# Compendium of US Copyright Office Practices, II (1984)/1600

Chapter 1600
* RECORDATION OF TRANSFERS AND OTHER DOCUMENTS PERTAINING TO A COPYRIGHT
Outline of Topics
Chapter 1600
RECORDATION OF TRANSFERS AND OTHER DOCUMENTS PERTAINING TO A COPYRIGHT
Applicability of this chapter. This chapter contains the requirements for the recordation of transfers and other documents pertaining to a copyright under 17 U.S.C. 205, and the termination of transfers and licenses granted by the author covering the extended renewal term under 17 U.S.C. 304(c). The practices concerning the filing or recordation of the following documents are not included either in this chapter or elsewhere in Compendium II, and requirements other than those in this chapter may apply.
License agreements, and terms and rates of royalty payments, voluntarily negotiated between one or more
Recordation of transfers and other documents: con­ditions for recordation. Any transfer of copyright
Exceptions. In exceptional cases, where it seems clear that the recordation of a document will not
Recordation not required. In general, the Copy­right Office does not require the recordation of documents. However, in certain cases, recordation of an affidavit or other document may be required as a condition of renewal registration or of anno­tation of completed Copyright Office records.
Example:
When recordation suggested. Even though the Copyright Office does not generally require recordation of documents, it may point out the recordation provisions of the law and suggest the desirability of recording an instrument.
Example:
The nature of the document. The document may be questioned by the Copyright Office, unless it perceives some direct or indirect relationship to a copyright.
Examples:
Relationship between document and copyright unclear. Where the relationship between the document to be recorded and copyright is unclear or obscure, recor­dation will be delayed and the sender may be asked his or her purpose in submitting the instrument.
Examples:
Document apparently submitted in error. Where it seems probable that the document has been submitted to the Copyright Office in error, it may be ques­tioned or, in clear cases, returned without recor­dation.
Example:
Formal sufficiency of document. In order to be regarded as a "transfer," a document must generally meet the following formal requirements:
Instrument in writing. To be recordable, the instrument must be in writing. The Copyright Office does not provide, suggest, or require any special form for the transfer of a copyright or other document pertaining to a copyright. Any type of legible document which meets the other formal requirements will be accepted for recordation, if it contains an individual's actual signature.
Examples:
Sworn certification. A "sworn certification" is an affidavit under the official seal of any officer authorized to administer oaths within the United States, or if the original is located outside of the United States,
Official certification. An "official certi­fication" is a certification, by the appro­priate Government official, that the original of the document is on file in a public office and that the reproduction is a true copy of the original. See 37 C.F.R. 201.4(a)(3)(ii).
Examples:
Signature of transferee not required. The signature of the transferee is not a require­ment, and the lack of the transferee's signa­ture will not be questioned unless the instru­ment involves mutual undertakings requiring the
Corporation or other impersonal legal entity as transferor. If the transferor is a corporation
Document signed by legal representative or attorney-in-fact. If the document has been
Reconcilable variance between names: indexing. When there is a reconcilable variance between the signature on the document and the name of the transferor appearing in the body of the document, the instrument will generally be indexed under what can be determined to be the fullest form of the legal name. The document will generally not be indexed under the name of an agent or official of a corporation or other impersonal legal entity, although cross­ references under his or her name may be appro­priate in certain cases. Where the document has been signed by a legal representative or
Authority to sign. The Copyright Office does not conduct searches in order to determine whether a document has been signed by the owner of the copy­right as shown in its records; nor will it question the authority of a particular person to sign as copyright owner. However, if the capacity indi­cated in the instrument is not one that would ordinarily entitle the person to bind the organi­zation, the Copyright Office will request clari­fication before completing the processing of the document.
Examples:
Signer is not copyright owner. In certain cases, where it seems clear from correspondence
Contribution to a periodical. No question will ordinarily be raised in the case of a transfer of copyright in a contribution to a periodical signed in the name of the periodical rather than that of its publisher.
Example:
Signature of individual. As a rule, the signature should be the actual handwritten signature of an individual person, and should give the individual's own name rather than that of the person or organi­zation he or she may represent.
Examples:
Failure to identify necessary parties. Documents which fail to identify the necessary parties will be questioned, but recordation will not be refused if, following correspondence, the sender continues to request recordation.
