D17PS00639_Attachment_5_-_Document_Assembly_Samples.pdf

D17PS00639 Attachment 5

D17PS00639 ATTACHMENT 5

Document Assembly Samples

Closing Report – Litigation

CLOSING REPORT - LITIGATION

To:

From:

Final Judgment Order Date:

Litigation Closed Date:

Date Order Information Transmitted to OFM

& BMU

Closing Report Date

Subject:

Staff Assigned:

BPAC Number - MASC Number - Deputy Director:

Litigation Closing Report/Checklist of Recordkeeping Obligations:

Part 1 – to be completed within five (5) business days from date of final judgment order

[ ] ] I affirm that, to the best of my knowledge,– within five (5) business days from the date of the entry of the final judgment order – all relevant information pertaining to this matter that is necessary to generate the Final Judgment Form has been uploaded to Practice Manager.

[ ] I affirm that – within five (5) business days from the date of the entry of the final judgment order – I have sent an e-mail to *ENFCollectionofJudgmentsFTE@cftc.gov to inform the Office of Financial Management (“OFM”) that the Final Judgment Form has been completed and recorded in Practice Manager for purposes of reporting the judgment for collection and have copied DOE’s Business Management Unit (“BMU”), at doebusinessmanagementunit@CFTC.gov, which is responsible for reporting the judgment to the National Futures Association.

Part 2

[ ] I affirm that, to the best of my knowledge, – within 60 calendar days from the date the matter is closed (or such longer period of time approved by the AD or DD) – I have identified the documents that must be retained in the CFTC’s official files (“Federal records”). Refer to “Enforcement Procedure: Electronic Records Management and Document Control” (Section I.) for a description of documents that constitute Federal records, and must be maintained in CFTC files. I further affirm that, to the best of my knowledge, all such Federal records have been loaded into the appropriate e-Law program (Practice Manager, Concordance, CaseMap, TextMap, TimeMap, Nexidia)..

[ ] I affirm that, to the best of my knowledge, – within 60 calendar days from the date the matter is closed (or such longer period of time approved by the AD or DD) – I have discarded nonessential materials (“Non-records”) and duplicate copies of Federal records. Refer to “Enforcement Procedure: Electronic Records Management and Document Control” (Section III.) for a description of documents that constitute “Non-records.”

[ ] If applicable, I affirm that, – within 60 calendar days from the date the matter is closed (or such longer period of time approved by the AD or DD)– I have returned any original evidence that is not required to be retained to the producing party or obtained the party’s written consent to discard, and I further affirm that any such written consent was uploaded into Practice Manager.

[] I affirm that - within 60 days from the date the Associate Director or Deputy Director approved the closing of the litigation - all records custodians who were subject to the litigation hold in connection with this matter have been notified that the matter has been fully resolved and the litigation hold has been withdrawn or terminated.

[ ] I understand that – as of the date of this report- all physical documentation pertaining to this matter (including but not limited to: paper documents, trade tickets, CDs, DVDs, diskettes, and tapes) may be moved to an off-site storage location, and may be subject to eventual destruction in accordance with CFTC’s records disposition schedule.

[ ] I further understand that - as of the date of this report- all electronic information (including but not limited to: files from Concordance, CaseMap, eLaw, TextMap, TimeMap, Nexidia, and Division of Enforcement network drives) pertaining to this matter may be archived, and may be subject to eventual destruction in accordance with CFTC’s records disposition schedule.

If there are any restrictions on archiving case materials at this time, please indicate the corresponding reason and provide a list of the specific documents to be archived at a later date.

Reason(s) for archiving documents at a later date:

[ ] Subject to a protective order entered by the court [ ] Subject to a pending appeal [ ] Part of a related and ongoing investigation(s) Name of related and ongoing investigation(s):

including criminal investigations.

«@LitRelMatter#Start»«MatterName@LitRelMatter»«@LitRelMatter#End

[ ] Other:

Description of documents to be archived at a later date:

Letter to Addressee Pick with Letterhead

RE:

Dear :

Sincerely, Enclosures (Required Notice included)

Letter Head

U.S. COMMODITY FUTURES TRADING COMMISSION

Telephone:

Facsimile:

www.cftc.gov

Division Of

Enforcement

Production Data Receipt Form

Matter Number:

Matter Name:

Producing party (short name): Requestor:

Source (Who, what, when from transmittal):

Production date (from transmittal letter):

Is this data from a Whistleblower or their counsel?

[ ]Yes [ ]No

Whistleblower TCR Number:

Date received by CFTC:

Date received by eLaw:

Production request type (i.e., 4g, Subpoena):

Choose an item.

Location of original media:

Production description (i.e., Email, accounting data, etc.):

Continue with existing doc. number format:

Document number format:

Media type (CD, DVD, hard drive):

Choose an item.

File type:

Confidential treatment requested:

RFPA:

[ ]Yes [ ] No

Priority processing only:

Reason for priority processing

Anticipated date needed

Comments:

Internal Memorandum

MEMORANDUM

Date:

To:

Cc:

From:

RE: