[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: 37CFR201.11]

[Page 352-356]
 
             TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
                                CONGRESS
 
PART 201--GENERAL PROVISIONS--Table of Contents
 
Sec. 201.11  Satellite carrier statements of account covering statutory licenses for secondary transmissions for private home viewing.

    (a) General. This section prescribes rules pertaining to the deposit 
of Statements of Account and royalty fees in the Copyright Office as 
required by the satellite carrier license of section 119(b)(1) of title 
17 of the United States Code, as amended by Pub. L. 103-369, in order 
that certain secondary transmissions by satellite carriers for private 
home viewing be subject to statutory licensing.
    (b) Definitions. (1) The terms distributor, network station, private 
home viewing, satellite carrier, subscriber, superstation, and unserved 
household have the meanings set forth in section 119(d) of title 17 of 
the United States Code, as amended by Pub. L. 103-369.
    (2) The terms primary transmission and secondary transmission have 
the meanings set forth in section 111(f) of title 17 of the United 
States Code.
    (c) Accounting periods and deposit. (1) Statements of Account shall 
cover semiannual accounting periods of January 1 through June 30, and 
July 1 through December 31, and shall be deposited in the Copyright 
Office, together with the total statutory royalty fee or the confirmed 
arbitration royalty fee for such accounting periods as prescribed by 
section 119(b)(1)(B) and (c)(3) of title 17, by not later than July 30, 
if the Statement of Account covers the January 1 through June 30 
accounting period, and by not later than the immediately following 
January 30, if the Statement of Account covers the July 1 through 
December 31 accounting period.
    (2) Upon receiving a Statement of Account and royalty fee, the 
Copyright Office will make an official record of the actual date when 
such statement and fee were physically received in the Copyright Office. 
Thereafter, the Licensing Division of the Copyright Office will examine 
the statement and fee for obvious errors or omissions appearing on the 
face of the documents, and will require that any such obvious errors or 
omissions be corrected before final processing of the documents is 
completed. If, as the result of communications between the Copyright 
Office and the satellite carrier, an additional fee is deposited or 
changes or additions are made in the Statement of Account, the date that 
additional deposit or information was actually received in the Office 
will be added to the official record of the case. However, completion by 
the Copyright Office of the final processing of a Statement of Account 
and royalty fee deposit shall establish only the fact of such completion 
and the date or dates of receipt shown in the official record. It shall 
in no case be considered a determination that the Statement of Account 
was, in fact, properly prepared and accurate, that the correct amount of 
the royalty fee had been deposited, that the statutory time limits for 
filing had been met, or that any other requirements to qualify for a 
statutory license have been satisfied.
    (3) Statements of Account and royalty fees received before the end 
of the particular accounting period they purport to cover will not be 
processed by the Copyright Office. Statements of Account and royalty 
fees received after the filing deadlines of July 30 or January 30, 
respectively, will be accepted for whatever legal effect they may have, 
if any.
    (4) In the Register's discretion, four years after the close of any 
calendar year, the Register may close out the royalty payments account 
for that calendar year, and may treat any funds remaining in such 
account and any

