RFPA instructions and reimbursement notice for financial subpoena form USA-211

EFTA00109010¶

INSTRUCTIONS¶

Form USA-211¶

ATTORNEYS:¶

1. Fill in blocks 2, 3, 4 (name only), 8, 9, and 10.

2. Mail the subpoena and the USA-211 to the financial institution. (A copy of this “Instructions” sheet and the attached “Important Notice” must be included with each USA-211).

In a situation where the financial institution directly returns to you the USA-211 with an invoice and the subpoena/rider, please forward to Budget and sign Box 14, 15 and the bottom of Box 22 to acknowledge receipt of the requested service.¶

FINANCIAL OFFICIAL COMPLETES THE FOLLOWING:¶

1. Complete block 4 (address).

Section B.¶

2. Complete block 11A and 11B (payments cannot be processed without a Tax ID Number).

3. Either complete or write “See attached invoice” and attach to the USA-211.

4. Sign block 12 and Date block 13. Note carefully the certification in conjunction with the attached “Important Notice”.

5. Send the following documents to $ \rightarrow $ U.S. Attorney’s Office – SDNY Budget / Fiscal Unit 86 Chambers Street – $ 3^{rd} $ Floor New York, NY 10007 a. Completed USA-211 b. Copy of Subpoena and Rider c. Attach invoice, if applicable

EFTA00109011¶

IMPORTANT NOTICE¶

Pursuant to the Right to Financial Privacy Act (RFPA), Title 12, United States Code, Section 3415, financial institutions may be reimbursed for necessary costs actually incurred for producing subpoenaed financial records. Reimbursement may only be made in connection with financial records of checking, savings, share, loan or credit card accounts if the accounts belong to individuals or partnerships of five or fewer partners. Reimbursement may only be made to an entity defined as a financial institution under the RFPA. The Federal Reserve Board has established the following guidelines:¶

1. Search and Processing Costs – May be billed at the following rates of:

Clerical/Technical, hourly rate - $22.00¶

Computer Support Specialist, hourly rate - $30.00*¶

Manager/Supervisory, hourly rate - $30.00¶

*If itemized separately, personnel time for computer searches may be paid at the rates set for specialized computer support only when compliance with the request for information requires that the financial institution use programming or other higher level technical services of specialized computer support in order to reproduce electronically stored information in the format requested by the government authority.¶

2. Reproduction Costs – May be billed at the following rates of:¶

Photocopy, per page - $0.25**¶

Paper copies of microfiche, per frame - $0.25¶

Duplicate microfiche, per microfiche - $0.50¶

Storage Media (CD, flash storage device, etc.) – Actual Cost***¶

**Reimbursement is not permitted on a per-page basis for production of paper documents that had been stored electronically, unless the government specifically requested production of paper documents. ***Storage media may include encryption technologies.¶

3. Transportation Costs – If itemized separately, financial institutions may bill for:

√ Reasonably necessary costs directly incurred to transport personnel to locate and retrieve the requested information, and to deliver such material to the place of examination.¶

√ Reasonable measures taken to insure against a data breach, such as the use of registered mail or courier services as required.¶

√ No fixed reimbursement will be available for transmittal made by email. However, financial institutions may be reimbursed for personnel costs and other identified costs incurred related to making email transmissions.¶

REIMBURSEMENTS CANNOT BE MADE FOR RECORDS RELATING TO ACCOUNTS OF:¶

1. Corporations

2. Large Partnerships (6 or more partners)

3. Associations

4. Trusts

5. State and local government agencies

6. Other legal entities

Unless otherwise requested, all financial record requests should be delivered in an electronic format.¶

• Section B, item numbers 11 through 13 of the attached purchase order form must be completed and returned to the United States Attorney’s Office to support reimbursement.

• To assure prompt payment, please submit an invoice within 60 days. Mail should be directed to the attorney whose name and address appears on the subpoena. Please include the appropriate tax ID number.

Note: If invoicing for these services is expected to exceed 120 days, please notify the United States Attorney’s Office immediately to ensure funds remain available for payment.¶