[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR201.18]

[Page 498-501]
 
              TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
                                CONGRESS
 
PART 201_GENERAL PROVISIONS--Table of Contents
 
Sec. 201.18  Notice of intention to obtain a compulsory license for making and distributing phonorecords of nondramatic musical works.

    (a) General. (1) A ``Notice of Intention'' is a Notice identified in 
section 115(b) of title 17 of the United States Code, and required by 
that section to be served on a copyright owner or, in certain cases, to 
be filed in the Copyright Office, before or within thirty days after 
making, and before distributing any phonorecords of the work, in order 
to obtain a compulsory license to make and distribute phonorecords of 
nondramatic musical works.
    (2) A Notice of Intention shall be served or filed for nondramatic 
musical works embodied, or intended to be embodied, in phonorecords made 
under the compulsory license. A Notice of Intention may designate any 
number of nondramatic musical works, provided that the copyright owner 
of each designated work or, in the case of any work having more than one 
copyright owner, any one of the copyright owners is the same and that 
the information required under paragraphs (d)(1)(i) through (iv) of this 
section does not vary. For purposes of this section, a Notice which 
lists multiple works shall be considered a composite filing of multiple 
Notices and fees shall be paid accordingly if filed in the Copyright 
Office under paragraph (f) of this section (i.e., a separate fee, in the 
amount set forth in Sec. 201.3(e)(1), shall be paid for each work 
listed in the Notice).
    (3) For the purposes of this section, the term copyright owner, in 
the case of any work having more than one copyright owner, means any one 
of the co-owners.
    (4) For the purposes of this section, service of a Notice of 
Intention on a copyright owner may be accomplished by means of service 
of the Notice on either the copyright owner or an agent of the copyright 
owner with authority to receive the Notice. In the case where the work 
has more than one copyright owner, the service of the Notice on any one 
of the co-owners of the nondramatic musical work or upon an authorized 
agent of one of the co-owners identified in the Notice of Intention 
shall be sufficient with respect to all co-owners. Notwithstanding 
paragraph (a)(2) of this section, a single Notice may designate works 
not owned by the same copyright owner in the case where the Notice is 
served on a common agent of multiple copyright owners, and where each of 
the works designated in the Notice is owned by any of the copyright 
owners who have authorized that agent to receive Notices.
    (5) For purposes of this section, a copyright owner or an agent of a 
copyright owner with authority to receive Notices of Intention may make 
public a written policy that it will accept Notices of Intention to make 
and distribute phonorecords pursuant to 17 U.S.C. 115 which include less 
than all of the information required by this section, in a form 
different than required by this section, or delivered by means 
(including electronic transmission) other than those required by this 
section. Any Notice provided in accordance with such policy shall not be 
rendered invalid for failing to comply with the specific requirements of 
this section.
    (6) For the purposes of this section, a digital phonorecord delivery 
shall be treated as a type of phonorecord configuration, and a digital 
phonorecord delivery shall be treated as a phonorecord manufactured, 
made, and distributed on the date the phonorecord is digitally 
transmitted.
    (b) Agent. An agent who has been authorized to accept Notices of 
Intention in accordance with paragraph (a)(4) of this section and who 
has received a Notice of Intention on behalf of a copyright owner shall 
provide within two

[[Page 499]]

