Chapter2000:5 01/28/2021

C O M P E N D I U M : Chapter2000

ForeignWorks:EligibilityandGATTRegistration

2001 What This Chapter Covers

ThisChapterexplainswhenauthorsofforeignworksmayapplytoregistertheirworkswiththeU.S.CopyrightOffice.ThisChapterappliestounpublishedworksregardlessofwhentheywerecreated,andtopublishedpublishedworksthatwerefirstpublishedonorafterJanuary1,1978.

ThisChapteralsodiscussesFormGATT,whichmaybeusedtoregisterarestoredworkthatiseligibleforcopyrightprotectionundertheUruguayRoundAgreementsAct.Restoredworkscompriseasmallsubsetofforeignworks,andapplicantsmustuseFormGATTtoregisterthesetypesofworkswiththeOffice.

• Forageneraloverviewoftheregistrationprocess,seeChapter200.

• Foradiscussionofcopyrightablesubjectmatter,seeChapter300.

• Forguidanceindeterminingwhomayfiletheapplicationandwhomaybenamedasthecopyrightclaimant,seeChapter400.

• Forguidanceinidentifyingtheworkthatwillbesubmittedforregistration,seeChapter500.

• Forinstructionsoncompletingtheonlineapplicationorapaperapplication(otherthananapplicationsubmittedonFormGATT),seeChapter600.

• Forguidanceonthefilingfee,seeChapter1400.

• Forguidanceonsubmittingthedepositcopy(ies),seeChapter1500.

• Forguidanceonpublication,seeChapter1900.

2002 Foreign Works

2002.1 What Is a Foreign Work?

Forpurposesofcopyrightregistration,theterm“foreignworks”generallyreferstoworkscreatedbyauthor(s)whoarenotU.S.citizensorU.S.nationalsand/orworksthatwerefirstpublishedabroad.publishedabroad.Generally,theauthoristhepersonorpersonswhoactuallycreatedthematerialthattheapplicantintendstoregister.Thereisanexceptiontothisruleiftheworkisaworkmadeforhire.Foradefinitionanddiscussionofworksmadeforhire,seeChapter500,Section506.

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:6 01/28/2021

U.S.citizensarepeoplewhoarecitizensinaccordancewiththeU.S.Constitutionorfederalstatutes,including(i)peopleborninGuam,theU.S.VirginIslands,andPuertoRico;and(ii)certainpeoplewhoarebyfederalstatutenationals,butnotcitizensoftheUnitedStates,includingpeoplebornintheoutlyingpossessionsoftheUnitedStates.AllU.S.citizensarealsoU.S.nationals.WorksbyU.S.citizensandnationalsarenotconsideredforeignworks,andgenerallytheyareeligibleforU.S.copyrightprotection.

ThetypesofworksthatmaybeprotectedundertheCopyrightActincludeliteraryworks;musicalworks,includinganyaccompanyingwords;dramaticworks,includinganyaccompanyingmusic;pantomimesandchoreographicworks;pictorial,graphic,andsculpturalworks;motionpicturesandotheraudiovisualworks;soundrecordings;andarchitecturalworks;aswellasderivativeworks,compilations,andcollectiveworks.Foradefinitionanddiscussionofthesetypesofworks,seeChapter500,Sections507(DerivativeWorks),508(Compilations),and509(CollectiveWorks),andChapters700(LiteraryWorks),800(WorksofthePerformingArts),and900(VisualArtWorks).

2002.2 Treatment of Foreign Works

Inthevastmajorityofcases,aforeignworkmayberegisteredwiththeU.S.CopyrightOfficeifitsatisfiestheeligibilityrequirementsdiscussedinSection2003.However,thisdoesnotmeanthatforeignworksaretreatedexactlythesameasdomesticworks.U.S.lawapplieswheneveraUnitedStatesworkoraforeignworkisinvolvedinacopyrightinfringementlawsuitinthiscountry.BeforethecopyrightownercanfilealawsuitinvolvinganinfringementofaU.S.work,theworkmustberegisteredwiththeOfficeortheOfficemustissuearefusaltoregisterthatwork.Inaddition,U.S.worksmustberegisteredinatimelymannertoseekstatutorydamagesandattorney’sfees.Bycontrast,foreignworksdonotneedtoberegistered(orrefusedregistration)inordertofileaninfringementlawsuitintheUnitedStates,thoughtheymustberegisteredinatimelymannertoseekstatutorydamagesandattorney’sfees.

