81 FR 86634 - Group Registration of Contributions to Periodicals

LIBRARY OF CONGRESS
Copyright Office

Federal Register Volume 81, Issue 231 (December 1, 2016)

Page Range		86634-86643
FR Document		2016-28700

The U.S. Copyright Office is proposing to amend the regulation governing the group registration option for contributions to periodicals to reflect certain upgrades that will soon be made to the electronic registration system. The proposed rule will require groups of contributions to be filed through the Office's electronic registration system. In addition, it will modify the deposit requirement for this option by requiring applicants to submit their contributions in a digital format and to upload those files through the electronic system. The proposed rule will increase the efficiency of the registration process for both the Office and copyright owners alike.

Federal Register, Volume 81 Issue 231 (Thursday, December 1, 2016)

[Federal Register Volume 81, Number 231 (Thursday, December 1, 2016)]
[Proposed Rules]
[Pages 86634-86643]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2016-28700]

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LIBRARY OF CONGRESS

37 CFR Parts 201, 202

[Docket No. 2016-8]

Group Registration of Contributions to Periodicals

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

ACTION: Notice of proposed rulemaking.

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SUMMARY: The U.S. Copyright Office is proposing to amend the regulation
governing the group registration option for contributions to
periodicals to reflect certain upgrades that will soon be made to the
electronic registration system. The proposed rule will require groups
of contributions to be filed through the Office's electronic
registration system. In addition, it will modify the deposit

[[Page 86635]]

requirement for this option by requiring applicants to submit their
contributions in a digital format and to upload those files through the
electronic system. The proposed rule will increase the efficiency of
the registration process for both the Office and copyright owners
alike.

DATES: Comments on the proposed rule must be made in writing and must
be received in the U.S. Copyright Office no later than January 3, 2017.

ADDRESSES: For reasons of government efficiency, the Copyright Office
is using the regulations.gov system for the submission and posting of
public comments in this proceeding. All comments are therefore to be
submitted electronically through regulations.gov. Specific instructions
for submitting comments are available on the Copyright Office Web site
at http://copyright.gov/rulemaking/grcp/. If electronic submission of
comments is not feasible due to lack of access to a computer and/or the
Internet, please contact the Office using the contact information below
for special instructions.

FOR FURTHER INFORMATION CONTACT: Robert J. Kasunic, Associate Register
of Copyrights and Director of Registration Policy and Practice, or Erik
Bertin, Deputy Director of Registration Policy and Practice, by
telephone at 202-707-8040.

SUPPLEMENTARY INFORMATION:

I. Background

When Congress enacted the Copyright Act of 1976, it authorized the
Register of Copyrights (the ``Register'') to issue regulations
specifying the administrative classes of works for the purpose of
seeking a registration, and the nature of the deposit required for each
such class. In addition, Congress gave the Register the discretion to
allow groups of related works to be registered with one application and
one filing fee, a procedure known as ``group registration.'' See 17
U.S.C. 408(c)(1). Pursuant to this authority, the Register issued
regulations permitting the U.S. Copyright Office (the ``Office'') to
issue group registrations for certain limited categories of works,
provided that certain conditions have been met. See generally 37 CFR
202.3(b)(5)-(10).
Without prejudice to the Register's general authority to create
group registration options under section 408(c)(1) of the Copyright Act
at the Register's discretion, Congress also specifically directed the
Register, under section 408(c)(2), to issue regulations allowing works
by the same individual author to be registered as a group, if those
works were first published within a twelve-month period as
contributions to periodicals (including newspapers).\1\ 17 U.S.C.
408(c)(2). In particular, section 408(c)(2) states that ``the Register
of Copyrights shall establish regulations specifically permitting a
single registration for a group of works by the same individual author,
all first published as contributions to periodicals, including
newspapers, within a twelve-month period, on the basis of a single
deposit, application, and registration fee, under the following
conditions--(A) if the deposit 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; and (B) if the
application identifies each work separately, including the periodical
containing it and its date of first publication.'' Id.
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\1\ A bill introduced last year in Congress would maintain the
Office's general authority to create group registration options, but
would eliminate the provision specifically directing the Office to
establish a group option for contributions to periodicals and
specifying the precise requirements for that option. See Copyright
Office for the Digital Economy Act, H.R. 4241, 114th Cong., Sec.
3(b)(1) (2015).
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As the legislative history explains, allowing ``a number of related
works to be registered together as a group represent[ed] a needed and
important liberalization of the law.'' H.R. Rep. No. 94-1476, at 154
(1976); S. Rep. No. 94-473, at 136 (1975). Congress recognized that
requiring applicants to submit separate applications for certain types
of works may be so burdensome and expensive that authors and copyright
owners may forgo registration altogether, since copyright registration
is not a prerequisite to copyright protection. Id. If copyright owners
do not submit their works for registration under this permissive
system, the public record will not contain any information concerning
those works. This creates a void in the public record that diminishes
the value of the Office's database. At the same time, when large
numbers of works are bundled together in one application, information
about the individual works may not be adequately captured. Therefore,
group registration options require careful balancing of the need for an
accurate public record and the need for an efficient method of
facilitating the registration of such works.

II. The Current Group Registration Option for Contributions to
Periodicals

In 1978, the Office issued an interim rule that established a
procedure for registering groups of contributions to periodicals. See
43 FR 965 (Jan. 5, 1978). This interim rule is largely still in effect
today, with the exception of one amendment discussed below. See 37 CFR
202.3(b)(8). The Office refers to this procedure as a ``group
registration for contributions to periodicals'' or ``GRCP.'' Applicants
may use this option if they satisfy the requirements set forth in the
regulation. First, all the contributions must be created by the same
individual, and none of them can be a work made for hire. Id. Sec.
202.3(b)(8)(i)(A), (B). Second, all the works must be first published
as a contribution to a periodical, and they must be published within a
twelve-month period (e.g., October 1, 2014 through September 30, 2015).
In other words, the contributions do not have to be published during
the same calendar year, but ``the earliest and latest contributions
must not have been first published more than twelve months apart.'' Id.
Sec. 202.3(b)(8)(i)(C) n.2. And, third, if the contributions were
first published before March 1, 1989, each contribution must contain an
appropriate copyright notice. Id. Sec. 202.3(b)(8)(i)(D).
The current regulation states that the applicant must complete and
submit a paper application using Form TX, Form VA, or Form PA. It also
states that the application ``should be filed in the [administrative]
class appropriate to the nature of authorship in the majority of the
contributions.'' \2\ Id. 202.3(b)(8)(ii)(A) & n.3. For instance, Form
TX should be used if the group primarily contains textual material
(such as articles, editorials, essays, etc.), Form VA should be used if
the group primarily contains visual material (such as photographs,
cartoons, illustrations, etc.), and Form PA should be used if the group
primarily contains works of the performing arts (such as music, sound
recordings, dramas, etc.). In addition, the applicant must complete and
submit an ``adjunct form'' known as Form GR/CP, which is specifically
designed for providing information about the particular group of
contributions that is being registered. Id. Sec. 202.3(b)(8)(ii)(B).
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\2\ There is a limited exception to this rule that is set forth
in footnote 3 to the current regulation. As discussed in Section
III.A.1 below, that exception is now obsolete. Therefore, the Office
is proposing to remove footnote 3 from the regulation.
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In all cases, the application must ``contain the information
required by the form and its accompanying instructions.'' Id. Sec.
202.3(b)(8)(ii)(A), (B). The instructions for Form GR/CP state that the
application must identify ``each contribution separately, including the
periodical containing it and its date

[[Page 86636]]

of first publication.'' \3\ Form GR/CP (http://copyright.gov/forms/formgr_tx.pdf). Specifically, applicants are instructed to provide the
title of each contribution that is included in the group, the title of
the periodical where each contribution was first published, the volume
and issue number (if any) and issue date for each periodical, and the
page number where each contribution appeared. The instructions for Form
GR/CP also state that the applicant must satisfy one other requirement:
The copyright claimant for each contribution must be the same person or
organization. This requirement does not appear in the current
regulation, although it has appeared in the instructions for Form GR/CP
since at least July 2012.
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\3\ This same language appears in section 408(c)(2)(B) of the
statute, as well as the legislative history for that provision. H.R.
Rep. No. 94-1476, at 155 (1976); S. Rep. No. 94-473, at 137 (1975).
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Under the current regulations there is no limit on the number of
contributions that may be registered with the GRCP option. The current
regulations also provide that the applicant must submit the
contributions in the precise form in which they were first published,
and the copies must be submitted in a physical--rather than a digital--
form.
When the Office established the group option for contributions to
periodicals, the regulation stated that the applicant must submit ``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.'' See 43 FR at 967. The Federal Register notice announcing
this rule explained that the deposit requirements for this group option
``essentially follow the conditions set forth in [section 408(c)(2) of]
the statute.'' Id. at 966. This imposed a hardship on applicants who
did not have a copy of the entire issue or the entire section where the
contribution was first published. To address this concern, the Office
began granting special relief from the deposit requirements on a case-
by-case basis and allowed applicants to submit their works in other
formats. See 67 FR 10329 (Mar. 7, 2002).
Based on this experience, the Office amended the regulation in 2002
to allow applicants to submit their contributions in any of the
following physical formats: (i) One copy of the entire issue of the
periodical that contains the contribution; (ii) one copy of the entire
section of a newspaper that contains the contribution; (iii) tear
sheets or proof copies of the contribution; (iv) a photocopy of the
contribution; (v) a photocopy of the entire page from the periodical
that contains the contribution; (vi) the entire page from the
periodical that contains the contribution, either cut or torn from the
periodical; (vii) the contribution cut or torn from the periodical;
(viii) photographs or photographic slides of the contribution, provided
that the content of the contribution is clear and legible; or (ix)
photographs or photographic slides of the entire page from the
periodical that contains the contribution, provided that the content of
the contribution is clear and legible. See 37 CFR 202.3(b)(8)(i)(E); 67
FR at 10329. The Office explained that expanding the list of acceptable
formats would be ``broadly consistent'' ``with the spirit of
administrative flexibility Congress indicated the Register had in order
to ensure that the deposit requirement was reasonable and non-
burdensome for the applicant.'' 67 FR at 10329 (citing H.R. Rep. No.
94-1476, at 150-55 (1976)). It also explained that this would not
diminish the quality of the public record, because applicants were
expected to provide bibliographic information on Form GR/CP, which
could be used to identify the periodicals where the contributions were
first published (even if the applicant did not submit a copy of the
actual publications). See id.

