[Federal Register Volume 86, Number 34 (Tuesday, February 23, 2021)]
[Rules and Regulations]
[Pages 10820-10826]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-03533]


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LIBRARY OF CONGRESS

 Copyright Office

37 CFR Parts 201 and 202

[Docket No. 2019-4]


Group Registration of Works on an Album of Music

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

ACTION: Final rule.

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SUMMARY: The U.S. Copyright Office is creating a new group registration 
option for musical works, sound recordings, and certain other works 
contained on an album. This option will permit the registration of a 
group of musical works or a group of sound recordings distributed 
together, regardless of whether such distribution occurs via physical 
or digital media. The final rule generally adopts the provisions set 
forth in the May 2019 notice of proposed rulemaking in this proceeding, 
with certain updates to reflect the planned implementation of new 
online applications for this option.

DATES: Effective March 26, 2021.

FOR FURTHER INFORMATION CONTACT: Regan A. Smith, General Counsel and 
Associate Register of Copyrights, by email at [email protected]; 
Robert Kasunic, Associate Register of Copyrights and Director of 
Registration Policy and Practice, by email at [email protected]; or 
John R. Riley, Assistant General Counsel, by email at 
[email protected]. Each can be contacted by telephone at 202-707-8350.

SUPPLEMENTARY INFORMATION:

I. Background

    The Copyright Act authorizes the Register of Copyrights to specify 
by regulation the administrative classes of works available for the 
purpose of seeking a registration and the nature of the deposits 
required for each class. In addition, Congress gave the Register the 
discretion to allow registration of groups of related works with one 
application and one filing fee, a procedure known as ``group 
registration.'' \1\ Pursuant to this authority, the Register has issued 
regulations permitting the Office to issue group registrations for 
certain types of works, including for groups of newspapers, unpublished 
works, newsletters and serials, unpublished and published photographs, 
contributions to periodicals, secure test items, and short online 
literary works.\2\
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    \1\ 37 CFR 202.4; see 17 U.S.C. 408(c)(1).
    \2\ 37 CFR 202.4(c)-(k).
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    On May 20, 2019, the Office published a Notice of Proposed 
Rulemaking (``NPRM'') proposing to create a new group registration 
option for musical works, sound recordings, and associated literary, 
pictorial, and graphic works contained on an album. This option is 
referred to as ``Group Registration of Works on an Album of Music,'' or 
``GRAM.'' \3\ The proposed rule would allow an applicant to register up 
to twenty musical works and twenty sound recordings, i.e., forty total 
works, if the works were fixed in the same phonorecord, if the works 
were created by the same author or had at least one common author, and 
if the claimant for each work in the group was the same. The proposed 
rule also would permit the registration of associated literary, 
pictorial, and graphic works in the album, such as cover art, liner 
notes, or posters. To exercise this option, the Office proposed that 
applicants would be required to submit their claims through the online 
copyright registration system using the Standard Application.
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    \3\ 84 FR 22762 (May 20, 2019).
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    The Office received thirteen comments in response to the NPRM, 
eleven from individuals, one from the National Music Publishers 
Association (``NMPA''), and a joint comment by the American Association 
of Independent Music (``A2IM'') and the Recording Industry Association 
of America (``RIAA''). Each commenter supported the Office's proposal 
to create the new group registration option, though some suggested 
various amendments to the proposed rule, including removing the 
proposed limit on the number of works that may be included in each 
claim and clarifying who could be listed as a claimant of a work in a 
GRAM registration.
    Having reviewed and carefully considered the submitted comments, 
the Office now issues a final rule that generally follows the proposed 
rule, with some modifications. First, the rule requires claims under 
this option to be submitted using a new online

[[Page 10821]]

application specifically created for GRAM filings, rather than on the 
Standard Application. Second, to avoid inefficiencies in the 
examination process and ambiguities in the public record, the final 
rule requires groups of musical works and groups of sound recordings to 
be registered using separate applications.

