Subchapter A—Copyright Office and Procedures

SUBCHAPTER A—COPYRIGHT OFFICE AND PROCEDURES

PART 201—GENERAL PROVISIONS 201.26 Recordation of documents pertaining to computer shareware and donation of public domain computer software. Sec. 201.27 Initial notice of distribution of dig- 201.1 Communication with the Copyright ital recording devices or media. Office. 201.28 Statements of Account for digital 201.2 Information given by the Copyright audio recording devices or media. Office. 201.29 Access to, and confidentiality of, 201.3 Fees for registration, recordation, and Statements of Account, Verification related services, special services, and Auditor’s Reports, and other verification services performed by the Licensing Di- information filed in the Copyright Office vision. for digital audio recording devices or 201.4 Recordation of transfers and certain media. other documents. 201.5 Corrections and amplifications of 201.30 Verification of Statements of Ac- copyright registrations; applications for count. supplementary registration. 201.31 Procedures for copyright restoration 201.6 Payment and refund of Copyright Of- in the United States for certain motion fice fees. pictures and their contents in accordance 201.7 Cancellation of completed registra- with the North American Free Trade tions. Agreement. 201.8 Disruption of postal or other transpor- 201.32 [Reserved] tation or communication services. 201.33 Procedures for filing Notices of In- 201.9 Recordation of agreements between tent to Enforce a restored copyright copyright owners and public broad- under the Uruguay Round Agreements casting entities. Act. 201.10 Notices of termination of transfers 201.34 Procedures for filing Correction No- and licenses. tices of Intent to Enforce a Copyright 201.11 Satellite carrier statements of ac- Restored under the Uruguay Round count covering statutory licenses for sec- Agreements Act. ondary transmissions. 201.35–201.37 [Reserved] 201.12 Recordation of certain contracts by 201.38 Designation of agent to receive noti- cable systems located outside of the fication of claimed infringement. forty-eight contiguous States. 201.39 Notice to Libraries and Archives of 201.13 Notices of objection to certain non- Normal Commercial Exploitation or commercial performances of non-dra- Availability at Reasonable Price. matic literary or musical works. 201.40 Exemption to prohibition against cir- 201.14 Warnings of copyright for use by cer- cumvention. tain libraries and archives. AUTHORITY: 17 U.S.C. 702. 201.15–201.16 [Reserved] Section 201.10 also issued under 17 U.S.C. 201.17 Statements of Account covering com- 304. pulsory licenses for secondary transmissions by cable systems. 201.18 Notice of intention to obtain a com- § 201.1 Communication with the Copy- pulsory license for making and distrib- right Office. uting phonorecords of non-dramatic mu- (a) General purpose addresses. Mem- sical works. bers of the public must use the correct 201.19 Royalties and statements of account address in order to facilitate timely re- under compulsory license for making and ceipt by the copyright division or sec- distributing phonorecords of nondramatic musical works. tion to which an inquiry should be di- 201.20 Methods of affixation and positions of rected. The following addresses may be the copyright notice on various types of used for general inquiries made to a works. particular division or section of the 201.21 [Reserved] Copyright Office. Addresses for special, 201.22 Advance notices of potential infringe- limited purposes are provided below in ment of works consisting of sounds, im- paragraph (b) of this section. Anyone ages, or both. who is not certain where a particular 201.23 Transfer of unpublished copyright deposits to the Library of Congress. inquiry should be directed, should in- 201.24 Warning of copyright for software quire about the proper address through lending by nonprofit libraries. the ‘‘Contact us’’ section on the Of- 201.25 Visual Arts Registry. fice’s Web site (http://

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www.copyright.gov) or call the Public computer generated application forms; Information Office at (202) 707–3000. requests for expedited service from ei- (1) In general. Mail and other commu- ther the Certifications and Documents nications which do not come under the Section or Reference and Bibliography areas listed in paragraph (a) or (b) of Section to meet the needs of pending or this section shall be addressed to the prospective litigation, customs mat- Library of Congress, Copyright Office, ters or contract or publishing deadlines 101 Independence Avenue, SE., Wash- should be addressed to: Copyright GC/ ington, DC 20559–6000. I&R, P.O. Box 70400, Southwest Sta- (2) Inquiries to Licensing Division. In- tion, Washington, DC 20024–0400. quiries about filings related to the (2) Copyright Arbitration Royalty Pan- compulsory licenses (17 U.S.C. 111, 112, els (CARPs). CARP claims, filings, and 114, 115, 118, 119, 122 and chapter 10) general CARP correspondence should should be addressed to the Library of be mailed to: Copyright Arbitration Congress, Copyright Office, Licensing Royalty Panel (CARP), P.O. Box 70977, Division, 101 Independence Avenue, Southwest Station, Washington, DC SE., Washington, DC 20557–6400. 20024–0977. (3) Copies of records or deposits. Re- [69 FR 39331, June 30, 2004] quests for copies of records or deposits for use in litigation or other authorized § 201.2 Information given by the Copy- purposes should be addressed to the right Office. Certifications and Documents Section, (a) In general. (1) Information relative LM–402, Library of Congress, Copyright to the operations of the Copyright Of- Office, 101 Independence Avenue, SE., fice is supplied without charge. A Washington, DC 20559–6302. search of the records, indexes, and de- (4) Search of records. Requests for posits will be made for such informa- searches of registrations and tion as they may contain relative to recordations in the completed catalogs, copyright claims upon application and indexes, and other records of the Copy- payment of the statutory fee. The right Office should be addressed to the Copyright Office, however, does not un- Reference and Bibliography Section, dertake the making of comparisons of LM–450, Library of Congress, Copyright copyright deposits to determine simi- Office, 101 Independence Avenue, SE., larity between works. Washington, DC 20559–6306. Records (2) The Copyright Office does not fur- dating from January 1, 1978, forward nish the names of copyright attorneys, are available for searching on the publishers, agents, or other similar in- Copyright Office’s Web site at http:// formation. www.copyright.gov: COHM, which in- (3) In the administration of the Copy- cludes information on all registrations right Act in general, the Copyright Of- except serials; COHD, which includes fice interprets the Act. The Copyright information on recordations; and Office, however, does not give specific COHS, which includes information on legal advice on the rights of persons, serials. whether in connection with particular (b) Limited purpose addresses. The following addresses may be used only in uses of copyrighted works, cases of al- the special, limited circumstances leged foreign or domestic copyright in- given for a particular Copyright Office fringement, contracts between authors service: and publishers, or other matters of a (1) Time sensitive requests. Freedom of similar nature. Information (FOIA) requests; notices of (b) Inspection and copying of records. filing of copyright infringement law- (1) Inspection and copying of completed suits; 3 comments for rulemaking pro- records and indexes relating to a reg- ceedings; requests for Copyright Office istration or a recorded document, and speakers; requests for approvals of inspection of copies or identifying material deposited in connection with a completed copyright registration may 3 All litigation material is time sensitive and must be addressed to the appropriate be undertaken in the Certifications and section of the Copyright Office; the Office is Documents Section. Since some of also publishing new regulations governing these materials are not stored on the legal process. immediate premises of the Copyright

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Office, it is advisable to consult the right claimant or his/her authorized Certifications and Documents Section representative, and to determine the length of time nec- (ii) In the case of documents, upon essary to produce the requested mate- the request of at least one of the per- rials. sons who executed the document or by (2) It is the general policy of the an authorized representative of that Copyright Office to deny direct public person. access to in-process files and to any These requests should be made to the work (or other) areas where they are Public Information Office, and the re- kept. However, direct public use of view of the materials will be permitted computers intended to access the auto- there. No charge will be made for re- mated equivalent of limited portions of viewing these materials; the appro- these files is permitted on a specified priate search fee identified in § 201.3(c) terminal in the Records Maintenance or § 201.3(d) will be assessed, and the ap- Unit, LM B–14, Monday through Fri- propriate copying fee identified in day, upon payment of applicable fees. § 201.3(c) or § 201.3(d) will be assessed if (3) Information contained in Copy- right Office in-process files may be ob- the claimant wants and is entitled to a tained by anyone upon payment of ap- copy of the material. plicable fees and request to the Infor- (5) In exceptional circumstances, the mation and Reference Division, in ac- Register of Copyrights may allow in- cordance with the following proce- spection of pending applications and dures: open correspondence files by someone (i) In general, all requests by the pub- other than the copyright claimant, lic for information in the in-process upon submission of a written request and open unfinished business files which is deemed by the Register to should be made to the Certifications show good cause for such access and es- and Documents Section, which upon re- tablishes that the person making the ceipt of applicable fees will give a re- request is one properly and directly port that provides the following for concerned. The written request should each request: be addressed to Copyright GC/I&R, P.O. (A) The date(s) of receipt of: Box 70400, Southwest Station, Wash- (1) The application(s) for registration ington, DC 20024. that may have been submitted and is (6) Direct public access will not be (are) in process; permitted to any financial or account- (2) The document(s) that may have ing records, including records main- been submitted for recordation and is tained on Deposit Accounts. (are) in process; (7) The Copyright Office maintains (3) The copy or copies (or administrative staff manuals referred phonorecords) that may have been sub- to as its ‘‘Compendium of Office Prac- mitted; tices I’’ and ‘‘Compendium of Office (B) The title of the work(s); and Practices II’’ for the general guidance (C) The name of the remitter. of its staff in making registrations and (ii) Such searches of the in-process recording documents. The manuals, as files will be given priority to the ex- amended and supplemented from time tent permitted by the demands of nor- to time, are available for purchase mal work flow of the affected sections from the National Technical Informa- of the Copyright Office. tion Service (Compendium I) and the (4) Access will be afforded as follows Government Printing Office (Compen- to pending applications for registra- dium II). They are also available for tion, the deposit material accom- public inspection and copying in the panying them, and pending documents Certifications and Documents Section. for recordation that were submitted As the Office updates and revises cer- within the twelve month period imme- tain chapters of Compendium II, it will diately preceding the request for ac- make the information available on the cess: Copyright Office’s Web site. This infor- (i) In the case of applications for reg- mation is also available for public in- istration and deposits accompanying spection and copying in the Certifi- them, upon the request of the copy- cations and Documents Section.

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(c) Correspondence. (1) Official cor- (ii) A specification of whether the respondence, including preliminary ap- copies are to be certified or uncertified. plications, between copyright claim- (iii) A clear identification of the spe- ants or their agents and the Copyright cific records to be copied. Requests Office, and directly relating to a com- should include the following specific pleted registration, a recorded docu- information, if possible: ment, a rejected application for reg- (A) The type of work involved (for ex- istration, or a document for which rec- ample, novel, lyrics, photograph); ordation was refused is available for (B) The registration number; public inspection. Included in the cor- (C) The year date or approximate respondence available for public in- year date of registration; spection is that portion of the file di- (D) The complete title of the work; rectly relating to a completed registra- (E) The author(s) including any pseu- tion, recorded document, a rejected ap- donym by which the author may be plication for registration, or a docu- known; and ment for which recordation was refused (F) The claimant(s); and which was once open to public inspec- (G) If the requested copy is of an as- tion as a closed case, even if the case is signment, license, contract, or other subsequently reopened. Public inspec- recorded document, the volume and tion is available only for the cor- page number of the recorded document. respondence contained in the file dur- (iv) If the copy requested is an addi- ing the time it was closed because of tional certificate of registration, in- one of the aforementioned actions. Cor- clude the fee. The Certifications and respondence relating to the reopening Documents Section will review re- of the file and reconsideration of the quests for copies of other records and case is considered part of an in-process quote fees for each. file until final action is taken, and pub- (v) The telephone number and ad- lic inspection of that correspondence is dress of the requestor. governed by § 201.2(b). Requests for re- (2) Requests for certified or productions of the correspondence shall uncertified reproductions of the copies, be made pursuant to paragraph (d) of phonorecords, or identifying material this section. deposited in connection with a copy- (2) Correspondence, application right registration of published or un- forms, and any accompanying material published works in the custody of the forming a part of a pending application Copyright Office will be granted only are considered in-process files and ac- when one of the following three condi- cess to them is governed by paragraph tions has been met: (b) of this section. (i) The Copyright Office receives (3) Correspondence, memoranda, re- written authorization from the copy- ports, opinions, and similar material right claimant of record or his or her relating to internal matters of per- designated agent, or from the owner of sonnel and procedures, office adminis- any of the exclusive rights in the copy- tration, security matters, and internal right as long as this ownership can be consideration of policy and decisional demonstrated by written documenta- matters including the work product of tion of the transfer of ownership. an attorney, are not open to public in- (ii) The Copyright Office receives a spection. written request from an attorney on (4) The Copyright Office will not re- behalf of either the plaintiff or defend- spond to any abusive or scurrilous cor- ant in connection with litigation, ac- respondence or correspondence where tual or prospective, involving the copy- the intent is unknown. righted work. The following informa- (d) Requests for copies. (1) Requests for tion must be included in such a re- copies of records should include the fol- quest: lowing: (A) The names of all the parties in- (i) A clear identification of the type volved and the nature of the con- of records desired (for example, addi- troversy; tional certificates of registration, cop- (B) The name of the court in which ies of correspondence, copies of depos- the actual case is pending or, in the its). case of a prospective proceeding, a full

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statement of the facts of the con- § 201.3 Fees for registration, recorda- troversy in which the copyrighted tion, and related services, special work is involved; and services, and services performed by (C) Satisfactory assurance that the the Licensing Division. requested reproduction will be used (a) General. This section prescribes only in connection with the specified the fees for registration, recordation, litigation. and related services, special services, (iii) The Copyright Office receives a and services performed by the Licens- court order for reproduction of the de- ing Division. posited copies, phonorecords, or identi- (b) Definitions. For purposes of this fying material of a registered work section, the following definitions which is the subject of litigation. The apply: order must be issued by a court having (1) Registration, recordation, and re- jurisdiction of the case in which the related service fee. This is the fee for a production is to be submitted as evi- registration or recordation service that dence. the Office is required to perform under 17 U.S.C., or a directly related service. (3) When a request is made for a re- It includes those services described in production of a phonorecord, such as section 708(a)(1)–(9) and authorized by an audiotape or cassette, in which ei- Pub. L. 105–80. ther a sound recording or the under- (2) Special service fee. This is a fee for lying musical, dramatic, or literary a special service not specified in title work is embodied, the Copyright Office 17, which the Register of Copyrights will provide proximate reproduction. may fix at any time on the basis of the The Copyright Office reserves the right cost of providing the service, as pro- to substitute a monaural reproduction vided by 17 U.S.C. 708(a)(10). for a stereo, quadraphonic, or any (3) Licensing Division service fee. This other type of fixation of the work ac- is a fee for a service performed by the cepted for deposit. Licensing Division. [50 FR 30170, July 24, 1985, as amended at 51 (c) Registration, recordation and related FR 30062, Aug. 22, 1986; 62 FR 35421, July 1, service fees. The Copyright Office has 1997; 64 FR 29520, June 1, 1999; 69 FR 39332, established the following fees for these June 30, 2004; 69 FR 70377, Dec. 6, 2004] services:

Registration, recordation and related services Fees

(1) Registration of a basic claim in an original work of authorship: Forms TX, SE, PA, VA (including Short Form) and Form SR ...... $30 (2) Registration of a claim in a group of contributions to a periodical (GR/CP) ...... 30 (3) Registration of a renewal claim (Form RE): Claim without Addendum ...... 60 Addendum ...... 30 (4) Registration of a claim in a mask work (Form MW) ...... 75 (5) Registration of a claim in a group of serials (Form SE/Group) [per issue, with $45 minimum] ...... 15 (6) Registration of a claim in a group of daily newspapers and qualified newsletters (Form G/D N) ...... 55 (7) Registration of a claim in a restored copyright (Form GATT) ...... 30 (8) Registration of a claim in a group of restored works (Form GATT/Group) [per issue, with $45 minimum] ...... 15 (9) Registration of a correction or amplification to a claim (Form CA) ...... 100 (10) Providing an additional certificate of registration ...... 30 (11) Certification of other Copyright Office records (per hour) ...... 80 (12) Search—report prepared from official records (per hour) ...... 75 (13) Location of Copyright Office records (per hour) ...... 80 Location of in-process materials (per hour) ...... 100 (14) Recordation of document (single title) ...... 80 Additional titles (per group of 10 titles) ...... 20 (15) Recordation of a Notice of Intention to Enforce (NIE) a restored copyright containing no more than one title ...... 30 Additional NIE titles (each) ...... 1 (16) Recordation of Notice of Intention to Make and Distribute Phonorecords ...... 12 (17) Issuance of a receipt for a § 407 deposit ...... 10

(d) Special service fees. The Copyright Office has established the following fees for special services:

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Special services Fees

(1) Service charge for deposit account overdraft ...... $100 (2) Service charge for dishonored deposit account replenishment check ...... 35 (3) Appeals: (i) First appeal ...... 200 Additional claim in related group ...... 20 (ii) Second appeal ...... 500 Additional claim in related group ...... 20 (4) Secure test processing charge, per hour ...... 60 (5) Copying of Copyright Office Records by staff, per page (black & white) ...... 50 (6) Special handling fee for a claim ...... 580 Each additional claim using the same deposit ...... 50 (7) Special handling fee for recordation of a document ...... 330 (8) Full-term retention of a published deposit ...... 425 (9) Expedited Reference and Bibliography search and report (surcharge, per hour) ...... 250 (10) Expedited Certification & Documents services (surcharge, per hour) ...... 200

(e) Licensing Division service fees. The following fees for certain services per- Copyright Office has established the formed by the Licensing Division:

Licensing Division services Fees

(1) Recordation of a Notice of Intention to Make and Distribute Phonorecords (17 U.S.C. 115) ...... $12 (2) Certificate of Filing a Notice of Intention (17 U.S.C. 115) ...... 8 (3) Filing Fee for Recordation of License Agreements under 17 U.S.C. 118 ...... 50 (4) Recordation of Certain Contracts by Cable Television Systems Located Outside the Forty-Eight Contiguous States ...... 50 (5) Initial Notice of Digital Transmission of Sound Recording (17 U.S.C. 114) ...... 20 Amendment of 17 U.S.C. 114 Notice ...... 20 (6) Statement of Account Amendment (Cable Television Systems and Satellite Carriers, 17 U.S.C. 111 and 119) 15 (7) Statement of Account Amendment (Digital Audio Recording Devices or Media, 17 U.S.C. 1003) ...... 20 (8) Using Public Photocopier, per page ...... 25 Photocopies Made by Licensing Staff, per page ...... 40 (9) Search, per hour ...... 65 (10) Certification of Search Report ...... 65

[64 FR 29520, June 1, 1999, as amended at 64 FR 36574, July 7, 1999; 65 FR 39819, June 28, 2000; 67 FR 38005, May 31, 2002]

§ 201.4 Recordation of transfers and (iii) Original, signed notices of inten- certain other documents. tion to obtain compulsory license to make and distribute phonorecords of (a) General. (1) This section prescribes nondramatic musical works (17 U.S.C. conditions for the recordation of trans- 115(b); see 37 CFR 201.18); fers of copyright ownership and other (iv) License agreements, and terms documents pertaining to a copyright and rates of royalty payments, volun- under section 205 of title 17 of the tarily negotiated between one or more United States Code, as amended by public broadcasting entities and cer- Pub. L. 94–553. The filing or recordation tain owners of copyright (17 U.S.C. 118; of the following documents is not with- see 37 CFR 201.9); in the provisions of this section: (v) Notices of termination (17 U.S.C. (i) Certain contracts entered into by 203, 304(c) and (d); see 37 CFR 201.10); cable systems located outside of the 48 and contiguous States (17 U.S.C. 111(e); see (vi) Statements regarding the iden- 37 CFR 201.12); tity of authors of anonymous and pseu- (ii) Notices of identity and signal car- donymous works, and statements relat- riage complement, and statements of ing to the death of authors (17 U.S.C. account of cable systems and satellite 302). (2) A transfer of copyright ownership carriers and for digital audio recording has the meaning set forth in section 101 devices and media (17 U.S.C. 111(d), of title 17 of the United States Code, as 119(b) and 1003(c); see 37 CFR 201.11; amended by Pub. L. 94–553. A document 201.17; 201.28); shall be considered to ‘‘pertain to a

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copyright’’ if it has a direct or indirect (2) To be recordable, the document relationship to the existence, scope, must be complete by its own terms. duration, or identification of a copy- (i) A document that contains a ref- right, or to the ownership, division, al- erence to any schedule, appendix, ex- location, licensing, transfer, or exer- hibit, addendum, or other material as cise of rights under a copyright. That being attached to the document or relationship may be past, present, fu- made a part of it shall be recordable ture, or potential. only if the attachment is also sub- (3) For purposes of this section: mitted for recordation with the docu- (i) A sworn certification is an affidavit ment or if the reference is deleted by under the official seal of any officer au- the parties to the document. If a docu- thorized to administer oaths within the ment has been submitted for recorda- United States, or if the original is lo- tion and has been returned by the cated outside of the United States, Copyright Office at the request of the under the official seal of any diplo- sender for deletion of the reference to matic or consular officer of the United an attachment, the document will be States or of a person authorized to ad- recorded only if the deletion is signed minister oaths whose authority is or initialed by the persons who exe- proved by the certificate of such an of- cuted the document or by their author- ficer, or a statement in accordance ized representatives. In exceptional with section 1746 of title 28 of the cases a document containing a ref- United States Code; and erence to an attachment will be re- (ii) An official certification is a certifi- corded without the attached material cation, by the appropriate Government and without deletion of the reference if official, that the original of the docu- the person seeking recordation submits ment is on file in a public office and a written request specifically asserting that the reproduction is a true copy or that: the original. (A) The attachment is completely un- (b) Forms. The Copyright Office does available for recordation; and not provide forms for the use of persons (B) The attachment is not essential recording documents. to the identification of the subject (c) Recordable documents. Any trans- matter of the document; and fer of copyright ownership (including (C) It would be impossible or wholly any instrument of conveyance, or note impracticable to have the parties to or memorandum of the transfer), or the document sign or initial a deletion any other document pertaining to a of the reference. copyright, may be recorded in the In such exceptional cases, the Copy- Copyright Office if it is accompanied right Office records of the document by the fee set forth in paragraph (d) of will be annotated to show that recorda- this section, and if the requirements of tion was made in response to a specific this paragraph with respect to signa- request under this paragraph. tures, completeness, and legibility are (ii) If a document otherwise record- met. able under this title indicates on its (1) To be recordable, the document face that it is a self-contained part of a must bear the actual signature or sig- larger instrument (for example: if it is natures of the person or persons who designated ‘‘Attachment A’’ or ‘‘Ex- executed it. Alternatively, the docu- hibit B’’), the Copyright Office will ment may be recorded if it is a legible raise the question of completeness, but photocopy or other legible facsimile re- will record the document if the person production of the signed document, ac- requesting recordation asserts that the companied by a sworn certification or document is sufficiently complete as it an official certification that the repro- stands. duction is a true copy of the signed (iii) When the document submitted document. Any sworn certification ac- for recordation merely identifies or in- companying a reproduction shall be corporates by reference another docu- signed by at least one of the parties to ment, or certain terms of another doc- the signed document, or by an author- ument, the Copyright Office will raise ized representative of that person. no question of completeness, and will

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not require recordation of the other will be made except pursuant to the document. provisions of this § 201.5. As an excep- (3) To be recordable, the document tion, where it is discovered that the must be legible and capable of being re- record of a basic registration contains produced in legible microform copies. an error that the Copyright Office (d) Fees. The fees for recordation of a itself should have recognized at the document are prescribed in § 201.3(c). time registration was made, the Office (e) Recordation. The date of recorda- will take appropriate measures to rec- tion is the date when a proper docu- tify its error. ment under paragraph (c) of this sec- (b) Persons entitled to file an application and a proper fee under paragraph tion for supplementary registration; (d) of this section are all received in grounds of application. (1) Supple- the Copyright Office. After recordation mentary registration can be made only the document is returned to the sender if a basic copyright registration for the with a certificate of record. same work has already been completed. After a basic registration has been (17 U.S.C. 205, 702, 708) completed, any author or other copy- [43 FR 35044, Aug. 8, 1978, as amended at 53 right claimant of the work, or the FR 123, Jan. 5, 1988; 56 FR 59885, Nov. 26, 1991; owner of any exclusive right in the 64 FR 29521, June 1, 1999; 65 FR 39819, June 28, work, or the duly authorized agent of 2000; 67 FR 69136, Nov. 15, 2002; 70 FR 38022, any such author, other claimant, or July 1, 2005] owner, who wishes to correct or am- § 201.5 Corrections and amplifications plify the information given in the basic of copyright registrations; applica- registration for the work may file an tions for supplementary registra- application for supplementary registration. tion.1 (a) General. (1) This section prescribes (2) Supplementary registration may conditions relating to the filing of an be made either to correct or to amplify application for supplementary registra- the information in a basic registration. tion, to correct an error in a copyright For the purposes of this section: registration or to amplify the informa- (i) A correction is appropriate if infor- tion given in a registration, under sec- mation in the basic registration was tion 408(d) of title 17 of the United incorrect at the time that basic reg- States Code, as amended by Pub. L. 94– istration was made, and the error is 553. For the purposes of this section: not one that the Copyright Office itself (i) A basic registration means any of should have recognized; the following: (ii) An amplification is appropriate: (A) A copyright registration made (A) To supplement or clarify the in- under sections 408, 409, and 410 of title formation that was required by the ap- 17 of the United States Code, as amend- plication for the basic registration and ed by Pub. L. 94–553; should have been provided, such as the (B) A renewal registration made identity of a co-author or co-claimant, under section 304 of title 17 of the but was omitted at the time the basic United States Code, as so amended; registration was made, or (C) A registration of claim to copy- (B) To reflect changes in facts, other right made under title 17 of the United than those relating to transfer, license, States Code as it existed before Janu- or ownership of rights in the work, ary 1, 1978; or that have occurred since the basic reg- (D) A renewal registration made istration was made. under title 17 of the United States Code (iii) Supplementary registration is as it existed before January 1, 1978; and not appropriate: (ii) A supplementary registration means a registration made upon appli- 1 If the person who, or on whose behalf, an cation under section 408(d) of title 17 of application for supplementary registration is the United States Code, as amended by submitted is the same as the person identified as the copyright claimant in the basic Pub. L. 94–553, and the provisions of registration, the Copyright Office will place this section. a note referring to the supplementary reg- (2) No correction or amplification of istration on its records of the basic registra- the information in a basic registration tion.

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(A) As an amplification, to reflect a (v) In the case of a correction: change in ownership that occurred on (A) The line number and heading or or after the effective date of the basic description of the part of the basic reg- registration or to reflect the division, istration where the error occurred; allocation, licensing or transfer of (B) A transcription of the erroneous rights in a work; or information as it appears in the basic (B) To correct errors in statements registration; or notices on the copies of (C) A statement of the correct infor- phonorecords of a work, or to reflect mation as it should have appeared; and changes in the content of a work; and (D) If desired, an explanation of the (iv) Where a basic renewal registra- error or its correction; tion has been made for a work during (vi) In the case of an amplification: the last year of the relevant first-term (A) The line number and heading or copyright, supplementary registration description of the part of the basic reg- to correct the renewal claimant or istration where the information to be basis of claim or to add a renewal amplified appears; claimant is ordinarily possible only if (B) A clear and succinct statement of the application for supplementary reg- the information to be added; and istration and fee are received in the (C) If desired, an explanation of the Copyright Office within the last year of amplification; the relevant first-term copyright. If the error or omission in a basic re- (vii) The name and address: newal registration is extremely minor, (A) To which correspondence con- and does not involve the identity of the cerning the application should be sent; renewal claimant or the legal basis of and the claim, supplementary registration (B) To which the certificate of sup- may be made at any time. In an excep- plementary registration should be tional case, however, supplementary mailed; and registration may be made to correct (viii) The certification shall consist the name of the renewal claimant and of: the legal basis of the claim at any time (A) The handwritten signature of the if clear, convincing, objective docu- author, other copyright claimant, or mentation is submitted to the Copy- owner of exclusive right(s) in the work, right Office which proves that an inad- or of the duly authorized agent of such vertent error was made in failing to author, other claimant or owner (who designate the correct living statutory shall also be identified); renewal claimant in the basic renewal (B) The typed or printed name of the registration. person whose signature appears, and (c) Form and content of application for the date of signature; and supplementary registration. (1) An appli- (C) A statement that the person sign- cation for supplementary registration ing the application is the author, other shall be made on a form prescribed by copyright claimant, or owner of exclu- the Copyright Office, shall be accom- sive right(s) in the work, or the author- panied by the appropriate fee identified ized agent of such author, other claim- in § 201.3(c) and shall contain the fol- ant, or owner, and that the statements lowing information: made in the application are correct to (i) The title of the work as it appears the best of that person’s knowledge. in the basic registration, including pre- (2) The form prescribed by the Copy- vious or alternative titles if they ap- right Office for the foregoing purposes pear; is designated ‘‘Application for Supple- (ii) The registration number of the mentary Copyright Registration (Form basic registration; CA)’’. Copies of the form are available (iii) The year when the basic reg- free upon request to the Public Infor- istration was completed; mation Office, Library of Congress, (iv) The name or names of the author Copyright Office, 101 Independence Av- or authors of the work, and the copy- enue, SE, Washington, DC 20559-6000. right claimant or claimants in the (3) Copies, phonorecords or sup- work, as they appear in the basic reg- porting documents cannot be made istration; part of the record of a supplementary

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registration and should not be sub- jected because the material deposited mitted with the application. does not constitute copyrightable sub- (d) Effect of supplementary registration. ject matter or because the claim is in- (1) When a supplementary registration valid for any other reason. Payments is completed, the Copyright Office will made by mistake or in excess of the assign it a new registration number in statutory fee will be refunded, but the appropriate class, and issue a cer- amounts of $50 or less will not be re- tificate of supplementary registration funded unless specifically requested, under that number. and refunds of less than $2 may be (2) As provided in section 408(d) of made in postage stamps. Before mak- title 17, the information contained in a ing any refund for fees remitted in re- supplementary registration augments lation to nonregistration copyright but does not supersede that contained services, the Copyright Office shall de- in the basic registration. The basic reg- duct an administrative processing fee istration will not be expunged or can- in an amount equivalent to one hour of celled. the requested service, or the minimum fee set by statute for the service. (Pub. L. 94–553; 17 U.S.C. 205, 408(d), 601(b), 702, 708) (d) Return of deposit copies. Copies of works deposited in the Copyright Office [43 FR 773, Jan. 4, 1978, as amended at 56 FR pursuant to law are either retained in 59885, Nov. 26, 1991; 57 FR 60482, Dec. 21, 1992; 60 FR 34168, June 30, 1995; 62 FR 35421, July 1, the Copyright Office, transferred for 1997; 63 FR 59236, Nov. 3, 1998; 63 FR 66042, the permanent collections or other Dec. 1, 1998; 64 FR 29521, June 1, 1999; 65 FR uses of the Library of Congress, or dis- 39819, June 28, 2000; 65 FR 48914, Aug. 10, 2000; posed of according to law. When an ap- 66 FR 34372, June 28, 2001] plication is rejected, the Copyright Of- fice reserves the right to retain the de- § 201.6 Payment and refund of Copy- posited copies. right Office fees. (a) In general. All fees sent to the (17 U.S.C. 702, 708(c)) Copyright Office should be in the form [24 FR 4955, June 18, 1959, as amended at 46 of a money order, check or bank draft FR 25442, May 7, 1981; 56 FR 7813, Feb. 26, payable to the Register of Copyrights. 1991; 59 FR 38371, July 28, 1994] Coin or currency sent to the Office in letters or packages will be at the re- § 201.7 Cancellation of completed registrations. mitter’s risk. Remittances from foreign countries should be in the form of (a) Definition. Cancellation is an ac- an International Money Order or Bank tion taken by the Copyright Office Draft payable and immediately nego- whereby either the registration is tiable in the United States for the full eliminated on the ground that the reg- amount of the fee required. Uncertified istration is invalid under the applica- checks are accepted subject to collec- ble law and regulations, or the reg- tion. Where the statutory fee is sub- istration number is eliminated and a mitted in the form of a check, the reg- new registration is made under a dif- istration of the copyright claim or ferent class and number. other record made by the Office is pro- (b) General policy. The Copyright Of- visional until payment in money is re- fice will cancel a completed registra- ceived. In the event the fee is not paid, tion only in those cases where: the registration or other record shall (1) It is clear that no registration be expunged. should have been made because the (b) Deposit accounts. Persons or firms work does not constitute copyrightable having a considerable amount of busi- subject matter or fails to satisfy the ness with the Copyright Office may, for other legal and formal requirements their own convenience, prepay copy- for obtaining copyright; right expenses by establishing a De- (2) Registration may be authorized posit Account. but the application, deposit material, (c) Refunds. Money remitted to the or fee does not meet the requirements Copyright Office for original, basic, of the law and Copyright Office regula- supplementary or renewal registration tions, and the Office is unable to get will not be refunded if the claim is re- the defect corrected; or

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(3) An existing registration in the mailed, or the response does not re- wrong class is to be replaced by a new solve the substantive defect, the reg- registration in the correct class. istration will be cancelled. The cor- (c) Circumstances under which a reg- respondence will include the reason for istration will be cancelled. (1) Where the the cancellation. The following are in- Copyright Office becomes aware after stances where a completed registration registration that a work is not copy- will be cancelled unless the substantive rightable, either because the author- defect in the registration can be cured: ship is de minimis or the work does not (i) Eligibility for registration has not contain authorship subject to copy- been established; right, the registration will be can- (ii) A work published before March 1, celled. The copyright claimant will be 1989, was registered more than 5 years notified by correspondence of the pro- after the date of first publication and posed cancellation and the reasons the deposit copy or phonorecord does therefor, and be given 30 days, from the not contain a statutory copyright no- date the Copyright Office letter is tice; mailed, to show cause in writing why (iii) The deposit copies or phonore- the cancellation should not be made. If cords of a work published before Janu- the claimant fails to respond within ary 1, 1978 do not contain a copyright the 30 day period, or if the Office after notice or the notice is defective; considering the response, determines (iv) A renewal claim was registered that the registration was made in error after the statutory time limits for reg- and not in accordance with title 17 istration had apparently expired; U.S.C., Chapters 1 through 8, the reg- (v) The application and copy(s) or istration will be cancelled. phonorecord(s) do not match each (2) When a check received in payment other and the Office cannot locate a of a registration fee is returned to the copy or phonorecord as described in the Copyright Office marked ‘‘insufficient application elsewhere in the Copyright funds’’ or is otherwise uncollectible the Office or the Library of Congress; Copyright Office will immediately cancel any registration(s) for which the (vi) The application for registration dishonored check was submitted and does not identify a copyright claimant will notify the remitter the registra- or it appears from the transfer state- tion has been cancelled because the ment on the application or elsewhere check was returned as uncollectible. that the ‘‘claimant’’ named in the ap- (3) Where registration is made in the plication does not have the right to wrong class, the Copyright Office will claim copyright; cancel the first registration, replace it (vii) A claim to copyright is based on with a new registration in the correct material added to a preexisting work class, and issue a corrected certificate. and a reading of the application in its (4) Where registration has been made totality indicates that there is no for a work which appears to be copy- copyrightable new material on which rightable but after registration the to base a claim; Copyright Office becomes aware that, (viii) A work subject to the manufac- on the administrative record before the turing provisions of the Act of 1909 was Office, the statutory requirements apparently published in violation of have apparently not been satisfied, or those provisions; that information essential to registra- (ix) For a work published after Janu- tion has been omitted entirely from ary 1, 1978, the only claimant given on the application or is questionable, or the application was deceased on the correct deposit material has not been date the application was certified; deposited, the Office will correspond (x) A work is not anonymous or pseu- with the copyright claimant in an at- donymous and statements on the appli- tempt to secure the required informa- cation and/or copy vary so much that tion or deposit material or to clarify the author cannot be identified; and the information previously given on (xi) Statements on the application the application. If the Copyright Office conflict or are so unclear that the receives no reply to its correspondence claimant cannot be adequately identi- within 30 days of the date the letter is fied.

