[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: 37CFR201.18]

[Page 371-373]
 
             TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS
 
                                CONGRESS
 
PART 201--GENERAL PROVISIONS--Table of Contents
 
Sec. 201.18  Notice of intention to obtain a compulsory license for making and distributing phonorecords of nondramatic musical works.

    (a) General. (1) A ``Notice of Intention'' is a notice identified in 
section 115(b) of title 17 of the United States Code, as amended by Pub. 
L. 94-553, and required by that section to be served on a copyright 
owner, or in certain cases to be filed in the Copyright Office, to 
obtain a compulsory license to make and distribute phonorecords of 
nondramatic musical works.
    (2) A separate Notice of Intention shall be served or filed for each 
nondramatic musical work embodied, or intended to be embodied, in 
phonorecords made under the compulsory license.
    (3) For the purposes of this section, the term copyright owner, in 
the case of

[[Page 372]]

any work having more than one copyright owner, means any one of the co-
owners. In such cases, the service of a Notice of Intention on any one 
of the coowners under paragraph (e)(2) of this section shall be 
sufficient with respect to all co-owners.
    (b) Form. The Copyright Office does not provide printed forms for 
the use of persons serving or filing Notices of Intention.
    (c) Content. (1) A Notice of Intention shall be clearly and 
prominently designated, at the head of the notice, as a ``Notice of 
Intention to Obtain a Compulsory License for Making and Distributing 
Phonorecords,'' and shall include a clear statement of the following 
information:
    (i) The full legal name of the person or entity intending to obtain 
the compulsory license, together with all fictitious or assumed names 
used by such person or entity for the purpose of conducting the business 
of making and distributing phonorecords;
    (ii) The full address, including a specific number and street name 
or rural route, of the place of business of the person or entity 
intending to obtain the compulsory license. A post office box or similar 
designation will not be sufficient for this purpose except where it is 
the only address that can be used in that geographic location;
    (iii) A statement of the nature of each and every business 
organization that the person or entity intending to obtain the 
compulsory license will use for the purpose of conducting the business 
of making and distributing phonorecords under the license (for example, 
a corporation, a partnership, or an individual proprietorship); 
additionally:
    (A) If the person or entity intending to obtain the compulsory 
license is a corporation registered with the Securities and Exchange 
Commission under section 12 of the Securities and Exchange Act of 1934, 
the Notice shall so state.
    (B) If the person or entity intending to obtain the compulsory 
license is a corporation that is not registered with the Securities and 
Exchange Commission under section 12 of the Securities and Exchange Act 
of 1934, the Notice shall include a list of the names of the 
corporation's directors and officers, and the names of each beneficial 
owner of twenty-five percent (25%) or more of the outstanding securities 
of the corporation.
    (C) In all other cases, the Notice shall include the names of each 
entity or individual owning a beneficial interest of twenty-five percent 
(25%) or more in the entity intending to exercise the compulsory 
license. If a corporate entity is named in response to this paragraph 
(C), then: If that corporation is registered with the Securities and 
Exchange Commission under section 12 of the Securities and Exchange Act 
of 1934, the Notice shall so state; if that corporation is not so 
registered, the Notice shall include a list of the names of the 
corporation's directors and officers, and the names of each beneficial 
owner of twenty-five percent (25%) or more of the outstanding securities 
of that corporation;
    (iv) The fiscal year of the person or entity intending to obtain the 
compulsory license. If that fiscal year is a calendar year, the Notice 
shall state that this is the case;
    (v) The title of the nondramatic musical work embodied or intended 
to be embodied in phonorecords made under the compulsory license, and 
the names of the author or authors of such work if known;
    (vi) The types of all phonorecord configurations already made (if 
any) and expected to be made under the compulsory license (for example: 
Single disk, long-playing disk, cassette, cartridge, reel-to-reel, or a 
combination of them);
    (vii) The expected date of initial distribution of phonorecords 
already made (if any) or expected to be made under the compulsory 
license;
    (viii) The name of the principal recording artist or group actually 
engaged or expected to be engaged in rendering the performances fixed on 
phonorecords already made (if any) or expected to be made under the 
compulsory license;
    (ix) The catalog number or numbers, and label name or names, used or 
expected to be used on phonorecords already made (if any) or expected to 
be made under the compulsory license; and

