OBTAINING INFORMATION UNDER THE 

FREEDOM OF INFORMATION ACT

Farm Credit Administration

1501 Farm Credit Drive

McLean, VA 22102-5090

http://www.fca.gov

FOIA Officer: Bob Taylor

(703) 883-4129

fax: (703) 790-0052

e-mail: taylorr@fca.gov

foiaofficer@fca.gov

Counsel to FOIA Officer: Jane Virga

(703) 883-4071

fax: (703) 790-0052

e-mail: virgaj@fca.gov
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Farm Credit Administration

The Farm Credit Administration (FCA) is an independent agency in the executive branch of the United States Government. It 

is responsible for the regulation and examination of Farm Credit Banks, Agricultural Credit Associations, Production Credit 

Associations, Federal Land Credit Associations, and other related entities that collectively comprise what is known as the Farm 

Credit System (System). System institutions are cooperatives that furnish credit and closely related services to farmers, ranchers, producers, and harvesters of aquatic products, and to their cooperatives and farm related businesses. Initially created by an 

Executive Order of the President in 1933, the FCA now derives its powers and authorities from the Farm Credit Act of 1971, 

as amended (Act), 12 U.S.C. §§ 2001 et seq. The FCA promulgates regulations to implement the Act and examines System 

institutions for compliance with applicable statutes, regulations, and safe and sound banking practices.

The FCA’s authority is generally commensurate with other Federal financial regulators. The FCA’s policy is determined by a 

full-time 3-person board whose members are appointed by the President with the advice and consent of the United States Senate. 

The President designates 1 of the members as the chairman of the board. The chairman also serves as the FCA’s chief executive officer. The FCA is not a System institution and is not authorized to and does not make or guarantee loans or manage the 

routine business activities of System institutions.

System institutions do not accept deposits. They obtain funds from the sale of bonds and from the sale of stock that borrowers 

must purchase in order to obtain a loan. System institutions meet the unique credit needs of the agricultural community and 

promote borrower ownership, management, and control. System institutions, which are federally regulated instrumentalities of 

the United States, are not Federal agencies and, thus, are not subject to the FOIA.

A list of the categories of FCA records, some of which are available either in part or in whole for release to the public, are published on the back page of this handbook.

The Freedom of Information Act

The Freedom of Information Act, 5 U.S.C. § 552 (FOIA), generally provides that any person has a right enforceable in court, 

of access to Federal “agency records,” except to the extent that such records, or portions thereof, are protected from disclosure 

by one of the FOIA exemptions. This Handbook is intended to help the public understand the FOIA. It is not intended to effect 

any persons’ rights under the FOIA.

Agency records are documentary materials, such as books, papers, maps, photographs, and machine-readable materials, regardless 

of physical form or characteristics (e.g., electronic form or format), in the FCA’s possession and control at the time the FOIA 

request is made. The following are not included within the definition of “agency record”:

Objects or articles, such as structures, furniture, vehicles, and equipment, whatever their historical value, or value as evidence.

Anything that is not a tangible or documentary record, such as an individual’s memory or oral communication.

Personal records of an individual not subject to agency creation or retention requirements, created and maintained primarily 

for the convenience of an agency employee, and not distributed to other agency employees for their official use.

Information stored within a computer for which there is no existing computer program for retrieval of the requested information.

Hard copy or electronic records that are available to the public through an established distribution system.

OBTAINING INFORMATION UNDER THE FREEDOM OF 

INFORMATION ACT

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The basic purpose of the FOIA is to ensure an informed citizenry, vital to the functioning of a democratic society. Society’s 

interest in open government can conflict with other important interests of the general public — such as the public’s interests 

in the effective and efficient operations of government and in the preservation of the confidentiality of sensitive, personal, 

commercial, and governmental information. The FOIA seeks to accomplish the goals of ensuring responsible disclosure and 

appropriately protecting all interests.

The FCA’s FOIA regulations, found at 12 C.F.R. Part 602, are at Appendix I. 

The FOIA Exemptions

A brief discussion of the FOIA exemptions follow:

Exemption 1. Those records properly and currently classified in the interest of national defense or foreign policy, as specifically 

authorized under criteria established by an Executive order.

Exemption 2. Records related solely to the internal personnel rules and practices of the FCA, including matters which are for 

the guidance of agency personnel.

Exemption 3. Records which are specifically exempted from disclosure by statute which permits no discretion on the issue.

Exemption 4. Records containing commercial or financial information obtained from any person or organization and is privileged or confidential.

Exemption 5. Records containing inter-agency or intra-agency memorandums or letters which would not be available by law 

to a party in litigation with the agency.

Exemption 6. Personnel and similar files, the disclosure of which would constitute a clearly unwarranted invasion of personal 

privacy.

