Recordations of Transfers and Other Documents

Circular 12

2  12.0916

w

Recordation of Transfers

and Other Documents

Whether or not a copyrighted work has been registered with the U. S. Copyright

Office, owners of these works often enter into agreements that affect their own-

ership rights. For instance, owners may transfer copyright ownership to another

person. Owners may also authorize others to use their works, even giving some-

one else control over ways in which a work is used. Under section 205 of the

Copyright Act (title 17 of the United States Code), documents pertaining to such

agreements, and other documents pertaining to copyrights, may be recorded in

the Copyright Office.

Recording a transfer of copyright ownership or other document pertaining

to a copyright with the Copyright Office under section 205 is voluntary. How-

ever, to encourage document recordation, the law confers certain legal advan-

tages, including priority between conflicting transfers and “constructive notice”

of the facts stated in the recorded document to the public if certain require-

ments are met. (See “Benefits of Recordation” on page 2.) Any document per-

taining to a transfer of copyright ownership or other document pertaining to

a copyright may be recorded as long as the person submitting it complies with

the procedures set forth in the Copyright Act and the Office’s regulations.

This circular explains what recordation is, describes the benefits of and

requirements for recordation, and provides instruction on how to record a

transfer of copyright ownership or other document pertaining to a copyright

with the Copyright Office under section 205. Please note, however, that this

circular does not address the recordation requirements for documents related

to notices of termination, designation of agents for online service providers,

identification of anonymous/pseudonymous authors, author death statements,

visual arts registry statements, or shareware registry statements

aining to a copyright

with the Copyright Office under section 205. Please note, however, that this

circular does not address the recordation requirements for documents related

to notices of termination, designation of agents for online service providers,

identification of anonymous/pseudonymous authors, author death statements,

visual arts registry statements, or shareware registry statements. Nor are docu-

ments filed with the Licensing Division of the Copyright Office covered here.

While this circular provides general information on the recordation of trans-

fers of copyright ownership and other documents pertaining to a copyright, it

is not meant to provide legal advice about the rights or remedies of individuals

under the Copyright Act. See 37 C.F.R. § 201.2(a)(3). If you are unsure about a

legal issue relating to recordation, the Office suggests that you consult a knowl-

edgeable attorney.

What Is Recordation?

Federal law provides for the recording of documents pertaining to copyright in

one central location, the Copyright Office. The Office maintains true and accu-

rate copies of recorded documents and makes them available for public inspec-

tion. See 37 C.F.R. § 201.2(b).

The process of recordation entails (1) receiving copyright-related documents

from remitters for recordation; (2) reviewing the documents to ensure they are

eligible for recordation; (3) indexing information contained in the documents

The procedural requirements for recordation have been superseded by the Office’s

interim rule on document recordation and final rule on fees. For information on current

practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  2

for use in the Office’s public catalog of recorded documents;

rdation; (3) indexing information contained in the documents

The procedural requirements for recordation have been superseded by the Office’s

interim rule on document recordation and final rule on fees. For information on current

practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  2

for use in the Office’s public catalog of recorded documents;

(4) making copies of the documents so they are available for

public inspection; and (5) returning documents marked as

recorded to remitters. The public catalog, which is available

on the Internet for documents recorded after 1977, includes a

description of each recorded document, including party

names, titles of works, registration numbers (when available),

heading notes, and other information.

The Copyright Office does not enforce agreements that

are reflected in recorded documents. Although the Copyright

Office has minimum requirements that must be satisfied

for a document to be recorded, such as the document being

complete by its own terms, the Office does not determine

whether documents satisfy legal requirements that are neces-

sary for the documents to be effective or enforceable.

Benefits of Recordation

While the recordation of a transfer of copyright ownership or

other document pertaining to a copyright is not mandatory,

there are several advantages to recordation. These include

the following:

• Under certain conditions, recordation establishes legal

priority between conflicting transfers or between a trans-

fer and a nonexclusive license.

• Recordation establishes a public record of the contents of

the transfer or document.

• Some courts have held that a security interest in a reg-

istered work must be recorded with the U.S. Copyright

Office in order to perfect the creditor’s interest

der certain conditions, recordation establishes legal

priority between conflicting transfers or between a trans-

fer and a nonexclusive license.

• Recordation establishes a public record of the contents of

the transfer or document.

• Some courts have held that a security interest in a reg-

istered work must be recorded with the U.S. Copyright

Office in order to perfect the creditor’s interest.

• Recordation of a document in the Office may provide

the advantage of “constructive notice,” a legal concept

meaning that members of the public are deemed to have

knowledge of the facts stated in the document and cannot

claim otherwise. Section 205 of the Copyright Act says

that recordation of a document in the Office gives all per-

sons constructive notice of the facts stated in the recorded

document, but only if the following two conditions are

satisfied:

–– The document or material attached to it specifically

identifies the work to which it pertains so that, after

the document is indexed by the Register of Copyrights,

it would be revealed by a reasonable search under the

title or registration number of the work; and

–– Registration has been made for the work.