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subsequent deposits that would otherwise be attributable to that 
calendar year as attributable to the succeeding calendar year.
    (d) Forms. (1) Each Statement of Account shall be furnished on an 
appropriate form prescribed by the Copyright Office, and shall contain 
the information required by that form and its accompanying instructions. 
Computation of the copyright royalty fee shall be in accordance with the 
procedures set forth in the forms. Copies of Statement of Account forms 
are available free upon request to the Licensing Division, United States 
Copyright Office, Library of Congress, Washington, DC 20557.
    (2) The form prescribed by the Copyright Office is designated 
``Statement of Account for Secondary Transmissions by Satellite Carriers 
to Home Viewers.''
    (e) Contents. Each Statement of Account shall contain the following 
information:
    (1) A clear designation of the accounting period covered by the 
Statement.
    (2) The designation ``Owner'' followed by:
    (i) The full legal name of the satellite carrier. If the owner is a 
partnership, the name of the partnership is to be followed by the name 
of at least one individual partner;
    (ii) Any other name or names under which the owner conducts the 
business of the satellite carrier; and
    (iii) The full mailing address of the owner. Ownership, other names 
under which the owner conducts the business of the satellite carrier, 
and the owner's mailing address shall reflect facts existing on the last 
day of the accounting period covered by the Statement of Account.
    (3) The designation ``Primary Transmitters,'' followed by the call 
signs, broadcast channel numbers, station locations (city and state of 
license), and a notation whether that primary transmitter is a 
``superstation'' or ``network station'' transmitted to any or all of the 
subscribers of the satellite carrier during any portion of the period 
covered by the Statement of Account.
    (4) The designation ``Superstations,'' followed by:
    (i) The call sign of each superstation signal carried for each month 
of the period covered by the Statement, and
    (ii) The total number of subscribers to each superstation for each 
month of the period covered by the Statement. This number is the number 
of subscribers to each superstation receiving the retransmission on the 
last day of each month.
    (5) The designation ``Network Stations,'' followed by:
    (i) The call sign of each network station carried for each month of 
the period covered by the Statement, and
    (ii) The total number of subscribers to each network station for 
each month of the period covered by the Statement. This number is the 
number of subscribers to each network station receiving the 
retransmission on the last day of each month.
    (6) The total number of subscribers to each superstation for the 
six-month period covered by the Statement multiplied by the statutory 
royalty rate of 17.5 cents per subscriber, or in the case of syndex-
proof superstations as defined in 37 CFR 258.2, 14 cents (or in lieu 
thereof, the arbitrated rate, if applicable).
    (7) The total number of subscribers to each network station for the 
six-month period covered by the Statement multiplied by the statutory 
royalty rate of six (6) cents per subscriber (or, in lieu thereof, the 
arbitrated rate, if applicable).
    (8) The name, address, business title, and telephone number of the 
individual or individuals to be contacted for information or questions 
concerning the content of the Statement of Account.
    (9) The handwritten signature of:
    (i) The owner of the satellite carrier or a duly authorized agent of 
the owner, if the owner is not a partnership or a corporation; or
    (ii) A partner, if the owner is a partnership; or
    (iii) An officer of the corporation, if the owner is a corporation. 
The signature shall be accompanied by:
    (A) The printed or typewritten name of the person signing the 
Statement of Account;
    (B) The date of signature;
    (C) If the owner of the satellite carrier is a partnership or a 
corporation,

[[Page 354]]

by the title or official position held in the partnership or corporation 
by the person signing the Statement of Account;
    (D) A certification of the capacity of the person signing; and
    (E) The following statement:

    I, the undersigned Owner or Agent of the Satellite Carrier, or 
Officer or Partner, if the Satellite Carrier is a Corporation or 
Partnership, have examined this Statement of Account and hereby declare 
under penalty of law that all statements of fact contained herein are 
true, complete, and correct to the best of my knowledge, information, 
and belief, and are made in good faith.

(18 U.S.C., section 1001 (1986))

    (f) Royalty fee payment. All royalty fees may be paid by electronic 
transfer of funds, provided the payment is received in the designated 
United States Federal Reserve Bank by the filing deadline for the 
relevant accounting period. Except in the case of an electronic payment, 
the royalty fee payable for the period covered by the Statement of 
Account shall accompany that Statement of Account and shall be deposited 
at the Copyright Office with it. Payment must be in the form of a 
certified check, cashier's check, or a money order, payable to: Register 
of Copyrights; or a United States Treasury electronic payment.
    (g) Corrections, supplemental payments, and refunds. (1) Upon 
compliance with the procedures and within the time limits set forth in 
paragraph (g)(3) of this section, corrections to Statements of Account 
will be placed on record, supplemental royalty fee payments will be 
received for deposit, or refunds will be issued, in the following cases:
    (i) Where, with respect to the accounting period covered by a 
Statement of Account, any of the information given in the Statement 
filed in the Copyright Office is incorrect or incomplete; or
    (ii) Where calculation of the royalty fee payable for a particular 
accounting period was incorrect, and the amount deposited in the 
Copyright Office for that period was either too high or too low.
    (2) Corrections to Statements of Account will not be placed on 
record, supplemental royalty fee payments will not be received for 
deposit, and refunds will not be issued, where the information in the 
Statements of Account, the royalty fee calculations, or the payments 
were correct as of the date on which the accounting period ended, but 
changes (for example, addition or deletion of a signal) took place 
later.
    (3) Requests that corrections to a Statement of Account be placed on 
record, that fee payments be accepted, or requests for the issuance of 
refunds, shall be made only in the cases mentioned in paragraph (g)(1) 
of this section. Such requests shall be addressed to the Licensing 
Division of the Copyright Office, and shall meet the following 
conditions:
    (i) The request must be in writing, must clearly identify its 
purpose, and, in the case of a request for a refund, must be received in 
the Copyright Office before the expiration of 30 days from the last day 
of the applicable Statement of Account filing period, or before the 
expiration of 30 days from the date of receipt at the Copyright Office 
of the royalty payment that is the subject of the request, whichever 
time period is longer. A telegraphic or similar unsigned communication 
will be considered to meet this requirement if it clearly identifies the 
basis of the request, if it is received in the Copyright Office within 
the required 30-day period, and if a written request meeting all the 
conditions of this paragraph (g)(3) is also received in the Copyright 
Office within 14 days after the end of such 30-day period:
    (ii) The Statement of Account to which the request pertains must be 
sufficiently identified in the request (by inclusion of the name of the 
owner of the satellite carrier and the accounting period in question) so 
that it can be readily located in the records of the Copyright Office;
    (iii) The request must contain a clear statement of the facts on 
which it is based and provide a clear basis on which a refund may be 
granted, in accordance with the following procedures:
    (A) In the case of a request filed under paragraph (g)(1)(i) of this 
section, where the information given in the Statement of Account is 
incorrect or incomplete, the request must clearly identify the erroneous 
or incomplete

