COMPENDIUM Chapter 1200 Mask Works · Chapter 1200 : 5 09/29/2017 COMPENDIU M: Chapter 1200 Mask...

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C O M P E N D I U M : Chapter1200

MaskWorks Contents

1201 WhatThisChapterCovers.................................................................................................................................................5

1202 WhatIsaMaskWork?.........................................................................................................................................................5

1203 MaskWorkProtectionDistinguishedfromCopyrightProtection...................................................................5

1204 ProtectableMaskWorks.....................................................................................................................................................5

1204.1 FixationinaSemiconductorChipProduct.................................................................................................................5

1204.2 Originality.................................................................................................................................................................................6

1204.3 ProtectableExpression.......................................................................................................................................................6

1204.4 EligibilityBasedonNationalityofOwnerorNationofFirstCommercialExploitation........................6

1204.5 Registration..............................................................................................................................................................................7

1204.5(A) RegistrationRequiredWithinTwoYearsofFirstCommercialExploitation...............................................7

1204.5(B) EffectiveDateofRegistration...........................................................................................................................................7

1204.5(C) BenefitsofRegistration.......................................................................................................................................................7

1205 IneligibleMaskWorks.........................................................................................................................................................8

1205.1 DeMinimisAuthorship........................................................................................................................................................8

1205.2 ClaimReceivedMoreThanTwoYearsAftertheDateofFirstCommercialExploitation......................8

1206 TermofProtection................................................................................................................................................................8

1207 ExclusiveRightsinMaskWorks......................................................................................................................................8

1207.1 LimitationonExclusiveRights:ReverseEngineering...........................................................................................9

1207.2 LimitationonExclusiveRights:FirstSale...................................................................................................................9

1208 OwnershipinMaskWorks.................................................................................................................................................9

1208.1 TransferofOwnershipandLicensingofRightsinMaskWorks.......................................................................9

1208.2 RecordationofDocumentsRelatedtoTransferandLicensingofRights......................................................9

1208.3 OwnershipbytheU.S.GovernmentandItsEmployees.....................................................................................10

1209 Notice.......................................................................................................................................................................................10

1209.1 ContentofNotice................................................................................................................................................................10

1209.2 LocationofNotice...............................................................................................................................................................10

1210 RegistrationProcedures..................................................................................................................................................10

This redline compares the Compendium (Third) released December 22, 2014, and the Compendium (Third) released September 29, 2017.

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

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1210.1 RegistrationinMostCompleteFormRequired.....................................................................................................11

1210.2 WhattoFile:RequiredElementsforRegistration...............................................................................................11

1210.2(A) FormMW................................................................................................................................................................................11

1210.2(B) FilingFee................................................................................................................................................................................11

1210.2(C) DepositofIdentifyingMaterial.....................................................................................................................................12

1211 WhoMayFileFormMW?................................................................................................................................................12

1212 CompletingtheApplication............................................................................................................................................12

1212.1 Space1:TitleofthisWork..............................................................................................................................................12

1212.1(A) SymbolsintheTitle...........................................................................................................................................................12

1212.1(B) DescriptiveTitles................................................................................................................................................................12

1212.1(C) TitleforMoreThanOneMaskWorkGiven.............................................................................................................13

1212.1(D) VarianceBetweentheTitleinSpace1andTitles/NumbersAppearingontheDeposit.....................13

1212.2 Space2:NatureofDeposit..............................................................................................................................................13

1212.2(A) Space2IsBlankorIncomplete.....................................................................................................................................13

1212.2(B) NoNumericTotalsRequired.........................................................................................................................................14

1212.2(C) VarianceinNumberofChips.........................................................................................................................................14

1212.2(D) ChipsDepositedforNon-CommerciallyExploitedMaskWork......................................................................14

1212.2(E) VarianceinNumberofPlots..........................................................................................................................................14

1212.2(F) Space2Referstoa“CompositePlot,”butIndividualLayerPlotsDeposited(orViceVersa)............14

1212.3 Space3:Name(s)andAddress(es)ofCurrentOwner(s)..................................................................................14

1212.3(A) OmissionofNameofOwner(s).....................................................................................................................................14

1212.3(B) OmissionofAddress..........................................................................................................................................................14

1212.3(C) MoreThanOneCurrentOwnerinSpace3..............................................................................................................15

1212.4 Space4:CitizenshiporDomicileofCurrentOwner(s)......................................................................................15

1212.5 Space5:DerivationofOwnership...............................................................................................................................15

1212.5(A) NeitherBox“a”Nor“b”IsChecked.............................................................................................................................15

1212.5(B) BothBoxes“a”and“b”AreChecked...........................................................................................................................15

1212.5(C) AcquisitionofRightsbyTransfer(Box“b”)............................................................................................................15

1212.6 Space6:DateandNationofFirstCommercialExploitation............................................................................16

1212.6(A) IncompleteDateofFirstCommercialExploitation..............................................................................................16

1212.6(B) DatebutNoNationProvided.........................................................................................................................................16



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1212.6(C) NationbutNoDateProvided.........................................................................................................................................16

1212.6(D) FutureDateofFirstCommercialExploitation.......................................................................................................16

1212.6(E) ApplicantLeftSpace6Blank,butCompletedSpace7........................................................................................17

1212.7 Space7:CitizenshiporDomicileofOwnerattheTimeofFirstCommercialExploitation................17

1212.8 Space8:NatureofContribution...................................................................................................................................17

1212.8(A) DescriptionIndicatesThattheMaskWorkIs“Original”or“EntirelyNew”.............................................17

1212.8(B) MaskWorkIsBasedonorIncorporatesaPreexistingMaskWork..............................................................17

1212.8(C) DescriptionLimitstheClaimwithNoIndicationofPreexistingMaterial.................................................18

1212.8(D) DescriptionClearlyPresentsaClaimintheFunctionsorUsesoftheSemiconductorChipProductEmbodyingtheMaskWork...............................................................................18

1212.8(E) DescriptionContainsTechnicalTerminology........................................................................................................18

1212.9 Space9:ContactPersonforCorrespondenceabouttheClaim.......................................................................18

1212.10 Space11:Certification......................................................................................................................................................18

1212.10(A) SignatureRequired............................................................................................................................................................18

1212.10(B) DispersedSignature..........................................................................................................................................................19

1212.10(C) “TypedSignature”SpaceHandPrintedorBlank..................................................................................................19

1212.10(D) CertificationDate................................................................................................................................................................19

1212.11 Space12:MailCertificationTo.....................................................................................................................................19

1213 PreparingtheDepositMaterial....................................................................................................................................19

1213.1 IDMaterialforCommerciallyExploitedMaskWorks........................................................................................20

1213.2 IDMaterialforCommerciallyExploitedMaskWorksContainingTradeSecrets...................................20

1213.3 IDMaterialforMaskWorksThatHaveNotBeenCommerciallyExploited:MaskWorkContainsMoreThanTwentyPercentofIntendedFinalForm...............................................21

