U.S. Copyright Office
Freedom of Information Act, Annual Report
Fiscal Year 2006

I. Basic Information Regarding Report

A.  Name, title, address, and telephone number of person(s) to be contacted with questions about the report

Peter Vankevich, FOIA Public Liaison
GC/I&R, P.O. Box 70400,
Washington, DC 20024

Telephone: (202) 707-0600
FAX: (202) 707-6859

B.  Electronic address for report on the World Wide Web

http://www.copyright.gov/foia

C.  How to obtain a copy of the report in paper form

Contact Mr. Vankevich at the address or telephone number listed in part I.A. above.

II. How to Make a FOIA Request

A.  Names, addresses, and telephone numbers of all individual agency components and offices that receive FOIA requests

This information is available on the Copyright Office's website listed in part I.B. above.

B.  Brief description of the agency's response-time ranges

The median response time for responding to initial requests in FY 2006 was 2 working days.

C.  Brief description of why some requests may not be granted

The Copyright Office (CO) is unable to grant a request for information that is not contained within its records. Similarly, although the CO is a service unit within the Library of Congress (LOC), it is unable to grant requests with respect to information about the LOC’s operations, and thus forwards such requests directly to the LOC. During FY 2006, the CO received 3 requests for information not contained in the CO’s records and 11 requests that it referred to the LOC. The CO does not grant FOIA requests for information that the CO already makes publicly available pursuant to 17 U.S.C. §§ 705 - 707 and 37 C.F.R. § 201.2 (Information given by the Copyright Office). The CO received 17 such requests in FY 2006, and provided the requesters with information about their ability both to perform a free search of copyright registrations and related records and to request the CO to perform a search of such records for a fee. The CO may withhold some requested records under the applicable and specified exemptions.

III. Definitions of Terms and Acronyms Used in the Report

A.  Agency-specific acronyms or other terms

1. CO — United States Copyright Office

2. LOC — Library of Congress

B.  Basic terms, expressed in common terminology

1. FOIA/PA request — a Freedom of Information Act/Privacy Act request. A FOIA request is generally a request for access to records concerning a third party, an organization, or a particular topic of interest. A request made under the related Privacy Act is a request for records concerning oneself; any such requests received are treated as FOIA requests. All requests for access to records under the FOIA or Privacy Act are covered by this report.

2. Initial request — a request to a federal agency for access to records under the Freedom of Information Act.

3. Appeal — a request to a federal agency asking that it review at a higher administrative level a full or partial denial of access to records under the Freedom of Information Act, or any other FOIA determination such as a matter pertaining to fees.

4. Processed Request or Appeal — a request or appeal for which an agency has taken a final action in all respects on the request or the appeal.

5. Multi-track processing — a system in which simple requests requiring relatively minimal review are placed in one processing track and more voluminous and complex requests are placed in one or more other tracks. Requests in each track are processed on a first-in/first-out basis. A requester who has an urgent need for records may request expedited processing (see below).

6. Expedited processing — an agency will process a FOIA request on an expedited basis when a requester has shown an exceptional need or urgency for the records which warrants prioritization of his or her request over other requests that were made earlier.

7. Simple request — a FOIA request that an agency using multi-track processing places in its fastest (non-expedited) track based on the volume and/or simplicity of records requested.

8. Complex request — a FOIA request that an agency using multi-track processing places in a slower track based on the volume and/or complexity of records requested.

9. Grant — an agency decision to disclose all records in full in response to a FOIA request.

10. Partial grant — an agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more of the FOIA’s exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.

11. Denial — an agency decision not to release any part of a record or records in response to a FOIA request because the agency determines all the information in the requested records is exempt under one or more of the FOIA exemptions, or for a procedural reason, such as because no record is located in response to a FOIA request.

12. Time limits — the time period in the Freedom of Information Act for an agency to respond to a FOIA request, (ordinarily 20 working days from proper receipt of a “perfected” FOIA request).

13. “Perfected” request — a FOIA request for records which adequately describes the records sought, which has been received by the FOIA office of the agency or agency component in possession of the records, and for which there is no remaining question about the payment of applicable fees.

14. Exemption 3 statute — a separate federal statute prohibiting the disclosure of a certain type of information and authorizing its withholding under FOIA subsection (b)(3).

15. Median number — the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.

16. Average number — the number obtained by dividing the sum of a group of numbers by the quantity of numbers in the group. For example, of 3, 7, and 14, the average number is 8.