II. The Final Rule

A. Eligibility Requirements

1. Definition of an ``Album''; Number of Works
    The NPRM proposed limiting this group registration option to 
musical works, sound recordings, and any associated literary, 
pictorial, or graphic works on an album of music, such as liner notes 
and cover artwork. It defined an ``album'' as ``a single physical or 
electronic unit of distribution containing at least two musical works 
and/or sound recordings embodied in phonorecords, including any 
associated literary, pictorial, or graphic works distributed with the 
unit.'' \4\ Three commenters requested clarification to ensure that the 
rule is sufficiently flexible to accommodate streaming services and 
other distribution models that do not involve the purchasing of copies. 
A2IM and RIAA argued that the term ``album'' should be eliminated, as 
it ``appear[s] to be tied to physical distribution and to an ownership 
model'' of music.\5\ They proposed instead using the term ``release,'' 
which would be defined as ``a collection of two or more sound 
recordings or other media that are grouped together as those terms are 
used in the Copyright Act.'' \6\ In their view, this approach would 
have the advantage of ``avoid[ing] the single unit of distribution 
concept'' and would be ``generic enough to embrace new release formats, 
such as a playlist that contains all new recordings released by a 
single artist and grouped together for commerce.'' \7\ NMPA did not 
propose a change to the regulatory text but urged the Office to 
consider adding language to the Compendium of U.S. Copyright Office 
Practices or a circular to clarify that ``the GRAM option extends to 
albums that are not offered for digital purchase.'' \8\
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    \4\ 84 FR at 22764, 22768.
    \5\ A2IM & RIAA Comments at 4.
    \6\ Id.
    \7\ Id. at 5.
    \8\ NMPA Comments at 3 (citing 84 FR at 22764).
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    The proposed definition of ``album'' is not intended to be limited 
to albums distributed under a model in which copies are acquired and 
retained by a purchaser--e.g., downloads or physical media. A 
collection of musical recordings presented and offered to the public 
under authority of the copyright owner as a self-contained, fixed group 
would qualify as ``a single physical or electronic unit of 
distribution'' for purposes of the rule, regardless of whether the 
works are accessed via download, stream, or other mechanism. The key 
consideration is whether there is some indication of the copyright 
owner's intention to release the works together as a single collection, 
as distinguished from, for example, releasing them over time as 
additions to an evolving playlist.\9\ Thus, a group of songs presented 
together on a streaming service may qualify as an album, provided the 
other eligibility requirements are met.
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    \9\ See Album, Dictionary.com (2021 ed.), https://www.dictionary.com/browse/album (``a collection of audio recordings 
released together as a collected work'').
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    It is partly for this reason that the final rule defines ``album'' 
as a ``unit of distribution.'' As discussed in the NPRM, the Office's 
existing ``unit of publication'' option has long provided a vehicle for 
registering albums released in physical formats, such as a ``CD 
packaged with cover art and a leaflet containing lyrics'' or a ``box 
set of music CDs.'' \10\ While the Office has declined to extend the 
unit of publication option to digital products, the GRAM option is 
intended to provide an analogous mechanism for digital music albums, in 
part to ensure that albums ``released first (or only) in digital 
formats'' are eligible for similar registration options.\11\ The final 
rule accordingly retains the proposed definition, and the Office 
intends this further guidance to address comments regarding the scope 
of eligibility for the GRAM option.
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    \10\ 84 FR at 22764 (quoting U.S. Copyright Office, Compendium 
of U.S. Copyright Office Practices, Third Edition (``Compendium 
(Third)'') sec. 1107.1).
    \11\ 84 FR at 22764.
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    Some commenters expressed concern with the proposed requirement 
that an applicant ``submit documentation . . . confirming that the 
musical works and/or sound recordings were included on the album.'' 
\12\ A2IM and RIAA and an individual commenter, Jesse Morris, argued 
that it should be sufficient for an applicant to submit a sworn 
statement to that effect.\13\ The Office agrees with this 
recommendation. As part of the application, the applicant will be 
required to certify that the works being registered satisfy the 
requirements for this group registration option, including that the 
works in the group were all published on the same album. The language 
regarding documentation accordingly has been removed from the final 
rule.
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    \12\ 84 FR at 22768.
    \13\ A2IM & RIAA Comments at 7-8; Jesse Morris Comments at 2.
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    The NPRM also proposed to allow applicants to register up to twenty 
musical works or twenty sound recordings contained in an album. Some 
commenters requested that the Office remove or at least raise the 
twenty-work cap. In addition to noting that some albums contain more 
than twenty tracks,\14\ commenters pointed out that the Standard 
Application does not contain a title cap and voiced concern that 
applicants could include more than twenty tracks in error.\15\ NMPA 
suggested that such mistakes could result in a refusal to register or 
delays due to required correspondence.\16\ As discussed further below, 
however, the Office will not be using the Standard Application for this 
registration option, and therefore believes that such errors are less 
likely. The new application for claims registered under this option 
will include a system validation that should prevent applicants from 
listing more than twenty musical works or sound recordings in the 
application.
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    \14\ See A2IM & RIAA Comments at 5; NMPA Comments at 3; 
Anonymous Anonymous Comments at 2 (``20 seems low'' but ``25 to 30 
would cover most albums and a handful of soundtracks''). Other 
commenters appeared satisfied with this number. See Anonymous Artist 
Comments at 2 (``As a musician most of my albums contain 10 to 15 
songs.''); Brian Smith Comments at 2 (detailing desire to register 
``20 songs including music recordings and artwork''); Rich Turgeon 
Comments at 2 (noting that it ``[w]ould be nice to just keep [the 
GRAM registration option] straightforward and be able to register up 
to 12-13 songs at a time'').
    \15\ A2IM & RIAA Comments at 5; NMPA Comments at 3.
    \16\ NMPA Comments at 3.
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    More generally, the Office has concluded that a twenty-work cap is 
appropriate to balance the needs of applicants with the administrative 
capabilities of the Office. As noted in the NPRM, the Office believes 
that this limit will make this group option available to the majority 
of albums actually distributed in the market, and in any event, albums 
with more than twenty works would still benefit from this group option 
because applicants may be able to register additional works with a 
separate GRAM application.\17\ Removing or raising the cap would likely 
increase the average processing time for these applications and thereby 
undermine the efficiency of this group option. Indeed, there is a 
potential that even the twenty-work cap may prove inefficient if the 
average number of works on each application approaches twenty. The 
Office remains open to