Exemption 7. Records or information compiled for law enforcement purposes, but only to the extent that the production of 

such law enforcement records or information:

(i) Could reasonably be expected to interfere with enforcement proceedings;

(ii) Would deprive a person of a right to a fair trial or an impartial adjudication;

(iii) Could reasonably be expected to constitute an unwarranted invasion of personal privacy;

(iv) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or foreign agency 

or authority or any private institution which furnished information on a confidential basis, and in the case of a record or 

information compiled by criminal law enforcement authority in the course of a criminal investigation or by an agency 

conducting a lawful national security intelligence investigation, information furnished by a confidential source;

(v) Would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines 

for law enforcement investigations or prosecutions if such disclosure could reasonably be expected to risk circumvention 

of the law; or

(vi) Could reasonably be expected to endanger the life or physical safety of any individual.

Exemption 8. Records of or related to examination, operation, reports of condition and performance, or reports of or related 

to Farm Credit institutions or institutions that are regulated and/or examined by the FCA that are prepared by, on behalf of, or 

for the Agency’s use.

Exemption 9. Records containing geological and geophysical information and data (including maps) concerning wells.
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The Agency records described above may be protected by one or more of the FOIA exemptions.

The Current Index

The FCA’s current index listing the Agency’s reading room materials, which is required by 5 U.S.C. 552(a)(2), is at Appendix 

II.

The FOIA Request

A FOIA request is a written request for FCA records, made by any person, organization, or business, that either explicitly or 

implicitly invokes the FOIA or the Agency’s FOIA regulations at 12 C.F.R. Part 602. The requester must provide a reasonable description of the requested records to enable Government personnel to locate them with a reasonable amount of effort. 

A description should include, where possible, specific information as to dates, titles, and subject matter. The requester should 

indicate a willingness to pay fees if more than 2 hours of search effort or 100 pages of records are desired.

Requests for FCA records must be in writing, clearly marked “FOIA Request,” and addressed to the Freedom of Information 

Officer, Farm Credit Administration, McLean, Virginia 22102-5090. Requests may be sent by mail, facsimile ((703) 790-0052), 

or electronic means (foiaofficer@fca.gov). The Freedom of Information Officer, Bob Taylor, may be reached at (703) 883-4129 

or taylorr@fca.gov. 

Upon receipt of a request for records made in accordance with the provisions of the FCA’s regulations, the FCA will make the 

records or portions thereof available as promptly as practicable, except for those portions protected from mandatory disclosure 

by one of the nine FOIA exemptions enumerated above. Reasonably segregable portions of a record will be provided after 

deleting the exempt portions. Generally, the FCA will promptly process a FOIA request and provide a response determination 

in 20 business days.

When a request for a record is denied in whole or in part the Freedom of Information Officer will explain the exemptions that 

are the basis for the denial, provide a brief statement describing what the exemption(s) cover, and provide the procedures for 

appealing the determination. 

The final response to the requester will contain information concerning the fee status of the request.

Appeals

A requester has 30 days from the date of our letter to appeal the withholding of part or all of a record. The appeal must be in 

writing. It may be sent by mail to the Director, Office of Management Services, Farm Credit Administration, 1501 Farm Credit 

Drive, McLean, VA 22102-5090 and clearly marked “FOIA Appeal” or by electronic means to foiaappeal@fca.gov.” A FOIA 

appeal has been received by the FCA when it reaches the office of the Director, Office of Management Services.

The Director, Office of Management Services, will act upon an appeal within 20 business days of the receipt of an appeal, or 

any extension thereof, and will notify the requester in writing of the determination. If the determination on the appeal upholds 

in whole or in part the denial of the request for records, or, if a determination on the appeal has not been mailed at the end of 

the 20-day period or the last extension thereof, the requester is deemed to have exhausted his or her administrative remedies 

and has the right of review in a district court of the United States.

When an appellate authority makes a final determination to release all or a portion of the records withheld by the Freedom of 

Information Officer, a written response and a copy of the records so released will be forwarded promptly to the requester after 

compliance with any preliminary procedural requirements, such as payment of fees.
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Fees

Pursuant to the FOIA and an FCA regulation at 12 C.F.R. § 602.12, the FCA may charge fees for document search, review, and 

reproduction costs. The amount of fees depends on the type of requester. There are four categories of requesters:

Commercial use requester: A request for information that is from or on behalf of an individual or entity seeking information for 

a use or purpose that furthers the commercial, trade, or profit interests of the requester or on whose behalf the request is being 

made. To determine whether a request is properly classified as a commercial use request, the FCA will determine the purpose 

for which the documents requested will be used.

Educational institution requester. A request for information that is from a preschool, a public or private elementary or secondary 

school, an institution of undergraduate higher education, an institution of graduate higher education, an institution of professional 

education, and an institution of vocational education that operates a program or programs of scholarly research.

Noncommercial scientific institution requester. A request for information that is from an institution that is not operated on a 

commercial, trade, or profit basis and that is operated solely for the purpose of conducting scientific research, the results of 

which are not intended to promote any particular product or industry.

Representative of the news media requester. A request for information that is from any person actively gathering news for an 

entity that is organized and operated to publish or broadcast news to the public. The term news means information that is about 

current events or that would be of current interest to the public. Examples of news media entities include television or radio 

stations broadcasting to the public at large and publishers of periodicals (but only in those instances when the periodicals can 

qualify as disseminators of news) who make their products available for purchase or subscription by the general public.

