Chevron_Hard Copy Document Coding Manual

8/6/2019 Chevron_Hard Copy Document Coding Manual

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Hard Copy Document Coding Manual.doc

Hard Copy

Indexing Procedures

Developed by the Law Function Administration - IT TeamCopyright Chevron 2005

Legal Advantage Web Help Desk

[email protected]


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Hard Copy Indexing Procedures

Chevron Business Confidential 2 [email protected]

Table of Contents

Who Should Use This Manual and Why 3Indexing Goals 3Document Imaging and Indexing 3Document Break Determination/Unitization 4General Indexing Rules 7Vendor Checklist for Handling Hard Copy Documents 7Creating an Update IDX File 8Field Descriptions/Definitions 10Field Indexing Rules 13Appendix 25

Appendix A: Document Security Level 26Appendix B: Document Characteristics 27Appendix C: Document Type 29Appendix D: IDX File Layout 35


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Who Should Use This Manual and Why

This manual is to be used by all persons imaging/indexing and/or providing data entry support. Theseinstructions are important for quality control and are designed to ensure the integrity of Chevronslitigation data. Please read the instructions carefully and adhere to them. If a situation arises that is not

discussed in this manual, immediately contact either the Chevron Legal Analyst who engaged you onbehalf of Chevron or the Legal Advantage Web Help Desk at [email protected]

Indexing Goals

1. Index documents once, but maintain the ability to associate each document with multiplematters.

2. 100% compliance with indexing and data entry procedures in order to provide consistency,accuracy and the ability to search and retrieve documents.

3. Minimize/Eliminate the costs for maintaining multiple or redundant databases.

Document Imaging and Indexing

Chevrons Lead Attorney and Legal Analyst determine which documents to image, based on ChevronLaw Functions guidelines and scanning criteria. All imaging will occur at the document level. Thesedocuments are Chevrons original documents. Chevron expects these documents will be kept in theiroriginal order and in excellent condition.

Document indexing is performed internally at Chevron or by an outside vendor, who transmits the datawith its corresponding images to Chevron. Coordination between Chevron IT and the outside vendor ismandatory to ensure the uploading process is timely and accurate. Chevrons Legal Team and theindexing/imaging vendor are both responsible for Quality Assurance/Control, to ensure the data complieswith the contracted request and Chevron standards. The Chevron Legal team is responsible for providingtimely feedback to ensure errors are caught early in the process. The Chevron Legal team will differ forevery matter/document review, but will typically comprise of Chevron and Outside Counsel personnel.

All hard copy documents to be loaded into Introspect must be scanned as black and white, 300 dpi,Group IV TIFF images.

Upon completion of the imaging and indexing processes, the data is to be provided to Chevron in an IDXload file format. This format is further defined in Appendix D.

Chevron has the ability to OCR images internally and will no longer engage vendors to OCR documents.

Outside Counsel can upload ad hoc documents to the system when necessary; however the ChevronLegal team is responsible for indexing those documents. Outside Counsel will no longer objectively index

documents. However, Chevrons Legal Team and/or Outside Counsel are responsible for subjectivelyindexing documents, once the objective indexing effort is complete.

Privileged documents are withheld from the opposition and are protected from discovery by the otherside. The Chevron Lead Legal Analyst will identify any privileged documents, which must be treated withthe utmost confidentiality. Mishandling privileged documents is grounds for termination.

Privileged documents may not always be stored in the same location as produced documents. As aresult, do not re-file documents where they may fit in logical Bates numbering sequence (i.e. do not filedocuments solely by Bates Numbers). When working with original hardcopies of privileged documents,


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seek guidance from the Chevron Lead Legal Analyst regarding the physical storage of privilegeddocuments. If you are in doubt whether you are indexing privileged documents, immediately seekclarification from the Chevron Lead Legal Analyst.

Document Break Determination/Unitization

Overview:

The unitization process determines the range of document images that together form single or multiplepage documents. The unitization process also determines a documents attachment range whenapplicable, and defines the corresponding numbering range.

Document Determination:

Every document is categorized with at most one document type. A list of the Chevron approveddocument types can be found in Appendix C. The document type can assist in determining where thedocument begins and ends. Specific titles, dates, authors, pagination, etc. also help in determining theproper document break.

Attachment Determination:

An attachment range involves a parent or root document with child(ren), or supporting/attacheddocument(s) and a numbered range is used to uniquely identify the parent and child(ren) of theattachment range.

The parent document should specifically reference the child(ren) document as being attached. Keyphrases to assist with identifying attachments are:

Enclosed is/are

Here is/are

Attached is/are and

Accompanying this is/are

Documents that are related or physically bound are not necessarily attachments to one another. For

example, documents placed in the same folder for storage purposes are not necessarily attachments ofone another.

Document breaks are physical and logical. For example, a fax transmitting two pleadings is actually threeseparate documents: the fax cover page, pleading one and pleading two. The page numbers, footers,headers, table of contents, index, etc. help to determine these document breaks.

A document and its clearly identifiable logical attachments are indexed as separate documents. However,if a document is considered to be an attachment of another document, the parent and child(ren) areincluded in the same attachment range.

Divider tabs or folders used to separate attachments are NOT considered documents for documentbreaks and/or indexing.


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Document Break Examples

Example A:

A book titled Care & Maintenance of Computers with chapters titled KeyboardMaintenance, Cleaning Your Monitor and Use of Screen Savers would be indexed as

one document described as Care and Maintenance of Computers because:

1. Each chapter is a different part of computer maintenance, as the main titleportrays.

2. The chapters of the book are probably written at the same time.

Document Break Examples

Example B:

A binder titled Exhibits for John Smiths Deposition with tabbed sections containing amemo, a contract and a map would be indexed as separate documents because:

1. The title Exhibits for John Smiths Deposition does not cover the subject of thememo, the title of the contract, or the title of the map.

2. The memo, contract and map were probably created on different dates andlater placed into a binder, just like a folder.

Considering the objective information on each of these documents varies, thedocuments must be unitized and indexed separately, but linked together via theattachment range.

The majority of documents will be unitized, imaged and indexed by outside vendors and supplied toChevron in bulk for upload. Additionally, Chevron and Outside Counsel users have the ability to uploadad hoc documents themselves. In doing so however, it is not possible to define document attachmentrelationships. To solicit assistance in uploading ad hoc documents that require attachment rangedefinitions, please contact the Legal Advantage Web Help Desk at [email protected].

