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DOCUMENT PRODUCTION GUIDELINESeptember 2019

Contents

Part 1 – General.................................................................................................................................3

Part 2 – Accidental disclosure of privileged documents....................................................................5

Part 3 – Production of native format electronic or hard copy documents........................................6

Part 4 – Production of electronic documents – Ringtail/Relativity/Other format.............................8

Document Management Protocol……………………………………………….…………………….……..8

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Part 1 – General

1. Introduction

1.1. This Guideline explains how documents should be produced to the Royal Commission

into Violence, Abuse, Neglect and Exploitation of People with Disability (the Royal

Commission).

1.2. Production of documents in accordance with this Guideline will ensure that the Royal

Commission can properly review, manage, store and archive those documents.

1.3. Please read this Guideline together with the following Practice Guidelines, which are

available on the Royal Commission’s website at:

https://disability.royalcommission.gov.au.

1.3.1. Practice Guideline 1: General Guidance (Part F deals with Production of

documents);

1.3.2. Practice Guideline 2: Legal Professional Privilege;

1.3.3. Practice Guideline 3: Witnesses (Part C: Witness Statements); and

1.3.4. Practice Guideline 4: Conduct of Hearings (Part F: Submissions).

1.4. Please note that the Royal Commission may update or replace this Guideline at any

time.

Method of delivery/production of electronic documents

1.5. Generally, the Royal Commission would prefer that documents are produced

electronically. If you are required to produce documents that you hold electronically

(e.g. on a computer or electronic storage device, such as a hard drive or USB) please

do not print the documents for the purposes of production.

1.6. Unless the Royal Commission has asked you to, or has agreed that you may produce

electronic documents in another way, please produce your electronic documents by

uploading them to the Royal Commission’s file sharing platform.1

1 The Royal Commission will provide instructions about how to access and upload files to the secure file sharing platform. If you have not received these instructions, and want to provide files using this platform, please email [email protected].

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mailto:[email protected]

https://disability.royalcommission.gov.au/

1.7. Alternatively, if the Royal Commission has asked you to, or has agreed that you may,

you can produce the documents using one or more of the following electronic media:

1.7.1. hard drive;

1.7.2. USB;

1.7.3. CD or DVD.

1.8. If you have encrypted the electronic media containing the electronic documents you

are producing in any way, please use the same password or encryption code for all

protected files and/or electronic media.

1.9. Please deliver the agreed electronic media to an address nominated by the Royal

Commission prior to production. If you do not know where to deliver the agreed

electronic media, please contact the Royal Commission on

[email protected] or call (02) 7206 52372 (between 9.00am to

5.30pm AEST Monday-Friday, except on public holidays) to confirm the correct

address.

2. Enquiries

2.1. For general enquiries in relation to the production of documents to the Royal

Commission, or to discuss the production of electronic material in accordance with

this Guideline, please contact the Solicitors Assisting on (02) 7206 52373 (between

9.00am to 5.30pm AEST Monday-Friday, except on public holidays) or

[email protected].

2 If you would like to use the National Relay Service to call us, please phone 133 677.3 If you would like to use the National Relay Service to call us, please phone 133 677.

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Part 2 – Accidental disclosure of privileged documents

3. Process

3.1. If you have produced documents in either hard copy or electronic format to the Royal

Commission and in doing so you have accidentally provided documents (or parts of

documents) over which you meant to claim legal professional privilege,4 the accidental

disclosure will not mean that you have waived the privilege.

3.2. If you become aware that you have accidentally provided documents (or parts of

documents) to the Royal Commission over which you meant to claim legal

professional privilege, you should tell the Royal Commission as soon as possible.

3.3. If the Royal Commission identifies documents (or parts of documents) that you have

produced to the Royal Commission which may be privileged (apparently privileged

documents), and you have not told the Royal Commission that you meant to disclose

the apparently privileged documents to the Royal Commission, the Royal Commission

will:

3.3.1. immediately stop reviewing the apparently privileged documents;

3.3.2. not make copies of the apparently privileged documents; and

3.3.3. as soon as is practicable, tell you that you have provided the apparently

privileged documents.

3.4. Within five (5) days of the Royal Commission telling you that it has identified

apparently privileged documents in accordance with paragraph 3.1, please either:

3.4.1. ask the Royal Commission to destroy the apparently privileged documents; or

3.4.2. confirm that you meant to disclose the apparently privileged documents to the

Royal Commission.

4 For more information about legal professional privilege, please see Practice Guideline 2: Legal Professional Privilege.

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Part 3 – Production of native format electronic or hard copy documents

4. Production of electronic documents in native format

4.1. You should only produce documents in accordance with paragraphs 4.2 to 4.4 if:

4.1.1. you do not have access to a document management database (for example,

Ringtail or Relativity); and

4.1.2. the Royal Commission has asked you to, or agreed that you may, produce

electronic documents in another way.