[[Page 355]]

information and provide the correct or additional information:
    (B) In the case of a request filed under paragraph (g)(1)(ii) of 
this section, where the royalty fee was miscalculated and the amount 
deposited in the Copyright Office was either too high or too low, the 
request must be accompanied by an affidavit under the official seal of 
any officer authorized to administer oaths within the United States, or 
a statement in accordance with section 1746 of title 28 of the United 
States Code, made and signed in accordance with paragraph (e)(9) of this 
section. The affidavit or statement shall describe the reasons why the 
royalty fee was improperly calculated and include a detailed analysis of 
the proper royalty calculation.
    (iv)(A) All requests filed under this paragraph (g) must be 
accompanied by a filing fee in the amount of $15 for each Statement of 
Account involved. Payment of this fee may be in the form of a personal 
or company check, or of a certified check, cashier's check or money 
order, payable to: Register of Copyrights. No request will be processed 
until the appropriate filing fees are received.
    (B) All requests that a supplemental royalty fee payment be received 
for deposit under this paragraph (g) must be accompanied by a remittance 
in the full amount of such fee. Payment of the supplemental royalty fee 
must be in the form of certified check, cashier's check, or money order, 
payable to: Register of Copyrights; or electronic payment. No such 
request will be processed until an acceptable remittance in the full 
amount of the supplemental royalty fee has been received.
    (v) All requests submitted under this paragraph (g) must be signed 
by the satellite carrier owner named in the Statement of Account, or the 
duly authorized agent of the owner, in accordance with paragraph (e)(9) 
of this section.
    (vi) A request for a refund is not necessary where the Licensing 
Division, during its examination of a Statement of Account or related 
document, discovers an error that has resulted in a royalty overpayment. 
In this case, the Licensing Division will forward the royalty refund to 
the satellite carrier owner named in the Statement of Account without 
regard to the time limitations provided for in paragraph (g)(3)(i) of 
this section.
    (4) Following final processing, all requests submitted under this 
paragraph (g) will be filed with the original Statement of Account in 
the records of the Copyright Office. Nothing contained in this paragraph 
shall be considered to relieve satellite carriers from their full 
obligations under title 17 of the United States Code, and the filing of 
a correction or supplemental payment shall have only such effect as may 
be attributed to it by a court of competent jurisdiction.
    (h) Interest. (1) Royalty fee payments submitted as a result of late 
or amended filings will include interest. Interest will begin to accrue 
beginning on the first day after the close of the period for filing 
statements of account for all underpayments or late payments of 
royalties for the satellite carrier statutory license for secondary 
transmissions for private home viewing occurring within that accounting 
period. The accrual period will end on the date appearing on the 
certified check, cashier's check, money order, or electronic payment 
submitted by a satellite carrier, provided that such payment is received 
by the Copyright Office within five business days of that date. If the 
payment is not received by the Copyright Office within five business 
days of its date, the accrual period will end on the date of actual 
receipt by the Copyright Office.
    (2)(i) The interest rate applicable to a specific accounting period 
beginning with the 1992/2 period shall be the Current Value of Funds 
Rate, as established by section 8025.40 of the Treasury Financial Manual 
and published in the Federal Register, in effect on the first business 
day after the close of the filing deadline for that accounting period. 
Cable operators wishing to obtain the interest rate for a specific 
accounting period may do so by consulting the Federal Register for the 
applicable Current Value of Funds Rate, or by contacting the Licensing 
Division of the Copyright Office.
    (ii) The interest rate applicable to a specific accounting period 
earlier than the 1992/2 period shall be the rate fixed

[[Page 356]]

by the Licensing Division of the Copyright Office pursuant to 37 CFR 
201.11(h) in effect on June 30, 1992.
    (3) Interest is not required to be paid on any royalty underpayment 
or late payment from a particular accounting period if the interest 
charge is less than or equal to five dollars ($5.00).

[54 FR 27877, July 3, 1989, as amended at 55 FR 49998, Dec. 4, 1990; 56 
FR 29589, June 28, 1991; 57 FR 61834, Dec. 29, 1992; 59 FR 67635, Dec. 
30, 1994; 60 FR 34168, June 30, 1995; 60 FR 57937, Nov. 24, 1995; 63 FR 
30635, June 5, 1998]