Attachment_10_-_eProduction_Procedures.pdf

Recommind E-Production Procedures

SEC Headquarters 100 F Street, NE

Washington, DC 20549 Office of Enforcement

3/17/2015

E-Production Procedures i

1) REVISION HISTORY

Date Revised Version Revised by Reason For Revision

3/17/2015 3.0 Kathy Stewart Sanitized for attaching to the SOW.

NOTE – All sensitive graphics or contents have been removed from this SOP.

2. ii

Table of Contents

1. Introduction

2. Types of E-Production

3. E-Production Overview

4. E-Production Procedures

4.1 Resolving errors

5. Export Data for Production

6. Final Media Creation

6.1 CDs / DVDs

6.2 Update AGENCY TRACKING SYSTEM

6.4 Hard drives

7. PDF Productions

8. Locking Down Tags

1. Introduction The Securities and Exchange Commission (SEC) provides electronic data (E-Production) in Concordance format for opposing counsel, the Department of Justice (DOJ), and other requesting parties. The objective is to reproduce the requested databases on the SEC system to electronic media (DVD discs, external hard-drives, etc.) excluding the file structure, any tags, notes, redlines, annotations, and additional headers created by SEC staffers. This is achieved by using Recommind to execute the following tasks:

• Filter database for documents to produce

• Filter for possible SARs

• Create new production

• Check for errors

• Generate error report

• Locate and resolve exceptions (documents w/errors)

• Export production data (text/ images/ natives)

Steps to implement these tasks are detailed throughout this document with screen prints, as applicable. Some of the application screen shots have been amended slightly to reduce unused space, not eliminate content.

2. Types of E-Production SEC Recommind E-Production databases consist of a variety of file types, depending on the original format of the electronic documents. These types include, but are not limited to, single-page TIFF images, audio or video files, databases, email PST files, and email attachments in native format.

On rare occasions, a production is requested to be provided in a PDF format. This entails exporting the natives and making a PDF per document for all the images. No DAT or OPT files are provided for this production. Refer to section 7 of this document for instructions to generate a PDF.

3. E-Production Overview SEC staff request E-Productions on a daily basis. Each request can contain single or multiple databases. Handling these requests consists of the steps, described here:

1. An SEC Litigation Support Specialist (LSS) submits an E-Production Request through the agency tracking system. The request generates an automatic notification to the ENF-Production-Requests inbox, read by E-Production staff. Included in the email notification are the Request Number and Case Number.

2. In addition, the LSS submits an Axcelerate Production Request Form which provides the instructions.

3. E-Production staff accesses the E-Production Request Queue and the Production Form to view details of the request.

4. E-Production staff follows the SEC-approved procedures to generate and QC the final media.

5. E-Production staff accesses agency tracking system to update and complete the request.

6. Delivers the final media to the SEC LSS.

4. E-Production Procedures E-Production staff follows these steps:

1. From Microsoft Outlook, read the agency tracking emailed system notification and check for receipt of the Axcelerate Production Request Form.

1.1. Carefully read the request and note any Special Instructions and the LSS Point of Contact.

2. From the Recommind Application Manager login screen, enter the appropriate username and password in their respective fields.

2.1. Launch the Recommind Admin Console.

2.2. Log in to the specific workspace for the associated region.

2.3. Find the appropriate R&A (Review & Analysis) application for the case

2.4. From the Details tab, click the application URI.

3. From the Axcelerate login screen, enter the appropriate username and password in their respective fields. Click Login.

4. From Explore| Filters, under Work Product| Tags, enter the Production Tag to Produce in the Select or Input Tags field. Click the checkbox next to the tag name and click Filter.

4.1. Click to include family documents, not tagged, for the current query. Check the AGENCY TRACKING SYSTEM request form to determine if the LSS wants any family documents, not tagged, to be included in the production.

Note: Contact the LSS for clarification if there are family documents that have not been tagged and the AGENCY TRACKING SYSTEM form is unclear on whether to include family documents.

5. From Explore| Filters, under Work Product¸ filter the tag by Use Restrict. Click the checkbox and Toggle to exclude documents meeting the criteria from the production.

Note: Use Restrict documents are not to be produced unless marked on the AGENCY TRACKING SYSTEM form as OK to produce or after the LSS managing the case is contacted to determine whether to produce these documents or exclude them from the request.

