[Code of Federal Regulations]
[Title 37, Volume 1]
[Revised as of July 1, 1999]
From the U.S. Government Printing Office via GPO Access
[CITE: 37CFR201.10]
[Page 350-352]
TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
CONGRESS
PART 201--GENERAL PROVISIONS--Table of Contents
Sec. 201.10 Notices of termination of transfers and licenses covering extended renewal term.
(a) Form. The Copyright Office does not provide printed forms for
the use of persons serving notices of termination.
(b) Contents. (1) A notice of termination must include a clear
identification of each of the following:
(i) The name of each grantee whose rights are being terminated, or
the grantee's successor in title, and each address at which service of
the notice is being made;
(ii) The title and the name of at least one author of, and the date
copyright was originally secured in, each work to which the notice of
termination applies; and, if possible and practicable, the original
copyright registration number;
(iii) A brief statement reasonably identifying the grant to which
the notice of termination applies;
(iv) The effective date of termination; and
(v) In the case of a termination of a grant executed by a person or
persons other than the author, a listing of the surviving person or
persons who executed the grant. In the case of a termination of a grant
executed by one or more of the authors of the work where the termination
is exercised by the successors of a deceased author, a listing of the
names and relationships to that deceased author of all of the following,
together with specific indication of the person or persons executing the
notice who constitute more than one-half of that aurhor's termination
interest: That author's surviving widow or widower; and all of that
author's surviving children; and, where any of that author's children
are dead, all of the surviving children of any such deceased child of
that author; however, instead of the information required by this
paragraph (v), the notice may contain both of the following:
(A) A statement of as much of such information as is currently
available to the person or persons signing the notice, with a brief
explanation of the reasons why full information is or may be lacking;
together with
(B) A statement that, to the best knowledge and belief of the person
or persons signing the notice, the notice has been signed by all persons
whose signature is necessary to terminate the grant under section 304(c)
of Title 17, U.S.C., or by their duly authorized agents.
(2) Clear identification of the information specified by paragraph
(b)(1) of this section requires a complete and unambiguous statement of
facts in the notice itself, without incorporation by reference of
information in other documents or records.
(c) Signature. (1) In the case of a termination of a grant executed
by a person or persons other than the author, the notice shall be signed
by all of the surviving person or persons who executed the grant, or by
their duly authorized agents.
(2) In the case of a termination of a grant executed by one or more
of the authors of the work, the notice as to any one author's share
shall be signed
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by that author or by his or her duly authorized agent. If that author is
dead, the notice shall be signed by the number and proportion of the
owners of that author's termination interest required under clauses (1)
and (2) of section 304(c) of title 17, U.S.C., or by their duly
authorized agents, and shall contain a brief statement of their
relationship or relationships to that author.
(3) Where a signature is by a duly authorized agent, it shall
clearly identify the person or persons on whose behalf the agent is
acting.
(4) The handwritten signature of each person effecting the
termination shall either be accompanied by a statement of the full name
and address of that person, typewritten or printed legibly by hand, or
shall clearly correspond to such a statement elswhere in the notice.
(d) Service. (1) The notice of termination shall be served upon each
grantee whose rights are being terminated, or the grantee's successor in
title, by personal service, or by first-class mail sent to an address
which, after a reasonable investigation, is found to be the last known
address of the grantee or successor in title.
(2) The service provision of section 304(c)(4) of Title 17, U.S.C.,
will be satisfied if, before the notice of termination is served, a
reasonable investigation is made by the person or persons executing the
notice as to the current ownership of the rights being terminated, and
based on such investigation:
(i) If there is no reason to believe that such rights have been
transferred by the grantee to a successor in title, the notice is served
on the grantee; or
(ii) If there is reason to believe that such rights have been
transferred by the grantee to a particular successor in title, the
notice is served on such successor in title.
(3) For purposes of paragraph (d)(2) of this section, a reasonable
investigation includes, but is not limited to, a search of the records
in the Copyright Office; in the case of a musical composition with
respect to which performing rights are licensed by a performing rights
society, a ``reasonable investigation'' also includes a report from that
performing rights society identifying the person or persons claiming
current ownership of the rights being terminated.
(4) Compliance with the provisions of clauses (2) and (3) of this
paragraph (d) will satisfy the service requirements of section 304(c)(4)
of Title 17, U.S.C. However, as long as the statutory requirements, have
been met, the failure to comply with the regulatory provisions of
paragraph (d) (2) or (3) of this section will not affect the validity of
the service.
(e) Harmless errors. (1) Harmless errors in a notice that do not
materially affect the adequacy of the information required to serve the
purposes of section 304(c) of Title 17, U.S.C., shall not render the
notice invalid.
(2) Without prejudice to the general rule provided by paragraph
(e)(1) of this section (e), errors made in giving the date or
registration number referred to in paragraph (b)(1)(ii) of this section,
or in complying with the provisions of paragraph (b)(1)(v) of this
section, or in describling the precise relationships under clause (2) of
paragraph (c) of this section, shall not affect the validity of the
notice if the errors were made in good faith and without any intention
to deceive, mislead, or conceal relevant information.
(f) Recordation. (1) A copy of the notice of termination will be
recorded in the Copyright Office upon payment of the fee prescribed by
paragraph (2) of this paragraph (f) and upon compliance with the
following provisions:
(i) The copy submitted for recordation shall be a complete and exact
duplicate of the notice of termination as served and shall include the
actual signature or signatures, or a reproduction of the actual
signature or signatures, appearing on the notice; where separate copies
of the same notice were served on more than one grantee or successor in
title, only one copy need be submitted for recordation; and
(ii) The copy submitted for recordation shall be accompanied by a
statement setting forth the date on which the notice was served and the
manner of service, unless such information is contained in the notice.
(2) The fee for recordation of a document is prescribed in
Sec. 201.3(c).
[[Page 352]]
(3) The date of recordation is the date when all of the elements
required for recordation, including the prescribed fee and, if required,
the statement referred to in paragraph (f)(1)(ii) of this section, have
been received in the Copyright Office. After recordation the document,
including any accompanying statement, is returned to the sender with a
certificate of record.
(4) Recordation of a notice of termination by the Copyright Office
is without prejudice to any party claiming that the legal and formal
requirements for issuing a valid notice have not been met.
(Pub. L. 94-553; 17 U.S.C. 304(c), 702, 708(11))
[42 FR 45920, Sept. 13, 1977, as amended at 56 FR 59885, Nov. 26, 1991;
60 FR 34168, June 30, 1995; 64 FR 29521, June 1, 1999]