1213.4 MaskWorksNotCommerciallyExploitedContainingTradeSecrets..........................................................21

1213.5 MaskWorksNotCommerciallyExploited:MaskWorkContainsLessThanTwentyPercentofIntendedFinalForm...................................................................................................................21

1213.6 SpecialRelieffromDepositRequirementsforMaskWorks............................................................................22

1213.7 DepositRetention...............................................................................................................................................................22

1214 SubmittingtheApplication,FilingFee,andIdentifyingMaterial..................................................................22

1215 SpecialHandling..................................................................................................................................................................23

1216 CorrectionorAmplificationofaCompletedRegistration................................................................................23

1217 ReconsiderationofRefusalstoRegister...................................................................................................................23



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C O M P E N D I U M : Chapter1200

MaskWorks 1201 What This Chapter Covers

ThisChaptercoversissuesrelatedtotheexaminationandregistrationofmaskworksfixedinsemiconductorchipproducts(referredtoas“maskworks”).MaskworksareprotectedpursuanttotheSemiconductorChipProtectionAct(“SCPA”)of1984,17 U.S.C. §§ 901-14,asimplementedinChapter9oftheCopyrightAct.

1202 What Is a Mask Work?

A“‘maskwork’is“aseriesofrelatedimages,howeverfixedorencoded—(A)havingorrepresentingthepredetermined,three-dimensionalpatternofmetallic,insulating,orsemiconductormaterialpresentorremovedfromthelayersofasemiconductorchipproduct;and(B)inwhichseriestherelationoftheimagestooneanotheristhateachimagehasthepatternofthesurfaceofoneformofthesemiconductorchipproduct.”17U.S.C.§901(a)(2).

1203 Mask Work Protection Distinguished from Copyright Protection

Maskworksarenotprotectedbycopyrightlaw.Instead,CongressenactedtheSCPAtoprovidesuigenerisprotectionformaskworks.Thelegalrequirementsformaskworkprotectiondifferfromthoseforcopyrightprotectionintermsofeligibility,ownershiprights,registrationprocedures,term,andremediesforrightsviolations.

1204 Protectable Mask Works

AmaskworkisprotectableunderChapter9oftheCopyrightActifit(i)isfixedinasemiconductorchipproduct,(ii)containsprotectableexpression,(iii)isoriginal,(iv)meetstherequiredcriteriaforeligibility,and(v)isregistered.17U.S.C.§902.

1204.1 Fixation in a Semiconductor Chip Product

Onerequiredelementforprotectionofamaskworkisthatthemaskworkmustbefixedinasemiconductorchipproduct.Amaskworkis“fixed”inasemiconductorchipproduct“whenitsembodimentintheproductissufficientlypermanentorstabletopermitthemaskworktobeperceivedorreproducedfromtheproductforaperiodofmorethantransitoryduration.”17U.S.C.§901(a)(3).

A“semiconductorchipproduct”isdefinedas“thefinalorintermediateformofanyproduct—(A)havingtwoormorelayersofmetallic,insulating,orsemiconductormaterial,depositedorotherwiseplacedonoretchedawayorotherwiseremovedfrom,apieceofsemiconductormaterialinaccordancewithapredeterminedpattern;and(B)intendedtoperformelectroniccircuitryfunctions.”17U.S.C.§901(a)(1).



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1204.2 Originality

Amaskworkmustbeoriginaltobeprotectable.TheHouseReportontheSemiconductorChipProtectionActof1984providesthatamaskworkis“original”ifitistheindependentcreationofanauthorandwasnotcopiedfromanothersource.H.R.REP.NO.98-781,at17(1984).Themaskworkcannotconsistsolelyof“designsthatarestaple,commonplace,orfamiliarinthesemiconductorindustry,orvariationsofsuchdesigns,combinedinawaythat,consideredasawhole,isnotoriginal.”17U.S.C.§902(b)(2).

1204.3 Protectable Expression

Amaskworkmustcontainprotectableexpression.Protectableexpressioninamaskworkextendstothethree-dimensionalimagesorpatternsformedonorinthelayersofmetallic,insulating,orsemiconductormaterialandfixedinasemiconductorchipproduct,i.e.,the“topography”ofthe“chip.”

Althoughtheseimagesorpatternsarepurelyfunctionalfeatures,theyareneverthelessprotected,providedthatamaskworkisneitherdictatedbyaparticularelectronicfunctionnorresultsfromoneofonlyafewavailabledesignchoicesthatwillaccomplishthatfunction.

Protectionformaskworksdoesnot“extendtoanyidea,procedure,process,system,methodofoperation,concept,principle,ordiscovery”associatedwithamaskwork,“regardlessoftheforminwhichitisdescribed,explained,illustrated,orembodiedinsuchwork.”17U.S.C.§902(c).

1204.4 Eligibility Based on Nationality of Owner or Nation of First Commercial Exploitation

Anyoriginalmaskworkfixedinasemiconductorchipproductbyorundertheauthorityofthemaskworkowneriseligibleforprotectionifitmeetsoneofthefollowingcriteria:

1. OnthedatethemaskworkisregisteredwiththeU.S.CopyrightOfficeorthedatethemaskworkisfirstcommerciallyexploitedanywhereintheworld,whicheveroccursfirst,theownerofthemaskworkis:

• AnationalordomiciliaryoftheUnitedStates;or

• Anational,domiciliary,orsovereignauthorityofaforeignnationthatisapartywiththeUnitedStatestoatreatyaffordingprotectiontomaskworks;or

• Astatelessperson;

2. ThemaskworkisfirstcommerciallyexploitedintheUnitedStates;or

3. ThemaskworkcomeswithinthescopeofaPresidentialproclamationextendingprotectiontomaskworksofnationalsanddomiciliariesofaforeigncountryandtoworksfirstcommerciallyexploitedinthatcountry,onthebasisofafindingthatmaskworksprotectedunderChapter9oftheU.S.CopyrightActarealsoprotected



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intheparticularforeigncountry,eitherundertheprincipleofreciprocityorundertheprincipleofnationaltreatment.

17U.S.C.§902(a).

To“commerciallyexploit”amaskworkmeans“todistributetothepublicforcommercialpurposesasemiconductorchipproductembodyingthemaskwork;exceptthatthetermincludesanoffertosellortransferasemiconductorchipproductonlywhentheofferisinwritingandoccursafterthemaskworkisfixedinthesemiconductorchipproduct.”17U.S.C.§901(a)(5).

