Compulsory License for Making and Distributing Phonorecords

w 	copyright.gov
CIRCULAR
73A
Under section 115 of the Copyright Act, an individual or
entity, subject to certain terms and conditions, may make
and distribute “non-DPD phonorecords”— phonorecords
of nondramatic musical works made by means other than
digital phonorecord deliveries—if the nondramatic musical
works have been distributed as phonorecords to the public
in the United States under the authority of the copyright
owner. As discussed below, this compulsory license includes
the right to authorize others to engage in the making and
distribution of phonorecords.
NOTE: A nondramatic musical work is an original work of
authorship consisting of music—the succession of pitches
and rhythm—and any accompanying lyrics not created for
use in a motion picture or dramatic work.
On October 11, 2018, the Orrin G. Hatch–Bob Goodlatte
Music Modernization Act updated section 115 to establish
a new blanket license for digital music providers to engage
in specific covered activities, namely, permanent downloads,
limited downloads, and interactive streaming.
The new law, however, maintains the process for obtaining
a compulsory license for non-DPD phonorecords, which still
operates on a per-work, song-by-song basis.
This circular provides an introduction to legal concepts
and Office practice related to the compulsory license for
distributing non-DPD phonorecords. For full information
regarding the procedures that must be followed to operate
under a compulsory license, visit the Office’s website or refer
to sections 201.18 and 210 of Office regulations.1
Copyright law provides a compulsory
license for making and distributing
phonorecords of certain nondramatic
musical works. This circular
addresses the compulsory license
for phonorecords other than digital
phonorecord deliveries (DPDs).
It covers:
• 	When a compulsory license
can be used
• 	Activities covered by the
compulsory license
• 	How to obtain a compulsory license
• 	When royalties must be paid
For information on the compulsory
license for DPDs, see Compulsory
License for Making and Distributing
Digital Phonorecord Deliveries and
Limitations on Liability Prior to the
License Availability Date, January 21,
2021 (Circular 73B).
Compulsory License for
Making and Distributing
Phonorecords
Other Than Digital Phonorecord Deliveries

Compulsory License for Making and Distributing Phonorecords	2
What Is a Phonorecord?
A phonorecord is a material object in which sounds are fixed by any method now known or later
developed and from which the sounds can be perceived, reproduced, or otherwise communicated,
either directly or with the aid of a machine or device. Examples include a cassette tape, a vinyl disc,
or a compact disc. Digital phonorecords are types of phonorecords. A phonorecord does not include
sounds accompanying a motion picture or other audiovisual work.
What Is a Digital Phonorecord Delivery?
A digital phonorecord delivery (DPD) is the individual digital transmission of a sound recording
resulting in a specifically identifiable reproduction by or for a recipient, regardless of whether the
digital transmission is also a public performance of the sound recording or any underlying non-
dramatic musical work. The reproduction must be sufficiently permanent or stable to permit to be
perceived, reproduced, or otherwise communicated for a period of more than transitory duration.
The reproduction may be permanent or available to the recipient for a limited period of time or for a
specified number of performances. A DPD includes all phonorecords that are made for the purpose
of making the delivery. Permanent downloads, limited downloads, and interactive streams are DPDs.
The compulsory license for making and distributing DPDs is addressed further in Compulsory
License for Making and Distributing Digital Phonorecord Deliveries and Limitations on Liability Prior
to the License Availability Date, January 21, 2021 (Circular 73B).
Does a Compulsory License Cover Making and Reproducing a Sound Recording?
No. Section 115 does not cover sound recordings. Rather, it covers the reproduction and distribution
of nondramatic musical works. You can use the musical work to make your own sound recording.
A musical work and a sound recording are two separate works for copyright purposes. The author
of a musical work is generally the composer and any lyricist. A sound recording, on the other hand, is
the fixation of a series of musical spoken, or other sounds, often of a musical work. The author(s) of a
sound recording is generally the performer(s) whose performance is fixed and/or the producer(s) who
captures and processes the performance to make the final recording.
Licenses generally must be obtained separately from the copyright owners of the sound recording
and the underlying musical work. Copyright in a sound recording is not the same as, or a substitute
for, copyright in the underlying musical work.
For more general information about these works, see Copyright Registration for Musical
Compositions (Circular 50), Copyright Registration for Sound Recordings (Circular 56), and
Copyright Registration of Musical Compositions and Sound Recordings (Circular 56A).