2003 Eligibility Requirements: How to Determine if a Foreign Work Is Eligible for Registration with the U.S. Copyright Office

Section104oftheCopyrightActsetsforththecategoriesofforeignworksthatareeligibleforcopyrightprotectionunderU.S.law.ThisSectiondescribeseachofthesecategories.

2003.1 Unpublished Works

AllunpublishedforeignworksareeligibleforregistrationwiththeU.S.CopyrightOffice.17U.S.C.§104(a).Foradetailedexplanationofwhenaworkisconsideredpublished,published,seeChapter1900.

2003.2 Published Works

WorksfirstpublishedinaforeigncountryareeligibleforregistrationwiththeU.S.CopyrightOfficeiftheysatisfyoneormoreoftheconditionsdescribedinSections2003.2(A)through2003.2(F).

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:7 01/28/2021

2003.2(A) Eligibility Based on Nationality or Domicile

Section104(b)(1)oftheCopyrightActprotectsforeignworksif,uponthework’sfirstpublication,oneormoreauthor(s)ofthework(i)isanationalordomiciliaryoftheUnitedStates;(ii)isanational,domiciliary,orsovereignauthorityofatreatyparty;or(iii)isastatelesspersonwhereverthatpersonisdomiciled.

A“sovereignauthority”isagovernmentalagencyorsubdivisionofaforeignnation,suchasaministryofthegovernmentofNorwayoraprovinceofCanada.A“statelessperson”isapersonwhohasnonationality,eitherastheresultofneverhavingacquirednationalityinanynation,orastheresultofhavingeffectivelyrenouncedorhavingbeendeprivedofhisorherformernationalitywithouthaving,asyet,becomeanationalofanothernation.

Chapter1900generallydiscussestheconceptofwhenaworkispublished.published.Theconceptof“firstpublication”isfurtherdefinedinSection104(b)oftheCopyrightAct,whichexplainsthat“aworkthatispublishedintheUnitedStatesoratreatypartywithinthirtydaysafterpublicationinaforeignnationthatisnotatreatypartyshallbeconsideredtobefirstpublishedintheUnitedStatesorsuchtreatyparty,asthecasemaybe.”

Thismeansthataforeignworkmaybeeligibleforcopyrightprotectioninawidevarietyofcases.AsidefromU.S.nationalsanddomiciliaries,authorswhoarenationalsordomiciliariesofanytreatypartyatthetimeoffirstpublicationcanobtainU.S.protectionforaforeignwork.AsdiscussedinSection2004,theUnitedStateshasenteredintotreatyrelationswithallbutahandfulofcountries,meaningthatthemajorityofforeignworkswillbeeligibleforprotectionunderSection104(b)oftheCopyrightAct.

2003.2(B) Eligibility Based on Location of First Publication

Section104(b)(2)oftheCopyrightActaffordsprotectiontoallworksthatarefirstpublishedpublishedin(i)theUnitedStates,or(ii)aforeignnationthat,onthedateofthefirstpublication,publication,isatreatyparty.Inotherwords,regardlessofthenationalityordomicileoftheauthor(s),aworkmaybeeligibleforprotectionundertheCopyrightActifitisfirstpublishedintheUnitedStatesorinanynationthathasarelevanttreatywiththeUnitedStatesatthetimeofthefirstpublication.Formoreinformationonwhichcountriesaretreatypartners,seeSection2004.

NOTE:Thereisanexceptiontothisrule.AworkthatwasfirstpublishedinaforeignnationthathasnotenteredintoatreatywiththeUnitedStatesmaybeeligibleforprotectioninthiscountryiftheworkwaspublishedwithinthirtydaysthereafterintheUnitedStatesorinaforeignnationthatisatreatyparty.ThisexceptionwasaddedtotheCopyrightActeffectiveOctober28,1998,anditappliestoanyworkthatwasfirstpublishedonorafterSeptember28,1998.SeeDigitalMillenniumCopyrightAct,Section102,112Stat.2860,2862(1998)(codifiedat17U.S.C.§104(b)).

