Source: https://www.justice.gov/jm/criminal-resource-manual-467-doj-order-211040-form-s
Timestamp: 2018-09-21 09:03:32
Document Index: 250330058

Matched Legal Cases: ['§ 3401', '§ 3402', '§ 3403', '§ 3404', '§ 3405', '§ 3406', '§ 3407', '§ 3408', '§ 3409', '§ 3410', '§ 3411', '§ 3412', '§ 3413', '§ 3414', '§ 3415', '§ 3416', '§ 3417', '§ 3418', '§ 3419', '§ 3420', '§ 3422', '§ 1602', '§ 3401']

467. DOJ Order 2110.40—Form S | JM | Department of Justice
Home » U.S. Attorneys » Resources » Justice Manual » Criminal Resource Manual » CRM 1-499 » CRM 401-499
401. Introduction—General Restriction Upon Government Access
402. Financial Institutions Covered
403. Customers and Persons Covered
404. Records Covered
405. Certification of Compliance Requirement
406. Customer Authorization
407. Search Warrants
408. Definitions of Judicial Subpoena, Administrative Summons and Formal Written Request.
409. Customer Notice Requirements for Judicial Subpoenas, Administrative Process and Formal Written Requests
410. Venue For Customer Challenge Suits
411. Substance of Customer Notice
412. Timing of Access Following Customer Notice
413. Court Ordered Delay of Notice Procedure
414. Post-Delay Procedures
415. Customer Challenge Proceedings
416. Government Response to Customer Challenge
417. In Camera Review of Government Response
418. Appeals and Other Post-Challenge Matters
419. Rights and Duties of Financial Institutions
420. Interagency Transfers of Financial Records
421. Exceptions
422. Litigation Exception
423. Grand Jury Subpoena Exception
424. Procedure for Grand Jury Subpoena of Financial Records
425. Procedures for Handling Financial Records Subpoenaed by the Grand Jury
426. Prohibiting Banks from Notifying Customers of Grand Jury Subpoenas
427. Account Identification Information Exception
428. Foreign Intelligence and Secret Service Protective Function Exceptions
429. Emergency Access Exception
430. Exceptions Permitting Disclosures by Financial Institutions When the Institution Suspects Criminal Activity
431. Non-Target Exception
432. Bank Supervisory Agency Exception
433. General Accounting Office Exception
434. Internal Revenue Service Exception
435. Required Report Exception
436. Exception For Financial Records Pertinent To Federally Insured Or Guaranteed Loans
437. Securities And Exchange Commission Exception
438. Reimbursement of Financial Institutions
439. Customer Civil Actions for Violations of the Act
440. Suppression as a Remedy
441. Reporting Requirements
442. Compliance Checklist
443. Forms
444. Right To Financial Privacy Act Of 1978 -- Index Of Forms
445. A: Certificate Of Compliance With The Right To Financial Privacy Act Of 1978 -- Form DOJ-461
446. B: Customer Consent and Authorization for Access to Financial Records—Form DOJ-462
447. Customer Consent and Authorization for Access to Financial Records—ATTACHMENT to Form DOJ-462
448. C: Formal Written Request for Financial Records -- Form DOJ-463
449. D: Customer Notice—Form DOJ-464
450. E: Motion for Order Pursuant to Customer Challenge Provisions of the Right to Financial Privacy Act of 1978—Form DOJ-465
451. F: Sworn Statement of Movant—Form DOJ-466
452 G: Application of the United States Department of Justice for an Ex Parte Order Pursuant to Section 1109 of the Right to Financial Privacy Act of 1978—Form DOJ-467
453. H: Order—Form DOJ-468
454. I: Form DOJ-469 —Post-Notice of Search Warrant
455. J: Post-Notice of Search Warrant After Court-Ordered Delay -- Form DOJ-470
456. K: Post-Notice Following Court-Ordered—Form DOJ-471
457. L: Post-Notice Following Emergency Access—Form DOJ-472
458 M: Notice That No Legal Proceedings Are Contemplated -- Form DOJ-473
459 N: Certification for Transferring Records Obtained Pursuant to the Right to Financial Privacy Act of 1978—Form DOJ-474
460 O: Formal Written Request for Account Information and Certificate of Compliance With the—Form DOJ-475
461. P: Notice of Transfer of Financial Records—Form DOJ-476
462. Motion for Order Prohibiting Notification of Service of Grand Jury Subpoenas Duces Tecum—Form Q-1
463. Memorandum in Support of Motion for an Order Prohibiting Notification of the Service of Grand Jury Subpoena—Form Q-2
464. Affidavit—Form Q-3
465. Order—Form Q-4
466. Notice—Form R
467. DOJ Order 2110.40—Form S
468. 12 U.S.C. § 3401—Definitions
469. 12 U.S.C. § 3402—Access to financial records by Government authorities prohibited; exceptions
470. 12 U.S.C § 3403—Confidentiality of financial records
471. 12 U.S.C. § 3404—Customer authorizations
472. 12 U.S.C. § 3405—Administrative subpena and summons
473. 12 U.S.C. § 3406—Search warrants
474. 12 U.S.C. § 3407— Judicial subpoena
475. 12 U.S.C. § 3408—Formal written request
476. 12 U.S.C. § 3409—Delayed notice
477. 12 U.S.C. § 3410—Customer challenges
478. 12 U.S.C. § 3411—Duty of financial institutions
479. 12 U.S.C. § 3412—Use of information
480. 12 U.S.C. § 3413—Exceptions
481. 12 U.S.C. § 3414—Special procedures
482. 12 U.S.C. § 3415—Cost reimbursement
483. 12 U.S.C. § 3416—Jurisdiction
484. 12 U.S.C. § 3417—Civil penalties
485. 12 U.S.C. § 3418—Injunctive relief
486. 12 U.S.C. § 3419—Suspension of limitations
487. 12 U.S.C. § 3420—Grand jury information; notification of certain persons prohibited