III. The Proposed Rule

The Office is proposing to amend the regulation that governs the
group registration option for contributions to periodicals (the
``Proposed Rule''). As explained in greater detail below, the Proposed
Rule will make several notable changes to the Office's GRCP regulation.
First, it will improve the efficiency of the GRCP option by requiring
applicants to register their contributions through the Office's
electronic registration system (instead of submitting a paper
application). Second, it will modify the eligibility criteria for the
GRCP option by providing a more specific definition of the term
``periodical,'' and by specifically requiring the contributions to be
owned by the same copyright claimant. Third, it will require applicants
to register their contributions either in Class TX or Class VA (but not
Class PA), and to identify the date of publication for each
contribution and the periodical where each contribution was first
published. Fourth, it will modify the deposit requirements for this
option by requiring applicants to submit a digital copy of each
contribution and to upload these copies through the electronic
registration system (instead of submitting a physical copy of each
contribution).
The Proposed Rule also memorializes the Office's longstanding
position regarding the scope of a registration for a group of
contributions to periodicals. It also confirms that the Office may
refuse to issue a group registration or may cancel a group registration
if it determines that a party failed to comply with the requirements
for that option.\4\
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\4\ As discussed in Sections III.F and G, this aspect of the
Proposed Rule will apply to any group option that the Office creates
under Section 408(c)--including the group options for serials, daily
newspapers, daily newsletters, photographs, and databases. The
Office is not proposing to make any other changes to those group
options as part of this rulemaking.
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Each of these proposals is discussed below.

A. Application Requirements

1. Online Registration
Once this rule is finalized, it will be possible to register groups
of contributions to periodicals through the Office's electronic
registration system. The Office generally has allowed and encouraged
applicants to register their works through this system since 2007. When
the system was introduced, applicants could submit their works on an
individual basis or as part of a collective work or an unpublished
collection. See 72 FR 36883, 36884-85 (July 6, 2007). However,
applicants could not submit a group registration covering contributions
to periodicals, because the system was not designed to take in the
information that is required for such a registration. Instead,
applicants were required to file their claims with a paper application
submitted on Form TX, Form VA, or Form PA, together with Form GR/CP.
In February 2015 the Office completed a comprehensive analysis of
its electronic registration system with input from technical experts
and stakeholders. This analysis will support the Office's long-term
goals of creating both a better interface and a better public record.
See U.S. Copyright Office, Office of the Chief Information Officer,
Report and Recommendations of the Technical Upgrades Special Project
Team (February 2015), available at http://copyright.gov/docs/technical_upgrades/usco-technicalupgrades.pdf; see also 78 FR 17722
(Mar. 22, 2013). In December 2015 the Register issued a strategic plan
that sets forth the Office's performance objectives for the next five
years. It provides a roadmap for re-envisioning almost all of the
services that the Office provides, including how applicants register
claims, submit deposits, record documents, share data, and access
expert resources. With respect to information technology, the

[[Page 86637]]

plan calls for ``a robust and flexible technology enterprise that is
dedicated to the current and future needs of a modern copyright
agency.'' U.S. Copyright Office, Strategic Plan 2016-2020: Positioning
the United States Copyright Office for the Future, at 35 (Dec. 1, 2014)
(``Strategic Plan 2016-2020''), available at http://copyright.gov/reports/strategic-plan/USCO-strategic.pdf. At the direction of
Congress,\5\ the Office also developed a detailed IT plan, and obtained
public comments on specific strategies, costs, and timelines for
technology objectives. U.S. Copyright Office, Provisional Information
Technology Modernization Plan and Cost Analysis (Feb. 29, 2016),
available at http://www.copyright.gov/reports/itplan/technology-report.pdf.
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\5\ H.R. Rep. No. 114-110, at 16-17 (2015).
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In the meantime, the Office has made some enhancements to the
current system to benefit authors, the Office, and the public at large.
Under the Proposed Rule, applicants will be required to use an online
application specifically designed for GRCP as a condition for using
this group option. Once the Proposed Rule goes into effect, the Office
will no longer accept groups of contributions that are submitted with a
paper application on Form TX, Form VA, Form PA, or Form GR/CP. In such
cases the Office will ask the applicant to resubmit the claim using the
online application, which may change the effective date of registration
that is assigned to the claim. The Office invites comment on this
proposal, including whether the Office should eliminate the paper
applications for GRCP, phase them out after a specified period of time,
or continue to offer them for applicants who prefer to use the paper-
based system.
When completing the online application, applicants will be asked to
provide the same information that is currently requested in Form TX,
Form VA, and Form GR/CP. Consistent with Section 408(c)(2) of the
statute, applicants will be required to provide the title and date of
first publication for each contribution in the group, as well as the
title of the periodical where each contribution was first published. If
an applicant fails to provide this information, the application will
not be accepted by the electronic system. In addition, applicants will
be given an opportunity to provide the International Standard Serial
Number (``ISSN'') that has been assigned to the periodical (if any), as
well as the volume, number, issue date, and relevant page numbers (if
any) for the particular issue where the contribution was first
published. If the contributions were published as part of a continuing
series of works by the same author, such as an advice column, an
editorial column, a cartoon strip, or the like, the applicant will be
given an opportunity to provide the title (if any) that may be used to
identify the entire series of works.
The current regulation states that an applicant may register a
group of contributions to periodicals in Class TX, VA, or PA by
submitting the appropriate application for that class. 37 CFR
202.3(b)(8)(ii)(A) & n.3. The Proposed Rule, however, will allow
applicants to register their claims only in Class TX or Class VA, and
will eliminate the provision that allows a group of contributions to be
registered in Class PA. The Office routinely registers contributions to
periodicals in Class TX and Class VA, but has no institutional memory
of having ever registered a claim in Class PA. Presumably, this is due
to the fact that it would be extremely unusual for a musical work, a
dramatic work, a choreographic work, a pantomime, a motion picture, or
an audiovisual work to be first published as a contribution to a
periodical.
The Proposed Rule states that applicants should register their
claims in Class TX if a majority of the contributions predominantly
consist of text, and should register their claims in Class VA if a
majority of the contributions predominantly consist of photographs,
illustrations, artwork, or other visual material. A similar provision
appears in the current regulation; the Proposed Rule simply reiterates
this requirement.
As discussed above, the current regulation also contains a limited
exception to this rule, which is set forth in footnote 3 to the
regulation. See 37 CFR 202.3(b)(8)(ii)(A) n.3. The Proposed Rule will
eliminate this footnote, because it is obsolete.
When Congress enacted the Copyright Act of 1976 it contained a
provision known as the ``manufacturing clause,'' which was set forth in
Section 601 of the statute. Briefly stated, that provision prohibited
the importation or distribution ``of copies of a work consisting
preponderantly of nondramatic literary material that is in the English
language,'' unless that material was ``manufactured in the United
States or Canada.'' 17 U.S.C. 601 (1978) (repealed by Pub. L. 111-295,
4(a), 124 Stat. 3180 (2010)). Footnote 3 to the regulation that governs
GRCP contains similar language. It states that ``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.'' 37 CFR 202.3(b)(8)(ii)(A) n.3.
The reason for this limitation is that when the Office adopted the
regulation in 1978, Form TX contained a space that asked the applicant
to identify the country where the copies were printed. The Office used
this information to determine whether the work was subject to the
manufacturing clause. (The Office did not include this space on Form VA
or Form PA, because as mentioned above, the manufacturing clause only
applied to nondramatic literary works.)
The manufacturing clause expired in 1986, Congress removed that
provision from the statute in 2010, and as a result, the Office no
longer asks for ``country of origin'' information on Form TX. Public
Law 97-215, 96 Stat. 178, 178-79 (1982); Public Law 111-295, 4(a), 124
Stat. 3180, 3180 (2010). Thus, footnote 3 to the current regulation no
longer serves any purpose.
2. Supplementary Registration
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,'' including a
registration for a group of related works. 17 U.S.C. 408(d).
Specifically, it identifies an error or omission in an existing
registration (referred to herein as a ``basic registration'') and
places the corrected information or additional information in the
public record. The Office often refers to this type of registration as
a ``CA,'' which stands for ``correction and amplification.''
The Office is issuing a separate notice of proposed rulemaking
(published elsewhere in this volume of the Federal Register, and
referred to herein as the ``CA Rulemaking'') that will modify the
regulation that governs this procedure. Under the rule proposed in the
CA Rulemaking, applicants will be required to file an online
application in order to correct or amplify the information set forth in
a basic registration for any work that is capable of being registered
through the electronic system, rather than filing a paper application.
This online-filing requirement will apply to supplementary
registrations for groups of contributions to periodicals--even if those
contributions were originally registered with a paper application
submitted on Forms TX, VA, and GR/CP. When the rule proposed in the CA
Rulemaking goes into effect, applicants will be required to file an
online application in order to correct or amplify a basic registration
for a GRCP claim. If an applicant attempts to use a paper application,
the Office will ask