[[Page 10822]]

revisiting this issue based on data that become available after 
implementation, including with respect to fees, staffing, and 
processing times.\18\
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    \17\ 84 FR at 22764-65 & n.30.
    \18\ Id. at 22765.
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2. Custom Application; Works That May Be Included
    Under the proposed rule, an applicant could register up to twenty 
musical works and twenty sound recordings, i.e., forty total works, 
using the Standard Application if the works were fixed in the same 
phonorecord and the other regulatory requirements were met.\19\ A2IM 
and RIAA expressed concern over the requirement to use the Standard 
Application, urging the Office to instead ``create a dedicated GRAM 
application that runs on the existing system.'' \20\ They observed that 
this approach would ``[n]ot only . . . encourage use of GRAM by 
smaller, less sophisticated, less frequent users,'' but also would 
``lead to fewer telephone inquiries from copyright owners and [would] 
require less correspondence from registration specialists, both of 
which will save the Office time and money.'' \21\ The Office agrees 
that decoupling GRAM applications from the Standard Application would 
greatly simplify the registration process for both applicants and 
Office staff, and therefore it has worked with the Library's Office of 
the Chief Information Officer to develop new applications specifically 
for GRAM that can be accessed and submitted through the electronic 
registration system (``eCO''). The final rule has been updated to 
reflect this change.
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    \19\ Id. at 22764.
    \20\ A2IM & RIAA Comments at 8.
    \21\ Id.
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    In the course of developing this functionality, the Office also 
determined that permitting the registration of both musical works and 
sound recordings using one application may give rise to complexities in 
the examination process that could hinder the Office's efficient 
administration of the group option. For example, in cases where the 
musical works and sound recordings on an album have different authors, 
an applicant would be required to list all the authors of both the 
music and sound recordings, to list the titles of the works created by 
each author, and to provide an appropriate authorship statement to 
describe each author's contribution(s) to each work. In the 
Registration Program's experience, challenges or inaccuracies are 
likely to arise where the nature of the applicant's authorship differs 
with respect to the musical work and the sound recording for multiple 
album tracks. For example, if an author created twenty sound recordings 
on an album, but wrote only ten of the musical works embodied in those 
recordings, she would be required to provide titles for all twenty 
works and exclude from the musical work claim the ten compositions she 
did not author by listing their titles in the Material Excluded field. 
Given the number of possible permutations, such requirements would 
likely lead to ambiguities requiring correspondence with the applicant, 
as well as potential inaccuracies in the public record, particularly 
where the applicant is unfamiliar with the distinction between musical 
works and sound recordings for copyright purposes. Because such 
correspondence would likely result in additional refusals or a higher 
fee for this group registration option to accommodate the additional 
Office resources needed, the Office has determined that it is 
preferable to create a bifurcated group option.
    The final rule accordingly provides for two separate types of 
applications. An applicant may register up to twenty musical works on 
an album using the application designated for ``musical works from an 
album.'' An applicant may register up to twenty sound recordings, as 
well as any associated literary, pictorial, or graphic works first 
published with the same album, using the application designated for 
``sound recordings from an album.'' The initial version of the 
application for ``musical works from an album'' will not include an 
option for registration of these ancillary materials because the Office 
understands that typically these works are not authored or owned by the 
party that authored or owns the musical works. To the extent there is a 
need in the marketplace, however, the Office is open to considering a 
future update that would permit registration of such materials on the 
application for ``musical works from an album.'' The Office welcomes 
public input on whether copyright owners would benefit from such an 
option.
3. Title Information
    The NPRM proposed that an applicant be required to provide a title 
for the album, a title for each musical work and/or sound recording, 
titles for any associated literary, pictorial, or graphic works that 
are included in the group, and a title that identifies the group as a 
whole, starting with the word ``GRAM.'' \22\ Some commenters objected 
to the requirement to provide a separate title for the group. Among 
other concerns, they noted that the registration certificate would 
start with ``GRAM,'' while the album offered for sale would not, 
causing potential confusion in the public record and in litigation.\23\
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    \22\ 84 FR at 22766.
    \23\ A2IM & RIAA Comments at 6; Jesse Morris Comments at 1.
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    In light of these concerns, and because the group-title requirement 
was necessitated by the limitations of the Standard Application,\24\ 
the Office has eliminated this requirement. Instead, the GRAM 
applications will include a mandatory field for the title of the album, 
which will appear on the registration certificate and in the public 
record. The album title will be used to automatically generate a group 
title (e.g., ``Works published on the album [ALBUM TITLE]''). The group 
title and the album title will both appear in the registration 
certificate and the public record. For applications that include 
literary, pictorial, or graphic works, the system will automatically 
generate titles for those works (e.g., ``Liner notes, photograph(s), 
and/or artwork first published on the album [ALBUM TITLE]''), although 
the applicant may provide a more specific title for those works by 
following the instructions given in the help text. The Office will add 
those titles to the public record when it examines the claim.
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    \24\ See Jesse Morris Comments at 1; A2IM & RIAA Comments at 6.
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4. Collective Work Registration
    RIAA and A2IM requested that the Office allow applicants to include 
the full album as a collective work as one of the works that can be 
registered on the GRAM application.\25\ They noted that some existing 
group registration options permit registration of both a collective 
work and the individual component works, citing the unit of publication 
and group serial options as examples.\26\ But these commenters did not 
explain why they believe there is a need for such an option in the GRAM 
application given that applicants already have the ability to register 
both a collective work and the individual works comprising it by filing 
a collective work claim using the Standard Application. As discussed in 
the NPRM, a collective work registration will extend to the individual 
component works if the copyright in those works is held by the owner of 
the collective work copyright, provided the component works contain 
sufficient original authorship and have not been