488. 12 U.S.C. § 3422—Applicability to Securities and Exchange Commission
Form S -- DOJ Order 2110.40
JUSTICE {DOJ 22110.40}
RIGHT TO FINANCIAL PRIVACY ACT REIMBURSEMENT PROCEDURES AND REPORTING REQUIREMENTS
PURPOSE. This order provides procedures for the payment of fees to financial institutions and for the preparation of the congressional report as required by the Right to Financial Privacy Act of 1978, P.L. 95-630, 12 U.S.C. 3401 et seq.
SCOPE. The provisions of this order apply to all Offices, Boards, Divisions, and Bureaus of the Department of Justice.
CANCELLATION. This order cancels Order DOJ 2740.2.
SUMMARY. Section 3415 of Title 12 of the U.S. Code requires Government authorities under limited circumstances to reimburse financial Institutions for the direct costs incurred in researching, assembling, reproducing, and transmitting financial information on individuals and partnerships comprised of five or fewer persons. 12 U.S.C. 3421(b) requires the submission of an annual report to the Congress on requests for financial records and incidents of judicially delayed notification relating thereto. The Assistant Attorney General for Administration (AAG/A) is assigned the responsibility for preparing the Department report. In order to facilitate the preparation of the report, a standardized reporting format (Appendix 1) has been developed for submission to the AAG/A and for the consolidated Department report to the Congress.
Financial Institution. Any office of a bank, savings bank, card issuer as defined in Section 103 of the Consumers Credit Protection Act (15 U.S.C. § 1602(n)), industrial loan company, trust company, savings and loan, building and loan, or homestead association (including cooperative bank), credit union, or consumer finance institution, located in any State or territory of the United States, the District of Columbia, Puerto Rico, Guam, American Samoa or the Virgin Islands.
Financial Record. An original of, a copy of, or information known to have been derived from any record held by a financial institution pertaining to a customer's relationship with the financial institution.
Government Authority. Any agency or department of the United States, or any officer, employee or agent thereof.
Person. An individual or a partnership of five or fewer individuals.
Customer. Any person or authorized representative of that person who utilized or is utilizing any service of a financial institution, or for whom a financial institution is acting or has acted as a fiduciary, in relation to an account maintained in the person's name. "Customer" does not include corporations or partnerships comprised of more than five persons.
Directly Incurred Costs. Costs incurred solely and necessarily as a consequence of searching for, reproducing or transporting books, papers, records, or other data in order to comply with legal process or a formal written request or a customer's authorization to produce a customer's financial record. The term does not include any allocation of fixed costs (overhead, equipment, depreciation, etc.). If a financial institution has financial records that are stored at an independent storage facility that charges a fee to search for, reproduce, or transport particular records requested, these costs are considered to be directly incurred by the financial institution.
COST REIMBURSEMENT PROCEDURES. Each Office, Board, Division and Bureau which requires or requests access to financial records pertaining to a customer shall pay to the financial institution that assembles or provides the financial records a fee for reimbursement of reasonably necessary costs which have been directly incurred. Paragraph 6a sets forth reimbursable coats and rates for reimbursement. Incurred costs for requests for assembling or providing certain types of financial records which are not reimbursable are set forth in paragraph 6b. Action required for payment of reimbursable costs are contained in paragraph 6c.
Search and processing costs.
Reimbursement of search and processing costs shall be for the total amount of personnel direct time incurred in locating and retrieving, reproducing, packaging and preparing financial records for shipment.
The rate for search and processing costs is $10 per hour per person, computed on the basis of $2.50 per quarter hour or fraction thereof, and is limited to the total amount of personnel time spent in locating and retrieving documents or information or reproducing or packaging and preparing documents for shipment where required or requested by government authority. Specific salaries of such persons shall not be included in search costs. In addition, search and processing costs do not include salaries, fees, or similar costs for analysis of material or for managerial or legal advice, expertise, research, or time spent for any of these activities. If itemized separately, search and processing costs may include the actual cost of extracting information stored by computer in the format in which it is normally produced, based on computer time and necessary supplies; however, personnel time for computer search may be paid only at the rate specified In this paragraph.