NOTE: AllcountriesthataremembersoftheWorldTradeOrganization(“WTO”)becameeligibleformaskworkprotectiononJune1,1996,underPresidentialProclamation6780,whichwasissuedonMarch23,1995.Additionally,thatproclamationextendedmaskworkprotectiontoAustralia,Canada,Japan,Switzerland,andthememberstatesoftheEuropeanCommunityasofJuly1,1995.SeeProclamationNo.6780,60Fed.Reg.15,844(Mar.27,1995).AcompleteandcurrentlistofWTOmembersismaintainedontheWTO’swebsiteatwww.wto.org.

1204.5 Registration

ApplicantsmustregisteraclaiminamaskworktosecuretheprotectionsdiscussedbelowinSection1207.FordetailedinformationonhowtoregisteraclaiminamaskworkseeSections1210through1214below.

1204.5(A) Registration Required Within Two Years of First Commercial Exploitation

Tosecureprotectionofamaskworkfortheentireten-yearterm,ownersmustregistertheirworkswiththeU.S.CopyrightOfficewithintwoyearsofthedateonwhichthemaskworkisfirstcommerciallyexploited,otherwiseprotectionwillbelost.17U.S.C.§908(a).Forexample,aclaiminamaskworkthatwasfirstcommerciallyexploitedonMarch15,2013mustbereceivedintheU.S.CopyrightOfficepriortooronMarch15,2015inordertobeprotected.

1204.5(B) Effective Date of Registration

Theeffectivedateofregistrationofaclaimtoprotectioninamaskworkisthedateonwhichanacceptableapplication,depositofidentifyingmaterial,andappropriatefilingfeearereceivedintheU.S.CopyrightOffice.17U.S.C.§908(e).

1204.5(C) Benefits of Registration

InadditiontoprovidingtheprotectiondiscussedbelowinSection1207,registrationofaclaiminamaskworkprovidesthefollowingbenefits:

• AcertificateofregistrationforamaskworkissuedbytheU.S.CopyrightOfficeconstitutesprimafacieevidenceofthefactsstatedinthecertificateandthattheapplicanthasmettherequirementsforprotection.



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• AfteracertificateofregistrationhasbeenissuedbytheOffice,theownerofthemaskworkortheexclusivelicenseeofallrightsinthemaskworkmayinstituteacivilactionforinfringementprovidedtheinfringementoccurredafterthecommencementofthetermofprotection.

17U.S.C.§§908(f),910.

1205 Ineligible Mask Works

1205.1 De Minimis Authorship

Sections902(b)(1)and(2)oftheActstatethatprotectionshallnotbeavailabletoamaskworkthatisnotoriginalorthatconsistsofdesignsthatarestaple,commonplace,orfamiliarinthesemiconductorindustry,orvariationsofsuchdesigns,combinedinawaythat,consideredasawhole,isnotoriginal.TheOfficemayquestionapplicationsformaskworksthatappeartobeverysimple(consistingofonlyafewelectroniccomponents)iftheNatureofContributionstatementorthedepositmaterialindicatethatthemaskworkisunoriginal,staple,commonplace,orfamiliar.TheOfficewillrefuseregistrationifitisclearfromthedepositmaterialsorfromstatementsgiveninspace8oftheapplicationthatthemaskworkisunoriginal,staple,commonplace,orfamiliar.

1205.2 Claim Received More Than Two Years After the Date of First Commercial Exploitation

AsdiscussedinSection1204.5(A),protectionofamaskworkislostifaclaimisnotregisteredwithintwoyearsofthedateoffirstcommercialexploitationofthemaskwork.Thus,theOfficewillrefuseanyclaimsreceivedmorethantwoyearsafterthedateoffirstexploitation.TheOfficewilldeemaclaimtimelyreceivediftheOfficereceivesanacceptablecompletedapplication,deposit,andfilingfeewithinthetwo-yearperiod.

1206 Term of Protection

ProtectionforamaskworkcommencesonthedatethemaskworkisregisteredwiththeU.S.CopyrightOfficeorthedatethatthemaskworkisfirstcommerciallyexploitedanywhereintheworld,whicheveroccursfirst.Protectionlastsfortenyears(terminatingattheendofthetenthcalendaryearafteritbegan).17U.S.C.§904.

1207 Exclusive Rights in Mask Works

Duringthetermofprotection,themaskworkownerhasthefollowingexclusiverights:

• Toreproducethemaskworkbyoptical,electronic,oranyothermeans;

• Toimportordistributeasemiconductorchipproductinwhichthemaskworkisembodied;and

• Toinduceorknowinglytocauseanotherpersontodoanyoftheactsdescribedimmediatelyabove.

17U.S.C.§905.



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1207.1 Limitation on Exclusive Rights: Reverse Engineering

Chapter9permitsreverseengineeringofamaskwork“solelyforthepurposesofteaching,analyzing,orevaluatingtheconceptsortechniquesembodiedinthemaskworkorinthecircuitry,logicflow,ororganizationofcomponentsusedinthemaskwork.”Thepersonwhoperformslegitimatereverseengineeringcanincorporatetheresultsinanoriginalmaskworkintendedfordistribution.17U.S.C.§906(a).

1207.2 Limitation on Exclusive Rights: First Sale

Purchasersofsemiconductorchipproductshavetherighttouseandredistributethechipproductsfreelybutnottoreproducethemaskworksembodiedinthesemiconductorchipproductwithoutthepermissionoftheowneroftherightsinthemaskwork.17U.S.C.§906(b).

1208 Ownership in Mask Works

Theownerofamaskworkis:

• Theinitialownerofthemaskwork,or

• Thepersonwhohasobtainedalloftherightsinthemaskworkbytransfer.

37C.F.R.§211.4(b)(2)(ii).

1208.1 Transfer of Ownership and Licensing of Rights in Mask Works

Theowneroftheexclusiverightsinamaskworkmaytransferalloftherightsorlicenseallorfewerthanalloftherights.Atransferorlicensemustbeinwritingandsignedbytheowneroftherightsorbyadulyauthorizedagentoftheowner.Theexclusiverightsinamaskworkalsocanbetransferredbyoneofthefollowing:

• Operationoflaw.

• Termsofawill.

• Intestatesuccession.

17U.S.C.§903(b).

1208.2 Recordation of Documents Related to Transfer and Licensing of Rights

Documentsrelatedtothetransferofownershipinalloftherightsinamaskwork,orthelicensingofoneormoreoftherightsinamaskworkmayberecordedwiththeU.S.CopyrightOffice.Forinformationontherecordationofdocumentsrelatedtoownershipinamaskwork,seeChapter2300,Section2309.



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1208.3 Ownership by the U.S. Government and Its Employees

FederalprotectiondoesnotextendtoanymaskworkcreatedbyU.S.governmentemployeesaspartoftheirofficialduties.TheU.S.government,however,isnotprecludedfromreceivingandholdingrightsinamaskwork.17U.S.C.§903(d).

1209 Notice

Theownerofaprotectablemaskworkmayaffixanoticeofownershiptomaskworksinamannerandlocationthatgivesreasonablenoticeoftheclaimtoprotection.17U.S.C.§909.

