated: November 30, 2018.
Karyn A. Temple,
Acting Register of Copyrights and Director of the U.S. Copyright 
Office.

    Approved by:
Carla D. Hayden,
Librarian of Congress.
[FR Doc. 2018-27823 Filed 12-26-18; 8:45 am]
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