What May Be Recorded

A document that transfers copyright ownership or any other

document pertaining to a copyright may be recorded in the

Copyright Office if it meets the requirements described in

the section entitled “Requirements for a Document to Be

Recorded” below.

Transfers of Copyright Ownership

A “transfer of copyright ownership” is an assignment, mort-

gage, grant of an exclusive license, transfer by will or intestate

succession, or any other conveyance, alienation, or hypoth-

ecation of any or all of the exclusive rights in a copyright,

whether or not it is limited in time or place of effect. It does

not include a nonexclusive license. See 17 U.S.C. § 101 (defini-

tion of “transfer of copyright ownership”)

ownership” is an assignment, mort-

gage, grant of an exclusive license, transfer by will or intestate

succession, or any other conveyance, alienation, or hypoth-

ecation of any or all of the exclusive rights in a copyright,

whether or not it is limited in time or place of effect. It does

not include a nonexclusive license. See 17 U.S.C. § 101 (defini-

tion of “transfer of copyright ownership”).

A transfer of copyright ownership, other than by opera-

tion of law, is not valid unless an instrument of conveyance

(for example, contract, bond, or deed) or a note or memo-

randum of the transfer is in writing and is signed by the

owner of the rights conveyed or the owner’s duly authorized

agent. See 17 U.S.C. § 204(a).

The Office will record a transfer of copyright ownership

after it has been executed by the parties. No special content

is necessary for the document other than the requirements

provided in the Copyright Act. Note, however, that parties

wishing to record a transfer of copyright ownership should

submit to the Office the legal instrument that transfers the

copyright from one party to another; describing the transfer

will not suffice.

Notarization and certificates of acknowledgment are

unnecessary for the recordation of transfers of copyright

ownership. Section 204(b) of the Copyright Act, however,

states that a certificate of acknowledgment can serve as

prima facie evidence of the execution of a transfer of copy-

right ownership if one of the two following conditions is

satisfied:

• In the case of a transfer executed in the United States, the

certificate is issued by a person authorized to administer

oaths within the United States; or

• In the case of a transfer executed in a foreign country, the

certificate is issued by a diplomatic or consular officer of

the United States or by a person authorized to administer

oaths whose authority is proved by the certificate of such

an officer.

17 U.S.C. § 204(b)

d in the United States, the

certificate is issued by a person authorized to administer

oaths within the United States; or

• In the case of a transfer executed in a foreign country, the

certificate is issued by a diplomatic or consular officer of

the United States or by a person authorized to administer

oaths whose authority is proved by the certificate of such

an officer.

17 U.S.C. § 204(b).

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  3

Other Documents Pertaining to a Copyright

A document is considered to “pertain to a copyright” if it has

a direct or indirect relationship to the existence, scope, dura-

tion, or identification of a copyright, or to the ownership,

division, allocation, licensing, transfer, or exercise of rights

under a copyright. That relationship may be past, present,

future, or potential. See 37 C.F.R. § 201.4(a)(2). Examples

include exclusive and nonexclusive licenses, contracts,

powers of attorney, certificates of change of corporate title,

and decrees of distribution. Examples of documents that do

not pertain to a copyright include a bill of lading referring to

a shipment of motion pictures and an assignment of rights

in a patent or trademark.

If a document does not appear to have any direct or

indirect relationship to a copyright claim, the Office may

communicate with the remitter and may refuse to record the

document.

Documents Not Covered by This Circular

note: The filing or recordation of the following documents

is not covered by this circular, and other requirements may

apply:

• Certain contracts entered into by cable systems located

outside the 48 contiguous states. See 17 U.S.C. § 111(e); 37

C.F.R. § 201.12.

• Notices of identity and signal carriage complement and

statements of account of cable systems. See 17 U.S.C

ered by This Circular

note: The filing or recordation of the following documents

is not covered by this circular, and other requirements may

apply:

• Certain contracts entered into by cable systems located

outside the 48 contiguous states. See 17 U.S.C. § 111(e); 37

C.F.R. § 201.12.

• Notices of identity and signal carriage complement and

statements of account of cable systems. See 17 U.S.C.

§111(d); 37 C.F.R. §201.17.

• Statements of account of satellite carriers. See 17 U.S.C. §

119(b); 37 C.F.R. § 201.11.

• Notices and statements of account submitted for the dis-

tribution of digital audio recording equipment and media.

See 17 U.S.C. §§ 1003-1004; 37 C.F.R. §§ 201.27, 201.28.

• Notices of intention to obtain a compulsory license to

make and distribute phonorecords of nondramatic musi-

cal works. See 17 U.S.C. § 115(b); 37 C.F.R. § 201.18.