Noticeisnotaconditionforprotectionofamaskwork,butwhenproperlyaffixedtoawork,willprovideprimafacieevidenceofnoticeofprotection.17U.S.C.§909(a).

1209.1 Content of Notice

Toserveasprimafacieevidenceofnoticeofprotection,theformofthenoticeshallconsistof:

• Thewords“maskwork,”thesymbol*M*,orⓂ(theletterMinacircle);and

• Thenameoftheowner(s)oftherightsinthemaskworkoranabbreviationbywhichthenameisrecognizedorgenerallyknown.

17U.S.C.§909(b).

1209.2 Location of Notice

Thefollowingspecificmethodsofaffixationandpositionsofthenoticeareacceptable:

• Agummedorotherlabelsecurelyaffixedorimprinteduponthepackageorothercontainerusedasapermanentreceptacleforthesemiconductorchipproduct;or

• Anoticeimprintedorotherwiseaffixedinoronthetoporothervisiblelayeroftheproduct.

37C.F.R.§211.6.

1210 Registration Procedures

Generally,onlyoneregistrationofaclaimispermittedforthesameversionofamaskworkfixedineither(i)anintermediateformofanysemiconductorchipproduct,or(ii)afinalformofanysemiconductorchipproduct.37C.F.R.§211.4(c)(1).Notwithstandingthatgeneralrule,ownersofmaskworksthatarecreatedbyaddingmetal-connectionlayerstounpersonalizedgatearraysmayseparatelyregistertheentireunpersonalizedgatearrayaswellasanycustommetallizationlayers.37C.F.R.§211.4(c)(2).



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1210.1 Registration in Most Complete Form Required

Ownersseekingregistrationofamaskworkmustsubmittheentireoriginalmaskworkinitsmostcompleteformasfixedinasemiconductorchipproduct,withtheexceptionofentireunpersonalizedgatearraysandcustommetallizationlayers(whichmayberegisteredseparately).37C.F.R.§211.4(c)(2).The“mostcompleteform”meansthestageofthemanufacturingprocessthatisclosesttocompletion.37C.F.R.§211.4(e).

1210.2 What to File: Required Elements for Registration

Applicationstoregisterclaimsinmaskworksmustcontainthefollowingthreeelementstobeconsideredcomplete:

• AcompletedpaperapplicationusingFormMW;

• Anonrefundablefilingfee;and

• Adepositthatcontainsidentifyingmaterial.

37C.F.R.§211.4(b).

1210.2(A) Form MW

ApplicantsmustuseFormMWtoregisteraclaiminamaskwork.ThisformisavailableontheU.S.CopyrightOffice’swebsiteatwww.copyright.gov/forms/formmwi.pdf,andforfreeuponrequesttothePublicInformationOffice.

ApplicantsalsomayrequestahardcopyFormMWfromtheU.S.CopyrightOffice’sPublicInformationOfficebyusingoneofthefollowingformsofcontactinformation:

• Bytelephone:(202)707-9100.

• InPerson:JamesMadisonBuilding,PublicInformationOffice,RoomLM-401,MondaythroughFriday,betweenthehoursof8:30a.m.–5:00p.m.EasternTime,exceptonfederalholidays.

• ByU.S.Mail:LibraryofCongress,U.S.CopyrightOffice,101IndependenceAvenueSE,Washington,DC20559-6000.

AllformssubmittedtotheOfficemustbeclearandlegibleandsuitableforautomaticfeedingthroughaphotocopier.Formsnotmeetingthisrequirementwillbereturned.

ForinformationoncompletingFormMWandtheOffice’spracticesregardingtheexaminationoftheapplication,seeSection1212below.

1210.2(B) Filing Fee

ThecurrentfilingfeeissetforthintheOffice’sfeescheduleundertheheading“FormMW(maskworks).”(www.copyright.gov/docs/fees.html).



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Forinformationconcerningthemethodsforpayingthisfilingfee,seeChapter1400,Sections1403.4and1403.5.

1210.2(C) Deposit of Identifying Material

Therequireddepositforamaskworkconsistsofidentifyingmaterial(“IDmaterial”).TheRegisterofCopyrightshasbroadauthoritytospecifytheidentifyingmaterialtobedepositedinconnectionwiththeclaimforregistration.Inrecognitionoftheneedtopreservetradesecretsoravoidpublicdisclosureofsensitiveinformationembodiedinvariousidentifyingmaterials,theOffice’sregulationsprovidedifferentdepositoptions,dependinguponwhetherthemaskworkhasbeencommerciallyexploitedandwhetherthedepositcontainstradesecretmaterial.TheU.S.CopyrightOfficeencouragesthefullestdisclosureofthemaskworkwithinthedepositoptionsestablishedbytheregulation.37C.F.R.§211.5.

Formoreinformationonhowtopreparethedepositforamaskwork,seeSection1213below.

1211 Who May File Form MW?

Anapplicationtoregisteraclaiminamaskworkmaybefiledby(i)theownerofthemaskworkor(ii)herorhisauthorizedagent.37C.F.R.§211.4(b)(2).

1212 Completing the Application

ThisSectionprovidestipsonhowtocompleteeachsectionofFormMW.

1212.1 Space 1: Title of this Work

Thetitleshouldclearlyidentifythemaskworkbeingclaimed.

1212.1(A) Symbols in the Title

Theapplicantshouldprovideatitlecomprisedofalphanumericlettersandnumbers.Commonkeyboardsymbolsmayalsobeaccepted,butifthetitleincludeslessfrequentlyusedsymbols,suchasGreekletters,thesymbolswillbeidentifiedas“[symbol]”intherecord.

1212.1(B) Descriptive Titles

Titlesthataremerelydescriptiveareacceptable.

Examples:

• Atitlethatdescribestheintendedusesofthemaskwork.

• Atitlethatdescribesthefunctionsthatthemaskworkperforms.



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1212.1(C) Title for More Than One Mask Work Given

Onlyonemaskworkmayberegisteredonasingleapplicationformwithonesetofchips.However,incaseswherethemaskworksaresubstantiallyidentical(i.e.,thedifferencesaredeminimis),theU.S.CopyrightOfficewillallowapplicantstorefertosubstantiallyidenticalmaskworksinthe“AdditionalInformation”spaceofFormMW/CON(acontinuationformforFormMW).Forexample,theapplicantmaystate“Maskworksubstantiallyidenticaltothosecontainedin[titlesofothermaskworks].”

Thedeposit,however,mustbelimitedtothesinglemaskworkidentifiedinspace1(i.e.,onlyonesetofvisualrepresentations,andonesetoffourchips).