Unitization Examples:

The following are some general guidelines for document unitization. There may be exceptions. If in doubtwhen determining the appropriate breaks, ask the Chevron Lead Legal Analyst or the Legal AdvantageWeb Help Desk at [email protected].

Type of document Proper Unitization

A set of pages with consecutive page numbers or with the same header(The only exception is a printout of one persons e-mails each e-mailshould be indexed separately).

One document

A book with chapters. One document

A report with tabbed sections. One document

A letter with an untitled, undated attachment and the attachment is notclearly identifiable as a specific document type, yet contains informationsimilar to that of the letter.

One document


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Note and describe the attachment in the Index Description.

A letter titled and dated separately from its clearly identifiableattachments.

Create a relationship between the documents.

Separate documents

A letter and an envelope, a certified mail receipt or a Fed Ex air bill, withthe same author and recipient.

Note and describe the attachments in the Description field.

One document

An invoice and supporting receipt(s).

Note and describe the attachments in the Description field.

One document

Two copies of the same document, with different Bates numbers(Chevrons goal is to index documents once and associate them withmultiple matters and document productions).

One document

Two copies of the same document, with the same Bates numbers.

Tag duplicates and bring to the attention of the Chevron Lead Legal

Analyst.

One document

A contract with exhibits. One document

A report with appendices, figures or tables. One document

A cover letter transmitting a number of separate documents.

Create a relationship between the documents.

Separate documents


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General Indexing Rules

1. Data entry will be in logical mixed case as it appears on the document.

2. If there is a field in which data can be captured from the document, populate the field.

3. If there is a field in which no information from the document can be captured, leave it blank. Do notuse N/A, unknown or any similar verbiage.

4. All dates are entered in the YYYY/MM/DD format.

5. Each value in a multi-value field is entered on a separate line.

6. All Bates number fields are zero filled to 8 digits.

7. When indexing directly into Introspect (Chevron Legal), only those fields listed in this document areindexed. The remaining fields, when applicable, are further described in the Electronic IndexingProcedures manual.

8. If you are uncertain about any data entry rules or require any clarifications, contact the ChevronLead Legal Analyst or the Legal Advantage Web Help Desk at [email protected].

Vendor Checklist for Handling Hard Copy Documents

This is a quick checklist for vendors imaging documents for Chevron. These rules must be followed whenimaging documents for loading into Introspect, and failure to abide by these rules will impair the dataloading process.

1. All TIF images must be in 300 dpi and Group 4 compression format.

2. Introspect will only recognize a certain range of ASCII values. The following ASCII characters (indecimal code values) must be removed from all OCR text files, when provided:

a. ASCII codes greater than or equal to 127 should be removed.

b. ASCII codes between 0 and 31 should be removed; exceptions are ASCII codes of 9

(horizontal tab), 10 (NL line feed, new line), 12 (NP form feed, new page), and 13 (carriagereturn).

3. To allow for side-by-side search term highlighting between the image and OCR text, Introspectrequires that the OCR text file have a New Page character (ASCII code 12) inserted at every pagebreak. All OCR text files must adhere to this specification. However, there should be no additionalpage break at the end of the OCR file, as this incorrectly increases the page count in the system.

4. All double-quotes () contained within a field value should be replaced with single-quotes. BecauseIntrospect requires field values to be enclosed by double-quotes, having them within a value willcause the system to fail during load.

5. The UDF numbers in the header of the IDX file should be in numerical order (eg. UDF1, UDF2,UDF3, etc.).

6. The number of columns specified in the header of the IDX file should equal the total number of UserDefined Fields. The 9 standard Introspect fields (ie. Related Doc ID through Bates Number/File fields)should not be included.

7. The following fields are required and must be present in the IDX file:

a. Control Range Prefix

b. Control Range Begin Number

c. Control Range End Number


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d. Start Date

e. Business Unit (will be provided by Chevron when the vendor is engaged)

f. Description

g. Document Type

h. Source (will be provided by Chevron when the vendor is engaged)

i. Vendor Processing ID

8. If you are uncertain about any electronic data handling rules or require any clarifications, contact theChevron Lead Legal Analyst or the Legal Advantage Web Help Desk [email protected].

Creating an Update IDX File

In order to update already loaded documents, including the TIF image, OCR text file, and codedinformation, an update IDX file is required. The IDX file used to update existing documents has the samebasic structure as the standard IDX file, but it should only contain the fields that require updating, alongwith a field that can uniquely identify a document. In most cases, this uniquely identifying field will be theVendor Processing ID. This is why it is so crucial that the vendor provide unique Vendor Processing IDswhen delivering the original IDX file.

When an update to existing documents is required, there are generally 2 different cases:

1. The TIF image and/or OCR text file must be updated.

2. Certain coded information pertaining to an existing document must be updated.

In the first case, the path and name of the document to be updated are provided, along with the uniquelyidentifying field. All other user-defined fields must be omitted. For example, when the TIF image and itsOCR text is to be updated, the update IDX file should resemble the format below:

"Version=5.1"

"Status=1"

"ExternalID=1"


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"Status=1"

"ExternalID=3"


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Field Descriptions/Definitions

Field Field Description Field Definition

Control Range Prefix (UDF1036)

This field captures the prefixthat uniquely identifies a set ofdocuments.

Chevron personnel will providethis value.

Single-Value Text

Control Range Begin No(UDF 1037)

This field captures the numberthat uniquely identifies the firstpage of the document.

Integer

Control Range End No (UDF1038)

This field captures the numberthat uniquely identifies the lastpage of the document.

Integer

Attach Range Prefix (UDF1039)

This field defines the ControlRange Prefix for the documentsincluded in the attachmentrange.

This field is only used if thedocument is part of anattachment range.

Single-Value Text

Attach Range Begin No (UDF1040)

This field defines the ControlRange Begin No for thedocuments in the attachmentrange.

This field is only used if the

document is part of anattachment range.

Integer

Attach Range End No (UDF1041)

This field defines the ControlRange End No for thedocuments in the attachmentrange

This field is only used if thedocument is part of anattachment range.

Integer

Start Date (UDF 1003) This field captures the primarydate (or the starting date in arange), found on the document

Date (YYYY/MM/DD)

Filler value 01 for missing day or

month and 1801 for missing year

Start Date Estimated (UDF1028)

This field defines whether thedocuments Start Date is actualor estimated.