[[Page 86638]]

the applicant to resubmit the claim using the online form.
The Office is inviting comment on this proposal, including whether
the Office should eliminate the paper application for seeking a
supplementary registration, phase out this option after a specified
period of time, or continue to offer this option for applicants who
prefer to use the paper-based system. Comments concerning this proposal
should be submitted as part of the CA Rulemaking, and should not be
submitted as part of this rulemaking on GRCP.
3. Policy Considerations Supporting Online-Only Registration
A substantial majority of the U.S. population has access to the
internet,\6\ and therefore, the Office expects that most authors will
be able to use the electronic system.\7\ That said, the Office
recognizes that millions of Americans do not have broadband service,
and recognizes that eliminating the paper application may impose a
burden on authors who fall within that segment of the population.\8\
Nevertheless, the Office believes that the benefits of requiring
applicants to use the online application outweigh the potential burden
on authors who do not have direct access to the internet.
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\6\ The Pew Research Center found that 84% of adults use the
internet, including 85% of the people in urban and suburban
communities and 78% of the people in rural communities. Pew Research
Center, Americans' Internet Access: 2000-2015, at 2, 10 (June 26,
2015), available at http://www.pewinternet.org/files/2015/06/2015-06-26_internet-usage-across-demographics-discover_FINAL.pdf.
\7\ Approximately 94% of the claims submitted in fiscal year
2015 were filed through the electronic system, while 6% of the
claims were submitted on a paper application.
\8\ The Federal Communications Commission reported that 17% of
the population does not have access to a broadband service with
connection speeds of twenty-five megabits per second (``mbps'') for
downloads and three mbps for uploads. This figure includes 8% of the
people who live in urban areas, 53% of the people in rural areas,
and 63% of the people in U.S. territories and Tribal lands. Federal
Communications Commission, 2015 Broadband Progress Report 4 (Jan.
29, 2015), available at https://apps.fcc.gov/edocs_public/attachmatch/FCC-15-10A1.pdf.
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Providing title and publication information with a paper
application can be tedious and time consuming, especially when
applicants submit dozens or even hundreds of contributions in a group
registration. Examining these types of claims also imposes substantial
burdens on the Office, because the cataloging information for each
contribution must be copied from the application and typed into the
Office's electronic system by hand. In some cases, examiners have spent
an entire day processing a single claim, which has resulted in
corresponding delays in issuing certificates of registration. Moreover,
the increasing demand on the Office's limited resources has had an
adverse effect on the examination of other types of works within the
Literary and Visual Arts Divisions.
If an author does not have broadband at home, at the home of a
relative, a friend, or a neighbor, or at her place of employment, there
are other options for registering a group of contributions to
periodicals. If the copyright owner has a tablet or laptop, she could
complete and submit the online application at a coffee shop, a
bookstore, or any other place where wi-fi or cellular service is
available.\9\ She could log into the electronic system at a public
library or other institution that provides computers with Internet
access. Alternatively, the author could hire an attorney to submit the
application on her behalf, either by paying for the attorney's services
or by obtaining pro bono representation.\10\ The Office also notes that
a number of companies will prepare an application and file it with the
Office for a fee. These companies typically provide this service for
authors who wish to register a single work, but they could conceivably
expand their offering to include groups of contributions to
periodicals.
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\9\ When filing an application for a supplementary registration
there is no need to upload a copy of the work that is covered by the
basic registration. Thus, applicants will be able to submit these
types of claims with a tablet or other wi-fi enabled device. In some
cases, the registration specialist may need to compare the
information provided in the application for supplementary
registration with the copy of the work that was submitted with the
application for the basic registration. For instance, this may be
necessary if the supplementary registration changes the publication
status of the work or adds additional authors to the registration
record. If the Office does not have a copy of the work in its
possession, the registration specialist may ask the applicant to
submit a replacement copy. See Compendium section 1802.9(C). But in
all cases, the replacement copy could be sent by first class mail,
courier, or hand delivery; the copy does not need to be uploaded to
the electronic system (though this would be an option if the
applicant has broadband service).
\10\ The Office does not require applications to be prepared or
submitted by an attorney. In certain special cases the Office may
suggest that the copyright owner consider seeking legal advice, but
the Office does not furnish the names of copyright attorneys,
publishers, agents, or other similar information. See 37 CFR
201.2(a)(2).
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Congress gave the Office broad authority to establish the
requirements for group registration options. 17 U.S.C. 408(c)(1). For
the foregoing reasons, the Office believes that requiring applicants to
submit an online application as a condition for seeking a registration
for a group of contributions to periodicals is a reasonable trade-off
for improving the overall efficiency of the group registration process.
Nonetheless, the Office invites comment on this aspect of the Proposed
Rule.

B. Eligibility Requirements

This section discusses the eligibility requirements for the group
option for contributions to periodicals. Applicants that fail to
satisfy these requirements will not be permitted to use this option.
1. Restating the Existing Eligibility Requirements
The Proposed Rule improves the readability of the regulation by
restating the eligibility requirements for this group option, including
the requirements involving authorship, work made for hire, first
publication, and notice. The changes in language are simply intended to
clarify these requirements and do not represent a substantive change in
policy.
2. Definition of ``Periodicals''
The Proposed Rule provides a definition for the term
``periodicals.'' It states that a periodical is a collective work that
is issued or intended to be issued on an established schedule in
successive issues that are intended to be continued indefinitely. It
recognizes that each issue of a periodical usually bears the same
title, as well as numerical or chronological designations. It also
provides examples of works that typically qualify as a periodical, such
as newspapers, magazines, newsletters, journals, bulletins, annuals,
the proceedings of societies, and other similar works. This definition
has appeared in the Compendium of U.S. Copyright Office Practices since
December 22, 2014, and is consistent with the Office's longstanding
definition for the term ``serial,'' which has been in effect since
1991. See U.S. Copyright Office, Compendium of U.S. Copyright Office
Practices, section 1115.1 (3d ed. 2014) (hereinafter the
``Compendium''); 37 CFR 202.3(b)(1)(v); 56 FR 7812, 7813 (Feb. 26,
1991).
An applicant may be permitted to register articles, blog entries,
artwork, photographs, or other contributions that were first published
in an electronically printed (``ePrint'') publication if that
publication fits within the regulatory definition of a ``periodical.''
Specifically, an ePrint publication may be considered a periodical for
purposes of registration if it is fixed and distributed online or via
email as a self-contained work, such as a digital version of a tangible
newspaper, magazine, newsletter, or similar

[[Page 86639]]