[[Page 10823]]

previously published or registered.\27\ Thus, where a party seeks to 
register an album as a collective work in addition to registering the 
individual sound recordings and/or musical works, it may do so under 
the existing collective work option. The GRAM option will complement 
this option by facilitating registration of multiple works in cases 
where parties own copyrights in multiple individual works on an album 
but are ineligible for collective work registration--for example, 
because they are not the owner of the collective work copyright or 
because the particular selection and arrangement of tracks does not 
qualify as a collective work. Based on the record at this time, the 
final rule accordingly does not include this option.
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    \25\ A2IM & RIAA Comments at 3.
    \26\ Id. at 3-4.
    \27\ 84 FR at 22763 & n.16 (citing Compendium (Third) sec. 
509.2; U.S. Copyright Office, Circular 34: Multiple Works 2-3).
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5. Author and Claimant
    Under the proposed rule, ``all of the works claimed in the group 
must have a common author,'' and ``the copyright claimant(s) for each 
work must be the same person(s) or organization.'' \28\ The NPRM 
explained that ``the claimant may either be (1) the author or co-author 
of all of the works, or (2) the party that owns all of the exclusive 
rights that initially belonged to the author or co-authors.'' \29\
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    \28\ Id. at 22765.
    \29\ Id.
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    NMPA asked the Office to clarify the definition of ``claimant'' for 
GRAM registration eligibility. Specifically, it expressed concern over 
the NPRM's statement that ``if the works were created by two or more 
co-authors, the claimant or co-claimant must own or co-own all of the 
rights that initially belonged to the co-authors. If a party owns or 
co-owns the rights that initially belonged to some, but not all, of the 
co-authors, that party cannot be named as a copyright claimant.'' \30\ 
In NMPA's view, this statement could ``suggest that a claimant who has 
been assigned rights by a co-author of a work (for example, a music 
publisher to whom a songwriter who is a co-author of a song has 
assigned their rights) must have obtained all of the rights from all of 
the co-authors of a song.'' \31\
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    \30\ NMPA Comments at 4 (quoting 84 FR at 22765-66).
    \31\ Id.
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    To clarify, the definition of ``claimant'' for purposes of the GRAM 
option is not intended to differ from the generally applicable 
definition of that term. Under the Office's regulations, a copyright 
claimant is either ``(i) [t]he author of a work'' or ``(ii) [a] person 
or organization that has obtained ownership of all rights under the 
copyright initially belonging to the author.'' \32\ Thus, a publisher 
that is the transferee of all of the exclusive rights of a joint author 
of eligible works may be listed as a claimant for purposes of a GRAM 
application, even if the publisher has not received rights from other 
joint authors. If, however, only a subset of a joint author's exclusive 
rights have been transferred to it, the publisher would not qualify as 
a claimant. While the Office cannot advise as to how this standard may 
apply to specific types of assignments, whether a given transaction 
constitutes a transfer of copyright ownership--as distinguished from 
merely a nonexclusive license--will be governed by the statutory 
definition of that term.\33\
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    \32\ 37 CFR 202.3(a)(3); see also Compendium (Third) sec. 405.1.
    \33\ See 17 U.S.C. 101 (``A `transfer of copyright ownership' is 
an assignment, mortgage, exclusive license, or any other conveyance, 
alienation, or hypothecation of a copyright or of any of the 
exclusive rights comprised in a copyright, whether or not it is 
limited in time or place of effect, but not including a nonexclusive 
license.'').
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    To the extent NMPA's comment is raising concerns regarding the 