1212.1(D) Variance Between the Title in Space 1 and Titles/Numbers Appearing on the Deposit

Asageneralrule,theU.S.CopyrightOfficewillnotautomaticallyquestionvariancesbetweenthetitleprovidedontheapplicationandtitles/numbersappearingonthedeposit,unlessothercircumstancessuggestanerror.Ordinarily,theOfficewillannotatespace1withanindicationofthetitle/numberappearingonthedeposit.Iftheregistrationspecialistcommunicateswiththeapplicantforotherreasons,however,heorshemayasktheapplicanttoconfirmthatthecorrectmaterialshavebeendeposited.

1212.2 Space 2: Nature of Deposit

Theapplicantshouldcompletethisspaceinallcasesbydescribingwhatiscontainedinthedepositmaterial.

Examples:

• Compositeplot.

• Fourchipsandcompositeplot.

• Fourchipsandseventeensinglelayerplots.

1212.2(A) Space 2 Is Blank or Incomplete

Space2askstheapplicanttodescribethenatureofthedeposit,i.e.,ashortdescriptionoftheobjectdepositedasIDmaterial.Ifspace2isblankorincomplete,theregistrationspecialistmayannotatespace2withoutcontactingtheapplicantwhenthenatureofthedepositisclearfromreviewingthedepositmaterials.

Example:

• Ifonly“plots”appearsinspace2,andchipshavealsobeendeposited,theregistrationspecialistmayannotatespace2with“andfourchips”andspace5with“AddedbyCopyrightOffice.”



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1212.2(B) No Numeric Totals Required

TheapplicantmayidentifythenumberofindividuallayerplotsorsemiconductorchipproductscontainedintheIDmaterial(althoughprovidingthisinformationisoptional).Forexample,“plotsandchips”isanacceptabledescription.

1212.2(C) Variance in Number of Chips

Ifthenumberofchipsdepositeddiffersfromthenumberindicatedinspace2,theregistrationspecialistwillannotatespace2withthenumberactuallydeposited.

1212.2(D) Chips Deposited for Non-Commercially Exploited Mask Work

Formaskworksthathavenotbeencommerciallyexploited,theapplicantmayincludechipsintheIDmaterial(althoughthisisoptional).Shouldtheapplicantchoosetodepositchipswithoutstatingsoontheapplication,theregistrationspecialistwilladdthisinformationtospace2withoutcommunicatingwiththeapplicant.

1212.2(E) Variance in Number of Plots

Ifthedepositcontainsadifferentnumberofplotsthanisindicatedinspace2,theregistrationspecialistwillcommunicatewiththeapplicant.

1212.2(F) Space 2 Refers to a “Composite Plot,” but Individual Layer Plots Deposited (or Vice Versa)

Iftheapplicationreferstocompositeplot(s)andthedepositcontainsindividuallayerplot(s)orviceversa,anditisclearthatthecorrectplot(s)hasbeendeposited,theregistrationspecialistwillannotatespace2toreflectthecorrectnatureofthedeposit.

1212.3 Space 3: Name(s) and Address(es) of Current Owner(s)

Theapplicantmustprovidethename(s)andaddress(es)oftheowner(s)ofthemaskwork.AsmentionedinSection1208,theownerofamaskworkiseithertheinitialownerorapersonwhohasobtainedalloftheexclusiverightsinthemaskworkbytransfer.Atransfereeoflessthanalloftheexclusiverights,orthelicenseeofallorlessthanalloftheserights,isnotconsideredanowner.

1212.3(A) Omission of Name of Owner(s)

Iftheapplicantfailstoprovidethenameoftheowner(s)inspace2,theregistrationspecialistwillcommunicatewiththeapplicanttoobtainthatinformation,whichmaydelaytheexaminationoftheapplication.

1212.3(B) Omission of Address

Iftheapplicantfailstoprovideanaddressinspace2,butprovidesanaddressinspaces9or12,anditisreasonabletoassumethatitisthecurrentowner’saddress,theregistrationspecialistmayaccepttheapplication.Ifthereisanydoubtthatthecurrentowner’saddressappearselsewhereontheapplication,theregistrationspecialistwill



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communicatewiththeapplicanttoverifythecorrectaddressandmayannotatespace3withthecorrectinformation.

1212.3(C) More Than One Current Owner in Space 3

Morethanoneownermaybeidentifiedinspace3,buttheinformationmustbeclearandcomplete.Ifthenamesarenotclearlyseparatedorareotherwiseincomplete,theregistrationspecialistwillcommunicatewiththeapplicanttoascertainthecorrectinformationand,iftheinformationisillegible,willasktheapplicanttocompleteanewFormMWandFormMW/CON.

1212.4 Space 4: Citizenship or Domicile of Current Owner(s)

Thenationofcitizenshipordomicileofthecurrentowner(s)providedinspace4establisheseligibilityonlyifthemaskworkhasnotbeencommerciallyexploited.Iftheapplicantstatesthatthemaskworkhasbeencommerciallyexploited,space6orspace7willdeterminewhethereligibilityhasbeenestablished.Formoreinformationoneligibility,seeSection1204.4above.

1212.5 Space 5: Derivation of Ownership

Space5providesthreeboxes,“a(_____),”and“b(_____),”and“c(_____).”Thisspaceshouldbecompletedasfollows,dependingontheownershipstatusoftheapplicant:

• Theapplicantshouldcheckbox“a”iftheowneristheemployerofapersonwhocreatedthemaskworkwithinthescopeofhisorheremployment.

• Theapplicantshouldcheckbox“b”iftheowneracquiredtherightsbytransferfromthecreator,employerorlegalrepresentative.

• Theapplicantshouldcheckbox“c”iftheowneristhelegalrepresentativeofthedeceasedorlegallyincapacitatedcreator.

1212.5(A) Neither Box “a” Nor “b” Is Checked

Itisacceptabletoleavespace5blankonlyifthecurrentownerisalivingindividualwhocreatedthemaskwork,i.e.,notalegalentityordeceasedperson.Iftheowneracquiredownershipastheemployerofthecreatororbytransferfromtheoriginalowner,theapplicantmustcheckbox“a”and/orbox“b.”

1212.5(B) Both Boxes “a” and “b” Are Checked

Bothboxes“a”and“b”maybecorrectlycheckediftheowneracquiredtherightstothemaskworkbytransfer(box“b”)andthenmodifiedthework(box“a”),oriftheownerdevelopedthemaskworkinassociationwithanotherentityandtheotherentitytransferreditsrightstotheowneridentifiedintheapplication.

1212.5(C) Acquisition of Rights by Transfer (Box “b”)

Box“b”shouldbecheckedifownershipwasobtainedbyawrittentransfer.Tobeeffective,atransferofamaskworkmustbebyawritteninstrumentthathasbeen



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signedbytheownerortheowner’sauthorizedagent.17U.S.C.§903(b).TheU.S.CopyrightOfficedoesnotrequiretheapplicanttodepositthedocumentoftransfer,althoughtheapplicantmayrecordthedocumentwiththeOffice.Formoreinformationonrecordation,seeChapter2300,Section2309.