4.2. If you are producing electronic documents and you do not have access to a document

management database (for example, Ringtail or Relativity), please produce all

electronic documents in their original or native format. For example, Microsoft

Outlook emails should be produced as .msg files and Microsoft Word documents

should be produced as .doc or .docx files.

4.3. If you are producing electronic documents in native or original format, please produce

all parts of the document. For example, where the electronic file is an email chain,

please produce all parts of that chain, and where the electronic file is an email with an

attachment, please produce both the email and its attachment.

4.4. If you have encrypted the electronic documents you are producing in any way, please

use the same password or encryption code for all protected files and/or electronic

media.

5. Production of documents in hard copy

5.1. If you have hard copy documents to produce, if possible, please scan those documents

to Portable Document Format (PDF) for production to the Royal Commission. PDF

documents should be machine–readable and word–searchable.

5.2. If you would like to produce documents in hard copy format, please contact the Royal

Commission before doing so, using any of the methods set out in paragraph below.

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5.3. If you are unable to scan hard copy documents and you would like to produce

documents in hard copy format, please contact the Royal Commission by:

5.3.1. calling us on 1800 517 1995 (between 9:00am-5:00pm AEST Monday-Friday

except on public holidays); or

5.3.2. emailing us at [email protected]; or

5.3.3. writing to us at GPO Box 1422 Brisbane QLD 4001.

5.4. You should produce a copy of the hard copy document unless the Royal Commission

specifically asks you to produce an original document.

5.5.

5 If you would like to use the National Relay Service to call us, please phone 133 677.7 of 36


Part 4 – Production of electronic documents – Ringtail/Relativity/Other format

6. Production using document management software

6.1. If you have received a Notice or Summons to Produce documents, or you are

voluntarily producing documents to the Royal Commission, and you intend to produce

electronic documents using document management software such as Nuix/Ringtail or

Relativity and can produce documents in .dat / .csv or .mdb file formats, please ensure

you do so in accordance with the following Document Management Protocol.

Document Management Protocol (DMP)

7. Identification of documents

7.1. Please identify electronic documents to be produced to the Royal Commission using

unique Document Identifiers (Document IDs).

7.2. Document IDs are unique to each electronic document and will be the primary means

by which documents will be referenced by the Royal Commission.

7.3. Please ensure that Document IDs are stamped in the top right hand corner of each

page.

7.4. The identifying Document ID of an electronic document will be the first 18 characters

stamped on the first page of a document, for example if the first page of the

document is stamped with XYZ.0001.0001.0001, this is the identifying Document ID of

the whole document.

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8. Document ID structure

8.1. The Document ID structure the Royal Commission uses is XYZ.0001.0001.0001, where:

XYZ - Party Code

For example XYZ Holdings Pty Limited is producing these documents.

This code will be issued to you by the Royal Commission.

0001 - First unique number allocated by XYZ.

You issue this number. This number can have a value from 0001-9998.

The number 9999 is reserved for the use by the Royal Commission.

It can relate, for example, to a box the documents are placed in or for electronic

files, a compressed folder containing material.

0001 - Second unique number allocated by XYZ.


It can relate, for example, to a container inside the box or in relation to electronic

material, a folder inside the compressed folder.

0001 - Sequential page or document number

You issue this number. This number can have a value from 0001 to 9999.

Note: If you need to use an alternative numbering system, please contact the Royal Commission to

discuss on [email protected].

Party Code

8.2. The party code is a three letter code that identifies who has produced the documents.

In the example above, XYZ refers to XYZ Holdings Pty Limited. If you are producing

documents, the Royal Commission will have issued you with a party code before you

produce the documents.

8.3. If you are preparing documents for production to the Royal Commission and you do

not have a party code, please contact the Royal Commission prior to production to

request an available party code by email to [email protected].

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8.4. The table below shows how a party code reflects, as far as possible, the identity of the

party producing documents.

Party Code Party

ABC AB Corporation Pty Ltd (Party A)

XYZ XYZ Holdings Limited (Party B)

Consecutive page and document numbering

8.5. Please ensure that you identify Host and Attached Documents with consecutive

Document IDs. For example if a Host Document is a one page document with the

Document ID XYZ.0001.0001.0001, the first Attached Document should have the

Document ID XYZ.0001.0001.0002. See section 10 of this DMP for more information in

relation to Host and Attached Documents.

8.6. The Royal Commission understands and accepts that Document IDs may not always be

consecutive as a result of the removal of irrelevant documents during review.

Suffix pages

8.7. If you need to add pages to a document, or if the page number of a document needs

to be otherwise adjusted to ensure consistent and consecutive numbering, please

identify those pages or amended numbering using a suffix page number.