6. Clear the filter. From Explore| Filters, under Work Product¸ filter the tag by Possible SARs.

Click the checkbox and Toggle to exclude documents meeting the criteria from the production.

Note: All documents in the “Possible SARs” filter must be marked as “Non-SAR” in the “Possible SARs Review” to be produced. Any unmarked documents will need to be addressed by the LSS. Any documents marked as SARs will be excluded unless explicitly indicated by the LSS.

7. When creating an Image and Native production, every document must have an associated image. Under Production/Conversion, click the Conversion filter. Check all items with a non-zero document count and click Toggle and then Filter. The list of documents without images displays. If none display, proceed to step 8 to continue processing the production.

7.1. At message prompt, click Close.

7.2. From Document View verify there is no image tab and perform the following steps to create a slip sheet for each document.

7.2.1. Click Selection, and then Select All.

7.2.2. Click Actions, and then select Export.

7.2.3. At Define output format, select CSV. Click Next.

7.2.4. At Define name and description of export| Name, enter Slipsheet_ AGENCY TRACKING SYSTEM REQUESTID. The AGENCY TRACKING SYSTEM REQUESTID is a numeric value for the production. Click Next.

7.2.5. At Select fields, highlight URI and click the right arrow to move URI to Fields to export. If any other fields are listed on the right, highlight them and click the left arrow to move them back to Select fields. Click Next.

7.2.6. At Define generic output options, click Next without selecting any options.

7.2.7. At Define advanced output options, set fields as shown, and click Next.

7.2.8. At Define date and time settings, click Next without making any changes.

7.2.9. Review Summary screen and click OK.

7.2.10. The URI information is to be exported in CSV format. The file can be located in the CVS_Export folder on the network at:

XXX

7.2.11. Locate Slipsheets #####.csv, named at step 7.2.4, on the network.

7.2.12. Double-click the Slipsheets ##### folder. Right-click the Slipsheets #####.csv file and select Recommind Create Slip Sheet.

7.2.13. The Slipsheets #####- updated.csv file with the approved slip sheet is created.

Note: To view approved slip sheets, click XXX

7.2.14. From the Admin| Workspace, expand the case Review & Analysis icon, highlight and right-click the Single Mind Server Engine, and select Merge CSV.

7.2.15. At Load file definition| Select CSV file, click the folder to browse to the CSV file and populate the field.

7.2.16. At Charset, uncheck Use default charset and select windows-1252 from the dropdown menu. Click Next.

7.2.17. At Parse Preview, ensure that the columns match up with the headers. Click Next.

7.2.18. At Please enter a name for the merge, verify that Slipsheets_######_updated is populated in the Name field. Click Next.

7.2.19. At Define merge type, click Update natives/images and click Next.

7.2.20. At ID mapping, select URI from the CSV field name identifier drop down menu.

Click Next.

7.2.21. Click Next at Native file settings without making any selections.

7.2.22. At Image settings, verify that Update Images is checked and Image is selected from the CSV field name images field. Click Next.

7.2.23. At Additional Options, click Next without making any changes.

7.2.24. At Persistency Options, ensure both Flush before applying changes and Flush changes are checked. Click Next.

7.2.25. At Summary Page, review fields and click Finish.

7.2.26. Wait for the job meter to reach 100%. All documents without images are now replaced with a slip sheet that reads: This document was produced natively.

8. From the filtered document list in Recommind, sort by FirstBates in ascending order. From Selection… drop down menu, click Select All.

9. From Actions, click Add to Production.

9.1. From the Request form, note whether this is the first production or a subsequent production continuing from an earlier request. If new, at Select production, click the button next to Create a new production and click Next.

OR

If a subsequent production, select Use an existing production and select the appropriate prior production for the request. Then, skip to step 13.

Note: Occasionally, multiple requests are made under the same production name.

Instead of selecting Create New Production, check Use Existing Production and select the specific production. When using an existing production, steps 11 and 12 below, are automatically excluded. Additionally, at step 15, do not edit the First Page Bates field. Recommind tracks the last Bates number produced per sub-production and generates the correct starting Bates number for the new sub-production. In the event that there are two requests for the same production with the same date requested, the requestID can be appended to the sub-production name.

10. From the Production Wizard-Create New Production| Define Bates Number, complete the following from the data in the production form Beginning Bates Number field:

• Prefix field with the Bates prefix.

• Leave Document-level Bates numbering unchecked, unless required.

• Start number page with 1.