``claimant'' definition more generally, the Office notes that any 
changes to that provision would have implications for a broader range 
of stakeholders than those affected by the GRAM option. The Office 
therefore does not believe that this proceeding is the appropriate 
forum for consideration of such changes, although it is open to 
considering this question more broadly.\34\ As the Office continues 
development of its next-generation registration system, however, it 
will continue to explore ways to better accommodate registrations 
involving jointly owned works, and welcomes input from NMPA and other 
interested parties. The Office also notes that a third party who is 
assigned a copyright interest but does not qualify as a claimant for 
GRAM registration purposes may record its ownership information in the 
Office's public record.\35\ Moreover, as noted above, an author of the 
work may always be listed as a claimant.
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    \34\ The Office has an open rulemaking proceeding on this 
provision. See Registration of Copyright: Definition of Claimant, 77 
FR 29257 (May 17, 2012).
    \35\ 37 CFR 201.4; see also Document Recordation: Completing and 
Submitting Declarations of Ownership in Musical Works, U.S. 
Copyright Office, https://www.copyright.gov/recordation/domw/.
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6. Publication Information
    Commenting parties did not object to the requirement that a GRAM 
application must ``specify the date and nation of publication for the 
album.'' \36\ NMPA, however, expressed concern over the requirement 
that all eligible works in the group be published on the album on the 
same date, noting that it is common for a song to be published as a 
single before it is published as part of an album.\37\ It suggested 
that the Office allow previously published works that are later 
included on an album to be included in a GRAM registration ``to 
maximize the [GRAM option's] usefulness'' and ``to encourage an 
accurate public record.'' \38\ The Office has amended the final rule to 
allow for the registration of a musical work or sound recording that 
was previously published as an individual work only (e.g., as a 
single), provided that the application includes the statutorily-
required date of first publication for each of the works.\39\ 
Applicants should provide this information in the ``Note to Copyright 
Office'' field in the relevant GRAM application. The certificate of 
registration will be annotated to reflect the additional publication 
dates.
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    \36\ 84 FR at 22766.
    \37\ NMPA Comments at 5.
    \38\ Id.
    \39\ Because the statutory deposit requirements differ based on 
whether a work is first published within or outside the United 
States, see 17 U.S.C. 408(b), the final rule requires that the 
nation of publication be the same for all works in the group.
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    In addition, A2IM and RIAA and Jesse Morris separately asked for a 
clarification in the final rule that previously published or registered 
works that were later contained on an album may be excluded from the 
GRAM application claim.\40\ These parties were concerned that the 
inclusion of a previously published single would disqualify the entire 
album from the GRAM registration option. This was not the intent of the 
proposed rule. Applicants should disclaim ineligible works by listing 
the titles of those works in the Material Excluded field.
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    \40\ A2IM & RIAA Comments at 7; Jesse Morris Comments at 2.
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B. Application Requirements

    As discussed, the Office is developing two new online applications 
specifically for this group option--one application for musical works, 
and another application for sound recordings and any associated 
literary, pictorial, or graphic works included with the same album. 
These applications are currently expected to be implemented into the 
eCO system this spring by the OCIO. Nevertheless, the availability of 
the GRAM applications is ultimately dependent on the completion of 
system development and may be affected by unanticipated delays in that 
process.