publication. For example, many companies publish electronic newsletters
that contain articles on a particular subject, and distribute these
publications to their subscribers either online or via email. An
article published in an ePrint newsletter could be considered a
contribution to a periodical under the Proposed Rule if each issue of
the newsletter is fixed and distributed as a self-contained work and if
the content of each issue does not change once it has been distributed.
By contrast, a Web site would not be considered a periodical under
the Proposed Rule. Web sites are typically updated on a continual basis
rather than an established schedule. The updates are not made in
successive issues that can be recognized as discrete, self-contained
collective works, and they do not contain numerical or chronological
designations that distinguish one update from the next. For these
reasons, an applicant could register a group of articles that were
first published in the print or ePrint edition of a magazine. Likewise,
an applicant could register a group of articles that were first
published in a print or ePrint edition of a magazine and simultaneously
published on the publisher's Web site. However, an applicant could not
register a group of articles that were published solely on a Web site.
The Office is aware of the need for establishing new and updated
practices for examining and registering complex or emerging areas of
authorship. The Register's strategic plan calls for the Office to
``[a]ssess special issues relating to registration and deposit
protocols for emerging forms of digital dissemination of works across
the spectrum of creative industries,'' and to ``[i]dentify and make
appropriate changes to Office policy and procedures in response to . .
. emerging business standards.'' Strategic Plan 2016-2020 at 11. The
rule proposed in this notice represents an interim improvement to the
current electronic registration system, and is intended to provide a
sound foundation for creating other registration options within the
next five years.
3. Identifying the Contributions in the Group
The Proposed Rule confirms that the application must identify each
contribution that is included in the group, including the date of
publication for each contribution and the periodical in which it was
first published. Although the statute expressly states that this
requirement should be included in the regulation, it does not appear in
the current rule. 17 U.S.C. 408(c)(2)(B). Instead, the regulation
states that the application ``shall contain the information required by
the form and its accompanying instructions,'' and in turn, the
instructions for Form GR/CP state that this information should be
included in the form. 37 CFR 202.3(b)(8)(ii)(A); see also United States
Copyright Office, Adjunct Application Form GR/CP, available at http://copyright.gov/forms/formgr_tx.pdf. The Proposed Rule reconciles the
regulation with the statute and the Office's current practices.
4. Ownership Requirements
The Proposed Rule confirms that the copyright claimant for each
contribution in the group must be the same person or organization. This
is in addition to the requirement that the contributions must be
created by the same individual, although the author and claimant may be
different persons. As noted in Section II, this requirement has
appeared in the instructions for Form GR/CP for some time, but it does
not appear in the current regulation. The change is simply intended to
reconcile the regulation with the Office's longstanding practices. The
Office will continue to register contributions authored by an
individual who transferred his or her copyrights to the copyright
claimant, provided that the claimant owns all of the exclusive rights
in those contributions and provided that the application contains an
appropriate transfer statement explaining how the claimant obtained
those rights.
5. Number of Contributions in the Group
The statute directs the Office to establish a procedure for
registering a group of works by the same individual, but it does not
specify the total number of works that may be included within each
group. Although the statute requires the Register to establish a group
registration procedure for contributions to periodicals that are ``all
first published as contributions to periodicals, within a twelve-month
period,'' 17 U.S.C. 408(c)(2) (emphasis added), that is not the same
thing as saying that an author should be permitted to register ``all''
such contributions with one application and one filing fee. If that is
what Congress intended, then presumably it would have directed the
Register to establish a procedure for registering ``all'' works by the
same individual author (rather than ``a group of works''). Id.
Although the Office thus has the authority to limit the number of
contributions that may be included within each group, it has decided
not to impose any limits at this time. Once the Proposed Rule has been
implemented, the Office will monitor these group registrations to
determine if any restrictions may be warranted in the future.
In the meantime, the Office encourages authors to submit their
contributions on a quarterly basis (i.e., every three months), instead
of submitting them on an annual or semi-annual basis. As with any work
of authorship, a contribution to a periodical must be registered in a
timely manner to seek statutory damages and attorney's fees in an
infringement action. Specifically, an author may seek statutory damages
and attorney's fees if the contribution was registered (i) before the
infringement commenced or (ii) within three months after the first
publication of that work. 17 U.S.C. 412. To secure these benefits, the
Office encourages authors to register their contributions within three
months after they were published. By doing so, authors will preserve
their ability to seek statutory damages and attorney's fees for any
infringements that may occur after the effective date of registration,
as well as any infringements that may occur within three months after
the publication of each work. For example, if the first contribution in
the group was published on June 1, 2016 and the last contribution was
published on September 1, 2016, it would be advisable to file a
complete application, deposit, and filing fee on or before September 1,
2016. By doing so, the author will preserve his or her ability to seek
statutory damages and attorney's fees for any infringements that began
after the effective date of registration (i.e., after September 1,
2016), as well as any infringements that began within three months
after the date of publication for each contribution in the group.

C. Deposit Requirements

To register a group of contributions to periodicals under the
Proposed Rule applicants must submit a complete copy of each
contribution that is included in the group. This will ensure that the
Office receives the entire content of each contribution for the purpose
of examining, indexing, and documenting the claim.
Applicants may satisfy this requirement by submitting one copy of
the entire issue of the periodical in which the contribution was first
published. If the contribution was first published in a newspaper,
applicants may satisfy this requirement by submitting one copy of the
entire section of the newspaper in which the

[[Page 86640]]

contribution was first published. Both of these options appear in the
existing rule and are required to be included by statute. 17 U.S.C.
408(c)(2)(A); 37 CFR 202.3(b)(8)(i)(E).
Alternatively, applicants may satisfy this requirement by
submitting one copy of each contribution in the precise form in which
it was first published in the periodical. Specifically, applicants may
submit a copy of the particular pages within the periodical where the
contribution was first published. This provision essentially mirrors
regulations that have been in place since 2002 and, as discussed, is
necessary to ensure that authors can readily take advantage of the GRCP
option. See generally 67 FR 10329.
The Register may, consistently with the statutory scheme, accept
deposits other than ``one copy of the entire issue of the periodical''
and ``the entire section in the case of a newspaper'' for the GRCP
option. 17 U.S.C. 408(c)(2)(A). As mentioned above, section 408(c)
gives the Register broad authority to establish group registration
options, and to define the nature of the deposit materials for such
registrations. See 17 U.S.C. 408(c)(1) (``The Register of Copyrights is
authorized to specify by regulation the administrative classes into
which works are to be placed for purposes of deposit and registration,
and the nature of the copies or phonorecords to be deposited in the
various classes specified. The regulations may require or permit . . .
a single registration for a group of related works.''). Section
408(c)(2), in turn, requires the Register to establish a particular
group registration option with the following conditions: ``specifically
permitting a single registration for a group of works by the same
individual author, all first published as contributions to periodicals,
including newspapers, within a twelve-month period . . . if the deposit
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.'' \11\ 17 U.S.C. 408(c)(2)(A). The Proposed Rule
provides that option. Section 408(c)(2) does not, however, limit the
Register's ability to expand the circumstances where group registration
of contributions to periodicals would be accepted. Nor does it limit
her ability to provide authors of such contributions with additional
accommodations to facilitate their use of this group registration
option. To the contrary, section 408(c)(2) makes clear that its terms
are ``[w]ithout prejudice to the general authority provided under''
section 408(c)(1) to create group registration options and define the
deposit requirements for those options. Id. 408(c)(2). Indeed, to read
section 408(c)(2) as limiting the Register's authority in this regard
would be contrary to the overall purpose of the statutory scheme, which
was to reduce ``administrative problems'' and ``unnecessary burdens and
expenses on authors and other copyright owners'' by permitting group
registration. H.R. Rep. No. 94-1476, at 154 (1976). Thus, as an
exercise of the Register's general authority in section 408(c)(1), the
Office has determined that it may accept formats other than those
specifically listed in section 408(c)(2)(A) as deposits for the GRCP
option.
---------------------------------------------------------------------------

\11\ Similar language appears in the legislative history for
this provision. See H.R. Rep. No. 94-1476, at 154 (1976) (``It is
further required that the deposit consist 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 is first published.''); S.
Rep. No. 94-473, at 137 (1975) (same).
---------------------------------------------------------------------------

In all cases applicants will be required to submit a digital copy
of each contribution that is included in a group. Specifically,
applicants will be required to submit electronic files in Portable
Document Format (``PDF'') or other electronic format specifically
approved by the Office. This requirement will apply regardless of
whether an applicant submits a copy of an entire issue of a periodical,
an entire section of a newspaper, or the specific pages from the
periodicals where the contributions were first published.
Applicants will be required to upload the digital copies through
the electronic registration system. When uploading the files,
applicants will be strongly encouraged to save them in a .zip file and
then upload the .zip file to the system. In all cases, the size of each
uploaded file may not exceed 500 megabytes, although applicants may
digitally compress the contributions to comply with this limitation.
Under the current regulation, applicants must submit a physical
copy of each contribution, such as photographic prints, contact sheets,
or slides; camera-ready proof copies; or pages or clippings cut or torn
from a newspaper, magazine, or other publication. Under the Proposed
Rule, the Office will no longer accept physical copies. Likewise, the
Office will not accept digital copies that have been saved onto a disc,
a flash drive, or other physical storage device that is delivered to
the Office by mail, by courier, or by hand delivery. In all cases,
applicants will be required to upload a digital copy of each
contribution via the electronic registration system.
Requiring applicants to upload their digital copies to this system
will increase the efficiency of the group registration process. Based
on the Office's experience, electronic submissions take less time to
process, they are easier to track, and they are less burdensome to
store than physical copies. From the applicant's perspective,
electronic submissions should be more convenient and less expensive
than submitting digital copies on a physical storage device, and if the
claim is approved, the applicant should receive a certificate of
registration in a more timely manner.
Moving to electronic deposits may also provide copyright owners
with certain legal benefits. When the Office registers a group of
contributions to periodicals it assigns an effective date of
registration to the claim. This determination is based on the date that
the Office received the application, the filing fee, and the deposit.
When an applicant uploads a digital copy to the electronic system, the
Office typically receives the application, the filing fee, and the
deposit on the same date. By contrast, when an applicant delivers a
physical copy to the Office by mail, courier, or hand delivery, the
deposit may not be received for days or even weeks after the date that
the application and filing fee were submitted.
Requiring applicants to submit a scanned copy of their
contributions in the precise form in which they were first published is
consistent with the legislative history, which states that ``[a]s a
general rule the deposit of more than a tear sheet or similar fraction
of a collective work is needed to identify the contribution properly
and to show the form in which it was published.'' H.R. Rep. No. 94-
1476, at 153 (1976). It also serves an evidentiary purpose. It gives
the examiner an opportunity to compare the deposit with the title, date
of publication, issue number, page number, or other information that is
set forth in the application (although in practice examiners do not
conduct this type of analysis for every contribution in the group). If
a particular contribution becomes involved in litigation, the deposit
could be used to verify that the contribution was published in a
particular periodical on a particular date.
Applicants who are unable to submit their contributions in the
precise form in which they were first published may request special
relief from the deposit requirements. 37 CFR 202.20(d). Likewise,
applicants may request special relief if they are unable to submit a
digital copy of their contributions or unable to upload them

[[Page 86641]]

through the electronic system. For information concerning special
relief, see section 1508.8 of the Compendium.

