Practice Note No. 2
PDF and Word versions of this document are available
12 May 2011
Filing evidence with the Commission
1. Evidence filed with the Commission is to be filed in both hard copy and electronic form, unless otherwise specified by the Commission.
Numbering of documents
2. All documents filed with the Commission should be allocated a document number (or Document ID) determined in accordance with Schedule 1.
Electronic copies of documents
3. Electronic copies of documents should be supplied on a CD-Rom disc, DVD-Rom disc, or USB storage device sent to the address below.
4. The Commission’s electronic evidence management system isCT Summation iBlaze. The preferred method of document exchange is a Summation electronic “Briefcase”, with the minimum standard metadata set out in Schedule 1.
5. Where a Summation Briefcase cannot be supplied:
a) documents should be provided electronically as searchable (i.e. OCR processed[1]) images in PDF or multi page TIFF format. Documents that do not lend themselves to conversion to PDF/TIFF format (for example complex spreadsheets, databases etc) may be provided in native format.
b) the file name of each document should correspond to its unique identifier, as set out in Schedule 1.
c) an index should be supplied in a separate directory. The index should be in Microsoft Excel or .csv format and specify the metadata set out in Schedule 1.
6. All documents should be supplied without redaction or markups, and should be de-duplicated.
Hard copies of documents
7. Material filed in hard copy should be sent by courier or post to the following address:
Royal Commission on the Pike River Coal Mine Tragedy
c/- Reception, Level 13
Prime Property Tower
86-90 Lambton Quay
PO Box 5846
Wellington 6145
8. Hard copies of documents should be:
a) paginated;
b) stamped or labelled with the document numbers determined in accordance with rule 2;
c) accompanied by an index recording the metadata in Schedule 1.
Disclosure of documents
9. Subject to the directions of the Commission:
a) documents filed with the Commission willbe made available to the participants[2] in the Inquiry in advance of public hearings;
b) documents that are produced or relied upon at public hearings may be made publicly available;
c) all other evidence filed with the Commission may be made publicly available at the discretion of the Commission.
10. Any person seeking disclosure restrictions in relation to a document filed with the Commission should identify at the time of filing:
a) the document(s) or portions of document(s) sought to be restricted;
b) the degree of restriction sought;[3] and
c) the reasons for seeking restriction.
Access to information from the Commission
11. Access to information from the Commission will be provided via the E-Government Shared Workspace website (“the secure website”), which is accessible by link from the Commission’s website: http://pikeriver.royalcommission.govt.nz.
12. The secure website will provide:
a) Accessfor participants to documents filed with the Commission in advance of hearings, as directed by the Commission;
b) Announcements and other information provided by the Commission to participants.
13. The secure website will be the primary means of communication by the Commission to participants, and it is expected that all participants will register for use of the site. Access to the site remains at the discretion of the Commission.
14. Any participant who has not otherwise been provided with access to the site should email his or her details to pikeriver@royalcommission.govt.nz, with a request for access.
15. Participants may also request access to documents by way of a Summation briefcase, which will be supplied at the discretion of the Commission.
16. Any person who obtains access to documents from the Commission, other than publicly-available information, is subject to an implied undertaking that the information obtained is received in confidence, and that the information will be used only for the purpose of the person’s participation in the Inquiry.
17. Implied undertakings will cease to be in force in relation to any information once that information has become public in the course of an Inquiry hearing.
18. Any queries in relation to this practice note may be directed to the Royal Commission on the Pike River Coal Mine Tragedy, via the contact details at the foot of the cover page.
Produced by
The Royal Commission on the Pike River Coal Mine Tragedy
Wellington
12 May 2011
[1] Where possible, a separate .txt file should be provided per document with the OCR information, using the same naming convention as the document file.
[2] Parties, interested persons, and where appropriate witnesses/submitters.
[3] For example whether the restrictions may be limited by time or categories of recipient.
Schedule 1 : Minimum Standard Metadata
1.1 The following minimum standard metadata fields are required:
| Field | Includes/refers to schedule |
|---|---|
| Document ID |
Each document must carry a unique document identifier. The format must include:
For example: ABC0001 ABC0002 Those filing evidence should contact the Commission to obtain the three-letter code to be used in each instance. |
| Document Title | A descriptive title for each document, for example the title of a report, the subject of an email or letter. This should be sufficient to describe the document and identify the document in searches. |
| Document Type | Refer Schedule 2 |
| Document Date | The date, or estimated date, of the document in the format DD/MM/YYYY |
| Estimated Document Date | If the date is not known and an estimated date is given then enter “yes” in this field |
| Author | In the format: Firstname_Surname e.g. John Smith |
| Recipient | In the same format as “Author” |
1.2 Files should be named consistently with the following format:
ABC0001.pdf
ABC0002.tiff
ABC0003.xls
1.3 File names should not include any of the following characters:
\ / : @ ? <> “ |
Schedule 2 : Document Types
The following list of Document Types is not exhaustive and where necessary additional Document Types may be used.
| Document Type | Includes |
|---|---|
| Advice |
Counsel’s Opinion, Memorandum of Advice |
| Agenda | |
| Agreement | Contracts, debentures |
| Annexure/Appendix | |
| Article | Journal article, Internet article |
| Board Papers | |
| Brief | |
| Brochure | Booklets, pamphlets, leaflets |
| Case | Cases, judgements |
| Certificate | |
| Commission Document | |
| Commission Transcript | |
| Consents | Permits, resource consents |
| Cover Page | |
| Curriculum vitae | |
| Diagram | Handwritten, diagram, graphs, charts |
| Diary | Diary extracts, appointment book |
| Digital recording | CDS, DVDs, video, audio, film |
| Divider | |
| Drawing | |
| Extract | |
| Facsimile | |
| Facsimile Transmission Report |
|
| File note | |
| Financial document | Cheques, bank statements, profit and loss accounts, budget, spreadsheets |
| Flow chart | Charts, organisation charts |
| Form | Department generated document that requires details to be completed |
| Graph | |
| Invoice | |
| Legislation | Legislation, including statutes, regulations, by-laws and ordinances. Reading speeches |
| Letter | |
| List |
Indexes |
| Manual | Booklets that contain instructions, codes of conduct, handbooks etc |
| Map | |
| Media Release | |
| Memorandum | Internal memoranda |
| Ministerial Documents | |
| Minutes of Meeting | |
| Notice | |
| Photograph | |
| Policy | |
| Post It Note | |
| Presentation | Powerpoint presentations, powerpoint slides, transparencies |
| Press Clipping | Newspaper article, newspaper clipping |
| Press Release | |
| Report | Annual reports, expert reports. (Reports will vary in content, however in most instances they will be the outcome of an investigation or a summary/consolidation of data). |
| Schedule | Tables, computer printouts |
| Search | ASIC searches, internet searches |
| Spreadsheet | |
| Statement | Statutory declarations, Witness Statements |
|
Table |
|
|
With compliments slip |
|