IV. Exemption 3 Statutes

A.  List of exemption 3 statutes the agency may have relied upon in FY 2006

None

V. Initial FOIA/Privacy Act Access Requests

A.  Numbers of initial requests

1. Number of requests pending as of beginning of FY 2006: 0

2. Number of requests received during FY 2006: 39

3. Number of requests processed during FY 2006: 39

4. Number of requests pending as of end of FY 2006: 0

B.  Disposition of initial requests

1. Number of total grants: 6

2. Number of partial grants: 2

3. Number of denials: 0

   a. Number of times each FOIA exemption used (counting each exemption once per request, but multiple exemptions may apply to one request):

(1) Exemption 1: 0

(2) Exemption 2: 0

(3) Exemption 3: 0

(4) Exemption 4: 0

(5) Exemption 5: 0

(6) Exemption 6: 0

(7) Exemption 7(A): 0

(8) Exemption 7(B): 0

(9) Exemption 7(C): 0

(10) Exemption 7(D): 0

(11) Exemption 7(E): 0

(12) Exemption 7(F): 0

(13) Exemption 8: 0

(14) Exemption 9: 0

4. Other reasons for non-disclosure (total): 31
   1. No records: 0
   2. Referrals: 11
   3. Request withdrawn: 0
   4. Fee-related reason: 0
   5. Records not reasonably described: 0
   6. Not a proper FOIA request for some other reason: 0
   7. Not an agency record: 3
   8. Duplicate request: 0
   9. Other: 17
      The CO does not grant FOIA requests for copyright registrations and related information that the CO already makes publicly available pursuant to 17 U.S.C. §§ 705 - 707 and 37 C.F.R. § 201.2 (Information Given by the Copyright Office). The CO received 17 such requests in FY 2006 under the FOIA, and provided the requesters with information about their ability both to perform a free search of copyright registrations and related records and to request the CO to perform a search of such records for a fee.

VI. Appeals of Initial Denials of FOIA/PA Requests

A.  Number of appeals

1. Number of appeals received during FY 2006: 0

2. Number of appeals processed during fiscal year: 1

B.  Disposition of appeals

1. Number completely upheld: 0

2. Number partially reversed: 1

3. Number completely reversed: 0

1. Number of times each FOIA exemption used (counting each exemption once per appeal, but multiple exemptions may apply to one appeal):

(1) Exemption 1: 0

(2) Exemption 2: 0

(3) Exemption 3: 0

(4) Exemption 4: 0

(5) Exemption 5: 1

(6) Exemption 6: 1

(7) Exemption 7(A): 0

(8) Exemption 7(B): 0

(9) Exemption 7(C): 0

(10) Exemption 7(D): 0

(11) Exemption 7(E): 0

(12) Exemption 7(F): 0

(13) Exemption 8: 0

(14) Exemption 9: 0

4. Other reasons for non-disclosure (total): 0
   1. No records: 0
   2. Referrals: 0
   3. Request withdrawn: 0
   4. Fee-related reason: 0
   5. Records not reasonably described: 0
   6. Not a proper FOIA request for some other reason: 0
   7. Not an agency record: 0
   8. Duplicate request: 0
   9. Other: 0

VII. Compliance with Time Limits/Status of Pending Requests

A.  Median processing time for requests processed during the year

1. Simple requests (if multiple tracks used)
   1. Number of requests processed: Not applicable (multiple tracks not used)
   2. Median number of days to process: Not applicable (multiple tracks not used)
2. Complex requests (specify for tracks used)
   1. Number of requests processed: Not applicable (multiple tracks not used)
   2. Median number of days to process: Not applicable (multiple tracks not used)
3. All requests (both simple and complex)
   1. Number of requests processed: 39
   2. Median number of working days to process: 2
4. Requests accorded expedited processing
   1. Number of requests processed: 0
   2. Median number of days to process: Not applicable

B.  Status of pending requests

1. Number of requests pending at end of FY 2006: 0

2. Median number of working days that such requests were pending at that date: Not applicable

VIII. Comparison with previous years

A.  Comparison of numbers of requests received

FY 2005: 50

FY 2006: 39

B.  Comparison of numbers of requests processed

FY 2005: 51

FY 2006: 39

C.  Comparison of median numbers of days requests were pending as of end of fiscal year

FY 2005: 0

FY 2006: 0

D.  Requests for expedited processing:

1. Number of requests for expedited processing received: 0
2. Number of requests for expedited processing granted: Not applicable