D. Filing Fee

Under the Proposed Rule, the applicant will be required to pay the
same filing fee that is currently set forth in the Office's fee
schedule, namely $85 per claim.
In 2012 the Office conducted a study pursuant to Section 708 of the
Copyright Act, which authorizes the Register to establish, adjust, and
recover fees for certain services that the Office provides to the
public. After reviewing its costs, the Office decided to increase the
filing fee for GRCP from $65 to $85, noting that these types of claims
are ``labor-intensive.'' \12\ U.S. Copyright Office, Proposed Schedule
and Analysis of Copyright Fees To Go Into Effect On Or About April 1,
2014, at 17 (Nov. 14, 2013).
---------------------------------------------------------------------------

\12\ This increase went into effect on May 1, 2014.
---------------------------------------------------------------------------

Section 708(b) authorizes the Register to adjust the fees that the
Office charges for certain services (including the fee for seeking a
group registration), but before doing so the Register must conduct a
study of the costs incurred by the Office for registering claims,
recording documents, and providing other services. In conducting this
study, the Register must consider the timing of any fee adjustments and
the Office's authority to use the fees consistent with its budget. 17
U.S.C. 708(b)(1). Section 708(b) provides that the Register may adjust
these fees no ``more than necessary to cover the reasonable costs
incurred by the Copyright Office for . . . [such services], plus a
reasonable inflation adjustment to account for any estimated increase
in costs.'' 17 U.S.C. 708(b)(2). It also provides that the Office must
submit the proposed fee schedule to Congress, and that the Office may
implement the schedule 120 days thereafter unless Congress enacts a law
stating that it does not approve the schedule. 17 U.S.C. 708(b)(5).
Once the Proposed Rule has been implemented, the Office will
monitor the cost of processing GRCP claims to determine if future fee
adjustments may be warranted. The Office will use this information in
conducting its next fee study.

E. The Scope of a Group Registration

The Proposed Rule memorializes the Office's longstanding position
regarding the scope of a registration for a group of contributions to
periodicals.
When the Office issues a group registration it prepares one
certificate of registration for the entire group and assigns one
registration number to that certificate. The Proposed Rule clarifies
that a registration for a group of contributions to periodicals covers
each contribution in the group, and each contribution is registered as
a separate ``work.'' This understanding is consistent with the
statutory scheme. The legislative history makes clear that group
registration was ``a needed and important liberalization of the law
[then] in effect,'' which to that point had required ``separate
registrations where related works or parts of a work are published
separately.'' H.R. Rep. No. 94-1476, at 154 (1976). In particular,
Congress noted that ``the technical necessity for separate applications
and fees has caused copyright owners to forego copyright altogether.''
Id. Given that context, it would be anomalous for works registered as
part of a group registration application to be given lesser protection
than if they had been registered through separate applications.
For similar reasons, the Proposed Rule also clarifies that when a
group of works are registered under GRCP, the group as a whole is not
considered a compilation or a collective work. Instead, the group is
merely an administrative classification created solely for the purpose
of registering multiple contributions with one application and one
filing fee. See 17 U.S.C. 408(c)(1) (``Th[e] administrative
classification of works has no significance with respect to the subject
matter of copyright or the exclusive rights provided by this title.'').
Although an applicant may exercise some judgment in selecting the
contributions that are included within a particular group, that
decision does not necessarily constitute copyrightable authorship. The
selection is based on the regulatory requirements for GRCP, and any
coordination or arrangement of the contributions is merely an
administrative formality that facilitates the examination of the works.
Likewise, the Proposed Rule clarifies that the group is not
considered a derivative work. When a group of contributions are
combined together for the purpose of facilitating registration those
works are not ``recast, transformed, or adapted'' in any way, and the
group as a whole is not ``a work based upon one or more preexisting
works'' because there is no copyrightable authorship in simply
following the administrative requirements for GRCP. 17 U.S.C. 101
(definition of ``derivative work'').

F. Refusals To Register

The Proposed Rule confirms that the Office may refuse to issue a
group registration if it determines that the applicant failed to
satisfy the requirements set forth in the statute or regulations.\13\
17 U.S.C. 410(b) (stating that the Register ``shall refuse registration
and shall notify the applicant in writing of the reasons for such
refusal'' ``[i]n any case in which [she] determines that . . . the
material deposited does not constitute copyrightable subject matter or
that the claim is invalid for any other reason'').
---------------------------------------------------------------------------

\13\ A similar requirement has appeared in the regulation
governing the group registration option for serials since 1990. See
55 FR 50556, 50556-57 (Dec. 7, 1990). That regulation states that
the Office may revoke the privilege of registering a group of
serials if a publisher fails to comply with the deposit requirement
for that option. 37 CFR 203.3(b)(6)(iv).
---------------------------------------------------------------------------

G. Cancellation

The Proposed Rule confirms that the Office may cancel a group
registration under Sec. 201.7(c)(4) of the regulations if it
determines, after the registration has issued, that the requirements
for that option were not met. In such cases, the Office will send a
written notice to the correspondent and claimant named in the
registration at the addresses specified in the registration record. The
Office will describe the defect in the registration and will inform the
parties that the registration may be cancelled if they fail to resolve
the defect in a timely manner.
In a related vein, the Proposed Rule makes some clarifying edits to
the Office's cancellation regulation, section 201.7(c)(4). First, it
makes clear, consistent with existing Copyright Office practice, that
the regulation only provides representative examples of situations
where the Office may cancel a registration (rather than an exhaustive
list of situations where cancellation may be warranted). Second, the
Proposed Rule also removes one of the examples from that list--namely
section 201.7(c)(4)(ix), which states that the Office may cancel a
registration for a work published after January 1, 1978 if it
determines that ``the only claimant given on the application was
deceased on the date the application was certified.'' This is
inconsistent with current practices of the Copyright Office.
The Office recently conducted a comprehensive review of its
internal policies in conjunction with the revision of the Compendium.
The Compendium explains that if the Office discovers that the named
claimant died before the work was submitted or before it has been
approved for registration, the Office may ask the applicant to provide
the name of the current claimant. In

[[Page 86642]]

such cases, the Office will accept an application filed by or on behalf
of the person or organization that owns all of the exclusive rights
that initially belonged to a deceased claimant, such as the claimant's
estate, a devisee, or an heir. Likewise, the Office will accept an
application that names a deceased author as the copyright claimant if
that author is the only party who is eligible to be named as the
claimant, as might be the case where no one owns all of the exclusive
rights in the work because the author previously transferred those
rights to multiple parties. See Compendium section 405.5.

H. Technical Amendments

The Proposed Rule will move the regulation that governs this group
option from section 202.3(b)(8) to section 202.4(h).\14\ In the future,
the Office intends to move all regulations governing the various group
options that it has created under section 408(c) of the Copyright Act
to section 202.4. This change is intended to improve the readability of
the existing regulations, but it does not represent a substantive
change in policy.
---------------------------------------------------------------------------

\14\ The Office recently issued a notice of proposed rulemaking
that would remove the current text of section 202.4 and reserve that
section for later use. See 81 FR 67940, 67942 (Oct. 3, 2016).
---------------------------------------------------------------------------

In addition, the Proposed Rule will incorporate the definitions of
``Class TX,'' ``Class VA,'' and ``works of the visual arts'' that are
set forth in section 202.3, and it will confirm that the application
may be submitted by any of the parties listed in section 202.3(c)(1),
namely (i) the author or copyright claimant of those works, (ii) the
owner of any of the exclusive rights in those works, or (iii) a duly
authorized agent of any author, claimant, or owner of exclusive rights.

IV. Conclusion

The Proposed Rule will allow broader participation in the
registration system, and increase the efficiency of the group
registration process. The Office invites public comment on these
proposed changes.

List of Subjects

37 CFR Part 201

37 CFR Part 202

Proposed Regulation

For the reasons set forth in the preamble, the U.S. Copyright
Office proposes amending 37 CFR parts 201 and 202, as follows:

PART 201--GENERAL PROVISIONS

0
1. Revise the authority citation for part 201 to read as follows:

Authority: 17 U.S.C. 702.

0
2. Amend Sec. 201.3 by revising: paragraph (c)(2) to read as follows:

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

* * * * *
(c) * * *

(2) Registration of a claim in a group of contributions 85
to periodicals or a group of database updates..........