Compulsory License for Making and Distributing Phonorecords	3
Must I Use a Compulsory License?
No. Anyone wishing to make and distribute non-DPD phonorecords of a nondramatic musical
work can negotiate directly with the copyright owner or his or her agent. But if the copyright owner
is unwilling to negotiate, or if the copyright owner cannot be contacted, the person intending to
record the work or reproduce and distribute non-DPD phonorecords of the work may be eligible to
use the compulsory license.
When Can a Compulsory License Be Used?
A compulsory license to reproduce and distribute non-DPD phonorecords is available to anyone
as soon as phonorecords of a nondramatic musical work have been distributed to the public in the
United States and its territories under the authority of the copyright owner.
What Can I Do With a Compulsory License?
If you meet the statutory requirements, including payment of required royalties, you may engage in
the following activities with the compulsory license:
• 	Make and distribute phonorecords of the eligible nondramatic musical work, where the pri-
mary purpose is distribution to the public for private use, as opposed to a public performance.
• 	Authorize others to engage in the making and distributing of the phonorecords.
• 	Make a musical arrangement of the work to the extent necessary to conform it to the style or
manner of interpretation of the performance involved.
You cannot engage in the following activities with the compulsory license. You will need to seek
permission from the copyright owner to:
• 	Make, reproduce, or distribute a sound recording publicly distributed in phonorecords.
• 	Distribute phonorecords intended for use in background music systems, jukeboxes, broadcast-
ing, or any other public use.
• 	Change the basic melody or fundamental character of the work in the arrangement.
• 	Claim copyright protection in your arrangement as a derivative work.
How Do I Obtain a Compulsory License?
In order to obtain a compulsory license to reproduce and distribute non-DPD phonorecords, you
must (1) serve a timely Notice of Intention to Obtain a Compulsory License (NOI), either on the
copyright owner or on the Copyright Office if the identity or address of the copyright owner is
unknown; and (2) when the copyright owner is known, make monthly royalty payments and pro-
vide monthly statements of account to the copyright owner.

Compulsory License for Making and Distributing Phonorecords	4
On Whom Do I Serve a Notice of Intention to Obtain a Compulsory License?
The recipient of an NOI will depend on whether the copyright owner’s identity and address are
revealed in the Copyright Office’s public records. If those records identify the copyright owner and
include an address at which notice can be served, you must serve the NOI on the copyright owner or
the owner’s authorized agent. Where a work has more than one copyright owner, service of an NOI
on any one of the co-owners or the authorized agent of one of the co-owners is sufficient. Where no
copyright owner is identified in the Office’s public records, or the public records do not include an
address at which notice can be served, you must instead file an NOI with the Office.
To determine whether the Office’s records identify a copyright owner, you can either search the
Office’s records or ask the Office to conduct a search for you. For more information about search-
ing the Office’s records, see How to Investigate the Copyright Status of a Work (Circular 22). For more
information on requesting a search conducted by the Office, see Obtaining Access to and Copies of
Copyright Office Records and Deposits (Circular 6).
NOTE: The name or address of a copyright owner may appear in the Office’s records subsequent to
your initial search of the records. Because royalty payments must be made after the owner is identi-
fied, you should periodically search the Office’s records to determine whether the copyright owner
has been identified.
When Do I Serve a Notice of Intention to Obtain a Compulsory License?
An NOI must be served before, or within thirty days after, making, and before distributing, any non-
DPD phonorecords of the work.
What Must Be Contained in a Notice of Intention to Obtain a Compulsory License?
The Office does not provide NOI forms to serve on copyright owners or authorized agents, or to use
to file a paper NOI with the Office. For NOIs filed with the Office electronically, the Office requires
a cover sheet and Excel templates. For detailed instructions on the required contents of an NOI, see
37 CFR § 201.18.
How Do I Serve a Notice of Intention to Obtain a Compulsory License on
a Copyright Owner?
Service must be made by sending the NOI to either the last address of the copyright owner shown in
the records of the Office or to a different address for the copyright owner or authorized agent known
to the licensee, subject to certain conditions. If the NOI is sent to the last address for the copyright
owner shown by the records of the Office and the NOI is returned to the sender because the copy-
right owner is no longer located at that address or has refused to accept delivery, the original NOI
must instead be filed with the Office with the required filing fee in accordance with the paper filing
instructions below. The NOI and filing fee must be accompanied by a brief statement that the NOI
was sent to the last address for the copyright owner shown by the records of the Copyright Office

Compulsory License for Making and Distributing Phonorecords	5
but was returned, and may be accompanied by appropriate evidence that the NOI was mailed to that
address. Returned NOIs cannot be filed with the Office electronically.
NOTE: You must send the NOI to the copyright owner. Only if the NOI is returned and you cannot
locate the owner can you can file the NOI with the Office. You do not need to serve a successfully
owner-served copy of a notice with the Office.
How Do I File a Notice of Intention to Obtain a Compulsory License with the
Copyright Office?
You may file an NOI to reproduce and distribute non-DPD phonorecords with the Office either on
paper or online.
The existing system for filing NOIs with the Copyright Office to obtain a compulsory license
for making and distributing phonorecords of nondramatic musical works on a song-by-song basis
will remain in place for non-digital uses (e.g., CDs, vinyl). However, the Office will no longer accept
NOIs for making a DPD of a musical work, such as in the form of a permanent download, limited
download, or interactive stream.
For information about NOIs for making and distributing DPDs, see Compulsory License for
Making and Distributing Digital Phonorecord Deliveries and Limitations on Liability Prior to the
License Availability Date, January 21, 2021 (Circular 73B).
By Paper
The Office accepts Notices of Intention to reproduce and distribute non-DPD phonorecords sent
with the required filing fee paid by check or deposit account to the following address:
Library of Congress
Copyright Office-LS
101 Independence Avenue SE
Washington, DC 20557-6400
The Licensing Section will acknowledge receipt of the filing. However, if certification of a document
is required, see Obtaining Access to and Copies of Copyright Office Records and Deposits (Circular 6) for
information and associated fees.
Online
The Office accepts electronic filings of NOIs to reproduce and distribute non-DPD phonorecords
that meet certain requirements and are paid for using a deposit account. The NOI must be created
using an Excel spreadsheet template provided by the Office, contain all information required by
Office regulations, contain identical information in the first thirteen columns, include an attestation
from the individual actually submitting the NOI to the Office, and be accompanied by a cover sheet.
Completed submissions should be sent to the Office at licensing115@copyright.gov. For detailed
instructions, cover form, and Excel spreadsheet, see the Office’s Section 115 NOI website.