[[Page 10824]]

The Office will issue a public announcement when implementation is 
complete and this option is available to applicants.
    The Office will provide detailed information on group eligibility 
requirements and instructions on completing the applications on its 
website, including a video and webinar.

C. Filing Fee

    The NPRM provided that the filing fee for the GRAM option would be 
$55, the fee applicable to claims submitted on the Standard 
Application. It further noted that the Office had recently proposed to 
increase the Standard Application fee to $75 and that if that proposal 
were adopted, the new fee would apply to GRAM claims.\41\ Subsequently, 
the Office submitted a final proposed schedule and analysis of fees to 
Congress in which it reduced the proposed increase to $65.\42\ Based on 
the comments received in the fee study proceeding, and in light of the 
Office's inability under the current registration system to charge 
different prices for different types of works submitted on the Standard 
Application, at the time its fee study was submitted to Congress, the 
Office reiterated its recommendation that the GRAM fee be the same as 
the Standard Application fee.\43\
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    \41\ 84 FR at 22766.
    \42\ U.S. Copyright Office, Proposed Schedule and Analysis of 
Copyright Fees to Go into Effect in Spring 2020 at 20 (2019), 
https://www.copyright.gov/rulemaking/feestudy2018/proposed-fee-schedule.pdf.
    \43\ Id. at 29.
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    Following the 120-day statutory period for congressional 
review,\44\ the Office promulgated a final rule implementing the 
proposed fee schedule.\45\ The rule noted the Office's expectation that 
GRAM registrations would ``require a workflow similar to claims 
submitted on the Standard Application'' and that commenters in the fee 
study proceeding generally supported linking the two fees.\46\ To avoid 
potential confusion, the Office did not adopt the GRAM fee as part of 
that rule, noting that it instead would adopt the fee when it issued a 
final rule implementing the GRAM option.\47\
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    \44\ See 17 U.S.C. 708(b)(5).
    \45\ Copyright Office Fees, 85 FR 9374 (Feb. 19, 2020).
    \46\ Id. at 9380-81.
    \47\ Id.
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    Although the Office is now providing standalone applications for 
GRAM submissions, it continues to believe it is appropriate to charge 
the same fee as is charged for Standard Application filings. The Office 
believes that it is reasonable to set the GRAM fee, at least initially, 
at the same level as previously noted, given the similarities in 
expected workflow associated with examining these claims and the lack 
of additional data to support an alternate level. The final rule 
therefore establishes a $65 fee. Given, however, that the Office now 
has greater flexibility to adjust fees specifically for this option, it 
will gather additional data to determine if this amount should be 
adjusted once this option is implemented.\48\ The Office also is open 
to considering differential price options following implementation of 
its next-generation registration system.\49\
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    \48\ See A2IM & RIAA Comments at 6 (``[W]e would be open to a 
fee structure whereby some baseline number of tracks (e.g., 20) can 
be included as part of the basic group registration fee and 
additional tracks can be included in the same GRAM application for 
an additional surcharge (e.g., $1-$2 per track for each additional 
track).'').
    \49\ See Registration Modernization, 85 FR 12704, 12706 (Mar. 3, 
2020).
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D. Deposit Requirements