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(d) Minor substantive errors. Where a material was actually received in the registration includes minor sub- Copyright Office within one month stantive errors or omissions which after the disruption or suspension of would generally have been rectified be- services has terminated. fore registration, the Copyright Office (c) Timing. The request shall be made: will attempt to rectify the error (1) With respect to an application for through correspondence with the re- copyright registration, no earlier than mitter. Except in those cases enumer- the date on which the claimant re- ated in paragraph (c) of this section, if ceives the certificate of registration the Office is unable for any reason to and no later than one year after the obtain the correct information or de- date on which the claimant receives posit copy, the registration record will the certificate of registration; pro- be annotated to state the nature of the vided, however, that a request may be informality and show that the Copy- made prior to receipt of a certificate of right Office attempted to correct the registration— registration. (i) If the Copyright Office has com- [50 FR 40835, Oct. 7, 1985, as amended at 60 FR municated with the claimant relating 34168, June 30, 1995; 65 FR 39819, June 28, 2000; to the application and the claimant 66 FR 34372, June 28, 2001] makes the request as part of a response to the communication from the Office; § 201.8 Disruption of postal or other or transportation or communication services. (ii) If the Register determines that good cause exists to entertain a re- (a) For purposes of 17 U.S.C. 709, quest prior to the issuance of a certifi- when the Register has determined that cate of registration; there is or has been a general disrup- (2) With respect to a transfer of copy- tion or suspension of postal or other right ownership or other document transportation or communications submitted for recordation pursuant to services that has delayed the receipt by 17 U.S.C. 205, no later than one year the Copyright Office of deposits, appli- after the date on which the person sub- cations, fees, or any other materials, mitting the transfer or document re- the Register shall publish an announce- ceives the certificate of recordation; ment of that determination, stating the date on which the disruption or (3) With respect to any other mate- suspension commenced. The announce- rial, no later than one year after the ment may, if appropriate, limit the date on which the material was actu- means of delivery that are subject to ally received in the Copyright Office. relief pursuant to section 709. Fol- (d) In cases in which a certificate or lowing the cessation of the disruption registration or a certificate of recorda- or suspension of services, the Register tion has already been issued, the origi- shall publish an announcement stating nal certificate must be returned to the the date on which the disruption or Copyright Office along with the re- suspension has terminated. quest. (b) At the request of any person who (e) For purposes of paragraph (b) of provides satisfactory evidence that he this section, satisfactory evidence shall or she has attempted to deliver a de- consist of: posit, application, fee or other mate- (1) A receipt from the United States rial to the Copyright Office but that re- Postal Service indicating the date on ceipt by the Copyright Office was de- which the United States Postal Service layed due to a general disruption or received material for delivery to the suspension of postal or other transpor- Copyright Office by means of first class tation or communications services, the mail, Priority Mail or Express Mail; Register shall assign, as the date of re- (2) A receipt from a delivery service ceipt of the deposit, application, fee or such as, or comparable to, United Par- other material, the date on which the cel Service, Federal Express, or Air- Register determines the material borne Express, indicating the date on would have been received but for the which the delivery service received ma- disruption or suspension of services, if terial for delivery to the Copyright Of- the deposit, application, fee or other fice and

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(i) The date on which delivery was to brought to the Copyright Office Public be made to the Copyright Office, or Information Office, Library of Con- (ii) The period of time (e.g., over- gress, James Madison Memorial Build- night, or 2 days) from receipt by the ing, Room 401, First and Independence delivery service to the date on which Avenue, SE., Washington, DC. If delivery was to be made to the Copy- mailed, the request should be addressed right Office; to Chief, Receiving & Processing Divi- (3) Other documentary evidence sion, P.O. Box 71380, Washington, DC which the Register deems equivalent to 20024–1380. the evidence set forth in paragraphs (e)(1) and (2) of this section; or [66 FR 62944, Dec. 4, 2001; 66 FR 63920, Dec. 11, 2001] (4) A sworn statement from a person with actual knowledge of the facts re- § 201.9 Recordation of agreements be- lating to the attempt to deliver the tween copyright owners and public material to the Copyright Office, set- broadcasting entities. ting forth with particularity facts (a) License agreements voluntarily which satisfy the Register that in the negotiated between one or more owners absence of the general disruption or of copyright in published nondramatic suspension of postal or other transpor- musical works and published pictorial, tation or communications services, the graphic, and sculptural works, and one material would have been received by or more public broadcasting entities, the Copyright Office by a particular and terms and rates of royalty pay- date. ments agreed to among owners of copy- (f) For purposes of paragraph (b) of right in nondramatic literary works this section, the Register shall pre- and public broadcasting entities will be sume that but for the general disrup- filed in the Copyright Office, Licensing tion or suspension of postal or other Division by recordation upon payment transportation or communications of the fee prescribed by § 201.3. The doc- services, ument submitted for recordation shall (1) Materials deposited with the meet the following requirements: United States Postal Service for delivery by means of first class mail would (1) It shall be an original instrument have been received in the Copyright Of- of agreement; or it shall be a legible fice seven days after deposit with the photocopy or other full-size facsimile United States Postal Service; reproduction of an original, accom- (2) Materials deposited with the panied by a certification signed by at United States Postal Service for deliv- least one of the parties to the agree- ery by means of Priority mail would ment, or an authorized representative have been received in the Copyright Of- of that party, that the reproduction is fice three days after deposit with the a true copy; United States Postal Service; (2) It shall bear the signatures of all (3) Materials deposited with the persons identified as parties to the United States Postal Service for deliv- agreement, or of their authorized ery by means of Express mail would agents or representatives; have been received in the Copyright Of- (3) It shall be complete on its face, fice one day after deposit with the and shall include any schedules, appen- United States Postal Service; dixes, or other attachments referred to (4) Materials deposited with a deliv- in the instrument as being part of it; ery service such as, or comparable to, and United Parcel Service, Federal Ex- (4) It shall be clearly identified, in its press, or Airborne Express, would have body or a covering transmittal letter, been received in the Copyright Office as being submitted for recordation on the date indicated on the receipt under 17 U.S.C. 118. from the delivery service. (b) The fee for recordation of a vol- (g) Requests pursuant to paragraph untary license agreement under this (b) of this section shall be addressed to: section is the basic recordation fee as Chief, Copyright Office Receiving & prescribed in § 201.3(c). Processing Division, Copyright Office, (c) The date of recordation is the and if delivered by hand they should be date when all of the elements required

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for recordation, including the pre- other than the author, a listing of the scribed fee, have been received in the surviving person or persons who exe- Copyright Office. A document is filed cuted the grant. In the case of a termi- in the Copyright Office, and a filing in nation of a grant executed by one or the Copyright Office takes place on the more of the authors of the work where date of recordation. After recordation the termination is exercised by the the document is returned to the sender successors of a deceased author, a list- with a certificate of record. ing of the names and relationships to (17 U.S.C. 207 and 17 U.S.C. 118, 702, 708(11), as that deceased author of all of the fol- amended by Pub. L. 94–553) lowing, together with specific indication of the person or persons executing [42 FR 16777, Mar. 30, 1977, as amended at 46 the notice who constitute more than FR 33249, June 29, 1981; 56 FR 59885, Nov. 26, 1991; 64 FR 29521, June 1, 1999] one-half of that author’s termination interest: That author’s surviving § 201.10 Notices of termination of widow or widower; and all of that au- transfers and licenses. thor’s surviving children; and, where This section covers notices of termi- any of that author’s children are dead, nation of transfers and licenses under all of the surviving children of any sections 203, 304(c) and 304(d) of title 17, such deceased child of that author; of the United States Code. A termi- however, instead of the information re- nation under section 304(d) is possible quired by this paragraph (vii), the no- only if no termination was made under tice may contain both of the following: section 304(c), and federal copyright (A) A statement of as much of such was originally secured on or between information as is currently available to January 1, 1923, and October 26, 1939. the person or persons signing the no- (a) Form. The Copyright Office does tice, with a brief explanation of the not provide printed forms for the use of reasons why full information is or may persons serving notices of termination. be lacking; together with (b) Contents. (1) A notice of termi- (B) A statement that, to the best nation covering the extended renewal knowledge and belief of the person or term under sections 304(c) and 304(d) of persons signing the notice, the notice title 17, U.S.C., must include a clear has been signed by all persons whose identification of each of the following: signature is necessary to terminate the (i) Whether the termination is made grant under section 304 of title 17, under section 304(c) or under section U.S.C., or by their duly authorized 304(d); agents. (ii) The name of each grantee whose (2) A notice of termination of an ex- rights are being terminated, or the clusive or nonexclusive grant of a grantee’s successor in title, and each transfer or license of copyright or of address at which service of the notice any right under a copyright, executed is being made; by the author on or after January 1, (iii) The title and the name of at 1978, under section 203 of title 17, least one author of, and the date copy- U.S.C., must include a clear identifica- right was originally secured in, each tion of each of the following: work to which the notice of termi- (i) A statement that the termination nation applies; and, if possible and is made under section 203; practicable, the original copyright reg- (ii) The name of each grantee whose istration number; rights are being terminated, or the (iv) A brief statement reasonably grantee’s successor in title, and each identifying the grant to which the no- address at which service of the notice tice of termination applies; is being made; (v) The effective date of termination; (iii) The date of execution of the (vi) If termination is made under sec- grant being terminated and, if the tion 304(d), a statement that termi- grant covered the right of publication nation of renewal term rights under of a work, the date of publication of section 304(c) has not been previously the work under the grant; exercised; and (iv) For each work to which the no- (vii) In the case of a termination of a tice of termination applies, the title of grant executed by a person or persons the work and the name of the author

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or, in the case of a joint work, the au- (2) In the case of a termination of a thors who executed the grant being ter- grant under section 304(c) or section minated; and, if possible and prac- 304(d) executed by one or more of the ticable, the original copyright registra- authors of the work, the notice as to tion number; any one author’s share shall be signed (v) A brief statement reasonably by that author or by his or her duly au- identifying the grant to which the no- thorized agent. If that author is dead, tice of termination applies; the notice shall be signed by the num- (vi) The effective date of termi- ber and proportion of the owners of nation; and that author’s termination interest re- (vii) In the case of a termination of a quired under section 304(c) or section grant executed by one or more of the 304(d), whichever applies, of title 17, authors of the work where the termi- U.S.C., or by their duly authorized nation is exercised by the successors of a deceased author, a listing of the agents, and shall contain a brief state- names and relationships to that de- ment of their relationship or relation- ceased author of all of the following, ships to that author. together with specific indication of the (3) In the case of a termination of a person or persons executing the notice grant under section 203 executed by one who constitute more than one-half of or more of the authors of the work, the that author’s termination interest: notice shall be signed by each author That author’s surviving widow or wid- who is terminating the grant or by his ower; and all of that author’s surviving or her duly authorized agent. If that children; and, where any of that au- author is dead, the notice shall be thor’s children are dead, all of the sur- signed by the number and proportion of viving children of any such deceased the owners of that author’s termi- child of that author; however, instead nation interest required under section of the information required by this 203 of title 17, U.S.C., or by their duly paragraph (b)(2)(vii), the notice may authorized agents, and shall contain a contain both of the following: brief statement of their relationship or (A) A statement of as much of such relationships to that author. information as is currently available to (4) Where a signature is by a duly au- the person or persons signing the no- thorized agent, it shall clearly identify tice, with a brief explanation of the the person or persons on whose behalf reasons why full information is or may the agent is acting. be lacking; together with (B) A statement that, to the best (5) The handwritten signature of each knowledge and belief of the person or person effecting the termination shall persons signing the notice, the notice either be accompanied by a statement has been signed by all persons whose of the full name and address of that signature is necessary to terminate the person, typewritten or printed legibly grant under section 203 of title 17, by hand, or shall clearly correspond to U.S.C., or by their duly authorized such a statement elswhere in the no- agents. tice. (3) Clear identification of the infor- (d) Service. (1) The notice of termi- mation specified by paragraphs (b)(1) nation shall be served upon each grant- and (b)(2) of this section requires a ee whose rights are being terminated, complete and unambiguous statement or the grantee’s successor in title, by of facts in the notice itself, without in- personal service, or by first-class mail corporation by reference of informa- sent to an address which, after a rea- tion in other documents or records. sonable investigation, is found to be (c) Signature. (1) In the case of a ter- the last known address of the grantee mination of a grant under section or successor in title. 304(c) or section 304(d) executed by a (2) The service provision of section person or persons other than the au- 203, section 304(c) or section 304(d) of thor, the notice shall be signed by all of the surviving person or persons who title 17, U.S.C., whichever applies, will executed the grant, or by their duly authorized agents.

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be satisfied if, before the notice of ter- made in good faith and without any in- mination is served, a reasonable inves- tention to deceive, mislead, or conceal tigation is made by the person or per- relevant information. sons executing the notice as to the cur- (f) Recordation. (1) A copy of the no- rent ownership of the rights being ter- tice of termination will be recorded in minated, and based on such investiga- the Copyright Office upon payment of tion: the fee prescribed by paragraph (2) of (i) If there is no reason to believe this paragraph (f) and upon compliance that such rights have been transferred with the following provisions: by the grantee to a successor in title, (i) The copy submitted for recorda- the notice is served on the grantee; or tion shall be a complete and exact du- (ii) If there is reason to believe that plicate of the notice of termination as such rights have been transferred by served and shall include the actual sig- the grantee to a particular successor in nature or signatures, or a reproduction title, the notice is served on such suc- of the actual signature or signatures, cessor in title. appearing on the notice; where sepa- (3) For purposes of paragraph (d)(2) of rate copies of the same notice were this section, a reasonable investigation served on more than one grantee or includes, but is not limited to, a search successor in title, only one copy need of the records in the Copyright Office; be submitted for recordation; and in the case of a musical composition (ii) The copy submitted for recorda- with respect to which performing tion shall be accompanied by a state- rights are licensed by a performing ment setting forth the date on which rights society, a ‘‘reasonable investiga- the notice was served and the manner tion’’ also includes a report from that of service, unless such information is performing rights society identifying contained in the notice. the person or persons claiming current (2) The fee for recordation of a docu- ownership of the rights being termi- ment is prescribed in § 201.3(c). nated. (3) The date of recordation is the date (4) Compliance with the provisions of when all of the elements required for paragraphs (d)(2) and (d)(3) of this sec- recordation, including the prescribed tion will satisfy the service require- fee and, if required, the statement re- ments of section 203, section 304(c), or ferred to in paragraph (f)(1)(ii) of this section 304(d) of title 17, U.S.C., which- section, have been received in the ever applies. However, as long as the Copyright Office. After recordation, statutory requirements have been met, the document, including any accom- the failure to comply with the regu- panying statement, is returned to the latory provisions of paragraph (d)(2) or sender with a certificate of record. (d)(3) of this section will not affect the (4) Recordation of a notice of termi- validity of the service. nation by the Copyright Office is with- (e) Harmless errors. (1) Harmless er- out prejudice to any party claiming rors in a notice that do not materially that the legal and formal requirements affect the adequacy of the information for issuing a valid notice have not been required to serve the purposes of sec- met. tion 203, section 304(c), or section 304(d) (Pub. L. 94–553; 17 U.S.C. 304(c), 702, 708(11)) of title 17, U.S.C., whichever applies, shall not render the notice invalid. [42 FR 45920, Sept. 13, 1977, as amended at 56 (2) Without prejudice to the general FR 59885, Nov. 26, 1991; 60 FR 34168, June 30, 1995; 64 FR 29521, June 1, 1999; 64 FR 36574, rule provided by paragraph (e)(1) of this July 7, 1999; 66 FR 34372, June 28, 2001; 67 FR section, errors made in giving the date 69136, Nov. 15, 2002; 67 FR 78176, Dec. 23, 2002; or registration number referred to in 68 FR 16959, Apr. 8, 2003] paragraph (b)(1)(iii), (b)(2)(iii), or (b)(2)(iv) of this section, or in com- § 201.11 Satellite carrier statements of plying with the provisions of paragraph account covering statutory licenses (b)(1)(vii) or (b)(2)(vii) of this section, for secondary transmissions. or in describing the precise relation- (a) General. This section prescribes ships under paragraph (c)(2) or (c)(3) of rules pertaining to the deposit of this section, shall not affect the valid- Statements of Account and royalty ity of the notice if the errors were fees in the Copyright Office as required

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by the satellite carrier license of sec- final processing of a Statement of Ac- tion 119(b)(1) of title 17 of the United count and royalty fee deposit shall es- States Code, as amended by Pub. L. tablish only the fact of such comple- 103–369, in order that certain secondary tion and the date or dates of receipt transmissions by satellite carriers for shown in the official record. It shall in private home viewing be subject to no case be considered a determination statutory licensing. that the Statement of Account was, in (b) Definitions. (1) The terms dis- fact, properly prepared and accurate, tributor, network station, private home that the correct amount of the royalty viewing, satellite carrier, subscriber, fee had been deposited, that the statu- superstation, and unserved household tory time limits for filing had been have the meanings set forth in section met, or that any other requirements to 119(d) of title 17 of the United States qualify for a statutory license have Code, as amended by Pub. L. 103–369. been satisfied. (2) The terms primary transmission (3) Statements of Account and roy- and secondary transmission have the alty fees received before the end of the meanings set forth in section 111(f) of particular accounting period they pur- title 17 of the United States Code. port to cover will not be processed by (c) Accounting periods and deposit. (1) the Copyright Office. Statements of Statements of Account shall cover Account and royalty fees received after semiannual accounting periods of Jan- the filing deadlines of July 30 or Janu- uary 1 through June 30, and July 1 ary 30, respectively, will be accepted through December 31, and shall be de- for whatever legal effect they may posited in the Copyright Office, to- have, if any. gether with the total statutory royalty (4) In the Register’s discretion, four fee or the confirmed arbitration roy- years after the close of any calendar alty fee for such accounting periods as year, the Register may close out the prescribed by section 119(b)(1)(B) and royalty payments account for that cal- (c)(3) of title 17, by not later than July endar year, and may treat any funds 30, if the Statement of Account covers remaining in such account and any the January 1 through June 30 account- subsequent deposits that would other- ing period, and by not later than the wise be attributable to that calendar immediately following January 30, if year as attributable to the succeeding the Statement of Account covers the calendar year. July 1 through December 31 accounting (d) Forms. (1) Each Statement of Ac- period. count shall be furnished on an appro- (2) Upon receiving a Statement of Ac- priate form prescribed by the Copy- count and royalty fee, the Copyright right Office, and shall contain the in- Office will make an official record of formation required by that form and the actual date when such statement its accompanying instructions. Com- and fee were physically received in the putation of the copyright royalty fee Copyright Office. Thereafter, the Li- shall be in accordance with the proce- censing Division of the Copyright Of- dures set forth in the forms. Copies of fice will examine the statement and fee Statement of Account forms are avail- for obvious errors or omissions appear- able free upon request to the Library of ing on the face of the documents, and Congress, Copyright Office, Licensing will require that any such obvious er- Division, 101 Independence Avenue, SE, rors or omissions be corrected before Washington, DC 20557–6400. final processing of the documents is (2) The form prescribed by the Copy- completed. If, as the result of commu- right Office is designated ‘‘Statement nications between the Copyright Office of Account for Secondary Trans- and the satellite carrier, an additional missions by Satellite Carriers to Home fee is deposited or changes or additions Viewers.’’ are made in the Statement of Account, (e) Contents. Each Statement of Ac- the date that additional deposit or in- count shall contain the following infor- formation was actually received in the mation: Office will be added to the official (1) A clear designation of the ac- record of the case. However, comple- counting period covered by the State- tion by the Copyright Office of the ment.

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(2) The designation ‘‘Owner’’ followed period covered by the Statement mul- by: tiplied by the statutory royalty rate (i) The full legal name of the satellite prescribed in § 258.3 of this chapter. carrier. If the owner is a partnership, (8) The name, address, business title, the name of the partnership is to be and telephone number of the individual followed by the name of at least one in- or individuals to be contacted for infor- dividual partner; mation or questions concerning the (ii) Any other name or names under content of the Statement of Account. which the owner conducts the business (9) The handwritten signature of: of the satellite carrier; and (i) The owner of the satellite carrier (iii) The full mailing address of the or a duly authorized agent of the owner. Ownership, other names under owner, if the owner is not a partnership which the owner conducts the business or a corporation; or of the satellite carrier, and the owner’s (ii) A partner, if the owner is a part- mailing address shall reflect facts ex- nership; or isting on the last day of the accounting (iii) An officer of the corporation, if period covered by the Statement of Ac- the owner is a corporation. The signa- count. ture shall be accompanied by: (3) The designation ‘‘Primary Trans- (A) The printed or typewritten name mitters,’’ followed by the call signs, of the person signing the Statement of broadcast channel numbers, station lo- Account; cations (city and state of license), and (B) The date of signature; a notation whether that primary trans- (C) If the owner of the satellite car- mitter is a ‘‘superstation’’ or ‘‘network rier is a partnership or a corporation, station’’ transmitted to any or all of by the title or official position held in the subscribers of the satellite carrier the partnership or corporation by the during any portion of the period cov- person signing the Statement of Ac- ered by the Statement of Account. count; (4) The designation ‘‘Superstations,’’ (D) A certification of the capacity of followed by: the person signing; and (i) The call sign of each superstation (E) The following statement: signal carried for each month of the period covered by the Statement, and I, the undersigned Owner or Agent of the (ii) The total number of subscribers Satellite Carrier, or Officer or Partner, if the Satellite Carrier is a Corporation or Partner- to each superstation for each month of ship, have examined this Statement of Ac- the period covered by the Statement. count and hereby declare under penalty of This number is the number of sub- law that all statements of fact contained scribers to each superstation receiving herein are true, complete, and correct to the the retransmission on the last day of best of my knowledge, information, and be- each month. lief, and are made in good faith. (5) The designation ‘‘Network Sta- tions,’’ followed by: (18 U.S.C., section 1001 (1986)) (i) The call sign of each network sta- (f) Royalty fee payment. All royalty tion carried for each month of the pe- fees may be paid by electronic transfer riod covered by the Statement, and of funds, provided the payment is re- (ii) The total number of subscribers ceived in the designated United States to each network station for each Federal Reserve Bank by the filing month of the period covered by the deadline for the relevant accounting Statement. This number is the number period. Except in the case of an elec- of subscribers to each network station tronic payment, the royalty fee pay- receiving the retransmission on the able for the period covered by the last day of each month. Statement of Account shall accompany (6) The total number of subscribers to that Statement of Account and shall be each superstation for the six-month pe- deposited at the Copyright Office with riod covered by the Statement multi- it. Payment must be in the form of a plied by the statutory royalty rate pre- certified check, cashier’s check, or a scribed in § 258.3 of this chapter. money order, payable to: Register of (7) The total number of subscribers to Copyrights; or a United States Treas- each network station for the six-month ury electronic payment.

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(g) Copies of statements of account. A lar unsigned communication will be licensee shall file an original and one considered to meet this requirement if copy of the statement of account with it clearly identifies the basis of the re- the Licensing Division of the Copyright quest, if it is received in the Copyright Office. Office within the required 30-day pe- (h) Corrections, supplemental payments, riod, and if a written request meeting and refunds. (1) Upon compliance with all the conditions of this paragraph the procedures and within the time (h)(3) is also received in the Copyright limits set forth in paragraph (h)(3) of Office within 14 days after the end of this section, corrections to Statements such 30-day period: of Account will be placed on record, (ii) The Statement of Account to supplemental royalty fee payments which the request pertains must be suf- will be received for deposit, or refunds ficiently identified in the request (by will be issued, in the following cases: inclusion of the name of the owner of (i) Where, with respect to the ac- the satellite carrier and the accounting counting period covered by a State- period in question) so that it can be ment of Account, any of the informa- readily located in the records of the tion given in the Statement filed in the Copyright Office; Copyright Office is incorrect or incom- (iii) The request must contain a clear plete; or statement of the facts on which it is (ii) Where calculation of the royalty based and provide a clear basis on fee payable for a particular accounting which a refund may be granted, in ac- period was incorrect, and the amount cordance with the following proce- deposited in the Copyright Office for dures: that period was either too high or too (A) In the case of a request filed low. under paragraph (h)(1)(i) of this sec- (2) Corrections to Statements of Ac- tion, where the information given in count will not be placed on record, sup- the Statement of Account is incorrect plemental royalty fee payments will or incomplete, the request must clearly not be received for deposit, and refunds will not be issued, where the informa- identify the erroneous or incomplete tion in the Statements of Account, the information and provide the correct or royalty fee calculations, or the pay- additional information: ments were correct as of the date on (B) In the case of a request filed which the accounting period ended, but under paragraph (h)(1)(ii) of this sec- changes (for example, addition or deletion, where the royalty fee was miscal- tion of a signal) took place later. culated and the amount deposited in (3) Requests that corrections to a the Copyright Office was either too Statement of Account be placed on high or too low, the request must be record, that fee payments be accepted, accompanied by an affidavit under the or requests for the issuance of refunds, official seal of any officer authorized to shall be made only in the cases men- administer oaths within the United tioned in paragraph (h)(1) of this sec- States, or a statement in accordance tion. Such requests shall be addressed with section 1746 of title 28 of the to the Licensing Division of the Copy- United States Code, made and signed in right Office, and shall meet the fol- accordance with paragraph (e)(9) of this lowing conditions: section. The affidavit or statement (i) The request must be in writing, shall describe the reasons why the roy- must clearly identify its purpose, and, alty fee was improperly calculated and in the case of a request for a refund, include a detailed analysis of the prop- must be received in the Copyright Of- er royalty calculation. fice before the expiration of 30 days (iv)(A) All requests filed under this from the last day of the applicable paragraph (h) must be accompanied by Statement of Account filing period, or a filing fee in the amount of $15 for before the expiration of 30 days from each Statement of Account involved. the date of receipt at the Copyright Of- Payment of this fee may be in the form fice of the royalty payment that is the of a personal or company check, or of a subject of the request, whichever time certified check, cashier’s check or period is longer. A telegraphic or simi- money order, payable to: Register of

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Copyrights. No request will be proc- The accrual period will end on the date essed until the appropriate filing fees appearing on the certified check, cash- are received. ier’s check, money order, or electronic (B) All requests that a supplemental payment submitted by a satellite car- royalty fee payment be received for de- rier, provided that such payment is re- posit under this paragraph (h) must be ceived by the Copyright Office within accompanied by a remittance in the five business days of that date. If the full amount of such fee. Payment of payment is not received by the Copy- the supplemental royalty fee must be right Office within five business days of in the form of certified check, cashier’s its date, the accrual period will end on check, or money order, payable to: the date of actual receipt by the Copy- Register of Copyrights; or electronic right Office. payment. No such request will be proc- (2)(i) The interest rate applicable to a essed until an acceptable remittance in specific accounting period beginning the full amount of the supplemental with the 1992/2 period shall be the Cur- royalty fee has been received. rent Value of Funds Rate, as estab- (v) All requests submitted under this lished by section 8025.40 of the Treas- paragraph (h) must be signed by the ury Financial Manual and published in satellite carrier owner named in the the FEDERAL REGISTER, in effect on the Statement of Account, or the duly au- first business day after the close of the thorized agent of the owner, in accord- filing deadline for that accounting pe- ance with paragraph (e)(9) of this sec- riod. Satellite carriers wishing to ob- tion. tain the interest rate for a specific ac- (vi) A request for a refund is not nec- counting period may do so by con- essary where the Licensing Division, sulting the FEDERAL REGISTER for the during its examination of a Statement applicable Current Value of Funds of Account or related document, dis- Rate, or by contacting the Licensing covers an error that has resulted in a Division of the Copyright Office. royalty overpayment. In this case, the (ii) The interest rate applicable to a Licensing Division will forward the specific accounting period earlier than royalty refund to the satellite carrier the 1992/2 period shall be the rate fixed owner named in the Statement of Ac- by the Licensing Division of the Copy- count without regard to the time limi- right Office pursuant to 37 CFR tations provided for in paragraph 201.11(h) in effect on June 30, 1992. (h)(3)(i) of this section. (3) Interest is not required to be paid (4) Following final processing, all re- on any royalty underpayment or late quests submitted under this paragraph payment from a particular accounting period if the interest charge is less (h) will be filed with the original State- than or equal to five dollars ($5.00). ment of Account in the records of the Copyright Office. Nothing contained in [54 FR 27877, July 3, 1989, as amended at 55 this paragraph shall be considered to FR 49998, Dec. 4, 1990; 56 FR 29589, June 28, relieve satellite carriers from their full 1991; 57 FR 61834, Dec. 29, 1992; 59 FR 67635, obligations under title 17 of the United Dec. 30, 1994; 60 FR 34168, June 30, 1995; 60 FR 57937, Nov. 24, 1995; 63 FR 30635, June 5, 1998; States Code, and the filing of a correc- 64 FR 36574, July 7, 1999; 70 FR 30366, May 26, tion or supplemental payment shall 2005; 70 FR 38022, July 1, 2005] have only such effect as may be attributed to it by a court of competent ju- § 201.12 Recordation of certain con- risdiction. tracts by cable systems located out- (i) Interest. (1) Royalty fee payments side of the forty-eight contiguous submitted as a result of late or amend- States. ed filings will include interest. Interest (a) Written, nonprofit contracts pro- will begin to accrue beginning on the viding for the equitable sharing of first day after the close of the period costs of videotapes and their transfer, for filing statements of account for all as identified in section 111(e)(2) of title underpayments or late payments of 17 of the United States Code as amend- royalties for the satellite carrier statu- ed by Pub. L. 94–553, will be filed in the tory license for secondary trans- Copyright Office Licensing Division by missions for private home viewing oc- recordation upon payment of the pre- curring within that accounting period. scribed fee. The document submitted