1212.6 Space 6: Date and Nation of First Commercial Exploitation

Ifthemaskworkhasbeencommerciallyexploited,thentheapplicantmustprovidethecompletedateoffirstcommercialexploitationinspace6.Iftheapplicanthasleftspace6blank,theregistrationspecialistmaycommunicatewiththeapplicanttodeterminewhetherthemaskworkhasbeencommerciallyexploitedandwillamendandannotatespace6,asappropriate,whichwilldelaytheexaminationoftheapplication.

AsdiscussedinSection1205.2,aclaimreceivedmorethantwoyearsfromthedateoffirstcommercialexploitationisineligibleforregistration.If,however,thetwo-yearperiodendsonadayonwhichtheU.S.CopyrightOfficedoesnotreceivemail(e.g.,aSundayorgovernmentholiday),thetwo-yearperiodisextendedtothenextbusinessday.

1212.6(A) Incomplete Date of First Commercial Exploitation

Applicantsmustprovideacompletedateoffirstcommercialexploitation(month,day,andyear).Anapproximationisacceptablesolongasitiscomplete.Tobeacceptable,acompleteapproximatedateshouldbeprefacedbyoneofthefollowingstatements:

• Onorabout

• Approximately

• Nolaterthan

• Noearlierthan

1212.6(B) Date but No Nation Provided

Ifthefirstcommercialexploitationofthemaskworkhasoccurred,theapplicantmustprovidethenationoffirstcommercialexploitationtoestablisheligibility.

1212.6(C) Nation but No Date Provided

Iftheapplicantprovidesanationoffirstcommercialexploitationwithoutprovidingadateoffirstcommercialexploitation,theU.S.CopyrightOfficewillcommunicatewiththeapplicanttodeterminewhetherfirstcommercialexploitationhasoccurred.

1212.6(D) Future Date of First Commercial Exploitation

IftheapplicantprovidesadateofcommercialexploitationthatislaterthanthedateonwhichtheclaimwasreceivedbytheU.S.CopyrightOffice,theregistrationspecialistwillcommunicatewiththeapplicanttoclarifythefactsofexploitation.Ifthedatehaspassedandisconfirmedtobecorrect,thespecialistwillannotatetheapplicationtostatethat



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thedatehasbeenconfirmed.Iffirstcommercialexploitationhasoccurred,butonadifferentdate,thespecialistwillcorrectthedateandannotatetheapplicationaccordingly.Ifthemaskworkhasnotyetbeencommerciallyexploited,thespecialistwilldeletethedateandnationoffirstcommercialexploitationandannotatetheapplicationaccordingly.

1212.6(E) Applicant Left Space 6 Blank, but Completed Space 7

Ifspace6isincompleteorblankbutspace7iscomplete,theregistrationspecialistwillcommunicatewiththeapplicanttodeterminewhetherthemaskworkhasbeencommerciallyexploited.Thespecialistwillamendandannotatespace6or7toreflect,asappropriate,theaccurateinformation.

1212.7 Space 7: Citizenship or Domicile of Owner at the Time of First Commercial Exploitation

Anapplicantshouldcompletethisspaceonlyifeligibilityhasnotbeen,orcannotbe,establishedinSpace4(CitizenshiporDomicileofCurrentOwner),orSpace6(NationofFirstCommercialExploitation).FormoreinformationoneligibilityseeSection1204.4above.

1212.8 Space 8: Nature of Contribution

Applicantsmustcompletethisspace.Theapplicantshoulddescribethenew,originalcontributiontothemaskworkmadebytheclaimedowner.Inaddition,theapplicantshouldidentifyanypreexistingmaskwork(s)thatthemaskworkbeingclaimedisbasedonorincorporates.Forpurposesofregistration,apreexistingmaskworkisapreviouslycommerciallyexploitedorpreviouslyregisteredmaskwork.

Examples:

• Entirelynewmaskwork.

• RevisedversionofpreviousregisteredmaskworkentitledXYZ500.

• ImprovedlayoutofpreviouslyexploitedMaxiChip.

1212.8(A) Description Indicates That the Mask Work Is “Original” or “Entirely New”

Ifthemaskworkisnotbasedonapreexistingmaskwork,theapplicantmaystate“original”or“entirelynew”orthelike.Theregistrationspecialistwillnotquestionsuchastatementunlessinformationelsewhereintheregistrationmaterialssuggestsotherwise.

1212.8(B) Mask Work Is Based on or Incorporates a Preexisting Mask Work

Ifthemaskworkforwhichprotectionissoughtisbasedonorincorporatesapreexistingmaskwork,theapplicantmaymakenoteofthatinspace8,inadditiontostatingthenew,originalcontributionthatformsthebasisoftheclaim.Insuchcases,thepreexistingmaskworkmaybedescribedsimplybythetitleorpreviousregistrationnumber.



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Examples:

• ModificationofmaskworkcontainedinMW12,348.

• ModificationofXJ254.

1212.8(C) Description Limits the Claim with No Indication of Preexisting Material

TheU.S.CopyrightOffice’sregulationsrequireapplicantstoregisterasingleclaiminthemostcompleteformofthemaskworkinexistenceatthetimeofregistration,solongastheelementsclaimedareoriginalandhavenotpreviouslybeencommerciallyexploitedorpreviouslybeenregistered.Applicantsmaynotdivideasinglemaskworkintomultipleregistrationsunlessdifferentportionsofthemaskworkwerefirstcommerciallyexploitedondifferentdates.See37C.F.R.§211.4(d).Thereisoneexception:a1991amendmenttotheregulationspermitsseparateregistrationsofanunpersonalizedgatearrayandthecustommetallizationlayer(s)despitetheexistenceofacompletedfinalformthatcombinesthetwo.37C.F.R.§211.4(c)(2).

1212.8(D) Description Clearly Presents a Claim in the Functions or Uses of the Semiconductor Chip Product Embodying the Mask Work

Adescriptionofthemaskworkthatclearlypresentsaclaiminthefunctionsorusesofthesemiconductorchipproductembodyingthemaskworkgoesbeyondthescopeofprotection.See17U.S.C.§902(c).Insuchcases,theregistrationspecialistwillcommunicatewiththeapplicanttoamendspace8sothatitclearlylimitstheclaimtothemaskworkcontainedwithinthechip.

1212.8(E) Description Contains Technical Terminology

Anapplicantcanincludetechnicalterminologythatincludesdescriptionsoffunctionalityinthecontributionofauthorshipstatementifitisclearthattheapplicantisnotclaimingprotectionforauthorshipbeyondthescopeofmaskworkprotection.See17U.S.C.§902(c).