The FCA will charge fees for records requested by persons or entities making a commercial use request in an amount that equals 

the full direct costs for searching for, reviewing for release, and reproducing the records sought. Commercial use requesters 

are not entitled to 2 hours of free search time nor 100 free pages of reproduction of documents, and may be charged the costs 

of searching for and reviewing records even if there is ultimately no disclosure of records.

 The FCA will charge fees for records requested by or on behalf of educational institutions and noncommercial scientific institutions in an amount that equals the cost of reproducing the documents responsive to the request, excluding the costs of reproducing 

the first 100 pages. For a request to be included in this category, requesters must show that the request being made is authorized 

by and under the auspices of a qualifying institution and that the records are not sought for a commercial use but are sought in 

furtherance of scholarly research (if the request is from an educational institution) or scientific research (if the request is from 

a noncommercial scientific institution).

The FCA will charge fees for records requested by representatives of the news media in an amount which equals the cost of 

reproducing the documents responsive to the request, excluding the costs of reproducing the first 100 pages. For a request to 

be included in this category, the requester must qualify as a representative of the news media and the request must not be made 

for a commercial use. A request for records supporting the news dissemination function of the requester will not be considered 

to be a request that is for a commercial use. 

The FCA will charge fees for records requested by persons or entities that are not classified in any of the above categories in an 

amount that equals the full reasonable direct cost of searching for and reproducing records that are responsive to the request, 

excluding the first 2 hours of search time and the cost of reproducing the first 100 pages of records. Requesters in this category 

may be charged the cost of searching for records even if there is ultimately no disclosure of records, excluding the first 2 hours 

of search time.

Records are reproduced at a rate of $.15 per page. For copies prepared by computer, such as tapes or printouts, the requester 

will be charged the actual cost, including operator time, of production of the tape or printout. For other methods of reproduction, the actual direct costs of producing the document(s) will be charged. 
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Waiver or Reduction of Fees

The FCA may grant a waiver or reduction of fees if the FCA determines that disclosing the information is in the public interest 

because it is likely to contribute significantly to public understanding of the operations or activities of the Government and the 

disclosure of the information is not primarily in the commercial interest of the requester. The FCA will not charge fees to any 

requester, including commercial use requesters, when total assessed fees are less than $15.

Advance Payments

Where it is anticipated that fees will amount to more than $25 and the requester has indicated a willingness to pay fees, the 

request will be processed so that the fees do not exceed the agreed upon amount. If the requester has not indicated in advance 

a willingness to pay fees as high as are anticipated, the requester will be promptly notified of the amount of the anticipated fees 

and the requester’s concurrence with the fee amount will be obtained prior to further processing of the request. 

If the anticipated fees exceed $250 and if the requester has a history of promptly paying fees charged in connection with information requests, the FCA may obtain satisfactory assurances that the requester will fully pay the fees anticipated and process the 

FOIA request without any advance payment. If the anticipated fees exceed $250 and if the requester has no history of paying 

fees charged in connection with information requests, the FCA may require an advance payment of fees in an amount up to the 

full amount anticipated. If the requester has previously failed to pay a fee charged in connection with information requests, the 

FCA may require the requester to pay the fees owed, plus interest, or demonstrate that the full amount owed has been paid, and 

require the requester to make an advance payment of the full amount of the fees anticipated before processing a new request or 

a pending request from that requester.

The FCA Reading Room

The FCA’s Reading Room is located at 1501 Farm Credit Drive, McLean, VA 22102-5090.

FCA Home Page

The FCA’s home page may be found on the World Wide Web at http://www.fca.gov. The Government Information Locator 

Service identifies public information resources of the FCA and may be accessed on the Agency’s home page.

Annual FOIA Report

The FCA’s annual FOIA report may be obtained on the Agency’s home page or by directing a request to the Freedom of Information Officer, Farm Credit Administration, McLean, Virginia 22102-5090, by mail, facsimile (703-790-0052), or electronic 

means. Annual reports may also be requested by telephone at (703) 883-4022.

Obtaining Other FCA Information

Reports of condition and performance (Call Reports) and other information containing nonexempt information (such as the 

Uniform Performance Report (UPR) and the Uniform Peer Performance Report (UPPR) that are produced from the FCA’s 

Consolidated Reporting System (CRS) are available for purchase 90 days after the end of a quarter or fiscal year. The FCA 

Board Policy Statement that provides for the release of the above-mentioned reports and the fee schedule, as published in the 

Federal Register, are at Appendix III.
PART 602 - RELEASING INFORMATION

Subpart A—Information and Records Generally

§ 602.1 Purpose and scope.

This part contains FCA’s rules for disclosing our records or information; processing requests for records under the 

Freedom of Information Act (5 U.S.C. 552, as amended) (FOIA); FOIA fees; disclosing otherwise exempt information in litigation when FCA is not a party; and getting documents in public rulemaking files. Part 603 of this chapter 

tells you how to get records about yourself under the Privacy Act of 1974, 5 U.S.C. 552a.

