FCA Improvement Plan (June 8, 2006) 

REPORT TO THE ATTORNEY GENERAL AND THE OMB 

DIRECTOR, PURSUANT TO EXECUTIVE ORDER 13,392: 

IMPROVING AGENCY DISCLOSURE OF INFORMATION 

A. The overall nature of FCA’s FOIA operations 

The Farm Credit Administration (FCA or Agency) is an independent agency in 

the executive branch of the U.S. Government. It is responsible for regulating and 

examining the banks, associations, and related entities of the Farm Credit 

System (FCS or System), including the Federal Agricultural Mortgage 

Corporation. The System is a nationwide network of borrower-owned financial 

institutions that provides credit to farmers, ranchers, and agricultural and rural 

utility cooperatives. Originally created in 1933 by an Executive order, the Agency 

derives its powers and authorities from the Farm Credit Act of 1971, as 

amended. 

The FCA strives to have an exemplary Freedom of Information Act (FOIA) 

program, to process all FOIA requests within the statutory time frames, and to 

comply with all aspects of the FOIA and Executive order 13,392. We post 

information on the FOIA and how to make a FOIA request on the FCA’s Web 

site. We also provide the information required by the Executive order on the 

roles of the Chief FOIA Officer, the FOIA Public Liaison, and the FOIA Requester 

Service Center and how to contact them. The FCA is a small Agency, with 

approximately 250 employees, and receives only a small number of FOIA 

requests. Although FCA has four small field offices, its headquarters in McLean, 

Virginia, retains most of the Agency’s records. Thus, FCA’s FOIA staff is able to 

conduct records searches quickly, efficiently, and on time. We have no backlog. 

The basic FOIA staff is housed in the Office of General Counsel. It comprises 

one FOIA Officer and one Senior Counsel who advises the FOIA Officer on legal 

compliance with the FOIA. FCA’s Director of the Office of Management 

Services, who is not a member of the Office of General Counsel, serves as the 

FOIA Appeals Officer. He receives legal guidance as necessary from another 

Senior Counsel who is not otherwise a part of the basic FOIA process. 

Consistent with Executive order 13,392, FCA also has a Chief FOIA Officer, who 

is an Associate General Counsel, as well as a FOIA Public Liaison and a FOIA 

Requester Service Center staffer. 

Because of the FCA’s size and the focused nature of the work that it does as the 

System’s regulator, conducting searches for records is, ordinarily, a very simple 

and straightforward process. Each of the Agency’s offices knows what kinds of 

records FCA maintains and how to locate them. They also understand the 
importance of complying with the FOIA’s requirements and cooperate fully in 

conducting searches. This enables the FOIA staff to proceed efficiently and 

effectively. The FOIA staff also strives to provide personal service to requesters, 

to communicate with them directly (usually by telephone), and to ensure that they 

receive records that are truly responsive to their needs, subject, of course, to 

applicable FOIA exemptions. 

B. Areas selected for review 

We have reviewed the FCA’s FY 2005 and FY 2006 (through May) performance 

in the following areas: 

• Tracking capabilities 

• Searching for documents, including the cooperation of program staff 

• Processing time/use of electronic technology 

• Preparing and completing the FOIA Annual Report 

• Web site 

• Staff training 

• Affirmative and proactive disclosures 

• Communications with the public 

• FOIA Reference Guide

C. Narrative statement summarizing the results of our review 

We reviewed the FCA’s performance for FY 2005 and for the first eight months of 

FY 2006. The results of our review follow: 

• Tracking capabilities: All FOIA requests were appropriately date stamped 

and entered into a paper log that indicates: requester’s name, date of receipt 

of request, date the response is due, exemptions claimed, number of pages 

released, fees charged, fees paid, date that the response is completed, and 

the information that is sought. The log enables the FCA to track the status of 

each FOIA request and appeal and to provide immediate information to a 

submitter on the status of his or her request. Given the small number of FOIA 

requests per year – FCA received 40 requests and 4 appeals in FY 2005 and 

28 requests and 1 appeal thus far in FY 2006 -- the paper FOIA log is 

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adequate to track our FOIA requests; we have concluded that a computerized 

log is not necessary and would be no more efficient. 

• Searching for documents, including the cooperation of program staff: Based 

on our review, we concluded that the FOIA Officer conducted appropriate 

searches and obtained legal advice whenever necessary. As a member of 

the Office of General Counsel staff, the FOIA Officer has an ongoing working 

relationship with the Senior Counsel charged with providing legal counsel. 