• License agreements and terms and rates of royalty pay-

ments voluntarily negotiated between one or more public

broadcasting entities and certain owners of copyright. See

17 U.S.C. § 118; 37 C.F.R. § 201.9.

• Notices of termination. See 17 U.S.C. §§ 203, 304(c),

304(d); 37 C.F.R. § 201.10; and 74 FR 12554 (Mar. 25, 2009).

• Statements regarding the identity of authors of anony-

mous and pseudonymous works and statements relating

to the death of authors. See 17 U.S.C. § 302(c)-(d).

• Notices of intent to enforce filed under the Uruguay

Round Agreements Act (URAA). See 17 U.S.C. § 104A; 37

C.F.R. §§ 201.33, 201.34.

• Documents pertaining to a work of visual art that has

been incorporated into or made a part of a building. See

17 U.S.C. § 113(d), 37 C.F.R. § 201.25.

• Documents pertaining to mask works. See 17 U.S.C. §

903(c).

• Documents pertaining to computer shareware. See 37

C.F.R. § 201.26.

Requirements for a Document to Be Recorded

Any transfer of copyright ownership or other document

pertaining to a copyright may be recorded in the Copyright

Office if the document meets the following requirements, as

explained in detail below

7 C.F.R. § 201.25.

• Documents pertaining to mask works. See 17 U.S.C. §

903(c).

• Documents pertaining to computer shareware. See 37

C.F.R. § 201.26.

Requirements for a Document to Be Recorded

Any transfer of copyright ownership or other document

pertaining to a copyright may be recorded in the Copyright

Office if the document meets the following requirements, as

explained in detail below. The document must:

• Have an original signature (or proper certification if

submitted as a photocopy);

• Be complete by its own terms;

• Be legible; and

• Be accompanied by the correct fee.

Signature or Certification

The document must bear the actual signature or signatures

of the person or persons who executed the document. See 17

U.S.C. § 205(a). If a photocopy of the original signed docu-

ment is submitted, it must be accompanied by a sworn or

official certification, depending on whether the document

has been validated by, or filed in, a government office, as

explained below. See 37 C.F.R. § 201.4(c)(1). The certification

must state that the attached reproduction is a true copy of

the original signed document. Id.

A sworn certification is used when the original document

has not been validated by, or filed in, a government office.

The sworn certification must communicate that the attached

reproduction is a true copy of the original signed document,

and the sworn certification must be signed by one of the par-

ties to the document or by an authorized representative of

that person. Sworn certifications may be issued by a notary

or other person authorized to administer oaths. As an alter-

native to a notarized certification, the following statement

is acceptable: “I declare under penalty of perjury that the

accompanying document is a true and correct copy of the

original document.” Section 9 of the Form DCS (discussed

below) contains a sworn certification statement that may be

used to satisfy this requirement

notary

or other person authorized to administer oaths. As an alter-

native to a notarized certification, the following statement

is acceptable: “I declare under penalty of perjury that the

accompanying document is a true and correct copy of the

original document.” Section 9 of the Form DCS (discussed

below) contains a sworn certification statement that may be

used to satisfy this requirement.

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  4

note: A notary public’s signature certifying that the photocopy

is a true copy is not acceptable. The signatory must be one of

the parties to the document or an authorized representative of

that person.

An official certification is used for a document that has

been validated by, or filed in, a public office. An official cer-

tification is a certification by the appropriate government

official that the original document is on file in a public office

and that the reproduction submitted is a true copy of the

original.

note: If the document is on file with a public office you must,

along with the true copy of the original document, submit an

original official certification. A photocopy of an official certifi-

cation is not acceptable.

Completeness

The document must be complete by its own terms. See 37

C.F.R. § 201.4(c)(2). A document that contains a reference to

any schedule, appendix, exhibit, addendum, or other mate-

rial as being attached or made a part of it will be recorded

only if the attachment is submitted for recordation with the

document or if the reference is deleted by the parties to the

document. See id. at § 201.4(c)(2)(i)

he document must be complete by its own terms. See 37

C.F.R. § 201.4(c)(2). A document that contains a reference to

any schedule, appendix, exhibit, addendum, or other mate-

rial as being attached or made a part of it will be recorded

only if the attachment is submitted for recordation with the

document or if the reference is deleted by the parties to the

document. See id. at § 201.4(c)(2)(i).

In exceptional cases, the Office will record a document

containing a reference to an attachment without the attached

material and without deletion of the reference if the person

seeking recordation makes a request in writing, 37 C.F.R. §§

201.4(c)(2)(i)(A)–(C), or checks the appropriate box of the

Form DCS indicating (a) that the attachment is completely

unavailable for recordation, (b) that the attachment is not

essential to identify the subject matter of the document, and

(c) that it would be impossible or wholly impracticable for

the person(s) executing the document to sign or initial an

amendment deleting the reference to the attachment. If the

Office receives such a request, it will record the document

without communicating with the remitter and will add an

annotation to the record; the annotation will appear on both

the certificate of recordation and the online public record for

that document.