§ 602.2 Disclosing reports of examination.

(a) Disclosure by FCA. Reports of examination are FCA property. We prepare them for our confidential use and 

the use of the institution examined. We do not give reports of examination to the public. Except as provided 

in this section, only the Chairman or the Chairman’s designee may consent to disclosing reports of examination 

of Farm Credit System institutions and other institutions subject to our examination. You may send a written 

request to our General Counsel that explains why we should give permission.

(b) Disclosure by Farm Credit System institutions. An institution that we have examined may disclose its report 

of examination to its officers, directors, and agents, such as its attorney or accountant, if they agree to keep the 

report confidential. In addition, banks may disclose their reports of examination to their affiliated associations, 

associations may disclose their reports to their supervisory bank, and service corporations may disclose their 

reports of examination to the institutions that own them. An institution may not disclose these institutions’ 

reports of examination to any other person without our written permission. 

(c) Disclosure to governmental entities. Without waiving any privilege, we will disclose reports of examination to 

other Federal government entities:

(1) In response to a Federal court order;

(2) In response to a request of either House or a Committee or Subcommittee of Congress; or

(3) When requested for confidential use in an official investigation by authorized representatives of other Federal 

agencies. 

Subpart B—Availability of Records of the Farm Credit Administration

§ 602.3 Definitions.

Appeal means a request under the FOIA asking for the reversal of a decision.

Business information means trade secrets or other commercial or financial information that is privileged or confidential.

Business submitter means any person or entity that gives business information to the Government.

FOIA request means a written request for FCA records, made by any person or entity that either directly or indirectly 

invokes the FOIA or this part.

Record means all documentary materials, such as books, papers, maps, photographs, and machine-readable materials, 

regardless of physical form or characteristics (for example, electronic format) in our possession and control when 

we receive your FOIA request. 

6 Appendix I
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§ 602.4 How to make a request.

(a) How to make and address a request. Your request for records must be in writing and addressed to the FOIA 

Officer, Farm Credit Administration. You may send it: 

(1) By mail to 1501 Farm Credit Drive, McLean, Virginia 22102-5090; 

(2) By facsimile to (703) 790-0052; or 

(3) By E-mail to “foiaofficer@fca.gov.” 

(b) Description of requested records. You must describe the requested records in enough detail to let us find them 

with a reasonable effort. If the description is inadequate, we will ask you to provide more information and the 

20-day response period under § 602.5(a) will not begin until we receive your reply. 

(c) Faster response. You may ask for a faster response to your FOIA request by giving us a statement, certified to be 

true, that you have a “compelling need.” The FOIA Officer will tell you within 10 calendar days after receiving 

the request whether we will respond to it faster. If so, we will respond to your request as soon as we can. A 

“compelling need” means:

(1) Someone’s life or physical safety may be in danger if we do not respond to the request faster; or

(2) You urgently need to tell the public about Federal government activity as a representative of the news media. 

(d) Request for personal information. If you or your representative requests your personal information, we may 

require you to give us a notarized request, identify yourself under penalty of perjury, or provide other proof of 

your identity.

(e) Fees. When making a request, you must tell us the most you are willing to pay. Our charges are in the fee tables 

in §§ 602.11 and 602.12. You may also want to tell us the purpose of your request so we can classify your request 

for fee purposes.

(f) Other requests. To ensure the public has timely information about our activities, the Office of Congressional 

and Public Affairs will make available copies of public documents, such as the FCA annual report and media 

advisories. 

§ 602.5 FCA response to requests for records.

(a) Response time. Within 20 business days of receiving your request, the FOIA Officer will tell you whether we 

have granted or denied it. If you send your request to the wrong address, the 20-day response time will not begin 

until the FOIA Officer receives your request.

(b) Extension of response time. In “unusual circumstances,” the FOIA Officer may extend the 20-day response time 

for up to 10 more business days by telling you in writing why we need more time and the date we will mail you 

our response. As used in this subpart, “unusual circumstances” means our need to:

(1) Search for and get the requested records from field offices or other locations;

(2) Search for, get, and review many records identified in a single request; 

(3) Consult with another Federal agency having a substantial interest in the request; or

(4) Consult with two or more FCA offices having a substantial interest in the request.

(c) Referrals. If you ask for records we have that another Federal agency originated, we will refer the request to 

the originating agency and tell you about the referral. If you should have sent your request to another Federal 

agency, we will refer the request to that agency and so advise you.
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§ 602.6 FOIA exemptions.

The FOIA allows agencies to withhold documents in certain categories. For instance, we do not have to give you 

documents that relate to our examination of institutions or that would violate the personal privacy of an individual. 

If we do not give you a document because the FOIA does not require us to, we will tell you which FOIA exemption 

applies to our decision. 

§ 602.7 Confidential business information.