Compulsory License for Making and Distributing Phonorecords	6
NOTE: Copyright Office fees are subject to change. For current fees, see Copyright Office Licensing
Section Service Fees (Circular 76), available on the Office’s website at www.copyright.gov or call the
Licensing Section at (202) 707-8150. For information about deposit accounts, see How to Open and
Maintain a Copyright Office Deposit Account (Circular 5).
The Licensing Section will acknowledge receipt of the filing. Upon confirmation that the
submission complies with all procedural requirements, the Licensing Section will also confirm that
the NOI has been successfully filed with the Office. All NOIs submitted electronically are made
publicly available on the Office’s website.
NOTE: The Office does not review NOIs for legal sufficiency, errors, or discrepancies.
When Are Royalty Payments Owed?
To be entitled to receive royalty payments under the compulsory license to reproduce and distribute
non-DPD phonorecords, the copyright owner must be identified in the certificate of registration for
the work or other public records of the Copyright Office.
How Do I Make Royalty Payments?
Royalty payments, accompanied by a monthly statement of account for reproduction and distribu-
tion of non-DPD phonorecords, must be sent to the copyright owner or authorized agent of the
owner on or before the twentieth day of each month for every phonorecord made and distributed in
accordance with the compulsory license. You must also send an annual statement of account to the
copyright owner. In certain circumstances, generally when a statement of account is undeliverable,
statements of account may be filed with the Office. In such circumstances, statements of account,
but not royalty payments, and other required documentation should be mailed to:
Library of Congress
Copyright Office-LS
101 Independence Avenue SE
Washington, DC 20557-6400
NOTE: The Office will not accept royalty fee payments submitted with the statements of account.
The Office does not provide forms for the monthly or annual statements of account. For detailed
instructions about the content of statements of account, see section 210 of Office regulations.
If the copyright owner does not receive monthly royalty payments and monthly and annual state-
ments of account when due, the copyright owner may give written notice to the licensee that, unless
the default is remedied within thirty days from the date of the notice, the compulsory license will be
automatically terminated.
For current copyright royalty rates under the compulsory license for making and distribut-
ing phonorecords, see Mechanical Copyright Royalty Rates or contact the Licensing Section of the
Copyright Office. The Copyright Royalty Board sets the rates and terms for use of the compulsory
licenses pursuant to an administrative proceeding. For more information, visit www.crb.gov.

Compulsory License for Making and Distributing Phonorecords	7
NOTE
1. This circular is intended as an overview of the section 115 compulsory license as it applies to
non-DPD phonograph deliveries. The authoritative source for U.S. copyright law is the Copyright Act,
codified in Title 17 of the United States Code. Copyright Office regulations are codified in Title 37 of
the Code of Federal Regulations. Copyright Office practices and procedures are summarized in the
third edition of the Compendium of U.S. Copyright Office Practices, cited as the Compendium. The
copyright law, regulations, and the Compendium are available on the Copyright Office website at
www.copyright.gov.

1 	U. S. Copyright Office · Library of Congress · 101 Independence Avenue SE · Washington, DC 20559 · copyright.govCIRCULAR 73A REVISED: 09 /2022 	PRINT: 00 /0000 — 0,000
For Further Information
By Internet
The copyright law, the Compendium, electronic registration, application forms, and related materials
are available from the Copyright Office website at www.copyright.gov.
By Email
To send a licensing related inquiry, e-mail licensing@copyright.gov. To send a general email inquiry,
click the Contact Us link on the Copyright Office website.
By Telephone
For licensing related information, call the Licensing Section at (202) 707-8150. For general infor-
mation about copyright, call the Copyright Public Information Office at (202) 707-3000 or 1-877-
476-0778 (toll free). Staff members are on duty from 8:30 am to 5:00 pm, eastern time, Monday
through Friday, except federal holidays. To request paper application forms or circulars by postal
mail, call (202) 707-9100 or 1-877-476-0778 (toll free) and leave a recorded message.
By Regular Mail
Write to
Library of Congress
Copyright Office-LS
101 Independence Avenue SE
Washington, DC 20557-6400