If the document indicates on its face that it is a self-

contained part of a larger instrument (for example, if it is des­

ignated “Attachment A” or “Exhibit B”), the Office will record

the document if the person requesting recordation asserts

that the document is sufficiently complete as it stands. See 37

C.F.R. § 201.4(c)(2)(ii).

If the document merely identifies or incorporates by ref-

erence another document, or certain terms of another docu-

ment, the Copyright Office will not require recordation of

the other document. See 37 C.F.R. § 201.4(c)(2)(iii).

Legibility

The document must be legible and capable of being repro-

duced in legible imaged copies

fficiently complete as it stands. See 37

C.F.R. § 201.4(c)(2)(ii).

If the document merely identifies or incorporates by ref-

erence another document, or certain terms of another docu-

ment, the Copyright Office will not require recordation of

the other document. See 37 C.F.R. § 201.4(c)(2)(iii).

Legibility

The document must be legible and capable of being repro-

duced in legible imaged copies.

Fees

The document must be accompanied by the appropriate fee

as prescribed in the law. Bank drafts must be drawn on or

payable through a U.S. bank.

In the case of multiple-title documents, titles that are

repeated in documents will be counted as a single title,

except where the document lists different issues, volumes,

chapters, or installments following the title. Each such entry

will be regarded as a separate title and will be indexed sepa-

rately and counted separately for the purposes of comput-

ing the recordation fee. Additional titles after the first are

charged an additional fee for each group of 10 or fewer. Vari-

ent titles for the same work, (i.e., “alternative” titles, “f/k/a”

titles, and “a/k/a” titles) are considered to be additional titles.

Examples of multiple titles for which a separate fee is

charged:

“Fan Club News,” vol. 1, no. 3 (June 1981)

“Fan Club News,” vol. 1, no. 4 (July 1981)

“Fan Club News,” vol. 1, no. 5 (August 1981)

For detailed information on how to calculate fees associ-

ated with the recordation of documents, see the factsheet

Calculating Fees for Recording Documents and Notices of Ter-

mination in the Copyright Office.

note: The Office’s fees are subject to change. For current fees,

please check the Office’s website, write to the Office, or call 202-

707-3000 or 1-877-476-0778 (toll free).

Effective August 1, 2009, the Copyright Office no longer

refunds the full fee for a document filed for recordation if

the document is not recorded. The basic fee will be retained

to cover administrative costs. Only fees for additional titles

will be refunded

change. For current fees,

please check the Office’s website, write to the Office, or call 202-

707-3000 or 1-877-476-0778 (toll free).

Effective August 1, 2009, the Copyright Office no longer

refunds the full fee for a document filed for recordation if

the document is not recorded. The basic fee will be retained

to cover administrative costs. Only fees for additional titles

will be refunded.

Documents Will Be Returned Unrecorded If:

• The document does not have an original signature or

proper certification;

• The document is illegible;

• The document is not capable of being reproduced legibly;

• The document is incomplete by its own terms;

• The document is marked as an “attachment” or “exhibit,”

unless the person requesting recordation asserts that the

document is sufficiently complete as it stands;

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  5

• The complete recordation fee is not submitted;

• It is unclear to the Copyright Office whether the docu-

ment is to be recorded; or

• The document is submitted to the Office in error.

Other Material That May Be Submitted

with the Document

Form DCS

The Office has created Form DCS, called the “Document

Cover Sheet,” to accompany any document submitted for

recordation under section 205 of the Copyright Act. The

form is available on the Office’s website.

Use of Form DCS is optional but encouraged, as it offers

certain benefits, including allowing a remitter to request con-

firmation that the Office received a submission. It can also be

used in certain cases, to provide a sworn certification that the

copy submitted for recordation is a true copy of the original

signed document, or to request recordation of a document

containing a reference to an attachment without the attached

material

as it offers

certain benefits, including allowing a remitter to request con-

firmation that the Office received a submission. It can also be

used in certain cases, to provide a sworn certification that the

copy submitted for recordation is a true copy of the original

signed document, or to request recordation of a document

containing a reference to an attachment without the attached

material. Additionally, it helps facilitate better recordkeeping

and communication between the Office and remitters.

Form DCS should be used only for the recordation of a

transfer of copyright ownership or other document pertain-

ing to a copyright under section 205 of the Copyright Act. It

should not be used for documents pertaining to notices of

termination, designation of agents for online service provid-

ers, identification of anonymous/pseudonymous authors,

author death statements, visual arts registry statements,

shareware registry statements, or other documents not cov-

ered by this publication. Also, Form DCS should not be used

to file Licensing Division documents.

