U.S. Copyright Office
Strategic Plan 2002-2006

Part  Performance Goals, Means, and Actions

1 -- Copyright Law Administration

Goal: Carry out the administrative functions of copyright and related laws embodied in title 17 to provide benefit to the public.

Objective 1.1: Registration

Provide a timely and effective system to register claims to copyright and other forms of intellectual property in title 17 and provide a public record of registrations.

Registration (section 408 of title 17) involves receiving copyright applications, deposited works and fees; ensuring proper payment and accounting for registration services; examining submitted works for copyrightability; issuing certificates of registration to copyright owners; and providing a public record of copyright ownership.

Performance Goal

The performance goal for this objective is to promote efficiency and timeliness in registration processing, to be measured by cycle times for the issuance of registration certificates and the preparation and making available of online records. These cycle times will be set in Annual Program Performance Plan targets.

Means

(See also the description of "Means" under Business Process Reengineering.)

The means to accomplish this objective include implementation of the BPR plan and maintenance of the Copyright Office Electronic Registration, Recordation and Deposit System (CORDS).

Among the BPR plan's key features for registration and accounts are:

• use of online registration applications with both electronic and hard copy deposits;

• up-front creation of claim-tracking records, permitting applicants to check claim status via the Internet;

• use of electronic data to create the initial public record;

• claims processing using electronic images of applications;

• one-time initial correspondence with the applicant on all issues or filing errors;

• automatic printing of registration certificates;

• availability of applications and registration information via the Internet;

• encouragement of payments via the Internet to be handled by third-party transactors (credit cards, electronic funds transfer [EFT]);

• account replenishment via electronic payments;

• availability of account information via the Internet with use of a secure personal identification number (PIN).

CORDS - The Copyright Office Electronic Registration, Recordation and Deposit System (CORDS) is the Copyright Office's existing project for electronic submissions. The U.S. Copyright Office, the Library of Congress, and the Corporation for National Research Initiatives (CNRI) have been cooperating on the development of the CORDS testbed. The goal of the CORDS project has been to develop and test a system for copyright registration with copyright applications and copies of works transmitted in digital form over communications networks such as the Internet. The electronic system enables copyright applicants to prepare their copyright applications and deposit materials in machine-readable formats, to sign their submissions digitally using public key encryption technology, and to send applications, deposits, and documents securely to the Copyright Office via the Internet. This system enables the Copyright Office to:

• receive digital submissions via the Internet;

• verify that each submission is authentic and complete;

• debit fees from the applicant's deposit account with the Copyright Office;

• create an electronic tracking record;

• acknowledge receipt of the application;

• provide for online processing of applications and deposits by examiners and catalogers;

• notify applicants electronically that the registration has been completed.

The system provides service to cooperating test partners wishing to submit textual and music files. Over 5 percent of current receipts are through CORDS. Future work on CORDS will be assessed as part of the IT strategy development and incorporated in, or modified for, the new IT systems as appropriate.

Actions

(See also Business Process Reengineering )

FY2002

• Complete the ongoing Backlog Reduction Effort in the Examining Division to reach 6 week throughput time.

• Decrease the number of uncataloged registrations on hand in the Cataloging Division.

• Convert CORDS to standard Library of Congress software and transfer maintenance and system operations to the Library.

FY2002-2004

• Implement BPR plans for "Register Claim" process.

FY2002-2006

• Reduce cycle times toward targets in BPR plans for issuance of registration certificates and creation of records.

Objective 1.2: Recordation

Provide a timely and effective system to record documents assigning rights relating to copyright and other title 17 protections and prepare a public record of these actions.

Recordation (section 205) involves making a public record of documents relating to a copyright, primarily transfers of ownership and security interests. The process includes receiving documents, verifying that documents are recordable, issuing certificates of recordation, providing a public record of such ownership, and collecting fees for recordation services.

Performance Goal

The performance goal for this objective is to promote efficiency and timeliness in recordation processing, to be measured by cycle times for issuing recordation certificates, returning original documents to submitters, and preparing and making available public online records. These cycle times will be set in the Annual Program Performance Plan targets.