(a) FCA disclosure. FCA may disclose business information from a business submitter only under this section. This 

section will not apply if:

(1) We decide the business submitter has no valid basis to object to disclosure;

(2) The information has been published lawfully or made available to the public; or

(3) Law (other than the FOIA) requires disclosure of the information.

(b) Notice by FCA. When we receive a request for confidential business information, the FOIA Officer will promptly 

tell the requester and the business submitter in writing that the responsive records may be free from disclosure 

under the FOIA. We will give the business submitter a reasonable time to object to the proposed disclosure of 

the responsive records and tell the requester whenever:

(1) The business submitter has in good faith labeled the information a trade secret or commercial or financial 

information that is privileged or confidential. We will provide such notice for 10 years after receiving the 

information unless the business submitter justifies the need for a longer period; or

(2) We believe that disclosing the information may result in commercial or financial injury to the business submitter. 

(c) Objection to release. A business submitter who objects to our releasing the requested information should tell 

us in writing why the information is a trade secret or commercial or financial information that is privileged or 

confidential.

(d) FCA response.

(1) We will consider carefully a business submitter’s objections. If we decide to disclose business information 

over the submitter’s objection, the FOIA Officer will explain to the submitter in writing why we disagreed 

with the submitter’s objection and describe the business information to be disclosed. 

(2) We will tell the requester and the submitter the proposed disclosure date at the same time.

(3) If a submitter sues to prevent release, we will promptly tell the requester and will not disclose the business 

information until after the court’s decision.

(4) If a requester sues to compel disclosure, we will promptly tell the business submitter.

§ 602.8 Appeals.

(a) How to appeal. You may appeal a total or partial denial of your FOIA request within 30 calendar days of the 

date of the denial letter. Your appeal must be in writing and addressed to the Director, Office of Management 

Services (OMS), Farm Credit Administration. You may send it:

(1) By mail to 1501 Farm Credit Drive, McLean, Virginia 22102-5090;

(2) By facsimile to (703) 893-2608; or

(3) By E-mail to foiaappeal@fca.gov.
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(b) FCA action on appeal. Within 20 business days of receiving your appeal, the OMS Director will tell you, in 

writing, whether we have granted or denied it. If you send your appeal to the wrong address, the 20-day response 

time will not begin until the OMS Director receives your appeal.

(c) Unusual circumstances. In unusual circumstances, the OMS Director may extend the 20-day response time 

by telling you in writing why we need more time and the date we will mail you our response. All extensions, 

including any extension of the response time for the first request, may not total more than 10 business days. 

§ 602.9 Current FOIA index.

FCA will make a current index available for public inspection and copying, as required by the FOIA. We will give 

you an index for the cost of copying it. Because we rarely receive requests for an index, we have not published one 

in the Federal Register. 

Subpart C—FOIA Fees

§ 602.10 Definitions.

Commercial use request means an information request by an individual or entity seeking information for a use or 

purpose that furthers the commercial, trade, or profit interests of that individual or entity. 

Direct costs means the costs FCA incurs in searching for and reproducing documents to respond to a FOIA request. 

For a commercial use request, it also means the costs we incur in reviewing documents to respond to the request. 

Direct costs include the pro rated cost of the salary of the employee performing the work (based on the basic rate 

of pay plus 16 percent to cover benefits) and the cost of operating reproduction equipment. They do not include 

overhead expenses.

Educational institution means a preschool, a public or private elementary or secondary school, an institution of 

undergraduate or graduate higher education, an institution of professional education, or an institution of vocational 

education that runs a program of scholarly research.

Noncommercial scientific institution means a nonprofit institution that conducts scientific research that is not intended 

to promote any particular product or industry.

Pages mean 8-1/2 x 11 inch or 11 x 14 inch paper copies. 

Representative of the news media means any person actively gathering news for an entity that publishes or broadcasts 

news to the public. “News” means information about current events or of current interest to the public.

Reproduce (or reproduction) means copying a record.

Review means looking at documents found in response to a FOIA request to decide whether any portion should be 

withheld. It does not include the time spent resolving legal or policy issues.

Search means all time spent looking for material responsive to a FOIA request, including page-by-page or line-byline identification of material within documents.

§ 602.11 Fees by type of requester.

Depending on your identity and the purpose of your request, the FCA may charge you the direct costs of searching 

for responsive records, reviewing the records, and reproducing them. If necessary, we will seek clarification before 

classifying the request.
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(a) Educational institutions and noncommercial scientific institutions. We charge fees for reproduction costs only. 

The first 100 pages are free. You must show that the request is sanctioned by an educational or noncommercial 

scientific institution and that you seek the records for scholarly or scientific research, not for a commercial 

use.

(b) Representatives of the news media. We charge fees for reproduction costs only. The first 100 pages are free. 

You must be a representative of the news media, and the request must not be made for a commercial use. A 

request for records supporting news distribution is not a request for a commercial use. 

(c) Commercial use. We charge the direct cost for search, review, and reproduction. Commercial use requesters 

are not entitled to free search time or free reproduction. We will charge you even if we do not disclose any records.