When using Form DCS, prepare and submit two copies

of the form for each document being submitted for recorda-

tion. If multiple documents are being submitted for recorda-

tion in the same package, each individual document should

be accompanied by two copies of Form DCS reflecting the

information contained in that particular document. For

example, if a submission includes four documents for recor-

dation, it should be accompanied by two copies each of four

separately completed forms. Information provided in the

form should be typed or legibly printed. Any form submit-

ted will be imaged with the document as part of the public

record

by two copies of Form DCS reflecting the

information contained in that particular document. For

example, if a submission includes four documents for recor-

dation, it should be accompanied by two copies each of four

separately completed forms. Information provided in the

form should be typed or legibly printed. Any form submit-

ted will be imaged with the document as part of the public

record.

Electronic Title List

Titles of copyrighted works associated with a document sub-

mitted for recordation are often presented in a list appended

to the paper document, referred to informally as a “title

appendix.” Generally, the Office manually transcribes the

information from paper title appendices into the Public

Catalog. But to speed processing of documents with lengthy

title lists, remitters may submit electronic title lists where the

submission encompasses 100 or more titles. This includes

the situation where multiple title lists associated with a docu-

ment contain, in the aggregate, 100 or more titles. See 37

C.F.R. § 201.4(c)(4).

note: Submission of an electronic title list does not eliminate

the need for submission of a paper title appendix. The elec-

tronic list is not considered part of the recorded document and

is used only as a means to index titles and other information

associated with the recorded document.

Electronic title lists must be submitted in a table in Excel

(.xls) format or an equivalent electronic format approved

by the Office. Id. 201.4(c)(4)(ii). The electronic entries may

contain only letters, numbers, and printable characters that

appear in the ASCII 128-character set. Each table must con-

tain four columns respectively entitled Article, Title, Author-

ship Information, and Registration Number(s). Each title and

its corresponding information must appear in a separate row

of the electronic table, as follows:

1 Article. If the title begins with one of the articles specified

below, the article should be separated from the title and

placed in this first column

Each table must con-

tain four columns respectively entitled Article, Title, Author-

ship Information, and Registration Number(s). Each title and

its corresponding information must appear in a separate row

of the electronic table, as follows:

1 Article. If the title begins with one of the articles specified

below, the article should be separated from the title and

placed in this first column. Separating out these leading

articles from the rest of the title assists with the sorting

function of the Public Catalog. The following articles are

to be separated:

–– In English: A, An, The

–– In Spanish: Un, Una, El, La, Lo, Las, Los

–– In French: L’ (as in “L’Ecole”), Le, La, Les, Un, Une

–– In German: Der, Die, Das, Einer, Eine, Ein

For example, if the title of the work is “A Hard Day’s

Night,” the Article field should have the word “A”; simi-

larly, if the title of the work is “The Fly,” this field should

have the word “The.” If the title does not begin with an

article identified above, the column should be included

and this field should remain blank. Note that the words

“These,” “Those,” “Some,” and “Any” are not considered

articles and are not to be separated. Remitters are not

required to separate out articles in languages other than

the ones listed.

2 Title. This second column should set forth the title of the

work, not including any leading article specified in the

above list. For example, if the title of the work is “A Hard

Day’s Night,” the Title field should have the remainder of

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

rk, not including any leading article specified in the

above list. For example, if the title of the work is “A Hard

Day’s Night,” the Title field should have the remainder of

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  6

the title, “Hard Day’s Night”; the Title field for “The Fly”

should have the remainder of the title, “Fly.”

3 Authorship Information. This third column should include

the word “By” followed by the name of the author or

authors of the work, e.g., “By John Lennon and Paul

McCartney,” or “By Paul Hewson, Dave Evans, Adam

Clayton, and Larry Mullen.” If the author’s name includes

a designation such as “performer known as” or “also

known as,” this designation should be included in the

Authorship Information field. If using the abbreviated

form of such a designation, the abbreviation should be

included without punctuation between the letters. For

example, “By Ella Yelich-O’Connor pka Lorde” (but not

“By Ella Yelich-O’Connor p/k/a Lorde”).

4 Registration Number(s). The fourth column should set

forth the copyright registration number or numbers

associated with the work if the remitter chooses to supply

them. When the title is associated with multiple registra-

tion numbers, separate the numbers with commas. While

this field is optional, the column should be included and

the field left blank even if registration numbers are not

supplied. Registration numbers included in the electronic

list must be 12 characters long, must include a two- or

three-letter prefix in capital letters, and must not include

spaces or hyphens. If a given registration number con-

sists of fewer than 12 characters, the remitter should add

leading zeroes to the numeric portion of the registration

number before adding it to the list

ers are not

supplied. Registration numbers included in the electronic

list must be 12 characters long, must include a two- or

three-letter prefix in capital letters, and must not include

spaces or hyphens. If a given registration number con-

sists of fewer than 12 characters, the remitter should add

leading zeroes to the numeric portion of the registration

number before adding it to the list. For example, if a

published work has the registration number “SR-320-918,”

it should be transcribed into the electronic list submit-

ted for recordation as “SR0000320918.” Similarly, if an

unpublished work has the registration number “VAu-

598-764,” it should be transcribed into the electronic list

submitted for recordation as “VAU000598764.”