8.8. Where a document has an underscore page number on the first page, the underscore

does not form part of the document ID. For example, the identifying Document ID of

an electronic document with a suffix page number XYZ.0001.0001.0001_0001 will be

the Document ID XYZ.0001.0001.0001.

8.9. A suffix page number will be preceded by an underscore, followed by a 4-digit number

to retain a 4-digit structure. An example of the page number structure with suffix

pages is XYZ.0001.0001.0001_0001, where:

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XYZ - Party Code

0001 - First unique number

0001 - Second unique number


_0001 - Sequential suffix page


Document file names

8.10. A document filename is to be named according to its corresponding Document ID

upon electronic production. For example, if producing a PDF document, the filename

should be XYZ.0001.0001.0001.pdf. This is explained in further detail in Schedule 1A

and Schedule 1B.

9. Document Hosts and Attachments

9.1. Every document that is attached to or embedded within another document will be

treated as an Attached Document.

9.2. A document that contains at least one Attached Document will be called a Host

Document. Please provide both the Host Document and all Attached Documents to the

Royal Commission. For example, if you have an email which contains an attachment,

please produce both the email and the attachment.

9.3. A document that is neither a Host nor Attached Document will be called a Standalone

Document. Please provide all parts of a standalone document to the Royal

Commission. For example, where the document is an email chain, please produce all

parts of that chain.

9.4. Some email footers, logos and other repeated embedded content of a non-substantive

nature may appear as attachments in some electronic documents. Please take all

reasonable steps to ensure that such files are not separated as Attached Documents.

9.5. Please also ensure that you avoid creating false or unnecessary relationships between

Host Documents and Attached Documents by:

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9.5.1. ensuring that physical or digital document containers, such as hard copy

folders or electronic ZIP container files, are not identified as Host Documents,

unless the identification of the container as a Host Document is necessary to

the understanding of the documents within that container; and

9.5.2. unless for technical reasons you need to provide electronic documents in their

original format (also referred to as native electronic documents/format, or

native file below), please extract documents from their original containers and

do not produce the container itself.

10. Document metadata

10.1. Please rely, wherever possible, on the automatically identified metadata of electronic

documents. Automatically identified metadata should be used when:

10.1.1. searching for documents;

10.1.2. itemising documents in a list; and

10.1.3. preparing a production of documents in accordance with the Production

Specification at Schedules 1A or 1B to this DMP.

10.2. Please take all reasonable steps to ensure that all appropriate document metadata is

not modified or corrupted during collection and preparation of electronic documents

for review and production.

10.3. Please automatically extract document metadata using UTC + 10 (Sydney, Melbourne,

Canberra).

10.4. The Royal Commission accepts that complete document metadata may not be

available for all electronic documents, however, please provide as much (and ideally

complete) metadata as possible.

10.5. Please note that the Royal Commission may ask you to provide information about the

software and procedure used to automatically identify the metadata of any electronic

documents produced to the Royal Commission.

11. De-duplication of documents

11.1. Unless duplicate documents need to be identified and produced for evidentiary

purposes, please take reasonable steps to ensure that duplicate documents are

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removed from the electronic documents that you produce to the Royal Commission.

This process is referred to as de-duplication.

11.2. Please consider whether electronic documents are duplicates at a document group

level. That is, you should treat a group of documents comprising a Host Document and

its Attached Documents as duplicates only if that group of documents appears as a

duplicate group elsewhere in your production.

11.3. Please do not treat an Attached Document as a duplicate simply because it appears

elsewhere in your production as a Standalone Document or as an Attached Document

in a different group of documents with a different Host Document.

11.4. Where possible, please de-duplicate documents using an MD5 or SHA256 algorithm.

11.5. If you have used any analytics tool to exclude documents from manual review or from

production (for example Technology Assisted Review or ‘predictive coding’, email

threading or textual near duplicate identification), please identify these processes and

any relevant details such as confidence intervals or similarity thresholds in a covering

letter with the production of documents.

12. Exclusion of unusable file types

12.1. Please apply a NIST filter6 to your electronic documents to remove files with no user-

generated content, such as system files and executable files. This will ensure that, as

far as possible, such files are excluded from the electronic documents you produce to

the Royal Commission.

12.2. Please also try to exclude temporary internet files and cookies from the electronic

documents you produce to the Royal Commission.

13. Production of documents to the Royal Commission

13.1. Please produce all electronic documents to the Royal Commission:

13.1.1. together with an accompanying ‘Production Tracker Form’ as detailed in

Schedule 3 to this DMP;

13.1.2. together with an electronic index of documents in Microsoft Excel format

including the fields of information identified in paragraph 14.1 below;6 A NIST filter uses the database of known computer file profiles published by the US National Institute of

Standards and Technology to compare files against a known set of software applications.13 of 36

13.1.3. in accordance with the Production Specification at Schedule 1A or 1B to this

DMP (as applicable); and

13.1.4. together with all requested metadata and files responsive to the production or

tranche in their entirety (i.e. please do not withhold responsive documents or

electronic files from a tranche on the basis that they have been previously

provided in response to an earlier Notice).