* * * * *
0
3. Amend Sec. 201.7 by:
0
a. In the last sentence in paragraph (c)(4), adding the phrase
``examples of'' after the phrase ``The following are''.
0
b. In paragraph (c)(4)(i), removing the semi-colon and add a period in
its place.
0
c. In paragraph (c)(4)(ii), removing ``1989,'' and add in its place
``1989'' and remove ``notice;'' and add in its place ``notice.'' .
0
d. In paragraphs (c)(4)(iii) through (viii), removing the semi-colon
and add a period in its place.
0
e. Removing paragraph (c)(4)(ix) and redesignate paragraphs (c)(4)(x)
and (xi) as paragraphs (c)(4)(ix) and (x), respectively.
0
f. In newly redesignated paragraph (c)(4)(ix), removing the term ``;
and '' and add a period in its place.
0
g. Adding paragraph (c)(4)(xi).
The addition to read as follows:

Sec. 201.7 Cancellation of completed registrations.

* * * * *
(c) * * *
(4) * * *
(xi) The requirements for registering a group of related works
under section 408(c) of title 17 of the United States Code have not
been met.
* * * * *

PART 202--PREREGISTRATION AND REGISTRATION OF CLAIMS TO COPYRIGHT

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

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

0
5. Amend Sec. 202.3 by:
0
a. Revising paragraph (b)(4)(ii).
0
b. Removing and reserving paragraph (b)(8).
0
c. In paragraph (b)(11)(ii), redesignating footnote 4 as footnote 2
(both in the text of paragraph (b)(11)(ii) and in the footnote itself).
0
d. In the text of paragraph (c)(2), removing the reference to footnote
``6'' and adding in its place a reference to footnote ``3'',
redesignating footnote 5 as footnote 3, and revising newly redesignated
footnote 3.
The revisions to read as follows:

Sec. 202.3 Registration of copyright.

* * * * *
(b) * * *
(4) * * *
(ii) In the case of an application for registration made under
paragraphs (b)(4) through (10) of this section or under Sec. 202.4,
the ``year of creation,'' ``year of completion,'' or ``year in which
creation of this work was completed'' means the latest year in which
the creation of any copyrightable element was completed.
* * * * *
(c) * * *
(2) * * *

\3\ In the case of an application to register a group of
newspapers, newsletters, or contributions to periodicals under
paragraphs (b)(7) or (9) of this section or under Sec. 202.4(h),
the deposit shall comply with the respective requirements specified
in those paragraphs.

* * * * *
0
7. Revise Sec. 202.4 to read as follows:

Sec. 202.4 Group Registration.

(a) This section prescribes conditions for issuing a registration
for a group of related works under section 408(c) of title 17 of the
United States Code.
(b) Definitions. For purposes of this section, the terms collective
work, copy, and work made for hire have the meanings set forth in
section 101 of title 17 of the United States Code, and the terms
claimant, Class TX, Class VA, and works of the visual arts have the
meanings set forth in Sec. 202.3(a)(3), (b)(1)(i), and (b)(1)(iii).
(c) [Reserved]
(d) [Reserved]
(e) [Reserved]
(f) [Reserved]
(g) [Reserved]

[[Page 86643]]

(h) Group registration of contributions to periodicals. Pursuant to
the authority granted by 17 U.S.C. 408(c)(2), the Register of
Copyrights has determined that a group of contributions to periodicals
may be registered in Class TX or Class VA with one application, one
filing fee, and the required deposit, if the following conditions are
met:
(1) All the contributions in the group must be created by the same
individual.
(2) The copyright claimant must be the same person or organization
for all the contributions.
(3) The contributions must not be works made for hire.
(4) Each work must be first published as a contribution to a
periodical, and all the contributions must be first published within a
twelve-month period (e.g., January 1, 2015 through December 31, 2015;
February 1, 2015 through January 31, 2016). For purposes of this
section, a periodical is a collective work that is issued or intended
to be issued on an established schedule in successive issues that are
intended to be continued indefinitely. In most cases, each issue will
bear the same title, as well as numerical or chronological
designations. Examples include newspapers, magazines, newsletters,
journals, bulletins, annuals, the proceedings of societies, and other
similar works.
(5) If any of the contributions were first published before March
1, 1989, those works must bear a separate copyright notice, the notice
must contain the copyright owner's name (or an abbreviation by which
the name can be recognized, or a generally known alternative
designation for the owner), and the name that appears in each notice
must be the same.
(6) The applicant must complete and submit the online application
designated for a group of contributions to periodicals. The application
must identify each contribution that is included in the group,
including the date of publication for each contribution and the
periodical in which it was first published. The application may be
submitted by any of the parties listed in Sec. 202.3(c)(1). The
application should be filed in Class TX if a majority of the
contributions predominantly consist of text, and the application should
be filed in Class VA if a majority of the contributions predominantly
consist of photographs, illustrations, artwork, or other works of the
visual arts.
(7) The appropriate filing fee, as required by Sec. 201.3(c) of
this chapter, must be included with the application or charged to an
active deposit account.
(8) The applicant must submit one copy of each contribution that is
included in the group, either by submitting the entire issue of the
periodical where the contribution was first published, the entire
section of the newspaper where it was first published, or the specific
page(s) from the periodical where the contribution was first published.
The contributions must be contained in separate electronic files that
comply with Sec. 202.20(b)(2)(iii). The files must be submitted in
Portable Document Format (PDF) or other electronic format approved by
the Office, and they must be uploaded to the electronic registration
system, preferably in a .zip file containing all the files. The file
size for each uploaded file must not exceed 500 megabytes; the files
may be compressed to comply with this requirement.
(i) [Reserved]
(j) [Reserved]
(k) [Reserved]
(l) Refusal to register. The Copyright Office may refuse
registration if the applicant fails to satisfy the requirements for
registering a group of related works under this section or Sec.
202.3(b)(5)-(7), (9), or (10).
(m) Cancellation. If the Copyright Office issues a registration for
a group of related works and subsequently determines that the
requirements for that group option have not been met, and if the
claimant fails to cure the deficiency after being notified by the
Office, the registration may be cancelled in accordance with Sec.
201.7 of this chapter.
(n) The scope of a group registration. When the Office issues a
group registration under paragraph (h) of this section, the
registration covers each work in the group and each work is registered
as a separate work. For purposes of registration, the group as a whole
is not considered a compilation, a collective work, or a derivative
work under sections 101, 103(b), or 504(c)(1) of title 17 of the United
States Code.

Dated: November 22, 2016.
Sarang V. Damle,
General Counsel and Associate Register of Copyrights.
[FR Doc. 2016-28700 Filed 11-30-16; 8:45 am]
BILLING CODE 1410-30-P