The electronic list must be stored on a compact disc, flash

drive, or other digital storage medium approved by the

Copyright Office that is clearly labeled with the following

information: the name of the remitting party, the name of

the first party listed in the paper document, the first title

listed in the paper document, the number of titles included

in the paper document, and the date the remitting party

mailed or delivered the paper document. The storage medium

on which the electronic list is stored must be included in the

same package as the paper document to be recorded, unless

the Office agrees to an alternative arrangement. See 37 C.F.R.

§ 201.4(c)(4)(i).

The Office will rely on the electronic list of titles for the

purposes of indexing submitted documents, and will make a

note in the record indicating that fact. Remitters should thus

ensure that the electronic list of titles fully and accurately

reflects the titles contained in the paper document. If an

electronic submission is inconsistent with the information

contained in the paper document, such discrepancies will

result in corresponding inaccuracies in the Public Catalog,

and the remitter will bear the legal consequences of such

inaccuracies. See id. at § 201.4(c)(4)(iii)

e that the electronic list of titles fully and accurately

reflects the titles contained in the paper document. If an

electronic submission is inconsistent with the information

contained in the paper document, such discrepancies will

result in corresponding inaccuracies in the Public Catalog,

and the remitter will bear the legal consequences of such

inaccuracies. See id. at § 201.4(c)(4)(iii).

Correcting Errors in Electronic Title Lists

If a remitter finds that an error or omission in an electronic

title list has led to the inaccurate indexing of a recorded doc-

ument in the online Public Catalog, the remitter may submit

the complete, corrected list of electronic titles, with each

corrected row in the table identified by color highlighting.

The table header should contain the phrase “corrected title

list.” The volume and document number of the associated

recorded document should also be included in the header, as

well as in the title of the computer file containing the elec-

tronic title list. When submitting the list, the remitter should

include a cover letter that clearly references the volume and

document number of the recorded document, the name of

the remitting party, the name of the first party listed in the

paper document, and the first title listed in the paper docu-

ment. Upon receipt of a corrected electronic list in proper

form and the appropriate fee, the Office will proceed to cor-

rect the data in the Public Catalog and will note in the record

that the corrections were made and the date they were made.

See 37 C.F.R. § 201.4(c)(4)(v).

Return Receipts

Because it may take several months or longer before docu-

ment submissions are processed, the Office provides an

optional receipt confirmation system under which a remit-

ter may request that the Office provide a return receipt. A

remitter may request return receipt by sending, along with

the recordation submission, two copies of Form DCS and

checking the box indicating that a return receipt is requested

may take several months or longer before docu-

ment submissions are processed, the Office provides an

optional receipt confirmation system under which a remit-

ter may request that the Office provide a return receipt. A

remitter may request return receipt by sending, along with

the recordation submission, two copies of Form DCS and

checking the box indicating that a return receipt is requested.

The remitter must also include a self-addressed, postage-paid

envelope. Once the Office receives a recordation submission

indicating that the remitter seeks return receipt notification,

the Office will attach a date-stamped return receipt to one

of the forms and mail it back to the remitter using the self-

addressed, postage-paid envelope. See 37 C.F.R. § 201.4(f).

A return receipt will establish only that the Office has

received a submission as of the date indicated; it will not

establish that a document is eligible for recordation or pro-

vide a date of recordation. Only the certificate of recordation

will provide the date of recordation. Id.

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  7

Recordation Process

Documents accepted for recordation are numbered, cata-

loged, and imaged for the public record. They are indexed

in the Office’s online Public Catalog under the names of the

parties, the titles they contain, and where applicable, the

registration number(s) for the works associated with the

documents. The original document is returned to the sender

with a certificate of recordation bearing the date of recorda-

tion and the volume and document number identifying the

recorded document

rd. They are indexed

in the Office’s online Public Catalog under the names of the

parties, the titles they contain, and where applicable, the

registration number(s) for the works associated with the

documents. The original document is returned to the sender

with a certificate of recordation bearing the date of recorda-

tion and the volume and document number identifying the

recorded document. A numbered copy of the original docu-

ment will be provided to the submitter as well as maintained

at the Office and made available to the public upon request

for public inspection and copying.

When cataloging a recorded document, the Office will

collect only the information that appears in the document

itself and any schedules, exhibits, appendices, or other

attachments thereto. The Office may also use information

contained in an electronic title list, if one is provided. Par-

ties, titles, and other pertinent information should be clearly

identified in the document itself, in the attachments to the

document, or in the electronic title list, if applicable.

With the exception of title counts, the Office does not

ordinarily seek to verify any of the information that appears

in a recorded document. Generally, titles, parties, dates of

execution, and the like will be transcribed “as is” without

confirming the accuracy of that information.