Means

(See also the description of "Means" under Business Process Reengineering.)

The means to accomplish this objective include implementation of the BPR plan. Among the BPR plan's key features for recordation are:

• up-front creation of a tracking record;

• use of scanning and creation of the catalog record from electronic information;

• simplified fee structure;

• allowing submitters to check status via the Internet;

• use of e-mail correspondence;

• making the recordation certificate available via the Internet.

Actions

(See also Business Process Reengineering.)

FY2002-2004

Implement BPR plan for "Record Document" process.

FY2002-2006

Reduce cycle times toward targets in BPR plans for recordations and creation of records.

Objective 1.3: Mandatory Deposit

Provide a timely and effective system for non-registered deposit of published copyrighted works to the Library of Congress to sustain the high quality of its collections.

Mandatory deposit (section 407) provides for the deposit of copyrighted works for the use of the Library of Congress, without copyright registration. The process includes receiving requests from Library Recommending Officers; communicating with publishers and copyright owners, in particular where the Library wants a copyright owner's works, but the owner has not deposited them; issuing request and demand letters; receiving deposited works; and creating a record of the works received through voluntary and demand deposit.

Performance Goal

The performance goal of this objective is to promote effective processing of mandatory deposits and compliance with mandatory deposit provisions of title 17, to be measured by optimum processing times, monitoring and ensuring depository compliance through systematic reviews of copyright owners, and follow-up monitorings.

Means

(See also the description of "Means" under Business Process Reengineering.)

The means to accomplish this objective include implementation of the BPR plan. Among the BPR plan's key features for mandatory deposit are:

• up-front creation of a tracking record;

• ability to conduct a single search of Library of Congress and Copyright Office databases;

• sending automatic reminder notices to copyright owners;

• automated check-in of deposited works;

• use of e-mail correspondence.

The Office will also continue communication with copyright owners to promote voluntary compliance and refer to the Department of Justice for legal action those cases of repeated non-compliance.

Actions

(See also Business Process Reengineering.)

FY2002-2006

• Conduct regular compliance reviews and follow-up monitorings of publishers.

• Reduce cycle times toward targets in BPR plans for processing and creating records.

FY2002-2004

• Implement BPR plan for "Acquire Deposit" process.

Objective 1.4: Statutory Licenses and Obligations and the CARP System

Administer title 17 licensing provisions and ensure timely and effective receipt and distribution of royalties.

Statutory licenses (Chapters 1 and 10 of title 17) involve receiving and disbursing royalty funds and recording licensing documents, in accordance with statutory licenses and obligations, and maintaining public records relating to such royalty funds. The Office oversees the administration of the following licenses and statutory obligation:

• statutory license for secondary transmissions by cable systems (section 111);

• statutory license for making ephemeral recordings (section 112)

• statutory license for the public performance of sound recordings by means of a digital audio transmission (section 114)

• statutory license for making and distributing phonorecords (section 115)

• negotiated statutory license for public performances on coin-operated phonorecord players (section 116)

• statutory license for the use of certain works in connection with noncommercial broadcasting (section 118)

• statutory license for secondary transmissions by satellite carriers for private home viewing (section 119)

• statutory license for secondary transmissions by satellite carriers for local retransmissions (section 122)

• statutory obligation for distribution of digital audio recording devices and media (chapter 10)

The Office also oversees Copyright Arbitration Royalty Panels (CARPs), which determine rates and terms of the compulsory licenses and distribution of royalties for certain of the compulsory licenses, subject to the recommendation of the Register of Copyrights and the final determination of the Librarian of Congress.

Performance Goal

The performance goal for this objective is to administer provisions of the statutory licenses for the mutual benefit of licensees and copyright owners by timely processing, accurate examination of statements of account, efficient cycle times, sound financial management, and on-time fund transfers.