14. Format of the electronic index of documents

14.1. Please include the following information fields in the electronic index of documents

(Microsoft Excel format) accompanying your production of electronic documents to

the Royal Commission:

14.1.1. Document ID

14.1.2. Host Reference

14.1.3. Document Type

14.1.4. Document Date

14.1.5. Document Title

14.1.6. From

14.1.7. To

14.1.8. Notice to Produce or Summons No.

14.1.9. Notice to Produce Category

14.1.10. Privilege LPP

14.1.11. Privilege LPP Basis

14.1.12. Privilege PII

14.1.13. Privilege Parliamentary

14.1.14. Confidential

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15. Privilege / immunity claims and redactions

15.1. If you wish to claim legal professional privilege (LPP) over a document, please refer to

s 6AA of the Royal Commissions Act 1902 (Cth) and Practice Guideline 2 published by

the Royal Commission on its website.

15.2. If you are producing a document where you wish to claim LPP over part of the

document, please still provide the document in accordance with the DMP and redact

the relevant parts of the document over which you wish to claim LPP.

15.3. If you are not required by the Royal Commission to produce a document (or part

thereof) in respect of which you claim LPP, please ensure that the document is

nevertheless listed in the electronic index of documents in accordance with paragraph

15.1 above, including the basis for the claim.

15.4. This Protocol does not replace the obligation to substantiate LPP claims as set out in

Practice Guideline 2.

15.5. If you have any questions or queries relating to claiming LPP, please contact the

Solicitors Assisting on (02) 7206 52377 (between 9.00am to 5.30pm AEST Monday-

Friday, except on public holidays) or [email protected].

15.6. You should only apply redactions to parts of documents in respect of which you are

claiming LPP or asserting a claim of public interest immunity.

15.7. Please do not redact documents on the basis of relevance or confidentiality.

15.8. If you have concerns about the confidential nature of documents you are producing to

the Royal Commission, please contact the Solicitors Assisting on (02) 7206 52378

(between 9.00am to 5.30pm AEST Monday-Friday, except on public holidays) or

[email protected] to discuss.

16. Data security

16.1. If you are producing data please take reasonable steps to ensure that the data is

useable and is not infected by malicious software.

7 If you would like to use the National Relay Service to call us, please phone 133 677.8 If you would like to use the National Relay Service to call us, please phone 133 677.

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17. Amendments to exchanged documents

17.1. If the Royal Commission identifies errors in any produced documents, it may require

you to provide a corrected version of the document.

17.2. If the Royal Commission identifies errors in more than 25% of any one tranche of the

electronic documents you have produced, the Royal Commission may require you to

provide replacement versions of all documents within that tranche.

17.3. In the event that you are required to re-produce documents which you have

previously produced to the Royal Commission to replace any content or correct errors

(i.e. images or LPP redactions or errors in metadata), please produce the replacement

documents as a separate production accompanied by:

17.3.1. a clear written explanation identifying the tranche of documents as a

replacement production;

17.3.2. a completed Production Tracker Form (see Schedule 3 to this DMP) in which

the “Y” option is checked against the question “Are these replacement files to

previously provided documents?” and details of the content to be replaced

(e.g. PDF only, all metadata, or only certain fields) outlined in the

“Description/Comments” section of the form.

17.4. It is your responsibility to ensure a replacement production is clearly identified as

outlined above. If the Royal Commission is unable to clearly identify that a production

contains replacement documents, there is a risk that the documents may not be

replaced.

Schedule 1A – Production Specification for .DAT Load File

(Concordance/Relativity Compliant)

1. Production format

1.1. Documents should be exchanged electronically, using a .DAT or .CSV (Unicode ie UTF-

8) data file format.

1.1.1. The first line of the .DAT/CSV file should be a header row identifying the field

names.

1.1.2. The .DAT file should use the following Concordance® default delimiters:

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1.1.2.1. Pilcrow ¶ character

1.1.2.2. Quote þ character

1.1.3. Date fields should be provided in the format: DD/MM/YYYY HH:MM.

1.1.4. If the production includes emails and attachments, the attachment fields

should be included to preserve the Host/Attachment relationship between an

email and its attachments.

1.1.5. Productions should include an extracted text file for each document. A

TEXTPATH field should be included to provide the file path and name of the

extracted text file on the produced storage media. The text file should be

named after the Document ID. Do not include the text content in the .DAT/CSV

file.

1.1.6. Productions should include a “Native Path” field with the file path and name of

the original/PDF file on the produced storage media. The original/PDF file

should be named after the Document ID.

