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Chapter-1 Introduction to Copyright Act

This report introduces several fundamental concepts of copyright law and discusses their relevance to digitized works as well as the linking to and the framing of digitized works. Digital works of authorship are considered within the broad concept of multimedia, which is generally understood to mean the storage of digital information and the presentation of digital information consisting of a combination of sound, moving images, still images, and text. The body of copyright law, which is extensive and detailed, is found in federal statutes. An outstanding source for information on copyright law, as well as its application, is the multi-volume treatise, NIMMER ON COPYRIGHT. Authors are under the constant challenge of protecting and controlling the rights to their works against the onslaught of evolving technologies. New technologies have made works of authorship ever more accessible to the public while at the same time facilitating the unauthorized coping and distribution of their works. This has been the lot of authors since the invention of the printing press in 1451. Laws allocating the economic interest represented by an author's work followed shortly the reafter. Typically, the laws provided more protection to the publisher of the author's work, the to the author of the work. As new technologies have become available; the Daguerreotype in 1837, the phonograph in 1878, the player piano in 1850, Xerography and magnetic tape recordings in the 1930's, affordable video tape recorders in the 1970's, personal computers and digital recordings in the 1980's, and easy access to the Internet in the 1990's, to name just a few, copyright law has struggled to balance t he rights of authors to their original works and the access of the public to the information contained in the works. The Internet that is often referred to as the "National Information Highway" or simply, the "World Wide Web" permits worldwide communication with a capability for the instant transfer of information. The World Wide Web is a "hypertext" medium, allowing website creators to easily insert "jump links" to any other pages on the system. Indeed, this hyper linking capability may be the Web's most fundamental and revolutionary feature, as the aggregate of millions of these individual hyperlinks creates a truly global interconnected web of information. Once a newly created works of authorship is made available on the Internet, the author's control of that work is at best problematic. Contrary to the costs associated with the production and distribution of works of authorship by the traditional printing and publishing industries, the Internet makes possible the

distribution, reproduction, linking, framing, uploading and downloading of sound, video, graphics, and text to relatively inexpensive computers and even televisions that have been equipped with an appropriate interface. As more and more activity migrates to cyberspace (and as those activities come to have more and more financial consequences), we will b e presented with a host of new legal questions and an increasingly uncomfortable fit between our pre-existing legal doctrine and new activities. Creators, authors, and publishers of digital information now find themselves in a poorly charted Cyberspace that knows no national boundaries.


What is a Copyright?

Copyright is a form of intellectual property. Intellectual property includes intangible assets such as works of authorship, ideas, and business goodwill. Intellectual property laws protect these intangible assets. Protection is secured through four separate bodies of law, patent law, trade secret law, trademark law, and copyright law. Patent law protects new, useful, and non obvious inventions. Trade secret law protects any formula, pattern, practice, device or compilation of information us ed in business that provides an advantage over competitors who do not know or use it. Trademark law protects words and symbols that are used in connection with products and services and are tangible representations of business goodwill associated with those products and services. Finally, copyright law protects the expressions contained in original works of authorship.


The Source of Copyright Protection

The United States Constitution grants Congress the power "to Promote the Progress of Science by securing for limited Times to Authors the exclusive Right to their Writings." The Copyright Revision Act of 1976 was the first major revision of United States copyright law since 1909. Before it became effective on January 1, 1978, both federal and common law copyright protection existed for original works of author ship. The Copyright Revision Act preempted common law copyright protection by providing copyright protection for both published and unpublished works as long as the work is fixed in tangible form. Previously, statutory protection was available only to authors who registered their works with the Copyright Office. The Copyright Office, a branch of the Library of Congress, still administers federal copyright registration.

The Berne Convention Implementation Act amended the Copyright Revision Act to harmonize several aspects of U.S. copyright law with the Berne Convention. By becoming a member of the Berne Convention, the U.S. obtained immediate copyright relations for the first time with 24 nations. The U.S. also endorsed the importance of protecting intellectual property through adherence to this international treaty. The Copyright Act of 1976 has been amended numerous times to address, for example, the rights of visual artists, the protection of architectural work, and computer software rental issues. Visual artists now have certain limited "moral rights" in their works. Architectural works have now been given clear protection under copyright law. Moreover, it is now a violation of copyright law for an owner of a particular copy of software to rent, lease, or lend that copy, for direct or indirect commercial advantage, without the copyright owner's permission.


What Does Copyright Law Protect?

Federal copyright law provides that copyright protection subsists in original works of authorship. This means that a copyright protects the expression of an idea. Any expression or work of authorship is automatically and instantly protected once it is fixed in any tangible medium, such as on paper, video, audio, disk, tape, computer memory, etc. Examples of protectable works include books, advertisements, movies, educational materials, computer software, and even stuffed animals and dolls. What copyright law does not protect is the idea embodied in the expression. Unless the idea is protected by another form of intellectual property right, such as a patent or trade secret, the public is free to use it. It is often difficult to distinguish between the expression of the idea, which may not be infringed or copied without authorization, and the idea, which is available to all. For example, copyright in a photograph of an object protects only that particular image of the object as captured in that single photograph. Copyright does not keep the public from making its own image. The idea of what to make the subject of a photograph is not protected by copyright. Thus, although the public may make its own version of the image of the photographed object, it may not copy the photograph itself, such as by photocopying or the like. (This assumes that the object being photographed is not itself the subject of a copyright.) Likewise, writing the instructions for a manufacturing process or a manual for the operation of a machine protects only that particular "expression" of the instructions or manual. Copyright will

not protect against another's use of the process or machine. Everyone is free to write their own version of the process instructions or an operations manual as long as they do not copy the original instructions or manual. It is not unreasonable to assume that many of the works that are available in a multimedia environment or from source works for the development of a multimedia environment are protected under federal copyright law.