Means

The means to accomplish this objective include:

• providing for the electronic submission of documents;

• providing for electronic payment of royalty fees and increasing numbers of electronic funds transfers (EFT) versus paper remittances to the royalty pool by requiring payment by EFT above a specified amount. [EFT payments provide remitters the ability to transfer funds closer to the due date without fear of incurring interest assessments for late payments. Problems with lost checks and mail processing are eliminated. Copyright owners accrue more interest on the funds since the monies go directly to the Department of the Treasury without a processing lag time. The Office benefits by reducing administrative workload, lessening paperwork and related administrative costs, and improving reporting and auditing control of royalty fees.];

• determining and implementing other specific process improvements in licensing administration and the CARP process;

• holding CARP proceedings as necessary when parties are unable to agree on a distribution formula.

Actions

FY2002

• Identify opportunities for licensing public service improvements through the Office's Information Technology initiative.

• Implement use of the U.S. Treasury Department's "Pay.gov" program, a package of electronic financial services to assist agencies with collections, forms submissions, authentication, and agency reporting.

• Complete a regulation requiring submission of payments to the royalty pool via EFT for all remittances of $5,000 or more.

FY2002-2006

• Phase in the implementation of optional electronic submission of forms.

Evaluative Methods for Goal 1

• Measurement of throughput time from receipt in the Office to delivery of customer products, such as certificates, online records, acquisition of mandatory deposits, processing of royalty payments and licensing documents, and so forth.

• User surveys regarding current and new services.

2 -- Policy Assistance, Regulatory Activities, and Litigation

Goal: Formulate and provide expert advice to Congress, executive branch agencies, courts, and international entities in furtherance of maintaining a strong and effective national and international copyright system.

Objective 2.1: Expert Advice (Congress)

Serve the needs of Congress for expert assistance on copyright and related issues.

Performance Goal

The performance goal for this objective is to provide thorough and timely technical and legal advice on copyright issues, meeting congressional requests and timetables.

Means

The means to accomplish this objective include:

• analysis of legislative proposals and emerging issues;

• testimony at congressional hearings;

• drafting of legislation;

• studies of copyright and related issues;

• convening parties to define issues and identify areas of agreement.

Actions

FY2002-2006

• Provide assistance to Members and Committees in the form and within the time frames requested.

FY2003

• Prepare an evaluation of the effects of the Vessel Hull Design Protection Act as required by law.

Objective 2.2: Expert Advice (Executive Branch)

Provide policy and technical assistance to the executive branch in international and national copyright matters to encourage effective copyright laws and enforcement nationally and internationally.

Performance Goal

The performance goal for this objective is to provide thorough and timely expert advice on international and domestic copyright issues to executive branch agencies.

Means

The means to accomplish this objective include:

• analysis of copyright and related issues;

• regular consultation with executive branch agencies on current and expected intellectual property concerns;

• attendance at meetings and conferences of international organizations as part of U.S. delegations;

• conducting annual International Copyright Institute training programs and technical assistance to foreign copyright officials.

Four areas of international activity support accomplishment of this objective:

Multilateral negotiations

• World Intellectual Property Organization (WIPO) treaty negotiations and experts meetings, as members of the U.S. delegation;

• World Trade Organization (WTO) negotiations;

• Hague Convention on Jurisdiction and Foreign Judgments in Civil and Commercial Matters (hereafter called the Hague Convention);

• Intergovernmental Committee of the Universal Copyright Convention (UCC), administered by UNESCO, to oversee accessions to the UCC.

Trade agreements

The Copyright Office participates in the development and implementation of WTO obligations, the ongoing work of WIPO, and the WTO Council on TRIPS (Trade Related aspects of Intellectual Property rights). Included are meetings on the protection of folklore, databases, and broadcasters, as well as the continuing effort to review the intellectual property laws of developing country members for compliance with TRIPS obligations.

Copyright Office policy and international staff are members of the U.S. delegations to the Intellectual Property Negotiating Group of the Free Trade Area of the Americas. The goal of the negotiating group is to prepare and finalize an IP chapter for a Free Trade Area of the Americas Agreement. Staff were instrumental in drafting U.S. treaty proposals.