1.2. Please include the Index of documents in Microsoft Excel format.

2. Preparation of documents

2.1. Please do not convert native electronic documents to paper for production to the

Royal Commission and instead produce them as searchable multi-page PDF

documents. Please produce non-standard documents (for example, Microsoft Excel

and Audio/Video files) in their native electronic document form.

2.2. Please stamp documents produced as searchable multi-page PDFs with sequential

page numbers in the top right hand corner of each page. The number on the first page

will be the Document ID. The format will be XYZ.0001.0001.0001 where:

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XYZ - Party Code














2.3. Searchable electronic documents should be rendered directly to PDF to create

searchable images. Documents should not be printed to paper and scanned or

rendered to Tagged Image File Format (TIFF) format and then converted to PDF, unless

required for the purposes of redaction within a document review platform.

2.4. Non-Searchable or Image Only native files should be converted to searchable PDFs,

and not Image Only or non-searchable PDFs.

2.5. Non-Standard electronic documents that do not lend themselves to conversion to PDF

(e.g. complex spreadsheets, databases, etc.) should be produced to the Royal

Commission as native electronic documents or in another format agreed with the

Royal Commission.

2.6. Placeholder PDFs should not be produced for non-standard electronic documents.

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2.7. Hard copy documents should be produced as searchable, stamped, multi-page PDF

documents. The minimum requirement for scanned images is 300dpi text searchable

multi-page PDF.

2.8. Colour versions of documents should be created if the presence of colour is necessary

to the understanding of the document. Documents which have coloured annotations

or highlighting, photos, graphs or images are to be captured in colour.

2.9. You may apply Document IDs to the following paper documents where they contain

relevant content:

2.9.1. folder covers, spines, separator sheets and dividers;

2.9.2. hanging file labels; and

2.9.3. the reverse pages of any Document.

3. Document folder structure

3.1. Each document should be named ‘DocumentID.xxx(x)’ where ‘xxx(x)’ is the file

extension. For example XYZ.0001.0001.0001.pdf, where ‘.pdf’ is the file extension.

3.2. The top level folder containing every document will be named ‘\Documents\’.

3.3. The documents folder will be structured in accordance with:

3.3.1. the Document ID hierarchy, i.e. “Documents\XYZ\0001\0001\”; or

3.3.2. a standard Relativity export format:

3.3.2.1. Documents\VOLXXX\NATIVEXXX\DocID.EXT;

3.3.2.2. Documents\VOLXXX\TEXTXXX\DocID.TXT.

4. Overview of metadata provided within the data (.DAT/CSV) load file

4.1. Required fields/metadata in a flat file format:

Field Explanation – Document Types and Coding Method and possible values

Document_ID Document ID

Host_Reference If the document is an attachment, this field contains the Document ID of its host document.

If a document does not have a host, this field is to be left blank\null.

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Family_ID Each document will be assigned an ID which identifies the family group it appears in.

Standalone documents should get the same value as the Document_ID.

Host and Attachments in a family group should have the Host Document ID recorded.

Document_Type Paper Documents Refer Document Types in Schedule 2.

Electronic Documents (including email, email attachments, loose files etc)

Either native file type or Document Type in Schedule 2 as determined on the basis of the face of the document.

Document_Date DD/MM/YYYY HH:MM

Paper Documents Determined on the basis of the date appearing on the face of the document.

Undated Documents Leave field blank\null.

Incomplete Date

(Year Only)

For example,

01/01/YYYY 00:00

Incomplete Date

(Month and Year Only, or

Day and Month Only)

For example,

01/MM/YYYY 00:00

DD/MM/1900 00:00

Emails Email Sent Date & Time

Unsent Emails Last Modified Date & Time

Other Electronic Documents Last Modified Date & Time; or

Date appearing on the face of the document.

Estimated Yes OR No OR blank

Default No OR blank

Undated Documents No OR blank

Incomplete Date Yes

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Title Paper Documents Determined on the basis of the title appearing on the face of the document.

Email Subject field from email metadata.

Other Electronic Documents Metadata file name or determined on the basis of the title appearing on the face of the document.

From Format: Person[Organisation];

Paper Documents: Name of person to be determined on the basis of the face of the document [Name of organisation that produced the document as determined on the basis of the face of the document]

To Emails: Electronic metadata – email addresses or email alias names.

CC

BCC

Between

Attendees Other Electronic Documents: Where practicable, to be determined from the automatically identified metadata.

Confidential Yes

No

Part

Identifies whether confidentiality is claimed over all or part of a document.

Privilege PII Yes

No

Part

This field identifies whether a claim of public interest immunity is made over the document.

Privilege Parliamentary

Yes

No

Part

Where applicable, this field identifies whether a claim of parliamentary privilege is made over the document.

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Privilege LPP Yes

No

Part

Identifies whether legal professional privilege is claimed over all or part of a Document.

This field is only required where legal professional privilege is claimed over all or part of the document.

Privilege LPP Basis Legal Advice

Litigation

Commission Determined

Identifies the basis for a claim of legal professional privilege over all or part of a document.


Redacted Yes Identifies whether a document is produced in redacted form to identify a Part claim of legal professional privilege.

This field is only required where a document is produced in redacted form and should only be applied to Part LPP claims.

Notice or Summons No.

Eg:CTH-NTP-00001

NSW-NTP-00001

CTH-NTG-00001

Royal Commission request number as identified on the Notice or Summons, padded to 4 numbers (the last 4 numbers on the notice or summons).

Notice to Produce Category

Eg: CTH-NTP-00001(a); CTH-NTP-00001(b)

Specify the category within the Notice to Produce that the document relates to. This should take the format of the full Notice to Produce number followed by the category letter in parentheses (with no space in between). Where more than one category applies to a document, each category should follow the above format and be

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separated by semicolons (see example).

Security Classification

Eg:DLM: Sensitive

Where applicable, the security classification of the document.

File Path Source path of the original file, if available.

File Name Source name of the original file, if available.

Date Created DD/MM/YYYY HH:MM Electronic metadata – created date, if available.

Date Last Modified DD/MM/YYYY HH:MM Electronic metadata – last modified date, if available.

MD5 Hash Value MD5 hash value used for de-duplication, if available.

File Extension Eg:XLSXPDF

Where available the original file extension is to be provided for electronic files (with the exception of container files such as ZIP or PST).

TEXTPATH FolderPath\Document_ID.TXT Extracted text path.

Native Path FolderPath\Document_ID.EXT Native path for documents produced in native format/PDF format.

4.2. Parties information (To/From/CC/BCC) technical requirements:

4.2.1. These fields hold the names of people associated with a particular document

and their relationship to the document. It may also hold organisation

information for these people.

4.2.1.1 Describing people

A person’s name may be referenced:

A. using email addresses (for example, [email protected]); or

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B. using Surname [space] Initial (for example, Citizen J) where email

addresses are not available; or

C. by reference to a position (for example, Marketing Manager) where

email addresses and surname, initial is not available; or

D. by reference to an organisation associated with the person where

email address, surname, initial and position are not available.

4.2.1.2 Multiple recipients should be separated by a semicolon

4.2.1.3 Organisations should be placed into square brackets

An example of the technical requirements for the parties information can be seen below:

From To CC BCC

Surname A (Organisation) Surname B (Organisation) Surname C (Organisation) Surname D (Organisation)

[email protected] [email protected] [email protected];

[email protected]

[email protected];

[email protected]

Note: Not all required fields are included in this sample. Example only.

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Schedule 1B - Production Specification for Four-Table Microsoft Access Load File

(Ringtail Compliant)

1. Production format

1.1. Documents should be exchanged electronically, in a cascading Windows folder

structure, with the corresponding document metadata structured in a four-table

Microsoft Access database format.

1.2. Please also include the Index of documents in Microsoft Excel format.

2. Preparation of documents

2.1. Please do not convert native electronic documents to paper for production to the

Royal Commission. Please produce them as searchable multi-page PDF documents.

Please produce non-standard documents (for example, Microsoft Excel and

Audio/Video files) in their native electronic document form.

2.2. Documents produced as searchable multi-page PDFs will be stamped with sequential

page numbers in the top right hand corner of each page. The number on the first page

will be the Document ID. The format should be XYZ.0001.0001.0001 where:

XYZ - Party Code












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2.3. Searchable electronic documents should be rendered directly to PDF to create

searchable images. Documents should not be printed to paper and scanned or

rendered to Tagged Image File Format (TIFF) format and then converted to PDF, unless

required for the purposes of redaction within a document review platform.

2.4. Non-Searchable or Image Only native electronic documents should be converted to

searchable PDFs, and not image only or non-searchable PDFs.

2.5. Non-Standard electronic documents that do not lend themselves to conversion to PDF

(e.g. complex spreadsheets, databases, etc.) should be delivered to the Royal

Commission as native electronic documents or in another format agreed with the

Royal Commission.

2.6. Placeholder PDFs should not be produced for non-standard electronic documents.

2.7. Hard copy documents should be provided as searchable, stamped, multi-page PDF

documents. The minimum requirement for scanned images is 300dpi text searchable

multi-page PDF.

2.8. Colour versions of documents should be created if the presence of colour is necessary

to the understanding of the document. Documents which have coloured annotations

or highlighting, photos, graphs or images are to be captured in colour.

2.9. You may apply Document IDs to the following paper documents where they contain

relevant content:

2.9.1. folder covers, spines, separator sheets and dividers;

2.9.2. hanging file labels;

2.9.3. the reverse pages of any Document.