Chapter-2 Copyrightable Subject Matter and Ownership

Copyright protection exists in (1) original (2) works of authorship (3) fixed in any tangible medium of expression, now known or later developed, from which they can be perceived, reproduced, or otherwise communicated. either directly or with the aid of a machine or a device. Original -- The originality requirement of copyright law means merely that the work was independently created by the author and possesses some minimal degree of creativity. There is no requirement that the work meets certain creative standards. Rather, the level of creativity required is very low and a work satisfies the originality requirement as long as it possesses some creative spark, no matter how crude, humble, or obvious. The United States Supreme Court has sta ted that, "the vast majority of works make the grade quite easily, as they possess some creative spark." Works of Authorship -- The text of the statute states that works of authorship include the following categories:

Literary works; Musical works, including any accompanying words; Dramatic works, including any accompanying music; Pantomimes and choreographic works; Pictorial, graphic, and sculpture works; Motion pictures and other audiovisual works; Sound Recordings; and Architectural works.

Fixed in a Tangible Form -- The 1976 Copyright Act protects all works of authorship from the moment that they are fixed in a tangible form be it paper, film, a computer disk, memory chips, magnetic tape, or other human or machine readable format. A work is "fixed" when it is sufficiently permanent or stable to permit it to be perceived, reproduced, or otherwise communicated for a period of more than transitory duration. The work can be fixed, according to the statute, in any tangible medium of expression,

now known or later developed, from which it can be perceived, reproduced or otherwise communicated, either directly or with the aid of a machine or device. One line of cases allows that a work load ed into a computer's random access memory is sufficiently fixed. Computer video games are works that are created in order to permit the player to alter the game's video images. Here again the work is considered sufficiently fixed under the principles of copyright law.


The Creation of a Work of Authorship and Copyright Ownership

The creation of a work of authorship does not necessarily guarantee ownership of the copyright. Generally, the ownership of the copyright in a work that is protected under United States copyright law vests initially in the author or author s of a work. The authors of a joint work are co-owners of the copyright in the work. However, in some instances, the creator or creators of a work are not considered under the law to be the "author" of the work and therefore, not the initial own er of the copyright. In the case of a work made for hire, the employer or other person for whom the work was prepared is considered the author for purposes of copyright law. Unless the parties have expressly agreed otherwise in a written instrument signed by them, the employer owns all of the rights comprised in the copyright of a work prepared by an employee in the course of employment. "Work for hire" is a defined term in the copyright statute. Two categories of work for hire are codified: (1) a work prepared by an employee within the scope of his or her employment, and (2) a work specially ordered or commissioned for use as a contribution to a collective work, as a part of a motion picture or other audiovisual work, as a translation, as a supplementary work, as a compilation, as an instructional text, as a test, as answer material for a test or as an atlas, if the parties expressly agree in a written instrument signed by them that the work shall be considered a work for hire. Of interest is the definition of "audiovisual work" in the creation of digital information within the concept of a work for hire. The statute defines audiovisual work as works that consist of a series of related images which are intrinsically intended to be shown by the use of machines or devices such as projectors, viewers, or electronic equipment, together with acc ompanying sounds, if any, regardless of the nature of the material objects, such as films or tapes, in which the works are embodied.


Ownership of the Copyright and Ownership of Material Object

The statute clearly distinguishes between the ownership of copyright and the ownership of the material object in which the copyrighted work of authorship is embodied. For example, you may purchase a copy of a book and you own that physical copy, being free to lend, sell, or destroy it. You may not, however, engage in any of the exclusive rights of the owner of the copyright, such as making a complete copy of the book or making a movie from it. Ownership of a copyright, or any of the exclus ive rights under a copyright, is distinct from ownership of any material object in which the work is embodied. Transfer of ownership of any material object, including the copy or phonorecord in which the work is first fixed, does not itself convey any rig hts in the copyrighted work embodied in the object; nor, in the absence of an agreement, does transfer of ownership of a copyright or of any exclusive rights under a copyright convey property rights in any material object. What you as the owner of the book may take from or do with the work of authorship embodied in the book will ultimately be defined within the amorphous zone of protection provided by the doctrine of fair use.


Copyright Protection and Exclusive Rights


The Term of Copyright Protection

Once a work is fixed in a tangible medium of expression, a minimum level of protection is immediate and automatic. There is no need to take any formal action to protect the work. A copyright held by an individual author has a term consisting of the life of the author plus 50 years. In the case of a joint work by two or more authors, the term consists of the life of the author who last dies plus 50 years. The copyright statute defines a second type of work as a "work for hire." Fo r example, copyrightable material created by an individual in the course of employment is considered to be a work for hire. Ownership of the copyright vests automatically in the employer. The copyright in a work for hire has a term of 75 years from the da te of publication or 100 years from its creation, whichever expires first. Additionally, certain other works, which are identified in the statute as being specially ordered or commissioned, are also works for hire. The work for hire doctrine does not exte nd to all consultants, e.g., a consultant writing software code. Accordingly, in certain circumstances consultants must be contractually obliged to assign the ownership of the copyright in any work that they create in their capacity as a consultant. An objective of copyright law is to secure for limited times to authors the exclusive rights to their works. The result of this objective is that every work will eventually enter into the public domain where it will be freely accessible to all. Depending upon both the date and place that a work was first published, unless certain statutory requirements were complied with, no copyright may have ever existed. Prior to March 1, 1989, United States copyright law required that published works h ad to bear a correct copyright notice. An author's failure to comply with the notice requirements could cause the work to enter into the public domain. Works created on or after March 1, 1989, do not require a formal notice of copyright, e.g., the word &q uot;Copyright," the year of first publication, and the name of the owner of the copyright. Additionally, it is important to note that the time frames of protection described above apply to works created since January 1, 1978. Works create d before that date are subject to a variety of considerations in determining whether or not they are protected by copyright.