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:8 01/28/2021

2003.2(C) Eligibility for Sound Recordings

Section104(b)(3)oftheCopyrightActprotectssoundrecordingsthatwerefirst“fixed”inaforeigncountrythatisatreatyparty.Specifically,thelawprotectssoundrecordingsthatareembodiedinphonorecordsthataresufficientlypermanentorstabletopermittheworktobeperceived,reproduced,orotherwisecommunicatedforaperiodofmorethantransitoryduration.17U.S.C.§101(definitionof“fixed”).Formoreinformationonfixation,seeChapter300,Section305andChapter800,Section803.4.

2003.2(D) Eligibility Based on Incorporation into Buildings or Other Structures

Section104(b)(4)oftheCopyrightActprotectspictorial,graphic,orsculpturalworksthatareincorporatedintoabuildingorotherstructure,andarchitecturalworksthatareembodiedinabuilding.TheCopyrightAct,however,onlyprotectspictorial,graphic,sculptural,andarchitecturalworksifthebuildingorstructureinwhichtheyareincorporatedorembodiedislocatedintheUnitedStatesoratreatyparty.

2003.2(E) Eligibility of Works Published by the United Nations or the Organization of American States

Section104(b)(5)oftheCopyrightActstatesthatworksfirstpublishedpublishedbytheUnitedNations(oranyofitsspecializedagencies)orbytheOrganizationofAmericanStatesareeligibleforprotectionundertheCopyrightAct.Thisprovisionisbasedonfirstpublicationpublicationbytheseorganizations,regardlessofthelocationofthepublication.

2003.2(F) Eligibility Based on Presidential Proclamations

Section104(b)(6)oftheCopyrightActprotectsworksthatcomewithinthescopeofPresidentialproclamations.Thismeansthat,inadditiontothecategorieslistedinSections2003.2(A)through2003.2(E),aworkmaybeeligibleforprotectionintheUnitedStatesifthePresidentfindsthataparticularforeignnationextendscopyrightprotectiontoworksbynationalsordomiciliariesoftheUnitedStatesorworksthatarefirstpublishedpublishedintheUnitedStates“onsubstantiallythesamebasisasthatonwhichtheforeignnationextendsprotectiontoworksofitsownnationalsanddomiciliariesandworksfirstpublishedinthatnation.”17U.S.C.§104(b)(6).Insuchcases,thePresidentmayissueaproclamationthatextendscopyrightprotection“toworksofwhichoneormoreoftheauthorsis,onthedateoffirstpublication,anational,domiciliary,orsovereignauthorityofthat[foreign]nation,orwhichwasfirstpublishedinthatnation.”Id.ThePresidentmayrevise,suspend,orrevokeanysuchproclamationorimposeanyconditionsorlimitationsonprotectionunderaproclamation.

2004 Treaties and Presidential Proclamations

U.S.protectionofforeignworksoftenisbasedontheUnitedStates’treatyrelationshipswithothercountries.TheUnitedStateshastreatyrelationshipswithallbutahandfulofcountries,assetforthinInternationalCopyrightRelationsoftheUnitedStates(Circular38a).InternationalCopyrightRelationsoftheUnitedStates(Circular38a).Someofthesetreatiesaremultilateral,meaningthattherearemorethantwopartiestothetreaty,whileothertreatiesarebilateral,meaningthattheyarebetweenjusttheUnitedStates

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:9 01/28/2021

andoneforeigncountry.Itisimportanttonotethedateonwhichaforeigncountrybecameatreatyparty,becauseU.S.lawwillapplyonlytoworkseithercreatedorfirstpublishedpublished(dependingonwhichtypeofeligibilityisused)onorafterthedatethattheforeigncountrybecameatreatyparty.Additionally,foratreatytoconfereligibility,itmustapplytotheworkatissue.Forexample,anauthorofaliteraryworkcouldnotrelyontheexistenceofacopyrighttreatythatprotectsonlysatellitebroadcastsbutnotliteraryworks.

2004.1 Multilateral Treaties

TheUnitedStatesisapartytoanumberofmultilateralcopyrighttreaties,includingthefollowing:

• BuenosAiresConventionof1910:ThiswasanearlytreatythatprovidedcertaincopyrightprotectionsforartisticandliteraryworksandwasdepositedwiththegovernmentofArgentinaonMay1,1911,andproclaimedbyPresidentWoodrowWilsononJuly13,1914.