(d) All others. The first 2 hours of search time and the first 100 pages of reproduction are free. After that, we will 

charge you for search and reproduction costs. We will charge you for a search even if we do not disclose any 

records.

(e) Fee table. The fee information in paragraphs (a) through (d) of this section is presented in the table to this paragraph. You may apply for a waiver if your request is not mostly in your commercial interest and the disclosure 

is in the public interest. See § 602.13.

Fee Table

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You are responsible for fees even if we do not disclose any records.

§ 602.12 Fees.

(a) FCA may charge: 

(1) For manual searches for records and for review, the pro rated cost of the salary of the employee doing the 

work.

(2) For computer searches for records, the direct costs of computer search time and supply or material costs.

(3) For each page made by photocopy or similar method, fifteen cents a page, and for other forms of copying, 

the direct costs. 

(4) The direct costs of elective services, such as certifying records as true copies or sending records by special 

methods.

Type of Requester Charges for

Search Time Review Time Reproduction

• Educational

• Noncommercial scientific users

• News media

No Charge No Charge First 100 pages 

free, $ 0.15 a 

page after that

Commercial Users1 All direct costs All direct costs $ 0.15 a page

All others1 First 2 hours 

free, all direct 

costs after that

No Charge First 100 pages 

free, $ 0.15 a 

page after that
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(b) We will not charge fees when total assessed fees are less than $15.00.

(c) You must pay by personal check, bank draft drawn on a United States bank, or postal money order made payable 

to the Treasury of the United States.

(d) We treat a request about yourself under Privacy Act fee rules.

(e) The information in paragraphs (a) and (b) of this section is presented in the table to this paragraph. Direct costs 

means the costs FCA incurs in searching for, reviewing, and reproducing documents to respond to a request. 

Direct costs include pro rated salary and reproduction costs. We will not charge fees when they total less than 

$ 15.00.

Fee Amounts Table

§ 602.13 Fee waiver.

We may waive or reduce fees if disclosure is not mostly in your commercial interest but, instead, is in the public 

interest because it will advance public understanding of the Federal government’s operations or activities.

§ 602.14 Advance payments—notice.

(a) If fees will be more than $25.00 and you have not told us in advance that you will pay estimated fees, we will 

tell you the estimated amount and ask that you agree to pay it. Except as noted in this section, we will begin 

processing the FOIA request when we receive your agreement to pay.

(b) If estimated fees exceed $250.00 and you have a history of promptly paying fees charged for information requests, 

we may respond to your request based on your agreement to pay.

(c) If estimated fees exceed $250.00 and you have no history of paying fees, we may require you to pay in advance.

(d) If you have previously failed to pay fees for information requests or paid them late, you must pay any fees still 

owed, plus interest calculated under § 602.15, and the estimated fees before we will respond to a new or a pending request.

(e) If we require advance payment or an advance agreement to pay, we will not consider your request to be received 

and will not respond to it until you meet the requirement. 

Type of Fee Amount of Fee

Manual Search and Review Pro rated Salary Costs

Other Reproduction Costs Direct Costs

Elective Services Direct Costs

Direct Costs

$ 0.15 a page

Computer Search

Photocopy
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§ 602.15 Interest on unpaid fees.

If you fail to pay fees on time, FCA may charge you interest starting on the 31st calendar day following the date we 

bill you. We will charge you interest at the rate allowed by law (31 U.S.C. 3717) on the billing date.

§ 602.16 Combining requests.

You may not avoid paying fees by filing multiple requests at the same time. When FCA reasonably believes that 

you, alone or with others, are breaking down a request into a series of requests to avoid fees, we will combine the 

requests and charge accordingly. We will assume that multiple requests within a 30-day period have been made to 

avoid fees. 

Subpart D—Testimony and Production of Documents

in Legal Proceedings in Which FCA is Not a Named Party

§ 602.17 Policy.

(a) The rules in this subpart preserve the confidentiality of FCA’s documents and information, conserve employees’ 

time for official duties, uphold fairness in litigation, and help the Chairman decide when to allow testimony and 

to produce documents. This subpart does not affect access to documents under the FOIA or the Privacy Act. 

See subpart B of this part and part 603 of this chapter.

(b) Generally, we will not produce documents voluntarily and employees will not appear as witnesses voluntarily in 

any legal proceeding. However, in limited circumstances, the Chairman may allow the production of documents 

or testimony when the Chairman decides it would be in the best interest of FCA or the public. All privileged 

documents produced under this subpart remain our property. Any employee having information or privileged 

documents may disclose them only as allowed by the Chairman. 

§ 602.18 Definitions.

Court means any entity conducting a legal proceeding.

Demand means any order, subpoena, or other legal process for testimony or documents.

Direct costs means FCA’s costs to search for, review, and reproduce documents to respond to a request. Direct costs 

include the pro rated cost of the salary of the employee performing the work (based on the basic rate of pay plus 16 

percent to cover benefits) and the cost of operating reproduction equipment. 

Document means any record or other documentary materials, such as books, papers, maps, photographs, and machinereadable materials, regardless of physical form or characteristics (for example, electronic format) in our possession 

and control when we receive the request.