1212.9 Space 9: Contact Person for Correspondence about the Claim

Inspace9,theapplicantshouldprovidethenameandaddressofthepersontheOfficeshouldcontactiftheregistrationspecialisthasquestionsorconcernsregardingtheclaim.Ifspace9isblankorincomplete,thespecialistwillregistertheclaimifitisotherwiseacceptableandthereisnoneedtocorrespondwiththeapplicant,andifanaddressisprovidedinspace12.Ifnoaddressisprovidedtheregistrationspecialistwillcommunicatewiththeapplicanttoobtaintheaddress,whichmaydelaytheexaminationoftheapplication.

1212.10 Space 11: Certification

1212.10(A) Signature Required

Theapplicationmustcontainthehandwrittensignatureoftheapplicant,accompaniedbythetypedorprintednameofthatpersoncertifyingthattheapplicantisauthorizedto



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submittheapplicationandthatthestatementsmadearecorrecttothebestofthatperson'sknowledge.

Theapplicantmaybeeithertheownerofthemaskworkorthedulyauthorizedagentoftheowner.37C.F.R.§211.4(b)(2).

1212.10(B) Dispersed Signature

Asignatureanywherewithintheboundariesofspace11isacceptable;signaturesoutsidespace11areunacceptable.

1212.10(C) “Typed Signature” Space Hand Printed or Blank

Theregulationsformaskworkregistrationrequirethatthetypedorprintednameoftheapplicantaccompanythesignature.37C.F.R.§211.4(b)(3)(ii).

1212.10(D) Certification Date

Acertificationdateisnotrequired.However,iftheapplicationprovidesacertificationdatelaterthanthereceiptdateorprecedesthedateoffirstcommercialexploitation,theregistrationspecialistwillcommunicatewiththeapplicanttoconfirmthefactsstatedontheapplication.

1212.11 Space 12: Mail Certification To

Applicantsmustcompletethisspacetoensurepromptdeliveryofthecertificateofregistration.IfitisleftblankandtheU.S.CopyrightOfficereceivedotherclaimsfromthesameapplicantwithspace12iscompleted,theregistrationspecialistmayaddthesameaddresswithanannotationandmayregistertheclaimwithoutcommunicatingwiththeapplicant.Iftheaddresscanbedeterminedwithcertaintyfromspace4,space6,orfromacoverletter,thespecialistmayaddthataddresstospace12withanannotationwithoutcommunicatingwiththeapplicant.Otherwise,theregistrationspecialistwillcommunicatewiththeapplicanttoobtainthecorrectaddress,providedatelephonenumber,mailingaddress,oremailaddresshasbeengiveninspace9oftheapplication.

1213 Preparing the Deposit Material

Therequireddepositmaterialformaskworksisidentifyingmaterial.TherequiredcontentsoftheIDmaterialvarydependingon(i)whethertheworkhasbeencommerciallyexploited,or(ii)whethertheworkcontainstradesecrets.

AsstatedaboveinSection1204.4,commercialexploitationisdefinedasthedistributionofasemiconductorchipproductembodyingamaskworktothepublicforcommercialpurposes.Thetermincludesanoffertosellortransferthemaskworkwhentheofferisinwritingandoccursafterthemaskworkisfixedinthesemiconductorchipproduct.17U.S.C.§901(a)(5).

Whereanapplicantmakesaclaimthattheidentifyingmaterialsnormallyrequiredtobedepositedcontaininformationthatissubjecttotradesecretprotection,certainmaterialmaybewithheldfromthedepositofidentifyingmaterial.



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AdiscussionofidentifyingmaterialforcommerciallyexploitedmaskworkscontainingtradesecretsissetforthinSection1213.2below.AdiscussionofidentifyingmaterialformaskworksthathavenotbeencommerciallyexploitedbutcontaintradesecretmaterialissetforthinSection1213.4below.

Allvisuallyperceptiblerepresentationsshouldbereproducedatamagnificationsufficienttorevealthebasiccircuitrydesignofthemaskworkandshouldbeatleasttwentytimestheactualsize.Poorresolutionplotswillbequestioned,whichcoulddelaytheeffectivedateofregistration.Largevisuallyperceptiblematerialsareacceptableiftheycanbefoldedorcutintoaroughly8½inchesby11inchesformatandarestorableina12inchesby15inchesenvelope.

Titlesshouldbeplacedonallidentifyingmaterialssothatapplicationsanddepositmaterialscanbematched.

1213.1 ID Material for Commercially Exploited Mask Works

Foracommerciallyexploitedmaskwork,theapplicantisrequiredtosubmitthefollowingasidentifyingmaterial:

• Fourchips(dies)asfirstcommerciallyexploited;and

• Onefullsetofvisuallyperceptiblerepresentationsofeachlayerofthemaskwork.

37C.F.R.§211.5(b)(1).TheU.S.CopyrightOfficewillacceptthedepositofloosechipsinplasticcontainersorplasticbags,defectivechips(commonlymarkedwithadotonthesurfaceofthechip),andchipsinprongedhousings.TheOfficewillnotacceptthedepositofchipsinwaferformat.Chipsthatdonotappeartobeintegratedintoasemiconductorsubstratewillbequestioned.

Regardingthevisuallyperceptiblerepresentations,theapplicantmayelecttodepositplasticcoloroverlays,compositeplots,orphotographsofeachlayerofthemaskwork,oranycombinationthereof.Id.

1213.2 ID Material for Commercially Exploited Mask Works Containing Trade Secrets

Ifthecommerciallyexploitedmaskworkcontainstradesecrets,theidentifyingmaterialshouldconsistof:

• Fourchipsasfirstcommerciallyexploited;

• Special“identifyingportions”(definedbelow)fornomorethantwoofeachofthefivelayersofthemaskworkinwhichtradesecrecyisclaimed;and

• Coloroverlays,plots,orphotographsforallotherlayers;and.

• Special“identifyingportions”(definedbelow)fornomorethantwoofeachofthefivelayersofthemaskworkinwhichtradesecrecyisclaimed;and.

•



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Specifically,tTheidentifyingportionsshouldconsistof(i)aprintoutofthemaskworkdesigndatapertainingtoeachwithheldlayer,reproducedinmicroform,or(ii)visuallyperceptiblerepresentations,suchassetsofplasticcoloroverlaysheets,drawingsorplotsincompositeformonasinglesheetoronseparatesheets,orphotographsofeachlayerofthemasksinwhichportionsmaintainedunderaclaimoftradesecrecyareblockedout,providedthattheremainingportionsaregreaterthantheblockedoutportions.37C.F.R.§211.5(c)(1)(i)-(ii).