• Number of digits with 9.

• Click Next.

11. From Define name and description, enter the Prefix in the name field and click Next.

12. Verify information in the Summary is correct and click OK.

13. From Choose sub-production mode, click Image and Native, Enable family sorting, and

14. Verify that green check marks display next to all items on the Validation screen and click

14.1. The number of attachments missing indicates any family documents that have not been included in the query of documents. Check the AGENCY TRACKING SYSTEM request form to confirm if the untagged family documents should be included. If families are required and there are attachments missing, close the production wizard, click the (add families) paper clip from step 4.1 and restart from step 9 using the production just exited from.

14.2. Conversion errors occur when there was an issue trying to convert the native file associated with the document into an image. These are listed under the conversion filter. If the documents cannot be converted, choose the Include Conversion Errors option.

15. At Define Name and Description of Sub-Production, enter the BatesPrefix_DateRequested and AGENCY TRACKING SYSTEM ID# in the Name and Description fields, respectively.

15.1. The First page Bates field auto-populates based on whether it is a new or subsequent production. This is tracked by Recommind.

15.2. Click Next.

16. Uncheck all options unless the request form specifies to include redactions or annotations.

Then check the Produce documents containing annotations only as images. Check the redactions or annotations boxes as required. Click Next.

17. At Define header and footer settings, uncheck Show header and Show footer, unless the request form specifies a change is required, and click Next.

18. Verify information in the Summary is correct and click OK.

19. Click Close at the Sub-Production job started…prompt.

20. To monitor the production, click Jobs from the Admin console.

20.1. View the progress meter in the Completion % field.

20.2. As errors are encountered, the Report Error Log displays.

20.3. Click Close.

21. Wait for the Completion % to reach 100%. Refer to Section 4.2 for instructions to resolve errors.

4.1 Resolving errors

Recommind requires that every exception is resolved before exporting the sub-production. The two common errors that can occur are network disruptions and an I/O error reading image metadata. Resolve network disruptions by replacing the documents in the sub-production, as described later in this section. Run the replace in sub-production process and examine the number of exceptions. If the number less than the previous run, run it again. This will fix any issues due to the network. After the errors stabilize and if any remain, run the image fix procedure to correct those issues.

Image metadata errors occur when Recommind is given a document containing both TIFF and JPG images. Occasionally, these errors are due to images being mislabeled as TIF or JPG. In those cases, if a document only has TIF or only JPG images, convert them to the other format and load them into Recommind. If converting to TIF, once the production process has been finished, load the original images back into Recommind to preserve color or other metadata.

Replace in Sub-production Process

Follow these steps:

1. Click the Production tab and the checkbox for the Job listed.

1.1. Read the Warning prompt and click OK.

1.2. Click the Error Log icon at the bottom of the screen to view.

1.3. From the Analysis console, click the Sub-Production filter and then the Production- Exception for the request. Next, the Replace in Sub-Production should be run first to eliminate network drop errors. If there are any more errors remaining, then do the image fix.

1.4. Click the checkbox next to the Sub-Production name-Exception and click Filter.

1.5. From Selection… drop down menu, click Select All.

1.6. From Actions, select Replace in Sub-Production.

1.7. From Select product and Select Sub-Production to replace in, choose the desired productions from these drop-down menus.

1.8. Verify information in the Validation is correct and click Next.

1.9. Verify information in the Summary is correct and click OK.

1.10. Click Close at the Sub-Production job started…prompt.

1.11. To monitor the production, click Jobs from the Admin console.

1.11.1. View the progress meter in the Completion % field.

1.11.2. As errors are encountered, the Report Error Log displays.

1.11.3. Click Close.

Image Fix Process

Follow these steps:

1. Before exporting errors, verify that both the sub-production and the replace in sub-productions have finished processing. Select All of the exceptions; then from Actions, click Export Selection…

1.1. At Define output format, click CSV button and click Next.

1.2. At Define name and description of export, enter the Image Fix AGENCY TRACKING SYSTEM number in the Name field and click Next.

1.3. At Select fields, highlight URI and click the right arrow to move URI to Fields to export. If any other fields are listed on the right, highlight them and click the left arrow to move them back to Select fields. Click Next.

1.4. At Define generic output options, click the Export Images option with the Field name for image path and Volume identifier populated as shown. Click Next.