Employee means any present or former FCA employee, any present or former FCA Board Member, any former 

Federal Farm Credit Board member, any present or former FCA-appointed receiver or conservator, and any present 

or former agent or contractor.

FCA Counsel means the General Counsel, a Department of Justice attorney, or counsel authorized by FCA to act 

for the FCA or an employee.

General Counsel means the FCA’s General Counsel or designee.

Legal proceeding means any administrative, civil, or criminal proceeding, including a discovery proceeding, before 

a court when FCA is not a named party and has not instituted the legal proceeding.
13

§ 602.19 Request for testimony or production of documents.

(a) How to make and address a request. Your request for an employee’s testimony about official matters or the 

production of documents must be in writing and addressed to the General Counsel, 1501 Farm Credit Drive, 

McLean, Virginia 22102-5090. 

(b) Your request must contain the following: 

(1) Title of the case; 

(2) Forum; 

(3) Your interest in the case; 

(4) Summary of the litigation issues; 

(5) Reasons for the request; 

(6) Why the confidential information is important; and 

(7) An explanation of why the testimony or document you want is not reasonably available from another source. 

If you want testimony, you must also state how you intend to use the testimony, provide a subject matter summary 

of the requested testimony, and explain why a document could not be used instead.

(c) The General Counsel may ask you to limit your request to make it less burdensome or to give us information to 

help us decide if providing documents or testimony is in the public interest. 

§ 602.20 Testimony of FCA employees. 

(a) An employee may testify only as the Chairman approves in writing. Generally, an employee may testify only 

by deposition or written interrogatory. An employee may give only factual testimony and may not give opinion 

testimony.

(b) If, in response to your request, the Chairman decides that an employee may testify, you must serve the employee 

with a subpoena under applicable Federal or State rules of procedure and at the same time send a copy of the 

subpoena by registered mail to the General Counsel.

(c) Normally, depositions will be taken at the employee’s office, at a time convenient to the employee and the FCA. 

FCA counsel may represent FCA’s interests at the deposition.

(d) If you request the deposition, you must give the General Counsel a copy of the deposition transcript at no 

charge.

§ 602.21 Production of FCA documents.

(a) An FCA employee may produce documents only as the Chairman allows.

(b) Before we will release any documents, the requesting party must get an acceptable protective order from the 

court before which the action is pending that will preserve the confidentiality of the documents to be released.

(c) On request, we may provide certified or authenticated copies of documents.

§ 602.22 Fees.

(a) For documents released under this subpart, FCA will charge:

(1) The direct costs of searching for responsive records, including the use of a computer, reviewing the records, 

and reproducing them. We also will charge for the direct costs of any other services and materials that we 

provide at your request.

(2) Fifteen cents a copy for each page made by photocopy or similar process. 

(3) The direct costs for each certification or authentication of documents.
14

(b) You must pay by personal check, bank draft drawn on a United States bank, or postal money order made payable 

to FCA. We will waive fees of $15.00 or less. We will send the documents after we receive your payment. 

§ 602.23 Responses to demands served on FCA employees.

(a) An employee served with a demand or a subpoena in a legal proceeding must immediately tell the General 

Counsel of such service, the testimony or documents described in the demand, and all relevant facts.

(b) When the Chairman does not allow testimony or production of documents, FCA Counsel will provide the regulations in this subpart to the party or court issuing the demand and explain that the employee may not testify or 

produce documents without the Chairman’s prior approval.

(c) If the court rules the employee must comply with the demand regardless of the Chairman’s instructions not to 

do so, the employee must respectfully refuse to comply.

(d) FCA’s decision under this subpart to comply or not to comply with any demand is not a waiver, an assertion of 

privilege, or an objection based on relevance, technical deficiency, or any other ground. We may oppose any 

demand on any legal ground.

§ 602.24 Responses to demands served on non-FCA employees or entities.

If you are not an employee and are served with a demand or a subpoena in a legal proceeding directing you to produce 

or testify about an FCA report of examination, other document created or adopted by FCA, or any related document, 

you must object and immediately tell the General Counsel of such service, the testimony or documents described in 

the demand, and all relevant facts. You also must object to the production of any documents on the basis that they 

are FCA’s property and cannot be released without FCA’s consent. You should tell the requester the production of 

documents or testimony must follow the procedures in this part.

Subpart E—Release of Records in Public Rulemaking Files

§ 602.25 General.