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for recordation shall meet the fol- that has obtained ownership of the ex- lowing requirements: clusive right, initially owned by the (1) It shall be an original instrument author of performance of the type re- of contract; or it shall be a legible pho- ferred to in 17 U.S.C. 110(4). If the other tocopy or other full-size facsimile re- requirements of this section are met, a production of an original, accompanied Notice of Objection may cover the by a certification signed by at least works of more than one copyright one of the parties to the contract, or owner. an authorized representative of that (b) Form. The Copyright Office does party, that the reproduction is a true not provide printed forms for the use of copy; persons serving Notices of Objection. (2) It shall bear the signatures of all (c) Contents. (1) A Notice of Objection persons identified as parties to the con- must clearly state that the copyright tract, or of their authorized agents or owner objects to the performance, and representatives; must include all of the following: (3) It shall be complete on its face, and shall include any schedules, appen- (i) Reference to the statutory author- dixes, or other attachments referred to ity on which the Notice of Objection is in the instrument as being part of it; based, either by citation of 17 U.S.C. and 110(4) or by a more general character- (4) It shall be clearly identified, in its ization or description of that statutory body or a covering transmittal letter, provision; as being submitted for recordation (ii) The date and place of the per- under 17 U.S.C. 111(e). formance to which an objection is (b) The fee for recordation of a docu- being made; however, if the exact date ment is prescribed in § 201.3. or place of a particular performance, or (c) The date of recordation is the both, are not known to the copyright date when all of the elements required owner, it is sufficient if the Notice de- for recordation, including the prescribes whatever information the copy- scribed fee, have been received in the right owner has about the date and Copyright Office. A document is filed place of a particular performance, and in the Copyright Office and a filing in the source of that information unless the Copyright Office takes place on the the source was considered private or date of recordation. After recordation confidential; the document is returned to the sender (iii) Clear identification, by title and with a certificate of record. at least one author, of the particular (Pub. L. 94–553; 17 U.S.C. 111, 702, 708(11)) nondramatic literary or musical work or works, to the performance of which [42 FR 53961, Oct. 4, 1977, as amended at 56 FR the copyright owner thereof is lodging 59885, Nov. 26, 1991; 64 FR 29521, June 1, 1999] objection; a Notice may cover any § 201.13 Notices of objection to certain number of separately identified copy- noncommercial performances of righted works owned by the copyright nondramatic literary or musical owner or owners serving the objection. works. Alternatively, a blanket notice, with (a) Definitions. (1) A Notice of Objec- or without separate identification of tion is a notice, as required by section certain copyrighted works, and pur- 110(4) of title 17 of the United States porting to cover one or more groups of Code as amended by Pub. L. 94–553, to copyrighted works not separately iden- be served as a condition of preventing tified by title and author, shall have ef- the noncommercial performance of a fect if the conditions specified in para- nondramatic literary or musical work graph (c)(2) of this section are met; and under certain circumstances. (iv) A concise statement of the rea- (2) For purposes of this section, the sons for the objection. copyright owner of a nondramatic lit- (2) A blanket notice purporting to erary or musical work is the author of cover one or more groups of copy- the work (including, in the case of a righted works not separately identified work made for hire, the employer or by title and author shall be valid only other person for whom the work was if all of the following conditions are prepared), or a person or organization met:

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(i) The Notice shall identify each ber of that person, typewritten or group of works covered by the blanket printed legibly by hand. notice by a description of any common (3) If a Notice of Objection is initially characteristics distinguishing them served in the form of a telegram or from other copyrighted works, such as similar communication, as provided by common author, common copyright paragraph (e) of this section, the re- owner, common publisher, or common quirement for an individual’s hand- licensing agent; written signature shall be considered (ii) The Notice shall identify a par- waived if the further conditions of said ticular individual whom the person re- paragraph (e) are met. sponsible for the performance can con- (e) Service. (1) A Notice of Objection tact for more detailed information shall be served on the person respon- about the works covered by the blan- sible for the performance at least seven ket notice and to determine whether a days before the date of the perform- particular work planned for performance, as provided by 17 U.S.C. 110 ance is in fact covered by the Notice. (4)(B)(ii). Such identification shall include the (2) Service of the Notice may be ef- full name and business and residence fected by any of the following methods: addresses of the individual, telephone (i) Personal service; numbers at which the individual can be (ii) First-class mail; reached throughout the period between (iii) Telegram, cablegram, or similar service of the notice and the perform- form of communication, if: ance, and name, addresses, and tele- (A) The Notice meets all of the other phone numbers of another individual to conditions provided by this section; contact during that period in case the and first cannot be reached. (B) Before the performance takes (iii) If the copyright owner or owners place, the person responsible for the of all works covered by the blanket no- performance receives written confirma- tice is not identified in the Notice, the tion of the Notice, bearing the actual Notice shall include an offer to iden- handwritten signature of each copy- tify, by name and last known address, right owner or duly authorized agent. (3) The date of service is the date the the owner or owners of any and all such Notice of Objection is received by the works, upon request made to the indi- person responsible for the performance vidual referred to in paragraph (c)(2)(ii) or any agent or employee of that per- of this section. son. (3) A Notice of Objection must also include clear and prominent state- (Pub. L. 94–553; 17 U.S.C. 110(4), 702) ments explaining that: [42 FR 64684, Dec. 28, 1977] (i) A failure to exclude the works identified in the Notice from the per- § 201.14 Warnings of copyright for use formance in question may subject the by certain libraries and archives. person responsible for the performance (a) Definitions. (1) A Display Warning to liability for copyright infringement; of Copyright is a notice under para- and graphs (d)(2) and (e)(2) of section 108 of (ii) The objection is without legal ef- title 17 of the United States Code as fect if there is no direct or indirect ad- amended by Pub. L. 94–553. As required mission charge for the performance, by those sections the ‘‘Display Warning and if the other conditions of 17 U.S.C. of Copyright’’ is to be displayed at the 110(4) are met. place where orders for copies or (d) Signature and identification. (1) A phonorecords are accepted by certain Notice of Objection shall be in writing libraries and archives. and signed by each copyright owner, or (2) An Order Warning of Copyright is a such owner’s duly authorized agent, as notice under paragraphs (d)(2) and required by 17 U.S.C. 110(4)(B)(i). (e)(2) of section 108 of title 17 of the (2) The signature of each owner or United States Code as amended by Pub. agent shall be an actual handwritten L. 94–553. As required by those sections signature of an individual, accom- the ‘‘Order Warning of Copyright’’ is to panied by the date of signature and the be included on printed forms supplied full name, address, and telephone num- by certain libraries and archives and

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used by their patrons for ordering cop- §§ 201.15–201.16 [Reserved] ies or phonorecords. (b) Contents. A Display Warning of § 201.17 Statements of Account cov- Copyright and an Order Warning of ering compulsory licenses for sec- Copyright shall consist of a verbatim ondary transmissions by cable systems. reproduction of the following notice, printed in such size and form and dis- (a) General. This section prescribes played in such manner as to comply rules pertaining to the deposit of with paragraph (c) of this section: Statements of Account and royalty fees in the Coypright Office as required NOTICE WARNING CONCERNING COPYRIGHT by section 111(d)(2) of title 17 of the RESTRICTIONS United States Code in order for secondary transmissions of cable systems The copyright law of the United States to be subject to compulsory licensing. (title 17, United States Code) governs the (b) Definitions. (1) Gross receipts for making of photocopies or other reproduc- the ‘‘basic service of providing sections of copyrighted material. ondary transmissions of primary Under certain conditions specified in the broadcast transmitters’’ include the law, libraries and archives are authorized to full amount of monthly (or other peri- furnish a photocopy or other reproduction. odic) service fees for any and all serv- One of these specific conditions is that the ices or tiers of services which include photocopy or reproduction is not to be ‘‘used for any purpose other than private study, one or more secondary transmissions of scholarship, or research.’’ If a user makes a television or radio broadcast signals, request for, or later uses, a photocopy or re- for additional set fees, and for con- production for purposes in excess of ‘‘fair verter fees. In no case shall gross re- use,’’ that user may be liable for copyright ceipts be less than the cost of obtain- infringement. ing the signals of primary broadcast This institution reserves the right to transmitters for subsequent retrans- refuse to accept a copying order if, in its mission. All such gross receipts shall judgment, fulfillment of the order would in- be aggregated and the distant signal volve violation of copyright law. equivalent (DSE) calculations shall be (c) Form and manner of use. (1) A Dis- made against the aggregated amount. play Warning of Copyright shall be Gross receipts for secondary trans- printed on heavy paper or other dura- mission services do not include instal- ble material in type at least 18 points lation (including connection, reloca- in size, and shall be displayed promi- tion, disconnection, or reconnection) nently, in such manner and location as fees, separate charges for security, to be clearly visible, legible, and com- alarm or facsimile services, charges for prehensible to a casual observer within late payments, or charges for pay cable the immediate vicinity of the place or other program origination services: where orders are accepted. Provided That, the origination services (2) An Order Warning of Copyright are not offered in combination with shall be printed within a box located secondary transmission service for a prominently on the order form itself, single fee. either on the front side of the form or (2) A cable system is a facility, located immediately adjacent to the space call- in any State, Territory, Trust Terri- ing for the name or signature of the tory, or Possession, that in whole or in person using the form. The notice shall part receives signals transmitted or be printed in type size no smaller than programs broadcast by one or more tel- that used predominantly throughout evision broadcast stations licensed by the form, and in no case shall the type the Federal Communications Commis- size be smaller than 8 points. The no- sion, and makes secondary trans- tice shall be printed in such manner as missions of such signals or programs to be clearly legible, comprehensible, by wires, cables, microwave, or other and readily apparent to a casual reader communications channels to sub- of the form. scribing members of the public who pay for such service. A system that meets (Pub. L. 94–553; 17 U.S.C. 108, 702) this definition is considered a ‘‘cable [42 FR 59265, Nov. 16, 1977] system’’ for copyright purposes, even if

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the FCC excludes it from being consid- of a primary transmitter, distant signal ered a ‘‘cable system’’ because of the equivalent, network station, independent number or nature of its subscribers or station, and noncommercial educational the nature of its secondary trans- station have the meanings set forth in missions. The Statements of Account section 111(f) of title 17 of the United and royalty fees to be deposited under States Code, as amended by Pub. L. 94– § 201.17 of this section, shall be recorded 553 and Pub. L. 103–369. and deposited by each individual cable (6) A primary transmitter is a ‘‘dis- system desiring its secondary trans- tant’’ station, for purposes of this sec- missions to be subject to compulsory tion, if the programming of such trans- licensing. The owner of each individual mitter is carried by the cable system in cable system on the last day of the ac- whole or in part beyond the local serv- counting period covered by a State- ice area of such primary transmitter. ment of Account is responsible for de- (7) A translator station is, with re- positing the Statement of Account and spect to programs both originally remitting the copyright royalty fees. transmitted and retransmitted by it, a For these purposes, and the purpose of primary transmitter for the purposes § 201.17 of this section, an ‘‘individual’’ of this section. A translator station cable system is each cable system rec- which retransmits the programs of a ognized as a distinct entity under the network station will be considered a rules, regulations, and practices of the network station; a translator station Federal Communications Commission which retransmits the programs of an in effect on the last day of the account- independent station shall be considered ing period covered by a Statement of an independent station; and a trans- Account, in the case of the preparation lator station which retransmits the and deposit of a Statement of Account programs of a noncommercial edu- and copyright royalty fee. For these cational station shall be considered a purposes, two or more cable facilities noncommercial educational station. are considered as one individual cable The determination of whether a trans- system if the facilities are either: lator station should be identified as a (i) In contiguous communities under ‘‘distant’’ station depends on the local common ownership or control or service area of the translator station. (ii) Operating from one headend. (8) For purposes of this section, the (3) FCC means the Federal Commu- ‘‘rules and regulations of the FCC in ef- nications Commission. fect on October 19, 1976,’’ which per- (4) In the case of cable systems which mitted a cable system, at its election, make secondary transmissions of all to omit the retransmission of a par- available FM radio signals, which sig- ticular program and substitute another nals are not electronically processed by program in its place, refers to that por- the system as separate and discrete tion of former 47 CFR 76.61(b)(2), re- signals, an FM radio signal is ‘‘gen- vised June 25, 1981, and § 76.63 (referring erally receivable’’ if: to § 76.61(b)(2)), deleted June 25, 1981, (i) It is usually carried by the system concerning the substitution of a pro- whenever it is received at the system’s gram that is primarily of local interest headend, and to the distant community (e.g., a local (ii) As a result of monitoring at rea- news or public affairs program). sonable times and intervals, it can be (9) For purposes of this section, the expected to be received at the system’s ‘‘rules and regulations of the FCC’’, headend, with the system’s FM an- which require a cable system to omit tenna, at least three consecutive hours the retransmission of a particular pro- each day at the same time each day, gram and substitute another program five or more days a week, for four or in its place, refers to 47 CFR 76.67. more weeks during any calendar quar- (10) For purposes of this section, a ter, with a strength of not less than cable system ‘‘lacks the activated fifty microvolts per meter measured at channel capacity to retransmit on a the foot of the tower or pole to which full-time basis all signals which it is the antenna is attached. authorized to carry’’ only if: (5) The terms primary transmission, (i) All of its activated television secondary transmission, local service area channels are used exclusively for the

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secondary transmission of television for a compulsory license have been sat- signals; and isfied. (ii) The number of primary television (3) Statements of Account and roy- transmitters secondarily transmitted alty fees received before the end of the by the cable system exceeds the num- particular accounting period they pur- ber of its activated television channels. port to cover will not be processed by (c) Accounting periods and deposit. (1) the Copyright Office. Statements of Statements of Account shall cover Account and royalty fees received after semiannual accounting periods of (i) the filing deadlines of August 29 or January 1 through June 30, and (ii) March 1, respectively, will be accepted July 1 through December 31, and shall for whatever legal effect they may be deposited in the Copyright Office, have, if any. together with the total royalty fee for (4) In the Register’s discretion, four such accounting periods as prescribed years after the close of any calendar by section 111(d)(1) (B), (C), or (D) of year, the Register may, close out the royalty payments account for that cal- title 17, by not later than the imme- endar year, and may treat any funds diately following August 29, if the remaining in such account and any Statement of Account covers the Janu- subsequent deposits that would other- ary 1 through June 30 accounting pe- wise be attributable to that calendar riod, and by not later than the imme- year as attributable to the succeeding diately following March 1, if the State- calendar year. ment of Account covers the July 1 (d) Forms. (1) Each Statement of Ac- through December 31 accounting pe- count shall be furnished on an appro- riod. priate form prescribed by the Copy- (2) Upon receiving a Statement of Ac- right Office, and shall contain the in- count and royalty fee, the Copyright formation required by that form and Office will make an official record of its accompanying instructions. Com- the actual date when such Statement putation of distant signal equivalents and fee were physically received in the and the copyright royalty fee shall be Copyright Office. Thereafter, the Office in accordance with the procedures set will examine the Statement and fee for forth in the forms. Copies of Statement obvious errors or omissions appearing of Account forms are available free on the face of the documents, and will upon request to the Library of Con- require that any such obvious errors or gress, Copyright Office, Licensing Divi- omissions be corrected before final sion, 101 Independence Avenue, SE, processing of the documents is com- Washington, DC 20557–6400. pleted. If, as the result of communica- (2) The forms prescribed by the Copy- tions between the Copyright Office and right Office are designated ‘‘Statement the cable system, an additional fee is of Account for Secondary Trans- deposited or changes or additions are missions By Cable Systems’’: made in the Statement of Account, the (i) Form SA1–2—‘‘Short Form’’ for date that additional deposit or infor- use by cable systems whose semiannual mation was actually received in the Of- gross receipts for secondary trans- fice will be added to the official record mission total less than $379,600; and of the case. However, completion by (ii) Form SA3—‘‘Long Form’’ for use the Copyright Office of the final proc- by cable systems whose semiannual essing of a Statement of Account and gross receipts for secondary trans- royalty fee deposit shall establish only mission total $379,600 or more. the fact of such completion and the (e) Contents. Each Statement of Ac- date or dates of receipt shown in the count shall contain the following infor- official record. It shall in no case be mation: considered a determination that the (1) A clear designation of the ac- Statement of Account was, in fact, counting period covered by the State- properly prepared and accurate, that ment. the correct amount of the royalty fee (2) The designation ‘‘Owner,’’ fol- had been deposited, that the statutory lowed by: time limits for filing had been met, or (i) The full legal name of the owner that any other requirements to qualify of the cable system. The owner of the

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cable system is the individual or entity missions of primary broadcast trans- that provides the retransmission serv- mitters; ice and collects payment from the end (ii) The number of subscribers to the user either directly or indirectly cable system in each such subscriber through a third party. If the owner is a category; and partnership, the name of the partner- (iii) The charge or charges made per ship is to be followed by the name of at subscriber to each such subscriber cat- least one individual partner; egory for the basic service of providing (ii) Any other name or names under such secondary transmissions. Stand- which the owner conducts the business ard rate variations within a particular of the cable system; and category should be summarized; dis- (iii) The full mailing address of the counts allowed for advance payment owner. should not be included. For these purposes: Ownership, other names under which (A) The description, the number of the owner conducts the business of the subscribers, and the charge or charges cable system, and the owner’s mailing made shall reflect the facts existing on address shall reflect facts existing on the last day of the period covered by the last day of the accounting period the Statement; and covered by the Statement of Account. (B) Each entity (for example, the (3) The designation ‘‘System,’’ fol- owner of a private home, the resident lowed by: of an apartment, the owner of a motel, (i) Any business or trade names used or the owner of an apartment house) to identify the business and operation which is charged by the cable system of the system, unless these names have for the basic service of providing sec- already been given under the designa- ondary transmissions shall be consid- tion ‘‘Owner’’; and ered one subscriber. (ii) The full mailing address of the (7) The designation ‘‘Gross Receipts’’, system, unless such address is the same followed by the gross amount paid to as the address given under the designa- the cable system by subscribers for the tion ‘‘Owner’’. basic service of providing secondary Business or trade names used to iden- transmissions of primary broadcast tify the business and operation of the transmissions during the period cov- system, and the system’s mailing ad- ered by the Statement of Account. If dress, shall reflect the facts existing on the cable system maintains its revenue the last day of the accounting period accounts on an accrual basis, gross recovered by the Statement of Account. ceipts for any accounting period in- (4) The designation ‘‘Area Served’’, cludes all such amounts accrued for followed by the name of the commu- secondary transmission service fur- nity or communities served by the sys- nished during that period, regardless of tem. For this purpose a ‘‘community’’ when accrued: is the same as a ‘‘community unit’’ as (i) Less the amount of any bad debts defined in FCC rules and regulations. actually written-off during that ac- (5) The designation ‘‘Channels,’’ fol- counting period, excluding bad debts lowed by: for secondary transmission service fur- (i) The number of channels on which nished before January 1, 1978; the cable system made secondary (ii) Plus the amount of any pre- transmissions to its subscribers, and viously written-off bad debts for sec- (ii) The cable system’s total acti- ondary transmission service which vated channel capacity, in each case were actually recovered during that ac- during the period covered by the State- counting period, excluding bad debt re- ment. coveries for secondary transmission (6) The designation ‘‘Secondary service furnished before January 1, Transmission Service: Subscribers and 1978. Rates’’, followed by: If the cable system maintains its rev- (i) A brief description of each sub- enue accounts on a cash basis, gross re- scriber category for which a charge is ceipts for any accounting period in- made by the cable system for the basic cludes all such amounts actually re- service of providing secondary trans- ceived by the cable system during that

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accounting period, excluding amounts with which that primary transmitter is paid for secondary transmission service identified (in the case of foreign sig- furnished before January 1, 1978; how- nals). ever, amounts received before January (iv) A designation as to whether that 1, 1978, for secondary transmission primary transmitter is a ‘‘network sta- service furnished after that date, are to tion’’, an ‘‘independent station’’, or a be considered as if they had been re- ‘‘noncommercial educational station’’. ceived during the accounting period in (v) A designation as to whether that which the service covered by such pay- primary transmitter is a ‘‘distant’’ sta- ments was furnished. tion. (8) The designation ‘‘Services Other (vi) If that primary transmitter is a Than Secondary Transmissions: ‘‘distant’’ station, a specification of Rates,’’ followed by a description of whether the signals of that primary each package of service which consists transmitter are carried: solely of services other than secondary (A) On a part-time basis where full- transmission services, for which a sepa- time carriage is not possible because rate charge was made or established, the cable system lacks the activated and which the cable system furnished channel capacity to retransmit on a or made available to subscribers during full-time basis all signals which it is the period covered by the Statement of authorized to carry; or Account, together with the amount of (B) On any other basis. such charge. However, no information If the signals of that primary trans- need be given concerning services fur- mitter are carried on a part-time basis nished at cost. Specific amounts because of lack of activated channel charged for pay cable programming capacity, the Statement shall also in- need not be given if the rates are on a clude a log showing the dates on which variable, per-program basis. (The fact such carriage occurred, and the hours of such variable charge shall be indi- during which such carriage occurred on cated.) those dates. Hours of carriage shall be (9) The designation ‘‘Primary Trans- accurate to the nearest quarter-hour, mitters: Television’’, followed by an except that, in any case where such identification of all primary television part-time carriage extends to the end transmitters whose signals were car- of the broadcast day of the primary ried by the cable system during the pe- transmitter, an approximate ending riod covered by the Statement of Ac- hour may be given if it is indicated as count, other than primary transmit- an estimate. ters of programs carried by the cable (vii) The information indicated by system exclusively pursuant to rules, paragraph (e)(9), subclauses (v) and (vi) regulations, or authorizations of the of this section, is not required to be FCC in effect on October 19, 1976, per- given by any cable system that appro- mitting the substitution of signals priately completed Form SA1–2 for the under certain circumstances, and re- period covered by the Statement. quired to be specially identified by (viii) Notwithstanding the require- paragraph (e)(11) of this section, to- ments of this section, where a cable gether with the information listed system carried a distant primary below: transmitter under FCC rules and regu- (i) The station call sign of the pri- lations in effect on October 19, 1976 mary transmitter. which permitted carriage of specific (ii) The name of the community to network programs on a part-time basis which that primary transmitter is li- in certain circumstances (former 47 censed by the FCC (in the case of do- CFR 76.59 (d) (2) and (4), 76.61(e) (2) and mestic signals) or with which that pri- (4), and 76.63, referring to § 76.61(e) (2) mary transmitter is identified (in the and (4), all of which were deleted June case of foreign signals). 25, 1981), carriage of that primary (iii) The number of the channel upon transmitter on that basis need not be which that primary transmitter broad- reported, and that carriage is to be ex- casts in the community to which that cluded in computing the distant signal primary transmitter is licensed by the equivalent of that primary trans- FCC (in the case of domestic signals) or mitter.

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(10) The designation ‘‘Primary Trans- (D) The name of the community to mitters: Radio’’, followed by an identi- which the primary transmitter of the fication of primary radio transmitters substitute program is licensed by the whose signals were carried by the cable FCC (in the case of domestic signals) or system during the period covered by with which that primary transmitter is the Statement of Account, together identified (in the case of foreign sig- with the information listed below: nals). (i) A designation as to whether each (E) The date when the secondary primary transmitter was electronically transmission of the substitute program processed by the system as a separate occurred, and the hours during which and discrete signal. such secondary transmission occurred (ii) The station call sign of each: on that date accurate to the nearest 5 (A) AM primary transmitter; minutes. (B) FM primary transmitter, the sig- (F) A designation as to whether dele- nals of which were electronically proc- tion of the omitted program was per- essed by the system as separate and mitted by the rules, regulations, or au- discrete signals; and thorizations of the FCC in effect on Oc- (C) FM primary transmitter carried tober 19, 1976, or was required by the on an all-band retransmission basis, rules, regulations, or authorizations of the signals of which were generally re- the FCC. ceivable by the system. (12) A statement of the total royalty (iii) A designation as to whether the fee payable for the period covered by primary transmitter is AM or FM. the Statement of Account, together (iv) The name of the community to with a royalty fee analysis which gives which that primary transmitter is li- a clear, complete, and detailed presen- censed by the FCC (in the case of do- tation of the determination of such fee. mestic signals) or with which that pri- This analysis shall present in appro- mary transmitter is identified (in the priate sequence all facts, figures, and case of foreign signals). mathematical processes used in deter- (11) A special statement and program log, which shall consist of the informa- mining such fee, and shall do so in such tion indicated below for all nonnet- manner as required in the appropriate work television programming that, form so as to permit the Copyright Of- during the period covered by the State- fice to verify readily, from the face of ment, was carried in whole or in part the Statement of Account, the accu- beyond the local service area of the racy of such determination and fee. primary transmitter of such program- The royalty fee analysis is not required ming under (i) rules or regulations of to be given by any cable system whose the FCC requiring a cable system to gross receipts from subscribers for the omit the further transmission of a par- period covered by the Statement of Ac- ticular program and permitting the count, for the basic service of providing substitution of another program in secondary transmissions of primary place of the omitted transmission; or broadcast transmissions, total $98,600 (ii) rules, regulations, or authoriza- or less. tions of the FCC in effect on October (13) The name, address, and telephone 19, 1976, permitting a cable system, at number of an individual who may be its election, to omit the further trans- contacted by the Copyright Office for mission of a particular program and further information about the State- permitting the substitution of another ment of Account. program in place of the omitted trans- (14) The handwritten signature of: mission: (i) The owner of the cable system or (A) The name or title of the sub- a duly authorized agent of the owner, if stitute program. the owner is not a partnership or a cor- (B) Whether the substitute program poration; or was transmitted live by its primary (ii) A partner, if the owner is a part- transmitter. nership; or (C) The station call sign of the pri- (iii) An officer of the corporation, if mary transmitter of the substitute pro- the owner is a corporation. The signa- gram. ture shall be accompanied by:

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(A) The printed or typewritten name mary transmitter shall be the full DSE of the person signing the Statement of type value for that primary trans- Account; mitter, for the entire accounting pe- (B) The date of signature; riod. (C) If the owner of the cable system (3)(i) In computing the DSE of a pri- is a partnership or a corporation, by mary transmitter in a particular case the title or official position held in the of carriage before July 1, 1981, the cable partnership or corporation by the per- system may make no prorated adjust- son signing the Statement of Account; ments other than those specified as (D) A certification of the capacity of permissible ‘‘exceptions and limita- the person signing; and tions’’ in the definition of ‘‘distant sig- (E) A declaration of the veracity of nal equivalent’’ in the fifth paragraph the statements of fact contained in the of section 111(f) of title 17 of the United Statement of Account and the good States Code, as amended by Pub. L. 94– faith of the person signing in making 553. Four prorated adjustments, as pre- such statement of fact. scribed in the fourth and fifth sen- (f) Computation of distant signal tences of said definition, are permitted equivalents. (1) A cable system that under certain conditions where: elects to delete a particular television (A) A station is carried pursuant to program and substitute for that pro- the late-night programming rules of gram another television program the Federal Communications Commis- (‘‘substitute program’’) under rules, sion in effect on the date of carriage; regulations, or authorizations of the (B) A station is carried pursuant to FCC in effect on October 19, 1976, which the specialty programming rules of the permit a cable system, at its election, Federal Communications Commission to omit the retransmission of a par- in effect on the date of carriage; ticular program and substitute another program in its place shall compute the (C) A station is carried on a part- distant signal equivalent (‘‘DSE’’) of time basis where full-time carriage is each primary transmitter that broad- not possible because the cable system casts one or more substitute programs lacks the activated channel capacity to by dividing: retransmit on a full-time basis all sig- (i) The number of the primary trans- nals which it is authorized to carry; mitter’s live, nonnetwork, substitute and programs that were carried by the (D) A station is carried on a ‘‘sub- cable system, during the period covered stitute’’ basis under rules, regulations, by the Statement of Account, in sub- or authorizations of the Federal Com- stitution for programs deleted at the munications Commission in effect on option of the system; by October 19, 1976. (ii) The number of days in the year in (ii) In computing the DSE of a pri- which the substitution occurred. mary transmitter in a particular case (2)(i) Where a cable system carries a of carriage on or after July 1, 1981, the primary transmitter on a full-time cable system may make no prorated basis during any portion of an account- adjustments other than those specified ing period, the system shall compute a as permissible ‘‘exceptions and limita- DSE for that primary transmitter as if tions’’ in the definition of ‘‘distant sig- it was carried full-time during the en- nal equivalent’’ in the fifth paragraph tire accounting period. of section 111(f) of title 17 of the United (ii) Where a cable system carries a States Code, as amended by Pub. L. 94– primary transmitter solely on a sub- 553, and which remain in force under stitute or part-time basis, in accord- that provision. Two prorated adjust- ance with paragraph (f)(3) of this sec- ments, as prescribed in the fourth and tion, the system shall compute a DSE fifth sentences of said definition, are for that primary transmitter based on permitted under certain conditions its cumulative carriage on a substitute where: or part-time basis. If that primary (A) A station is carried on a part- transmitter is carried on a full-time time basis where full-time carriage is basis as well as on a substitute or part- not possible because the cable system time basis, the full DSE for that pri- lacks the activated channel capacity to

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retransmit on a full-time basis all sig- (2) The total gross receipts from that nals which it is authorized to carry; group of subscribers. The copyright and royalty fee for that cable system is: (B) A station is carried on a ‘‘sub- (i) The total of the subscriber group stitute’’ basis under rules, regulations, royalty fees thus computed, or or authorizations of the Federal Com- (ii) 0.956 of 1 percent of the system’s munications Commission in effect on gross receipts from all subscribers, October 19, 1976, which permitted a whichever is larger. cable system, at its election, to omit (h) Computation of the copyright roy- the retransmission of a particular pro- alty fee pursuant to the 1982 cable rate gram and substitute another program adjustment. (1) For the purposes of this in its place. paragraph, in addition to the defini- (4) In computing a DSE, a cable sys- tions of paragraph (b) of this section, tem may round off to the third decimal the following definitions shall also point. If a DSE is rounded off in any apply: case in a Statement of Account, it (i) Current base rate means the appli- must be rounded off throughout the cable royalty rates in effect on Decem- Statement. Where a cable system has ber 31, 1982, as reflected in 37 CFR chosen to round off, and the fourth dec- 256.2(a). imal point for a particular DSE value (ii) If the 3.75% rate does not apply to would, without rounding off, have been certain DSE’s in the case of a cable 1, 2, 3, or 4, the third decimal point re- system located wholly or in part with- mains unchanged; if, in such a case, the in a top 100 television market, the cur- fourth decimal point would, without rent base rate together with the sur- rounding off, be 5, 6, 7, 8, or 9, the third charge shall apply. However, the sur- decimal point must be rounded off to charge shall not apply for carriage of a the next higher number. particular signal first carried prior to (5) For the purposes of computing March 31, 1972. With respect to state- DSE values, specialty primary tele- ments of account covering the filing vision transmitters in the United period beginning January 1, 1990, and States and all Canadian and Mexican subsequent filing periods, the current primary television transmitters shall base rate together with the surcharge be assigned a value of one. shall apply only to those DSE’s that (g) Computation of the copyright roy- represent commercial VHF signals alty fee: Partially distant stations. A which place a predicted Grade B con- cable system located partly within and tour, in whole or in part, over a cable partly without the local service area of system. The surcharge will not apply if a primary television transmitter the signal is exempt from the syn- (‘‘partially distant station’’) computes dicated exclusivity rules in effect on the royalty fee specified in section June 24, 1981. 111(d)(1)(B) (ii), (iii), and (iv) of the (iii) The 3.75% rate means the rate es- Copyright Act (‘‘DSE fee’’) by exclud- tablished by 37 CFR 256.2(c), in effect ing gross receipts from subscribers lo- on March 15, 1983. cated within that station’s local serv- (iv) Top 100 television market means a ice area from total gross receipts. A television market defined or inter- cable system which carries two or more preted as being within either the ‘‘top partially distant stations with local 50 television markets’’ or ‘‘second 50 service areas that do not exactly coin- television markets’’ in accordance with cide shall compute a separate DSE fee 47 CFR 76.51, in effect on June 24, 1981. for each group of subscribers who are (v) The 1982 cable rate adjustment located outside of the local service means the rate adjustment adopted by areas of exactly the same complement the Copyright Royalty Tribunal on Oc- of distant stations. Computation of the tober 20, 1982 (CRT Docket No. 81–2, 47 DSE fee for each subscriber group is to FR 52146, November 19, 1982). be based on: (vi) The terms DSE or DSE’s mean (1) The total distant signal equiva- ‘‘distant signal equivalent(s)’’ as de- lents of that group’s complement of fined in 17 U.S.C. 111(f) and any frac- distant stations, and tion thereof.