1.5. At Define advanced output options, ensure the Define advanced output options are populated as shown. Click Next.

1.6. At Define date and time settings, click Next without making any selections.

1.7. Verify that data is correct on the Summary screen and click OK.

2. From the Admin console| Jobs tab, wait for the job meter to reach 100%.

3. Launch IrfanView to convert TIFFs to JPEGs. This conversion process includes:

• Converting using IrfanView

• Updating the CSV file

• Merging images back into Recommind

3.1. From File, select Batch Conversion/Rename.

3.2. Verify that Work as is set to Batch conversion and JPG- JPG/JPEG Format is select from the Batch conversion settings| Output format drop-down menu. At Look in:, navigate to the network path where the images reside.

Note: Ensure that Output directory for results files field remains blank.

3.3. Click Advanced to open the Set for all images window. At Miscellaneous, click the checkboxes for Create subfolders in destination folder and Apply changes to all pages (TIF/PDF saving). Click OK.

3.4. Verify data in File name and Files of type fields. Click Add All and Start Batch.

3.5. Wait for the batch conversion process to be completed and click Exit batch.

3.6. From Textpad, open the CSV file for the document images.

3.7. From File, select Replace. Configure the Find what and Replace with fields, as shown. Click Replace All and Close when file extension update is completed.

3.8. From File, click Save and exit Textpad.

4. To merge corrected CSV file with production application, refer to Section 4, Steps 7.2.14 –

7.2.21 and 7.2.23-7.2.26.

5. Replace 7.2.22 with the following settings:

5.1. At Image settings, click the Update image checkbox.

5.2. Verify the Settings fields for CSV Field name images and Multi-value delimiter are populated as shown.

5.3. At Base path, click the folder icon to navigate to the location of the CSV file.

5.4. Click Next.

6. After fixing documents by converting images or replacing in production, immediately notify the LSS of any documents that cannot be resolved to determine the next steps. Recommind assigns a production bates number for each document. Removing a document in the middle of the production, without creating the sub-production, creates gaps in the production numbers which causes confusion for the receiving parties. Do not remove documents from the existing production, unless explicitly told by the LSS.

6.1. From Filters| Production/ Conversion| Sub-Production, click the checkbox next to the Exception and click Filter.

5. Export Data for Production

1. From the Administration console, click the Production tab, select the specific production, and click Export.

2. At Include Sub-Production to Export, click the checkbox for the desired sub-production and click Next.

2.1. At Define Output Format, select Concordance format. Click Next.

2.2. At Define name and description| Display name, type the name of the sub-production and click Next.

2.2.1. Leave the Description field blank.

2.3. At Define Detail of Export, fill out these optional fields, if required, and click Next.

2.4. At Select fields to include, click Select All.

2.5. At Field export order, click Next without making any changes.

2.6. At Define generic output options, leave all selections checked and click Next. (If no value exists, a blank field is generated.)

2.7. At Define Addition Output Options, leave all defaults for Date and Time fields and click Next.

2.8. At Define Advanced Output Options, make the following edits:

2.8.1. Change the Text qualifier as to 0xFE.

2.8.2. Delete character from the Paragraph line break as field to prevent unwanted line breaks within text fields and click Next.

2.9. Review summary and select OK.

3. From the Jobs tab within Administration console, monitor the status of export and verify that no errors occurred.

3.1. If errors are encountered, select checkbox for the specific job, and click Error log at the bottom of the screen to view and resolve errors.

Note: Most export errors are resolved by deleting the export, isolating the issue, and then re-exporting.

4. Search for the production in the network storage location to continue with the delivery specifications. (Examples locations are XXX

4.1. Create a new folder, called Data.

4.2. Move the DAT and OPT files from the storage location to the newly created Data sub-directory.

4.3. Right-click the DAT file and select Recommind Strip DAT.

Note: This step parses through the DAT file to remove any fields that are empty for every record. The FirstBates, LastBates, FirstAttach, and LastAttach fields are moved after the four (4) Production Bates fields. These production Bates fields are renamed to SECFirst, SECLast, SECFirstAttach, and SECLastAttach. This was changed recently by request of the LSSs.

4.4. After the DAT has been stripped, delete the BAK file and CVS file with the removed fields. Right-click the DAT again and select Recommind DAT Counts.

Note: This process takes some time to run. It counts all the files that have been produced and indicates if the number of DAT files exported match with the natives and images produced.