The Office is participating in the drafting and negotiation of intellectual property provisions for free-trade agreements with Chile and Singapore.

Bilateral consultations and negotiations

The United States interacts with individual countries in two areas that may result in Copyright Office involvement: trade agreements in which there is an intellectual property component and discussions and agreements focused on intellectual property issues, including level of enforcement.

Special 301

The U.S. government reviews countries' intellectual property protections. The Copyright Office is on the interagency Special 301 Committee, which considers and evaluates the adequacy and effectiveness of intellectual property protection and enforcement throughout the world.

Actions

Most actions require multi-year participation in negotiations.

FY 2002-2006

• Participate in the Part Two Diplomatic Conference of the Hague Convention.

• Participate in multi-year treaty negotiations on the Free Trade Area of the Americas.

• Participate at WIPO in negotiations for a treaty on broadcaster's rights and experts meetings on other topics, e.g. protection of noncopyrightable databases, folklore.

Unscheduled (these actions may be necessary)

• Participate in any new diplomatic conferences to conclude a treaty relating to audiovisual performers.

• Provide advice and participate in negotiations on treaties for database protection (contingent on Congress passing legislation that covers database protection).

• Participate in any new round of WTO negotiations that includes intellectual property.

Objective 2.3: Rulemaking and Regulations

Carry out responsibilities mandated by Congress by conducting rulemaking proceedings, adopting necessary regulations to implement title 17, and informing the public.

Performance Goal

The performance goal for this objective is to fulfill the Copyright Office's general regulatory role as specified in title 17 or in specific copyright legislation according to timetables set by Congress.

Title 17 U.S.C. places numerous regulatory responsibilities on the Copyright Office. As title 17 is amended, new responsibilities are added. For example, the Digital Millennium Copyright Act (DMCA) created ongoing regulatory duties for the Copyright Office. The major ongoing regulatory requirements are contained in Chapter 12 of the copyright statute, which addresses technological protection and management systems for copyrighted works. Section 1201(a)(1) makes it unlawful to circumvent a technological measure that effectively controls access to a copyrighted work. However, the prohibition against circumvention does not apply to users of a copyrighted work that is in a particular class of works if those users are, or are likely to be in the succeeding 3-year period, adversely affected by the prohibition in their ability to make noninfringing uses of that particular class of works. The determination of what classes of works, if any, are subject to this exception is made by the Librarian of Congress on the recommendation of the Register of Copyrights, who conducts a rulemaking proceeding to identify any such classes of works. The initial rulemaking was completed on October 27, 2000. A rulemaking must be conducted every three years, with preliminary work in the intervening years.

Means

The means to accomplish this objective include:

• ongoing monitoring of the development and use of technological measures used to protect copyrighted works;

• ongoing performance of all regulatory activity;

• preparing and publishing notices of inquiry and notices of proposed rulemaking seeking comments;

• announcing hearings in the Federal Register and conducting such hearings; issuing interim and final regulations.

Actions

FY2002-2006

• Follow standard procedures for issuance of regulations for any new responsibilities set by Congress.
• Follow standard procedures for review and amendment to existing regulations.
• Complete work on pending rulemakings.
• Initiate all necessary new rulemakings.

FY2002

• Prepare a Notice of Inquiry regarding the statutory rulemaking on section 1201(a)(1).

FY2003-FY2004 and every successive third year

• Complete required statutory rulemaking on section 1201(a)(1).

Objective 2.4: Litigation

Assist the executive branch and the courts with copyright and related litigation.

Performance Goal

The performance goal for this objective is to provide timely and thorough advice and assistance to executive branch agencies and the courts in legal cases involving copyright and related issues.