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(2) A cable system filing Form SA3 from subscribers outside the local serv- shall compute its royalty fee in the fol- ice area. lowing manner: (3) A cable system whose semiannual (i) The cable system shall first deter- gross receipts for secondary trans- mine those DSE’s to which the 3.75% missions totalled $214,000 or more dur- rate established by 37 CFR 256.2(c) ap- ing the period January 1, 1983, through plies. June 30, 1983, shall compute its royalty (ii) If the 3.75% rate does not apply to fee for carriage during that period in certain DSE’s in the case of a cable the following manner: system located wholly or in part with- (i) Copyright royalty fees must be in a top 100 television market, the cur- paid on the basis of carriage for the en- rent base rate together with the sur- tire accounting period except where charge shall apply. However, the sur- proration of the DSE is permitted as charge shall not apply for carriage of a described in paragraph (f)(3) of this sec- particular signal first carried prior to tion. March 31, 1972. With respect to state- (ii) Where a distant signal was car- ments of account covering the filing ried at any time only between January period beginning January 1, 1990, and 1, 1983, and March 14, 1983; subsequent filing periods, the current (A) In the case of a cable system lo- base rate together with the surcharge cated wholly or in part within a top 100 shall apply only to those DSE’s that television market, the current base represent commercial VHF signals rate, together with the surcharge shall which place a predicted Grade B con- apply. However, the surcharge shall tour, in whole or in part, over a cable not apply for carriage of a particular system. The surcharge will not apply if signal first carried prior to March 31, the signal is exempt from the syn- 1972. dicated exclusivity rules in effect on (B) In case of a cable system located June 24, 1981. wholly outside a top 100 television mar- (iii) If the 3.75% rate does not apply ket, the current base rate shall apply. to certain DSE’s, in the case of a cable (iii) Where a distant signal was car- system located wholly outside a top 100 ried at any time after March 14, 1983; television market, the current base (A) The cable system shall first de- rate shall apply. termine those DSE’s to which the 3.75% (iv) Commencing with the semi- rate established by 37 CFR 256.2(c) ap- annual accounting period of January 1, plies. 1998, through June 30, 1998, the 3.75% (B) If the 3.75% rate is applicable to rate applies to certain DSE’s with re- a particular DSE, it shall be applied spect to the communities within the against the per centum .5967 (rep- cable system where carriage would not resenting the number of days from have been permitted under the rules March 15, 1983, through June 30, 1983, and regulations of the Federal Commu- inclusive, in relation to the entire ac- nications Commission in effect on June counting period); and either 24, 1981, but in all other communities (1) In the case of a cable system lo- within the cable system, the current cated wholly or in part within a top 100 base rate and the syndicated exclu- television market, the current base sivity surcharge, where applicable, rate, together with the surcharge, ap- shall apply. Such computation shall be plied against the per centum .4033 (rep- made as provided for on Form SA3. The resenting the number of days from Jan- calculations shall be based upon the uary 1, 1983, through March 14, 1983, in- gross receipts from all subscribers, clusive, in relation to the entire ac- within the relevant communities, for counting period); however, the sur- the basic service of providing sec- charge shall not apply for carriage of a ondary transmissions of primary particular signal first carried prior to broadcast transmitters, without regard March 31, 1972; or to whether those subscribers actually (2) In the case of a cable system lo- received the station in question. For cated wholly outside a top 100 tele- partially-distant stations, gross re- vision market, the current base rate ceipts shall be the total gross receipts applied against the per centum .4033.

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(C) If the 3.75% rate does not apply to (‘‘actual carriage’’), unless the prior certain DSE’s, in the case of a cable carriage was not permitted by the FCC; system located wholly or in part with- or in a top 100 television market, the cur- (B) By carriage of no more than the rent base rate together with the sur- number of distant signals which was or charge shall apply. However, the sur- would have been allotted to the cable charge shall not apply for carriage of a system under the FCC’s quota for im- particular signal first carried prior to portation of network and nonspecialty March 31, 1972. independent stations (47 CFR 76.59(b), (D) If the 3.75% rate does not apply to 76.61 (b) and (c) and 76.63, referring to certain DSE’s, in the case of a cable 76.61 (b) and (c), in effect on June 24, system located wholly outside a top 100 1981). television market, the current base (6) To qualify as an FCC-permitted rate shall apply. signal on the ground of individual (4)(i) Separate Supplemental DSE waiver of the FCC rules (47 CFR 76.7 in Schedules as prescribed by the Copy- effect on June 24, 1981), the waiver right Office shall be completed and must have actually been granted by filed by a cable system affected by the the FCC, and the signal must have been 1982 cable rate adjustment for the ac- first carried by the cable system after counting periods January 1, 1983, April 15, 1976. through June 30, 1983 (83–1), and July 1, (7) Expanded geographic carriage 1983, through December 31, 1983 (83–2). after June 24, 1981, of a signal pre- Each Supplemental DSE schedule shall viously carried within only certain contain the information required by parts of a cable system is governed by that form and its accompanying in- the current base rate and the sur- structions. charge, if applicable. (ii) The Supplemental DSE Schedule (8) In cases of expanded temporal car- will be mailed to all cable systems riage of the same signal, previously whose gross receipts for secondary carried pursuant to the FCC’s former transmissions total $214,000 or more ei- part-time or substitute carriage rules ther for accounting period 83–1 or for (47 CFR 76.61(b)(2), 76.61 (e)(1) and (e)(3), 83–2, and shall be completed and re- and 76.63, referring to 76.61 (e)(1) and turned to the Copyright Office with the (e)(3), in effect on June 24, 1981), the supplemental royalty fee due, if any, 3.75% rate shall be applied to any addi- within sixty-five (65) days from the tional fraction of a DSE accruing from date of mailing by the Copyright Of- the expanded temporal carriage of that fice. signal. To identify such additional (iii) Cable systems located wholly DSE’s, a comparison shall be made of outside all major and smaller tele- DSE’s reported for that signal in any vision markets as defined by the FCC single accounting period prior to the are not affected by the 1982 cable rate July 1, 1981, to December 31, 1981, pe- adjustment. Such systems shall com- riod (81–2), as designated by the cable plete a certifying statement provided system, with the DSE’s for that same in the Supplemental DSE Schedule and signal reported in the current relevant return it within sixty-five (65) days accounting period. from the date of mailing by the Copy- (9) Substitution of like signals pursu- right Office. ant to 37 CFR 256.2(c) is possible at the (5)(i) It shall be presumed that the relevant non-3.75% rate (the surcharge 3.75% rate of 37 CFR 308.2(c) applies to together with the current base rate, or DSE’s accruing from newly added dis- the current base rate alone) only if the tant signals, carried for the first time substitution does not exceed the num- by a cable system after June 24, 1981. ber of distant signals which was or (ii) The presumption of paragraph would have been allotted to the cable (h)(5)(i) of this section can be rebutted system under the FCC’s television mar- in whole or in part: ket quota for importation of network (A) By actual carriage of a particular and nonspecialty independent stations distant signal prior to June 25, 1981, as (47 CFR 76.59(b), 76.61 (b) and (c), and reported in Statements of Account 76.63, referring to 76.61 (b) and (c), in ef- duly filed with the Copyright Office fect on June 24, 1981.

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(i) Royalty fee payment. (1) All royalty (iii) Interest is not required to be fees may be paid by electronic transfer paid on any royalty underpayment or of funds, provided the payment is re- late payment from a particular ac- ceived in the designated United States counting period if the interest charge Federal Reserve Bank by the filing is less than or equal to five dollars deadline for the relevant accounting ($5.00). period. Except in the case of an elec- (j) Copies of statements of account. A tronic payment, the royalty fee pay- licensee shall file an original and one able for the period covered by the copy of the statement of account with Statement of Account shall accompany the Licensing Division of the Copyright that Statement of Account and shall be Office. deposited at the Copyright Office with (k) Corrections, supplemental payments, it. Payment must be in the form of a and refunds. (1) Upon compliance with certified check, cashier’s check, or a the procedures and within the time money order, payable to: Register of limits set forth in paragraph (k)(3) of Copyrights; or a United States Treas- this section, corrections to Statements ury electronic payment. of Account will be placed on record, (2) Royalty fee payments submitted supplemental royalty fee payments as a result of late or amended filings will be received for deposit, or refunds shall include interest. Interest shall will be issued, in the following cases: begin to accrue beginning on the first (i) Where, with respect to the ac- day after the close of the period for fil- counting period covered by a State- ing statements of account for all un- ment of Account, any of the informa- derpayments of royalties for the cable tion given in the Statement filed in the compulsory license occurring within Copyright Office is incorrect or incom- that accounting period. The accrual pe- plete; riod shall end on the date appearing on (ii) Where, for any reason except that the certified check, cashier’s check, mentioned in paragraph (k)(1)(iii) of money order or electronic payment this section, calculation of the royalty submitted by a cable system, provided fee payable for a particular accounting that such payment is received by the period was incorrect, and the amount Copyright Office within five business deposited in the Copyright Office for days of that date. If the payment is not that period was either too high or too received by the Copyright Office within low; or five business days of its date, then the (iii) Where, for the semiannual ac- accrual period shall end on the date of counting period of January 1, 1978, actual receipt by the Copyright Office. through June 30, 1978, the total royalty (i) The interest rate applicable to a fee deposited was incorrect because the specific accounting period beginning cable operator failed to compute royal- with the 1992/2 period shall be the Cur- ties attributable to carriage of late- rent Value of Funds Rate, as estab- night, specialty, or part-time program- lished by section 8025.40 of the Treas- ming between January 1, 1978, and Feb- ury Financial Manual and published in ruary 9, 1978. the FEDERAL REGISTER, in effect on the (2) Corrections to Statements of Ac- first business day after the close of the count will not be placed on record, sup- filing deadline for that accounting pe- plemental royalty fee payments will riod. Cable operators wishing to obtain not be received for deposit, and refunds the interest rate for a specific account- will not be issued, where the informa- ing period may do so by consulting the tion in the Statements of Account, the FEDERAL REGISTER for the applicable royalty fee calculations, or the pay- Current Value of Funds Rate, or by ments were correct as of the date on contacting the Licensing Division of which the accounting period ended, but the Copyright Office. changes (for example, addition or dele- (ii) The interest rate applicable to a tion of a distant signal) took place specific accounting period earlier than later. the 1992/2 period shall be the rate fixed (3) Requests that corrections to a by the Licensing Division of the Copy- Statement of Account be placed on right Office pursuant to 37 CFR 201.17(i) record, that fee payments be accepted, in effect on June 30, 1992. or requests for the issuance of refunds,

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shall be made only in the cases men- official seal of any officer authorized to tioned in paragraph (k)(1) of this sec- administer oaths within the United tion. Such requests shall be addressed States, or a statement in accordance to the Licensing Division of the Copy- with section 1746 of title 28 of the right Office, and shall meet the fol- United States Code, made and signed in lowing conditions: accordance with paragraph (e)(14) of (i) The request must be in writing, this section. The affidavit or statement must clearly identify its purpose, and, shall describe the reasons why the roy- in the case of a request for a refund, alty fee was improperly calculated and must be received in the Copyright Of- include a detailed analysis of the prop- fice before the expiration of 60 days er royalty calculations; from the last day of the applicable (C) In the case of a request filed Statement of Account filing period, or under paragraph (k)(1)(iii) of this sec- before the expiration of 60 days from tion, the request shall be identified as the date of receipt at the Copyright Of- ‘‘Transitional and Supplemental Roy- fice of the royalty payment that is the alty Fee Payment’’ and include a de- subject of the request, whichever time tailed analysis of the proper royalty period is longer. A request made by calculations; telephone or by telegraphic or similar (iv)(A) All requests filed under this unsigned communication, will be con- paragraph (k) (except those filed under sidered to meet this requirement if it subparagraph (1)(iii) of this paragraph) clearly identifies the basis of the re- must be accompanied by a filing fee in quest, if it is received in the Copyright the amount of $15 for each Statement Office within the required 60-day pe- of Account involved. Payment of this riod, and if a written request meeting fee may be in the form of a personal or all the conditions of this paragraph company check, or of a certified check, (k)(3) is also received in the Copyright cashier’s check or money order, pay- Office within 14 days after the end of able to: Register of Copyrights. No re- such 60-day period; quest will be processed until the appro- (ii) The Statement of Account to priate filing fees are received. which the request pertains must be sufficiently identified in the request (by (B) All requests that a supplemental inclusion of the name of the owner of royalty fee payment be received for de- the cable system, the community or posit under this paragraph (k), must be communities served, and the account- accompanied by a remittance in the ing period in question) so that it can be full amount of such fee. Payment of readily located in the records of the the supplemental royalty fee must be Copyright Office; in the form of a certified check, cash- (iii) The request must contain a clear ier’s check, or money order, payable to: statement of the facts on which it is Register of Copyrights; or an electronic based and provide a clear basis on payment. No such request will be proc- which a refund may be granted, in ac- essed until an acceptable remittance in cordance with the following proce- the full amount of the supplemental dures: royalty fee has been received. (A) In the case of a request filed (v) All requests submitted under this under paragraph (k)(1)(i) of this sec- paragraph (j) must be signed by the tion, where the information given in cable system owner named in the the Statement of Account is incorrect Statement of Account, or the duly au- or incomplete, the request must clearly thorized agent of the owner, in accord- identify the erroneous or incomplete ance with paragraph (e)(14) of this sec- information and provide the correct or tion. additional information; (vi) A request for a refund is not nec- (B) In the case of a request filed essary where the Licensing Division, under paragraph (k)(1)(ii) of this sec- during its examination of a Statement tion, where the royalty fee was miscal- of Account or related document, dis- culated and the amount deposited in covers an error that has resulted in a the Copyright Office was either too royalty overpayment. In this case, the high or too low, the request must be Licensing Division will forward the accompanied by an affidavit under the royalty refund to the cable system

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owner named in the Statement of Ac- required under paragraphs (d)(1)(i) count without regard to the time limi- through (iv) of this section does not tations provided for in paragraph vary. For purposes of this section, a (k)(3)(i) of this section. Notice which lists multiple works shall (4) Following final processing, all re- be considered a composite filing of quests submitted under this paragraph multiple Notices and fees shall be paid (k) will be filed with the original accordingly if filed in the Copyright Statement of Account in the records of Office under paragraph (f) of this sec- the Copyright Office. Nothing con- tion (i.e., a separate fee, in the amount tained in this paragraph shall be con- set forth in § 201.3(e)(1), shall be paid sidered to relieve cable systems from for each work listed in the Notice). their full obligations under title 17 of (3) For the purposes of this section, the United States Code, and the filing the term copyright owner, in the case of of a correction or supplemental pay- any work having more than one copy- ment shall have only such effect as right owner, means any one of the co- may be attributed to it by a court of competent jurisdiction. owners. (l) Satellite carriers not eligible. Sat- (4) For the purposes of this section, ellite carriers and satellite resale car- service of a Notice of Intention on a riers are not eligible for the cable com- copyright owner may be accomplished pulsory license based upon an interpre- by means of service of the Notice on ei- tation of the whole of section 111 of ther the copyright owner or an agent of title 17 of the United States Code. the copyright owner with authority to receive the Notice. In the case where (17 U.S.C. 111, 702, 708) the work has more than one copyright [43 FR 27832, June 27, 1978] owner, the service of the Notice on any EDITORIAL NOTE: For FEDERAL REGISTER ci- one of the co-owners of the nondra- tations affecting § 201.17, see the List of CFR matic musical work or upon an author- Sections Affected, which appears in the ized agent of one of the co-owners iden- Finding Aids section of the printed volume tified in the Notice of Intention shall and on GPO Access. be sufficient with respect to all co-owners. Notwithstanding paragraph (a)(2) § 201.18 Notice of intention to obtain a compulsory license for making and of this section, a single Notice may distributing phonorecords of non- designate works not owned by the same dramatic musical works. copyright owner in the case where the (a) General. (1) A ‘‘Notice of Inten- Notice is served on a common agent of tion’’ is a Notice identified in section multiple copyright owners, and where 115(b) of title 17 of the United States each of the works designated in the No- Code, and required by that section to tice is owned by any of the copyright be served on a copyright owner or, in owners who have authorized that agent certain cases, to be filed in the Copy- to receive Notices. right Office, before or within thirty (5) For purposes of this section, a days after making, and before distrib- copyright owner or an agent of a copy- uting any phonorecords of the work, in right owner with authority to receive order to obtain a compulsory license to Notices of Intention may make public make and distribute phonorecords of a written policy that it will accept No- nondramatic musical works. tices of Intention to make and dis- (2) A Notice of Intention shall be tribute phonorecords pursuant to 17 served or filed for nondramatic musical U.S.C. 115 which include less than all of works embodied, or intended to be em- the information required by this sec- bodied, in phonorecords made under tion, in a form different than required the compulsory license. A Notice of In- by this section, or delivered by means tention may designate any number of (including electronic transmission) nondramatic musical works, provided other than those required by this sec- that the copyright owner of each des- tion. Any Notice provided in accord- ignated work or, in the case of any ance with such policy shall not be ren- work having more than one copyright dered invalid for failing to comply with owner, any one of the copyright owners the specific requirements of this sec- is the same and that the information tion.

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(6) For the purposes of this section, a (iii) The information specified in digital phonorecord delivery shall be paragraphs (d)(1)(i) and (ii) of this sec- treated as a type of phonorecord con- tion for the primary entity expected to figuration, and a digital phonorecord be engaged in the business of making delivery shall be treated as a phono- and distributing phonorecords under record manufactured, made, and dis- the license or of authorizing such mak- tributed on the date the phonorecord is ing and distribution (for example: a digitally transmitted. record company or digital music serv- (b) Agent. An agent who has been au- ice), if an entity intending to obtain thorized to accept Notices of Intention the compulsory license is a holding in accordance with paragraph (a)(4) of company, trust or other entity that is this section and who has received a No- not expected to be actively engaged in tice of Intention on behalf of a copy- the business of making and distrib- right owner shall provide within two uting phonorecords under the license weeks of the receipt of that Notice of or of authorizing such making and dis- Intention the name and address of the tribution; copyright owner or its agent upon (iv) The fiscal year of the person or whom the person or entity intending to entity intending to obtain the compul- obtain the compulsory license shall sory license. If that fiscal year is a cal- serve Statements of Account and the endar year, the Notice shall state that monthly royalty in accordance with this is the case; § 201.19(a)(4). (v) For each nondramatic musical (c) Form. The Copyright Office does work embodied or intended to be em- not provide printed forms for the use of bodied in phonorecords made under the persons serving or filing Notices of In- compulsory license: tention. (A) The title of the nondramatic mu- (d) Content. (1) A Notice of Intention sical work; shall be clearly and prominently des- (B) The name of the author or au- ignated, at the head of the notice, as a thors, if known; ‘‘Notice of Intention to Obtain a Com- (C) A copyright owner of the work, if pulsory License for Making and Dis- known; tributing Phonorecords,’’ and shall in- (D) The types of all phonorecord con- clude a clear statement of the fol- figurations already made (if any) and lowing information: expected to be made under the compul- (i) The full legal name of the person sory license (for example: single disk, or entity intending to obtain the com- long-playing disk, cassette, cartridge, pulsory license, together with all ficti- reel-to-reel, a digital phonorecord de- tious or assumed names used by such livery, or a combination of them); person or entity for the purpose of con- (E) The expected date of initial dis- ducting the business of making and distribution of phonorecords already made tributing phonorecords; (if any) or expected to be made under (ii) The telephone number, the full the compulsory license; address, including a specific number (F) The name of the principal record- and street name or rural route of the ing artist or group actually engaged or place of business, and an e-mail ad- expected to be engaged in rendering the dress, if available, of the person or en- performances fixed on phonorecords al- tity intending to obtain the compul- ready made (if any) or expected to be sory license, and if a business organiza- made under the compulsory license; tion intends to obtain the compulsory (G) The catalog number or numbers, license, the name and title of the chief and label name or names, used or ex- executive officer, managing partner, pected to be used on phonorecords al- sole proprietor or other person simi- ready made (if any) or expected to be larly responsible for the management made under the compulsory license; of such entity. A post office box or and similar designation will not be suffi- (H) In the case of phonorecords al- cient for this purpose except where it is ready made (if any) under the compul- the only address that can be used in sory license, the date or dates of such that geographic location. manufacture.

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(vi) In the case where the Notice will being submitted upon the authority of be filed with the Copyright Office pur- the person or entity intending to ob- suant to paragraph (f)(3) of this sec- tain the compulsory license. tion, the Notice shall include an af- (f) Filing and service. (1) If the reg- firmative statement that with respect istration records or other public to the nondramatic musical work records of the Copyright Office identify named in the Notice of Intention, the the copyright owner of the nondra- registration records or other public matic musical works named in the No- records of the Copyright Office have tice of Intention and include an address been searched and found not to identify for such owner, the Notice may be the name and address of the copyright served on such owner by mail sent to, owner of such work. or by reputable courier service at, the (2) A ‘‘clear statement’’ of the infor- last address for such owner shown by mation listed in paragraph (d)(1) of this the records of the Office. It shall not be section requires a clearly intelligible, necessary to file a copy of the Notice in legible, and unambiguous statement in the Copyright Office in this case. the Notice itself and without incorpo- (2) If the Notice is sent by mail or de- ration by reference of facts or informa- livered by reputable courier service to tion contained in other documents or the last address for the copyright records. owner shown by the records of the (3) Where information is required to Copyright Office and the Notice is re- be given by paragraph (d)(1) of this sec- turned to the sender because the copy- tion ‘‘if known’’ or as ‘‘expected,’’ such right owner is no longer located at the information shall be given in good address or has refused to accept deliv- faith and on the basis of the best ery, the original Notice as sent shall be knowledge, information, and belief of filed in the Copyright Office. Notices of the person signing the Notice. If so Intention submitted for filing under given, later developments affecting the this paragraph (f)(2) shall be submitted accuracy of such information shall not to the Licensing Division of the Copy- affect the validity of the Notice. right Office, shall be accompanied by a (e) Signature. The Notice shall be brief statement that the Notice was signed by the person or entity intend- sent to the last address for the copying to obtain the compulsory license or right owner shown by the records of by a duly authorized agent of such per- the Copyright Office but was returned, son or entity. and may be accompanied by appro- (1) If the person or entity intending priate evidence that it was mailed to, to obtain the compulsory license is a or that delivery by reputable courier corporation, the signature shall be that service was attempted at, that address. of a duly authorized officer or agent of In these cases, the Copyright Office the corporation. will specially mark its records to con- (2) If the person or entity intending sider the date the original Notice was to obtain the compulsory license is a mailed, or the date delivery by courier partnership, the signature shall be that service was attempted, if shown by the of a partner or of a duly authorized evidence mentioned above, as the date agent of the partnership. of filing. An acknowledgment of re- (3) If the Notice is signed by a duly ceipt and filing will be provided to the authorized agent for the person or enti- sender. ty intending to obtain the compulsory (3) If, with respect to the nondra- license, the Notice shall include an af- matic musical works named in the No- firmative statement that the agent is tice of Intention, the registration authorized to execute the Notice of In- records or other public records of the tention on behalf of the person or enti- Copyright Office do not identify the ty intending to obtain the compulsory copyright owner of such work and in- license. clude an address for such owner, the (4) If the Notice is served electroni- Notice may be filed in the Copyright cally, the person or entity intending to Office. Notices of Intention submitted obtain the compulsory license and the for filing shall be accompanied by the copyright owner shall establish a pro- fee specified in § 201.3(e). A separate fee cedure to verify that the Notice is shall be assessed for each title listed in

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the Notice. Notices of Intention will be with a copy of the original Notice. The filed by being placed in the appropriate person who served the Notice must sub- public records of the Licensing Divi- mit such a list, which shall include all sion of the Copyright Office. The date of the information required in para- of filing will be the date when the No- graph (d)(1)(v) of this section, within 30 tice and fee are both received in the days after receipt of the demand from Copyright Office. An acknowledgment the copyright owner or authorized of receipt and filing will be provided to agent. The list shall be submitted on the sender. magnetic disk or another medium (4) Alternatively, if the person or en- widely used at the time for electronic tity intending to obtain the compul- storage of data, in the form of a flat sory license knows the name and ad- file, word processing document or dress of the copyright owner of the spreadsheet readable with computer nondramatic musical work, or the software in wide use at such time, with agent of the copyright owner as de- the required information identified scribed in paragraph (a)(4) of this sec- and/or delimited so as to be readily dis- tion, the Notice of Intention may be cernible. The list may be submitted by served on the copyright owner or the means of electronic transmission (such agent of the copyright owner by send- as e-mail) if the demand from the copying the Notice by mail or delivering it right owner or authorized agent states by reputable courier service to the ad- that such submission will be accepted. dress of the copyright owner or agent (g) Harmless errors. Harmless errors in of the copyright owner. For purposes of a Notice that do not materially affect section 115(b)(1) of title 17 of the United the adequacy of the information re- States Code, the Notice will not be con- quired to serve the purposes of section sidered properly served if the Notice is 115(b)(1) of title 17 of the United States not sent to the copyright owner or the Code, shall not render the Notice in- agent of the copyright owner as de- valid. scribed in paragraph (a)(4) of this section, or if the Notice is sent to an in- [69 FR 34582, June 22, 2004] correct address. (5) If a Notice of Intention is sent by § 201.19 Royalties and statements of certified mail or registered mail, a account under compulsory license mailing receipt shall be sufficient to for making and distributing phonorecords of nondramatic musi- prove that service was timely. If a No- cal works. tice of Intention is delivered by a reputable courier, documentation from (a) Definitions. (1) A Monthly State- the courier showing the first date of at- ment of Account is a statement accom- tempted delivery shall also be suffi- panying monthly royalty payments cient to prove that service was timely. identified in section 115(c)(5) of title 17 In the absence of a receipt from the of the United States Code, as amended United States Postal Service showing by Pub. L. 94–553, and required by that the date of delivery or documentation section to be made under the compul- showing the first date of attempted de- sory license to make and distribute livery by a reputable courier, the com- phonorecords of nondramatic musical pulsory licensee shall bear the burden works. of proving that the Notice of Intention (2) An Annual Statement of Account is was served in a timely manner. a statement identified in section (6) If a Notice served upon a copy- 115(c)(5) of title 17 of the United States right owner or an authorized agent of a Code, as amended by Pub. L. 94–553, and copyright owner identifies more than required by that section to be filed for 50 works that are embodied or intended every compulsory license to make and to be embodied in phonorecords made distribute phonorecords of nondra- under the compulsory license, the matic musical works. copyright owner or the authorized (3) For the purposes of this section, agent may send the person who served the term copyright owner, in the case of the Notice a demand that a list of each any work having more than one copy- of the works so identified be resub- right owner, means any one of the co- mitted in an electronic format, along owners.

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(4) For the purposes of this section, (ii) In the case of phonorecords relin- the service of a Statement of Account quished from possession for purposes of on a copyright owner under paragraph sale without a privilege of returning (e)(7) or (f)(7) of this section may be ac- unsold phonorecords for credit or ex- complished by means of service on ei- change, at the time at which the com- ther the copyright owner or an agent of pulsory licensee actually first parts the copyright owner with authority to with possession; receive Statements of Account on be- (iii) In the case of phonorecords re- half of the copyright owner. In the case linquished from possession for purposes where the work has more than one of sale accompanied by a privilege of copyright owner, the service of the returning unsold phonorecords for Statement of Account on one co-owner credit or exchange: or upon an agent of one of the co-own- (A) At the time when revenue from a ers shall be sufficient with respect to sale of the phonorecord is ‘‘recognized’’ all co-owners. by the compulsory licensee; or (5) For the purposes of this section, a (B) Nine months from the month in compulsory licensee is a person or entity which the compulsory licensee actually exercising the compulsory license to first parted with possession, whichever make and distribute phonorecords of occurs first. nondramatic musical works as pro- For these purposes, a compulsory li- vided under section 115 of title 17 of the censee shall be considered to ‘‘recog- United States Code. nize’’ revenue from the sale of a phono- (6) For the purposes of this section, a record when sales revenue would be digital phonorecord delivery shall be recognized in accordance with gen- treated as a type of phonorecord con- erally accepted accounting principles figuration, and a digital phonorecord as expressed by the American Institute delivery shall be treated as a phono- of Certified Public Accountants or the record, with the following clarifica- Financial Accounting Standards Board, tions: whichever would cause sales revenue to be recognized first. (i) A digital phonorecord delivery (8) To the extent that the terms re- shall be treated as a phonorecord made serve, credit and return appear in this and distributed on the date the phono- section, such provisions shall not apply record is digitally transmitted; and to digital phonorecord deliveries. (ii) A digital phonorecord delivery (9) A phonorecord reserve comprises shall be treated as having been volun- the number of phonorecords, if any, tarily distributed and relinquished from that have been relinquished from pos- possession, and a compulsory licensee session for purposes of sale in a given shall be treated as having permanently month accompanied by a privilege of parted with possession of a digital pho- return, as described in paragraph norecord delivery, on the date that the (a)(5)(iii) of this section, and that have phonorecord is digitally transmitted. not been considered voluntarily dis- (7) Except as provided in paragraph tributed during the month in which the (a)(6) of this section, a phonorecord is compulsory licensee actually first considered voluntarily distributed if the parted with their possession. The ini- compulsory licensee has voluntarily tial number of phonorecords com- and permanently parted with posses- prising a phonorecord reserve shall be sion of the phonorecord. For this pur- determined in accordance with gen- pose, and subject to the provisions of erally accepted accounting principles paragraph (d) of this section, a compul- as expressed by the American Institute sory licensee shall be considered to of Certified Public Accountants or the have ‘‘permanently parted with posses- Financial Accounting Standards Board. sion’’ of a phonorecord made under the (10) A negative reserve balance com- license: prises the aggregate number of (i) In the case of phonorecords relin- phonorecords, if any, that have been quished from possession for purposes relinquished from possession for pur- other than sale, at the time at which poses of sale accompanied by a privi- the compulsory licensee actually first lege of return, as described in para- parts with possession; graph (a)(5)(iii) of this section, and

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that have been returned to the compul- enue is being ‘‘recognized.’’ Said li- sory licensee, but because all available censee shall then reduce the next suc- phonorecord reserves have been elimi- ceeding phonorecord reserve by the nated, have not been used to reduce a number of phonorecords for which rev- phonorecord reserve. enue is being ‘‘recognized’’ that have (11) An incomplete transmission is any not been used to eliminate a phono- digital transmission of a sound record- record reserve. Subject to the time ing which, as determined by means limitations of paragraph (a)(7)(iii)(B) of within the sole control of the dis- this section, the number of tributor, does not result in a specifi- phonorecords remaining in this reserve cally identifiable reproduction of the shall be available for use in subsequent entire sound recording by or for any months. transmission recipient. (3) If the number of phonorecords for (12) A retransmission is a subsequent which revenue is being ‘‘recognized’’ digital transmission of the same sound equals the number of phonorecords recording initially transmitted to an comprising all eligible phonorecord re- identified recipient for the purpose of serves, the person or entity exercising completing the delivery of a complete the compulsory license shall eliminate and usable reproduction of that sound all of the phonorecord reserves. recording to that recipient. (c) Accounting requirements for offset- (b) Accounting requirements where sales ting phonorecord reserves with returned revenue is ‘‘recognized’’. Where under phonorecords. (1) In the case of a phono- paragraph (a)(5)(iii)(A) of this section, record that has been relinquished from revenue from the sale of phonorecords possession for purposes of sale accom- is ‘‘recognized’’ during any month after panied by a privilege of return, as de- the month in which the compulsory li- scribed in paragraph (a)(5)(iii) of this censee actually first parted with their section, where the phonorecord is re- possession, said compulsory licensee turned to the compulsory licensee for shall reduce particular phonorecord re- credit or exchange before said compul- serves by the number of phonorecords sory licensee is considered to have for which revenue is being ‘‘recog- ‘‘permanently parted with possession’’ nized,’’ as follows: of the phonorecord under paragraph (1) If the number of phonorecords for (a)(5) of this section, the compulsory li- which revenue is being ‘‘recognized’’ is censee may use such phonorecord to re- smaller than the number of duce a ‘‘phonorecord reserve,’’ as de- phonorecords comprising the earliest fined in paragraph (a)(6) of this section. eligible phonorecord reserve, this pho- (2) In such cases, the compulsory li- norecord reserve shall be reduced by censee shall reduce particular phono- the number of phonorecords for which record reserves by the number of revenue is being ‘‘recognized.’’ Subject phonorecords that are returned during to the time limitations of paragraph the month covered by the Monthly (a)(7)(iii)(B) of this section, the number Statement of Account in the following of phonorecords remaining in this re- manner: serve shall be available for use in sub- (i) If the number of phonorecords sequent months. that are returned during the month (2) If the number of phonorecords for covered by the Monthly Statement is which revenue is being ‘‘recognized’’ is smaller than the number comprising greater than the number of the earliest eligible phonorecord re- phonorecords comprising the earliest serve, the compulsory licensee shall re- eligible phonorecord reserve but less duce this phonorecord reserve by the than the total number of phonorecords total number of returned phonorecords. comprising all eligible phonorecord re- Subject to the time limitations of serves, the compulsory licensee shall paragraph (B) of § 201.19(a)(5)(iii), the first eliminate those phonorecord re- number of phonorecords remaining in serves, beginning with the earliest eli- this reserve shall be available for use gible phonorecord reserve and con- in subsequent months. tinuing to the next succeeding phono- (ii) If the number of phonorecords record reserves, that are completely that are returned during the month offset by phonorecords for which rev- covered by the Monthly Statement is