4.5. View the Totals generated by the Perl script.

4.5.1. If there is a discrepancy in the expected and actual counts, exit the Command Prompt screen. Right-click the DAT again and select Fix DAT Counts Errors to run the script

Note: This script corrects the DAT file to include the files missed while providing a record of the documents with errors. Replace these documents in the sub-production to avoid the errors during any future exports.

6. Final Media Creation All SEC data must be encrypted if leaving the building. For the rare request for unencrypted files, ensure the media is stamped with Internal Use Only before delivery within the building.

The E-Production staff uses BitLocker software to encrypt data, resulting in the encryption file referenced below. The key tasks to remember when generating the final media are:

• Calculate the size of production o All BitLocker files created are oversized to ensure that the data fits. Due to the quirks of file storage, multiple the final production size to be saved to the disk by

1.2 to leave adequate space for any system files.

• Determine media to be used to store the production Production Size Media Storage Up to 680 MB CD Up to 16 GB (each holding 4342 MB) DVD** (no more 4 for the production) 16GB or more External hard drive (Request from LSS) o For any request that will fit on a single media type, use a multi-threaded robocopy command to copy the data into the container file.

• Create encryption folder

• Copy files to encryption folder

• Burn contents or copy to Regional or HO drop off network path; external hard drive or

CD (production size dependent)

• Create CD label when appropriate

• Deliver hard drive to LSS

** When the request is bigger than the capacity of one (1) DVD (over 4342 MB), calculate how many DVDs are required for the load. Do not exceed four (4). Create one encryption file per DVD and split the full request into equal pieces, if possible. To split the requested data, use a single-threaded robocopy command and wait for it to fill one of the containers. Find the last complete folder copied and then delete all incomplete folders. Identify where the overflow took place and start the next copy job from the next folder to copy. Repeat this process for each remaining DVD.

6.1 CDs / DVDs

If the total size of the production is 3-4 DVDs or fewer, follow these steps:

After calculating the size of the data to be copied, create an encryption file of appropriate size including the extra 20 percent (20%). Copy and rename the file so that there is one (1) per media type.

• The naming convention consists of the case name and serialization of the encryption files. For example, AB-01234_1-3.VHD is the first of 3 encryption files for a production of case AB-01234. AB represents the regional office abbreviation.

1. For requests under 16GB, create a case folder on the network for the fields to be encrypted.

This case folder should be created before the encryption file(s).

2. Create the virtual hard drive using BitLocker.

Note: For alternate instructions using a Perl Script, click.

2.1. From the workstation, right-click the Computer icon. Scroll to and select Manage.

2.2. From Computer Management, expand Storage and click Disk Management.

2.3. From the drop down menu, select Actions, and click Create VHD.

2.4. At Location, click Browse and navigate to the location where you want the drive located and then name the file.

2.5. At Virtual hard disk size, enter in the size desired. The minimum for BitLocker is 64 MB. Increase the production size by at least 20% to allow for sufficient space.

2.6. Under Virtual hard disk format, click the button next to Dynamically expanding and click OK.

2.7. Right click Disk 1 to access the menu and click Initialize Disk.

2.8. From Initialize Disk window, click OK without making any changes.

2.9. Right-click the Unallocated Volume to access the menu, click New simple volume.

2.10. At the New Simple Volume Wizard Welcome screen, click Next.

2.11. At Specify Volume Size, click Next.

2.12. At Assign the following drive letter, select the desired Drive Letter from the drop-down menu. Click Next.

2.13. At Format Partition, click Next without making any changes.

2.14. From the New Simple Volume Wizard Welcome screen, click Finish.

2.15. From Computer, right-click the New Volume to access the menu. Scroll to and click Turn on BitLocker.

2.16. Click the checkbox next to Use a password to unlock the drive.

2.17. At Type your password and Retype your password, enter the standard SEC password, formatted as X The X represents the case name. Click Next.

2.18. Click Save the recovery key to a file.

2.19. Save the recovery key to workstation, not with encrypted VHD. Click Save.

2.20. Click Yes at the Do you want to save the recovery key on this computer prompt.

2.21. From the BitLocker Drive Encryption window, click Next.

2.22. From the Are you ready to encrypt this drive prompt, click Start Encrypting.

2.23. Monitor the progress meter.

2.24. At the Encryption… is complete prompt, click Close.

2.25. Note the lock icon on the encrypted drive.

3. Keep a backup on the E-Production workstation. A copy of productions, smaller than 16 GB should remain on the computer, for a minimum of 2 weeks.