Boolean

No=0 and Yes=1

End Date (UDF 1004) This field captures the end dateon the document, if applicable.

Date (YYYY/MM/DD)

Filler value 01 for missing day ormonth and 1801 for missing year


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End Date Estimated (UDF1033)

This field defines whether thedocuments End Date is actualor estimated, if applicable.

Boolean

No=0 and Yes=1

Business Unit (UDF 1009) This field defines the originatingbusiness unit of the document

Single-Value Text

Default Bates Begin (UDF1005)

This field captures the Batesprefix and number physicallyfound on the first page of thedocument, related to the currentmatter.

Single-Value Text

Prefix and Number concatenatedwith the number zero filled 8 digits.

For example: CVX0000001

Default Bates End (UDF1006)

This field captures the Batesprefix and number physicallyfound on the last page of thedocument, related to the currentmatter.

Single-Value Text

Prefix and Number concatenatedwith the number zero filled 8 digits.

For example: CVX0000001

Description (UDF 1024) This field captures thedocument title and/or otherinformation describing thedocument.

Large Text

DocumentType (UDF 1001) This field captures informationregarding the format of thedocument.

Single-Value Text

Document Security Level(UDF 1030)

This field captures the securitylevel physically located on thedocument.

Multi-Value Text

Source (UDF 1025) This field captures the source

or chain of custody of thedocument.

This information will beprovided by Chevron at theonset of indexing.

Single-Value Text

Chevron Asset ID (UDF 1020) This field captures the FieldNumber, Chevron Number, APINumber and/or Well Name andNumber on a document.

Multi-Value Text

Each value will be preceded by thename of the number, a colon and aspace.

For example: API#: 23-45-678912

Author (UDF 1007) This field captures informationabout the individual(s) and/ororganization(s) thatcreated/signed the document.

Multi-Value Text

Recipient (UDF 1008) This field captures informationabout the individual(s) and/ororganization(s) to whom thedocument is directed.

Multi-Value Text


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CC (UDF 1016) This field captures theindividual(s) who were provideda copy of the document.

Multi-Value Text

BCC (UDF 1017) This field captures theindividual(s) who were provideda blind copy of the document.

Multi-Value Text

Document Characteristics(UDF 1034)

This field captures anyanomalies or physical attributesregarding the document thatmay not be found by the OCR.

Multi-Value Text

Storage Date This field captures the date thedocument was brought intoIntrospect.

Chevron personnel willpopulate this field.

Date (YYYY/MM/DD)

External Bates No (UDF1022)

This field captures all Batesstamps historically associatedwith the document, but not apart of the current matter.

Multi-Value Text

Prefix, Begin and End Numbers willbe concatenated with the numberzero filled 8 digits.

For example:CVX00000001-00000011

Venture No (UDF 1042) This field captures all of thereferences to a Venture orProperty Number on adocument.

Chevron personnel willpopulate this field as needed.

Multi-Value Text


For example: Property#: 23-4589

Business Associate No (UDF1021)

This field captures all of thereferences to a BusinessAssociate or Owner Number ona document.

Chevron personnel willpopulate this field as needed.

Multi-Value Text


For example: Owner#: 345323

Box No (UDF 1012) This field captures the numberof the box in which a documentwas found, when applicable.

Multi-Value Text

Folder No (UDF 1014) This field captures the numberof the folder in which adocument was found, whenapplicable.

Multi-Value Text

Vendor Processing ID (UDF1526)

This field captures theprocessing vendors unique ID,if different from the ControlRange fields.

Single-Value Text


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Field Indexing Rules

Req. Field Rules

This field utilizes a standardized prefix naming convention, the first partof which will be provided by the Chevron Lead Legal Analyst.

The standard naming convention for hard copy documents is HC , where HC represents Hard Copy Documents.

The Vendor is responsible for adding the unique JobID to the prefix touniquely identify the set of documents being processed in the current

job.

For Example:

Actual document data: Control Range Prefix Value:

R Control RangePrefix

Hard copy documents from Chevron

that were processed by Medleh

HC MED 125

R Control RangeBegin No

This field is populated with the unique starting value of the document.

This number will always begin at 1, when paired with a new ControlRange Prefix.

When processing documents on a rolling basis, it is the vendorsresponsibility to keep track of the last number used for a prefix, to knowwhere to start upon receiving the next set of documents with the sameprefix.

R Control RangeEnd No

This field contains the unique ending value of the document.

Attach RangePrefix

This field contains the Control Range Prefix of those documents that area part of an attachment range.

Attach RangeBegin No

For those documents that are a part of an attachment range, this fieldcontains the Control Range Begin No of the parent document.

The format must follow the Control Range Begin No field definition.

If the document is not part of an attachment range, this value remainsblank.

Req. Field Rules


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Attach RangeEnd No

For those documents that are a part of an attachment range, this fieldcontains the Control Range End No for the last child document in therange.

The format must follow the Control Range Begin No field definition.

If the document is not part of an attachment range, this value remainsblank.

For Example Documents without Attachments:

ControlRange Prefix

ControlRangeBegin No

ControlRange EndNo

AttachRangePrefix

AttachRange BegNo

AttachRange EndNo

Archives 12350 12350 [Blank] [Blank] [Blank]

For Example Documents with Attachments:

Document ControlRangePrefix

ControlRangeBegin No

ControlRangeEnd No

AttachRangePrefix

AttachRangeBeg No

AttachRangeEnd No

Fax CoverSheet (Parent)

Archives 12351 12351 Archives 12351 12355

2-Page Letter(Child 1)


2-Page Memo(Child 2)


R Start Date This field captures the date the document was written, created orexecuted, if available.

This is a single value Date/Time field that must contain 8 characters inthe format YYYY/MM/DD.

If no date is available, or the document is covering a range of dates,

capture the EARLIEST date.

Use the filler values 01 for the month and/or date and 1801 for theyear, if any part of the date is unavailable.

For Example:

Actual Date on document: Start Date field value:

May 1998 1998/05/01

May 1 1801/05/01

May 1801/05/01

1998 1998/01/01

No Date 1801/01/01

Prioritize the various court dates as follows:

Req. Field Rules


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Document type Date to use

Court Documents/ Pleadings Date stamped/filed with Court.

Date signed.

Depositions Date the deposition was taken

Contracts Effective date (usually in the firstparagraph).