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greater than the number of phonorecords comprising it shall be ac- phonorecords comprising the earliest cumulated into a single balance rather eligible phonorecord reserve but less than being separated into distinct than the total number of phonorecords monthly balances. Following the estab- comprising all eligible phonorecord re- lishment of a negative reserve balance, serves, the compulsory licensee shall any phonorecords relinquished from first eliminate those phonorecord re- possession by the compulsory licensee serves, beginning with the earliest eli- for purposes of sale or otherwise, shall gible phonorecord reserve, and con- be credited against such negative bal- tinuing to the next succeeding phono- ance, and the negative reserve balance record reserves, that are completely shall be reduced accordingly. The nine- offset by returned phonorecords. Said month limit provided by paragraph (B) licensee shall then reduce the next suc- of § 201.19(a)(5)(iii) shall have no effect ceeding phonorecord reserve by the upon a negative reserve balance; where number of returned phonorecords that a negative reserve balance exists, relin- have not been used to eliminate a pho- quishment from possession of a phono- norecord reserve. Subject to the time record by the compulsory licensee at limitations of paragraph (B) of any time shall be used to reduce such § 201.19(a)(5)(iii), the number of balance, and shall not be considered a phonorecords remaining in this reserve ‘‘voluntary distribution’’ within the shall be available for use in subsequent meaning of paragraph (a)(5) of this sec- months. tion. (iii) If the number of phonorecords (5) In no case shall a phonorecord re- that are returned during the month serve be established while a negative covered by the Monthly Statement is reserve balance is in existence; con- equal to or is greater than the total versely, in no case shall a negative re- number of phonorecords comprising all serve balance be established before all eligible phonorecord reserves, the com- available phonorecord reserves have pulsory licensee shall eliminate all eli- been eliminated. gible phonorecord reserves. Where said (d) Situations in which a compulsory li- number is greater than the total num- censee is barred from maintaining re- ber of phonorecords comprising all eli- serves. Notwithstanding any other pro- gible phonorecord reserves, said com- visions of this section, in any case pulsory licensee shall establish a ‘‘neg- where, within three years before the ative reserve balance,’’ as defined in phonorecord was relinquished from pos- paragraph (a)(10) of this section. session, the compulsory licensee has (3) Except where a negative reserve had final judgment entered against it balance exists, a separate and distinct for failure to pay royalties for the re- phonorecord reserve shall be estab- production of copyrighted music on lished for each month during which the phonorecords, or within such period compulsory licensee relinquishes has been definitively found in any pro- phonorecords from possession for pur- ceeding involving bankruptcy, insol- poses of sale accompanied by a privi- vency, receivership, assignment for the lege of return, as described in para- benefit of creditors, or similar action, graph (a)(5)(iii) of this section. In ac- to have failed to pay such royalties, cordance with paragraph (B) of that compulsory licensee shall be con- § 201.19(a)(5)(iii), any phonorecord re- sidered to have ‘‘Permanently parted maining in a particular phonorecord with possession’’ of a phonorecord reserve nine months from the month in made under the license at the time at which the particular reserve was estab- which that licensee actually first parts lished shall be considered ‘‘voluntarily with possession. For these purposes the distributed’’; at that point, the par- ‘‘compulsory licensee,’’ as defined in ticular monthly phonorecord reserve paragraph (a)(5) of this section, shall shall lapse and royalties for the include: phonorecords remaining in it shall be (1) In the case of any corporation, the paid as provided in paragraph (e)(4)(ii) corporation or any director, officer, or of this section. beneficial owner of twenty-five percent (4) Where a negative reserve balance (25%) or more of the outstanding secu- exists, the aggregate total of rities of the corporation;

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(2) In all other cases, any entity or (vii) In any case where the compul- individual owning a beneficial interest sory licensee falls within the provi- of twenty-five percent (25%) or more in sions of paragraph (d) of this section, a the entity exercising the compulsory clear description of the action or pro- license. ceeding involved, including the date of (e) Monthly statements of account—(1) the final judgment or definitive finding Forms. The Copyright Office does not described in that paragraph. provide printed forms for the use of (3) Specific content of monthly state- persons serving Monthly Statements of ments: Identification and accounting of Account. phonorecords. (i) The information called (2) General content. A Monthly State- for by paragraph (e)(2)(v) of this sec- ment of Account shall be clearly and tion shall, with respect to each nondra- prominently identified as a ‘‘Monthly matic musical work, include a separate Statement of Account Under Compul- listing of each of the following items of sory License for Making and Distrib- information: uting Phonorecords,’’ and shall include (A) The number of phonorecords, in- a clear statement of the following including digital phonorecord deliveries, formation: made during the month covered by the (i) The period (month and year) cov- Monthly Statement; ered by the Monthly Statement; (B) The number of phonorecords that, (ii) The full legal name of the com- during the month covered by the pulsory licensee, together with all fic- Monthly Statement and regardless of titious or assumed names used by such when made, were either: person or entity for the purpose of con- Relinquished from possession for purposes ducting the business of making and dis- other than sale; tributing phonorecords; Relinquished from possession for purposes (iii) The full address, including a spe- of sale without any privilege of returning cific number and street name or rural unsold phonorecords for credit or exchange; Relinquished from possession for purposes route, of the place of business of the of sale accompanied by a privilege of return- compulsory licensee. A post office box ing unsold phonorecords for credit or ex- or similar designation will not be suffi- change; cient for this purpose, except where it Returned to the compulsory licensee for is the only address that can be used in credit or exchange; that geographic location; Placed in a phonorecord reserve (except (iv) The title or titles of the nondra- that if a negative reserve balance exists give either the number of phonorecords added to matic musical work or works embodied the negative reserve balance, or the number in phonorecords made under the com- of phonorecords relinquished from possession pulsory license and owned by the copy- that have been used to reduce the negative right owner being served with the reserve balance); Monthly Statement and the name of Never delivered due to a failed trans- the author or authors of such work or mission; or works, if known; Digitally retransmitted in order to com- (v) For each nondramatic musical plete a digital phonorecord delivery. work that is owned by the same copy- (C) The number of phonorecords, re- right owner being served with the gardless of when made, that were relin- Monthly Statement and that is em- quished from possession during a bodied in phonorecords covered by the month earlier than the month covered compulsory license, a detailed state- by the Monthly Statement but that, ment of all of the information called during the month covered by the for in paragraph (e)(3) of this section; Monthly Statement either have had (vi) The total royalty payable for the revenue from their sale ‘‘recognized’’ month covered by the Monthly State- under paragraph (a)(5)(iii) of this sec- ment, computed in accordance with the tion, or were comprised in a phono- requirements of this section and the record reserve that lapsed after nine formula specified in paragraph (e)(4) of months under paragraph (B) of this section, together with a statement § 201.19(a)(5)(iii). of account showing in detail how the (ii) Each of the items of information royalty was computed; and called for by paragraph (e)(3)(i) of this

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section shall also include, and if nec- figures: (1) The number of phonorecords that, essary shall be broken down to identify during the month covered by the Monthly separately, the following: Statement, were relinquished from posses- (A) The catalog number or numbers sion by the compulsory licensee for purposes of sale, without the privilege of returning and label name or names, used on the unsold phonorecords to the compulsory li- phonorecords; censee for credit or exchange; and (2) the (B) The names of the principal re- number of phonorecords relinquished from cording artist or group engaged in ren- possession by the compulsory licensee, dur- dering the performances fixed on the ing the month covered by the Monthly phonorecords; Statement, for purposes other than sale. (C) The playing time on the Step 4: Make any necessary adjustments for sales revenue ‘‘recognized,’’ lapsed reserves, or phonorecords of each nondramatic mu- reduction of negative reserve balance during the sical work covered by the statement; month. If necessary, this step involves adding and to or subtracting from the subtotal arrived (D) Each phonorecord configuration at in Step 3 on the basis of three possible involved (for example: single disk, types of adjustments: long-playing disk, cartridge, cassette, (a) Sales revenue ‘‘recognized.’’ If, in the reel-to-reel, digital phonorecord deliv- month covered by the Monthly Statement, the compulsory licensee ‘‘recognized’’ rev- ery, or a combination of them). enue from the sale of phonorecords that had (E) The date of and a reason for each been relinquished from possession in an ear- incomplete transmission. lier month, the number of such phonorecords (4) Royalty payment and accounting. (i) is added to the Step 3 subtotal; The total royalty called for by para- (b) Lapsed reserves. If, in the month covered graph (e)(2)(vi) of this section shall, as by the Monthly Statement, there are any specified in section 115(c)(2) of title 17 phonorecords remaining in the phonorecord of the United States Code, be payable reserve for the ninth previous month (that is, any phonorecord reserves from the ninth for every phonorecord ‘‘voluntarily dis- previous month that have not been offset tributed’’ during the month covered by under FOFI, the first-out-first-in accounting the Monthly Statement. convention, by actual returns during the in- (ii) The amount of the royalty pay- tervening months), the reserve lapses and ment shall be calculated in accordance the number of phonorecords in it is added to with the following formula: the Step 3 subtotal. (c) Reduction of negative reserve balance. If, Step 1: Compute the number of phonorecords in the month covered by the Monthly State- shipped for sale with a privilege of return. This ment, the aggregate reserve balance for all is the total of phonorecords that, during the previous months is a negative amount, the month covered by the Monthly Statement, number of phonorecords relinquished from were relinquished from possession by the possession by the compulsory licensee during compulsory licensee, accompanied by the that month and used to reduce the negative privilege of returning unsold phonorecords to reserve balance is subtracted from the Step 3 the compulsory licensee for credit or ex- subtotal. change. This total does not include: (1) Any (d) Incomplete transmissions. If, in the phonorecords relinquished from possession month covered by the Monthly Statement, by the compulsory licensee for purposes of there are any digital transmissions of a sale without the privilege of return; and (2) sound recording which do not result in spe- any phonorecords relinquished from posses- cifically identifiable reproductions of the en- sion for purposes other than sale. tire sound recording by or for any trans- Step 2: Subtract the number of phonorecords mission recipient, as determined by means reserved. This involves deducting, from the within the sole control of the distributor, subtotal arrived at in Step 1, the number of the number of such phonorecords is sub- phonorecords that have been placed in the tracted from the Step 3 subtotal. phonorecord reserve for the month covered (e) Retransmitted digital phonorecords. If, in by the Monthly Statement. The number of the month covered by the Monthly State- phonorecords reserved is determined by mul- ment, there are retransmissions of a digital tiplying the subtotal from Step 1 by the per- phonorecord to a recipient who did not re- centage reserve level established under Gen- ceive a complete and usable phonorecord erally Accepted Accounting Practices. This during an initial transmission, and such step should be skipped by a compulsory li- transmissions are made for the sole purpose censee barred from maintaining reserves of delivering a complete and usable repro- under paragraph (d) of this section. duction of the initially requested sound re- Step 3: Add the total of all phonorecords that cording to that recipient, the number of such were shipped during the month and were not retransmitted digital phonorecords is sub- counted in Step 1. This total is the sum of two tracted from the Step 3 subtotal.

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Step 5: Multiply by the statutory royalty rate. immediately succeeding month. How- The total monthly royalty payment is ob- ever, in the case where the licensee has tained by multiplying the subtotal from Step served its Notice of Intention upon an 3, as adjusted if necessary by Step 4, by the statutory royalty rate of 5.7 cents or 1.1 agent of the copyright owner pursuant cents per minute or fraction of playing time, to § 201.18, the licensee is not required whichever is larger. to serve Monthly Statements of Ac- count or make any royalty payments (iii) Each step in computing the monthly payment, including the arith- until the licensee receives from the metical calculations involved in each agent with authority to receive the No- step, shall be set out in detail in the tice of Intention notice of the name Monthly Statement. and address of the copyright owner or (5) Clear statements. The information its agent upon whom the licensee shall required by paragraphs (e) (2) and (3) of serve Monthly Statements of Account this section involves intelligible, leg- and the monthly royalty fees. Upon re- ible, and unambiguous statements in ceipt of this information, the licensee the Monthly Statements of Account shall serve Monthly Statements of Ac- itself and without incorporation of count and all royalty fees covering the facts or information contained in other intervening period upon the person or documents or records. entity identified by the agent with au- (6) Oath and signature. Each Monthly thority to receive the Notice of Inten- Statement of Account shall include the tion by or before the 20th day of the handwritten signature of the compul- month following receipt of the notifi- sory licensee. If that compulsory li- cation. It shall not be necessary to file censee is a corporation, the signature a copy of the Monthly Statement in shall be that of a duly authorized offi- the Copyright Office. cer of the corporation; if that compul- (ii)(A) In any case where a Monthly sory licensee is a partnership, the sig- Statement of Account is sent by mail nature shall be that of a partner. The or reputable courier service and the signature shall be accompanied by: Monthly Statement of Account is re- (i) The printed or typewritten name turned to the sender because the copy- of the person signing the Monthly right owner or agent is no longer lo- Statement of Account; cated at that address or has refused to (ii) The date of signature; accept delivery, or in any case where (iii) If the compulsory licensee is a an address for the copyright owner is partnership or a corporation, by the not known, the Monthly Statement of title or official position held in the Account, together with any evidence of partnership or corporation by the person signing the Monthly Statement of mailing or attempted delivery by cou- Account; rier service, may be filed in the Licens- (iv) A certification of the capacity of ing Division of the Copyright Office. the person signing; and Any Monthly Statement of Account (v) The following statement: submitted for filing in the Copyright Office shall be accompanied by a brief I certify that I have examined this Month- statement of the reason why it was not ly Statement of Account and that all statements of fact contained herein are true, com- served on the copyright owner. A writ- plete, and correct to the best of my knowl- ten acknowledgment of receipt and fil- edge, information, and belief, and are made ing will be provided to the sender. in good faith. (B) The Copyright Office will not ac- (7) Service. (i) Each Monthly State- cept any royalty fees submitted with ment of Account shall be served on the Monthly Statements of Account under copyright owner or the agent with au- this paragraph (e)(7)(ii). thority to receive Monthly Statements (C) Neither the filing of a Monthly of Account on behalf of the copyright Statement of Account in the Copyright owner to whom or which it is directed, Office, nor the failure to file such together with the total royalty for the Monthly Statement, shall have effect month covered by the Monthly State- other than that which may be attrib- ment, by mail or by reputable courier uted to it by a court of competent ju- service on or before the 20th day of the risdiction.

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(D) No filing fee will be required in (iii) If the compulsory licensee is a the case of Monthly Statements of Ac- business organization, the name and count submitted to the Copyright Of- title of the chief executive officer, fice under this paragraph (e)(7)(ii). managing partner, sole proprietor or Upon request and payment of the fee other person similarly responsible for specified in § 201.3(e), a Certificate of the management of such entity. Filing will be provided to the sender. (iv) The full address, including a spe- (iii) A separate Monthly Statement cific number and street name or rural of Account shall be served for each route, or the place of business of the month during which there is any activ- compulsory licensee. A post office box ity relevant to the payment of royal- or similar designation will not be suffi- ties under section 115 of Title 17, cient for this purpose except where it is United States Code, and under this sec- the only address that can be used in tion. The Annual Statement of Ac- that geographic location; count identified in paragraph (f) of this (v) The title or titles of the nondra- section does not replace any Monthly matic musical work or works embodied Statement of Account. in phonorecords made under the com- (iv) If a Monthly Statement of Ac- pulsory license and owned by the copy- count is sent by certified mail or reg- right owner being served with the An- istered mail, a mailing receipt shall be nual Statement and the name of the sufficient to prove that service was author or authors of such work or timely. If a Monthly Statement of Ac- works, if known; count is delivered by a reputable cou- (vi) The playing time of each nondra- rier, documentation from the courier matic musical work on such showing the first date of attempted de- phonorecords; livery shall also be sufficient to prove (vii) For each nondramatic musical that service was timely. In the absence work that is owned by the same copy- of a receipt from the United States right owner being served with the An- Postal Service showing the date of de- nual Statement and that is embodied livery or documentation showing the in phonorecords covered by the com- first date of attempted delivery by a pulsory license, a detailed statement of reputable courier, the compulsory li- all of the information called for in censee shall bear the burden of proving paragraph (f)(4) of this section; that the Monthly Statement of Ac- (viii) The total royalty payable for count was served in a timely manner. the fiscal year covered by the Annual (f) Annual statements of account—(1) Statement computed in accordance Forms. The Copyright Office does not with the requirements of this section, provide printed forms for the use of together with a statement of account persons serving Annual Statements of showing in detail how the royalty was Account. computed. For these purposes, the ap- (2) Annual period. Any Annual State- plicable royalty as specified in section ment of Account shall cover the full 115(c)(2) of title 17 of the United States fiscal year of the compulsory licensee. Code, shall be payable for every phono- (3) General content. An Annual State- record ‘‘voluntarily distributed’’ dur- ment of Account shall be clearly and ing the fiscal year covered by the An- prominently identified as an ‘‘Annual nual Statement; Statement of Account Under Compul- (ix) The total sum paid under Month- sory License for Making and Distrib- ly Statements of Account by the com- uting Phonorecords,’’ and shall include pulsory licensee to the copyright owner a clear statement of the following in- being served with the Annual State- formation: ment during the fiscal year covered by (i) The fiscal year covered by the An- the Annual Statement; and nual Statement; (x) In any case where the compulsory (ii) The full legal name of the com- license falls within the provisions of pulsory licensee, together with all fic- paragraph (d) of this section, a clear titious or assumed names used by such description of the action or proceeding person or entity for the purpose of con- involved, including the date of the ducting the business of making and dis- final judgment or definitive finding de- tributing phonorecords; scribed in that paragraph.

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(4) Specific content of annual state- clear and detailed explanation of the ments: Identification and accounting of difference. For these purposes, the in- phonorecords. (i) The information called formation given under such paragraphs for by paragraph (f)(3)(vii) of this sec- shall be considered not to reconcile if, tion shall, with respect to each nondra- after the number of phonorecords given matic musical work, include a separate under paragraphs (B), (C), (D), and (E) listing of each of the following items of are added together and that sum is de- information separately stated and ducted from the number of identified for each phonorecord con- phonorecords given under paragraph figuration (for example, single disk, (A), the result is different from the long playing disk, cartridge, cassette, amount given under paragraph (F). or reel-to-reel) made: (5) Clear statement. The information (A) The number of phonorecords required by paragraph (f)(3) of this sec- made through the end of the fiscal year tion involves intelligible, legible, and covered by the Annual Statement, in- unambiguous statements in the Annual cluding any made during earlier years; Statement of Account itself and with- (B) The number of phonorecords out incorporation by reference of facts which have never been relinquished or information contained in other doc- from possession of the compulsory li- uments or records. censee through the end of the fiscal (6) Signature and certification. (i) Each year covered by the Annual Statement; Annual Statement of Account shall in- (C) The number of phonorecords include the handwritten signature of the voluntarily relinquished from posses- compulsory licensee. If that compul- sion (as through fire or theft) of the sory licensee is a corporation, the sig- compulsory licensee during the fiscal nature shall be that of a duly author- year covered by the Annual Statement ized officer of the corporation; if that and any earlier years, together with a compulsory licensee is a partnership, description of the facts of such invol- the signature shall be that of a part- untary relinquishment; ner. The signature shall be accom- (D) The number of phonorecords panied by: (A) The printed or type- ‘‘voluntarily distributed’’ by the com- written name of the person signing the pulsory licensee during all years before Annual Statement of Account; (B) the the fiscal year covered by the Annual date of signature; (C) if the compulsory Statement; licensee is a partnership or a corpora- (E) The number of phonorecords re- tion, by the title or official position linquished from possession of the com- held in the partnership or corporation pulsory licensee for purposes of sale by the person signing the Annual during the fiscal year covered by the Statement of Account; and (D) a cer- Annual Statement accompanied by a tification of the capacity of the person privilege of returning unsold records signing. for credit or exchange, but not ‘‘volun- (ii)(A) Each Annual Statement of Ac- tarily distributed’’ by the end of that count shall also be certified by a li- year; censed Certified Public Accountant. (F) The number of phonorecords Such certification shall consist of the ‘‘voluntarily distributed’’ by the com- following statement: pulsory licensee during the fiscal year covered by the Annual Statement, to- We have examined the attached ‘‘Annual Statement of Account Under Compulsory Li- gether with: cense For Making and Distributing (1) The catalog number or numbers, Phonorecords’’ for the fiscal year ended and label name or names, used on such (date) of (name of the compulsory licensee) phonorecords; and applicable to phonorecords embodying (title (2) The names of the principal record- or titles of nondramatic musical works em- ing artists or groups engaged in ren- bodied in phonorecords made under the com- dering the performances fixed on such pulsory license) made under the provisions of phonorecords. section 115 of title 17 of the United States Code, as amended by Pub. L. 94–553, and ap- (ii) If the information given under plicable regulations of the United States paragraphs (f)(4)(i)(A) through (F) of Copyright Office. Our examination was made this section does not reconcile, the An- in accordance with generally accepted audit- nual Statement shall also include a ing standards and accordingly, included tests

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of the accounting records and such other au- (ii) In any case where the amount re- diting procedures as we considered necessary quired to be stated in the Annual in the circumstances. Statement of Account under paragraph In our opinion the Annual Statement of (f)(3)(viii) of this section is greater Account referred to above presents fairly the number of phonorecords embodying each of than the amount stated in that Annual the above-identified nondramatic musical Statement under paragraph (f)(3)(ix) of works made under compulsory license and this section, the difference between voluntarily distributed by (name of the com- such amounts shall be delivered to the pulsory licensee) during the fiscal year end- copyright owner together with the ing (date), and the amount of royalties appli- service of the Annual Statement. The cable thereto under such compulsory license, on a consistent basis and in accordance with delivery of such sum does not require the above cited law and applicable regula- the copyright owner to accept such tions published thereunder. sum, or to forego any right, relief, or llllllllllllllllllllllll remedy which may be available under law. (City and State of Execution) (iii)(A) In any case where an Annual llllllllllllllllllllllll Statement of Account is sent by mail or by reputable courier service and is (Signature of Certified Public Accountant or returned to the sender because the CPA Firm) copyright owner or agent is not located llllllllllllllllllllllll at that address or has refused to accept Certificate Number delivery, or in any case where an address for the copyright owner is not llllllllllllllllllllllll known, the Annual Statement of Ac- Jurisdiction of Certificate count, together with any evidence of mailing or attempted delivery by cou- llllllllllllllllllllllll rier service, may be filed in the Licens- (Date of Opinion) ing Division of the Copyright Office. Any Annual Statement of Account sub- (B) The certificate shall be signed by mitted for filing shall be accompanied an individual, or in the name of a part- by a brief statement of the reason why nership or a professional corporation it was not served on the copyright with two or more shareholders. The owner. A written acknowledgment of certificate number and jurisdiction are receipt and filing will be provided to not required if the certificate is signed the sender. in the name of a partnership or a pro- (B) The Copyright Office will not ac- fessional corporation with two or more cept any royalty fees submitted with shareholders. Annual Statements of Account under (7) Service. (i) Each Annual State- this paragraph (f)(7)(iii). ment of Account shall be served on the (C) Neither the filing of an Annual copyright owner or the agent with au- Statement of Account in the Copyright thority to receive Annual Statements Office, nor the failure to file such An- of Account on behalf of the copyright owner to whom or which it is directed nual Statement, shall have any effect by mail or by reputable courier service other than that which may be attrib- on or before the 20th day of the third uted to it by a court of competent ju- month following the end of the fiscal risdiction. year covered by the Annual Statement. (D) No filing fee will be required in It shall not be necessary to file a copy the case of Annual Statements of Ac- of the Annual Statement in the Copy- count submitted to the Copyright Of- right Office. An Annual Statement of fice under this § 201.19(f)(7)(iii). Upon Account shall be served for each fiscal request and payment of the fee speci- year during which at least one Monthly fied in § 201.3(e), a Certificate of Filing Statement of Account shall be served will be provided to the sender. for each fiscal year during which at (iv) If an Annual Statement of Ac- least one Monthly Statement of Ac- count is sent by certified mail or reg- count was required to have been served istered mail, a mailing receipt shall be under paragraph (e)(7) of this section. sufficient to prove that service was

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timely. If an Annual Statement of Ac- the legal sufficiency of particular no- count is delivered by a reputable cou- tices, except with respect to methods rier, documentation from the courier of affixation and positions of notice. showing the first date of attempted de- The adequacy or legal sufficiency of a livery shall also be sufficient to prove copyright notice is determined by the that service was timely. In the absence law in effect at the time of first publi- of a receipt from the United States cation of the work. Postal Service showing the date of de- (b) Definitions. For the purposes of livery or documentation showing the this section: first date of attempted delivery by a (1) The terms audiovisual works, col- reputable courier, the compulsory li- lective works, copies, device, fixed, ma- censee shall bear the burden of proving chine, motion picture, pictorial, graphic, that the Annual Statement of Account and sculptural works, and their variant was served in a timely manner. forms, have the meanings given to (g) Documentation. All compulsory li- them in section 101 of title 17. censees shall, for a period of at least (2) Title 17 means title 17 of the three years from the date of service of United States Code, as amended by an Annual Statement of Account, keep Pub. L. 94–553. and retain in their possession all (3) In the case of a work consisting records and documents necessary and preponderantly of leaves on which the appropriate to support fully the information set forth in such Annual State- work is printed or otherwise repro- ment and in Monthly Statements duced on both sides, a ‘‘page’’ is one served during the fiscal year covered side of a leaf; where the preponderance by such Annual Statement. of the leaves are printed on one side only, the terms ‘‘page’’ and ‘‘leaf’’ (17 U.S.C. 115, 702, 708) mean the same. [45 FR 79046, Nov. 28, 1980, as amended at 56 (4) A work is published in book form if FR 7813, Feb. 26, 1991; 56 FR 59885, Nov. 26, the copies embodying it consist of mul- 1991; 63 FR 30635, June 5, 1998; 64 FR 29521, tiple leaves bound, fastened, or assem- June 1, 1999; 64 FR 36574, 36575, July 7, 1999; 64 bled in a predetermined order, as, for FR 41289, July 30, 1999; 66 FR 34373, June 28, example, a volume, booklet, pamphlet, 2001; 69 FR 34584, June 22, 2004] or multipage folder. For the purpose of § 201.20 Methods of affixation and po- this section, a work need not consist of sitions of the copyright notice on textual matter in order to be consid- various types of works. ered published in ‘‘book form.’’ (a) General. (1) This section specifies (5) A title page is a page, or two con- examples of methods of affixation and secutive pages facing each other, ap- positions of the copyright notice on pearing at or near the front of the cop- various types of works that will satisfy ies of a work published in book form, the notice requirement of section 401(c) on which the complete title of the of title 17 of the United States Code, as work is prominently stated and on amended by Pub. L. 94–553. A notice which the names of the author or au- considered ‘‘acceptable’’ under this reg- thors, the name of the publisher, the ulation shall be considered to satisfy place of publication, or some combina- the requirement of that section that it tion of them, are given. be ‘‘affixed to the copies in such man- (6) The meaning of the terms front, ner and location as to give reasonable back, first, last, and following, when used notice of the claim of copyright.’’ As in connection with works published in provided by that section, the examples book form, will vary in relation to the specified in this regulation shall not be physical form of the copies, depending considered exhaustive of methods of af- upon the particular language in which fixation and positions giving reason- the work is written. able notice of the claim of copyright. (7) In the case of a work published in (2) The provisions of this section are book form with a hard or soft cover, applicable to copies publicly distrib- the front page and back page of the cop- uted on or after December 1, 1981. This ies are the outsides of the front and section does not establish any rules back covers; where there is no cover, concerning the form of the notice or the ‘‘front page,’’ and ‘‘back page’’ are

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the pages visible at the front and back (6) The last page of the main body of of the copies before they are opened. the work; (8) A masthead is a body of informa- (7) Any page between the front page tion appearing in approximately the and the first page of the main body of same location in most issues of a news- the work, if: paper, magazine, journal, review, or (i) There are no more than ten pages other periodical or serial, typically between the front page and the first containing the title of the periodical or page of the main body of the work; and serial, information about the staff, pe- (ii) The notice is reproduced promi- riodicity of issues, operation, and sub- nently and is set apart from other mat- scription and editorial policies, of the ter on the page where it appears; publication. (8) Any page between the last page of (9) A single-leaf work is a work pub- the main body of the work and back lished in copies consisting of a single page, if: leaf, including copies on which the (i) There are no more than ten pages work is printed or otherwise repro- between the last page of the main body duced on either one side or on both of the work and the back page; and sides of the leaf, and also folders which, (ii) The notice is reproduced promi- without cutting or tearing the copies, nently and is set apart from the other can be opened out to form a single leaf. matter on the page where it appears. For the purpose of this section, a work (9) In the case of a work published as need not consist of textual matter in an issue of a periodical or serial, in ad- order to be considered a ‘‘single-leaf dition to any of the locations listed in work.’’ paragraphs (d) (1) through (8) of this (c) Manner of affixation and position section, a notice is acceptable if it is generally. (1) In all cases dealt with in located: this section, the acceptability of a no- (i) As a part of, or adjacent to, the tice depends upon its being perma- masthead; nently legible to an ordinary user of (ii) On the page containing the mast- the work under normal conditions of head if the notice is reproduced promi- use, and affixed to the copies in such nently and is set apart from the other manner and position that, when af- matter appearing on the page; or fixed, it is not concealed from view (iii) Adjacent to a prominent head- upon reasonable examination. ing, appearing at or near the front of the issue, containing the title of the (2) Where, in a particular case, a no- periodical or serial and any combina- tice does not appear in one of the pre- tion of the volume and issue number cise locations prescribed in this section and date of the issue. but a person looking in one of those lo- (10) In the case of a musical work, in cations would be reasonably certain to addition to any of the locations listed find a notice in another somewhat dif- in paragraphs (d) (1) through (9) of this ferent location, that notice will be ac- section, a notice is acceptable if it is ceptable under this section. located on the first page of music. (d) Works published in book form. In (e) Single-leaf works. In the case of the case of works published in book single-leaf works, a notice reproduced form, a notice reproduced on the copies on the copies anywhere on the front or in any of the following positions is ac- back of the leaf is acceptable. ceptable: (f) Contributions to collective works. (1) The title page, if any; For a separate contribution to a collec- (2) The page immediately following tive work to be considered to ‘‘bear its the title page, if any; own notice of copyright,’’ as provided (3) Either side of the front cover, if by 17 U.S.C. 404, a notice reproduced on any; or, if there is no front cover, ei- the copies in any of the following posi- ther side of the front leaf of the copies; tions is acceptable: (4) Either side of the back cover, if (1) Where the separate contribution any; or, if there is no back cover, ei- is reproduced on a single page, a notice ther side of the back leaf of the copies; is acceptable if it appears: (5) The first page of the main body of (i) Under the title of the contribution the work; on that page;

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(ii) Adjacent to the contribution; or with the aid of a machine or device,1 (iii) On the same page if, through for- each of the following constitute exam- mat, wording, or both, the application ples of acceptable methods of affix- of the notice to the particular con- ation and position of notice: tribution is made clear; (1) A notice embodied in the copies in (2) Where the separate contribution machine-readable form in such a man- is reproduced on more than one page of ner that on visually perceptible print- the collective work, a notice is accept- outs it appears either with or near the able if it appears: title, or at the end of the work; (i) Under a title appearing at or near (2) A notice that is displayed at the the beginning of the contribution; user’s terminal at sign on; (ii) On the first page of the main (3) A notice that is continuously on body of the contribution; terminal display; or (iii) Immediately following the end of (4) A legible notice reproduced dura- the contribution; or bly, so as to withstand normal use, on a gummed or other label securely af- (iv) On any of the pages where the fixed to the copies or to a box, reel, contribution appears, if: cartridge, cassette, or other container (A) The contribution is reproduced on used as a permanent receptacle for the no more than twenty pages of the col- copies. lective work; (h) Motion pictures and other audio- (B) The notice is reproduced promi- visual works. (1) The following con- nently and is set apart from other mat- stitute examples of acceptable methods ter on the page where it appears; and of affixation and positions of the copy- (C) Through format, wording, or right notice on motion pictures and both, the application of the notice to other audiovisual works: A notice that the particular contribution is made is embodied in the copies by a photo- clear; mechanical or electronic process, in (3) Where the separate contribution such a position that it ordinarily would is a musical work, in addition to any of appear whenever the work is performed the locations listed in paragraphs (f) (1) in its entirety, and that is located: and (2) of this section, a notice is ac- (i) With or near the title; ceptable if it is located on the first (ii) With the cast, credits, and simi- page of music of the contribution; lar information; (4) As an alternative to placing the (iii) At or immediately following the notice on one of the pages where a sep- beginning of the work; or arate contribution itself appears, the (iv) At or immediately preceding the contribution is considered to ‘‘bear its end of the work. own notice’’ if the notice appears clear- (2) In the case of an untitled motion ly in juxtaposition with a separate list- picture or other audiovisual work ing of the contribution by title, or if whose duration is sixty seconds or less, the contribution is untitled, by a de- in addition to any of the locations list- scription reasonably identifying the ed in paragraph (h)(1) of this section, a contribution: notice that is embodied in the copies (i) On the page bearing the copyright by a photomechanical or electronic notice for the collective work as a process, in such a position that it ordi- whole, if any; or narily would appear to the projec- (ii) In a clearly identified and read- tionist or broadcaster when preparing ily-accessible table of contents or list- the work for performance, is accept- ing of acknowledgements appearing able if it is located on the leader of the near the front or back of the collective work as a whole. 1 Works published in a form requiring the (g) Works reproduced in machine-read- use of a machine or device for purposes of op- able copies. For works reproduced in tical enlargement (such as film, filmstrips, machine-readable copies (such as mag- slide films, and works published in any vari- netic tapes or disks, punched cards, or ety of microform) and works published in visually perceptible form but used in connec- the like, from which the work cannot tion with optical scanning devices, are not ordinarily be visually perceived except within this category.