If there are obvious but minor typographical errors in

the names or titles listed in the document, the specialist may

index the document under the correct name or title.

Legal Sufficiency

The Copyright Office does not attempt to judge the legal

sufficiency or to interpret the content of any document

submitted for recordation. It does not screen the document

for errors, discrepancies, or content and does not generally

correspond with the remitter about the sufficiency of the

document.

Remitters are therefore cautioned to review and scrutinize

any document to assure its legal sufficiency before submitting

it to the Copyright Office for recordation

to interpret the content of any document

submitted for recordation. It does not screen the document

for errors, discrepancies, or content and does not generally

correspond with the remitter about the sufficiency of the

document.

Remitters are therefore cautioned to review and scrutinize

any document to assure its legal sufficiency before submitting

it to the Copyright Office for recordation. The Copyright

Office will record the document, but recordation may be

without legal effect unless the remitter has prepared the doc-

ument in a way that satisfies applicable legal requirements.

Date of Recordation

The date of recordation is the date when the Copyright

Office receives the written document in proper form and the

proper fee.

Privacy

Because copies of the recorded document and Form DCS will

be made available to the general public upon request, par-

ties should be aware that private, confidential, or personally

identifiable information in a document that is submitted for

recordation or on Form DCS will be accessible to persons

who request to inspect or copy the recorded document or

Form DCS on file at the Office (see “Public Access to Docu-

ment Records” below).

Mailing and Delivery Instructions

Submissions to record transfers of copyright ownership and

other documents pertaining to a copyright should be mailed

to:

Library of Congress

U.S. Copyright Office–DOC

101 Independence Avenue SE

Washington, DC 20559

Documents may also be submitted in person at the Copy-

right Public Information Office, which is open to the public

8:30 am to 5:00 pm, Monday through Friday, eastern time,

except federal holidays. It is located in Room lm 401 in the

Library of Congress, James Madison Memorial Building, at

101 Independence Avenue SE, Washington, DC.

Public Access to Document Records

Information pertaining to recorded documents may be

viewed in the online Public Catalog on the Office’s website

e, which is open to the public

8:30 am to 5:00 pm, Monday through Friday, eastern time,

except federal holidays. It is located in Room lm 401 in the

Library of Congress, James Madison Memorial Building, at

101 Independence Avenue SE, Washington, DC.

Public Access to Document Records

Information pertaining to recorded documents may be

viewed in the online Public Catalog on the Office’s website.

Recorded documents may be inspected and, for a fee, copied,

by visiting the Office in Washington, D.C., or by requesting

a search for the document, a search report of the relevant

records, or copies of the recorded documents through the

Office’s Records Research and Certification Section which

can be contacted at:

U.S. Copyright Office

Records Research and Certification Section

P.O. Box 70400

Washington, DC 20559

Tel: 202-707-6787

Fax: 202-252-3519 (for deposit account holders only)

Online Access

Copyright Office records in machine-readable form from

January 1, 1978, to the present and catalog information

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  8

pertaining to recorded documents are available for searching

on the Copyright Office website. Images of registration

applications and recorded documents are not available over

the Internet. Certain older records may be viewed online.

Requesting Searches, Search Reports, and Copies

Upon request and for a fee, the Records Research and Certifi­

cation Section will search recordation records, prepare search

reports of the information contained in those records, and

provide photocopies of documents

registration

applications and recorded documents are not available over

the Internet. Certain older records may be viewed online.

Requesting Searches, Search Reports, and Copies

Upon request and for a fee, the Records Research and Certifi­

cation Section will search recordation records, prepare search

reports of the information contained in those records, and

provide photocopies of documents. Because some materials

are not stored on the immediate premises of the Copyright

Office, it is advisable to consult with the Records Research

and Certification Section in advance to determine the length

of time necessary to produce the requested materials.

Inspecting and Copying Records In Person

To inspect or copy recorded documents and the records

related to them in person, visit the Copyright Public Records

Reading Room (lm-404), located in the U.S. Copyright

Office, James Madison Memorial Building, 101 Independence

Avenue SE, Washington, DC. The reading room is open to

the public from 8:30 am to 5:00 pm, eastern time, Monday

through Friday, except federal holidays. Visitors to the read-

ing room must first obtain a Reader Identification Card

through the Library of Congress. For information on how to

obtain a Reader Identification Card, click here or call 202-

707-5278.

Relevant Statutory Provisions from Title 17 of

the United States Code

Section 101

§ 101 · Definitions

A “transfer of copyright ownership” is an assignment, mort-

gage, exclusive license, or any other conveyance, alienation,

or hypothecation of a copyright or of any of the exclusive

rights comprised in a copyright, whether or not it is limited

in time or place of effect, but not including a nonexclusive

license.