Start Date(contd)

Other Documents Date created or signed. If more thanone signature, use EARLIESTsignature date.

Date filed with court or regulatoryagency.

Date submitted.

Date approved. If more than onesignature, use the EARLIESTsignature date.

Date Received (stamp).

Fax header date.

This field is marked yes if any part of the actual Start Date is incompleteand therefore contains a filler value in the Start Date field.

If the entire Start Date is taken directly from the document, this field isleft blank.

For Example:

Actual Date on Document: Start DateField Value:

Start Date EstimatedField Value:

May 2000 (actual day in May isunknown) 2000/05/01 1 (True)

Start DateEstimated

May 01, 2000 2000/05/01 [Blank]

End Date The End Date field format follows the Start Date field definition.

This field is generally left blank, but will have an entry in the followingsituations:

If there is more than one signature date, enter the LATEST signaturedate.

If no other date is available and the document is covering a range ofdates, enter the LATEST date in the field.

End DateEstimated The End Date Estimated follows the same format as the Start DateEstimated field.

If the End Date value is left blank, the End Date Estimated value is alsoleft blank.

Req. Field Rules


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R Business Unit Select the business unit from which the document originally came (to beprovided to vendor by Chevron Legal).

Options include: Global Downstream, Global Gas, Domestic Upstream,International Upstream and Corporate.

Enter the Bates number physically located on the documents first page.

These documents are used in multiple matters and may have more thanone Bates stamp. In such a case, enter the Bates number for the matterin which the collection is being indexed all others will be captured inthe External Bates Number field. If in doubt as to which to capture, askthe Chevron Lead Legal Analyst.

Enter the prefix in all caps immediately followed by the Bates number.

Do not use hyphens or spaces and zero-fill eight digits, regardless ofhow the number appears on the document.

Any suffix is documented as is. The only exception is to substitute aperiod for any symbols or spaces connecting the number and the suffix.

A one-page document has the same value in the Default Bates Beginand End fields.

For Example:

Actual Bates stamp on document: Default Bates Begin field value:

Default BatesBegin

LABRK123-001 LABRK00000123.001

Default BatesEnd

Enter the Bates number physically located on the last page of thedocument.

Use the same format as defined for the Default Bates Begin field.

A single page document contains the same value in the Default BatesBegin and End fields.

Req. Field Rules


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R Description All Documents - General Indexing

Enter the verbatim title of the document. If there are multiple titles ortopics, enter the titles verbatim and separate them with a slash andspace.

If the document does not have a title, enter a concise, generaldescription of the document and its contents.

Insert all punctuation in the title as you see it on the document and useslashes (surrounded by spaces) to separate each thought.

Capitalize the first letter of each word except for words like: and, or, butfor, is, the, if, a, an, of, with, etc.

When paraphrasing, only the first letter of the first word should becapitalized unless it is a proper name.

Enter the complete re: lines and subject lines; however the subject line isnot always enough information to describe the document and someadditional paraphrasing may be needed.

Do not use hard returns.

The goal of the description field is to facilitate finding a document viasearching. Therefore, enter information that will help someone find thatdocument. Think in terms of a book reportanswer questions like who,what, when, where, and why. The first sentence of a letter often givesthe subject of the document, but not alwaysbe sure to read and think.For example, a letter starting I enjoyed meeting you at the Conference.Enclosed are documents A, B, C is NOTabout enjoyed meeting you atthe conference; its about transmitting documents A, B, C.

Always read the description after it is entered; make sure it will makesense to others, that all words are spelled correctly and that thedocuments are described thoroughly.

If a portion of the description falls in another field, exclude the redundantportion from the description field and populate it in the proper field. Forexample, a report titled Soil Sampling Data should have a documenttype field value of Report and a Description field value of SoilSampling Data.

Lawsuit Titles

Besides the information above, capture the following information regardinglawsuit titles.

It is not necessary to include a detailed description/name of all of theparties in a matter caption/style (the top portion that specifies the parties,plaintiffs, defendants, interveners, appellees, appellants, etc.). The

lawsuit information is captured in the matter information and need not beincluded in the description field.


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Req. Field Rules

Only capture an abbreviated version of the matter if indexing a pleadingdocument that is not for the active matter being indexed. Use the nameof the first plaintiff versus (vs.) the name of the first defendant, court andmatter number.

For Example:

Description field value:

Description(cont.)

John Doe vs. Chevron Corporation, Harris County, Texas, Cause no. CV-99-1234

Pleading and Other Court Documents

Besides the information above, capture the following information forpleadings and other court documents.

The description field must contain the title of the document andadditional information to clarify the document, such as the party filing thedocument. For example Order is not sufficient for the description. Abetter example is Order Granting Letters Rogatory (re: Court havingconsidered plaintiffs motion for letters rogatory is of the opinion that themotion should be granted.)

Only the final signed and dated versions are indexed as courtdocuments. Proposed, unsigned orders are not indexed separately ifthey are attached to a motion; however, if filed separately, they areindexed separately and described as proposed and unsigned. Signedorders are described as signed.

Court documents will not bear a Bates number unless they are producedin the discovery process.

Exhibits or attachments to a court document are generally coded

separately. Create an attachment relationship between the courtdocument and its one or more exhibits or attachments.

For Example:

Description field value:

Exhibit 1 to Chevrons Response to Plaintiffs Motion for Summary Judgment


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Req. Field Rules

Well Documents

Besides the information above, capture the following additional informationfor Well documents:

Descriptions for Well documents include the following informationseparated by semi-colons for each well. A zero precedes each singledigit well number.

For example:

Actual document data: Description Field value:

Description(cont.)

Field: Baxterville

Well name: I H Bass, et a 1-68

Location: Block 1, Sec 16

Township 9 North

Range 9 West

API: 23-073-20090

State: Mississippi

County: Lamar

Block 1, Sec 16-T9N-R9W; LamarCounty; Mississippi

Costs for Authorization for Expenditure (AFE) Documents

Besides the information above, capture the following information for AFEdocuments and cost reports.

AFE documents include the following information after briefly describingthe type of cost and well information as described above, separated bysemi-colons. Collapse all AFE numbers, eliminating all spaces such ashyphens, commas, periods, etc.

For Example:

Actual document data: Description field value:

AFE Number: 1-34004-a or 1-34004 a

Amount: $360000.10

Approval date: 04/30/1993

AFE 134004a; 360000.10; 04/30/1993

FORM Document

Besides the information above, capture the following information for theFORM documents.