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film or tape immediately preceding the (ii) To the margin, selvage, or reverse beginning of the work. side of the material at frequent and (3) In the case of a motion picture or regular intervals; or other audiovisual work that is distrib- (iii) If the material contains neither uted to the public for private use, the a selvage nor a reverse side, to tags or notice may be affixed, in addition to labels, attached to the copies and to the locations specified in paragraph any spools, reels, or containers housing (h)(1) of this section, on the housing or them in such a way that a notice is container, if it is a permanent recep- visible while the copies are passing tacle for the work. through their normal channels of com- (i) Pictorial, graphic, and sculptural merce. works. The following constitute exam- (5) If the work is permanently housed ples of acceptable methods of affix- in a container, such as a game or puz- ation and positions of the copyright zle box, a notice reproduced on the per- notice on various forms of pictorial, manent container is acceptable. graphic, and sculptural works: (17 U.S.C. 401, 702) (1) Where a work is reproduced in [46 FR 58312, Dec. 1, 1981, as amended at 66 two-dimensional copies, a notice af- FR 34373, June 28, 2001] fixed directly or by means of a label ce- mented, sewn, or otherwise attached § 201.21 [Reserved] durably, so as to withstand normal use, of the front or back of the copies, or to § 201.22 Advance notices of potential any backing, mounting, matting, fram- infringement of works consisting of ing, or other material to which the sounds, images, or both. copies are durably attached, so as to (a) Definitions. (1) An Advance Notice withstand normal use, or in which they of Potential Infringement is a notice are permanently housed, is acceptable. which, if served in accordance with sec- (2) Where a work is reproduced in tion 411(b) of title 17 of the United three-dimensional copies, a notice af- States Code, and in accordance with fixed directly or by means of a label ce- the provisions of this section, enables a mented, sewn, or otherwise attached copyright owner to institute an action durably, so as to withstand normal use, for copyright infringement either be- to any visible portion of the work, or fore or after the first fixation of a work to any base, mounting, framing, or consisting of sounds, images, or both that is first fixed simultaneously with other material on which the copies are its transmission, and to enjoy the full durably attached, so as to withstand remedies of said title 17 for copyright normal use, or in which they are per- infringement, provided registration for manently housed, is acceptable. the work is made within three months (3) Where, because of the size or phys- after its first transmission. ical characteristics of the material in (2) For purposes of this section, the which the work is reproduced in copies, copyright owner of a work consisting of it is impossible or extremely impracti- sounds, images, or both, the first fixa- cable to affix a notice to the copies dition of which is made simultaneously rectly or by means of a durable label, a with its transmission, is the person or notice is acceptable if it appears on a entity that will be considered the au- tag that is of durable material, so as to thor of the work upon its fixation (in- withstand normal use, and that is at- cluding, in the case of a work made for tached to the copy with sufficient du- hire, the employer or other person or rability that it will remain with the entity for whom the work was pre- copy while it is passing through its pared), or a person or organization that normal channels of commerce. has obtained ownership of an exclusive (4) Where a work is reproduced in right, initially owned by the person or copies consisting of sheet-like or strip entity that will be considered the au- material bearing multiple or contin- thor of the work upon its fixation. uous reproductions of the work, the no- (3) A transmission program is a body of tice may be applied: material that, as an aggregate, has (i) To the reproduction itself; been produced for the sole purpose of

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transmission to the public in sequence (i) Explaining that the relevant ac- and as a unit. tivities may, if carried out, subject the (b) Form. The Copyright Office does person responsible to liability for copy- not provide printed forms for the use of right infringement; and persons serving Advance Notices of Po- (ii) Declaring that the copyright tential Infringement. owner intends to secure copyright in (c) Contents. (1) An Advance Notice of the work upon its fixation. Potential Infringement shall be clearly (d) Signature and identification. (1) An and prominently captioned ‘‘ADVANCE Advance Notice of Potential Infringe- NOTICE OF POTENTIAL INFRINGE- ment shall be in writing and signed by MENT’’ and must clearly state that the copyright owner, or such owner’s the copyright owner objects to the rel- duly authorized agent. evant activities of the person respon- (2) The signature of the owner or sible for the potential infringement, agent shall be an actual handwritten and must include all of the following: signature of an individual, accom- (i) Reference to title 17 U.S.C. section panied by the date of signature and the 411(b) as the statutory authority on full name, address, and telephone num- which the Advance Notice of Potential ber of that person, typewritten or Infringement is based; printed legibly by hand. (ii) The date, specific time, and ex- (3) If an Advance Notice of Potential pected duration of the intended first Infringement is initially served in the transmission of the work or works con- form of a telegram or similar commu- tained in the specific transmission pro- nication, as provided by paragraph gram; (e)(2)(iii) of this section, the require- (iii) The source of the intended first ment for an individual’s handwritten transmission of the work or works; signature shall be considered waived if (iv) Clear identification, by title, of the further conditions of said para- the work or works. A single Advance graph (e) are met. Notice of Potential Infringement may (e) Service. (1) An Advance Notice of cover all of the works of the copyright Potential Infringement shall be served owner embodied in a specific trans- on the person responsible for the poten- mission program. If any work is unti- tial infringement not less than 48 hours tled, the Advance Notice of Potential before the first fixation and simulta- Infringement shall include a detailed neous transmission of the work as pro- description of that work; vided by 17 U.S.C. 411(b)(1). (v) The name of at least one person (2) Service of the Advance Notice or entity that will be considered the may be effected by any of the following author of the work upon its fixation; methods: (vi) The identity of the copyright (i) Personal service; owner, as defined in paragraph (a)(2) of this section. If the copyright owner is (ii) First-class mail; or not the person or entity that will be (iii) Telegram, cablegram, or similar considered the author of the work upon form of communication, if: its fixation, the Advance Notice of Po- (A) The Advance Notice meets all of tential Infringement also shall include the other conditions provided by this a brief, general statement summarizing section; and the means by which the copyright (B) Before the first fixation and si- owner obtained ownership of the copy- multaneous transmission take place, right and the particular rights that are the person responsible for the potential owned; and infringement receives written con- (vii) A description of the relevant ac- firmation of the Advance Notice, bear- tivities of the person responsible for ing the actual handwritten signature of the potential infringement which the copyright owner or duly authorized would, if carried out, result in an in- agent. fringement of the copyright. (3) The date of service is the date the (2) An Advance Notice of Potential Advance Notice of Potential Infringe- Infringement must also include clear ment is received by the person respon- and prominent statements: sible for the potential infringement or

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by any agent or employee of that per- title 17 of the United States Code, as son. amended by Pub. L. 94–553; and (17 U.S.C. 411, 702) (3) At the time selection is made a request for full term retention of the de- [46 FR 28849, May 29, 1981, as amended at 63 posit under the control of the Copy- FR 66042, Dec. 1, 1998; 66 FR 34373, June 28, right Office has not been granted by 2001] the Register of Copyrights, in accord- § 201.23 Transfer of unpublished copy- ance with section 704(e) of title 17 of right deposits to the Library of the United States Code, as amended by Congress. Pub. L. 94–553. (a) General. This section prescribes (17 U.S.C. 702, 704) rules governing the transfer of unpublished copyright deposits in the cus- [45 FR 41414, June 19, 1980] tody of the Copyright Office to the Li- § 201.24 Warning of copyright for soft- brary of Congress. The copyright de- ware lending by nonprofit libraries. posits may consist of copies, phonorecords, or identifying material (a) Definition. A Warning of Copy- deposited in connection with registra- right for Software Rental is a notice tion of claims to copyright under sec- under paragraph (b)(2)(A) of section 109 tion 408 of title 17 of the United States of the Copyright Act, title 17 of the Code, as amended by Pub. L. 94–553, 90 United States Code, as amended by the Stat. 2541, effective January 1, 1978. Computer Software Rental Amend- These rules establish the conditions ments Act of 1990, Public Law 101–650. under which the Library of Congress is As required by that paragraph, the entitled to select deposits of unpub- ‘‘Warning of Copyright for Software lished works for its collections or for Rental’’ shall be affixed to the pack- permanent transfer to the National Ar- aging that contains the computer pro- chives of the United States or to a Fed- gram which is lent by a nonprofit li- eral records center in accordance with brary for nonprofit purposes. section 704(b) of title 17 of the United (b) Contents. A Warning of Copyright States Code, as amended by Pub. L. 94– for Software Rental shall consist of a 553. verbatim reproduction of the following (b) Selection by the Library of Congress. notice, printed in such size and form The Library of Congress may select and affixed in such manner as to com- any deposits of unpublished works for ply with paragraph (c) of this section. the purposes stated in paragraph (a) of this section at the time of registration Notice: Warning of Copyright or at any time thereafter; Provided, Restrictions That: (1) A facsimile reproduction of the The copyright law of the United States (title 17, United States Code) governs the re- entire copyrightable content of the de- production, distribution, adaptation, public posit shall be made a part of the Copy- performance, and public display of copyright Office records before transfer to righted material. the Library of Congress as provided by Under certain conditions specified in law, section 704(c) of title 17 of the United nonprofit libraries are authorized to lend, States Code, as amended by Pub. L. 94– lease, or rent copies of computer programs to 553, unless, within the discretion of the patrons on a nonprofit basis and for non- Register of Copyrights, it is considered profit purposes. Any person who makes an impractical or too expensive to make unauthorized copy or adaptation of the computer program, or redistributes the loan the reproduction; copy, or publicly performs or displays the (2) All unpublished copyright depos- computer program, except as permitted by its retained by the Library of Congress title 17 of the United States Code, may be in its collections shall be maintained liable for copyright infringement. under the control of the Library of This institution reserves the right to Congress with appropriate safeguards refuse to fulfill a loan request if, in its judge- against unauthorized copying or other ment, fulfillment of the request would lead unauthorized use of the deposits which to violation of the copyright law. would be contrary to the rights of the (c) Form and manner of use. A Warn- copyright owner in the work under ing of Copyright for Software Rental

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shall be affixed to the packaging that rights under the copyright law. Visual contains the copy of the computer pro- Arts Registry Statements which are il- gram, which is the subject of a library legible or fall outside of the scope of loan to patrons, by means of a label ce- section 113(d)(3) of title 17 may be re- mented, gummed, or otherwise durably fused recordation by the Copyright Of- attached to the copies or to a box, reel, fice. cartridge, cassette, or other container (2) Statements by artists. Statements used as a permanent receptacle for the by artists regarding a work of visual copy of the computer program. The no- art incorporated or made part of a tice shall be printed in such manner as building should be filed in a document to be clearly legible, comprehensible, containing the head: ‘‘Registry of Vis- and readily apparent to a casual user of ual Art Incorporated in a Building— the computer program. Artist’s Statement.’’ The statement [56 FR 7812, Feb. 26, 1991, as amended at 66 should contain the following informa- FR 34373, June 28, 2001] tion: (i) Identification of the artist, includ- § 201.25 Visual Arts Registry. ing name, current address, age, and (a) General. This section prescribes telephone number, if publicly listed. the procedures relating to the submis- (ii) Identification of the work or sion of Visual Arts Registry State- works, including the title, dimensions, ments by visual artists and owners of and physical description of the work buildings, or their duly authorized rep- and the copyright registration number, resentatives, for recordation in the if known. Additionally, it is rec- Copyright Office under section 113(d)(3) ommended that one or more 8×10 pho- of title 17 of the United States Code, as tographs of the work on good quality amended by Public Law 101–650, effec- photographic paper be included in the tive June 1, 1991. Statements recorded submission; the images should be clear in the Copyright Office under this regu- and in focus. lation will establish a public record of (iii) Identification of the building, in- information relevant to an artist’s including its name and address. This tegrity right to prevent destruction or identification may additionally include injury to works of visual art incor- 8×10 photographs of the building and porated in or made part of a building. the location of the artist’s work in the (b) Forms. The Copyright Office does building. not provide forms for the use of persons (iv) Identification of the owner of the recording statements regarding works building, if known. of visual art that have been incor- (3) Statements by the owner of the porated in or made part of a building. building. Statements of owners of a (c) Recordable statements—(1) General. building which incorporates a work of Any statement designated as a ‘‘Visual visual art should be filed in a document Arts Regulatory Statement’’ and which containing the heading: ‘‘Registry of pertains to a work of visual art that Visual Art Incorporated in a Building— has been incorporated in or made part Building Owner’s Statement.’’ The of a building may be recorded in the statement should contain the following Copyright Office provided the state- information: ment is accompanied by the fee for rec- (i) Identification of the ownership of ordation of documents specified in sec- the building, the name of a person who tion 708(a)(4) of title 17 of the United represents the owner, and a telephone States Code. Upon their submission, number, if publicly listed. the statements and an accompanying (ii) Identification of the building, in- documentation or photographs become cluding the building’s name and ad- the property of the United States Gov- dress. This identification may addi- ernment and will not be returned. Pho- tionally include 8×10 photographs of tocopies are acceptable if they are the building and of the works of visual clear and legible. Information con- art which are incorporated in the tained in the Visual Arts Registry building. Statement should be as complete as (iii) Identification of the work or possible since the information may af- works of visual art incorporated in the fect the enforceability of valuable building, including the works’ title(s),

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if known, and the dimensions and phys- the Visual Arts Registry without ex- ical description of the work(s). This amination or verification of the accu- identification may include one or more racy or completeness of the statement, 8×10 photographs of the work(s) on high if the statement is designated as a quality photographic paper; the images ‘‘Visual Arts Registry Statement’’ and should be clear and in focus. pertains to a work of visual art incor- (iv) Identification of the artist(s) who porated in or made part of a building. have works incorporated in the build- Recordation of the statement and pay- ing, including the current address of ment of the recording fee shall estab- each artist, if known. lish only the fact of recordation in the (v) Photocopy of contracts, if any, official record. Acceptance for recorda- between the artist and owners of the tion shall not be considered a deter- building regarding the rights of attri- mination that the statement is accu- bution and integrity. rate, complete, and otherwise in com- (vi) Statement as to the measures pliance with section 113(d), title 17, taken by the owner to notify the art- U.S. Code. The accuracy and complete- ist(s) of the removal or pending re- ness of the statement is the responsi- moval of the work of visual art, and bility of the artist or building owner photocopies of any accompanying doc- who submits it for recordation. Artists uments. and building owners are encouraged to (4) Updating statements. Either the submit accurate and complete state- artist or owner of the building or both ments. Omission of any information, may record statements updating pre- however, shall not itself invalidate the viously recorded information by sub- recordation, unless a court of com- mitting an updated statement and pay- petent jurisdiction finds the statement ing the recording fee specified in para- is materially deficient and fails to graph (d) of this section. Such state- meet the minimum requirements of ments should repeat the information section 113(d) of title 17, U.S. Code. disclosed in the previous filing as regarding the name of the artist(s), the [56 FR 38341, Aug. 13, 1991, as amended at 64 name of the work(s) of visual art, the FR 29522, June 1, 1999; 65 FR 39819, June 28, name and address of the building, and 2000] the name of the owner(s) of the building. The remaining portion of the § 201.26 Recordation of documents statement should correct or supple- pertaining to computer shareware and donation of public domain com- ment the information disclosed in the puter software. previously recorded statement. (d) Fee. The fee for recording a Visual (a) General. This section prescribes Arts Registry Statement, a Building the procedures for submission of legal Owner’s Statement, or an updating documents pertaining to computer statement is the recordation fee for a shareware and the deposit of public do- document, as prescribed in § 201.3(c). main computer software under section (e) Date of recordation. The date of 805 of Public Law 101–650, 104 Stat. 5089 recordation is the date when all of the (1990). Documents recorded in the elements required for recordation, in- Copyright Office under this regulation cluding the prescribed fee have been re- will be included in the Computer ceived in the Copyright Office. After Shareware Registry. Recordation in recordation of the statement, the send- this Registry will establish a public er will receive a certificate of record record of licenses or other legal docu- from the Copyright Office. Any documents governing the relationship be- mentation or photographs accom- tween copyright owners of computer panying any submission will be re- shareware and persons associated with tained and filed by the Copyright Of- the dissemination or other use of com- fice. They may also be transferred to puter shareware. Documents transfer- the Library of Congress, or destroyed ring the ownership of some or all rights after preparing suitable copies, in ac- under the copyright law of computer cordance with usual procedures. shareware and security interests in (f) Effect of recordation. The Copy- such software should be recorded under right Office will record statements in 17 U.S.C. 205, as implemented by § 201.4.

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(b) Definitions—(1) The term computer (f) Date of recordation. The date of shareware is accorded its customary recordation is the date when all of the meaning within the software industry. elements required for recordation, in- In general, shareware is copyrighted cluding the prescribed fee have been re- software which is distributed for the ceived in the Copyright Office. After purposes of testing and review, subject recordation of the statement, the send- to the condition that payment to the er will receive a certificate of record copyright owner is required after a per- from the Copyright Office. The submis- son who has secured a copy decides to sion will be retained and filed by the use the software. Copyright Office, and may be destroyed (2) A document designated as pertaining at a later date after preparing suitable to computer shareware means licenses or copies, in accordance with usual proce- other legal documents governing the dures. relationship between copyright owners (g) Donation of public domain computer of computer shareware and persons as- software. (1) Any person may donate a sociated with the dissemination or copy of public domain computer soft- other use of computer shareware. ware for the benefit of the Machine- (3) Public domain computer software Readable Collections Reading Room of means software which has been pub- the Library of Congress. Decision as to licly distributed with an explicit dis- whether any public domain computer claimer of copyright protection by the software is suitable for accession to the collections rests solely with the Li- copyright owner. brary of Congress. Materials not se- (c) Forms. The Copyright Office does lected will be disposed of in accordance not provide forms for the use of persons with usual procedures, including trans- recording documents designated as per- fer to other libraries, sale, or destruc- taining to computer shareware or for tion. Donation of public domain soft- the deposit of public domain computer ware may be made regardless of wheth- software. er a document has been recorded per- (d) Recordable Documents—(1) Any taining to the software. document clearly designated as a (2) In order to donate public domain ‘‘Document Pertaining to Computer software, the following conditions Shareware’’ and which governs the must be met: legal relationship between owners of (i) The copy of the public domain computer shareware and persons asso- software must contain an explicit dis- ciated with the dissemination or other claimer of copyright protection from use of computer shareware may be re- the copyright owner. corded in the Computer Shareware (ii) The submission should contain Registry. documentation regarding the software. (2) Submitted documents may be a If the documentation is in machine- duplicate original, a legible photocopy, readable form, a print-out of the docu- or other legible facsimile reproduction mentation should be included in the of the document, and must be complete donation. on its face. (iii) If the public domain software is (3) Submitted documents will not be marketed in a box or other packaging, returned, and the Copyright Office re- the entire work as distributed, includ- quests that if the document is consid- ing the packaging, should be deposited. ered valuable, that only copies of that (iv) If the public domain software is document be submitted for recorda- copy protected, two copies of the soft- tion. ware must be submitted. (4) The Copyright Office encourages (3) Donations of public domain soft- the submission of a machine-readable ware with an accompanying letter of copy of the document in the form of an explanation must be sent to the fol- IBM-PC compatible disk, in addition to lowing address: Gift Section, Exchange a copy of the document itself. & Gift Division, Library of Congress, (e) Fee. The fee for recording a docu- Washington, DC 20540–4260. ment pertaining to computer [58 FR 29107, May 19, 1993, as amended at 60 shareware is the recordation fee for a FR 34168, June 30, 1995; 64 FR 29522, June 1, document, as prescribed in § 201.3(c). 1999; 65 FR 39819, June 28, 2000]

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§ 201.27 Initial notice of distribution of of the Copyright Act, title 17 of the digital audio recording devices or United States Code, as amended by media. Public Law 102–563. (a) General. This section prescribes (c) Forms. An Initial Notice form may rules pertaining to the filing of an Ini- be obtained from the Copyright Office tial Notice of Distribution in the Copy- free of charge, by contacting the Li- right Office as required by section brary of Congress, Copyright Office, Li- 1003(b) of the Audio Home Recording censing Division, 101 Independence Av- Act of 1992, Public Law 102–563, title 17 enue, SE, Washington, DC 20557–6400. of the United States Code, to obtain a (d) Filing Deadline. Initial Notices statutory license to import and dis- shall be filed in the Copyright Office no tribute, or manufacture and distribute, later than 45 days after the commence- any digital audio recording device or ment of the first distribution of digital digital audio recording medium in the audio recording devices or digital audio United States. recording media in the United States, (b) Definitions—(1) An Initial Notice of on or after October 28, 1992. A manufac- Distribution of Digital Audio Recording turer or importer shall file an Initial Devices or Media or Initial Notice is a no- Notice within 45 days of the first dis- tice under section 1003(b) of the Audio tribution for each new product cat- Home Recording Act of 1992, Public egory and each new technology that Law 102–563, title 17 of the United the manufacturer or importer has not States Code, which is required by that reported in a previous Initial Notice. section to be filed in the Copyright Of- (e) Content of Initial Notices. An Ini- fice by an importer or manufacturer of tial Notice of Distribution of Digital a digital audio recording device or dig- Audio Recording Devices or Media ital audio recording medium who has shall be identified as such by promi- not previously filed notice of the im- nent caption or heading, and shall in- portation or manufacture for distribu- clude the following: tion of such device or medium in the (1) The designation ‘‘Importer’’ or United States. ‘‘Manufacturer,’’ or both, whichever is (2) The product category of a device or applicable, followed by the full legal medium is a general class of products name of the importer or manufacturer made up of functionally equivalent dig- of the digital audio recording device or ital audio recording devices or media medium, or if the party named is a with substantially the same use in sub- partnership, the name of the partner- stantially the same environment, in- ship followed by the name of at least cluding, for example, hand-held port- one individual partner; able integrated combination units (2) Any trade or business name or (‘‘boomboxes’’); portable personal re- names, trademarks, or other indicia of corders; stand-alone home recorders origin that the importer or manufac- (‘‘tape decks’’); home combination sys- turer uses or intends to use in connec- tems (‘‘rack systems’’); automobile re- tion with the importation, manufac- corders; configurations of tape media ture, or distribution of such digital (standard cassettes or microcassettes); audio recording device or medium in and configurations of disc media such the United States; as 21⁄2,″ 3″ and 5″ discs. (3) The full United States mailing ad- (3) The technology of a device or me- dress of the importer or manufacturer, dium is a product type distinguished by and the full business address, if dif- different technical processes for ferent; digitally recording musical sounds, (4) The product category and tech- such as digital audio tape recorders nology of the devices or media im- (DAT), digital compact cassette, (DCC), ported or manufactured; or recordable compact discs, including (5) The first date (day, month, and minidiscs (MD). year) that distribution commenced, or (4) The terms digital audio recording is to commence; device, digital audio recording medium, (6) The signature of an appropriate distribute, manufacture, and transfer officer, partner, or agent of the im- price, have the meanings of the same porter or manufacturer, as specified by terms as they are used in section 1001 the Initial Notice form; and

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(7) Other information relevant to the company any Amendment permitted by importation or manufacture for dis- paragraph (f) of this section. tribution of digital audio recording de- [57 FR 55465, Nov. 25, 1992, as amended at 64 vices or media as prescribed on the Ini- FR 36575, July 7, 1999] tial Notice form provided by the Copy- right Office. § 201.28 Statements of Account for dig- (f) Amendments. (1) The Copyright Of- ital audio recording devices or fice will record amendments to Initial media. Notices submitted to correct an error (a) General. This section prescribes or omission in the information given in rules pertaining to the filing of State- an earlier Initial Notice. An amendments of Account and royalty fees in ment is not appropriate to reflect de- the Copyright Office as required by 17 velopments or changes in facts occur- U.S.C. 1003(c) and 1004, in order to im- ring after the date of signature of an port and distribute, or manufacture Initial Notice. and distribute, in the United States (2) An amendment shall: any digital audio recording device or (i) Be clearly and prominently identi- digital audio recording medium. fied as an ‘‘Amendment to an Initial (b) Definitions. For purposes of this Notice of Distribution of Digital Audio section, the following definitions Recording Devices or Media;’’ apply: (1) Annual statement of account is the (ii) Identify the specific Initial No- statement required under 17 U.S.C. tice intended to be amended so that it 1003, to be filed no later than two may be readily located in the records months after the close of the account- of the Copyright Office; ing period covered by the annual state- (iii) Clearly specify the nature of the ment. amendment to be made; and (2) Device and medium have the same (iv) Be signed and dated in accord- meaning as digital audio recording device ance with this section. and digital audio recording medium, re- (3) The recordation of an amendment spectively, have in 17 U.S.C. 1001. under this paragraph shall have only (3) Digital audio recording product such effect as may be attributed to it means digital audio recording devices by a court of competent jurisdiction. and digital audio recording media. (g) Recordation. (1) The Copyright Of- (4) Generally accepted auditing stand- fice will record the Initial Notices and ards (GAAS), means the auditing stand- amendments submitted in accordance ards promulgated by the American In- with this section by placing them in stitute of Certified Public Account- the appropriate public files of the Of- ants. fice. The Copyright Office will advise (5) Manufacturing or importing party manufacturers and importers of errors refers to any person or entity that or omissions appearing on the face of manufactures and distributes, and/or documents submitted to it, and will re- imports and distributes, any digital quire that any such obvious errors or audio recording device or digital audio omissions be corrected before the docu- recording medium in the United ments will be recorded. However, rec- States, and is required under 17 U.S.C. ordation by the Copyright Office shall 1003 to file with the Copyright Office establish only the fact and date there- quarterly and annual Statements of Account. of; such recordation shall in no case be considered a determination that the (6) Product category of a device or medium is a general class of products document was, in fact, properly pre- made up of functionally equivalent dig- pared or that all of the regulatory re- ital audio recording products with sub- quirements to satisfy section 1003 of stantially the same use in substan- title 17 have been met. tially the same environment, includ- (2) No fee shall be required for the re- ing, for example, hand-held portable in- cording of Initial Notices. A fee of $20 tegrated combination units payable by personal or company check (‘‘boomboxes’’); portable personal re- to the Register of Copyrights shall ac- corders; stand-alone home recorders

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(‘‘tape decks’’); home combination sys- basis must be made at least two tems (‘‘rack systems’’); automobile re- months before the date the next quar- corders; configurations of tape media terly Statement of Account is due to (standard cassettes or microcassettes); be filed. and configurations of disc media, such (2) Quarterly filings. Quarterly State- as 21⁄2 inch, 3 inch, or 5 inch discs. ments of Account shall be filed on (7) Primary auditor is the certified Form DART/Q and shall cover a three- public accountant retained by the man- month period corresponding to the cal- ufacturing or importing party to audit endar or fiscal year of the filing party. the amounts reported in the annual A quarterly statement shall be filed no Statement of Account submitted to the later than 45 days after the close of the Copyright Office. The primary auditor period it covers. may be the certified public accountant (3) Annual filings. Annual Statements engaged by the manufacturing or im- of Account shall be filed on Form porting party to perform the annual DART/A and shall cover both the audit of the party’s financial state- fourth quarter of an accounting year ment. and the aggregate of the entire year (8) Quarterly statement of account is corresponding to the calendar or fiscal the statement accompanying royalty accounting year elected. An annual payments required under 17 U.S.C. 1003, statement shall be filed no later than to be filed for each of the first three two months after the close of the pe- quarters of the accounting year, and no riod it covers. As a transitional meas- later than 45 days after the close of the ure, however, the first annual State- quarterly period covered by the statement of Account filed after October 28, ment. 1992, is not due until March 1, 1994, or (9) Technology of a device or medium is a digital audio recording product-type two months after the end of the cal- distinguished by different technical endar or fiscal year in which the manu- processes for digitally recording musi- facturing or importing party first filed cal sounds, such as digital audio tape a quarterly Statement of Account, recorders (DAT), digital compact cas- whichever is later. The first annual settes (DCC), or recordable compact Statement of Account shall cover the discs, including minidiscs (MD). entire period from October 28, 1992, to (10) Distribute, manufacture, transfer the end of the full accounting year. price, and serial copying have the mean- The appropriate royalty payment, cal- ings set forth in 17 U.S.C. 1001. culated according to the instructions (c) Accounting periods and filing dead- contained in Form DART/A, shall ac- lines—(1) Election of filing basis. State- company the annual Statement of Ac- ments of Account may be filed on ei- count covering royalties due for the fil- ther a calendar or fiscal year basis at ing year: that is, royalties for the the election of the manufacturing fourth quarter and any additional roy- party. The election of a calendar or fis- alties that are due because of adjust- cal year basis must be made when the ments in the aggregate amounts of de- manufacturing or importing party files vices or media distributed. its first quarterly Statement of Ac- (4) Early or late filings. Statements of count by appropriate designation on Account and royalty fees received be- the Form DART/Q submitted. There- fore the end of the particular account- after the specific calendar or fiscal- ing period covered by the statement year accounting period must be des- will not be processed by the Office. The ignated on each quarterly Statement of statement must be filed after the close Account. The filing basis may be of the relevant accounting period. changed at any time upon notification Statements of Account and royalty in writing to the Register of Copy- fees received after the 45-day deadline rights, accompanied by a statement of for quarterly statements or the two- reasons as to why the change is to be month deadline for annual statements made and a statement that such will be accepted for whatever legal ef- change will not affect the aggregate fect they may have and will be assessed royalties due under the earlier basis. the appropriate interest charge for the The notification of change in filing late filing.