[[Page 373]]

    (x) In the case of phonorecords already made (if any) under the 
compulsory license, the date or dates of such manufacture.
    (2) A ``clear statement'' of the information listed in paragraph 
(c)(1) of this section requires a clearly intelligible, legible, and 
unambiguous statement in the Notice itself and (subject to paragraph 
(c)(1)(iii)(A) of this section) without incorporation by reference of 
facts or information contained in other documents or records.
    (3) Where information is required to be given by paragraph (c)(1) of 
this section ``if known'' or as ``expected'', such information shall be 
given in good faith and on the basis of the best knowledge, information, 
and belief of the person signing the Notice. If so given, later 
developments affecting the accuracy of such information shall not affect 
the validity of the Notice.
    (d) Signature. The Notice shall be signed by the person or entity 
intending to obtain the compulsory license. If that person or entity is 
a corporation, the signature shall be that of a duly authorized officer 
of the corporation; if that person or entity is a partnership, the 
signature shall be that of a partner. The signature shall be accompanied 
by the printed or typewritten name of the person signing the Notice, and 
by the date of signature.
    (e) Filing and service. (1) If, with respect to the nondramatic 
musical work named in the Notice of Intention, the registration or other 
public records of the Copyright Office do not identify the copyright 
owner of such work and include an address for such owner, the Notice 
shall be filed in the Copyright Office. Notices of Intention submitted 
for filing shall be accompanied by the fee specified in Sec. 201.3(e). 
Notices of Intention will be filed by being placed in the appropriate 
public records of the Licensing Division of the Copyright Office. The 
date of filing will be the date when a proper Notice and fee are both 
received in the Copyright Office. A written acknowledgement of receipt 
and filing will be provided to the sender. Upon request and payment of 
the fee specified in Sec. 201.3(e), a Certificate of Filing will be 
provided to the sender.
    (2) If the registration or other public records of the Copyright 
Office do identify the copyright owner of the nondramatic musical work 
named in the Notice of Intention and include an address for such owner, 
the Notice shall be served on such owner by certified mail or by 
registered mail sent to the last address for such owner shown by the 
records of the Office; it shall not be necessary to file a copy of the 
Notice in the Copyright Office in this case.
    (3) If the Notice is sent by certified or registered mail to the 
last address for the copyright owner shown by the records of the 
Copyright Office and is returned to the sender because the copyright 
owner is no longer located at the address or has refused to accept 
delivery, the original Notice as sent shall be filed in the Copyright 
Office. Notices of Intention submitted for filing under this paragraph 
(e)(3) shall be submitted to the Licensing Division of the Copyright 
Office, and shall be accompanied by a brief statement that the Notice 
was sent to the last address for the copyright owner shown by the 
records of the Copyright Office but was returned, and by appropriate 
evidence that it was sent by certified or registered mail to that 
address. In these cases, the Copyright Office will specially mark its 
records to consider the date the original Notice was mailed, as shown by 
the evidence mentioned above, as the date of filing. A written 
acknowledgement of receipt and filing will be provided to the sender. No 
filing fee will be required in the case of Notices filed under this 
paragraph (e)(3). Upon request and payment of the fee specified in 
Sec. 201.3(e), a Certificate of Filing will be provided to the sender.

(17 U.S.C. 115, 702, 708)

[45 FR 79045, Nov. 28, 1980, as amended at 56 FR 59885, Nov. 26, 1991; 
63 FR 30635, June 5, 1998; 64 FR 29521, June 1, 1999]