    The NPRM noted that ``[t]he deposit requirements for this group 
registration option will be the same as the requirements that normally 
apply to claims involving musical works, sound recordings, and 
associated album material.'' \50\ The Office proposed that for GRAM 
claims that include sound recordings, ``the applicant should submit two 
physical phonorecords, along with two physical copies of any related 
album material,'' if the album was published in physical form or in 
both physical and digital form.\51\ ``If the album was published solely 
in digital form, the applicant may upload a digital phonorecord along 
with a digital copy of any related album material.'' \52\ For GRAM 
claims that do not include sound recordings, the Office proposed that 
``the applicant should submit a complete phonorecord of each musical 
work being registered'' and a complete copy of any associated literary, 
pictorial, or graphic works associated with the claim.\53\
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    \50\ 84 FR at 22767.
    \51\ Id.
    \52\ Id.
    \53\ Id.
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    A2IM and RIAA requested that ``when the works are available in both 
physical and digital form the applicant be permitted to select whether 
to submit a physical or digital deposit,'' reasoning that ``digital 
copies are much easier and less expensive for record labels to provide 
than physical ones.'' \54\ These deposit requirements, however, are 
designed to conform to the best edition requirements applicable to 
these types of works generally.\55\ Because musical works published 
solely on phonorecords are not subject to the best edition requirement, 
the authors and owners of these works may submit digital phonorecords 
regardless of how the album was published.\56\ Conversely, sound 
recordings are subject to the best edition requirement, and therefore 
authors and owners of those works must submit copies in either physical 
or digital form, depending on how the work was published.\57\ It is 
beyond the scope of this proceeding to consider potential changes to 
those requirements. The final rule therefore generally retains the 
NPRM's deposit provisions, with updates to reflect the two new GRAM-
specific applications.\58\
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    \54\ A2IM & RIAA Comments at 7.
    \55\ The Copyright Act authorizes the Register of Copyrights to 
specify by regulation ``the nature of the copies or phonorecords to 
be deposited'' with respect to particular administrative classes 
established for purposes of registration. 17 U.S.C. 408(c)(1); see 
also id. at 408(b) (establishing deposit requirements, ``[e]xcept as 
provided by sub-section (c)''). For purposes of this group option, 
the Office has adopted the same deposit requirements applicable to 
the relevant categories of works under individual applications, in 
order to avoid affecting the Library's collections policies.
    \56\ Id.
    \57\ The Copyright Act provides that, in the case of a work 
first published outside the United States, only one copy or 
phonorecord is required for deposit. 17 U.S.C. 408(b)(3). The final 
rule has been updated to reflect this distinction.
    \58\ As noted, the application for ``musical works from an 
album'' will not initially permit the registration of ancillary 
materials. The final rule has been revised to reflect this 
limitation.
---------------------------------------------------------------------------

    As noted in the NPRM, for digital deposits, each work must be 
contained in a separate electronic file, assembled in an orderly form 
in one of the acceptable file formats listed on the Office's website, 
and uploaded as individual electronic files (not .zip files) to the 
electronic submission system.\59\ The NPRM provided that a submission 
will be considered ``orderly'' if the file name for each work can 
reasonably be matched with the corresponding title entered on the 
application so that the examiner can verify that the correct works were 
uploaded.\60\ No party commented on this requirement. The final rule 
incorporates this requirement into the regulatory text, providing that 
``[t]he file name for each work must match the title as submitted on 
the application.'' This provisions tracks language in the recently 
issued final rule for group registration of short online literary 
works,\61\ and is intended to avoid potential confusion resulting from 
inconsistent designations.
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    \59\ 84 FR at 22767.
    \60\ Id.
    \61\ See 37 CFR 202.4(j)(7).

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[[Page 10825]]

E. Supplementary Registrations

    A supplementary registration is a special type of registration that 
may be used ``to correct an error in a copyright registration or to 
amplify the information given in a registration.'' \62\ The Office has 
created multiple versions of a form that may be used to correct or 
amplify information in registrations made under specified group 
registration options, but the Office has not yet created a version for 
a registration of a group of works on an album of music. Therefore, the 
final rule clarifies that applicants should contact the Office of 
Registration Policy & Practice to obtain instructions before seeking a 
supplementary registration involving these types of claims.
---------------------------------------------------------------------------

    \62\ 17 U.S.C. 408(d).
---------------------------------------------------------------------------

    This update constitutes a change to a ``rule[] of agency . . . 
procedure[] or practice.'' \63\ It does not ``alter the rights or 
interests of parties,'' but merely ``alter[s] the manner in which the 
parties present themselves or their viewpoints to the agency.'' \64\ It 
therefore is not subject to the notice and comment requirements of the 
Administrative Procedure Act.
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    \63\ 5 U.S.C. 553(b)(A).
    \64\ JEM Broad. Co. v. F.C.C., 22 F.3d 320, 326 (D.C. Cir. 1994) 
(internal citation omitted).
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List of Subjects

37 CFR Part 201

    Copyright, General provisions.

37 CFR Part 202

    Copyright, Preregistration and registration of claims to copyright.

Final Regulations

    For the reasons set forth in the preamble, the Copyright Office 
amends 37 CFR parts 201 and 202 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. Amend Sec.  201.3 by:
0
a. Redesignating paragraphs (c)(9) through (c)(28) as paragraphs 
(c)(10) through (c)(29), respectively.
0
b. Adding new paragraph (c)(9).
    The addition reads as follows:


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

* * * * *
    (c) * * *
* * * * *
    (9) Registration of a group of works on an album 65
* * * * *

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.  202.4 by:
0
a. Redesignating paragraphs (k) through (n) as paragraphs (o) through 
(r), respectively.
0
b. Adding new paragraph (k).
0
c. Adding and reserving new paragraphs (l), (m), and (n).
0
d. Amend the newly redesignated paragraph (r), by removing the words 
``or (k)'' and adding in its place the words ``(k), or (o)''.
    The addition reads as follows:


Sec.  202.4  Group registration.