This ensures constant and clear communication. Program staff has been 

trained to appreciate the importance of FOIA compliance and has been fully 

cooperative in conducting searches. Senior staff members are routinely 

assigned to assist the FOIA Officer with searches and appropriate redactions 

of records. Typically, the FOIA Officer and Senior Counsel begin to process a 

FOIA request on the day of or day after arrival. They forward the request to 

appropriate program staff, which is ordinarily expected to produce any 

responsive documents within 10 business days. If the request poses any 

unusual problems, the FOIA staff works actively with the program staff to 

resolve them. As explained above, the FCA’s small size and the accessibility 

of our records make it easy and efficient to conduct Agency-wide searches. 

The focused nature of the Agency’s mission as a banking regulator also 

facilitates the search and redaction process; most employees know what 

records FCA keeps and where to find them. 

• Processing time/use of electronic technology: In the time period we 

examined, the FCA responded to all FOIA requests and FOIA appeals within 

the requisite 20 business days of receipt. In fact, as reported in FCA’s last 

annual FOIA report, the Agency’s median response time for FY 2005 was 9 

business days. The Agency had no backlogs, and we do not remember there 

ever being one in prior years. As a result, expedited or multi-track processing 

has not been an issue. Because the FOIA staff responds to FOIA requesters 

within the statutory time frame, they do not send acknowledgment letters. 

Typically, the FOIA staff contacts the requester directly by telephone if any 

questions arise. 

To enhance the Agency’s accessibility, the FCA receives and responds to 

electronic FOIA requests received via e-mail and also through FCA’s Web 

site at www.fca.gov. These are simple and efficient ways for the public to 

submit FOIA requests. The Agency received 7 of 40 FOIA requests in 

FY 2005 and 4 of 28 FOIA requests thus far in FY 2006 by way of the Web 

site. The Agency has no plans at present to use automated FOIA processing, 

i.e., electronic scanning of responsive records and redacting of electronic 

records. FCA’s current procedures produce timely responses, and electronic 

scanning and redacting may not be cost effective given the small number of 

FOIA requests FCA receives. 

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• Preparing and completing the FOIA Annual Report: The FOIA Annual 

Report is drafted by the FOIA Officer and reviewed by the Senior Counsel 

charged with FOIA compliance, as well as by other Agency personnel. The 

paper FOIA log discussed above provides the information on which the 

Annual Report is based. The FY 2005 Annual Report was completed and 

posted on the FCA Web site on February 1, 2005, as required. 

 

• Web site: The FOIA page on the Web site is accurate, well organized, and 

written in “plain English.” It effectively communicates with the public by 

providing information on the Agency, the FOIA, and how to make a FOIA 

request. It also provides all information required by Executive order 13,992, 

i.e., information pertaining to the Chief FOIA Officer, Public Liaison Officer, 

and the FOIA Requester Service Center. As discussed above, the FCA uses 

the Internet as a means of receiving FOIA requests from the public. FOIA 

requests can be made on the FCA Web site either through a user-friendly 

form that immediately sends the request to the FOIA Officer or through a 

direct link to the e-mail address of the FOIA Officer. 

• Staff training: The FOIA staff obtains appropriate training each year to ensure 

that all members maintain up-to-date knowledge of the law pertaining to the 

FOIA. The Agency subscribes to an electronic newsletter that reports on the 

latest FOIA and information law developments, which the FOIA staff routinely 

uses. Additionally, the FOIA staff attends training provided by the 

Department of Justice and a leading professional organization, the American 

Society of Access Professionals. FCA’s Senior Counsel, who provides the 

overwhelming majority of legal advice on the FOIA, has been providing legal 

counsel on the FOIA for 20 years. She has also provided general training to 

the entire Agency on FOIA and continues to train the FOIA staff in the Office 

of General Counsel. She has developed an electronic course, which is given 

to all new employees when they start their employment with the Agency. A 

new FOIA Officer was designated in 2006 and is in the process of being 

trained. The former FOIA Officer held the position for ten years. Unlike other 

agencies, the FCA has not experienced high turnover in its FOIA staff. The 

staff training program is sound, thorough, and well managed. 

• Affirmative and proactive disclosures: The Agency posts on its Web site 

numerous documents of interest to the public, including its governing statutes, 

regulations, FCA Board Policies, FCA Bookletters, the FCA Examination 

Manual, Information Memoranda, and other materials pertaining to the FCA 

and the institutions it regulates. Summaries of selected legal opinions 

prepared by the FCA’s Office of General Counsel and public comments 

received by the FCA on proposed regulations and other policy documents are 

also posted on the Web site. 