Form documents are usually identified by the use of the word FORM orby their appearance. Include the complete form title followed by the

FORM number (if applicable). The form number is usually located on thetop or bottom of the form.

If the document is a form or a report, the name of the form or reportshould appear in the first line of the description.


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Req. Field Rules

R Document Type A list of document types and their definitions is located in Appendix C.

A documents type is determined by the format of the document.

Choose the entry that best matches the document.

Use only the document types provided in the appendix.

Enter only ONE document type value for each document.

If experiencing difficulty in determining the document type, pleasecontact the Chevron lead Legal Analyst or Legal Advantage WebHelp Desk at [email protected].

DocumentSecurity Level

A list of the security levels and their definitions is located in Appendix A.

Use only the security level types provided in the appendix.

More then one security level value can be entered for each document.

Enter each value on separate lines.

If the document is physically stamped with one or more of the choices inthe appendix, enter that value(s) in the field. Otherwise, leave the fieldblank.

If the Chevron Lead Legal Analyst denotes a document or set ofdocuments as having a specific security level, enter that value in thefield. Otherwise, leave the field blank.

R Source The Chevron lead Legal Analyst defines this value for the vendor, priorto imaging and indexing.

This field value defines the chain of custody for a hard copy documentand need be, leads the online reviewer directly to the hard copydocument.

This field value defines the original source of an electronic documentand need be, will lead the online reviewer directly to the electronic datasource. This is the only field manually populated for electronicdocuments.

The source field value must be as detailed as possible.

Separate thoughts or sections of the source field by a slash (/).

For Example:

Actual document data: Source field value:

The document came from TIMES TIMES

The document came from theHouston Active Files Center Houston Active Files Center

The document came from the filefolder Marketing, found within JohnSmiths file drawer 2005 planning atChevron in Houston, Texas

Chevron / Houston, Texas / JohnSmith (CAI) / 2005 Planning /Marketing


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Req. Field Rules

This field contains any or all of the following asset IDs: Field Number,Chevron Number, API Number and Well Name/Number.

The name of the Asset, a colon and a space precedes the field value.

Each value is entered on a separate line.

For Example:

Actual document data: Chevron Asset ID field value:

API Number API #: 23-073-20090

Chevron Number Chevron #: 243565

Field Field: Baxterville

Chevron AssetID

Well Name Well: 1 H Bass, et a 1-68

Author Enter ALL people and companies (if available) who wrote, created,originated or initiated the document

Name field format rules:

Last Name comma space First Name space Middle Name spacehyphen space Company Name(s).

Enter the name as it appears on the document. Do not makeassumptions, but do use your knowledge from indexing thedocuments to make an effort to decipher illegible names.

If only part of the name is available, enter the part that is there,including first names or initials only.

Do not use punctuation (except a comma separator between LastName and First Name).

Enter initials without periods or spaces between them.

Enter titles (Jr, Sr, II, III, Dr, MD, PhD) after the middle name.

Do not enter titles like Mr, Mrs, Esq, etc.

Do not enter position titles like President, Chairman, etc.

Enter each name on a separate line.

If any part of at least one name is hard to read, substitute it withILLEGIBLE. DO NOT GUESS. However, there should only be oneinstance of ILLEGIBLE in the Author field for a document, no matterhow many occurrences of illegible names.

On contracts, all names on or under the signature lines are Authors,whether their signature is present or not.

If someone signs for someone else, or if additional names are providedas having been Prepared by, Approved by, Inspected by,Authorized by, or Performed by, enter all names as Authors.However, Court Reporters, Notary Publics and names of individualswitnessing signatures are not considered Authors.


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Req. Field Rules

Author (Contd) For a letter, memo or report, if the document is on letterhead, thecompany on the letterhead is almost always the company where theAuthor is affiliated.

All signatures, approvers and applicants are Authors. If names appear in marginalia or fax post-its and the person forwarding

the document is NOT the originating author, then enter the name(s) ofthe person forwarding the items as a second author.

For Example:

Actual document data: Author field value:

John Smith, with A.H. Robins Company Smith, John AH Robins

John J. Smith, with A.H. Robins Company Smith, John J AH Robins

J.J. Smith Smith, JJ

John with A.H. Robins Company John AH Robins

A.H. Robins Company (no persons nameavailable)

AH Robins Company

Mr. John Smith Smith, John

John J. Smith Jr. Smith, John J Jr

JJS, Jr. JJS Jr

Recipient Follow the same formatting rules as outlined in the Author field.

Enter all people and companies to which the document was primarilyaddressed.

Do not enter those people and companies who received a copy of thedocument (via CC, BCC, or other routing lists).

If names appear in marginalia or fax post-its as additional recipients, orcopyees, enter the names in the Recipient field.

CC Follow the same formatting rules as outlined in the Author field

Enter all people and companies to which the document was secondarilyaddressed, via CC.

BCC Follow the same formatting rules as outlined in the Author field

Enter all people and companies to which the document was blind copyaddressed, via BCC.

DocumentCharacteristics

A list of the document characteristics and their definitions is located inAppendix B.

Use this field to denote anomalies, inconsistencies or otherdistinguishing traits on a document that may not be found via OCR.

Enter each value on a separate line.


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Req. Field Rules

Storage Date Captures the date the document was placed in Introspect.

Will be left null during vendor processing and populated only by Chevron(and is therefore not found in the IDX file layout in Appendix D.)

External BatesNo

If multiple Bates numbers appear on the document, enter the otherBates Number(s) appearing on the first and last page of the document.

Follow same formatting standards as outlined for the Default BatesBegin and Default Bates End fields. The only exception is toconcatenate the Begin and End field values into one field, separated bya space, a hyphen and a space.

Enter as many sets of Bates numbers as appear on the document, eachon a separate line.

For example:

Actual document data: External Bates No field value:

Begin No: LABRK123-001

End No: LABRK123-005

LABRK123-001 - LABRK123-005

This field contains any or all references to either a Venture Number or aProperty Number.

The name of the type of number, a colon and a space precedes the fieldvalue.

Each value is entered on its own line.

Chevron personnel will populate this field on a document-by-documentbasis as necessary (and it is therefore not included in the IDX file inAppendix D.)