Means

The means to accomplish this objective include involvement in litigation in five different contexts:

• when asked to assist the Department of Justice in defending a lawsuit in which the constitutionality of a federal copyright or related (title 17) statute is challenged;
• on the rare occasion when the Office is sued under the Administrative Procedure Act;
• when the Office elects to intervene, pursuant to 17 U.S.C. section 411(a), in a copyright infringement suit filed by a claimant whose application for copyright registration has been refused;
• when the Department of Justice files suit pursuant to 17 U.S.C. section 407 to compel the deposit in the Copyright Office of a copyrighted work published in the United States;
• when the Office works with the Department of Justice in connection with an amicus curiae brief in litigation involving important issues of copyright law and policy.

Actions

FY2002-2006

• Provide legal assistance in a timely and effective manner.

Evaluative Methods for Goal 2

• Formal and informal input from Congress and executive branch agencies.

• Timely completions of requested actions and legal requirements.

• Accomplishment of U.S. government objectives in international activities, including negotiations.

• Meeting statutory deadlines for section 1201(a) and other rulemakings.

3 -- Public Information and Education

Goal: Be an effective voice for the principles of copyright, which benefit the public, by providing information and informing the public debate on copyright issues.

Objective 3.1: Provision of Information

Provide copyright information and reference services to the public in a timely and efficient manner.

Performance Goal

The performance goal for this objective is to make information maximally accessible, particularly on the Office's website, and to respond within optimum time frames to requests for copyright information, records, documents, and search reports.

Means

(See also the description of "Means" under Business Process Reengineering.)

The means to accomplish this objective include implementation of the BPR plan. Among the BPR plan's key features for public information are:

• optimizing the Copyright Office Website's design and usability, including use for public education on the copyright law, registration, and other copyright services;

• recording and tracking all requests electronically;

• allowing customers to check request status via the Internet;

• use of e-mail to answer requests;

• determining ways to educate and assist the public to prepare complete and correct submissions for registration and other services.

The Office will continue to improve its response to in-person and telephone requests.

Actions

FY2002

• Provide a new organizational structure and user-friendly navigational tools for the Copyright Office Website.

FY2002-2004

• Implement BPR plans for the "Answer Request" process.

Objective 3.2: Outreach

Provide public outreach through speakers, tours, exhibits, and other means.

Performance Goal

The performance goal for this objective is to conduct public outreach regarding Copyright Office services and the provisions of the copyright law, as well as to inform the public debate on copyright issues in various forums and media.

Means

The means to accomplish this objective include:

· continued public outreach on ways to ensure that the Copyright Office's principal services are meeting the needs of the public, e.g. meetings with copyright constituencies to resolve registration issues for specific formats such as photographs, web sites, databases, etc.;

· increased public outreach to inform the public debate on copyright law and the role of copyright in the digital age, e.g. use of senior policy staff as participants in the public debate on copyright principles through speaking and writing on copyright issues.

Actions

FY2002-2006

• Identify opportunities for effective outreach to audiences throughout the country and respond to requests to participate in public forums on copyright issues and programs in copyright education.

Evaluative Methods for Goal 3

• Measurement of timely answers to inquiries.

• User surveys.

• Analysis of approaches to copyright law and the media.

4 -- Management

Goal: Maintain an organization and workforce that perform effectively.

Objective 4.1: Workforce Development

Recruit, train, and develop employees for effective performance.

Performance Goal

The performance goal for this objective is to maintain a Copyright Office workforce that meets the Office's mission requirements by providing training and development opportunities for staff.

Means

The means to accomplish this objective include:

• determination of training needs;

• training competency criteria for managers and supervisors;

• online and classroom courses in needed areas.

• succession planning to perform timely recruitment and retain institutional knowledge;

• consultation with labor organizations.

Actions

(See also Business Process Reengineering.)

FY2002

• Determine career and training needs of Copyright Office employees, especially in relation to BPR.

• Train managers to develop position descriptions and write performance requirements.

FY2000-2005

• Develop a core curriculum for staff and managers, which new employees would complete within a set time period.

• Complete and implement training plans and requirements as called for in the BPR implementation plan.

Objective 4.2: Management Controls and Support

Maintain effective management controls and support to comply with applicable laws, to safeguard assets, to provide proper funds accounting, and to carry out efficient, effective, and economical copyright programs.