3. Document folder structure

3.1. Each document should be named ‘DocumentID.xxx(x)’ where ‘xxx(x)’ is the file

extension. For example XYZ.0001.0001.0001.pdf, where ‘.pdf’ is the file extension.

3.2. The top level folder containing every document will be named ‘\Documents\’

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3.3. The documents folder will be structured in accordance with the Document ID

hierarchy, ie “Documents\XYZ\0001\0001\”.

4. Overview of structure of four-table Microsoft Access database

4.1. The document metadata is to be structured into the following four Microsoft Access

database tables:

Table Name Table Description

Export Main document information.

Parties People and organisation information for each document.

Pages Listing of electronic image filenames for each document. The Pages table should correspond to the files within the cascading document folder structure.

Export_Extras Additional data fields for each document, including subjective fields populated by the parties during review.

4.2. Export Table

Field Data Type

Explanation – Document Types and Coding Method and possible values

Document_ID Text, 255

Document ID

Host_Reference Text, 255

If the document is an attachment, this field contains the Document ID of its host document.

If a document does not have a host, this field is to be left blank\null.

Document_Type Text, 255

Paper Documents Refer Document Types in Schedule 2.

Electronic Documents (including email, email attachments, loose files etc)

Either native file type or Document Type in Schedule 2 as determined on the basis of the face of the document.

Document_Date Date, DD-MMM-YYYY

Paper Documents Determined on the basis 27 of 36

Field Data Type


11 of the date appearing on the face of the document.

Undated Documents Leave field blank\null.

Incomplete Date

(Year Only)

For example,

01-JAN-YYYY

Incomplete Date

(Month and Year Only; or

Day and Month Only)

For example,

01-MMM-YYYY,

DD-MMM-1900

Emails Email Sent Date

Unsent Emails Last Modified Date

Other Electronic Documents Last Modified Date; or

Date appearing on the face of the document.

Estimated Text, 3 Yes OR No OR blank

Default No OR blank

Undated Documents No OR blank

Incomplete Date Yes

Title Text, 255

Paper Documents Determined on the basis of the title appearing on the face of the document.

Email Subject field from email metadata.

Other Electronic Documents Metadata file name or determined on the basis of the title appearing on the face of the document.

Level_1 The Party level of the Document ID.

Level_2 The second level of the Document ID.

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Field Data Type


Level_3 The third level of the Document ID.

4.3. Parties Table

4.3.1. This Table holds the names of people associated with a particular document

and their relationship to the document. It may also hold organisation

information for these people. There is a one-to-many relationship between

the Export Table containing the primary document information and the

Parties Table because multiple people could be associated with a single

document.

Field Data Type

Explanation

Document_ID Text, 255

Document ID

Correspondence_Type

Text, 100

Paper Documents FROM, TO, BETWEEN, ATTENDEES, CC, BCC

To be determined on the basis of the face of the document.

Emails FROM, TO, CC, BCC

Other Electronic Documents FROM, TO, CC

Where practicable, to be determined from the automatically identified metadata.

Organisations Text, 255

Paper Documents Name of organisation that produced the document as determined on the basis of the face of the document.

Emails Blank\null

Other Electronic Documents Where practicable, to

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Field Data Type

Explanation

be determined from the automatically identified

Persons Text, 255

Paper Documents To be determined on the basis of the face of the document.

Emails Electronic metadata – email addresses or email alias names.

Other Electronic Documents Where practicable, to be determined from the automatically identified metadata.

4.3.2. Describing people in the Parties Table:

A person’s name may be referenced:

A. using email addresses (for example, [email protected]); or

B. using Surname [space] Initial (for example, Citizen J) where email

addresses are not available; or

C. by reference to a position (for example, Marketing Manager)

where email addresses and surname, initial is not available; or

D. by reference to an organisation associated with the person

where email address, surname, initial and position are not

available.

4.3.3. Multiple recipients will be entered as separate rows in the Parties Table.

4.4. Pages Table

4.4.1. There should be at least one entry in the Pages Table that relates to a single

document in the Export Table. Concurrently, there will be an entry in the

Pages Table for every file provided in the cascading document folder

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Field Data Type Explanation

Document_ID Text, 255 Document ID

Image_File_Name Text, 128 Filename, including extension of each indexed document.

Page_Label Text, 32 “PDF” for files produced as searchable multipage PDF documents.

“NATIVE” for documents produced as native electronic files.

“TEXT” for non-native extracted text files.

Page_Num Number,

Double

“1” for files produced as searchable multipage PDF documents.

“2” for documents produced as native electronic files.

“3” for non-native extracted text files.

Num_Pages Number,

Double

A number that represents the total number of pages of the document for files produced as searchable multipage PDF documents.

Otherwise “1” for documents produced as extracted text or native electronic files.