• BerneConventionfortheProtectionofLiteraryandArtisticWorks(“BerneConvention”):Thistreatyprovidesprotectionforcertainliteraryandartisticworksandhasbeensignedbymostcountries.TheeffectivedateforU.S.adherencetotheBerneConventionisMarch1,1989.

• ConventionfortheProtectionofProducersofPhonogramsAgainstUnauthorizedDuplicationofTheirPhonograms,Geneva,1971:TheeffectivedatefortheUnitedStatesisMarch10,1974.NotethatonlysoundrecordingsareeligibleforU.S.copyrightprotectionbasedonthistreaty.17U.S.C.§104(d).

• UniversalCopyrightConvention,Geneva,1952:Thistreatyprotectedcertainliterary,artistic,andscientificworks.TheeffectivedatefortheUnitedStatesisSeptember16,1955,thedatethetreatyenteredintoforce.Thistreatywasrevised,andtheUnitedStatesisapartytotheversionasrevisedatParisin1971asofJuly10,1974.

• WorldIntellectualPropertyOrganization(“WIPO”)CopyrightTreaty(“WCT”):TheWCTisaspecialagreementundertheBerneConventionthatprotectsBerneConvention-coveredworksandincludesspecificlanguageprotectingcomputerprogramsandcompilationsofdataorothermaterial.TheeffectivedatefortheUnitedStatesisMarch6,2002,thedatethetreatyenteredintoforce.

• WIPOPerformancesandPhonogramsTreaty,Geneva,1996(“WPPT”):TheWPPTcoverscertainrightsforperformersandproducersofphonograms.TheeffectivedatefortheUnitedStatesisMay20,2002,thedatethetreatyenteredintoforce.NotethatonlysoundrecordingsareeligibleforU.S.copyrightprotectionbasedonthistreaty.17U.S.C.§104(d).

• TheAgreementonTrade-RelatedAspectsofIntellectualPropertyRights(“TRIPS”)wasenteredintoaspartoftheWorldTradeOrganization(“WTO”),establishedpursuanttotheMarrakeshAgreementofApril15,1994,whichimplementedthe

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:10 01/28/2021

UruguayRoundAgreements.TRIPSincorporatedtheBerneConventioninmostpart,coveredcopyrightandotherintellectualpropertyrights,andincludedprovisionsrelatingtoenforcementofintellectualpropertyrights.TheeffectivedateofUnitedStatesmembershipintheWTOisJanuary1,1995.

• TheMarrakeshTreatytoFacilitateAccesstoPublishedWorksforPersonsWhoAreBlind,VisuallyImpairedorOtherwisePrintDisabled(“MarrakeshVIPTreaty”)providesanobligationformembernationstoprovidecopyrightlimitationsandexceptionsinordertopermitreproduction,distributionandmakingavailableofpublishedworksinformatsdesignedtobeaccessibletovisuallyimpairedpeople,andtopermitexchangeoftheseworksacrossbordersbyeligibleorganizationsthatservethosebeneficiaries.TheprovisionsofthistreatywereimplementedintoU.S.lawwiththeMarrakeshTreatyImplementationActonOctober10,2018.U.S.membershipinthetreatycameintoforceonMay8,2019.FormoreinformationontheMarrakeshTreatyimplementationinU.S.law,seetheCopyrightOffice’sUnderstandingtheMarrakeshTreatyImplementationAct.

Forinformationconcerningtheothercountriesthatarepartiestothesetreatiesandthedateuponwhichacountrybecameatreatyparty,seeInternationalCopyrightRelationsoftheUnitedStates(Circular38a).

2004.2 Bilateral Copyright Treaties and Presidential Proclamations

TheUnitedStateshasenteredintobilateraltreatieswithsomeforeigncountries.Thesetreatiesoftenareinadditiontomultilateraltreatiesandtrytoprovideafurtherlayerofprotection.ForalistofspecificU.S.bilateraltreaties,seeInternationalCopyrightRelationsoftheUnitedStates(Circular38a).InternationalCopyrightRelationsoftheUnitedStates(Circular38a).