For example:Actual document data: Venture No field value:

Venture Number = 123456 Venture #: 123456

Venture No

Property Number = 1-234567 Property #: 1-234567

This field contains any or all references to either a Business AssociateNumber or an Owner Number.

The name of the type of number, a colon and a space precedes the fieldvalue.

Enter each value on a separate line.

Chevron personnel will populate this field on a document-by-document

basis as necessary (and it is therefore not included in the IDX file inAppendix D.)

For example:

Actual document data: Business Associate No field value:

Business Associate Number = 23456 Business Associate #: 23456

BusinessAssociate No

Owner Number = 56789 Owner #: 56789


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Req. Field Rules

Box No Enter the box number, as it is known, in which the document is found.

Do not use punctuation (including hyphens, slashes, periods, etc.).

Enter each additional box number on its own line.

Folder No Enter the folder number, as it is known, in which the document is found.

Do not use any punctuation (including hyphens, slashes, periods, etc.)

Enter each additional folder number on a separate line.

This field captures the processing vendors unique ID per document,when different from the Control Range fields.

Otherwise, this field will be a concatenation of the Control Prefix andControl Begin No field, with a space in between the two field values.

For Example:

Control Range Prefix Control Range Begin No Vendor Processing ID:

R VendorProcessing ID

HC MED 125 123 HC MED 125 123


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Appendix

What you will find in the appendix:

Appendix A: Document Security Level Values

Appendix B: Document Characteristics Values

Appendix C: Document Type Values

Appendix D: IDX File Layout


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Appendix A: Document Security Level

The following list details the choices available in the Document Security Level drop-down list.

Security Level Description

Attorney/Client This level of security indicates the document and its information shouldbe treated as private and for attorneys information only, or as otherwisedesignated between parties.

Attorney Only This level of security requests or provides legal advice between anattorney and client and protects the document from disclosure.

Business Confidential This level of security indicates the document or information must betreated as private and is not for publication. This document usuallycontains information as it relates to business purposes, practices oractivities. Disclosure of this type of document or information may causecompetitive injury, including but not limited to strategy, profitability,marketing, business and strategic planning, etc.

Confidential This level of security indicates the document and its information must betreated as private and not for publication.

Party Communication This level of security indicates the document and its information must betreated as private and confidential communication between an attorneyand his/her client.

Privileged This level of security indicates the document and its information must betreated as private and confidential communication between Chevron andtheir counsel.

Proprietary This level of security indicates that the document, information orknowledge is owned and marketed by a person or persons having theexclusive right to disclose, manufacture or sell. Disclosure of thesedocuments or information may cause competitive injury, including but notlimited to strategy, profitability, marketing, business and strategicplanning, etc.

Work Product This level of security indicates the document or information must betreated as private, confidential and not for publication. It contains theattorneys thought processes, mental impressions, beliefs, notes andopinions assembled in litigation or in anticipation of litigation. Alsoincludes any work product prepared at the direction of an attorney inanticipation of litigation.


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Characteristics Definition

Watermarks There is a watermark on the original document.


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Appendix C: Document Type

The following list details the choices available in the Document Type drop-down list.

Document Type Definition

Affidavit A statement, usually bearing Affidavit in the title, of facts, madevoluntarily and confirmed by the oath that the contents are, to the bestof the signors knowledge, true. A notary or other judicial officerssignature under oath verifies that the signature was under oath.

NOTE: Also includes documents titled Declaration, Verification, orsimilar titles that includes language affirming the truth of the statementtherein under penalty of perjury. However, verifications at the end ofinterrogatory answers should be indexed with interrogatories.

Agenda/Minutes A document, often bearing Agenda in the title, listing topics and/oroutlining a plan to be considered or followed during a meeting, trainingsession or conference.

Agreement A mutual assent, usually bearing Agreement in the title, between twoor more legally competent persons and/or companies, which ordinarilylead to a contract, including Letter Agreements.

NOTE: Do not include Agreements with specific document types i.e.Easements, Contracts, etc.

Answer A pleading, usually bearing Answer in the title, which serves as onepartys formal response to another partys complaint, petition, cross-claim, etc.

Authorization forExpenditures

A document authorizing appropriation of funds requesting work, productor other type of expenditures. May be abbreviated on the document toread AFE.

Brief A document, usually bearing the word(s) Brief, Brief in Support,Memorandum in Support, or Memorandum of Law in the title,containing a summary or statement about facts of a matter and acompilation of applicable authorities (matter law, regulations, statutes,etc.) supporting a partys request or asserted position in anaccompanying motion.

NOTE: Do not index as Brief if the document also contains the Motion(see definition of Motion below).

Certificate A document usually bearing Certificate in the title, asserting certainfacts (i.e. Birth Certificates, Marriage Certificates, Degree certificates,etc.).

Check A written order to a bank to pay out money from an account to theindividual or entity named therein.

Chronology A document that lists/summarizes events in order of occurrence. Maybear Chronology or Timeline in the title.

Civil Case InformationStatement

A cover sheet filed with the court stating the relevant information abouta civil matter, such as matter name, parties, attorney names andaddresses.


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Claim A document setting forth the belief that a remedy is due and that oneparty is seeking relief from another.

Complaint A pleading, usually bearing Complaint, Petition or Claim in the title,

which outlines the complaining partys version of the facts of the matter,the legal dispute and the damages sought and the request to the courtto resolve the dispute. Filing a complaint commences a civil action.

Computer System Data Exports of computer files such as spreadsheets, databases, programcode and data models.

Contracts An agreement between persons and/or companies, often bearingContract in the title, which obliges each party to do or not to do certainthings. Technically, a valid contract requires an offer and anacceptance of that offer.

NOTE: Code the following specific Contracts with separate documenttypes: Agreements, Deeds, Division Orders and Leases.

Corporate Documents A collection of official legal documents concerning a company orcorporation (i.e. Articles of Incorporation, company or corporationbylaws, company or corporate charters, organization charts, etc.).

Declaration An unsworn statement setting forth facts.

Deed A written and signed document, that usually bears Deed in the title,that sets out the things that have to be done, or recognition of theparties towards a certain object. Usually conveys ownership in property(i.e. quitclaim deed, warranty deed, tax deed, deed of gift, all of whichinvolve real property).

Deposition The official statement/testimony of a witness transcribed by an officialcourt reporter verbatim, usually in question and answer form, inresponse to the written or oral questions by attorneys. A discovery

device by which one party asks oral questions of the other party or awitness for the other party under oath outside of a courtroom.