The Use of a Copyright Notice and Copyright Registration

Under United States law prior to 1989, a formal notice of claim to copyright was mandatory. A proper copyright notice consists of the word "Copyright" or the symbol , the name of the author or owner of the copyright, and the date of publication or creation. However, in 1989, the United States began to follow much of the rest of the world in eliminating formal notice requirements. Yet it remains a prudent practice to give formal notice of a claim of copyright in order to pre vent an infringer from raising the defense of innocent infringement. Although copyrightable works are automatically protected upon creation, the copyright owner who is a U.S. national may bring an infringement action only if the work has been registered in the United States Copyright Office. 3.3

Copyright Secures Exclusive Rights

The owner of a copyright has certain exclusive rights:

to reproduce the copyrighted work in copies or phonrecords; to prepare derivative works based upon the copyrighted work; to distribute copies or phonrecords of the work to the public by sale or other transfer of ownership, or by rental, lease, or lending;

in the case of literary, musical, dramatic and choreographic works, pantomimes and motion pictures and other audiovisual works, to perform the work publicly; and

in the case of literary, musical, dramatic and choreographic works, pantomimes, and pictorial, graphic, or sculptural works, including the individual images of a motion picture or other audiovisual work, to display the copyrighted work publicly.

The owner of a copyright is often described as holding a "bundle" of rights. Some of the many rights in this bundle are shown in the foregoing list. But this list is not exclusive. For example, the owner of the copyright in a literary work may grant any one of a variety of licenses to one or more separate licensees to authorize the use of one or more of the owner's exclusive rights in the copyright bundle of rights. The scope of a license may permit a licensee to publish a hard cover or a paperback book, to produce a dramatic play for the theater, a screenplay for the cinema, or a short story for television, to adapt the work as a musical for the stage, or to develop a computer game or multimedia CD-ROM. The capacity to create specific license grants consisting of a very narrow or limited scope under

the copyright owner's bundle of rights is constrained only by the bounds of the creativity possessed by the drafter of the license agreement. Therefore, a scope of use restriction must be carefully crafted to avoid the inadvertent granting of rights beyond those intended to be granted by the copyright owner or less than those expected by the licensee. For example, does an exclusive license to publish a book include the rights to create a paper version as well as an electronic version of the book either as a book on cassette tape or a book that is viewed on a computer through the use of a CD-ROM? In addition to determining if the appropriate scope of rights is secured under the terms and conditions of a license, both the copyright owner (licensor) and the licensee must be certain that the licensor possess the right to grant the scope of rights needed. Have those rights already been the subject of a license grant to another? The copyright statute addresses the transfer of ownership of copyright. The ownership may be transferred in whole or in part by any means of conveyance or by operation of law, and may be bequeathed by will or pass as personal property by the application of laws of intestate succession. Any of the exclusive rights comprised in a copyright, including the subdivision of any of these rights, may be transferred in the same manner as just described and owned separately. The owner of any particular exclusive right is entitled, to the extent of that right, to all of the protection and remedies accorded to the copyright holder under the statute. The statute also provides details on the recordation of copyright transfers and the termination of transfers and licenses granted by the author. 3.4

Violation of the Exclusive Rights

Anyone who violates any of these exclusive rights has infringed the copyright. A copyright protects the author against others who copy the work without permission, but it does not protect against someone who, without knowledge of the author's work or access to it, independently creates an identical or similar work. The advent of photocopying technology, video tape recorders, and personal computers presented the opportunity for copyright infringement to become a cottage industry. Before the wide spread, low cost availability of such copying technology infringement was often an expensive undertaking that required commercial equipment such as printing presses. Talent, skill, and money are not


prerequisites to infringement. Now, infringement of a complex software program that may have taken years to develop can be accomplished with a simple DOS command: copy *.*. Moreover, the Internet knows no national boundaries and with copyright law based in national law, what is permitted use of a copyrighted work in one nation may be an act of copyright infringement in another nation. Under United States law, not every act of copying constitutes a violation of the exclusive rights and therefore an act of copyright infringement. The fair use doctrine authorizes certain uses of a copyrighted work without the prior permission of the copyright holder. This doctrine is entirely equitable and is so flexible as virtually to defy definition. Nonetheless, it will be discussed below. On the Internet, the question of what actually constitutes an act of infringement is yet to be fully answered. In fact, it is not likely to be answered in such a way as to provide comfort and guidance to either the owner of the copyright o r to the public. Numerous law suits seeking to establish electronic rights have been filed. Issues range from alleged damages for the unauthorized reproduction and distribution of copyrighted musical compositions through user postings on online bulletin boards, to the unauthorized digitized transmission of print media. Additionally, some digital information that is in the public domain and therefore free to the public to use is marked with a copyright notice. A false copyright notices creates confusion f or the public and a chilling effect on the free access to and use of information. Editing, cropping, morphing, and other transformations of underlying content are a common practice in multimedia productions. Among the bundle of exclusive rights is the right to create a derivative work. A derivative work is based upon on e or more pre-existing works. It is fair to assume that much of the information available on the Internet is comprised of multiple works in different media which are re-constituted into a new creation or ultimate work that may or may not fall within copyright's definition of a derivative work. An interesting concept within copyright law is the distinction between an ultimate work that may not be a derivative work and the numerous interim reproductions created in the course of the development o f the ultimate work. Copyright law permits an author access to the copyright protected expression of another author's work when creating a new work so long as the new work is not substantially similar to the earlier work. Under more traditional forms of technology (read that to mean prior to the personal computer and the Internet), reproduction of the earlier work often was not necessary in order to create the new,


dissimilar work because the earlier work existed in the memory of the author or in an authorized copy that did not lend itself to change. The tension between what the public is free to use and what the owner of a copyright may control is resolved by copyright law through the limited term of copyright protection granted and the doctrine of fair use. As technology has made copying a work easier, technology is also presenting the means to remove from the public access to works which copyright law might not otherwise proscribe. Copyright Management Systems (CMS) provide one such technological solution to controlling access to di gital information. CMS is a vehicle for the enforcement of a copyright owner's exclusive rights. However, CMS does not apply fair use principles to the public's access to a digital work, thus potentially excluding all permitted and fair uses. Additionally, Copyright Management Systems presents what some have called a remedial overkill that sanctions an Orwellian supervision of the public's use of digital information. 3.5