* * * * *
    (k) Group registration of works on an album. Pursuant to the 
authority granted by 17 U.S.C. 408(c)(1), the Register of Copyrights 
has determined that a group of two or more musical works, or two or 
more sound recordings and any associated literary, pictorial, or 
graphic works, may be registered with one application, the required 
deposit, and the filing fee required by Sec.  201.3 of this chapter, if 
the following conditions are met:
    (1) Eligible works. (i) All of the works in the group must be 
contained on the same album. For the purposes of this section, an album 
is a single physical or electronic unit of distribution containing at 
least two musical works and/or sound recordings embodied in a 
phonorecord, including any associated literary, pictorial, or graphic 
works distributed with the unit.
    (ii) The group may include:
    (A) Up to twenty musical works; or
    (B) Up to twenty sound recordings and any associated literary, 
pictorial, or graphic works included with the same album.
    (iii) The applicant must provide a title for the album and a title 
for each musical work or sound recording claimed in the group.
    (iv) All of the works in the group must be created by the same 
author or the works must have a common joint author, and the copyright 
claimant or co-claimants for each work must all be the same person(s) 
or organization. The works may be registered as works made for hire if 
they are identified in the application as such.
    (v) As a general rule, all of the works must be first published on 
the same album, the date and nation of publication for each work must 
be specified in the application, and the nation of publication for each 
work must be the same. A musical work or sound recording that was 
previously published as an individual work only (e.g., as a single) may 
be included in the claim if the date of first publication for that work 
is listed separately in the application.
    (2) Application. If the group consists of sound recordings and, as 
applicable, any associated literary, pictorial, or graphic works, the 
applicant must complete and submit the application designated for 
``sound recordings from an album.'' If the group consists of musical 
works, the applicant must complete and submit the application 
designated for ``musical works from an album.'' The application may be 
submitted by any of the parties listed in Sec.  202.3(c)(1).
    (3) Deposit. (i) For claims in works first published in the United 
States submitted with the application for ``sound recordings from an 
album,'' the applicant must submit two complete phonorecords containing 
the best edition of each recording, and two complete copies of any 
associated literary, pictorial, or graphic works that are included in 
the group. For claims in works first published outside the United 
States submitted with this application, the applicant must submit one 
complete phonorecord of the work either as first published or of the 
best edition. A phonorecord will be considered complete if it satisfies 
the requirements set forth in Sec.  202.19(b)(2). The deposit may be 
submitted in a digital form if the album has been distributed solely in 
a digital format, and if the requirements set forth in paragraph 
(k)(3)(iii) of this section have been met.
    (ii) For claims submitted with the application for ``musical works 
from an album,'' the applicant must submit one complete phonorecord of 
each musical work that is included in the group.
    (iii) The deposit may be submitted in a digital form if the 
following requirements have been met. Each work must be contained in a 
separate electronic file. The files must be assembled in an orderly 
form, they must be submitted in one of the electronic formats approved 
by the Office, and they must be uploaded to the electronic registration 
system as individual electronic files (not .zip files). The file size 
for each uploaded file must not exceed 500 megabytes; the files may be 
compressed to comply with this requirement. The file name for each work 
must match the title as submitted on the application.

[[Page 10826]]

    (4) Special relief. In an exceptional case, the Copyright Office 
may waive the online filing requirement set forth in paragraph (k)(2) 
of this section or may grant special relief from the deposit 
requirement under Sec.  202.20(d), subject to such conditions as the 
Associate Register of Copyrights and Director of the Office of 
Registration Policy and Practice may impose on the applicant.
* * * * *


Sec.  202.6  [Amended]

0
5. Amend Sec.  202.6(e)(2) by:
0
a. Removing ``or for'' after and adding ``,'' in its place and adding 
``, or a group of works published on the same album registered under 
Sec.  202.4(k),'' after ``Sec.  202.4(j)''.

    Dated: February 11, 2021.
Shira Perlmutter,
Register of Copyrights and Director of the U.S. Copyright Office.

Approved by:
Carla D. Hayden,
Librarian of Congress.
[FR Doc. 2021-03533 Filed 2-22-21; 8:45 am]
BILLING CODE 1410-30-P