Reimbursement for reproduction costs shall be for costs Incurred in making copies of documents required or requested.
The rate for reproduction costs for making copies of required or requested documents is 15 cents for each page, including copies produced by reader/printer reproduction processes. Photographs, films, and other materials are reimbursed at actual cost.
Transportation costs. Reimbursement for transportation costs shall be for necessary costs directly incurred to transport personnel to locate and retrieve the information required or requested, and necessary costs directly incurred solely by the need to convey the required or requested material to the place of examination.
Exceptions. A financial institution is not entitled to reimbursement for costs incurred In assembling or providing the following financial records or information.
Security interests, bankruptcy claims, debt collection. Any financial records provided as an incident to perfecting a security interest, proving a claim In bankruptcy, or otherwise collecting a debt owing either to the financial institution itself or in its role an fiduciary.
Government Loan Programs. Financial records provided in connection with a government authority's consideration or administration of assistance to a customer in the form of a government loan, loan guaranty, or loan insurance program or as an incident to processing an application for assistance to a customer in the form of a government loan, loan guaranty, or loan insurance agreement; or as an incident to processing a default on, or administering, a government-guaranteed or insured loan, as necessary authority to permit a responsible government authority to carry out its responsibilities under the loan, loan guaranty, or loan insurance agreement.
Nonidentifiable Information. Financial records that are not identified with or identifiable as being derived from the financial records of a particular customer.
Federally Required Reports. Financial records required to be reported in accordance with any federal statute or rule promulgated thereunder.
Government Civil or Criminal Litigation. Financial records sought by a government authority under the Federal Rules of Civil or Criminal Procedure or comparable rules of other courts in connection with litigation to which the government authority and the customer are parties. This exception does not apply to grand jury subpoenas. A financial institution is entitled to reimbursement for the costs incurred in providing records, data or information pursuant to a subpoena or court order issued in connection with proceedings before a grand jury. 12 U.S.C. 3413(i), 3415.
Administrative Agency Subpoenas. Financial records sought by a government authority pursuant to an administrative subpoena issued by an administrative law judge in an adjudicatory proceeding subject to Section 554 of Title 5, U.S. Code, and to which the government authority and the customer are parties.
Identity of Accounts In Limited Circumstances. Financial information sought by a government authority in accordance with the Right to Financial Privacy Act and for a legitimate law enforcement inquiry, and limited only to the name, address, account number and type of account of any customer or ascertainable group of customers associated with a financial transaction or class of financial transactions, or with a foreign country or subdivision thereof in the case of government authority exercising financial controls over foreign accounts in the United States under section 5(b) of the Trading With the Enemy Act (50 U.S.C. App. 5(b); the International Emergency Economic Powers Act (Title 11, P. L. 95-223); or section 5 of the United Nations Participation Act (22 U.S.C. 287(c)).
Investigation of a Financial Institution or its Noncustomers. Financial records sought by a government authority in connection with a lawful proceeding, investigation, examination or inspection directed at the financial institution in possession of such records or at a legal entity or person which is not a customer.
Payments. Payments are to be made for reasonably necessary direct coats incurred by the financial institution. Payments will be for work completed or for work done prior to withdrawal of the request or legal process. No payments will be made without an itemized bill or Invoice which identifies costs as search and processing, reproduction, and transportation. See 6a(l), (2) and (3) above. See 12 CFR 219.6. The cost of furnishing such records shall be charged to the organizational appropriation of the official who directly obtained the legal process for the production of the financial records.
REPORTING PROCEDURES. The head of each Office, Board, Division and Bureau which accesses financial records pursuant to 12 U.S.C. 3404, 3405, 3406, 3407, 3408, 3414, or 3420 shall submit to the Office of the Controller, Justice Management Division, a report by February 28 covering the preceding calendar year. This report shall enumerate the number of requests for financial records made under each of the above sections. The information regarding requests under 12 U.S.C. 3420 (grand jury requests) is being collected for Departmental use, and will not be included in the congressional submission. The report will also reflect organization experience under the subject Act for the reporting period. The individual reports will be consolidated by the Office of the Controller and directed to the AAG/A for submission to the House Banking, Finance and Urban Affairs Committee and the Senate Banking, Housing, and Urban Affairs Committee by April 30 of each year. Appendix 1 sets forth an acceptable format for reporting the required Information.
IMPLEMENTING PROCEDURES. The Administrator of the Drug Enforcement Administration, Commissioner of the Immigration and Naturalization Service, Director of the Federal Bureau of Investigation, and the Deputy Assistant Attorney General for Administration, Office of the Controller, for the offices, Boards, Divisions and U.S. Marshals Service shall promulgate procedural directives in accordance with the guidance contained in this order.
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