4.5. Export Extras Table

4.5.1. The Export Extras Table holds any additional metadata the parties wish to

exchange that is not held in the other three Tables mentioned above. In

addition to automatically identified document metadata, the Export Extras

Table should also hold subjective coding information about documents that

has been determined by the parties.


Document_ID Text, 255 Unique Document Identifier (Document ID)

theCategory Text, 50 Text OR Date OR Numb OR Bool OR Pick OR Memo

theLabel Text, 255 Custom Field Name, from the List of Extras Fields below

theValue Text, 255 Custom Field Contents from the List of Extras Fields below

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Memovalue MEMO Custom Field Contents from the List of Extras Fields below for values more than 255 characters

4.5.2. Required Extras Fields

theLabel Field Type(the Category)

Acceptable Values Explanation

Document Date and Time

TEXT DD/MM/YYYY HH:MM (where HH is a 24 hour format)

Document Date and Time electronically extracted using the respective processing tool (ie. Email Sent Date and Time OR Last Modified Date and Time). Where no time is electronically available the format value will be DD/MM/YYYY 00:00

Confidential PICK Yes

No

Part

Identifies whether confidentiality is claimed over all or part of a document.

Privilege PII PICK Yes

No

Part

This field identifies whether a claim of public interest immunity is made over the document.

Privilege Parliamentary

PICK Yes

No

Part

Where applicable, this field identifies whether a claim of parliamentary privilege is made over the document.

Privilege LPP PICK Yes

No

Part

Identifies whether legal professional privilege is claimed over all or part of a document.


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Privilege LPP Basis

PICK Legal Advice

Litigation

Commission Determined

Identifies the basis for a claim of legal professional privilege over all or part of a document.


Redacted PICK Yes Identifies whether a document is produced in redacted form to identify a Part claim of legal professional privilege.

This field is only required where a document is produced in redacted form and should only be applied to Part LPP claims.

Notice or Summons No.

PICK Eg:CTH-NTP-00001

NSW-NTP-00001

CTH-NTG-00001

Royal Commission request number as identified on the Notice or Summons, padded to 4 numbers (the last 4 numbers on the notice or summons).

Notice to Produce Category

PICK Eg: CTH-NTP-00001(a); CTH-NTP-00001(b)

Specify the category within the Notice to Produce that the document relates to. You should take the format of the full Notice to Produce number, followed by the category letter in parentheses (with no space in between). Where more than one category applies to a document, each category should follow the above format and be separated by semicolons (see example).

Security Classification

PICK Eg:DLM: Sensitive

Where applicable, the security classification of the document.

File Path MEMO Source path of the original file, if available.

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File Name TEXT Source name of the original file, if available.

Date Created TEXT DD/MM/YYYY HH:MM

Electronic metadata – created date, if available.

Date Last Modified

TEXT DD/MM/YYYY HH:MM

Electronic metadata – last modified date, if available.

MD5 Hash Value

TEXT MD5 hash value used for deduplication, if available.

File Extension TEXT Eg:XLSXPDF

Where available, the original file extension is to be provided for electronic files (with the exception of container files such as ZIP or PST).

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Schedule 2 – Document Types

1. Document Types for electronic documents

Document Type Description Email An email – usually contained within an email store (e.g. an email

box) but may be extracted to reside within a directory or folder on a file system.

Email Attachment An electronic document attached to an email.

Electronic File An electronic file that is not attached to an email but rather resided in its original state in a directory on a file system.

2. Document Types for hard copy documents

2.1. Standard document types:

Document Type

Agenda Divider/File Cover Manual/Guidelines Search/Company Search

Agreement/Contract/Deed Diagram/Plan Map Social Media/Messaging

Affidavit/Statement Email Media Article/Release Specification

Annual Report Facsimile Memorandum Table/Spreadsheet

Article Fax Transmission Report

Minutes of Meeting Submissions

Authority File Note Notice Timesheet

Board Papers Financial Document Permit Transcript

Brochure Form Photograph Web Page

Certificate Handwritten Note/Note Physical Media

Cheque Remittance Invoice/Statement PresentationCourt Document Legislation/Act Receipt Curriculum Vitae/Identification Letter Report

Diary Entry List RFI – RFO

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Schedule 3 – Production Tracker Form

General Information

Producing Entity

Represented By

Contact Name Email

Contact No. Reference No.

Production Details

Date of Production

Are these replacement files to previously provided documents?

Y / N

Notice to Produce No.

Tranche No.

Media Type

(e.g. USB)

If media is protected, has the password been emailed to [email protected]?[Note: please use this email address for passwords only. Do not produce documents to this address]

Y / N

Description / Comments

FOR OFFICE USE ONLY:

Royal Commission / AGS Recipient Name:

Date Time

Signature

Law In Order Recipient Name:

LIO Registry No:

Date Time

Signature

Item Return (only applicable to physical item exchange)

Royal Commission / AGS Recipient Name:

Date Time

Signature

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