Additionally,therehavebeennumerousPresidentialproclamationsthroughouttheyearsspecifyingcountriestowhichtheUnitedStateshasextendedcopyrightlawprotection.PresidentialproclamationswereespeciallycommonpriortotheUnitedStates’sadherencetotheBerneConvention,whichallowedtheUnitedStatestoprovideprotectiontoforeignworksmoreeasily.Theseproclamationsareincludedaspartofthe“bilateral”agreementslistedinCircular38(a).

2005 Registration Issues

ThisSectiondiscussesfrequentregistrationissuesthatariseinconnectionwithforeignworks.

2005.1 Multiple Authors of a Foreign Work

Iftheforeignworkwascreatedbymultipleauthorsandifeligibilityisbasedonthedomicileornationalityofthoseauthors,theworkwillbeeligibleforregistrationaslongasanyoneoftheauthors’nationalitiesordomicilesissufficient.Forexample,iftheworkwascreatedbythreeauthors,twoofwhomarefromIran(acountrythathasnocopyrighttreatieswiththeUnitedStates)andoneofwhomisfromFrance(acountrythatdoeshavecopyrightrelationswiththeUnitedStates),theworkwouldbeeligibleforregistration.

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:11 01/28/2021

2005.2 Authors with Multiple Nationalities

Ifawork’seligibilityisbasedontheauthor’snationalityandtheauthorhasmorethanonenationality(forexample,iftheauthorhasdualcitizenship),theworkwillbeeligibleforregistrationifeitheroftheauthor’snationalitiessatisfytheCopyrightAct’seligibilityrequirements.

2005.3 Domicile or First Publication in the Territorial Areas of the United States

DomicileorfirstpublicationinanyoftheterritorialareasunderthejurisdictionoftheU.S.government—otherthantheseveralstates,theDistrictofColumbia,andtheCommonwealthofPuertoRico,andtheorganizedterritories—doesnotconfereligibilityforregistration.Suchareasincludetheunorganizedterritories,thetrustterritories,andotherpossessionsoftheUnitedStates.However,worksbydomiciliariesof,orworksfirstpublishedin,theseareasmaybeeligibleonthebasisofthenationalityoftheauthor.SinceU.S.nationalsincludepersonsbornintheoutlyingpossessionsoftheUnitedStates,eligibilityinsuchcasesmaybeconferredonthatbasis.

2005.4 Stateless Persons

AworkbyastatelessauthoriseligibleforregistrationwiththeU.S.CopyrightOfficeregardlessoftheauthor’sformerorprospectivenationalityordomicile,andregardlessoftheplaceoffirstpublicationofthework.17U.S.C.§104(b)(1).

2005.5 Works Made for Hire

Inthecaseofaworkmadeforhire,itisthenationalityordomicileoftheemployerorotherpersonforwhomtheworkwasprepared,ratherthanthenationalityordomicileoftheemployee,whichservesasthebasisfordeterminingeligibilityforregistration.

2005.5(A) Nationality and Domicile of Corporations and Similar Organizations

Inthecaseofaworkmadeforhire,wheretheemployerorotherpersonforwhomtheworkwaspreparedisnotanaturalperson,butisanartificialpersonorlegalentitysuchasacorporationorsimilarorganization,thenationalityanddomicileofthatorganizationisusuallyconsideredtobethenationunderthelawsofwhichtheorganizationwascreatedforpurposesofcopyrightregistration.Forexample,thenationalityanddomicileofacorporationgenerallyshouldbestatedastheUnitedStatesifitwasincorporatedunderthelawofoneoftheseveralStates,underfederallaw,orunderthelawoftheDistrictofColumbia,theCommonwealthofPuertoRico,orthoseorganizedterritoriesunderthejurisdictionoftheUnitedStatesthathavethepowertocreatecorporations.

2005.5(B) Members

Acorporationorsimilarorganizationisordinarilyconsideredbylawtobeseparateanddistinctfromthepersonswhoareitsmembersorshareholders.Asaresult,thenationalityordomicileoftheorganizationmaybedifferentfromthatofitsmembersorshareholders.

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:12 01/28/2021

2005.5(C) Doing Business

Acorporationmaydobusinessinaparticularnationwithoutbeinganationalordomiciliaryofthatnation.

2005.6 Anonymous and Pseudonymous Works

Whereeligibilitydependsonthenationalityordomicileoftheauthor,theapplicantmustprovidethatinformationintheapplication,eveniftheworkisanonymousorpseudonymous.Theapplicantdoesnot,however,havetoidentifytheauthor’snameinsuchcases.

