E-Production_Standards.pdf

Rev 01/2018

U.S. Securities and Exchange Commission

Division of Enforcement’s E-production Data Delivery Standards

The following document describes the data delivery standards for electronic productions provided to outside parties from the Division of Enforcement (ENF) of the Securities and Exchange Commission. Any questions or requested file formats other than those described below must be discussed with the ENF Office of Technical Services.

Data Format and Components

Recommind E-Productions

For document collections housed in Recommind, the E-Production format will be industry standard load files including a data file and an image cross reference file, and any images, native files and searchable text that may be available.

1) Industry standard load files. A .DAT file using Concordance default delimiters that contains all available metadata fields, as well as Bates numbers and SEC e-production control numbers. A corresponding image cross reference file (.OPT) will also be provided.

a. Metadata will vary depending on what was provided in the original document collection.

2) Image Files. When available, black and white, single page Tiff images or color JPEG files will be provided. Image files will be named using the SEC e-production control number.

a. If the document collection was received in accordance with the SEC Data Delivery Standards, images will be provided and will be Bates stamped with the numbers provided by the producing party.

b. If the data was not produced in accordance with the SEC Data Delivery Standards and was under 10GB, images will be provided and will be Bates stamped with numbers assigned by the SEC.

c. If the data was not produced in accordance with the SEC Data Delivery Standards and was over 10 GB, images will not be provided.

3) Native Files. When available, native files will be included in the production in the format in which they were received. The full path to the native file will be included in the DAT file. The native files will be named using the SEC e-production control number.

4) Searchable Text. Text will be produced as separate document-level text files. The full path to the text file will be included in the DAT file. Text files will be named using the SEC e-production control number.

Rev 01/2018

Concordance E-Productions

In the event that the document collection is maintained in Concordance/Opticon database(s), the E-Production format is as follows:

1) Concordance Database. A Concordance 2007 V9 database (.DCB) will be delivered with corresponding image database files (.DIR and .VOL). The database will include all available metadata fields, as well as Bates numbers and searchable text.

a. Metadata will vary depending on what was provided in the original document collection.

2) Image Files. When available, black and white, single-page TIFF images or color JPEG files will be provided. Images will be named using the Bates number. A corresponding image cross reference file (.LOG) will also be provided.

a. If the document collection was received in accordance with the SEC Data Delivery Standards, images will be provided and will be Bates stamped with the numbers provided by the producing party.

b. If the data was not produced in accordance with the SEC Data Delivery Standards and was under 20GB, images will be provided and will be Bates stamped with numbers assigned by the SEC.

c. If the data was not produced in accordance with the SEC Data Delivery Standards and was over 20 GB, images will not be provided.

3) Native Files. When available, native files will be included in the production in the format in which they were received. The native files will be in a separate Attachments folder and the full path to the native file will be included in a LINK field. The native files will be named using the Bates number.

4) Searchable Text. Text will be provided within the Concordance database. In instances of exceptionally voluminous database records, separate text files will be provided and the full path to the text file will be included in an OCRTEXT field. The text files will be named using the Bates number.

5) Portable Document Format Files (PDFs). For productions received in PDF format, the PDF files will be produced in a separate Attachments folder and the full path to the PDF will be included in a PDFFILE field.

Data Delivery Method

ENF’s primary form of data delivery is secure file transfer via Accellion. The recipient will receive an email containing a link to download the E-production from a secure server. In the event of large data sets, the E-production will instead be delivered on encrypted media and shipped via UPS. Receiving party may provide their own hard drive for this purpose. If an ENF hard drive is used, the recipient is requested to return the hard drive to the ENF contact within two (2) weeks of receipt.

All E-productions are encrypted with the VeraCrypt application. A copy of the application as well as a user guide are included with the E-production files. The decryption password is sent under separate cover.