Limitations on Exclusive Rights: Fair Use

Not every act of copying constitutes copyright infringement. The doctrine of "fair use" permits certain acts of copying. Under the doctrine, criticism, news reporting, teaching, and scholarly comment are all fair uses of copyrighted works. Appeals focusing on the defense of fair use to a claim of copyright infringement have reached The Supreme Court of the United States three times since 1984. In each of these cases, the holding of the lower court was overturned. It i s not unfair to say that fair use is the most troublesome doctrine in the whole of copyright law. The copyright statute which has incorporated this doctrine states that in determining whether the use made of a work in any particular case is a fair use the factors to be considered shall include:

the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes;

the nature of the copyrighted work; the amount and substantiality of the portion used in relation to the copyrighted work as a whole; and

the effect of the use upon the potential market for or value of the copyrighted work. The fair use doctrine excuses an act of copying that would otherwise be an act of copyright infringement. Typically, any copying that has a commercial component to it most likely


will not be a fair use. For example, photocopying magazine articles for distribution rather than purchasing additional copies of the magazine can constitute copyright infringement. 3.6

The Link to Liability: Copyright infringement, or permissible fair use?

The World Wide Web is a "hypertext" medium, allowing web site creators to easily insert "jump links" to any other pages on the Internet. It was surely inevitable that disputes would arise about the permissible scope of this activity. In fact, people who have objected to finding a link to their web page on some website they deem unsavory for one reason or another -- in one instance, a woman who placed a picture of her recently deceased daughter on a web page in honor of her memory, found it linked from a site labeled "Babes on the Net." Many of these disputes have been resolved informally. Nevertheless, eventually, as more money became involved, some disputants would turn to more expensive forms of dispute resolution (i.e., to litigation). And sure enough, hyperlinking is at the heart of two recent lawsuits involving some pretty highprofile players. In one, a group of news organizations -- including CNN, Reuters, Time, and the Wall Street Journal -- has sued an Internet operation known as Total News. is a website that brings together links to a variety of sources of news on the Web. Thus, by going to the Total News site, a user can find a page with a set of links to other websites providing political news (C-Span, The Economist, etc.), sports news (ESPNet, Fox Sports, etc.), and the like. Plaintiffs are objecting to having their web sites included on that set of links. The defendant in the second suit is none other than Microsoft Corporation, which (among other things) runs, Seattle.Sidewalk.Com a city guide with information about upcoming events in the Seattle area. For those events that require tickets, Seattle. Sidewalk informs you that you may be able to purchase tickets through Ticketmaster (and it both provides some information about Ticketmaster's operations and a link to the Ticketmaster website). Ticketmaster, like the news organizations involved in the Total News dispute, has filed suit in federal district court to try to prevent this. Now, why would CNN, or Time, or Ticketmaster, object to a link to their pages? Isn't the whole point of having a web page to attract users? These hyperlinks are like referrals -- and one rarely hears of one party suing another for sending customers to their store. What's going on here? In a word -- advertising (and advertising dollars). In both suits, plaintiffs are asserting that the way that defendants link to their page deprives the plaintiffs of advertising revenue that is properly

theirs. Total News, for example, surrounds its web page with a "frame" -- a border that appears on the screen that contains advertising sold by Total News (or other messages that Total News wants you to see). Things get interesting now: if, say, you click on the link to ABC's web page, you will indeed see the ABC page -- but the Total News border continues to sit there, showing you the advertising that Total News has sold (which squeezes any advertising that ABC may contain into a smaller area on your screen). Similarly, Ticketmaster asserts that Microsoft, by linking to the Ticketmaster website, "has gained revenue from advertising made a part of Microsoft's website, depriving Ticketmaster of favorable advertising business" and that its actions constitute "electronic piracy." These cases thus present the rather intriguing question: Does the law grant website operators any control over the manner in which individual hyperlinks to their site can be constructed? As the Ticketmaster and Total News cases (and the others that no doubt will follow) begin their journey through the legal system, two things are noteworthy at the outset. First is the way in which this question illuminates the way in which Internet legal questions are (and are not) "new." If you think about it a bit, the real world is full of hyperlinks; a footnote in an article, or an entry in a book index, is a kind of hyperlink, as is a business' telephone number listed at the bottom of an advertisement. The telephone book itself is nothing more than a collection of hyperlinks, and even a familiar commercial logo -- the golden arches, for example -- functions as a kind of "hyperlink" to a "database" of information about specific companies that consumers carry around with them in their heads. Precisely because hyperlinking (of a sort) appears as a (small) part of so many different activities, there's lots of law scattered about the legal landscape governing hyperlinking activity. Many legal doctrines -- trademark law, copyright law, unfair competition, privacy, misrepresentation -- touch upon different aspects of the question regarding the extent to which hyperlinking-type activity is, or is not, permissible. However, there has never been a need to gather it together into a coherent theory of hyperlinking or a coherent legal doctrine neatly labeled "The Permissible Scope of Hyperlinking." But in the face of a medium whose very existence and viability is defined by its hyperlinking capabilities, courts will have to do just that, drawing these disparate strands and fragments together into some sort of coherent whole. Litigation, of course, is an imperfect vehicle for constructing coherent doctrine. Plaintiffs will undoubtedly throw in as many different claims from as many of these pre-existing legal pigeonholes as they can, from relatively well-defined