Foradefinitionandgeneraldiscussionofanonymousandpseudonymousworks,seeChapter600,Sections615.1and615.2.

2005.7 Compilations and Derivative Works

Thenationalityordomicileoftheauthorofacompilationorderivativeworkisusedindeterminingeligibilityforregistration,ratherthanthenationalityordomicileoftheauthor(s)ofthepreexistingmaterialusedinthatwork.

2005.8 When Is Eligibility Determined?

Ifeligibilitymustbebasedontheauthor’snationalityordomicile,theauthor’snationalityordomicileandthestatusoftheauthor’scountrymustbeassessedasofthedateoffirstpublication.

2005.8(A) Works Initially Registered as Unpublished, but Ineligible for Registration as Published Works

Eventhoughaworkmayhavebeenregisteredasunpublished,itmustbeeligibleatthetimeoffirstpublicationpublicationtoberegistrableasapublishedwork.Forexample,iftheauthorisanationalanddomiciliaryofIraq(anationwithwhichtheUnitedStateshasnocopyrightrelations),theU.S.CopyrightOfficewillregistertheworkifitisunpublished.IftheworkislaterpublishedinanothercountrywithwhichtheUnitedStatesdoesnothavecopyrighttreatyrelations,andtheauthor’scitizenshipanddomicileremainunchanged,theOfficewillrefusetoregistertheclaiminthepublishedversion.

2005.8(B) Change in Nationality or Domicile after Publication

Ifaworkwaseligibleforregistrationatthetimeoffirstpublicationpublicationonthebasisoftheauthor’snationalityordomicile,changesinnationalityordomicileoccurringafterthattimewillnotimpactthework’seligibility.

2005.9 Eligibility Unclear

SometimesthestatusofcopyrightrelationsbetweentheUnitedStatesandaparticularnationisunclear.Incaseswhereeligibilitydependsontheexistenceofcopyright

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:13 01/28/2021

relationswiththatcountry,buttherelationshipisunclear,theU.S.CopyrightOfficewillrefuseregistration.

2006 Application Tips for Foreign Works

Inmostcases,eligibleforeignworksmayberegisteredjustlikeanyotherwork.Inotherwords,anapplicantgenerallymaysubmitanapplicationusingtheelectronicregistrationsystemandselectingthetypeofworkatissue(e.g.,literarywork,workoftheperformingarts,workofthevisualarts,soundrecording,orsingleserialissue)orbyusingapaperapplication(e.g.,FormTX,PA,VA,SR,SE,etc.).Forspecificguidanceonhowtocompletetheseapplications,seeChapter600(ExaminationPractices).Thereare,however,someforeignworksthatmustberegisteredwithapaperapplicationsubmittedonFormGATT.Theseworkstypicallywerecreatedorpublishedpublishedbefore1996andareknownas“restoredworks,”whicharediscussedinSection2007below.

Inallcases,theapplicantshouldprovidethenameofthenationofwhichtheauthorisanationalordomiciliary,andinthecaseofapublishedwork,thenameofthenationoffirstpublicationpublicationofthework.Forguidanceinidentifyingtheauthor’snationalityordomicile,seeChapter600,Section617.Forguidanceinidentifyingthenationoffirstpublication,seeChapter600,Section612.

Generally,theU.S.CopyrightOfficewillnotacceptanapplicationthatlistsaterritoryorotherpoliticalsubdivision,ratherthanthenameofthenationitself.

Examplesofacceptablestatements:

• GreatBritain• England• Wales• France• French• Switzerland• Swiss

Examplesofunacceptablestatements:

• BritishProtectedPerson• CommonwealthCitizen• Worldwide• Internet

2007 Restored Works

2007.1 What Is a Restored Work?

Previously,U.S.federalcopyrightlawdidnotprotectoriginalworksofauthorshipimmediatelyupontheirfixationinatangiblemediumofexpression.Instead,authorsneededtotakecertainsteps,suchaspublishingtheworkwithaspecificcopyright

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:14 01/28/2021

copyrightnoticeandrenewingthecopyrightsatparticulartimesinordertoobtainfederalcopyrightprotection.Thesetypesofrequirementsarecalled“formalities”andtheyappliedtobothU.S.andforeignworks.

