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:

1. Load documents into Discovery Assistant.
2. Select ‘Deduplicate’ to remove duplicate files and messages.
3. Apply search terms (if necessary) to identify relevant documents.
4. Convert documents to TIFF.
5. OCR any scanned documents that don’t have text.
6. Re-apply search if necessary for documents that were OCRed
7. Assign Bates Stamps and Document IDs.
8. 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.

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

eb: www.DiscoveryAssistant.com