Appendice 10. Second request compliance checklist

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APPENDIX 10 10-1

SECOND REQUEST COMPLIANCE CHECKLIST

The following items are tasks or issues that must be addressed and/or

completed to comply with a second request.

xHave client suspend its normal document retention policy for

both hard copy and electronic files that may possibly be

responsive to the second request until investigation ends or staff

grants modification allowing certain files to be destroyed (e.g.,

routine recycling of daily back-up tapes of computer system).

xIdentify, search, and review

ż any central departmental files or off-site storage sites for

hard copy documents that will not be available

electronically;

ż the source of any electronic documents, including those

stored on desktop computers, laptops, PDAs, home personal

computers, centralized storage servers, whether on- or off-

site, portable or removable storage devices, archival voice

storage systems, back-up disks and tapes, and other archived

storage systems or devices;

ż any relevant proprietary information or other material

subject to nondisclosure agreements or protective orders;

ż any large collections of materials related to other

government-related filings or investigations;

ż secretary or assistant files (incorporated into higher officer’s

files);

ż files of former employees or current employees who have

been moved to other positions;

ż all responsive sites (e.g., regional sales offices, satellite

affiliates, major manufacturing or production sites) in the

United States or overseas; and

ż files of all members of the Board of Directors.

xInsure, if not modified by staff to be a “document-only” subpart,

that there is a narrative response detailing oral statements (made

to any officers of the client identified by staff as having to

recreate any such statements) by third parties about the

transactions.

xImplement process to address the fourteen-day and thirty-day

compliance periods (e.g., collect and review documents after

initial search for subsequently created or received responsive

documents).

xIdentify and, if necessary, contact all “agents and

representatives” of the client (outside counsel, investment