In1978,thecurrentCopyrightActwentintoeffect,whicheliminatedsomeoftheserequirements.In1989,theUnitedStatesbecameamemberoftheBerneConvention,andenactedtheUruguayRoundAgreementsAct,Pub.L.No.103–465,108Stat.4809(codifiedinscatteredsectionsoftheU.S.C.)(1994)(“URAA”),whichimplementedtheUnitedStates’obligationsundertheAgreementonTrade-RelatedAspectsofIntellectualPropertyRights.ThisfurtherrelaxedsomeoftheCopyrightAct’smorerestrictiveprovisions.

Specifically,theURAA“restored”thecopyrightinforeignworksthatenteredthepublicdomainbecauseofafailuretocomplywithcertainformalities,andthusprovidedretroactivecopyrightprotectionformanyworksthatwereineligibleforprotectionunderthepriorlaw.In2012,theU.S.SupremeCourtheldthattheURAAdoesnotviolateArticleI,Section8ortheFirstAmendmentoftheConstitution.Golanv.Holder,565U.S.302(2012).

Section104A(h)(6)oftheCopyrightActspecifiestherequirementsthatmustbemetinordertoqualifyasa“restoredwork.”

• Notinthepublicdomaininthesourcecountry:Theworkmustnotbeinthepublicdomaininitssourcecountrythroughtheexpirationofthetermofprotection.17U.S.C.§104A(h)(6)(B).AsdiscussedinChapter100,Section102.2(A),thetermofprotectionisthelengthoftimeduringwhichaworkisprotectedbycopyrightlaw.AsdiscussedinChapter300,Section313.6(D),theterm“publicdomain”meansthattheworkisnotprotectedbycopyrightlaw.Thus,arestoredworkmustbecopyright-protectedandstillwithinitstermofprotectionintheforeigncountry.

• FellintothepublicdomainintheUnitedStates:TheworkmustbeinthepublicdomainintheUnitedStates(i)becausetheworkdidnotcomplywithcertainformalities(suchasfailingtoplaceapropernoticeonthework,failingtorenewthecopyrightinatimelymanner,orfailingtocomplywithmanufacturingrequirementsunderpriorlaw);(ii)becausetheworkisasoundrecordingthatwasfixedbeforeFebruary15,1972,andassuch,wasnotprotectedbyU.S.federalcopyrightlaw;or(iii)becauseofalackofnationaleligibility(asdiscussedabovegenerally).17U.S.C.§104A(h)(6)(C).

• Eligibilityattimeofcreationorpublication:publication:Atleastoneauthororrightholderoftheworkmusthavebeen(i)anationalordomiciliaryofaneligiblecountryatthetimeofthework’screation,and(ii)iftheworkispublished,published,itmusthavebeenfirstpublishedinaneligiblecountryandnotpublishedintheUnitedStateswithinthirtydaysafterthedateoffirstpublication.17U.S.C.§104A(h)(6)(D).

• Soundrecordings:IfthesourcecountryfortheworkisaneligiblecountrysolelybyvirtueofitsadherencetotheWPPT,therestoredworkmustbeasoundrecording.17U.S.C.§104A(h)(6)(E).

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:15 01/28/2021

January1,1996istheeffectivedateofrestorationofcopyrightforforeignworksfromcountriesthatweremembersoftheWTOortheBerneConventiononthatdate.MostrestoredworkswererestoredonJanuary1,1996,becausemanycountriesbecamemembersoftheWTOorBerneConventionpriortothatdate.Inallothercases,theeffectivedateofrestorationisthedateanewlyeligiblecountryaccedestotheWTOortheBerneConventionorthedateofaPresidentialproclamationrestoringU.S.copyrightprotectiontoworksofthatcountry.

NOTE:Restoredworksaresubjecttoavarietyofotherlegalrequirementsregardingenforcementandremedies,whicharenotcoveredinthisCompendium.Formoreinformationonrestoredworks,seeCopyrightRestorationUndertheURAA(Circular38b).

2007.2 Registration Requirements for Restored Works

TheCopyrightActprotectsrestoredworksregardlessofwhethertheyareregisteredwiththeU.S.CopyrightOffice,althoughregistrationdoesprovidevariousbenefits,whicharedescribedinChapter200,Section202.ThisSectionprovidesgeneralinformationforcopyrightownersthatwishtoregistertheirrestoredworkswiththeOffice.