weeks of the receipt of that Notice of Intention the name and address of 
the copyright owner or its agent upon whom the person or entity 
intending to obtain the compulsory license shall serve Statements of 
Account and the monthly royalty in accordance with Sec. 201.19(a)(4).
    (c) Form. The Copyright Office does not provide printed forms for 
the use of persons serving or filing Notices of Intention.
    (d) Content. (1) A Notice of Intention shall be clearly and 
prominently designated, at the head of the notice, as a ``Notice of 
Intention to Obtain a Compulsory License for Making and Distributing 
Phonorecords,'' and shall include a clear statement of the following 
information:
    (i) The full legal name of the person or entity intending to obtain 
the compulsory license, together with all fictitious or assumed names 
used by such person or entity for the purpose of conducting the business 
of making and distributing phonorecords;
    (ii) The telephone number, the full address, including a specific 
number and street name or rural route of the place of business, and an 
e-mail address, if available, of the person or entity intending to 
obtain the compulsory license, and if a business organization intends to 
obtain the compulsory license, the name and title of the chief executive 
officer, managing partner, sole proprietor or other person similarly 
responsible for the management of such entity. A post office box or 
similar designation will not be sufficient for this purpose except where 
it is the only address that can be used in that geographic location.
    (iii) The information specified in paragraphs (d)(1)(i) and (ii) of 
this section for the primary entity expected to be engaged in the 
business of making and distributing phonorecords under the license or of 
authorizing such making and distribution (for example: a record company 
or digital music service), if an entity intending to obtain the 
compulsory license is a holding company, trust or other entity that is 
not expected to be actively engaged in the business of making and 
distributing phonorecords under the license or of authorizing such 
making and distribution;
    (iv) The fiscal year of the person or entity intending to obtain the 
compulsory license. If that fiscal year is a calendar year, the Notice 
shall state that this is the case;
    (v) For each nondramatic musical work embodied or intended to be 
embodied in phonorecords made under the compulsory license:
    (A) The title of the nondramatic musical work;
    (B) The name of the author or authors, if known;
    (C) A copyright owner of the work, if known;
    (D) The types of all phonorecord configurations already made (if 
any) and expected to be made under the compulsory license (for example: 
single disk, long-playing disk, cassette, cartridge, reel-to-reel, a 
digital phonorecord delivery, or a combination of them);
    (E) The expected date of initial distribution of phonorecords 
already made (if any) or expected to be made under the compulsory 
license;
    (F) The name of the principal recording artist or group actually 
engaged or expected to be engaged in rendering the performances fixed on 
phonorecords already made (if any) or expected to be made under the 
compulsory license;
    (G) The catalog number or numbers, and label name or names, used or 
expected to be used on phonorecords already made (if any) or expected to 
be made under the compulsory license; and
    (H) In the case of phonorecords already made (if any) under the 
compulsory license, the date or dates of such manufacture.
    (vi) In the case where the Notice will be filed with the Copyright 
Office pursuant to paragraph (f)(3) of this section, the Notice shall 
include an affirmative statement that with respect to the nondramatic 
musical work named in the Notice of Intention, the registration records 
or other public records of the Copyright Office have been searched and 
found not to identify the name and address of the copyright owner of 
such work.
    (2) A ``clear statement'' of the information listed in paragraph 
(d)(1) of this section requires a clearly intelligible,

[[Page 500]]