FCA has a public rulemaking file for each regulation. You may get copies of documents in the public rulemaking 

file by sending a written request to the Director, Regulation and Policy Division, Office of Policy and Analysis, Farm 

Credit Administration, 1501 Farm Credit Drive, McLean, Virginia 22102-5090. We will charge fifteen cents a copy 

for each page. We will waive fees of $15.00 or less.
Appendix II 15

CURRENT INDEX

1. FCA Handbook — statutes and regulations (set fee charged)

2. FCA Examination Manual (set fee charged)

3. FCA Board Policy Statements

4. PPMs created after 11/1/96 that affect a member of the public (none at this time)

5. Final opinions (none at this time)
16 Appendix III

Type:	 Policy Statement

FCA-PS-65

Release of Consolidated Reporting System Information

Old/Additional ID:	[NV-95-13; NV-05-01] (70 FR 71142, 11/25/2005)

Effective Date:	 27-JAN-05

Effect on Previous Action:	 None. See 60 FR 15921, Mar. 28, 199

Source of Authority:	 12 CFR Part 621, Subpart D; Freedom of Information Act, 5 U.S.C. § 552; 12 CFR Part 602; OMB Circular

A-130 (Nov. 28, 2000).

THE FARM CREDIT ADMINISTRATION (FCA) BOARD HEREBY ADOPTS THE FOLLOWING POLICY STATEMENT:

Purpose: The FCA Board has adopted a policy to disclose reports of condition and performance (Call Reports) and any subsequent repor

containing nonexempt information that are produced from the FCA’s Consolidated Reporting System (CRS) [hereinafter nonexempt CRS

reports]. For purposes of this policy, nonexempt CRS reports are defined as reports produced from the CRS containing information that h

been routinely disclosed in Farm Credit System (System) institutions’ quarterly and annual financial reports and filed with the FCA.

The nonexempt CRS reports include the Uniform Performance Report (UPR), Uniform Peer Performance Report (UPPR), Six-Quarter Trend

Report, Six-Year Trend Report, and Institution Comparison Report. Under this policy, the Call Reports and subsequent reports for the institution that submitted the information will be available to that institution on the FCA Web site approximately 35 days after the end of a quart

or a fiscal year.

Objectives: The FCA facilitates the competitive delivery of financial services to agriculture while protecting the public, the taxpayer, a

the investor. Consistent with that mission, the FCA endeavors to provide information to System institutions and to the public. Call Rep

and other nonexempt CRS reports contain information of value to the Agency, the System, and the public that enables an evaluation of the

financial condition of a System institution in comparison to its peers. This information will provide institutions with a succinct assessment 

performance, in addition to that provided in the examination process. The FCA believes that implementation of this policy statement will enhance the FCA’s information management activities in an efficient, effective, and economical manner consistent with OMB Circular A-13

Operating Principles: Certain information reported to the Agency in compliance with Call Report instructions and not routinely disclosed 

an institution, such as asset and liability repricing schedules or loan specific data, will continue to be exempt from disclosure and the FCA

will not make it available under this policy statement.

Availability of Reports: All nonexempt CRS reports will be available within 45 days after the end of a quarter or a fiscal year free of char

on the FCA Web site.

The FCA often receives special requests for new reports containing nonexempt CRS information not produced from the CRS. Consistent wi

the Freedom of Information Act, the FCA will grant such special requests when the record is readily reproducible with reasonable efforts. 

will assess fees to recover the direct costs of complying with the request, including the cost of collecting, processing, and disseminating the

information. The FCA may grant a request for a fee waiver to an educational institution, a researcher, a governmental agency, a newspape

and others, when the benefit derived from releasing the information exceeds the waived fee. Requests should be directed to the Office 

Policy and Analysis.

Delegated Authority: The Director, Office of Policy and Analysis, in concurrence with the Director, Office of Examination, and the Gener

Counsel, is responsible for implementing this policy statement, developing operating procedures, and assessing requests for fee waivers. A

of these responsibilities may be redelegated to appropriate staff in their respective offices.

Reporting Requirements: The Director, Office of Policy and Analysis, shall report annually to the Chief Executive Officer on the number 

special requests for new reports containing nonexempt CRS information and fees received.

DATED THIS 27th DAY OF JANUARY, 2005

BY ORDER OF THE BOARD

Jeanette C. Brinkley,

Secretary to the Board.
Administrative law judge records

Adverse action files

Assessment files

Association correspondence files

Association corporate papers

Audiovisual records of FCA

Audit case files

Bank board meeting minutes

Bank corporate papers

Bank subject files

Board administrative files

Board books (meeting folders)

Board member subject files

Board meeting audio tapes

Board meeting minutes

Chronological files

Discrimination complaint files

Criminal referrals

Enforcement case files

Examination reports

Examiner commissioning files/tests

Examiner commissioning files

Examination “permanent” reference files

Examination workpapers

Financial disclosure records

Funding requests

General subject/correspondence files of FCA

General subject/correspondence files of the Farm Credit System

Grievance files

Information system documentation

Investigative case files

Liquidation files of closed institutions

Litigation case files

Loan inquiry/complaint files

Merit promotion files

Notational votes

Official personnel folders

Organization charts of FCA

Payment records

Payroll files on employees

Personnel security case files

Policy and procedural directives of FCA

Policy and procedures manual case files

Press releases of FCA

Procurement files

Publications of FCA

Public rule making files

Regulation development files

Reports of operations (CRS) and related reports

Shareholder reports of Farm Credit System institutions

Speeches of FCA officials

Training materials

Uniform call reports.

Li o the