Aregistrationforarestoredwork(whichisknownasa“GATTregistration”)coversanindividualwork,andanapplicantshouldprepareaseparateapplication,filingfee,anddepositforeachworkthatissubmittedtotheOffice.SeeFees,71Fed.Reg.15,368,15,369(Mar.28,2006)SeeFees,71Fed.Reg.15,368,15,369(Mar.28,2006).

2007.2(A) Form GATT

Toregisterarestoredwork,anapplicantmustfileapaperapplicationusingFormGATT.ApplicantscannotusetheOffice’selectronicregistrationsystemtoregisterrestoredworks.FormGATTisdesignedtorequestinformationneededtodeterminewhetheraworkqualifiesasarestoredworkandcomplieswithU.S.legalrequirements.

WhilemanypartsofFormGATTaresimilartotheOffice’sotherapplications,FormGATTrequiresinformationthatmaybedifferentthantheinformationrequiredbyotherformsbecauseofthedifferencesinhowtheCopyrightActtreatsrestoredworks.TheseissuesarediscussedinSections2007.2(A)(1)through2007.2(A)(3).2007.2(A)(4).

2007.2(A)(1) Who May File Form GATT?

FormGATTmaybefiledbyanyofthefollowingparties:

• Anauthorofthework.

• TheownerofallU.S.rightsinthework.

• Adulyauthorizedagentofoneoftheforegoingparties.

SeeRestorationofCertainBerneandWTOWorks,60Fed.Reg.50,414,50,418(Sept.29,1995).

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.

C O M P E N D I U M O F U . S . C O P Y R I G H T O F F I C E P R A C T I C E S , Third Edition

Chapter2000:16 01/28/2021

2007.2(A)(2) Author of a Restored Work

WhenidentifyingtheauthorofarestoredworkonFormGATTapplicantsshouldbeawareofthefollowingissues:

• Timingmatters:Theapplicantmustdeterminewhether,atthetimetheworkwascreated,theauthorwasanationalordomiciliaryofacountrythatisnoweligibleforprotectionintheUnitedStates.See17U.S.C.§104A(h)(6)(D).

• Anonymousworks:Toregisterananonymouswork,theapplicantmayprovidetheauthor’slegalnameortheauthor’spseudonym,aslongasthepseudonymconsistsofaname(ratherthananumberorsymbol).SeeChapter600,Section615.1(B).

2007.2(A)(23) Publication of a Restored Work

ToqualifyforaGATTregistration,apublishedwork(i)musthaveatleastoneauthororrightholderwhowasanationalordomiciliaryofaneligiblecountrywhentheworkwascreated,(ii)itmusthavebeenfirstpublishedpublishedinaneligiblecountry,and(iii)itmustnothavebeenpublishedintheUnitedStateswithinthirtydaysafterfirstpublicationinthatcountry.publicationinthatcountry.See17U.S.C.§104A(h)(6)(D).

2007.2(A)(3) Owners4) Owner of U.S. Copyright in a Restored Work

AclaiminarestoredworkmayberegisteredonlyinthenameofthecurrentownerofallU.S.rightsinthatwork.SeeRestorationofCertainBerneandWTOWorks,60Fed.Reg.50,414,50,418(Sept.29,1995).

2007.2(B) Filing Fees

Theapplicantmustsubmitthecorrectfilingfeetoregisterarestoredwork.See37C.F.R.§202.3(c)(2).ThecurrentfeeissetforthintheU.S.CopyrightOffice’sfeescheduleundertheheading“Registrationofaclaiminarestoredcopyright(FormGATT.”).”

Forinformationconcerningthemethodsforpayingthefilingfee,seeChapter1400,Sections14031412.3through14031412.5.

2007.2(C) Deposit Requirements

Forspecificdepositrequirementsfordifferenttypesofrestoredworks,seeChapter1500,Sections1509.1(J)(LiteraryWorks),1509.2(H)(WorksofthePerformingArts),and1509.3(E)(3)(VisualArtWorks).

This redline compares the Compendium (Third) released September 29, 2017, and the Compendium (Third) released January 28, 2021.