Deposition Summary A summary of the verbatim transcript of a deposition.

Deposition Video A video recording of a deposition.

Deposition Video Synch File A technical file used to link the verbatim deposition transcript to thevideo.

Division Order A written contract, usually bearing Division Order in the title, of sale tothe purchaser of oil and gas. The order directs the purchaser to makepayment of value or in kind of the products taken from the well or wellsspecified and to the individuals as set out in the order.

Easement A document, usually bearing Right of Way or Easement in the title,that provides a right of passage over an individuals land or waterway.

NOTE: Code agreements regarding easements as an Easement.

E-mail A communication mailed electronically.


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Environmental TestingDocuments

A specific type of report which contains information concerningsamples, testing methods and analytical results, including QA/QCrecords, chain of custody forms, test results, well testing documentssuch as mechanical integrity tests (MITs), bottom hole pressure test

(BHP), oil well potential tests, etc.

File A folder or similar container containing one or more documents.Includes redwell and drop files.

Financial Documents A document directly related to the finances of an individual or company,including accounting/financial records (10K, 10Q, profit/loss statements,balance sheets, etc.)

NOTE: Budgets, economic reviews, analysis, and interest and revenuereports should be coded as Financial Documents and not as reports.

Form A pre-printed document with instructions for completion commonly usedby agencies. Include any title or number of the form in the description.

NOTE: Do not use this document type for Permits.Graphics A document that includes writing and techniques that illustrate, describe

or represent one or more items or events.

NOTE: Includes charts, diagrams, pictures, and storyboards.Organization charts should be coded as Corporate Documents.

Index An orderly list of items, documents or events that may provideinformation about their location and general content.

Insurance Documents Documents relating to insurance, such as policies, binders and claimforms.

Interrogatory During the discovery process, each party has the right to submit writtenquestions to the other side requesting specific information, documents,

objects or witnesses. This series or set of written questions is referredto as interrogatories and usually bears Interrogatory in the title. Aparty may submit more than one set and these documents should becoded accordingly (first, second, third, etc.).

Invoice A bill for goods or services.

Lease A written document whereby one party relinquishes his right toimmediate possession of property while retaining ultimate legalownership. This can be oil and gas lease, a building lease, a lease forequipment, etc.

Legal Research A document, usually written by an attorney (in the form of amemorandum, letter, e-mail or other summary) summarizing legalquestions/issues and/or providing a legal opinion and may includesupporting authorities (copies of cases, statutes, excerpts fromcommentaries, etc.).

NOTE: When indexing these documents, do not use their specificdocument type (memorandum, letter, e-mail or summary). Be sure touse the Legal Research document type. Also, do not use this documenttype for Title Opinions.


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Letter A communication exchanged between two or more entities, usuallythrough the mail. Also includes facsimiles.

Manifest A document used in shipping and warehousing products and contains a

list of contents, value, origin, carrier and destination of the gods to beshipped or warehoused. They can be issued by a shipper for productsto be transported by truck, vessel, pipeline or other vehicle.

Map A document that graphically demonstrates, describes or illustrates ageographic area and its proximity to one or more items or events.

Memorandum A formal message from one person to another.

NOTE: Do not include any type of Legal Research documents orMemorandums of Law (Brief), which are classified as their own specificdocument types.

Motion A document, usually bearing Motion or Application in the title,requesting a judge to issue a ruling or order on a legal matter. This can

be done before, during or after a trial.NOTE: Motions including or incorporating the supporting Brief orMemorandum into the Motions should be coded and classified as aMotion.

Notes Usually an informal document summarizing an individuals thoughtsand/or opinions (i.e. things to do, strategy, decisions, places, andevents).

Notice A document, usually bearing Notice in the title, which notifies theparties of the matter-related events, such as depositions, hearings,requests for entry upon land, property inspections, etc.

Opinion A document prepared by a judge or court embodying their

understanding or decision concerning the law as applicable to thestatement of facts.

NOTE: Do not use this document type for Attorney legal research andTitle Opinions. These should be coded and classified in their specificdocument type.

Order A court or adjudicative body (i.e. Department of Energy, Office ofHearing and Appeals) ruling, direction or determination, usually bearingOrder in the title, deciding a point of law or directing a step in theproceedings.

NOTE: Note whether the order is agreed, proposed and/or signed inthe description field.

Permit/Applications An official document, usually generated by the government or acorporate entity, that gives consent to or authorizes the actiondesignated

NOTE: Include official licenses, warrants, etc.


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Petition A formal written request presented to a court or other official body.

Pleading A document that summarizes the partys positions in a civil matter. Inthe federal courts, the principal pleadings are the complaint and the

answer.NOTE: This is a generic term commonly used to describe a documentfiled with the court. This document type should only be used for courtfilings/pleadings when no other specific document type can be identifiedor for matters where pleadings/court fillings are indexed under onedocument type.

Procedure A document detailing the method or way to conduct business orperform a task, i.e., policies, procedures, company guidelines, etc.

Note: Do not use this document type for Policy/Procedure Manuals.These should be coded and classified as Publication.

Proposal A document, usually bearing Proposal in the title, containing a

preliminary statement for consideration by the other party to a proposedagreement. An offer, by one person to another, of terms and conditionswith reference to some work or undertaking.

Publication A book, newspaper, magazine, technical or scientific journal or article,manual, etc.

Regulation/Tariff A document, often bearing regulation in the title, which containsofficial rules or other directives, issued by an administrative agency.This agency must have specific authorization to issue directives andfollow prescribed conditions.

A tariff is a document summarizing a schedule of duties, prices orcharges imposed by a government on some countriesimported/exported goods.

Report An official or formal statement of facts or proceedings including manywell related reports such as daily drill reports, daily work over records,MIT, COS, studies, presentations bulletins, etc.

NOTE: Do not use for any form of testing documents (analytical, welltests, well logs, etc.), which is a separate document type.

Request During the discovery process, each party may have the right to submitwritten questions to the other requesting the production of specificinformation, documents, or objects. Usually bearing Request forProduction in the title, a party may submit more than one set and thesedocuments should be coded accordingly (first, second, third, etc.).

Resume A document, usually bearing the title Resume or Curriculum Vitae

(CV), summarizing an individuals education, work history and/or otheraccomplishments.