4. For delivery to regional offices, copy files to the appropriate HQ to Regional_Dropoff network drive. Wait for the exchange to replicate the request to the HQ to Regional_Pickup network drive. Notify the LSS by e-mail of the completed request with the \\ad\enfdataexchange path to the specific pickup.

5. Click to view the Readme BitLocker Instructions

Note: Sample network locations for drop-off and pick-up are shown below. The regional offices have a data exchange set up to facilitate the swift transferring of data. Each region has a drop-off and pickup point for the home office.

6. When using multiple DVDs, split the production into parts that fit onto each VHD file. Run the robocopy script to copy the data into mounted containers. Click , type CMD, and press Enter to access the command prompt.

7. At the prompt, enter the robocopy command shown here, replacing the FROM and TO Locations with the appropriate paths.

8. Burn all home office productions under 16 GB onto CDs or DVDs. Click the desktop icon for CDBurnerXP, select Data disc, and click OK.

9. From the left pane, click the drop menu to navigate to the network location where the files are stored to be burned. Highlight folder and click Add to populate the contents in the Name, Size, Type, and Date modified fields.

10. Insert the blank CD/DVD in the computer drive and ensure that the Drive letter with disc data displays in the Disc field.

11. Click Burn and wait for the process to be completed.

11.1. Repeat steps 21-23 for each additional DVD to be burned.

12. Click the desktop icon for SureThing CD Labeler to create the DVD label.

13. Record the following:

• Disc count at Disc # of ##

• Case Number

• Case Name

• Disc contents

• Current date, formatted as MM/DD/YYYY

14. Send label(s) via e-mail to X (SP5360) to print directly on the burned CD/DVDs.

15. When done, collect the CD/DVD(s) from X.

6.2 Update AGENCY TRACKING SYSTEM

1. Update the E-Production Request information in AGENCY TRACKING SYSTEM.

2. Deliver the media to the SEC LSS.

6.3 Hard drives

For all productions over 16 GB, obtain a hard drive from the LSS requesting the production. At completion, return the drive to the regional LSS at the home office to be mailed out.

Follow these steps:

Refer to Section 6.1 for BitLocker and network processing instructions.

1. After calculating the size of the data to be copied, create an encryption file on the target media that is roughly 20% larger than the size of the data copied, if possible.

1.1. Plug the external hard drive into the computer. The encryption file is created directly on the hard drive.

1.2. The naming convention consists of the case name and the serialization of the encryption files. For example, AB-01234.vhd is the encryption file for a production of case AB-01234.

1.3. Set the password for an encryption file as Sec_AB-01234$ for case AB-01234.

2. After creation is complete, copy the files from the production workstation to the mounted encryption container on the hard drive.

3. When the copy is completed and validated, dismount the container.

4. Update the E-Production Request information in AGENCY TRACKING SYSTEM. (Refer to Section 6.2 for system instructions.)

4.1. From the AGENCY TRACKING SYSTEM Request menu, select Vendor Queue, and scroll to E-Production Request Queue.

4.2. Click Select next to the desired Request Number.

4.3. Update the following fields:

• Hard Drive Serial Numbers

• Total Database Records

• Total Database Images + Natives

• Hard Drives Produced

• Size of Production (MB)

• Vendor Comments

4.4. Click Save as Complete.

5. Update the E-Production Request information in agency tracking system. (Refer to Section

6.3 for system instructions.)

6. Unplug the external hard drive from the computer and deliver to the SEC LSS.

7. PDF Productions As stated in the Section 2, requests may be received for PDF productions. Follow these steps:

1. Refer to Section 4 and complete steps 2 – 7 to locate documents for production and check for SARs and use restrict fields, as well as replace missing images with slip sheets, as needed.

2. From Recommind Axcelerate| Explore, filter the Tag for the desired production and include the family documents, if requested.

3. Sort the list by the field requested by the LSS.

4. From Selections, click Select All to select all the documents.

5. From Actions, click Add to Production.

6. View the Request form to determine if this is the first production or a subsequent production from an earlier request. If new, at Select production, click the button next to Create a new production and click Next.

OR

If a subsequent production, click Use an existing production and select the appropriate prior production for the request. Then, skip to step 10.