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(d) Forms. (1) Each quarterly or an- distributing digital audio recording nual Statement of Account shall be products; submitted on the appropriate form pre- (iv) The full mailing address of the scribed by the Copyright Office. Com- manufacturing or importing party, in- putation of the royalty fee shall be in cluding a specific number and street accordance with the procedures set name, or rural route and box number, forth in the forms and this section. of the place of business of the person or Statement of Account forms are avail- entity. A post office box or similar des- able from the Licensing Division, Li- ignation will not be sufficient for this brary of Congress. Forms and other in- purpose except where it is the only ad- formation may be requested from the dress that can be used in that geo- Licensing Division by facsimile trans- graphic location; mission (FAX), but copies of Statement (v) A designation of the manufac- of Account forms transmitted to the turing or importing party status, i.e., Office by FAX will not be accepted. ‘‘Manufacturer,’’ ‘‘Importer,’’ or (2) Forms prescribed by the Copy- ‘‘Manufacturer and Importer;’’ right Office are designated Quarterly (vi) The designation ‘‘Product Cat- Statement of Account for Digital egories’’ together with the product cat- Audio Recording Products (Form egories of the digital audio recording DART/Q) and Annual Statement of Ac- products manufactured or imported count for Digital Audio Recording and distributed during the quarter cov- Products (Form DART/A). ered by the statement; (e) Contents of quarterly Statements of (vii) The designation ‘‘Technologies’’ Account. (1) Quarterly period and filing. together with the technologies of the Any quarterly Statement of Account digital audio recording products manu- shall cover the full quarter of the cal- factured or imported and distributed endar or fiscal accounting year for the under the AHRA during the quarter particular quarter for which it is filed. covered by the statement; A separate quarterly statement shall (viii) The designation ‘‘Series or be filed for each quarter of the first Model Number’’ followed by the model three quarters of the accounting year or series numbers of the digital audio during which there is any activity rel- recording products manufactured or evant to the payment of royalties imported and distributed under the under 17 U.S.C. 1004. The annual State- AHRA during the quarter covered by ment of Account identified in para- the statement; graph (f) of this section incorporates (ix) The ‘‘fee code’’ associated with the fourth quarter of the accounting the product; year. (x) The ‘‘source code’’ for the product (2) General content. Each quarterly category; Statement of Account shall be filed on (xi) The ‘‘transfer price’’ of the prod- Form DART/Q, the ‘‘Quarterly State- uct; ment of Account for Digital Audio Re- (xii) The ‘‘number of units distrib- cording Products,’’ and shall include a uted’’ for each product; clear statement of the following infor- (xiii) The ‘‘minimum fee per unit’’ mation: for each product; (i) A designation of the calendar or (xiv) The statutory royalty ‘‘rate’’ fiscal year of the annual reporting pe- for digital audio recording devices or riod; media; (ii) A designation of the period, in- (xv) The ‘‘rate fee’’ for each product; cluding the beginning and ending day, (xvi) The appropriate ‘‘maximum fee month, and year of the period covered per unit’’ for each product; by the quarter; (xvii) The ‘‘maximum fee’’ for each (iii) The full legal name of the manu- product; and facturing and/or importing party, to- (xviii) A computation of the total gether with any ‘‘doing-business-as’’ royalty payable for the quarter covered names used by such person or entity by the statement. Filing parties may for the purpose of conducting the busi- not round off the figures they list in ness of manufacturing, importing, or Space C, the computation section of

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the form, except for the figure rep- which royalty payments may be re- resenting the total royalty fee due; in duced if the digital audio recording de- that case, numbers ending in 50 to 99 vice and such other devices are part of cents may be rounded up to the next a physically integrated unit, the roy- dollar, and numbers ending in one to 49 alty payment shall be based on the cents may be rounded down to the next transfer price of the unit, but shall be dollar; reduced by any royalty payment made (3) Royalty payments and accounting. on any digital audio recording device (i) The royalty specified in 17 U.S.C. included within the unit that was not 1004 shall accompany the quarterly and first distributed in combination with annual Statements of Account. No roy- the unit. alty is payable for redistribution of the (ii) Notice of this provision together same product item unless a credit has with directions for possible application been taken for such items. Where roy- to a product is contained in the DART/ alties are payable for the period cov- Q Form. ered by the statement, the Statement (5) Contact party. Each Statement of of Account shall contain the following Account shall include the name, ad- information for each unique combina- dress, and telephone and facsimile tion of product category, technology, (FAX) numbers of an individual whom series or model number, fee code, the Copyright Office can write or call source code, and transfer price: about the Statement of Account. (A) The total number of digital audio (6) Credits for returned or exported recording media distributed, multiplied products. When digital audio recording by the statutory royalty rate of three products first distributed in the United percent (3%) of the transfer price; States for ultimate transfer to United (B) The total number of digital audio States consumers are returned to the recording devices distributed for which manufacturer or importer as unsold or the statutory royalty rate of two per- defective merchandise, or are exported, cent (2%) of the transfer price is pay- the manufacturing or importing party able, multiplied by such percentage may take a credit to be deducted from rate of the transfer price; the royalties payable for the period (C) The total number of digital audio when the products were returned or ex- recording devices distributed for which ported. The credit may be taken only the statutory maximum royalty is lim- for returns or exports made within two ited to eight dollars ($8.00), multiplied years following the date royalties were by such eight dollar amount; paid for the products. This credit must (D) The total number of digital audio be reflected in the manufacturing or recording devices distributed for which importing party’s quarterly or annual the statutory maximum royalty is lim- Statement of Account. If the manufac- ited to twelve dollars ($12.00), multi- turer or importer later redistributes in plied by such twelve dollar amount; the United States any products for and which a credit has been taken, these (E) The total number of digital audio products must be listed on the State- recording devices distributed for which ment of Account, and a new computa- the statutory minimum royalty is lim- tion of the royalty fee must be made ited to one dollar ($1.00), multiplied by based on the transfer price of the prod- such one dollar amount. ucts at the time of the new distribu- (ii) The amount of the royalty pay- tion. ment shall be calculated in accordance (7) Oath and signature. Each State- with the instructions specified in the ment of Account shall include the quarterly Statement of Account form. handwritten signature of an authorized Payment of the royalty fee must be in officer, principal, or agent of the filing the form of a certified check, cashier’s party. The signature shall be accom- check, money order, or electronic pay- panied by: ment payable to the Register of Copy- (i) The printed or typewritten name rights. of the person signing the quarterly (4) Reduction of royalty fee. (i) Section Statement of Account; 1004(a)(2)(A) of title 17 of the United (ii) The date the document is signed; States Code, provides an instance in (iii) The following certification:

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I, the undersigned, hereby certify that I initiative of the manufacturing or im- am an authorized officer, principal, or agent porting party to correct an error in the of the ‘‘manufacturing or importing party’’ original Statement of Account. identified in Space B. (i) The audit shall be performed in Penalties for fraud and false state- accordance with generally accepted au- ments are provided under 18 U.S.C. 1001 diting standards (GAAS). The audit et. seq. may be performed in conjunction with (f) Contents of annual Statements of an annual audit of the manufacturing Account—(1) General contents. Each an- or importing party’s financial state- nual Statement of Account shall be ments. filed on form DART/A, ‘‘Annual State- (ii) The CPA shall issue a report, the ment of Account for Digital Audio Re- ‘‘primary auditor’s report,’’ reflecting cording Products.’’ It must be filed by his or her opinion as to whether the an- any importer or manufacturer that dis- nual statement presents fairly, in all tributed in the United States, during a material respects, the number of dig- given calendar or fiscal year, any digital audio recording devices and media ital audio recording device or digital that were imported and distributed, or audio recording medium. The annual manufactured and distributed, by the statement shall cover the aggregate of manufacturing or importing party dur- the distribution of devices and media ing the relevant year, and the amount for the entire year corresponding to of royalty payments applicable to them the calendar or fiscal year elected. The under 17 U.S.C. chapter 10, in accord- annual Statement of Account shall ance with that law and these regula- contain the information, oath, and cer- tions. tification prescribed in paragraphs (iii) The primary auditor’s report (e)(2)(i) through (e)(7)(iii) of this sec- shall be filed with the Copyright Office tion, and shall cover the entire ac- together with the annual Statement of counting year, including the fourth Account, within two months after the quarter distribution, and shall also end of the annual period for which the provide for the reconciliation of the ag- annual Statement of Account is pre- gregated accounting of digital audio pared. The report may be qualified to recording devices and media for the re- the extent necessary and appropriate. ported accounting year. (2) Reconciliation. Any royalty pay- (iv) The Copyright Office does not ment due under sections 1003 and 1004 provide a specific form, or require a of title 17 that was not previously paid specific format, for the CPA’s review; with the filing party’s first three quar- however, in addition to the above, cer- terly Statements of Account, shall be tain items must be named as audited reconciled in the annual statement. items. These include the variables nec- Reconciliation in the annual State- essary to complete Space C of the ment of Account provides for adjust- Statement of Account form. The CPA ments for reductions, refunds, under- may place his or her opinion, which payments, overpayments, credits, and will serve as the ‘‘primary auditor’s re- royalty payments paid in Quarters 1, 2, port,’’ in the space provided on Form and 3, and shall be computed in accord- DART/A, or may attach a separate ance with the instructions included in sheet or sheets containing the opinion. the annual Statement of Account. Er- (v) The auditor’s report shall be rors that require reconciliation shall signed by an individual, or in the name be corrected immediately upon dis- of a partnership or a corporation, and covery. shall include city and state of execu- (3) Accountant’s opinion. Each annual tion, certificate number, jurisdiction of Statement of Account or any amended certificate, and date of opinion. The annual Statement of Account shall be certificate number and jurisdiction are audited by the primary auditor as de- not required if the report is signed in fined in paragraph (b)(7) of this section. the name of a partnership or a corpora- An amendment may be submitted to tion. the Office either as a result of re- (g) Copies of statements of account. A sponses to questions raised by a Li- licensee shall file an original and one censing Division examiner or on the copy of the statement of account with

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the Licensing Division of the Copyright received in the Copyright Office before Office. the expiration of two months from the (h) Documentation. All filing parties last day of the applicable Statement of shall keep and retain in their posses- Account filing period. A request made sion, for at least three years from the by telephone or by telegraphic or simi- date of filing, all records and docu- lar unsigned communication will be ments necessary and appropriate to considered to meet this requirement if support fully the information set forth it clearly identifies the basis of the re- in quarterly and annual statements quest, is received in the Copyright Of- that they file. fice within the two-month period, and (i) Corrections, supplemental payments, a written request meeting all the con- and refunds—(1) General. Upon compli- ditions of this paragraph (i)(3) is also ance with the procedures and within received in the Copyright Office within the time limits set forth in this para- 14 days after the end of such two- graph (i), corrections to quarterly and month period. annual Statements of Account will be (ii) The request must clearly identify placed on record, and supplemental the incorrect or incomplete informa- royalty fee payments will be received tion formerly filed and must provide for deposit, or refunds without interest the correct or additional information. will be issued, in the following cases: (iii) In the case where a royalty fee (i) Where, with respect to the ac- was miscalculated and the amount de- counting period covered by the quar- posited with the Copyright Office was terly or annual Statement of Account, too large or too small, the request any of the information given in the must be accompanied by an affidavit statement filed in the Copyright Office under the official seal of any officer au- is incorrect or incomplete; or thorized to administer oaths within the (ii) Where, for any reason except that United States, or a statement in ac- mentioned in paragraph (i)(2) of this cordance with 28 U.S.C. 1746, made and section, calculation of the royalty fee signed in accordance with paragraph payable for a particular accounting pe- (e)(7) of this section. The affidavit or riod was incorrect, and the amount de- statement shall describe the reasons posited in the Copyright Office for that why the royalty fee was improperly period was either too high or too low. calculated and include a detailed anal- (2) Corrections to quarterly or annual ysis of the proper royalty calculation. Statements of Account will not be (iv) Following final processing, all replaced on file, supplemental royalty fee quests will be filed with the original payments will not be received for de- Statement of Account in the records of posit, and refunds will not be issued, the Copyright Office. Nothing con- where the information in the State- tained in this paragraph shall be con- ments of Account, the royalty fee cal- sidered to relieve manufacturing or im- culations, or the payments were cor- porting parties of their full obligations rect as of the date on which the ac- under title 17 of the United States counting period ended, but changes (for Code, and the filing of a correction or example, cases where digital audio re- supplemental payment shall have only cording media were exported) took such effect as may be attributed to it place later. by a court of competent jurisdiction. (3) Requests that corrections to an- (v)(A) The request must be accom- nual or quarterly Statements of Ac- panied by a filing fee in the amount of count be accepted, that fee payments $20 for each Statement of Account in- be accepted, or that refunds be issued volved. Payment of this fee may be in shall be addressed to the Licensing Di- the form of a personal or company vision of the Copyright Office, and check, or a certified check, cashier’s shall meet the following conditions: check, or money order, payable to the (i) The request shall be made in writ- Register of Copyrights. No request will ing and must clearly identify the man- be processed until the appropriate fil- ufacturing or importing party making ing fees are received. the request, the accounting period in (B) Requests that a supplemental question, and the purpose of the re- royalty fee payment be deposited must quest. A request for a refund must be be accompanied by a remittance in the

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full amount of such fee. Payment of was, in fact, properly prepared and ac- the supplemental royalty fee must be curate, that the correct amount of the in the form of a certified check, cash- royalty was deposited, that the statu- ier’s check, money order, or electronic tory time limits for filing had been payment payable to the Register of met, or that any other requirements of Copyrights. No such request will be 17 U.S.C. 1001 et. seq. were fulfilled. processed until an acceptable remit- (k) Interest on late payments or under- tance in the full amount of the supple- payments. (1) Royalty payments sub- mental royalty fee has been received. mitted as a result of late payments or (vi) All requests submitted under underpayments shall include interest, paragraph (i) of this section must be which shall begin to accrue on the first signed by the manufacturing or im- day after the close of the period for fil- porting party named in the Statement ing Statements of Account for all late of Account, or the duly authorized payments or underpayments of royal- agent of that party in accordance with ties occurring within that accounting paragraph (e)(7) of this section. period. The accrual period for interest (vii) A request for a refund is not nec- shall end on the date appearing on the essary where the Licensing Division, certified check, cashier’s check, money during its examination of a Statement order, or electronic payment submitted of Account or related document, dis- by the manufacturing or importing covers an error that has resulted in a party, if the payment is received by the royalty overpayment. In this case, the Copyright Office within five business Licensing Division will forward the days of that date. If the payment is not royalty refund to the manufacturing or received by the Copyright Office within importing party named in the State- five business days of its date, the ac- ment of Account. The Copyright Office crual period shall end on the date of ac- will not pay interest on any royalty re- tual receipt by the Copyright Office. funds. (2) The interest rate applicable to a (j) Examination of Statements of Ac- specific accounting period shall be the count by the Copyright Office. (1) Upon Current Value of Funds rate in accord- receiving a Statement of Account and ance with the Treasury Financial Man- royalty fee, the Copyright Office will ual, at 1 TFM 6–8025.40, in effect on the make an official record of the actual first business day after the close of the date when such statement and fee were filing deadline for the relevant ac- physically received in the Copyright counting period. The interest rate for a Office. Thereafter, the Licensing Divi- particular accounting period may be sion will examine the statement for ob- obtained by consulting the FEDERAL vious errors or omissions appearing on REGISTER for the applicable Current the face of the documents and will re- Value of Funds Rate, or by contacting quire that any such obvious errors or the Licensing Division of the Copyright omissions be corrected before final Office. processing of the document is com- (3) Interest is not required to be paid pleted. If, as the result of communica- on any royalty underpayment or late tions between the Copyright Office and payment from a particular accounting the manufacturer or importer, an addi- period if the interest charge is five dol- tional fee is deposited or changes or ad- lars ($5.00) or less. ditions are made in the Statement of (l) Confidentiality of Statements of Ac- Account, the date that additional de- count. Public access to the Copyright posit or information was actually re- Office files of Statements of Account ceived in the Office will be added to the for digital audio recording products official record. shall not be provided. Access will only (2) Completion by the Copyright Of- be granted to interested copyright par- fice of the final processing of a State- ties in accordance with regulations ment of Account and royalty fee de- prescribed by the Register of Copy- posit shall establish only the fact of rights pursuant to 17 U.S.C. 1003(c). such completion and the date or dates [59 FR 4589, Feb. 1, 1994, as amended at 64 FR of receipt shown in the official record. 36575, July 7, 1999; 65 FR 48914, Aug. 10, 2000; It shall not be considered a determina- 70 FR 30367, May 26, 2005; 70 FR 38022, July 1, tion that the Statement of Account 2005]

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§ 201.29 Access to, and confidentiality (c) Confidentiality. The Copyright Of- of, Statements of Account, fice will keep all DART confidential Verification Auditor’s Reports, and materials in locked files and disclose other verification information filed them only in accordance with this sec- in the Copyright Office for digital tion. Any person or entity provided audio recording devices or media. with access to DART confidential ma- (a) General. This section prescribes terial by the Copyright Office shall re- rules covering access to DART State- ceive such information in confidence ments of Account, including the Pri- and shall use and disclose it only as au- mary Auditor’s Reports, filed under 17 thorized in 17 U.S.C. 1001 et. seq. U.S.C. 1003(c) and access to a Verifying (d) Persons allowed access to DART Auditor’s Report or other information confidential material. Access to DART that may be filed in the Office in a Statements of Account filed under 17 DART verification procedure as set out U.S.C. 1003(c) and to Verification Audi- in § 201.30. It also prescribes rules to en- tor’s Reports or other verification in- sure confidential disclosure of these formation is limited to: materials to appropriate parties. (1) An interested copyright party as (b) Definitions. defined in § 201.29(b)(5) or an authorized (1) Access includes inspection of and representative of an interested copy- supervised making of notes on informa- right party, who has been qualified for tion contained in Statements of Ac- access pursuant to paragraph (f)(2) of count including Primary Auditor’s Re- this section; ports, Verification Auditor’s Reports, (2) The Verifying Auditor authorized and any other verification information. to conduct verification procedures (2) Audit and Verification Information means the reports of the Primary Audi- under § 201.30; tor and Verifying Auditor filed with (3) The manufacturing or importing the Copyright Office under §§ 201.28 and party who filed that Statement of Ac- 201.30, and all information relating to a count or that party’s authorized rep- manufacturing or importing party. resentative(s); and (3) DART Access Form means the form (4) Staff of the Copyright Office or provided by the Copyright Office that the Library of Congress who require ac- must be completed and signed by any cess in the performance of their duties appropriate party seeking access to under title 17 U.S.C. 1001 et seq.; DART confidential material. (e) Requests for access. An interested (4) DART confidential material means copyright party, manufacturing party, the Quarterly and Annual Statements importing party, representative, or of Account, including the Primary Verifying Auditor seeking access to Auditor’s Report that is part of the An- any DART confidential material must nual Statements of Account, and the complete and sign a ‘‘DART Access Verifying Auditor’s Report and any Form.’’ The requestor must submit a other verification information filed copy of the completed DART Access with the Copyright Office. It also in- Form to the Licensing Specialist, Li- cludes photocopies of notes made by re- censing Division. The form must be requestors who have had access to these ceived in the Licensing Division at materials that are retained by the least 5 working days before the date an Copyright Office. appointment is requested. The form (5) Interested copyright party means a may be faxed to the Licensing Division party as defined in 17 U.S.C. 1001(7). to expedite scheduling, but a copy of (6) A Representative is someone, such the form with the original signature as a lawyer or accountant, who is not must be filed with the Office. an employee or officer of an interested (1) A representative of an interested copyright party or a manufacturing or copyright party, a manufacturing importing party but is authorized to party or an importing party shall sub- act on that party’s behalf. mit an affidavit of his or her authority (7) Statements of Account means Quar- (e.g., in the form of a letter of author- terly and Annual Statements of Ac- ization from the interested copyright count as required under 17 U.S.C. party or the manufacturing or import- 1003(c) and defined in § 201.28. ing party).

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(2) An auditor selected to conduct a (h) Content of DART Access Form. The verification procedure under § 201.30 DART Access Form shall include the shall submit an affidavit of his or her following information: selection to conduct the verification (1) Identification of the Statement of procedure. Account and Primary Auditor’s Re- (3) DART Access Forms may be report, the Verification Auditor’s Report quested from, and upon completion re- and other verification materials, or turned to: Library of Congress, Copy- notes prepared by requestors who ear- right Office, Licensing Division, 101 lier accessed the same items, to be Independence Avenue, SE, Washington, accessed, by both the name (of the DC 20557–6400. They may also be re- manufacturing party or importing quested or submitted in person at the party) and the quarter(s) and year(s) to Licensing Division, Room LM–458, James Madison Memorial Building, be accessed. First and Independence Avenue, SE., (2) The name of the interested copy- Washington, DC, between 8:30 a.m. and right party, manufacturing party, im- 5 p.m. porting party, or verification auditor (f) Criteria for access to DART con- on whose behalf the request is made, fidential material. (1) A Verifying Audi- plus this party’s complete address, in- tor will be allowed access to any par- cluding a street address (not a post of- ticular Statement of Account and Pri- fice box number), a telephone number, mary Auditor’s Report required to per- and a telefax number, if any. form his or her verification function; (3) If the request for access is by or (2) Interested copyright parties as de- for an interested copyright party, a fined in paragraph (b)(5) of this section statement indicating whether the will be allowed access to any DART copyright party is owned or controlled confidential material as defined in by a manufacturing or importing party paragraph (b)(4) of this section for subject to a royalty payment obliga- verification purposes, except that no tion, or whether the interested copy- interested copyright party owned or right party owns or controls a manu- controlled by a manufacturing or im- facturing or importing party subject to porting party subject to royalty pay- royalty payments. ment obligations under the Audio (4) The name, address, and telephone Home Recording Act, or who owns or controls such a manufacturing or im- number of the person making the reporting party, may have access to quest for access and his/her relation- DART confidential material relating to ship to the party on whose behalf the any other manufacturing or importing request is made. party. In such cases, a representative (5) The specific purpose for the re- of the interested copyright party as de- quest for access, for example, access is fined in paragraph (b)(6) of this section requested in order to verify a State- may have access for that party, pro- ment of Account; in order to review the vided that these representatives do not results of a verification audit; for the disclose the confidential information resolution of a dispute arising from contained in the Statement of Account such an audit; or in order for a manu- or Primary Auditor’s Report to his or facturing or importing party to review her client. its own Statement of Account, Pri- (3) Access to a Verifying Auditor’s mary Auditor’s Report, Verification Report and any other verification ma- Auditor’s Report, or related informa- terial filed in the Office shall be lim- tion. ited to the interested copyright (6) A statement that the information party(s) requesting the verification obtained from access to Statements of procedure and to the manufacturing or Account, Primary Auditor’s Report, importing party whose Statement of Verification Auditor’s Report, and any Account was the subject of the verification procedure. other verification audit filings will be (g) Denial of access. Any party who used only for a purpose permitted does not meet the criteria described in under the Audio Home Recording Act § 201.29(f) shall be denied access. (AHRA) and the DART regulations.

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(7) The actual signature of the party ister of Copyrights of its interest in in- or the representative of the party re- stituting a verification procedure. questing access certifying that the in- Such notification of interest shall also formation will be held in confidence be served at the same time on the filer and used only for the purpose specified and the primary auditor identified in by the Audio Home Recording Act and the Annual Statement of Account. these regulations. Such notification shall include the year of the Annual Statement of Ac- [60 FR 25998, May 16, 1995, as amended at 63 FR 30635, June 5, 1998; 64 FR 36575, July 7, count to be verified, the name of the 1999] filer, information on how other interested copyright parties may contact § 201.30 Verification of Statements of the party interested in the verification Account. including name, address, telephone (a) General. This section prescribes number, facsimile number and elec- rules pertaining to the verification of tronic mail address, if any, and a state- information contained in the State- ment establishing the party filing the ments of Account by interested copy- notification as an interested copyright right parties pursuant to section party. The notification of interest may 1003(c) of title 17 of the United States apply to more than one Annual State- Code. ment of Account and more than one (b) Definitions—(1) Annual Statement filer. of Account, generally accepted auditing (2) Coordination and selection of standards (GAAS), and primary auditor verifying auditor. The Copyright Office have the same meaning as the defini- will publish in the FEDERAL REGISTER tion in § 201.28 of this part. notice of having received a notification (2) Filer is a manufacturer or im- of interest to institute a verification porter of digital devices or media who procedure. Interested copyright parties is required by 17 U.S.C. 1003 to file with have one month from the date of publi- the Copyright Office Quarterly and An- cation of the FEDERAL REGISTER notice nual Statements of Account and a pri- to notify the party interested in insti- mary auditor’s report on the Annual tuting the verification procedure of Statement of Account. their intent to join with it and to par- (3) Interested copyright party has the ticipate in the selection of the same meaning as the definition in verifying auditor. Any dispute about § 201.29 of this part. the selection of the verifying auditor (4) Verifying auditor is the person re- shall be resolved by the parties them- tained by interested copyright parties selves. to perform a verification procedure. He (3) Notification of the filer and primary or she is independent and qualified as auditor. As soon as the verifying audi- defined in paragraphs (j)(2) and (j)(3) of tor has been selected, and in no case this section. later than two months after the publi- (5) Verification procedure is the proc- cation in the FEDERAL REGISTER of the ess followed by the verifying auditor to notice described in paragraph (d)(2) of verify the information reported on an this section, the joint interested copy- Annual Statement of Account. right parties shall notify the Register (c) Purpose of verification. The purpose of Copyrights, the filer, and the pri- of verification is to determine whether mary auditor identified in the Annual there was any failure of the primary Statement of Account to be verified, auditor to conduct the primary audit that they intend or do not intend to properly or to obtain a reliable result, initiate a verification procedure. or whether there was any error in the (4) Commencement of the verification Annual Statement of Account. procedure. The verification procedure (d) Timing of verification procedure—(1) shall begin no sooner than one month Requesting a verification procedure. No after notice of intent to initiate a sooner than three months nor later verification procedure was given to the than three years after the filing dead- filer and the primary auditor by the line of the Annual Statement of Ac- joint interested copyright parties. The count to be verified, any interested joint interested copyright parties shall copyright party shall notify the Reg- grant the filer or the primary auditor a

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postponement of the beginning of the tor based his or her conclusion. If there verification procedure of up to one ad- was no such failure or error, the report ditional month if either one requests shall so state. it. Verification procedures shall be (g) Distribution of report. Copies of the conducted at reasonable times during verifying auditor’s report shall be sub- normal business hours. ject to the confidentiality provisions of (5) Anti-duplication rules. A filer shall § 201.29 and shall be distributed as fol- be subject to no more than one lows: verification procedure per calendar (1) One copy, excluding the appendix, year. An Annual Statement of Account if applicable, shall be filed with the shall be subject to a verification proce- Register of Copyrights. dure only once. (2) One copy, with the appendix, if ap- (e) Scope of verification. The verifying plicable, shall be submitted to each of auditor shall limit his or her examina- the interested copyright parties who tion to verifying the information re- retained the services of the verifying quired in the Annual Statement of Ac- auditor and who are authorized to re- count. To the extent possible, the ceive such information according to verifying auditor shall inspect the in- § 201.29. formation contained in the primary (3) One copy, with the appendix, if ap- auditor’s report and the primary audi- plicable, shall be submitted to the filer tor’s working papers. If the verifying of the Annual Statement of Account. auditor believes that access to the (4) One copy, with the appendix, if ap- records, files, or other materials in the plicable, shall be submitted to the pri- control of the filer is required accord- mary auditor. ing to GAAS, he or she may, after con- (h) Retention of report. The Register of sultation with the primary auditor, re- Copyrights will retain his or her copy quire the production of these docu- of the verifying auditor’s report for ments as well. The verifying auditor three years following the date the copy and the primary auditor shall act in of the verifying auditor’s report is good faith using reasonable profes- filed. sional judgment, with the intention of (i) Costs of verification. The joint in- reaching a reasonable accommodation terested copyright parties who re- as to the necessity and scope of exam- quested the verification procedure ination of any additional documents, shall pay the fees of the verifying audi- but the decision to require the produc- tor and the primary auditor for their tion of additional documents is solely work performed in connection with the that of the verifying auditor. verification procedure, except, if the (f) Verification report. Upon con- verification procedure results in a judi- cluding the verification procedure, the cial determination or the filer’s agree- verifying auditor shall render a report ment that royalty payments were un- enumerating in reasonable detail the derstated on the Annual Statement of procedures performed by the verifying Account, then, auditor and his or her findings. Such (1) if the amount is less than five per- findings shall state whether there was cent (5%) of the amount stated on the any failure of the primary auditor to Annual Statement of Account, that conduct properly the primary audit or amount shall first be used to pay the obtain a reliable result, and whether fees of the verifying auditor and the there was any error in the Annual primary auditor, and any remaining Statement of Account, itemized by amount plus any applicable interest on amount and by the filer’s elected fiscal the total amount shall be deposited, al- year. If there was such failure or error, located by the filer’s elected fiscal the report shall specify all evidence year, with the Register of Copyrights, from which the verifying auditor or reached such conclusions. Such evi- (2) if the amount is equal to or great- dence shall be listed and identified in er than five percent (5%) of the amount an appendix to the report in sufficient stated on the Annual Statement of Ac- detail to enable a third party to rea- count, the filer shall pay the fees of the sonably understand or interpret the verifying auditor and the primary audi- evidence on which the verifying auditor, and, in addition, shall deposit the

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amount found to be due plus any appli- (NAFTA) of December 8, 1993, Public cable interest on the total amount, al- Law No. 103–182. On or after January 3, located by the filer’s elected fiscal 1995, the Copyright Office will publish year, with the Register of Copyrights. in the FEDERAL REGISTER a list of (j) Independence and qualifications of works for which potential copyright verifying auditor. (1) The verifying audi- owners have filed a complete and time- tor shall be qualified and independent ly Statement of Intent with the Copy- as defined in this section. If the filer right Office. has reason to believe that the verifying (b) Definitions. For purposes of this auditor is not qualified or independent, section, the following definitions it shall raise the matter with the joint apply: interested copyright parties before the (1) Effective filing. To be effective a commencement of the verification pro- Statement of Intent must be complete cedure, and if the matter is not re- and timely. solved, it may raise the issue with the (2) Eligible work means any motion American Institute of Certified Public picture that was first fixed or pub- Accountants’ Professional Ethics Divi- lished in Mexico or Canada, and any sion and/or the verifying auditor’s work included in such motion picture State Board of Accountancy while the that was first fixed or published with verification procedure is being per- this motion picture, if the work en- formed. tered the public domain in the United (2) A verifying auditor shall be con- States because it was first published on sidered qualified if he or she is a cer- or after January 1, 1978, and before tified public accountant or works March 1, 1989, without the notice re- under the supervision of a certified quired by 17 U.S.C. 401, 402, or 403, the public accounting firm. absence of which has not been excused (3) A verifying auditor shall be con- by the operation of 17 U.S.C. 405, as sidered independent if: such sections were in effect during that (i) He or she is independent as that period. term is used in the Code of Professional Conduct of the American Institute of (3) Fixed means a work ‘fixed’ in a Certified Public Accountants, includ- tangible medium of expression when its ing the Principles, Rules and Interpre- embodiment in a copy or phonorecord, tations of such Code applicable gen- by or under the authority of the au- erally to attest engagements (collec- thor, is sufficiently permanent or sta- tively, the ‘‘AICPA Code’’); and ble to permit it to be perceived, repro- (ii) He or she is independent as that duced, or otherwise communicated for term is used in the Statements on Au- a period of more than transitory dura- diting Standards promulgated by the tion. A work consisting of sounds, im- Auditing Standards Board of the ages, or both, that are being trans- AICPA and Interpretations thereof mitted, is ‘fixed’ for purposes of this issued by the Auditing Standards Divi- title if a fixation of the work is being sion of the AICPA. made simultaneously with its transmission. 17 U.S.C. 101 [61 FR 30813, June 18, 1996] (4) Potential copyright owner means § 201.31 Procedures for copyright res- the person who would have owned any toration in the United States for of the exclusive rights comprised in a certain motion pictures and their copyright in the United States in a contents in accordance with the work eligible for copyright restoration North American Free Trade Agree- under NAFTA, if the work had not fall- ment. en into the public domain for failure to (a) General. This section prescribes comply with the statutory notice re- the procedures for submission of State- quirements in effect at the time of first ments of Intent pertaining to the res- publication, or any successor in inter- toration of copyright protection in the est to such a person. United States for certain motion pic- (5) Published means distribution of tures and works embodied therein as copies of a work to the public by sale required by the North American Free or other transfer of ownership, or by Trade Agreement Implementation Act rental, lease, or lending. The offering

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to distribute copies to a group of per- underlying work covered and give the sons for purposes of further distribu- title if different from the title of the tion, public performance, or public dis- motion picture. play, constitutes publication. A public (4) More than one motion picture performance or display of a work does may be included in a single Statement not of itself constitute publication. of Intent provided the potential copy- (c) Forms. The Copyright Office does right owner is the same for all the mo- not provide Statement of Intent forms tion pictures. The information required for the use of potential copyright own- in § 201.31 (d)(2)(i) through (d)(2)(iv) ers who want to restore copyright protection in eligible works. must be given for each work. (d) Requirements for effective State- (5) Sports programs that do not have ments of Intent. (1) The document a title can be identified in a Statement should be clearly designated as a of Intent by giving the sporting event, ‘‘Statement of Intent to restore copy- the team names and the date (month, right protection in the United States day and year). in accordance with the North American (6) Statements of Intent must be re- Free Trade Agreement’’. ceived in the Copyright Office on or be- (2) Statements of Intent must in- fore December 31, 1994. clude: (7) Statements of Intent must be in (i) The title(s) of the work(s) for English and either typed or legibly which copyright restoration is sought, printed by hand, on 8 1/2 inch by 11 inch including any underlying work(s) that white paper. has a title(s) different from the title of (e) Fee. The Copyright Office is not the motion picture, provided all works requiring a fee for the processing of are owned by the same potential copyright owner; Statements of Intent. (ii) The nation of first fixation; (f) Effective date of restoration of copy- (iii) The nation of first publication; right protection. (1) Potential copyright (iv) The date of first publication; owners of eligible works who file a (v) The name and mailing address complete and timely Statement of In- (and telephone and telefax, if applica- tent with the Copyright Office will ble) of the potential copyright owner of have copyright protection restored in the work; these works effective January 1, 1995. (vi) The following certification (in its (2) The new section 17 U.S.C. 104A(c) entirety); signed and dated by the po- created by the NAFTA Implementation tential copyright owner or authorized Act gives a one year exemption to U.S. agent: nationals or domiciliaries who made or Certification and Signature: I hereby cer- acquired copies of a motion picture or tify that each of the above titled works was its contents before December 8, 1993, first fixed or first published in the date of enactment of the imple- llllllllllllllllllllllll menting act. These individuals or enti- (insert Mexico or Canada) and understand ties may continue to sell, distribute, or that the work(s) have entered the public do- perform publicly such works without main in the United States of America be- liability for a period of one year fol- cause of first publication on or after January lowing the Copyright Office’s publica- 1, 1978, and before March 1, 1989, without the tion in the FEDERAL REGISTER of the notice required by U.S. copyright law. I cer- list of the works determined to be tify that the information given herein is true and correct to the best of my knowledge, and properly qualified for protection and understand that any knowing or willful fal- for which complete and timely State- sification of material facts may result in ments of Intent have been filed. criminal liability under 18 U.S.C. 1001. (g) Registration of works whose copy- Signature: llllllllllllllllll right has been restored. After January 1, Name (Printed or Typed): llllllllll 1995, the Copyright Office encourages Date: llllllllllllllllllll potential copyright owners to make (3) If copyright restoration is sought voluntary copyright registration in ac- for an underlying work only, the State- cordance with 17 U.S.C. 408 for works ment of Intent must specify the kind of

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that have had copyright restored in ac- (A) or (B), is a successor, assignee or li- cordance with NAFTA. censee of that person. (3) Restored work means an original [59 FR 12164, Mar. 16, 1994, as amended at 59 FR 58789, Nov. 15, 1994; 60 FR 50420, Sept. 29, work of authorship that— 1995; 66 FR 34373, June 28, 2001] (i) Is protected under 17 U.S.C. 104A(a); § 201.32 [Reserved] (ii) Is not in the public domain in its source country through expiration of § 201.33 Procedures for filing Notices term of protection; of Intent to Enforce a restored (iii) Is in the public domain in the copyright under the Uruguay United States due to— Round Agreements Act. (A) Noncompliance with formalities (a) General. This section prescribes imposed at any time by United States the procedures for submission of No- copyright law, including failure of re- tices of Intent to Enforce a Restored newal, lack of proper notice, or failure Copyright under the Uruguay Round to comply with any manufacturing re- Agreements Act, as required in 17 quirements; U.S.C. 104A(a). On or before May 1, 1996, (B) Lack of subject matter protection and every four months thereafter, the in the case of sound recordings fixed Copyright Office will publish in the before February 15, 1972; or FEDERAL REGISTER a list of works for (C) Lack of national eligibility; and which Notices of Intent to Enforce (iv) Has at least one author or have been filed. It will maintain a list rightholder who was, at the time the of these works. The Office will also work was created, a national or domi- make a more complete version of the ciliary of an eligible country, and if information contained in the Notice of published, was first published in an eli- Intent to Enforce available on its auto- gible country and not published in the mated database, which can be accessed United States during the 30-day period over the Internet. following publication in such eligible (b) Definitions—(1) NAFTA work country. means a work restored to copyright on (4) Source country of a restored work January 1, 1995, as a result of compli- is— ance with procedures contained in the (i) A nation other than the United North American Free Trade Agreement States; and Implementation Act of December 8, (ii) In the case of an unpublished 1993, Public Law No. 103–182. work— (2) Reliance party means any person (A) The eligible country in which the who— author or rightholder is a national or (i) With respect to a particular work, domiciliary, or, if a restored work has engages in acts, before the source coun- more than one author or rightholder, try of that work becomes an eligible the majority of foreign authors or country under the URAA, which would rightholders are nationals or domicil- have violated 17 U.S.C. 106 if the re- iaries of eligible countries; or stored work had been subject to copy- (B) If the majority of authors or right protection and who, after the rightholders are not foreign, the nation source country becomes an eligible other than the United States which has country, continues to engage in such the most significant contacts with the acts; work; and (ii) Before the source country of a (iii) In the case of a published work— particular work becomes an eligible (A) The eligible country in which the country, makes or acquires one or work is first published; or more copies or phonorecords of that (B) If the restored work is published work; or on the same day in two or more eligible (iii) As the result of the sale or other countries, the eligible country which disposition of a derivative work, cov- has the most significant contacts with ered under the new 17 U.S.C. 104A(d)(3), the work. or of significant assets of a person, de- (c) Forms. The Copyright Office does scribed in the new 17 U.S.C. 104 A(d)(3) not provide forms for Notices of Intent

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to Enforce filed with the Copyright Of- (A) Type of work (painting, sculp- fice. It requests that filers of such no- ture, music, motion picture, sound re- tices follow the format set out in Ap- cording, book, etc.); pendix A of this section and give all of (B) Name of author(s); the information listed in paragraph (d) (C) Source country; of this section. Notices of Intent to En- (D) Approximate year of publication; force must be in English, and should be (E) Additional identifying informa- typed or printed by hand legibly in tion (e.g. for movies: director, leading dark, preferably black, ink, on 81⁄2 by 11 actors, screenwriter, animator; for pho- inch white paper of good quality, with tographs or books: subject matter; for at least a one inch (or three cm) mar- books: editor, publisher, contributors); gin. (F) Rights owned by the party on (d) Requirements for Notice of Intent to whose behalf the Notice of Intent to Enforce a Copyright Restored under the Enforce is filed (e.g., the right to repro- Uruguay Round Agreements Act. (1) No- duce/distribute/publicly display/pub- tices of Intent to Enforce should be licly perform the work, or to prepare a sent to the following address: GC/I&R, derivative work based on the work, P.O. Box 70400, Southwest Station, etc.); and Washington, DC 20024, USA. (G) Telefax number at which owner, (2) The document should be clearly exclusive rights holder, or agent there- designated as ‘‘Notice of Intent to En- of can be reached. force a Copyright Restored under the (4) Notices of Intent to Enforce may Uruguay Round Agreements Act’’. cover multiple works provided that (3) Notices of Intent to Enforce must each work is identified by title, all the include: works are by the same author, all the works are owned by the identified (i) Required information: copyright owner or owner of an exclu- (A) The title of the work, or if unti- sive right, and the rights owned by the tled, a brief description of the work; party on whose behalf the Notice of In- (B) An English translation of the tent is filed are the same. In the case of title if title is in a foreign language; Notices of Intent to Enforce covering (C) Alternative titles if any; multiple works, the notice must sepa- (D) Name of the copyright owner of rately designate for each work covered the restored work, or of an owner of an the title of the work, or if untitled, a exclusive right therein; brief description of the work; an (E) The address and telephone num- English translation of the title if the ber where the owner of copyright or title is in a foreign language; alter- the exclusive right therein can be native titles, if any; the type of work; reached; and the source country; the approximate (F) The following certification signed year of publication; and additional and dated by the owner of copyright, or identifying information. the owner of an exclusive right therein, (5) Notices of Intent to Enforce works or the owner’s authorized agent: restored on January 1, 1996, may be submitted to the Copyright Office on or I hereby certify that for each of the after January 1, 1996, through Decem- work(s) listed above, I am the copyright owner, or the owner of an exclusive right, or ber 31, 1997. the owner’s authorized agent, the agency re- (e) Fee—(1) Amount. The filing fee for lationship having been constituted in a writ- recording Notices of Intent to Enforce ing signed by the owner before the filing of is 30 U.S. dollars for notices covering this notice, and that the information given one work. For notices covering mul- herein is true and correct to the best of my tiple works as described in paragraph knowledge. (d)(4) of this section, the fee is 30 U.S. Signature llllllllllllllllll dollars, plus one dollar for each addi- Name (printed or typed) llllllllll tional work covered beyond the first As agent for (if applicable) lllllllll designated work. For example, the fee for a Notice of Intent to Enforce cov- Date: llllllllllllllllllll ering three works would be 32 U.S. dol- (ii) Optional but essential informa- lars. This fee includes the cost of an action: knowledgement of recordation.