trademark infringement claims to the more "flexible" doctrines like commercial misappropriation and unfair competition, and see what sticks. But slowly, over the course of many such suits and court decisions, a sensible framework may indeed emerge. But slowly is the operative word. It's important to note that these two lawsuits have something else in common: both involve problems for which there are relatively simple technology 'fixes.' Ticketmaster can easily program its site to prohibit access to anyone coming in from, and, similarly, any news organizations can insert a few lines of code in its website program to prevent Total News from retaining its frames around the site. (Some, in fact, have already done so; if you're interested, go to Total News and explore the link to the New York Times website and -- presto! -- the Total News frame disappears). So you might ask yourself: if your client wants to protect its website against this framing activity, will it turn to its techies, or its lawyers, to be the first line of defense? So while the legal system plods on, we're probably going to see a kind of technological "arms race" involving these (and perhaps most) Internet property disputes. Technology can take away what it give; Total News will undoubtedly come up with a few lines of code of its own to defeat the Times' efforts, the Times will then respond with another trick, and on and on it will go. And this will all happen on "Internet time" -- the time frame of response and counter-response will be compressed and foreshortened, and independent of the comparatively glacial pace of legal change. By the time the courts get around to providing an authoritative determination regarding the "right" of website owners to control linking t o their sites, the technology of linking will probably look nothing like what we see today, and we may have long forgotten the conduct that started these disputes. The role of the courtroom as a place where rules of conduct are constructed may be substantially undermined in this context. Military officers are often derided for planning to fight the previous war do we lawyers face a similar fate? 3.7

What are the Moral Rights of the Author ?

The U.S. copyright statute provides the creators of "visual art" with some limited protection against unauthorized modifications to their works that will prejudice the creator's honor or reputation. This provision is a rather limited recognition of what is known as "moral rights". The doctrine of moral rights protects a creator's personal, as opposed to economic, interests in the work of authorship.


In contrast to the United States, many European and Third World nations have well-developed moral rights doctrines that fully embrace the Berne Convention for the Protection of Literary and Artistic Works. Berne recognizes that independent of the author's economic rights, and even after the transfer of these rights, the author has the right to claim authorship of the work and to object to any distortion, mutilation or other modification of, or other derogatory action in relation to, the work, which would be prejudicial to the author's honor or reputation. Moral rights encompasses three major components.

the right of disclosure; the right of attribution; and the right of integrity. The right of disclosure protects the creator's right to be the sole judge of when a work is ready for public dissemination. The creator is the only party who can posses any rights in an uncompleted work. The right of attribution safeguards a creator's rights to compel recognition for a work and to prevent others from naming anyone else as the creator or author. It also protects a creator's negative rights of anonymity and pseudonymity. The right of attribution is often called the right of paternity. And finally, the right of integrity, perhaps the most important of the moral rights, prohibits any alterations of a creator's works that will destroy the spirit and character of the works.

The meager moral rights recognized under U.S. copyright law apply only to a limited class of artistic works. For example, a work of visual art is defined as a painting, drawing, or sculpture that is limited to 200 copies or fewer. Moreover, protected works of visual art must be signed by the author and consecutively numbered. In contrast to the rather short list of protected works, the definition of visual art specifically excludes, for example, posters, models, motion pictures, books, periodicals, electronic publications, and newspapers.


Chapter-4 Copyright Registration

Copyright registration exists for the sole purpose of keeping records of copyrighted works or materials. The proper registering of a copyright is not necessary in the actual ownership of a copyright. Copyright is an inherent international right for an individual as provided under the Berne Convention Implementation Act of 1988, as well as the Copyright Act of 1790 under United States legislation. Though copyright registration is not necessary or required for securing a copyright, it is strongly recommended for published or commercially-distributed works, for it protects the copyright owner from infringement violations. Under law, it is necessary for a published work to be registered in order be eligible or able to file a lawsuit concerning copyright infringement. Copyrights can be registered by filing an application with the United States Copyright Office. The application itself has its proper requirements regarding the necessary materials and information regarding the work or material being submitted for registration. 4.1

Copyright Deposit

Copyright deposit is the mandatory legal requirement of the actual submission of copies of actual works or materials that are being considered for copyright registration. Copyright deposit is part of the copyright registration process and is legally required in order to verify that the works or materials are eligible to be copyrighted. The copyright process itself may prove to be challenging for it provides for different guidelines depending on the context or nature of the work being submitted for review and eventual registration. Because copyright registration is not necessary to obtain a copyright, it also directly applies to copyright deposit, for it only is necessary for the registration process. Individuals that have the intention of publishing or commercially distributing their works are required to register and deposit the appropriate copies as part of the process. In certain cases, the United States Copyright Office may make exemptions regarding the materials that are required to be deposited. An example would be an individual seeking the copyright of a limited edition sculpture, where the deposit of a copy would prove to be a burden if only a single copy exists and is considered a valuable piece of art, thus making it unfair for the artists to be

mandated to make a deposit. In such a case, the copyright office may simply ask for visual proof, such as photographs, for the registration process. 4.2


Preregistration is a relatively new process instituted by the United States Copyright Office that is meant to further protect individuals from copyright infringement. The preregistration option exists for those works that are currently under production or have begun produced and are unfinished, with the intention of publication or commercial distribution or availability of said work. Preregistration allows for the work to be protected as it is completed, for under regulation provision of copyright law a work must be first published and registered to allow for a proper copyright infringement lawsuit to be filed. Preregistration is offered to those who seek to register certain types of works such as motion pictures, music recordings and compositions, sound recordings, computer programs, video games, and literary works to be published in book form. Preregistration is not necessary and does not replace the original copyright registration progress. It only exists for further protection and consideration of the owner of the copyright and the work itself, and if preregistered, must undertake the regular registration process once the work is completed and published as mandated by copyright law. 4.3

Copyright Application

The copyright application is provided by the United States Copyright Office and is necessary to be completed in order to begin the copyright registration process. Copyright applications are available through the Copyright Office's website in various forms. The Copyright Office strongly encourages and recommends application through the eCO, or Electronic Copyright Office, which provides for an electronic application. The eCO application allows for the copyright application and registration process to be more efficient and is simpler and more cost effective for the person submitting the application. However, because of the nature of the copyright registration process, only certain types of works or materials are eligible for the eCO application. Some may choose the electronic option, but must also print out a Shipping Slip so they can submit copies of their work that cannot be processed or submitted online. Paper applications are also available online as well. An individual may fill out the form on

screen and print it out in its completed form to be submitted with the proper copies of the works being considered for copyright registration. 4.4

How to Register a Copyright?