Section 204

§ 204 · Execution of transfers of copyright ownership

101 · Definitions

A “transfer of copyright ownership” is an assignment, mort-

gage, exclusive license, or any other conveyance, alienation,

or hypothecation of a copyright or of any of the exclusive

rights comprised in a copyright, whether or not it is limited

in time or place of effect, but not including a nonexclusive

license.

Section 204

§ 204 · Execution of transfers of copyright ownership

(a) A transfer of copyright ownership, other than by

operation of law, is not valid unless an instrument of

conveyance, or a note or memorandum of the transfer,

is in writing and signed by the owner of the rights con-

veyed or such owner’s duly authorized agent.

(b) A certificate of acknowledgement is not required for

the validity of a transfer, but is prima facie evidence of

the execution of the transfer if—

(1) in the case of a transfer executed in the United

States, the certificate is issued by a person autho-

rized to administer oaths within the United States;

or

(2) in the case of a transfer executed in a foreign

country, the certificate is issued by a diplomatic or

consular officer of the United States, or by a person

authorized to administer oaths whose authority is

proved by a certificate of such an officer.

Section 205

§ 205 · Recordation of transfers and other documents

(a) Conditions for Recordation.—Any transfer of copy-

right ownership or other document pertaining to a

copyright may be recorded in the Copyright Office if

the document filed for recordation bears the actual

signature of the person who executed it, or if it is

accompanied by a sworn or official certification that

it is a true copy of the original, signed document. A

sworn or official certification may be submitted to the

Copyright Office electronically, pursuant to regulations

established by the Register of Copyrights.

the Copyright Office if

the document filed for recordation bears the actual

signature of the person who executed it, or if it is

accompanied by a sworn or official certification that

it is a true copy of the original, signed document. A

sworn or official certification may be submitted to the

Copyright Office electronically, pursuant to regulations

established by the Register of Copyrights.

(b) Certificate of Recordation.—The Register of Copy-

rights shall, upon receipt of a document as provided by

subsection (a) and of the fee provided by section 708,

record the document and return it with a certificate of

recordation.

(c) Recordation as Constructive Notice.—Recordation of

a document in the Copyright Office gives all persons

constructive notice of the facts stated in the recorded

document, but only if—

(1) the document, or material attached to it, specifically

identifies the work to which it pertains so that, after

the document is indexed by the Register of Copy-

rights, it would be revealed by a reasonable search

under the title or registration number of the work;

and

(2) registration has been made for the work.

(d) Priority Between Conflicting Transfers.—As between

two conflicting transfers, the one executed first pre-

vails if it is recorded, in the manner required to give

constructive notice under subsection (c), within

one month after its execution in the United States

or within two months after its execution outside the

United States, or at any time before recordation in

such manner of the later transfer. Otherwise the later

transfer prevails if recorded first in such manner, and

if taken in good faith, for valuable consideration or

on the basis of a binding promise to pay royalties, and

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

e later

transfer prevails if recorded first in such manner, and

if taken in good faith, for valuable consideration or

on the basis of a binding promise to pay royalties, and

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.

Recordation of Transfers and Other Documents  ·  9

U. S. Copyright Office · Library of Congress · 101 Independence Avenue SE · Washington, DC 20559 · www.copyright.gov

without notice of the earlier transfer.

(e) Priority Between Conflicting Transfer of Ownership

and Nonexclusive License.—A nonexclusive license,

whether recorded or not, prevails over a conflicting

transfer of copyright ownership if the license is evi-

denced by a written instrument signed by the owner

of the rights licensed or such owner›s duly authorized

agent, and if—

(1) the license was taken before execution of the transfer;

or

(2) the license was taken in good faith before recorda-

tion of the transfer and without notice of it.

For Further Information

Online

Circulars, announcements, regulations, forms, and other

related materials are available from the Copyright Office at

www.copyright.gov.

By Telephone

For general information about copyright, call the Copyright

Public Information Office at 202-707-3000 or 1-877-476-

0778 (toll free). Staff members are on duty from 8:30 am to

5:00 pm, Monday through Friday, eastern time, except federal

holidays. Recorded information is available 24 hours a day.

To request forms or circulars, call 202-707-9100 and leave a

recorded message.

By U.S. Mail

Write to:

Library of Congress

U.S. Copyright Office

101 Independence Avenue SE

Washington, DC 20559

circular 12

revised: 09 / 2016

Printed on recycled paper

u. s

ty from 8:30 am to

5:00 pm, Monday through Friday, eastern time, except federal

holidays. Recorded information is available 24 hours a day.

To request forms or circulars, call 202-707-9100 and leave a

recorded message.

By U.S. Mail

Write to:

Library of Congress

U.S. Copyright Office

101 Independence Avenue SE

Washington, DC 20559

circular 12

revised: 09 / 2016

Printed on recycled paper

u. s. government printing office: 2016-xxx-xxx / xx,xxx

The procedural requirements for recordation have been superseded by the Office’s interim rule on document recordation and final rule on fees.

For information on current practices see https://www.copyright.gov/recordation.