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• Communications with the public: The FOIA staff establishes effective and 

helpful lines of communication with FOIA requesters. The FOIA Officer and 

other FOIA staff routinely telephone requesters to clarify any ambiguities that 

a request may present and to apprise them of any costs that may be involved. 

This personalized service helps ensure that the requester has the opportunity 

to clarify and, if necessary, better identify the records that he or she wants. 

Requesters are sometimes able to reduce FOIA fees through this process, 

and it can also speed response time. The staff has good working 

relationships with FCA’s frequent requesters and often receives compliments 

on the quick, courteous, and responsive service that the staff provides. 

FCA’s Web site provides the public with useful information and, as discussed 

above, promotes direct communication with the Agency. 

• FOIA Reference Guide: FCA’s FOIA Reference Guide is up-to-date. A 

condensed, customer-friendly version is available on FCA’s Web site. 

D. Improvement area(s) for Agency plan 

Although the FCA is fully compliant with the FOIA, as a consequence of our 

review we plan to: 

I. Establish written procedures in the form of a Procedures Manual to 

enhance consistency, reinforce accountability, and ensure continuity in the 

event of staff changes 

II. Emphasize the importance of continued politeness and courtesy by FOIA 

staff 

III. Promote continued intra-Agency cooperation 

IV. Enhance FOIA training 

V. Provide customer feedback to Agency FOIA staff 

VI. Conduct a semi-annual review of the FOIA homepage 

E. For each improvement area we provide the following: 

See Tabs I through VI. 

F. For the entire plan, group the improvement areas into the 

following time periods: 

See the attached graph. 

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TAB I 

1. Name: Create a FOIA Procedures Manual 

2. Brief statement of goal(s)/objective(s) 

Our objective in creating a Procedures Manual is to spell out in detail the 

effective, efficient, customer-friendly, and legally correct procedures that the 

FOIA staff currently uses, thus helping to ensure the FCA’s continued 

compliance with the FOIA. The Manual will emphasize timely responses and 

continued responsiveness to FOIA requesters. It will help in training new staff 

and serve as a written record that clearly and specifically articulates the FCA’s 

expectations with respect to the handling of FOIA requests. As a result, it should 

reinforce staff accountability. 

3. List of all distinct steps planned to be taken 

The Procedures Manual will contain, at a minimum, the following: 

• Description of administrative actions for staff, e.g., date stamp request, 

logging in and out, reminders to staff 

• Designations 

• Paper log 

• Outline of form letter to requesters 

• Approved sample letters, especially for more complicated legal issues 

• Relevant reports, e.g., FOIA Annual Report, reporting under Executive 

order 13,392 

• Governing laws and regulations 

• Discussion of fee waivers, discretionary releases, and similar topics 

• Background materials 

• Agency points of contact for additional assistance with search and 

redaction 

• FCA training materials, e.g., electronic FOIA course for new employees 

• External training and consulting resources, e.g., training by DOJ and the 

American Society of Access Professionals, DOJ’s FOIA Helpline 

4. Time milestones 

The Procedures Manual will be completed by June 30, 2007. 

5. Means of measurement of success 

We will measure success by whether the Procedures Manual is completed on 

time and by whether, following its adoption, the FCA continues to process all 

FOIA requests and appeals on time. 
TAB II 

1. Name: Emphasize the importance of continued politeness 

and courtesy by FOIA staff. 

2. Brief statement of goal(s)/objective(s) 

We will clearly articulate our goal of continuing to treat all FOIA requesters with 

politeness and courtesy. 

3. List of all distinct steps planned to be taken 

• We will draft a memorandum to the FOIA staff that will, at a minimum, 

remind them of Agency expectations regarding politeness and courtesy. 

• We will hold a brief meeting to follow up with staff regarding this 

memorandum. 

• We will assess the FOIA staff’s treatment of FOIA requesters during the 

annual performance evaluation process. 

4. Time milestones 

We will take each of these steps by September 30, 2006, except for the 

performance evaluations, which will be by December 31, 2006. 

5. Means of measurement of success 

We will measure success by whether these steps are accomplished on time and 

by reviewing feedback received from FOIA requesters, including any feedback 

received by the FOIA Requester Service Center, the FOIA Public Liaison, or the 

Chief FOIA Officer. 
TAB III 

1. Name: Promote continued intra-Agency cooperation 

2. Brief statement of goal(s)/objective(s) 

Although we already receive excellent cooperation from Agency staff with respect 

to FOIA searches, we want to ensure that this continues. We want to enhance 

intra-Agency cooperation to ensure accurate and speedy searches for records 

and appropriate redactions. This will help maintain our track record of meeting 

the 20 business day FOIA response requirement. 