The copyright registration process can be a slightly tedious process, depending on the option employed by an individual seeking to register a work or type of material. The United States Copyright offers both online and paper methods for the application process to be considered for the person's convenience and preference, as well as to meet the certain requirements imposed by the Copyright Office and registration process. Only certain types of materials or works can be considered eligible for an online application. However, the paper applications are available to be printed out on the Copyright Office's website as well. For certain types of works, the application can be completed and submitted electronically, and the actual submission the work's copies can be shipped to the Copyright Office via mail separately. The paper application process will naturally take longer than the electronic version and also prove to be less cost effective. However, depending on the nature of the work or material being registered, it may prove to be the only viable option. An individual must then obtain the proper application form, which is categorized depending on the nature of the work. The application processes all institute a filing fee that must be submitted with the application form, regardless of which method is employed, electronic or traditional paper.


Chapter-5 Introduction to ISBN

5.1 History

In 1965, W. H. Smith (the largest single book retailer in Great Britain) announced its plans to move to a computerized warehouse in 1967 and wanted a standard numbering system for books it carried. They hired consultants to work on behalf of their interest, the British Publishers Association's Distribution and Methods Committee and other experts in the U.K. book trade. They devised the Standard Book Numbering (SBN) system in 1966 and it was implemented in 1967. At the same time, the International Organization for Standardization (ISO) Technical Committee on Documentation (TC 46) set up a working party to investigate the possibility of adapting the British SBN for international use. A meeting was held in London in 1968 with representatives from Denmark, France, Germany, Eire, the Netherlands, Norway, the United Kingdom, the United States of America, and an observer from UNESCO. Other countries contributed written suggestions and expressions of interest. A report of the meeting was circulated to all ISO member countries. Comments on this report and subsequent proposals were considered at meetings of the working party held in Berlin and Stockholm in 1969. As a result of the thinking at all of these meetings, the International Standard Book Number (ISBN) was approved as an ISO standard in 1970, and became ISO 2108. That original standard has been revised as book and book-like content appeared in new forms of media, but the basic structure of the ISBN as defined in that standard has not changed and is in use today in almost 150 countries. THE ISBN STANDARD "ISBN" stands for "International Standard Book Number". An ISBN is a number, not a bar code. One agency per country is designated to assign ISBNs for the publishers and self-publishers located in that country. The U.S. ISBN Agency cannot assign ISBNs to publishers and self-publishers located outside the United States and its territories. The ISBN identifies the title or other book-like product (such as an audiobook) to which it is assigned, but also the publisher to be contacted for ordering purposes. If an ISBN is obtained from a company other than the official ISBN Agency, that ISBN will not identify the publisher of the title accurately. This can have implications for doing business in the publishing industry supply chain.

Note about 979 ISBNs: ISBNs beginning 979 will not be issued in the United States for at least several years until current inventories of ISBNs are depleted. When they are assigned, they will not replace those beginning with 978.

ISBNs beginning 978 and 979 will coexist in the book industry for a number of years. 978 ISBNs cannot be converted to 979 ISBNs. 979 ISBNs are not convertible to a 10-digit format and exist only in a 13-digit format.

ISBNs are assigned to publishers and self-publishers as follows: 1, 10, 100, 1,000, 10,000 or 100,000 numbers. When participating in the ISBN standard, publishers and self-publishers are required to report all information about titles to which they have assigned ISBNs. For more than thirty years, ISBNs were 10 digits long. On January 1, 2007 the ISBN system switched to a 13digit format. Now all ISBNs are 13-digits long. If you were assigned 10-digit ISBNs, you can convert them to the 13-digit format at the converter found at this website. A 10-digit ISBN cannot be converted to 13-digits merely by placing three digits in front of the 10-digit number. There is an algorithm that frequently results in a change of the last digit of the ISBN. 5.2

Advantages of the ISBN

The ISBN is a unique international identifier for monographic publications; the ten-digit number therefore replaces the handling of long bibliographic descriptive records. Time and staff are saved, copying mistakes are avoided.

The ISBN allows compilation and updating of book-trade directories, like Books in Print. Information on available books can be easily found.

Ordering and distribution of books is mainly executed by ISBN; this is a fast and efficient method.

The ISBN is machine-readable in the form of a 13-digit Bookland EAN bar code. This is fast and avoids mistakes.

The ISBN is needed for the running of electronic point-of-sale systems in bookshops. Rights management is mainly done on the basis of ISBN. Sales data monitoring is done by ISBN. Libraries profit from copy-cataloguing by ISBN. The national lending right in some countries is based on ISBN.


The Function and Scope of ISBN

Preamble The International Standard Book Number is known throughout the world as a short, clear and potentially machine-readable identification number which marks any book unmistakably. Whenever these intellectual products are covered by specific numbering systems e.g. ISSN, ISMN, these should be used. The ISBN accompanies a publication from its production onwards. It is an essential instrument in modern distribution and rationalization opportunities in the book trade. Scope The word book is used in this manual in the sense of publication. With regard to various media available, the term book should be understood as synonymous with content. Therefore, it is of no importance in what physical form this content is documented and distributed. For the purposes of the ISBN system books and other items to be numbered include: A. Printed books and pamphlets including braille and maps
Printed books and pamphlets

B. Non-Printed Books

Educational, video and transparencies. Books on cassettes or CDs (talking books) Microform publications Electronic publications: -Machine readable tapes -Diskettes -CD-ROMs -Internet publications

