Federal grand jury subpoena instructions for producing financial records

EFTA00128883¶

2020R00037 - 003¶

NOTE: THIS SUBPOENA CAN BE COMPLIED WITH BY PROVIDING THE REQUESTED DOCUMENTS TO THE AGENT SERVING THIS SUBPOENA IN HIS/HER CAPACITY AS A REPRESENTATIVE OF THE FEDERAL GRAND JURY PRIOR TO THE DATE AND TIME LISTED ON THE SUBPOENA. IT WILL THEN NOT BE NECESSARY FOR YOU TO APPEAR.¶

EFTA00128884¶

2020R00037 - 003¶

INSTRUCTIONS FOR PRODUCTION OF RECORDS & CERTIFICATION¶

I. General¶

A. Records existing as Electronically Stored Information (ESI) shall be produced in electronic form and shall include text data and image data held:¶

1. In your record retention systems; and/or

2. By your technology, data, or other service provider(s).

B. Records that do not exist as ESI may be produced in paper or other original format and may be converted to image or text data and provided as ESI, unless originals are required.¶

II. Text Data¶

A. Text data relating to transactions shall be produced within a data file:¶

1. Using a delimited ASCII text data format; or

2. Using software that can export to a commonly readable, non-proprietary file format without loss of data.

B. Text data files relating to transactions shall include field descriptions (e.g., account number, date/time, description, payee/payor, check number, item identifier, and amount).¶

III. Image Data¶

A. Image data shall be produced in graphic data files in a commonly readable, non-proprietary format with the highest image quality maintained.¶

B. Image data of items associated with transactions (e.g., checks and deposit slips) shall be:¶

1. Produced in individual graphic data files with any associated endorsements; and

2. Linked to corresponding text data by a unique identifier.

IV. Encryption/Authentication¶

A. ESI may be transmitted in an encrypted container. Decryption keys and/or passwords shall be produced separately at the time the data are produced.¶

B. Authentication, such as hash coding, may be set by agreement.¶

C. Affidavits or certificates of authenticity may be included as part of the electronic production.¶

V. Cost Reimbursement¶

A. Costs that are reasonably necessary and have been directly incurred in searching for, reproducing, or transporting records may be reimbursable. See the Right to Financial Privacy Act, 12 U.S.C., Section 3415 and Federal Reserve Board Regulation S, 12 C.F.R., Part 219 (revised effective 1/1/2010).¶

FINANCIAL INSTITUTION CERTIFICATION REGARDING AVAILABILITY OF RECORDS IN ELECTRONIC FORMAT¶

(TO BE COMPLETED FOR RECORDS PRODUCED IN PAPER)¶

I, ___ am Custodian/Responsible Officer regarding the following described:¶

(Name)¶

Records, which are being produced along with this certification:¶

I know and certify that these records, if produced in paper, were not available in ESI (electronically stored information) format, or were produced in paper at the specific request of the Government.¶

Date¶

Signature¶

Printed Name¶

Title¶

Company¶

PLEASE RETURN COMPLETED FORM WITH DOCUMENTS¶