86634 Federal Register / Vol. 81, No. 231 / Thursday, December 1, 2016 / Proposed Rules

person in the Dockets Office (see Regulatory Notices and Analyses Stanfield, AZ, 105° radials; Tucson, AZ; San
ADDRESSES section for address and Simon, AZ; INT San Simon 119° and
The FAA has determined that this Columbus, NM, 277° radials; Columbus; El
phone number) between 9:00 a.m. and proposed regulation only involves an
5:00 p.m., Monday through Friday, Paso, TX; Salt Flat, TX; Wink, TX; INT Wink
established body of technical 066° and Big Spring, TX, 260° radials; Big
except Federal holidays. An informal regulations for which frequent and Spring; Abilene, TX; Bowie, TX; Bonham,
docket may also be examined during routine amendments are necessary to TX; Paris, TX; Texarkana, AR; Pine Bluff, AR;
normal business hours at the office of keep them operationally current. It, Marvell, AR; to Holly Springs, MS. From
the Eastern Service Center, Federal therefore: (1) Is not a ‘‘significant Shelbyville, TN; Hinch Mountain, TN;
Aviation Administration, Room 210, regulatory action’’ under Executive Volunteer, TN; Holston Mountain, TN;
1701 Columbia Ave., College Park, GA, Pulaski, VA; Roanoke, VA; Lynchburg, VA;
Order 12866; (2) is not a ‘‘significant
30337. Flat Rock, VA; Richmond, VA; INT
rule’’ under Department of Richmond 039° and Patuxent, MD, 228°
Availability and Summary of Transportation (DOT) Regulatory radials; Patuxent; Smyrna, DE; Cedar Lake,
Documents for Incorporation by Policies and Procedures (44 FR 11034; NJ; Coyle, NJ; INT Coyle 036° and Kennedy,
Reference February 26, 1979); and (3) does not NY, 209° radials; Kennedy; INT Kennedy
warrant preparation of a regulatory 040° and Calverton, NY 261° radials;
This document proposes to amend evaluation as the anticipated impact is Calverton; Norwich, CT; Boston, MA. The
FAA Order 7400.11A, Airspace so minimal. Since this is a routine airspace within Mexico and the airspace
Designations and Reporting Points, matter that will only affect air traffic below 2,000 feet MSL outside the United
dated August 3, 2016 and effective States is excluded. The airspace within
procedures and air navigation, it is
September 15, 2016. FAA Order Restricted Areas R–5002A, R–5002C, and R–
certified that this proposed rule, when 5002D is excluded during their times of use.
7400.11A is publicly available as listed promulgated, will not have a significant The airspace within Restricted Areas R–4005
in the ADDRESSES section of this economic impact on a substantial and R–4006 is excluded.
proposed rule. FAA Order 7400.11A number of small entities under the
lists Class A, B, C, D, and E airspace V–94 [Amended]
criteria of the Regulatory Flexibility Act.
areas, air traffic service routes, and From Blythe, CA, INT Blythe 094° and Gila
reporting points. Environmental Review Bend, AZ, 299° radials; Gila Bend; Stanfield,
This proposal will be subject to an AZ; 55 miles, 74 miles, 95 MSL, San Simon,
The Proposal AZ; Deming, NM; Newman, TX; Salt Flat,
environmental analysis in accordance
TX; Wink, TX; Midland, TX; Tuscola, TX;
The FAA is proposing an amendment with FAA Order 1050.1F, Glen Rose, TX; Cedar Creek, TX: Gregg
to Title 14, Code of Federal Regulations ‘‘Environmental Impacts: Policies and County, TX; Elm Grove, LA; Monroe, LA;
(14 CFR) part 71 to modify the Procedures’’ prior to any FAA final Greenville, MS; to Holly Springs, MS.
descriptions of VOR Federal airways V– regulatory action.
V–124 [Amended]
16, V–94 and V–124, due to the planned List of Subjects in 14 CFR Part 71
decommissioning of the Jacks Creek, From Bonham, TX, via Paris, TX; Hot
TN, VOR/DME. The proposed route Airspace, Incorporation by reference, Springs, AR; Little Rock, AR; to Gilmore, AR.
changes are described below. Navigation (air). * * * * *
V–16: V–16 extends between Los The Proposed Amendment Issued in Washington, DC, on November
Angeles, CA, and Boston, MA. The FAA 22, 2016.
In consideration of the foregoing, the
proposes to modify that portion of the Leslie M. Swann,
Federal Aviation Administration
route that reads ‘‘. . . Marvell, AR; proposes to amend 14 CFR part 71 as Acting Manager, Airspace Policy Group.
Holly Springs, MS; Jacks Creek, TN; follows: [FR Doc. 2016–28728 Filed 11–30–16; 8:45 am]
Shelbyville, TN . . . .’’ To read as BILLING CODE 4910–13–P
follows: ‘‘. . . Marvell, AR; to Holly PART 71—DESIGNATION OF CLASS A,
Springs, MS. From Shelbyville, TN; B, C, D, AND E AIRSPACE AREAS; AIR
. . . .’’ thus eliminating Jacks Creek, TRAFFIC SERVICE ROUTES; AND LIBRARY OF CONGRESS
TN, from the route. REPORTING POINTS
V–94: V–94 extends between Blythe, Copyright Office
CA and Bowling Green, KY. The FAA ■ 1. The authority citation for part 71
proposes to terminate the route at Holly continues to read as follows: 37 CFR Parts 201, 202
Springs, MS, thus eliminating the Authority: 49 U.S.C. 106(f), 106(g); 40103, [Docket No. 2016–8]
segments of the route from Holly 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR,
Springs, MS, through Jacks Creek, TN, 1959–1963 Comp., p. 389. Group Registration of Contributions to
to Bowling Green, KY. § 71.1 [Amended] Periodicals
V–124: V–124 extends between ■ 2. The incorporation by reference in AGENCY: U.S. Copyright Office, Library
Bonham, TX and Graham, TN. The FAA 14 CFR 71.1 of FAA Order 7400.11A, of Congress.
proposes to terminate the route at Airspace Design ations and Reporting ACTION: Notice of proposed rulemaking.
Gilmore, AR, thus eliminating the Points, dated August 3, 2016 and
segments from Gilmore, AR, through effective September 15, 2016, is SUMMARY: The U.S. Copyright Office is
Jacks Creek, TN, to Graham, TN. amended as follows: proposing to amend the regulation
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Domestic VOR Federal airways are governing the group registration option
Paragraph 6010(a) Domestic VOR Federal
published in paragraph 6010(a) of FAA Airways.
for contributions to periodicals to reflect
Order 7400.11A, dated August 3, 2016 certain upgrades that will soon be made
and effective September 15, 2016, which * * * * * to the electronic registration system.
is incorporated by reference in 14 CFR V–16 [Amended] The proposed rule will require groups of
71.1. The VOR Federal airways listed in From Los Angeles, CA; Paradise, CA; Palm contributions to be filed through the
this document would be subsequently Springs, CA; Blythe, CA; Buckeye, AZ; Office’s electronic registration system.
published in the Order. Phoenix, AZ; INT Phoenix 155° and In addition, it will modify the deposit

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Federal Register / Vol. 81, No. 231 / Thursday, December 1, 2016 / Proposed Rules 86637

plan calls for ‘‘a robust and flexible the contributions were published as part group should be submitted on Form
technology enterprise that is dedicated of a continuing series of works by the TX.’’ 37 CFR 202.3(b)(8)(ii)(A) n.3. The
to the current and future needs of a same author, such as an advice column, reason for this limitation is that when
modern copyright agency.’’ U.S. an editorial column, a cartoon strip, or the Office adopted the regulation in
Copyright Office, Strategic Plan 2016– the like, the applicant will be given an 1978, Form TX contained a space that
2020: Positioning the United States opportunity to provide the title (if any) asked the applicant to identify the
Copyright Office for the Future, at 35 that may be used to identify the entire country where the copies were printed.
(Dec. 1, 2014) (‘‘Strategic Plan 2016– series of works. The Office used this information to
2020’’), available at http:// The current regulation states that an determine whether the work was subject
copyright.gov/reports/strategic-plan/ applicant may register a group of to the manufacturing clause. (The Office
USCO-strategic.pdf. At the direction of contributions to periodicals in Class TX, did not include this space on Form VA
Congress,5 the Office also developed a VA, or PA by submitting the appropriate or Form PA, because as mentioned
detailed IT plan, and obtained public application for that class. 37 CFR above, the manufacturing clause only
comments on specific strategies, costs, 202.3(b)(8)(ii)(A) & n.3. The Proposed applied to nondramatic literary works.)
and timelines for technology objectives. Rule, however, will allow applicants to The manufacturing clause expired in
U.S. Copyright Office, Provisional register their claims only in Class TX or 1986, Congress removed that provision
Information Technology Modernization Class VA, and will eliminate the from the statute in 2010, and as a result,
Plan and Cost Analysis (Feb. 29, 2016), provision that allows a group of the Office no longer asks for ‘‘country of
available at http://www.copyright.gov/ contributions to be registered in Class origin’’ information on Form TX. Public
reports/itplan/technology-report.pdf. PA. The Office routinely registers Law 97–215, 96 Stat. 178, 178–79
In the meantime, the Office has made contributions to periodicals in Class TX (1982); Public Law 111–295, 4(a), 124
some enhancements to the current and Class VA, but has no institutional Stat. 3180, 3180 (2010). Thus, footnote
system to benefit authors, the Office, memory of having ever registered a 3 to the current regulation no longer
and the public at large. Under the claim in Class PA. Presumably, this is serves any purpose.
Proposed Rule, applicants will be due to the fact that it would be
2. Supplementary Registration
required to use an online application extremely unusual for a musical work,
specifically designed for GRCP as a a dramatic work, a choreographic work, A supplementary registration is a
condition for using this group option. a pantomime, a motion picture, or an special type of registration that may be
Once the Proposed Rule goes into effect, audiovisual work to be first published used ‘‘to correct an error in a copyright
the Office will no longer accept groups as a contribution to a periodical. registration or to amplify the
of contributions that are submitted with The Proposed Rule states that information given in a registration,’’
a paper application on Form TX, Form applicants should register their claims including a registration for a group of
VA, Form PA, or Form GR/CP. In such in Class TX if a majority of the related works. 17 U.S.C. 408(d).
cases the Office will ask the applicant contributions predominantly consist of Specifically, it identifies an error or
to resubmit the claim using the online text, and should register their claims in omission in an existing registration
application, which may change the Class VA if a majority of the (referred to herein as a ‘‘basic
effective date of registration that is contributions predominantly consist of registration’’) and places the corrected
assigned to the claim. The Office invites photographs, illustrations, artwork, or information or additional information in
comment on this proposal, including other visual material. A similar the public record. The Office often
whether the Office should eliminate the provision appears in the current refers to this type of registration as a
paper applications for GRCP, phase regulation; the Proposed Rule simply ‘‘CA,’’ which stands for ‘‘correction and
them out after a specified period of reiterates this requirement. amplification.’’
time, or continue to offer them for As discussed above, the current The Office is issuing a separate notice
applicants who prefer to use the paper- regulation also contains a limited of proposed rulemaking (published
based system. exception to this rule, which is set forth elsewhere in this volume of the Federal
When completing the online in footnote 3 to the regulation. See 37 Register, and referred to herein as the
application, applicants will be asked to CFR 202.3(b)(8)(ii)(A) n.3. The Proposed ‘‘CA Rulemaking’’) that will modify the
provide the same information that is Rule will eliminate this footnote, regulation that governs this procedure.
currently requested in Form TX, Form because it is obsolete. Under the rule proposed in the CA
VA, and Form GR/CP. Consistent with When Congress enacted the Copyright Rulemaking, applicants will be required
Section 408(c)(2) of the statute, Act of 1976 it contained a provision to file an online application in order to
applicants will be required to provide known as the ‘‘manufacturing clause,’’ correct or amplify the information set
the title and date of first publication for which was set forth in Section 601 of forth in a basic registration for any work
each contribution in the group, as well the statute. Briefly stated, that provision that is capable of being registered
as the title of the periodical where each prohibited the importation or through the electronic system, rather
contribution was first published. If an distribution ‘‘of copies of a work than filing a paper application. This
applicant fails to provide this consisting preponderantly of online-filing requirement will apply to
information, the application will not be nondramatic literary material that is in supplementary registrations for groups
accepted by the electronic system. In the English language,’’ unless that of contributions to periodicals—even if
addition, applicants will be given an material was ‘‘manufactured in the those contributions were originally
opportunity to provide the International United States or Canada.’’ 17 U.S.C. 601 registered with a paper application
jstallworth on DSK7TPTVN1PROD with PROPOSALS