Examples:
Identification of subject of document. Recordation of a document gives all persons constructive notice of the facts stated in the recorded document, but only if both of the following two conditions are met:
See 17 U.S.C. 205(c).
Failure to identify work. A document which fails to identify the work will be questioned.
Examples:
Abbreviated title or different title or different descriptive phrase. An abbreviated or entirely
Examples:
Blanket transfer. A blanket transfer, in which no individual titles are given, will be recorded without question.
Example:
Transfer documents: words of conveyance. A document purporting to be a transfer should contain words to the effect that copyright ownership is being conveyed.
Example:
Intention manifest. Where the intention to trans­fer the copyright is manifest from a reading of the
Attachments. A document that contains a reference to any schedule, appendix, exhibit, addendum, or
Document returned for amendment. If a document has been submitted for recordation and has been
Incorporation by reference. When the document sub­mitted for recordation merely identifies or incor porates by reference another document, or certain terms of another document, the Copyright Office will raise no question of completeness, and will not require recorda­tion of the other document. 37 C.F.R. 201.4(c)(2)(iii).
Example:
Freedom from obvious errors. As a rule no attempt is made to verify the facts stated in the document submitted for recordation: titles, registration numbers, authors, dates, and the like are trans­cribed without checking their accuracy. However, when an obvious error of a material nature is recognized in the ordinary examination of the document, the document is returned for correction; ​in such cases, the Copyright Office will suggest the desirability of having any changes in the document initialed by all the persons who executed the document.
Examples:
NOTE: Although names and titles will generally be indexed exactly as they appear in the document, where there is a minor typographical error made in the document, the document will be indexed under the correct name or title.
Examples:
See 17 U.S.C. 204(b).
Less than entire fee received. When less than the entire fee is received in the Copyright Office, together with the document in record­able form, the date of recordation is the date on which the amount of the total required fee is received in the Copyright Office.
Example:
Amendments in document submitted for recordation. The Copyright Office will not itself make any changes or corrections in a document submitted for recordation, even when specifically requested or authorized to do so by the sender.
Examples:
Example:
Recording fees. For a document consisting of six pages or less covering no more than one title, a
Examples:
On a single page, but in separate paragraphs: "A" hereby transfers a one-third interest in the copyright in a musical composition to "B." "A" hereby transfers a one-third interest in the copyright in the same musical composition
Titles. Generally, every title listed in a document is counted, but not designations referring to uncopyrightab1e matter.
Examples:
Examples of one title:
Examples of two titles:
Same title repeated with different descriptive matter. Where the same title is repeated more than once in the same document, but the repeti­tions are followed by different descriptive matter, subtitles, names of authors, or the like, separate fees will be charged.
Examples of two titles:
"Architectural Drawing of Union Station­ front elevation" "Architectural Drawing of Union Station­
Alternative titles. Where a work is clearly listed under alternative titles, or where both old and new titles are clearly indicated, separate fees will be charged. Use of the conjunctive "or"will not generally be treated as denoting alternative titles.
Example of one title:
Examples of two titles:
Descriptive subtitle or translation. Even though a work is listed under a title which contains descriptive matter that could be characterized as a subtitle or translation, only one fee will be charged.
Examples of one title:
Pages. In determining the number of pages in a document, each side of a leaf bearing textual
Termination of transfers and licenses granted by the author under the extended renewal term. The following are the practices and provisions relating to the termi­nation of transfers and licenses granted by the author
Effective date of termination. The notice shall state the effective date of termination which shall fall within the five-year period specified in section 1615.03 above, and the notice shall be served not less than two or
under section 304(c) of title 17, U.S.C., or by their duly authorized agents. See 37 C.F.R. 201.10(b)(v). NOTE: The Copyright Office will generally not question whether the interest of the person or persons on whose behalf the notice of termination was executed constitute more than one-half of the author's termination interest.
Additional requirements. The handwritten signature of each person effecting the termination shall either be accompanied by a statement of the full name and address of that person, typewritten or printed legibly by hand,
Persons not entitled to terminate. Where the Copyright Office is aware that the signature appearing on the document is not that of a person entitled to exercise the right of termination or of a duly authorized agent of
Recordation without prejudice. Recordation of a notice of termination by the Copyright Office is without prejudice to any party claiming that the legal and formal requirements for issuing a valid notice have not been met.
[END OF CHAPTER 1600]