1213.3 ID Material for Mask Works That Have Not Been Commercially Exploited: Mask Work Contains More Than Twenty Percent of Intended Final Form

Ifamaskworkhasnotbeencommerciallyexploitedandifthecontributioninwhichregistrationissoughtrepresentstwentypercentormoreoftheareaoftheintendedfinalform,theapplicantisrequiredtosubmitonefullsetofeitherplasticcoloroverlaysorcompositeplotsofeachlayerofthesemiconductorchipproduct.Inaddition,theapplicantmaydeposituptofourrepresentationsofthemostcompleteformasfixedinachipproduct,althoughchips(dies)arenotrequiredforregistration.37C.F.R.§211.5(b)(2)(i).

NOTE: Regardingthevisuallyperceptiblerepresentations,theapplicantmayelecttodepositplasticcoloroverlays,compositeplots,orphotographsofeachlayerofthemaskwork,andanycombinationthereof.

1213.4 Mask Works Not Commercially Exploited Containing Trade Secrets

Ifamaskworkthathasnotbeencommerciallyexploitedcontainstradesecrets,theIDmaterialshouldconsistof:

• Special“identifyingportions”(definedbelow)foranylayerorlayersinwhichtradesecrecyisclaimed;and

• Asinglephotographofthetoporothervisiblelayersofthemaskworkwiththesensitiveinformationmaintainedunderaclaimoftradesecrecyblockedout,providedtheblockedoutportionsdonotexceedtheremainingportions;and.

• Special“identifyingportions”foranylayerorlayersinwhichtradesecrecyisclaimed.

Specifically,tTheidentifyingportionsshouldconsistof(i)aprintoutofthemaskworkdesigndatapertainingtoeachwithheldlayer,reproducedinmicroform,or(ii)visuallyperceptiblerepresentations(plasticcoloroverlays,compositeplots)inwhichportionsmaintainedunderaclaimoftradesecrecyareblockedout,providedthattheportionsremainingaregreaterthantheportionsblockedout.37C.F.R.§211.5(bc)(2)(i)(A)-(B),(ii).

1213.5 Mask Works Not Commercially Exploited: Mask Work Contains Less Than Twenty Percent of Intended Final Form

Wherethemaskworkforwhichregistrationissoughtrepresentslessthantwentypercentoftheareaoftheintendedfinalformofthechipproduct,thedepositmust



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includeavisuallyperceptiblerepresentationoftheworkthatrevealsthetotalityofthemaskworkcontributiontoapersontrainedinthestateoftheart.Therepresentationmayconsistofanycombinationofthefollowing:

• Plasticcoloroverlaysheets.

• Drawingsorplotsincompositeform.

• Photograph(s)oftheentiremaskset.

Ifneeded,additionalexplanatorymaterialmayaccompanythevisuallyperceptiblerepresentationtoidentifyalltheelementsinthemaskworkcontribution.37C.F.R.§211.5(b)(2)(i).

1213.6 Special Relief from Deposit Requirements for Mask Works

Onacase-by-casebasis,theRegisterofCopyrightsmaydecidetograntspecialrelieffromthedepositrequirements.Requestsforspecialreliefmustbemadeinwritingto:

AssociateRegisterofCopyrightsandDirectorofRegistrationPolicy&PracticeU.S.CopyrightOfficeP.O.Box70400Washington,DC20024-0400

Theapplicantmayalsosendspecialreliefrequestsbyfaxto(202)707-3698.

Therequestmustcontainthefollowing:

• Thespecificreasonswhytherequestshouldbegranted.

• Aproposalforanalternativeformofdeposit.

• Thesignatureoftheapplicant.

37C.F.R.§211.5(d).

1213.7 Deposit Retention

Identifyingmaterialdepositedtosupportanapplicationtoregisteraclaiminamaskwork,whethertheclaimisregisteredorrefused,becomesthepropertyoftheU.S.government.TheU.S.CopyrightOfficewillretaincopiesofalldepositsforregisteredclaimsfortheentiretermofprotection.37C.F.R.§211.5(e).

1214 Submitting the Application, Filing Fee, and Identifying Material

ApplicantsmaysubmitFormMW,thefilingfee,andtheidentifyingmaterialdepositbyU.S.mail,inperson,orbycouriertothefollowingaddresses:

• ByU.S.Mail:LibraryofCongress,U.S.CopyrightOffice–MW,101IndependenceAvenueSE,WashingtonDC20559.



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• InPerson:JamesMadisonBuilding,PublicInformationOffice,RoomLM-401,MondaythroughFriday,betweenthehoursof8:30a.m.–5:00p.m.EasternTime,exceptonfederalholidays.

• ByCourier:CongressionalCourierAcceptanceSite(CCAS),2ndandDStreetsNE,Washington,DC,betweenthehoursof8:30a.m.–4:300p.m.EasternTime,exceptonfederalholidays.

NOTE:CourierswillreceiveadatedreceiptfromCCASratherthantheU.S.CopyrightOffice.TheOfficewillconsiderthedateofreceiptatCCASasthedateofreceiptintheOffice.Acouriermaydeliveruptotenitemsatatime.PackagesacceptedatCCASmaynotexceedfourbyfourteenbyeighteeninchesinsize.LargerpackageswillnotbeacceptedbyCCAS.Insuchcases,thecourierwillbedirectedtodeliverthesepackagestotheoffsitemailprocessingcenter.

1215 Special Handling

Expeditedprocessingofanapplicationtoregisteraclaiminamaskworkisreferredtoas“specialhandling,”andmaybegrantedatthediscretionoftheRegisterofCopyrightsincasesinvolvingpendingorprospectivelitigation,customsmatters,orcontractdeadlines.Fordetails,seeSpecialHandling(Circular10).

1216 Correction or Amplification of a Completed Registration

ExceptforerrorsoromissionsmadebytheU.S.CopyrightOffice,nocorrectionsoramplificationscanbemadetotheinformationcontainedintheregistrationrecordforacompletedmaskworkregistration.Inparticular,asupplementaryregistrationcannotbeusedtocorrectoramplifytheinformationsetforthinthistypeofregistration.37C.F.R.§211.4(f).IftheOfficemadeanerrororomissioninpreparingthecertificate,theownerofthemaskworkshouldcontacttheOfficeinwritingusingtheformpostedontheOffice’swebsite(www.copyright.gov/help/general-form.html).Ifappropriate,theOfficewillcorrectthemistakeandissueanewcertificatetothecorrespondentnamedinthecertificate.

AdocumentpurportingtocorrectoramplifytheinformationinacompletedregistrationmayberecordedintheOfficeifitissignedbytheownerofthemaskworkorbytheowner’sdulyauthorizedagent.37C.F.R.§211.4(f).Forinformationonhowtorecordadocument,seeChapter2300,Section2309.

1217 Reconsideration of Refusals to Register

Therequirementsforreconsiderationofrefusalstoregistercopyrightclaims(whichareprescribedin37C.F.R.§202.5)applytorequeststoreconsiderrefusalstoregisterclaimsinmaskworks.SeeChapter1700(AdministrativeAppeals).


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