3. List of all distinct steps planned to be taken 

• We will provide written guidance to Agency staff that will explain, at a 

minimum, the importance of the FOIA, the permissible time periods for 

processing FOIA requests, and the renewed emphasis on timely FOIA 

responses. We will also introduce the Agency’s new FOIA Officer and 

explain the function of this office. 

• We will publish periodic articles in the Agency newsletter, FCA This Week, 

on various FOIA topics. 

• We will hold a FOIA Day and invite Agency staff. 

4. Time milestones 

We will meet this milestone by September 30, 2006, except for the FOIA day, 

which will be by June 30, 2007. 

5. Means of measurement of success 

We will measure success by completing the steps listed above, assessing the 

feedback we receive from Agency staff, and monitoring the cooperation we 

receive from other offices. 
TAB IV 

1. Name: Enhance FOIA training 

2. Brief statement of goal(s)/objective(s) 

To ensure the continued success of our FOIA program, we plan to enhance FOIA 

training for all staff, and especially for the FOIA staff. We will ensure that all new 

employees continue to receive electronic training in FOIA upon starting 

employment. Also, we will ensure that all FCA examiners receive periodic 

training on the FOIA. 

3. List of all distinct steps planned to be taken 

 

• We will review and revise, if necessary, the content of our current FOIA 

training.

• We will ensure that all new employees continue to receive relevant 

electronic training in FOIA upon starting FOIA training. 

• We will ensure that all FCA examiners receive periodic training on the 

FOIA. 

• FOIA staff will continue to receive both in-house training, as well as 

training from outside sources. 

• We will survey staff on the usefulness of our training materials and their 

understanding of key FOIA issues. 

4. Time milestones 

We will meet this milestone by December 31, 2006. 

5. Means of measurement of success 

We will measure success by completing the steps listed above and by reviewing 

the results of our training surveys. 
TAB V 

1. Name: Provide customer feedback to Agency FOIA staff 

2. Brief statement of goal(s)/objective(s) 

We plan to provide feedback to FOIA staff based on any complaints, comments, 

or positive responses we receive from our FOIA requesters. Our goals are to 

reinforce the importance of clear and courteous communications with customers 

and to learn how to improve processes. 

3. List of all distinct steps planned to be taken 

• Create a form to be used by the FOIA Requester Service Center, the 

FOIA Public Liaison, and the Chief FOIA Officer to document any 

complaints, comments, or positive responses. 

• Ensure that customer feedback is shared with the relevant parties. 

• Maintain these forms and use them as a basis for improvement, if 

applicable. 

4. Time milestones 

We will meet this milestone by December 31, 2006. 

5. Means of measurement of success 

We will measure success by completing the steps listed above and reviewing the 

feedback we receive. 
TAB VI 

1. Name: Conduct a semi-annual review of the FOIA homepage. 

2. Brief statement of goal(s)/objective(s) 

We plan to conduct a semi-annual review of the FOIA homepage. 

3. List of all distinct steps planned to be taken 

• Ensure the information is relevant and timely. 

• Update as necessary. 

• Check all links. 

• Ensure affirmative disclosures are posted. 

• Write a memorandum detailing the steps taken and results found. 

4. Time milestones 

We will meet this milestone by December 31, 2006, and by June 30, 2007, and 

semi-annually thereafter. 

5. Means of measurement of success 

We will measure success by completing the distinct steps listed above. 
IMPROVEMENT AREAS FOR AREAS ANTICIPATED TO BE COMPLETED: 

AGENCY PLAN BY 

SEPT 30, 2006 

BY 

DEC 31, 2006 

BY 

JUNE 30, 2007 

BY 

DEC 31, 2007 

1. Establish written procedures in the form of a Procedures Manual to enhance staff accountability and ensure continuity in the event of staff changes. 

√ Review and 

update 

2. Ensure continued politeness and courtesy by FOIA staff. 

• Draft a memorandum • Hold a brief meeting • Assess 

√√

√

Ongoing 

3. Improve intra-Agency cooperation. 

• Provide written guidance • Publish periodic articles • Hold a FOIA Day 

√√

√

Ongoing 

4. Enhance FOIA training. √ Ongoing 5. Provide customer feedback to Agency FOIA staff. 

√ Ongoing 

6. Conduct a semi-annual review of the FOIA homepage. 

√ √ Ongoing