C. Mixed media publications (including text material).


Chapter-6 Structure of ISBN

An ISBN always consists of ten digits preceded by the letters ISBN. The ten-digit number is divided into four parts of variable length, which must be separated clearly by hyphens or spaces: ISBN 0 571 08989 5 or ISBN 90-70002-34-5 The number of digits in the first three parts of the ISBN (group identifier, publisher prefix, title identifier) varies. The number of digits in the group number and in the publisher prefix is determined by the quantity of titles planned to be produced by the publisher or publisher group. Publishers or publisher groups with large title outputs are represented by fewer digits. 6.1

Group Identifier

The first part of the ISBN identifies a country, area or language area participating in the ISBN system. Some members form language areas (e.g. group number 3 = German language group) or regional units (e.g. South Pacific = group number 982). A group identifier may consist of up to 5 digits. EXAMPLE: ISBN 90- ... All group identifiers are allocated by the International ISBN Agency in Berlin . 6.2

Publisher Prefix

The second part of the ISBN identifies a particular publisher within a group. The publisher prefix usually indicates the exact identification of the publishing house and its address. If publishers exhaust their initial contingent of title numbers, they may be allocated an additional publisher prefix. The publisher prefix may comprise up to seven digits. Publisher prefixes are assigned by the ISBN group agency responsible for the management of the ISBN system within the country, area or language area where the publisher is officially based. EXAMPLE: ISBN 90-70002- ...


Title identifier

The third part of the ISBN identifies a specific edition of a publication of a specific publisher. A title identifier may consist of up to six digits. As an ISBN must always have ten digits, blank digits are represented by leading zeros. EXAMPLE: ISBN 90-70002-34- ... 6.4

Check digit

The check digit is the last digit of an ISBN. It is calculated on a modulus 11 with weights 10-2, using X in lieu of 10 where ten would occur as a check digit. This means that each of the first nine digits of the ISBN excluding the check digit itself is multiplied by a number ranging from 10 to 2 and that the resulting sum of the products, plus the check digit, must be divisible by 11 without a remainder.

For example ISBN 0-8436-1072-7: Group identifier ISBN Weight 0 10 Publisher prefix 8 9 4 8 3 7 6 6 Title identifier 1 5 0 4 7 3 2 2 Check digit 7

Products 0

+72 +32 +21 +36

+5 +0 +21 +4 +7

Total: 198 As 198 can be divided by 11 without remainder 0-8436-1072-7 is a valid ISBN. 7 is the valid check digit. 6.5

Distribution of ranges

The number of digits in each of the identifying parts 1, 2 and 3 is variable, although the total sum of digits contained in these parts is always 9. These nine digits, together with the check digit, make up the ten-digit ISBN.


The number of digits in the group identifier will vary according to the output of books in a group. Thus, groups with an expected large output, will receive numbers of one or two digits and publishers with an expected large output will get numbers of two or three digits. For ease of reading, the four parts of the ISBN are divided by spaces or hyphens. The generation of hyphens at output by programming helps reduce work at input. It reduces the number of characters, eliminates manual checking of hyphenation, and insures accuracy of format in all ISBN listings and publications. The position of the hyphens is determined by the publisher prefix ranges established by each group agency in accordance with the book industry needs. The knowledge of the prefix ranges for each country or group of countries is necessary to develop the hyphenation output program. For example, the publisher prefix ranges of group number 0 in the English language group (Australia, English speaking Canada, Ireland, New Zealand, Puerto Rico, South Africa, Swaziland, United Kingdom, United States, and Zimbabwe) are as follows: 0-7 80 - 94 950 - 994 9950 - 9989 99900 - 99999 The following table is an example of the range distribution of publisher prefixes. Assuming a group identifier of one digit only, the publisher identifier ranges might be as shown in the left hand column and the title identifiers as shown in the right hand column. Publisher identifier Numbers available per publisher for title identification

00-19 200-699 7000-8499 85000-89999 900000-949999 9500000-9999999

1 100 10 1 100 10


000 000 000 000


Example: Group identifier "0" If number ranges are between

Insert hyphens after

00.......19 200......699 7000.....8499 85000....89999 900000...949999 9500000..9999999

00-19 20-69 70-84 85-89 90-94 95-99

1st " " " " "

3rd 4th 5th 6th 7th 8th

9th digit " " " " "


Chapter-7 Applications of ISBN



A separate ISBN must be assigned to every title, or edition of a title by each publisher, but NOT to an unchanged impression or unchanged reprint of the same title in the same format by the same publisher. Revised editions require a new ISBN. A price change does not call for a new ISBN. Changes of the format induce a new ISBN. The same title being published in a series and individually is treated as two different editions. 7.2

Facsimile reprints

A separate ISBN must be assigned to a facsimile reprint produced by a different publisher. 7.3

Books in different format

A separate ISBN must be assigned to the different formats in which a particular title is published i.e. paper, cloth, braille, microfilm, microcomputer software of the same title, etc. receive a separate ISBN. 7.4

Loose-leaf publications

If a publication appears in loose-leaf form an ISBN is assigned to identify an edition at a given time. Individual issues of additions or replacement sheets will also be given an ISBN, when they are separately stocked. 7.5

Multi-volume works

An ISBN must be assigned to the whole set of volumes of a multi-volume work; also, if individual volumes of the set are sold separately, each volume must be assigned its own ISBN. Thus the individual processing and sale of single volumes will be possible. Even when multi-volume works are only sold as a set, the assignment of ISBN to each volume is advisable: It facilitates the handling of returns (damaged volumes) or the processing of shipments when not all volumes are published or distributed at the same time.