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(2) Method of Payment—(i) Checks, terminals in the Copyright Office at money orders, or bank drafts. The Copy- the Library of Congress Monday right Office will accept checks, money through Friday 8:30 a.m. - 5:00 p.m. U.S. orders, or bank drafts made payable to Eastern Time or over the Internet the Register of Copyrights. Remit- Monday - Friday 6:30 a.m. - 9:30 p.m. tances must be redeemable without U.S. Eastern Time, Saturday 8:00 a.m. - service or exchange fees through a 5 p.m., and Sunday 1:00 p.m. - 5:00 p.m. United States institution, must be pay- (2) Alternative ways to connect able in United States dollars, and must through Internet are: (i) use the Copy- be imprinted with American Banking right Office Home Page on the World Association routing numbers. Inter- Wide Web at: http://lcweb.loc.gov/copy- national money orders, and postal right, (ii) telnet to locis.loc.gov or the money orders that are negotiable only numeric address 140.147.254.3, or (iii) at a post office are not acceptable. telnet to marvel.loc.gov, or the nu- CURRENCY WILL NOT BE ACCEPT- meric address 140.147.248.7 and log in as ED. marvel, or (iv) use a Gopher Client to (ii) Copyright Office Deposit Account. connect to marvel.loc.gov. The Copyright Office maintains a sys- (3) Information available online in- tem of Deposit Accounts for the con- cludes: the title or brief description if venience of those who frequently use untitled; an English translation of the its services. The system allows an indi- title; the alternative titles if any; the vidual or firm to establish a Deposit name of the copyright owner or owner Account in the Copyright Office and to of an exclusive right; the author; the make advance deposits into that ac- type of work; the date of receipt of the count. Deposit Account holders can NIE in the Copyright Office; the date of charge copyright fees against the bal- publication in the FEDERAL REGISTER; ance in their accounts instead of send- the rights covered by the notice; and ing separate remittances with each re- the address, telephone and telefax quest for service. For information on number (if given) of the copyright Deposit Accounts please write: Copy- owner. right Office, Library of Congress, (4) Online records of Notices of Intent Washington, DC 20559–6000, and request to Enforce are searchable by the title, a copy of Circular 5, ‘‘How to Open and the copyright owner or owner of an ex- Maintain a Deposit Account in the clusive right, and the author. Copyright Office.’’ (g) NAFTA work. The copyright owner (iii) Credit cards. For URAA filings of a work restored under NAFTA by the Copyright Office will accept VISA, the filing of a NAFTA Statement of In- MasterCard and American Express. tent to Restore with the Copyright Of- Debit cards cannot be accepted for pay- fice prior to January 1, 1995, is not re- ment. With the NIE, a filer using a quired to file a Notice of Intent to En- credit card must submit a separate force under this regulation. cover letter stating the name of the credit card, the credit card number, the APPENDIX A TO § 201.33—NOTICE OF INTENT TO ENFORCE A COPYRIGHT RESTORED UNDER THE expiration date of the credit card, the URUGUAY ROUND AGREEMENTS ACT total amount, and a signature author- (URAA) izing the Office to charge the fees to the account. To protect the security of 1. Title: lllllllllllllllllll the credit card number, the filer must (If this work does not have a title, state not write the credit card number on ‘‘No title.’’) OR Brief description of work (for untitled the Notice of Intent to Enforce. works only): llll (f) Public online access. (1) Almost all llllllllllllllllllllllll of the information contained in the No- 2. English translation of title (if applicable): tice of Intent to Enforce is available 3. Alternative title(s) (if any): lllllll online in the Copyright Office History 4. Type of work: lllllllllllllll Documents (COHD) file through the Li- (e.g. painting, sculpture, music, motion brary of Congress electronic informa- picture, sound recording, book) tion system LC MARVEL through the 5. Name of author(s): llllllllllll Internet. Except on Federal holidays, 6. Source country: llllllllllllll this information may be obtained on 7. Approximate year of publication: llll

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8. Additional identifying information: lll (b) Definitions. For purposes of this (e.g. for movies; director, leading actors, section, the following definitions screenwriter, animator, for photographs: apply. subject matter; for books; editor, pub- (1) Major error. A major error in filing lisher, contributors, subject matter). a Notice of Intent to Enforce a Copy- 9. Name of copyright owner: llllllll right Restored under the Uruguay (Statements may be filed in the name of Round Agreements Act is an error in the owner of the restored copyright or the name of the copyright owner or the owner of an exclusive right therein.) rightholder, or in the title of the work 10. If you are not the owner of all rights, specify the rights you own: (as opposed to its translation, if any) llllllllllllllllllllllll where such error fails to adequately (e.g. the right to reproduce/distribute pub- identify the restored work or its owner licly display/publicly perform the work, through a reasonable search of the or to prepare a derivative work based on Copyright Office NIE records. Omission the work) of, or incorrect information regarding, 11. Address at which copyright owner may be a written agency relationship also con- contacted: stitutes a major error. llllllllllllllllllllllll (2) Minor error. A minor error in filing llllllllllllllllllllllll a Notice of Intent to Enforce a Copy- (Give the complete address, including the right Restored under the Uruguay country and an ‘‘attention’’ line, or ‘‘in care of’’ name, if necessary.) Round Agreements Act is any error that is not a major error. 12. Telephone number of owner: lllllll (3) Restored work. For the definition 13. Telefax number of owner: llllllll 14. Certification and Signature: of works restored under the URAA, see 37 CFR 201.33. I hereby certify that, for each of the work(s) listed above, I am the copyright (c) Forms. The Copyright Office does owner, or the owner of an exclusive right, or not provide forms for Correction No- the owner’s authorized agent, the agency re- tices of Intent to Enforce filed with the lationship having been constituted in a writ- Copyright Office. It requests that filers ing signed by the owner before the filing of of such Correction NIEs follow the for- this notice, and that the information given mat set out in Appendix A of this sec- herein is true and correct to the best of my tion and give all information listed in knowledge. paragraph (d) of this section. Correc- Signature: llllllllllllllllll tion NIEs must be in English, and Name (printed or typed): llllllllll should be typed or legibly printed by As agent for (if applicable): lllllllll hand in dark, preferably black ink, on Date: llllllllllllllllllll 81⁄2″ by 11″ white paper of good quality NOTE: Notices of Intent to Enforce must be with at least a 1″ (or three cm) margin. in English, except for the original title, and (d) Requirements for Correction Notice either typed or printed by hand legibly in of Intent to Enforce a Copyright Restored dark, preferably black, ink. They should be under the Uruguay Round Agreements on 81⁄2″ by 11″ white paper of good quality, with at least a 1-inch (or 3 cm) margin. Act. (1) A correction for a Notice of In- tent to Enforce should be clearly des- [60 FR 50420, Sept. 29, 1995, as amended at 63 ignated as a ‘‘Correction Notice of In- FR 30635, June 5, 1998; 64 FR 12902, Mar. 16, tent to Enforce’’ or ‘‘Correction NIE.’’ 1999] (2) Correction Notices of Intent to § 201.34 Procedures for filing Correc- Enforce should be sent to the following tion Notices of Intent to Enforce a address: URAA/GATT, NIEs and Reg- Copyright Restored under the Uru- istrations, PO Box 70400, Southwest guay Round Agreements Act. Station, Washington, DC 20024, USA. (a) General. This section prescribes (3) A Correction NIE shall contain the procedures for submission of cor- the following information: rections of Notices of Intent to Enforce (i) The volume and document number a Copyright (NIEs) Restored under the of the previous NIE which is to be cor- Uruguay Round Agreements Act of De- rected; cember 8, 1994, as required by 17 U.S.C. (ii) The title of the work as it ap- 104A(e), as amended by Pub. L. 103–465, pears on the previous NIE, including 108 Stat. 4809, 4976 (1994). alternative titles, if they appear;

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(iii) The English translation of the covering multiple titles need bear only title, if any, as it appears on the pre- a single certification. vious NIE; (5) Copies, phonorecords or sup- (iv) A statement of the erroneous in- porting documents cannot be made formation as it appears on the previous part of the record of a Correction NIE NIE; and should not be submitted with the (v) A statement of the correct infor- document. mation as it should have appeared and (6) Time for submitting Correction NIEs. an optional explanation of its correc- (i) Major errors. The Copyright Office tion; or will accept a Correction NIE for a (vi) A statement of the information major error concerning a restored work to be added. This includes optional in- during the 24-month period beginning formation such as: on the date of restoration of the work, (A) Type of work; as provided for original NIEs in section (B) Rights owned by the party on 104A(d)(2)(A) of title 17. whose behalf the Correction Notice is (ii) Minor errors. The Office will ac- filed; cept a Correction NIE for a minor error (C) Name of author; or omission concerning a restored work (D) Source country; at any time after the original NIE has (E) Year of publication; been filed, as provided in section (F) Alternative titles; 104A(e)(1)(A)(iii) of title 17. (G) An optional explanation of the (e) Fee—(1) Amount. The filing fee for added information. (vii) The name and address: recording Correction NIEs is 30 U.S. (A) To which correspondence con- dollars for each Correction Notice cov- cerning the document should be sent; ering one work. For single Correction and NIEs covering multiple works, that is, (B) To which the acknowledgment of for works by the same author and the recordation of the Correction NIE owned by the same copyright owner or should be mailed; and owner of an exclusive right, the fee is (viii) A certification. The certifi- 30 U.S. dollars, plus one dollar for each cation shall consist of: additional work covered beyond the (A) A statement that, for each of the first designated work. works named above, the person signing (2) Method of payment. See 37 CFR the Correction NIE is the copyright 201.33(e)(1),(2). owner, or the owner of an exclusive (f) Public online access. Information right, or the owner’s authorized agent, contained in the Correction Notice of and that the information is correct to Intent to Enforce is available online in the best of that person’s knowledge; the Copyright Office History Docu- (B) The typed or printed name of the ments (COHD) file through the Library person whose signature appears; of Congress electronic information sys- (C) The signature and date of signa- tem, available through the Internet. ture; and This file is available from computer (D) The telephone and telefax number terminals located in the Copyright Of- at which the owner, rightholder, or fice itself or from terminals located in agent thereof can be reached. other parts of the Library of Congress (4) A Correction NIE may cover mul- through the Library of Congress Infor- tiple works in multiple NIE documents mation System (LOCIS). Alternative for one fee provided that: each work is ways to connect through Internet are identified by title; all the works are by the World Wide Web (WWW), using the the same author; all the works are Copyright Office Home Page at: http:/ owned by the same copyright owner or www.loc.gov/copyright; directly to owner of an exclusive right. In the case LOCIS through the telnet address at of Correction NIEs, the notice must locis.loc.gov; or the Library of Con- separately designate each title to be gress through gopher LC MARVEL and corrected, noting the incorrect infor- WWW which are available 24 hours a mation as it appeared on the pre- day. LOCIS is available 24 hours a day, viously filed NIE, as well as the cor- Monday through Friday. For the pur- rected information. A single notice pose of researching the full Office

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record of Correction NIEs on the Inter- mation given herein is true and correct net, the Office has made online search- to the best of my knowledge. ing instructions accessible through the llllllllllllllllllllllll Copyright Office Home Page. Research- Name and Address (typed or printed): ers can access them through the Li- llllllllllllllllllllllll brary of Congress Home Page on the Telephone/Fax: World Wide Web by selecting the copy- As agent for: right link. Select the menu item llllllllllllllllllllllll ‘‘Copyright Office Records’’ and/or Date and Signature: ‘‘URAA, GATT Amends U.S. law.’’ Im- llllllllllllllllllllllll ages of the complete Correction NIEs as filed will be stored on optical disk [62 FR 55739, Oct. 28, 1997] and will be available from the Copy- right Office. §§ 201.35–201.37 [Reserved]

APPENDIX A TO § 201.34—CORRECTION NOTICE § 201.38 Designation of agent to re- OF INTENT TO ENFORCE ceive notification of claimed infringement. CORRECTION OF NOTICE OF INTENT TO ENFORCE (a) General. This section prescribes 1. Name of Copyright Owner (or owner of ex- interim rules under which service pro- clusive right) If this correction notice is viders may provide the Copyright Of- to cover multiple works, the author and the rights owner must be the same for all fice with designations of agents to re- works covered by the notice.) ceive notification of claimed infringe- llllllllllllllllllllllll ment under section 512(c)(2) of title 17 2. Title(s) (or brief description) of the United States Code, as amended. (a) Work No. 1—lll These interim rules shall remain in ef- Volume and Document Number: lll fect until more comprehensive rules English Translation: lll have been promulgated following a no- (b) Work No. 2 (if applicable)—lll tice of proposed rulemaking and re- Volume and Document Number: lll ceipt of public comments. English Translation: lll (b) Forms. The Copyright Office does (c) Work No. 3 (if applicable)—lll not provide printed forms for filing an Volume and Document Number: lll English Translation: lll Interim Designation of Agent to Re- (d) Work No. 4 (if applicable)—lll ceive Notification of Claimed Infringe- Volume and Document Number: lll ment. English Translation: lll (c) Content. An ‘‘Interim Designation 3. Statement of incorrect information on of Agent to Receive Notification of earlier NIE: Claimed Infringement’’ shall be identi- llllllllllllllllllllllll fied as such by prominent caption or 4. Statement of correct (or previously omit- heading, and shall include the fol- ted) information: lowing information with respect to a llllllllllllllllllllllll single service provider: Give the following only if incorrect or omit- (1) The full legal name and address of ted on earlier NIE: the service provider; (a) Type of work lll (2) All names under which the service (b) Rights owned lll provider is doing business; (c) Name of author (of entire work) lll (d) Source Country lll (3) The name of the agent designated (e) Year of Publication (Approximate if to receive notification of claimed in- precise year is unknown) lll fringement; (f) Alternative titles lll (4) The full address, including a spe- 5. Explanation of error: cific number and street name or rural llllllllllllllllllllllll route, of the agent designated to re- 6. Certification and Signature: I hereby cer- ceive notification of claimed infringe- tify that for each of the work(s) listed ment. A post office box or similar des- above, I am the copyright owner, or the ignation will not be sufficient except owner of an exclusive right, or the owner’s authorized agent, the agency rela- where it is the only address that can be tionship having been constituted in a used in that geographic location; writing signed by the owner before the (5) The telephone number, facsimile filing of this notice, and that the infor- number, and electronic mail address of

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the agent designated to receive notifi- their agents may provide notice to cation of claimed infringement. qualified libraries and archives (includ- (d) Signature. The Interim Designa- ing a nonprofit educational institution tion of Agent to Receive Notification that functions as such) that a pub- of Claimed Infringement shall include lished work in its last 20 years of copy- the signature of the appropriate officer right protection is subject to normal or representative of the service pro- commercial exploitation, or that a vider designating the agent. The signa- copy or phonorecord of the work can be ture shall be accompanied by the print- obtained at a reasonable price, for pur- ed or typewritten name and title of the poses of section 108(h)(2) of title 17 of person signing the Notice, and by the the United States Code. date of signature. (b) Format. The Copyright Office pro- (e) Filing. A service provider may file vides a required format for a Notice to the Interim Designation of Agent to Libraries and Archives of Normal Com- Receive Notification of Claimed In- mercial Exploitation or Availability at fringement with the Public Informa- Reasonable Price, and for continuation tion Office of the Copyright Office, sheets for group notices. The required Room LM–401, James Madison Memo- format is set out in Appendix A to this rial Building, Library of Congress, 101 section, and is available from the Copy- Independence Avenue, SE, Washington, right Office website (http://lcweb.loc.gov/ DC, during normal business hours, 9 am copyright). The Copyright Office does to 5 pm. If mailed, the Interim Des- not provide printed forms. The Notice ignation should be addressed to: Copy- shall be in English (except for an origi- right GC/I&R, PO Box 70400, Southwest nal title, which may be in another lan- Station, Washington, DC 20024. Each guage), typed or printed legibly in dark designation shall be accompanied by a ink, and shall be provided on 81⁄2×11 filing fee of $30. Designations and inch white paper with a one-inch mar- amendments will be posted online on gin. the Copyright Office’s website (http:// (c) Required content. A ‘‘Notice to Li- www.loc.gov/copyright). braries and Archives of Normal Com- (f) Amendments. In the event of a mercial Exploitation or Availability at change in the information reported in Reasonable Price’’ shall be identified an Interim Designation of Agent to Re- as such by prominent caption or head- ceive Notification of Claimed Infringe- ing, and shall include the following: ment, a service provider shall file with (1) The acronym NLA in capital, and the Public Information Office of the preferably bold, letters in the top Copyright Office an amended Interim right-hand corner of the page; Designation of Agent to Receive Notifi- (2) A check-box just below the acro- cation of Claimed Infringement, con- nym NLA indicating whether continu- taining the current information re- ation sheets for additional works are quired by section 201.38(c). The amend- attached; ed Interim Designation shall be signed (3) The title of the work, or if unti- in accordance with the requirements of tled, a brief description of the work; section 201.38(d) and shall be accom- (4) The author(s) of the work; panied by a fee of $30. (5) The type of work (e.g., music, mo- (g) Termination and dissolution. If a tion picture, book, photograph, illus- service provider terminates its oper- tration, map, article in a periodical, ations, the entity shall notify the painting, sculpture, sound recording, Copyright Office by certified or reg- etc.); istered mail. (6) The edition, if any (e.g., first edi- [63 FR 59234, Nov. 3, 1998, as amended at 67 tion, second edition, teacher’s edition) FR 38005, May 31, 2002] or version, if any (e.g., orchestral arrangement, translation, French § 201.39 Notice to Libraries and Ar- version). If there is no information re- chives of Normal Commercial Ex- lating to the edition or version of the ploitation or Availability at Reason- work, the notice should so state; able Price. (7) The year of first publication; (a) General. This section prescribes (8) The year the work first secured rules under which copyright owners or federal copyright through publication

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with notice or registration as an un- Each additional work in the group published work; must be identified on a separate con- (9) The copyright renewal registra- tinuation sheet. The required format tion number (except this information is for the continuation sheet is set out in not required for foreign works in which Appendix B to this section, and is copyright is restored pursuant to 17 available from the Copyright Office U.S.C. 104A); website (http://lcweb.loc.gov/copyright). (10) The name of the copyright owner A group filing is permitted provided (or the owner of exclusive rights); that: (11) If the copyright owner is not the (1) All the works are by the same au- owner of all rights, a specification of thor; the rights owned (e.g., the right to re- (2) All the works are owned by the produce/distribute/publicly display/pub- same copyright owner or owner of the licly perform the work or to prepare a exclusive rights therein. If the claim- derivative work); ant is not owner of all rights, the (12) The name, address, telephone claimant must own the same rights number, fax number (if any) and e-mail with respect to all works in the group; address (if any) of the person or entity (3) All the works first secured federal that the Copyright Office should con- copyright in the same year, through ei- tact concerning the Notice; ther publication with notice or reg- (13) The full legal name, address, istration as unpublished works; telephone number, fax number (if any) (4) All the works were first published and e-mail address (if any) of the per- in the same year; son or entity that Libraries and Ar- (5) The person or entity that the chives may contact concerning the Copyright Office should contact con- work’s normal commercial exploi- cerning the Notice is the same for all tation or availability at reasonable the works; and price; and (6) The person or entity that Librar- (14) A declaration made under pen- ies and Archives may contact con- alty of perjury that the work identified cerning the work’s normal commercial is subject to normal commercial ex- exploitation or availability at reason- ploitation, or that a copy or phono- able price is the same for all the works. record of the work is available at a rea- (g) Filing—(1) Method of filing. The sonable price. Notice to Libraries and Archives of (d) Additional content. A Notice to Li- Normal Commercial Exploitation or braries and Archives of Normal Com- Availability at Reasonable Price mercial Exploitation or Availability at should be addressed to: NLA, Library Reasonable Price may include the fol- of Congress, Copyright Office, 101 Inde- lowing: pendence Avenue, SE., Washington, DC (1) The original copyright registra- 20559–6000. If delivered by hand, it tion number of the work; and should be delivered during normal busi- (2) Additional information con- ness hours, 8:30 a.m. to 5:00 p.m., to the cerning the work’s normal commercial Public Information Office, Room LM– exploitation or availability at a rea- 401, James Madison Memorial Building, sonable price. Library of Congress, 101 Independence (e) Signature. The Notice to Libraries Avenue, SE., Washington, DC. and Archives of Normal Commercial (2) Amount. Each Notice shall be ac- Exploitation or Availability at Reason- companied by a filing fee of $50, and (if able Price shall include the signature more than one work is identified in the of the copyright owner or its agent. Notice), $20 for each additional work. The signature shall be accompanied by (3) Method of payment—(i) Checks, the printed or typewritten name and money orders, or bank drafts. The Copy- title of the person signing the Notice, right Office will accept checks, money and by the date of signature. orders, or bank drafts made payable to (f) Multiple works. A Notice to Librar- the Register of Copyrights. Remit- ies and Archives may be filed for more tances must be redeemable without than one work. The first work shall be service or exchange fees through a identified using the format required for United States institution, must be pay- all Notices to Libraries and Archives. able in United States dollars, and must

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be imprinted with American Banking 9. The person or entity identified in space Association routing numbers. Postal #8 owns: money orders that are negotiable only b all rights. at a post office and international b the following rights (e.g., the right to reproduce/distribute/publicly display/pub- money orders are not acceptable. CUR- licly perform the work or to prepare a RENCY IS NOT ACCEPTED. derivative work): lllll. (ii) Copyright Office Deposit Account. 10. Person or entity that the Copyright Of- The Copyright Office maintains a sys- fice should contact concerning the Notice: tem of Deposit Accounts for the con- b Name: llllllllllllllllll venience of those who frequently use b Address: lllllllllllllllll its services. The system allows an indi- b Telephone: llllllllllllllll b Fax number (if any): lllllllllll vidual or firm to establish a Deposit b E-mail address (if any): llllllllll Account in the Copyright Office and to 11. Person or entity that libraries and ar- make advance deposits into that ac- chives may contact concerning the work’s count. Deposit Account holders can normal commercial exploitation or avail- charge copyright fees against the bal- ability at a reasonable price: ance in their accounts instead of send- b Name: llllllllllllllllll ing separate remittances with each re- b Address: lllllllllllllllll b Telephone: llllllllllllllll quest for service. For information on b Fax number (if any): lllllllllll Deposit Accounts, visit the Copyright b E-mail address (if any): llllllllll Office website or write: Copyright Of- fice, Library of Congress, Washington, Additional Content (OPTIONAL): DC 20559–6000, and request a copy of 12. Original copyright registration number: Circular 5, ‘‘How to Open and Maintain llllllllll a Deposit Account in the Copyright Of- 13. Additional information concerning the fice.’’ work’s normal commercial exploitation or availability at a reasonable price: APPENDIX A TO § 201.39—REQUIRED FORMAT OF llllllllll NOTICE TO LIBRARIES AND ARCHIVES OF NOR- MAL COMMERCIAL EXPLOITATION OR AVAIL- Declaration: ABILITY AT REASONABLE PRICE I declare under penalty of perjury under NLA the laws of the United States: b Check box if continuation sheets for addi- b that each work identified in this notice is tional works are attached. subject to normal commercial exploitation. Notice to Libraries and Archives of Normal b that a copy or phonorecord of each work Commercial Exploitation or Availability identified in this notice is available at a at Reasonable Price reasonable price. Signature: llllllllllllllllll 1. Title of the work (or, if untitled, a brief Date: llllllllllllllllllll description of the work): . llllllllll b Typed or printed name: lllllllll 2. Author(s) of the work: b Title: lllllllllllllllllll llllllllll. 3. Type of work (e.g. music, motion pic- APPENDIX B TO § 201.39—REQUIRED FORMAT ture, book, photograph, illustration, map, FOR CONTINUATION SHEET article in a periodical, painting, sculpture, sound recording, etc.): llllllllll. NLA CON 4. Edition, if any (e.g., first edition, second Page llof llPages. edition, teacher’s edition) or version, if any Continuation Sheet for NLA Notice to Li- (e.g., orchestral arrangement, English trans- braries and Archives of Normal Commer- lation of French text). If there is no informa- cial Exploitation or Availability at Rea- tion available relating to the edition or sonable Price version of the work, the Notice should state, ‘‘No information available’’: 1. Title of the work (or, if untitled, a brief llllllllll. description of the work): llllllllll. 5. Year of first publication: lllll. 2. Type of work (e.g. music, motion pic- 6. Year the work first secured federal copy- ture, book, photograph, illustration, map, right through publication with notice or reg- article in a periodical, painting, sculpture, istration as an unpublished work: lllll. sound recording, etc.): llllllllll. 7. Copyright renewal registration number 3. Edition, if any (e.g., first edition, second (not required for foreign works restored edition, teacher’s edition) or version, if any under 17 U.S.C. 104A): lllll. (e.g., orchestral arrangement, English trans- 8. Full legal name of the copyright owner lation of French text). If there is no informa- (or the owner of exclusive rights): lllll. tion available relating to the edition or

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version of the work, the Notice should state, applications that operate exclusively ‘‘No information available’’: to prevent receipt of e-mail. llllllllll. (2) Computer programs protected by 4. Copyright renewal registration number dongles that prevent access due to mal- (not required for foreign works restored function or damage and which are ob- under 17 U.S.C. 104A): llllllllll. solete. Additional Content (OPTIONAL): (3) Computer programs and video games distributed in formats that have 5. Original copyright registration number: become obsolete and which require the llllllllll. original media or hardware as a condi- 6. Additional information concerning the work’s normal commercial exploitation or tion of access. A format shall be con- availability at a reasonable price: sidered obsolete if the machine or sys- llllllllll. tem necessary to render perceptible a work stored in that format is no longer [63 FR 71787, Dec. 30, 1998, as amended at 66 manufactured or is no longer reason- FR 34373, June 28, 2001] ably available in the commercial mar- § 201.40 Exemption to prohibition ketplace. against circumvention. (4) Literary works distributed in ebook format when all existing ebook (a) General. This section prescribes editions of the work (including digital the classes of copyrighted works for text editions made available by author- which the Librarian of Congress has de- ized entities) contain access controls termined, pursuant to 17 U.S.C. that prevent the enabling of the 1201(a)(1)(C) and (D), that noninfringing ebook’s read-aloud function and that uses by persons who are users of such prevent the enabling of screen readers works are, or are likely to be, ad- to render the text into a specialized versely affected. The prohibition format. against circumvention of technological (c) Definitions. (1) ‘‘Internet loca- measures that control access to copy- tions’’ are defined to include domains, righted works set forth in 17 U.S.C. uniform resource locators (URLs), nu- 1201(a)(1)(A) shall not apply to such meric IP addresses or any combination users of the prescribed classes of copy- thereof. righted works. (2) ‘‘Obsolete’’ shall mean ‘‘no longer (b) Classes of copyrighted works. Pur- manufactured or reasonably available suant to the authority set forth in 17 in the commercial marketplace.’’ U.S.C. 1201(a)(1)(C) and (D), and upon (3) ‘‘Specialized format,’’ ‘‘digital the recommendation of the Register of text’’ and ‘‘authorized entities’’ shall Copyrights, the Librarian has deter- have the same meaning as in 17 U.S.C. mined that during the period from Oc- 121. tober 28, 2003, through October 27, 2006, [65 FR 64574, Oct. 27, 2000, as amended at 68 the prohibition against circumvention FR 62018, Oct. 31, 2003] of technological measures that effec- tively control access to copyrighted works set forth in 17 U.S.C. PART 202—REGISTRATION OF 1201(a)(1)(A) shall not apply to persons CLAIMS TO COPYRIGHT who engage in noninfringing uses of the following four classes of copy- Sec. righted works: 202.1 Material not subject to copyright. 202.2 Copyright notice. (1) Compilations consisting of lists of 202.3 Registration of copyright. Internet locations blocked by commer- 202.4 Effective date of registration. cially marketed filtering software ap- 202.5 Reconsideration Procedure for Refus- plications that are intended to prevent als to Register. access to domains, websites or portions 202.6–202.9 [Reserved] of websites, but not including lists of 202.10 Pictorial, graphic, and sculptural Internet locations blocked by software works. 202.11 Architectural works applications that operate exclusively 202.12 Restored copyrights. to protect against damage to a com- 202.13–202.16 [Reserved] puter or computer network or lists of 202.17 Renewals. Internet locations blocked by software 202.18 [Reserved]

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