Note: Occasionally, multiple requests are made under the same production name. Instead of selecting Create New Production, click Use Existing Production and select the specific production. When using an existing production, steps 8 and 9 below, are automatically excluded. Additionally, at Step 13, do not edit the First Page Bates field. Recommind tracks the last Bates number produced per sub-production and generates the correct starting Bates number for the new sub-production. In the event there are two requests for the same production with the same date requested, the requestID can be appended to the sub-production name.

7. At Define Bates number, enter the Prefix, Start number page, and select 9 from the Number of digits drop-down menu. Click Next.

8. At Define name and description| Name, enter the Prefix and click Next.

9. At Summary, review data and click OK.

10. At Choose sub-production mode, select Image and Native and click Next.

11. Verify that data is correct on the Validation screen and click Next.

12. Resolve any errors, as indicated in section 4.1 of this document.

13. At Define Name and Description of Sub-Production, complete the fields as follows:

• Name: Prefix_YYYYMMDD (current date)

• Description: RequestID #

Note: First page Bates auto-populates based on the last number used.

14. Click Next.

15. At Annotations and Slip Sheets, uncheck all boxes and click Next.

16. At Define header and footer settings, click Next without making any selections.

17. At Summary, review data and click OK.

18. At prompt, click Close.

19. To monitor the production, click Jobs from the Admin console.

19.1. View the progress meter in the Completion % field.

19.2. As errors are encountered, the Report Error Log displays.

19.3. Click Close.

20. Wait for the Completion % to reach 100%. Click the Error Log. Refer to Section 4.1 for instructions to resolve errors.

21. Close and re-launch the Axcelerate R&A application. Filter back to the sub production.

Do not sort any fields.

22. Return to Axcelerate| Explore. From Selections, click Select All to select all the documents.

23. From Actions, click Print in bulk…

23.1. The LSS determines if one multi-document PDF or and individual PDF for each document will be generated. From Define Maximum Number of Documents, enter desired number at Define maximum number of documents per print file. Click Next.

23.2. From Define Name and Description of Print Job complete the fields as follows:

• Name: Prefix_YYYYMMDD (current date)

• Description: RequestID #

23.3. Click Next.

23.4. From Select Image Source to Print, click Existing sub-production and select the desired jobs from the drop-down menus for Select production and Select sub-production. Click Next.

23.5. From Create Separate Sheet, click No if not specified on request form; otherwise click Yes. Click Next.

23.6. At Check the Results and Save, review data and click OK.

24. If no errors are found, click Close at the successful completion prompt.

24.1. If an error is encountered, the message here displays. Click Close.

24.2. Alert the Recommend System Administrators of the error via e-mail. Wait for resolution before continuing to step 25.

25. E-mail Recommend System Administrators to copy print job to the desired network location. (See path here.)

XXX

26. OCR PDFs from a server. Adobe Acrobat is unavailable for any other task until the OCR process is completed. If the number of PDFs is over a thousand (1,000), ask the LSS if the documents should be OCR’d.

26.1. Open a PDF in Adobe Acrobat to OCR the files.

26.2. From Tools, select Recognize Text | In Multiple Files.

26.3. From Recognize Text, select Add Folders from the

drop-down menu.

26.4. From Browse For Folder, navigate to the folder containing the PDFs and click OK.

26.5. Wait for the process to complete.

Note: If the screen appears to hang, go to the file location where the PDFs are stored.

As the OCR process completes for each document, the date and time update. If the date is current, the process is running. Jobs containing 5,000 or more documents may take several days to complete.

27. Create an encryption volume, as outlined in Section 6. (Copy Native folder and Image PDFs.)

28. Deliver media (based on size) to regional offices or HO SEC POC as requested.

29. Update AGENCY TRACKING SYSTEM as outlined in Section 6.

8. Locking Down Tags Either the LSS team or by the production staff can lock the production tag down to prevent modifications. If requested by the LSS team to lock the production tag, please follow these steps.

1. Go to the Security tab of the case, select the group the LSS specified to secure. Click the Folder button at the bottom.

2. Click Add.

2.1. At Define metadata fields for security settings, navigate to Tags from the drop down menu.

2.2. From Define field value for security settings, select the specified Tag to secure.

Click Next.

2.3. At Define security settings, select Read Only. Click Next.

2.4. At Check the results and save, review to make sure the proper settings were selected. Click Finish.

2.5. Click OK.

3. Once locked down, the tags will appear greyed out as in the image below.