Performance Goal

The performance goal for this objective is to make optimal use of management controls and support options to ensure efficient and fiscally sound operations.

Means

The means to accomplish this objective include:

• Planning: Completing and disseminating strategic and annual program performance plans to focus team and individual performance on key Copyright Office initiatives and annually reviewing the Office mission and performance measures;

• Financial Management: Preparing the Copyright Office budget, assuring that the Office operates within allotted funds, meets Congressional and Library of Congress reporting requirements, and accords with the Strategic Plan and Annual Program Performance Plans;

• Management Controls: Using periodic vulnerability assessments, management control reviews, and corrective action plans to ensure effective copyright programs;

• Organization and Personnel: Effectively managing personnel matters, reviewing Office organization on an ongoing basis, and collaborating with the Library's Human Resources Directorate to meet human resource requirements.

• Security of Assets: In accordance with the Library Security Plan and risk assessments, taking appropriate measures to mitigate control weaknesses and meet security standards.

Actions

FY2002-2006 (to be performed annually)

• Complete targeted numbers of management control reviews, completing all Copyright Office modules by 2004, and reviewing all management controls at scheduled intervals.

• Resolve the majority of corrective actions within a year of discovery.

• Prepare annual program performance plans in consultation with the Copyright Office management team and Library of Congress Service Units and infrastructure support.

• Tie annual program performance plans to manager and division plans.

• Manage the Copyright Office budget within allotted funds.

• Review and analyze losses of assets; apply ownership markings, item bar-code labels, and security devices; transport and store high-risk materials securely; comply with Reader Registration Program provisions.

FY2002

• Train staff in current material-handling standards and procedures.

• Train staff in the application of ownership markings.

• Investigate additional security measures in Records Maintenance Unit and take necessary action.

• Secure and preserve items on display in copyright exhibits.

• Complete a Business Continuity Plan.

FY2002-2004

• Implement organizational changes according to the BPR implementation plan.

FY2003-2006

• Review and update the Strategic Plan.

• Install video cameras in selected areas as required.

• Install electronic card readers for access.

Objective 4.3: Workplace Safety and Functionality

Ensure effective maintenance of safety, functionality, and personal security in the workplace.

Performance Goal

The performance goal for this objective is to implement the requirements of Library of Congress ergonomic, safety, and facility plans by timely completion of ergonomic upgrades, correction of safety issues, and completion of space and furnishing priorities.

Means

The means to accomplish this objective include:

• ensuring that all staff have access to ergonomic assessments for their work site and that requested ergonomic furnishings and equipment are obtained and installed as resources permit;

• complying with Library of Congress regulations on safety and hazard abatement, correcting identified unsafe conditions or hazards;

• ensuring that evacuation teams and staff are fully trained in emergency procedures and that all staff participate in scheduled evacuation drills;

• ensuring that space requirements are met by inclusion of priority Office projects in Library of Congress space plans;

• ensuring that the workplace environment provides staff the highest possible assurance of personal security by disseminating and complying with Library of Congress regulations and special announcements on personal security; training staff to deal with workplace violence; restricting access to work and public areas to authorized persons; heightening staff awareness of potential terrorist activities;

• correcting all deficiencies discovered during health and safety inspections or ergonomic assessments;

• consulting with labor organizations.

Actions

FY2002

• Complete baseline space assessment for reorganization under BPR.

• Implement plans for restructuring and readiness of Copyright Office evacuation teams.

FY2002-2004

• Complete installation of ergonomic furniture upgrades.

FY2003-2004

• Work with the Library's Facility Services and the Architect of the Capitol to accomplish all space reconfigurations in accord with BPR implementation plan requirements.

FY2003-2006

• Install electronic card readers for access.

Evaluative Methods for Goal 4

• Percentage of training needs met in a timely manner.

• Control reviews without material weaknesses or reportable conditions.

• Percentage of total workstations that are ergonomically designed. ·

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