Standard Serial Number (‘‘ISSN’’) that (1978) (repealed by Pub. L. 111–295, submitted on Forms TX, VA, and GR/
has been assigned to the periodical (if 4(a), 124 Stat. 3180 (2010)). Footnote 3 CP. When the rule proposed in the CA
any), as well as the volume, number, to the regulation that governs GRCP Rulemaking goes into effect, applicants
issue date, and relevant page numbers contains similar language. It states that will be required to file an online
(if any) for the particular issue where ‘‘if any of the contributions consists application in order to correct or
the contribution was first published. If preponderantly of nondramatic literary amplify a basic registration for a GRCP
material that is in the English language, claim. If an applicant attempts to use a
5 H.R. Rep. No. 114–110, at 16–17 (2015). the basic application for the entire paper application, the Office will ask

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Federal Register / Vol. 81, No. 231 / Thursday, December 1, 2016 / Proposed Rules 86641

through the electronic system. For assigns one registration number to that registration if it determines that the
information concerning special relief, certificate. The Proposed Rule clarifies applicant failed to satisfy the
see section 1508.8 of the Compendium. that a registration for a group of requirements set forth in the statute or
contributions to periodicals covers each regulations.13 17 U.S.C. 410(b) (stating
D. Filing Fee
contribution in the group, and each that the Register ‘‘shall refuse
Under the Proposed Rule, the contribution is registered as a separate registration and shall notify the
applicant will be required to pay the ‘‘work.’’ This understanding is applicant in writing of the reasons for
same filing fee that is currently set forth consistent with the statutory scheme. such refusal’’ ‘‘[i]n any case in which
in the Office’s fee schedule, namely $85 The legislative history makes clear that [she] determines that . . . the material
per claim. group registration was ‘‘a needed and deposited does not constitute
In 2012 the Office conducted a study important liberalization of the law copyrightable subject matter or that the
pursuant to Section 708 of the Copyright [then] in effect,’’ which to that point had claim is invalid for any other reason’’).
Act, which authorizes the Register to required ‘‘separate registrations where
establish, adjust, and recover fees for related works or parts of a work are G. Cancellation
certain services that the Office provides published separately.’’ H.R. Rep. No. The Proposed Rule confirms that the
to the public. After reviewing its costs, 94–1476, at 154 (1976). In particular, Office may cancel a group registration
the Office decided to increase the filing Congress noted that ‘‘the technical under § 201.7(c)(4) of the regulations if
fee for GRCP from $65 to $85, noting necessity for separate applications and it determines, after the registration has
that these types of claims are ‘‘labor- fees has caused copyright owners to issued, that the requirements for that
intensive.’’ 12 U.S. Copyright Office, forego copyright altogether.’’ Id. Given option were not met. In such cases, the
Proposed Schedule and Analysis of that context, it would be anomalous for Office will send a written notice to the
Copyright Fees To Go Into Effect On Or works registered as part of a group correspondent and claimant named in
About April 1, 2014, at 17 (Nov. 14, registration application to be given the registration at the addresses
2013). lesser protection than if they had been specified in the registration record. The
Section 708(b) authorizes the Register registered through separate applications. Office will describe the defect in the
to adjust the fees that the Office charges For similar reasons, the Proposed registration and will inform the parties
for certain services (including the fee for Rule also clarifies that when a group of that the registration may be cancelled if
seeking a group registration), but before works are registered under GRCP, the they fail to resolve the defect in a timely
doing so the Register must conduct a group as a whole is not considered a manner.
study of the costs incurred by the Office compilation or a collective work. In a related vein, the Proposed Rule
for registering claims, recording Instead, the group is merely an makes some clarifying edits to the
documents, and providing other administrative classification created Office’s cancellation regulation, section
services. In conducting this study, the solely for the purpose of registering 201.7(c)(4). First, it makes clear,
Register must consider the timing of any multiple contributions with one consistent with existing Copyright
fee adjustments and the Office’s application and one filing fee. See 17 Office practice, that the regulation only
authority to use the fees consistent with U.S.C. 408(c)(1) (‘‘Th[e] administrative provides representative examples of
its budget. 17 U.S.C. 708(b)(1). Section classification of works has no situations where the Office may cancel
708(b) provides that the Register may significance with respect to the subject a registration (rather than an exhaustive
adjust these fees no ‘‘more than matter of copyright or the exclusive list of situations where cancellation may
necessary to cover the reasonable costs rights provided by this title.’’). Although be warranted). Second, the Proposed
incurred by the Copyright Office for an applicant may exercise some Rule also removes one of the examples
. . . [such services], plus a reasonable judgment in selecting the contributions from that list—namely section
inflation adjustment to account for any that are included within a particular 201.7(c)(4)(ix), which states that the
estimated increase in costs.’’ 17 U.S.C. group, that decision does not Office may cancel a registration for a
708(b)(2). It also provides that the Office necessarily constitute copyrightable work published after January 1, 1978 if
must submit the proposed fee schedule authorship. The selection is based on it determines that ‘‘the only claimant
to Congress, and that the Office may the regulatory requirements for GRCP, given on the application was deceased
implement the schedule 120 days and any coordination or arrangement of on the date the application was
thereafter unless Congress enacts a law the contributions is merely an certified.’’ This is inconsistent with
stating that it does not approve the administrative formality that facilitates current practices of the Copyright
schedule. 17 U.S.C. 708(b)(5). the examination of the works. Office.
Once the Proposed Rule has been Likewise, the Proposed Rule clarifies The Office recently conducted a
implemented, the Office will monitor that the group is not considered a comprehensive review of its internal
the cost of processing GRCP claims to derivative work. When a group of policies in conjunction with the
determine if future fee adjustments may contributions are combined together for revision of the Compendium. The
be warranted. The Office will use this the purpose of facilitating registration Compendium explains that if the Office
information in conducting its next fee those works are not ‘‘recast, discovers that the named claimant died
study. transformed, or adapted’’ in any way, before the work was submitted or before
and the group as a whole is not ‘‘a work it has been approved for registration, the
E. The Scope of a Group Registration based upon one or more preexisting Office may ask the applicant to provide
The Proposed Rule memorializes the works’’ because there is no
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the name of the current claimant. In
Office’s longstanding position regarding copyrightable authorship in simply
the scope of a registration for a group of following the administrative 13 A similar requirement has appeared in the

contributions to periodicals. requirements for GRCP. 17 U.S.C. 101 regulation governing the group registration option
When the Office issues a group (definition of ‘‘derivative work’’). for serials since 1990. See 55 FR 50556, 50556–57
registration it prepares one certificate of (Dec. 7, 1990). That regulation states that the Office
registration for the entire group and F. Refusals To Register may revoke the privilege of registering a group of
serials if a publisher fails to comply with the
The Proposed Rule confirms that the deposit requirement for that option. 37 CFR
12 This increase went into effect on May 1, 2014. Office may refuse to issue a group 203.3(b)(6)(iv).

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Document Created: 2018-02-14 09:00:44
Document Modified: 2018-02-14 09:00:44

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Proposed Rules
Action		Notice of proposed rulemaking.
Dates		Comments on the proposed rule must be made in writing and must be received in the U.S. Copyright Office no later than January 3, 2017.
Contact		Robert J. Kasunic, Associate Register of Copyrights and Director of Registration Policy and Practice, or Erik Bertin, Deputy Director of Registration Policy and Practice, by telephone at 202-707-8040.
FR Citation		81 FR 86634
CFR Citation		37 CFR 201 37 CFR 202
CFR Associated		Copyright; General Provisions and Preregistration and Registration of Claims to Copyright

81 FR 86634 - Group Registration of Contributions to Periodicals

LIBRARY OF CONGRESSCopyright Office

Federal Register Volume 81, Issue 231 (December 1, 2016)

LIBRARY OF CONGRESS
Copyright Office