U.S. Securities and Exchange Commission Data Delivery Standards
This document outlines how to use Discovery Assistant
to deliver scanned paper collections, email and electronic document / native file collections to
the Securities and Exchange Commission (SEC).
Discovery Assistant is an eDiscovery processing tool
that processes electronically stored documents, including PST files, zip files, scanned
documents, Office documents, and PDF files, to create load files that can be opened by
Concordance.
The SEC uses Concordance® 2007 v9.58 and ConcordanceImage® v4.53 software to
search, review and retrieve documents produced in electronic format.
To use Discovery Assistant to produce a Concordance Load file for the SEC:
- Load documents into Discovery Assistant.
- Select ‘Deduplicate’ to remove duplicate files and messages.
- Apply search terms (if necessary) to identify relevant documents.
- Convert documents to TIFF.
- OCR any scanned documents that don’t have text.
- Re-apply search if necessary for documents that were OCRed
- Assign Bates Stamps and Document IDs.
- Export to Concordance using the SEC-defined export field settings.
Discovery Assistant Export Dialog Settings
Use Discovery Assistant to produce electronic documents
and Concordance Load Files as required by the SEC.
To produce the required documentation, load PST files, native files (Office, PDF,
DOC, XML, MSG), and scanned documents into Discovery Assistant. Process
these documents to TIFF, then Bates stamp, and export to Concordance/Opticon load format.
Export Settings:
- Format: Concordance/Opticon
- Directory Structure: Volume/Box
- Image File Type: Unmodified TIFF
- Page Group Options: (all unchecked)
- Naming Scheme: %BATES%
- Other Files to include: Text files, Native Files
- Additional Options: Add Bates Number to Text Files
You will need to click the Fields button to select the fields to export.
Required SEC Metadata Fields
Below is a list of required fields included in the production of electronically
stored documents to the SEC. The first column is the Discovery Assistant
defined name; the second column is the SEC defined name.
Metadata fields are exported to a Concordance Load File format using
Discovery Assistant software.
DA Name |
Field Name |
Sample Data |
Description |
BEGINDOC |
FIRSTBATES |
EDC0000001 |
First Bates number of native file document/email |
ENDDOC |
LASTBATES |
EDC0000001 |
Last Bates number of native file document/email
**The LASTBATES field should be populated for single page documents/emails. |
BTGRPRANGE |
ATTACHRANGE |
EDC0000001 - EDC0000015 |
Bates number of the first page of the parent document to the Bates number of the last page of the last attachment “child” document |
BEGATTACH |
BEGATTACH |
EDC0000001 |
First Bates number of attachment range |
ENDATTACH |
ENDATTACH |
EDC0000015 |
Last Bates number of attachment range |
PARENTID |
PARENT_BATES |
EDC0000001 |
First Bates number of parent document/Email
**This PARENT_BATES field should be populated in each record representing an attachment “child” document |
ATTACHLIST |
CHILD_BATES |
EDC0000002; EDC0000014 |
First Bates number of “child” attachment(s); can be more than one Bates number listed depending on the number of attachments
**The CHILD_BATES field should be populated in each record representing a “parent” document |
SRCCUSTOD |
CUSTODIAN |
Smith, John |
Email: mailbox where the email resided
Native: Individual from whom the document originated |
FROM |
FROM |
John Smith |
Email: Sender
Native: Author(s) of document
**semi-colon should be used to separate multiple entries |
SENTTO |
TO |
Coffman, Janice; LeeW [mailto:LeeW@MSN.com] |
Recipient(s)
**semi-colon should be used to separate multiple entries |
CC |
CC |
Frank Thompson [mailto:frank_Thompson@cdt.com] |
Carbon copy recipient(s)
**semi-colon should be used to separate multiple entries |
BCC |
BCC |
John Cain |
Blind carbon copy recipient(s)
**semi-colon should be used to separate multiple entries |
SUBJECT |
SUBJECT |
Board Meeting Minutes |
Email: Subject line of the email
Native: Title of document (if available) |
DATESENT |
DATE_SENT |
10/12/2010 |
Email: Date the email was sent
Native: (empty) |
TIMESENT |
TIME_SENT |
7:05 PM |
Email: Time the email was sent
Native: (empty)
**This data must be a separate field and cannot be combined with the DATE_SENT field |
XSPATHNAME |
LINK |
D:\001\ EDC0000001.msg |
Hyperlink to the email or native file document
**The linked file must be named per the FIRSTBATES number |
FILEEXT |
FILE_EXTEN |
MSG |
The file type extension representing the Email or native file document; will vary depending on the email format |
AUTHOR |
AUTHOR |
John Smith |
Email: (empty)
Native: Author of the document |
FCREATDATE |
DATE_CREATED |
10/10/2010 |
Email: (empty)
Native: Date the document was created |
FCREATTIME |
TIME_CREATED |
10:25 AM |
Email: (empty)
Native: Time the document was created
**This data must be a separate field and cannot be combined with the DATE_CREATED field |
FMODDATE |
DATE_MOD |
10/12/2010 |
Email: (empty)
Native: Date the document was last modified |
FMODTIME |
TIME_MOD |
7:00 PM |
Email: (empty)
Native: Time the document was last modified
**This data must be a separate field and cannot be combined with the DATE_MOD field |
FACCDATE |
DATE_ACCESSD |
10/12/2010 |
Email: (empty)
Native: Date the document was last accessed |
FACCTIME |
TIME_ACCESSD |
7:00 PM |
Email: (empty)
Native: Time the document was last accessed
**This data must be a separate field and cannot be combined with the DATE_ACCESSD field |
FPRNTDATE |
PRINTED_DATE |
10/12/2010 |
Email: (empty)
Native: Date the document was last printed |
OBJECTSIZE |
FILE_SIZE |
5952 |
Size of native file document/email in KB |
PAGECOUNT |
PGCOUNT |
1 |
Number of pages in native file document/email |
FPATHNAME |
PATH |
J:\Shared\SmithJ\October Agenda.doc |
Email: (empty)
Native: Path where native file document was stored including original file name. |
FPATHNAME |
INTFILEPATH |
Personal Folders\Deleted Items\Board Meeting Minutes.msg |
Email: original location of email including original file name.
Native: (empty) |
MSGID |
INTMSGID |
<000805c2c71b$75977050$cb8306d1@MSN> |
Email: Unique Message ID
Native: (empty) |
To explore further:
- Example "SEC production of documents" request
- SEC Reference Documents
ImageMAKER technical staff members are available to assist in helping you set up the Discovery Assistant program, monitor the document conversion process, and review the exported Concordance load file for completeness.
To contact Discovery Assistant:
- Email: Sales@DiscoveryAssistant.com
- Tel: 604 525-2170
- Web: www.discovery-assistant.com
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