Productions - Does Disco's production delivery meet SEC Guidelines?

Question: I have been asked on two separate occasions whether our production load file format is 'SEC compliant'. Can someone verify that Disco's productions meet the Delivery Format (Concordance Imaged Productions) of the SEC Guidelines, and the .DAT file fields in Addendum A?

Answer: Going down the list with exclusion of 1 and 2 as we do not provide a cover letter or put these on disc for them (typically anyways).

  1. All submissions must be organized by custodian unless otherwise instructed. Answer: Easily done in our system
  2. All document family groups, i.e. email attachments, embedded files, etc., should be produced together and children files should follow parent files sequentially in the Bates numbering.
    Answer: This should be the case now, but earlier versions of the software may have trouble with this depending on the deduplication setting selected when producing.
  3. All load-ready collections should include only one data load file and one image pointer file.
    Answer: We provide multiple of each (DAT, LOG, XLSX, LOG, OPT, LFP, DII).
  4. All load-ready text must be produced as separate text files.
    Answer: Done by default.
  5. All load-ready collections should account for custodians in the custodian field.
    Answer: We do this as well.
  6. Audio files should be separated from data files if both are included in the production.
    Answer: These are sorted into the Natives folder but wouldn't not be separated from existing other natives.
  7. Only alphanumeric characters and the underscore character are permitted in file names and folder names. Special characters are not permitted.
    Answer: This is out of our control. Whatever we ingest is what they would get here and is controlled by the original sender of the data.
  8. All data productions must be produced using industry standard self-extracting encryption software.
    Answer:Not sure what their standard is, but this shouldn't be an issue.
  9. Passwords for documents, files, compressed archives and encrypted media must be provided separately either via email or in a separate cover letter from the media.
    Answer:Provided by counsel, out of our hands.
  10. All productions should be produced free of computer viruses.
    Answer: We do not virus scan and would send them 'virus-ridden' files if that is what we received. There is potential that their virus software could potentially remove files from productions due to this (auto delete virus containing files, etc.). This is something that we have talked about, but is not currently implemented.
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