Risk Analysis The document resulting from conducting a risk analysis of a matter.

Settlement Check A check issued to the plaintiff in regards to settling a claim.

Settlement Notice Notice sent to inform claimant of specific settlement provisions.


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Settlement Release A document in which a person or entity who has a claim, right orinterest enforceable against another person, gives up that right toenforce that interest against the other person.

Statement of Damages A document specifying the damages and estimated repair orreplacement value sustained by a party.

Subpoena A specific type of Court Order requiring a person to be available at agiven place, date, and time to either testify at a deposition/trial or suffera penalty.

Summary A document that contains a condensed statement of the substance orprincipal points of a larger document. Also includes SupplyArrangement Summaries.

Summons A formal notice that one is required to appear in court.

Survey A document summarizing the examination of something (usually land),describing its condition, situation, and/or value (i.e. real estate surveys

performed to define boundaries of tracts of land).Title Opinion A statement of opinion, usually bearing Title Opinion in the title, by an

attorney, often in the form of a letter, as to the state of the title to land,mineral, royalty or working interests. The opinion often recommendsthat curative instruments be obtained before the property interest atissue is purchased, drilled on, or otherwise affected.

NOTE: Includes bonus title opinions, delay rental title opinions, drillingopinions and division order title opinions.

Transcript An official and certified copy of statements in a court proceeding usuallyprepared by a court reporter during proceeding. It is most commonlyused on appeal.

Verdict A document stating a jurys decision (may also include the questionsand answers), expressed as "guilty" or "not guilty" in criminal matters,or a finding for the plaintiff or for the defendant in civil matters.

Waiver of Conflict A document stating that a potential conflict has been disclosed and theparty gives up any rights of future claims arising out of said conflict.

Well Log A document that records measurements on wells,(e.g. cement bondlog, Gamma Ray/Neutron log, etc.), and surveys (wire-line survey,temperature survey, pressures survey etc.).

Will A written and signed statement made by an individual, which providesfor the disposition of his property when he/she dies.

Work Order A signed document requesting work to be performed (i.e. authorization

for Well work-over, removal of pipe, replacing a valve, etc).NOTE: Do not use for AFEs.

Writ An official court document signed by a judge or bearing an official courtseal, usually bearing Writ in the title. The document commands theaddressee to do a specific action or task.


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Appendix D: IDX File Layout

The IDX load file defines the images and field values that compose a document. The IDX file is theappropriate format in which to provide this information to Chevron for processing and system upload. Thereare two pieces to the IDX load file, the Header and the Detail.

IDX File Header:

The Header information will remain constant, with the exception of the Import Batch name, which is aunique means of identifying the set of documents pertaining to the load file. Amongst other things, theHeader defines the name and order of the fields in the Detail.

The IDX file Header resembles the following:

"Version=5.1"

"Status=0"

"ExternalID=1"

"OCR"

"TIFF"

"Priority=2"

"CollectionID=1003"

"ImportBatch=DATE_TIME_STAMP_LOAD_DESCRIPTION"

"NumCols=27"

"UDF1=1036","Control Range Prefix"

"UDF2=1037","Control Range Begin No"

"UDF3=1038","Control Range End No"

"UDF4=1039","Attach Range Prefix"

"UDF5=1040","Attach Range Begin No"

"UDF6=1041","Attach Range End No"

"UDF7=1003","Start Date"

"UDF8=1028","Start Date Estimated"

"UDF9=1004","End Date"

"UDF10=1033","End Date Estimated"

UDF11=1009, Business Unit

"UDF12=1005","Default Bates Begin"

"UDF13=1006","Default Bates End"

"UDF14=1024","Description"

"UDF15=1001","Document Type"

"UDF16=1030","Document Security Level"

"UDF17=1025","Source"

"UDF18=1020","Chevron Asset ID"

"UDF19=1007","Author"


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"UDF20=1008","Recipient"

"UDF21=1016","CC"

"UDF22=1017","BCC"

"UDF23=1034","Document Characteristics"

"UDF24=1022","External Bates No"

"UDF25=1012","Box No"

"UDF26=1014","Folder No"

UDF27=1526,Vendor Processing ID

IDX File Detail:

The Detail of the IDX file defines the image and coded information for each document and will thereforevary considerably amongst IDX files.

1. Each document has its own row of data.

2. Each field value begins and ends with double quotes and each value is separated with a comma. For

example: xxx,yyy,zzz3. The order of the field values in the body must follow the order of the fields in the Header.

4. If a document does not contain a value for a specific field, the field should be left blank, using emptydouble quotes. For example: ,,,

5. Multiple values in a single field should be separated by a pipe (|). For example: Smith, John | White,Bill |.

6. The format of the body for each document must follow the format, as described below:

Sample line from the body of the IDX file:

0,"141197","TIF","images\","0001.DOC","XX","XX","XX","XX","Publication",AccountingReports May 2002.

Description:

"0" signifies the Related Doc ID, which is used to identify attachments to a document. The parentand the children must be listed in the IDX file in their sequential order, with the same Related Doc IDvalue for the parent and child. This Related Doc ID can be any 1-2 digit number and can repeat aslong as the numbers are not repeating within varying attachment ranges.

"141197" signifies the Index ID. This value must be an integer value of any size. It should be aconsistent value throughout the IDX file and does not need to be unique across matters.

"TIF" signifies the file format.

"images\" signifies the file path.

"0001.DOC" signifies the primary file name, when loading multi-page TIFFs.

"XX" signifies the text file name, when applicable.

"XX" signifies the secondary TIFF file relative path (applicable only if loading both a TIFF and non-TIFF file for one document. The non-TIFF file would be the primary file and the TIFF file would be thesecondary file).


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"XX" signifies the TIFF file name (applicable only if loading both a TIFF and non-TIFF file for onedocument. The non-TIFF file would be the primary file and the TIFF file would be the secondary file).

"XX" signifies the Bates number/File, when applicable.

"Publication",Accounting Reports May 2002.signifies the start of the user defined fields, in theorder defined by the header.

NOTE: If loading single page TIFFs, there is a slight modification to the "0001.DOC value. Thevalue must read "0001.DOC,x, where xrepresents the number of pages belonging to thatdocument. For example, if the first page of a 3 page document is 0001.doc, the IDX file value wouldread 0001.DOC,3. The files must be named in consecutive numeric order, so the next documentmust start with the name 0004.DOC.