IX. Costs/FOIA Staffing

A.  Staffing levels

1. Number of full-time FOIA personnel: 0

2. Number of personnel with part-time or occasional FOIA duties expressed in total work years: 0.12

3. Total number of personnel (expressed in total work years): 0.12

B.  Total costs (including staff and all resources)

1. FOIA processing including appeals: $10,500

2. Litigation-related activities: $0

3. Total costs: approximately $10,500

X. Fees

A.  Total fees collected by agency for processing requests in FY 2006:

$0

B.  Percentage of total costs:

0%

XI. FOIA Regulations

The Copyright Office’s regulations relating to the FOIA are located at 37 C.F.R. Part 203. Regulations relating to the Privacy Act are located at 37 C.F.R. Part 204. See, http://www.copyright.gov/title37.

XII. Report on FOIA Executive Order Implementation

A. Description of supplementation/modification of agency improvement plan (if applicable)

Not applicable. The Copyright Office has not supplemented or modified its improvement plan this fiscal year.

B. Report on agency implementation of its plan, including its performance in meeting milestones, with respect to each improvement area

The Copyright Office has met all milestones set forth in its improvement plan to be completed by December 31, 2006. Specifically, with respect to further improving its ability to track FOIA requests efficiently and accurately, the Office has incorporated the following measures into its routine processes: including on all FOIA response letters the Copyright Office’s internal FOIA tracking number for the applicable request; stapling associated envelopes to incoming requests to aid in investigating receipt dates and questions of proper addressing; using an electronic calendaring system for all due dates; and scanning all response letters for easier access and tracking in the future.

With respect to reducing public confusion as to requests that are properly addressed to the Copyright Office and those that should be addressed to the Library of Congress, the Copyright Office has included a relevant explanation on its website. The Office also requested the Department of Justice to designate on its FOIA indexes the Copyright Office itself as an entity which is subject to the FOIA, and not to index the Copyright Office as the Library of Congress, which is not subject to the FOIA. The Department has implemented this revision.

To improve the public’s understanding of the documents that the Office makes publicly available without the necessity of filing a FOIA request and the procedures by which to obtain these documents, the Office has identified such documents on its website and provided links either to the records themselves, to information circulars which explain the procedures by which to obtain these documents and/or to the associated explanatory regulations. The Office also includes this information with its FOIA response letters in addition to providing the requester with the URL of the Copyright Office’s FOIA website and the phone number of the FOIA Requester Service Center. The Office has also updated its website to inform the public to send all FOIA requests directly to the attention of the FOIA Requester Service Center.

C. Identification and discussion of any deficiency in meeting plan milestones (if applicable)

Not applicable. The Copyright Office has not experienced any deficiency in meeting plan milestones.

D. Additional narrative statement regarding other executive order-related activities (optional)

The Copyright Office has started work on implementing milestones slated for Fiscal Year 2007.

E. Concise descriptions of FOIA exemptions

The FOIA provides access to all federal agency records (or portions of those records), except for those records that are withheld under any of nine exemptions or three exclusions (i.e., the reasons for which an agency may withhold records from a requester). The exemptions authorize federal agencies to withhold information covering: (1) classified national defense and foreign relations information; (2) internal agency rules and practices; (3) information that is prohibited from disclosure by another federal law; (4) trade secrets and other confidential business information; (5) inter-agency or intra-agency communications that are protected by legal privileges; (6) information involving matters of personal privacy; (7) records or information compiled for law enforcement purposes, to the extent that the production of those records (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, (E) would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or (F) could reasonably be expected to endanger the life or physical safety of any individual; (8) information relating to the supervision of financial institutions; and (9) geological information on wells. The exemptions most often relevant to Copyright Office records are Exemptions 5 and 6. The three exclusions, which are rarely used, pertain to especially sensitive law enforcement and national security matters.

F. Additional statistics

1. Time range of requests pending, by date of request (or, where applicable, by date of referral from another agency):

One request pending, received January 25, 2007.

2. Time range of consultations pending with other agencies, by date of initial interagency communications:

None Pending

G. Attachment: Agency improvement plan (in current form)

The Copyright Office’s improvement plan is located at http://www.copyright.gov/foia/foia_exec_13392.html.