legible, and unambiguous statement in the Notice itself and without 
incorporation by reference of facts or information contained in other 
documents or records.
    (3) Where information is required to be given by paragraph (d)(1) of 
this section ``if known'' or as ``expected,'' such information shall be 
given in good faith and on the basis of the best knowledge, information, 
and belief of the person signing the Notice. If so given, later 
developments affecting the accuracy of such information shall not affect 
the validity of the Notice.
    (e) Signature. The Notice shall be signed by the person or entity 
intending to obtain the compulsory license or by a duly authorized agent 
of such person or entity.
    (1) If the person or entity intending to obtain the compulsory 
license is a corporation, the signature shall be that of a duly 
authorized officer or agent of the corporation.
    (2) If the person or entity intending to obtain the compulsory 
license is a partnership, the signature shall be that of a partner or of 
a duly authorized agent of the partnership.
    (3) If the Notice is signed by a duly authorized agent for the 
person or entity intending to obtain the compulsory license, the Notice 
shall include an affirmative statement that the agent is authorized to 
execute the Notice of Intention on behalf of the person or entity 
intending to obtain the compulsory license.
    (4) If the Notice is served electronically, the person or entity 
intending to obtain the compulsory license and the copyright owner shall 
establish a procedure to verify that the Notice is being submitted upon 
the authority of the person or entity intending to obtain the compulsory 
license.
    (f) Filing and service. (1) If the registration records or other 
public records of the Copyright Office identify the copyright owner of 
the nondramatic musical works named in the Notice of Intention and 
include an address for such owner, the Notice may be served on such 
owner by mail sent to, or by reputable courier service at, the last 
address for such owner shown by the records of the Office. It shall not 
be necessary to file a copy of the Notice in the Copyright Office in 
this case.
    (2) If the Notice is sent by mail or delivered by reputable courier 
service to the last address for the copyright owner shown by the records 
of the Copyright Office and the Notice is returned to the sender because 
the copyright owner is no longer located at the address or has refused 
to accept delivery, the original Notice as sent shall be filed in the 
Copyright Office. Notices of Intention submitted for filing under this 
paragraph (f)(2) shall be submitted to the Licensing Division of the 
Copyright Office, shall be accompanied by a brief statement that the 
Notice was sent to the last address for the copyright owner shown by the 
records of the Copyright Office but was returned, and may be accompanied 
by appropriate evidence that it was mailed to, or that delivery by 
reputable courier service was attempted at, that address. In these 
cases, the Copyright Office will specially mark its records to consider 
the date the original Notice was mailed, or the date delivery by courier 
service was attempted, if shown by the evidence mentioned above, as the 
date of filing. An acknowledgment of receipt and filing will be provided 
to the sender.
    (3) If, with respect to the nondramatic musical works named in the 
Notice of Intention, the registration records or other public records of 
the Copyright Office do not identify the copyright owner of such work 
and include an address for such owner, the Notice may be filed in the 
Copyright Office. Notices of Intention submitted for filing shall be 
accompanied by the fee specified in Sec. 201.3(e). A separate fee shall 
be assessed for each title listed in the Notice. Notices of Intention 
will be filed by being placed in the appropriate public records of the 
Licensing Division of the Copyright Office. The date of filing will be 
the date when the Notice and fee are both received in the Copyright 
Office. An acknowledgment of receipt and filing will be provided to the 
sender.
    (4) Alternatively, if the person or entity intending to obtain the 
compulsory license knows the name and address of the copyright owner of 
the nondramatic musical work, or the

[[Page 501]]

agent of the copyright owner as described in paragraph (a)(4) of this 
section, the Notice of Intention may be served on the copyright owner or 
the agent of the copyright owner by sending the Notice by mail or 
delivering it by reputable courier service to the address of the 
copyright owner or agent of the copyright owner. For purposes of section 
115(b)(1) of title 17 of the United States Code, the Notice will not be 
considered properly served if the Notice is not sent to the copyright 
owner or the agent of the copyright owner as described in paragraph 
(a)(4) of this section, or if the Notice is sent to an incorrect 
address.
    (5) If a Notice of Intention is sent by certified mail or registered 
mail, a mailing receipt shall be sufficient to prove that service was 
timely. If a Notice of Intention is delivered by a reputable courier, 
documentation from the courier showing the first date of attempted 
delivery shall also be sufficient to prove that service was timely. In 
the absence of a receipt from the United States Postal Service showing 
the date of delivery or documentation showing the first date of 
attempted delivery by a reputable courier, the compulsory licensee shall 
bear the burden of proving that the Notice of Intention was served in a 
timely manner.
    (6) If a Notice served upon a copyright owner or an authorized agent 
of a copyright owner identifies more than 50 works that are embodied or 
intended to be embodied in phonorecords made under the compulsory 
license, the copyright owner or the authorized agent may send the person 
who served the Notice a demand that a list of each of the works so 
identified be resubmitted in an electronic format, along with a copy of 
the original Notice. The person who served the Notice must submit such a 
list, which shall include all of the information required in paragraph 
(d)(1)(v) of this section, within 30 days after receipt of the demand 
from the copyright owner or authorized agent. The list shall be 
submitted on magnetic disk or another medium widely used at the time for 
electronic storage of data, in the form of a flat file, word processing 
document or spreadsheet readable with computer software in wide use at 
such time, with the required information identified and/or delimited so 
as to be readily discernible. The list may be submitted by means of 
electronic transmission (such as e-mail) if the demand from the 
copyright owner or authorized agent states that such submission will be 
accepted.
    (g) Harmless errors. Harmless errors in a Notice that do not 
materially affect the adequacy of the information required to serve the 
purposes of section 115(b)(1) of title 17 of the United States Code, 
shall not render the Notice invalid.

[69 FR 34582, June 22, 2004]