A publisher is required to number all backlist publications and publish the ISBNs in catalogues. The ISBN must also be printed in the first available reprint of a backlist title. 7.7

Collaborative publications

A publication issued as a co-edition or joint imprint with other publishers is assigned an ISBN by the publisher in charge of distribution. Other co-publishers may assign their ISBNs if they want to. 7.8

Books sold or distributed by agents

(Except for a) this applies only to countries that do not yet participate in the system) a. As the ISBN standard states, a particular edition, published by a particular publisher, receives only one ISBN. This ISBN must be retained no matter where, or by whom, the book is distributed or sold. b. A book imported by an exclusive distributor or sole agent from an area not in the ISBN system and which has no ISBNs assigned, may be assigned an ISBN by the exclusive distributor. c. Books imported by an exclusive distributor or sole agent to which a new title page, bearing the imprint of the exclusive distributor, has been added in place of the title page of the original publisher, are to be given a new ISBN by the exclusive distributor or sole agent. The ISBN of the original publisher should also be given. d. A book imported by several distributors from an area not in the ISBN system and which has no ISBNs assigned, may be assigned an ISBN by the group agency responsible for those distributors. 7.9

Acquisition of one publisher by another

An ISBN, once assigned, can NEVER be re-used, under any circumstances. This is of the utmost importance to avoid confusion. If, through a clerical error, a number is incorrectly assigned, the number must be deleted from the list of useable numbers and must never be assigned to another title. A publisher acquiring another publishing house must continue to use that originally assigned ISBN until the book is reprinted under the new company imprint.


Acquisition of complete stock of a publisher

A publisher acquiring the complete stock of another company must use that original publisher's assigned 7.11 ISBN until the new company reprints under its own imprint.

Publishers with more than one place of publication

will assign only one ISBN to the book.

a. A publisher operating in several places which are listed together in the imprint of the book

b. A publisher operating separate and distinct offices or branches in different places may have a publisher prefix for each office or branch. However, each book published is to be assigned only one ISBN, to be made by the office or branch responsible for publication. 7.12

Register of ISBN

It is the responsibility of all publishers to inform their group agency or the organisation responsible for the maintenance of title registration of the ISBNs that have been assigned to published and forthcoming books. When the publisher does not take this responsibility, group agency or organisation responsible for the maintenance of the title registration is authorized to maintain the ISBN register of this publisher at its own initiative. 7.13

ISBN can never be reused

Publishers should advise the group agency of the number(s) deleted and of the titles to which they were erroneously assigned.


Chapter-8 Printing of ISBN



The ISBN must appear on the item itself. This is essential for the efficient running of the system. The ISBN must appear:

on the verso of the title page (copyright page) on the lower section of the outside back cover on the foot of the title page, if there is no space elsewhere on the bottom of the back dust jacket, or any other protective case, or wrapper on the base of the spine (only if the product is a paperback book) on the label of the container if the publication is issued in it (cassette, diskette, CD-ROM etc.)

on the title display, or the first display (CD-ROM, internet publications) on the credit titles (film, video) The ISBN should always be printed in type large enough to be easily legible (i.e. 9 point or larger).


ISBN in bar coded form

The rapid, world-wide expansion of bar code scanning has brought into prominence the agreement reached between the International Article Numbering Association (EAN), the Uniform Code Council (UCC) and the International ISBN Agency, which allows the ISBN to be converted into an EAN bar code. This makes the ISBN an international identifier within the world-wide barcoding scheme. All EAN bar codes start with a national identifier, except those on publications. The agreement replaces the national identifier with a special "Bookland" identifier represented by the digits 978 for books. The 978 Bookland EAN prefix is followed by the first nine-digits of the ISBN. The check digit of the ISBN is dropped and replaced by a check digit calculated according to the EAN rules (modulus 10). An EAN bar code consists of 13 digits.


Example of the conversion of the ISBN to ISBN Bookland EAN: ISBN with check digit ISBN without check digit Added EAN article identifier Added EAN check digit 0-330-28987 0-330-28987 978-0-330-28987 978-0-330-28987 -0 -X

Printing the ISBN in Bookland EAN symbology

Further information on the introduction and use of EAN codes is provided by the ISBN group agencies and the International ISBN Agency. Group agencies are encouraged to cooperate directly with the EAN organisations on a national or regional level.

Five-digit add-on code

There is a 5 digit add-on code which can be used for additional information, such as suggested retail price. The add-on information may have the following formats: 1. five-digit bar code indicating the price with human readable numbers above the bar code, or 2. five-digit bar code indicating that no price is present, with the human readable numbers of 90000 above the bar code.


Printing the ISBN / EAN number in bar code with a 5 digit add-on code:


In some countries this add-on is mandated by the publishing industry bar coding authority. Such is the case in the United States where the Books and Serials Industry Communications (BASIC) has put on record that the add-on to the bar code is mandatory. The five-digit add-on code must no longer be used for price information in European countries introducing the Euro currency. For more information please check the EAN manual and/or contact the EAN organization.


Chapter-9 Practical Uses Of ISBN

The ISBN is used in all branches of the book sector ISBN in publishing house is used for:

identifying firm publication projects from the manuscript to the printer title identification in publishers' catalogues and advertisements listing in printed directories, electronic directories and in Internet-sites stock control copyright management management of royalties processing of orders accounting and billing monitoring sales data producing statistics handling of returns

ISBN in Books in Print services, distribution centres, and wholesalers is used for:

building bibliographic databases for the book trade like Books in Print building databases of titles in stock ordering services based on electronic communication systems like EDI (electronic data interchange) or through Internet

stock control monitoring internal logistic processes accounting and billing producing sales data returns administration producing subject lists and catalogues

ISBN in centralized service organizations for libraries (producing ready-to-borrow copies) is used for:

ordering at the publishers or wholesalers processing orders from libraries stock control monitoring internal logistic processes accounting and billing administration of rebinding processes

ISBN in bookshops is used for:

bibliographic searches tracing addresses ordering and re-ordering processes based on electronic communication systems like EDI (electronic data interchange) or through Internet

stock administration accounting and billing the end consumer electronic point-of-sale system (EPOS)

ISBN in libraries is used for:

ordering copy-cataloguing lending statistics national lending right interlending union catalogues