[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

[[Page 351]]

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]