Annex 1 - Electronic record management system

T/AST/033 - Issue 2

Annex 1 - Electronic record management system

A1.1 So far as LC6 is concerned, the requirement is for documents and records required, issued or made in pursuance of the conditions to be preserved. How the licensees do this is ultimately a matter for them. This Annex provides some help in identifying what NII would expect from a prudent licensee. It would defeat the purpose of the Condition merely to be able to prosecute a licensee for breach of the condition once records have been lost or destroyed. The retention of records in electronic form is consistent with the requirements of the Condition. It has been held that computer records are "documents" for such purposes.

A1.2 Another important aspect is that personnel inputting data into such systems will be required to verify that the information entered was an accurate representation of the input data. The underlying principle here is that first-hand knowledge (or provenance) of the information used to establish the record is essential to personnel inputting the data.

A1.3 The possibility of technology becoming obsolete with the attendant possibility of records not being retrievable is an important consideration for an electronic records management system.

A1.4 Detailed guidance on the preparation of electronic images of documents that may be required as evidence is given in relevant British Standards (see Annex 5). There are some practical safeguards that must be considered when dealing with the storage of records by electronic means. These include:

i) The continued ability to read the data must be assured taking into account the technological changes that may occur between making the record and its subsequent retrieval. (This may mean periodically upgrading the record in line with new technology).

ii) The integrity of the computer program should be confirmed. (e.g. Is it a proprietary product? Has it been adequately tested and de-bugged?).

iii) Evidence of maintenance of the system hardware and the continuing availability of software to read the electronic record.

iv) Assurance of the security of the system including the use of passwords and control of software amendment must be available.

v) Sufficient back-up of recorded data to guarantee preservation of the information so that records can be regenerated in the event of loss/deterioration of the original. Alternative locations for record storage should be used.

vi) A system for recording and storing data must prevent the degradation of data.

vii) Readily obtainable data from the storage system by "authorised persons".

viii) Copies (in whatever medium is being used) must be (or be able to produce) an exact representation of the original record. Controls must be in place to ensure that the transfer is accurate. Quality control checks of the image to be stored e.g. immediately following scanning must be an integral part of the system.

A1.5 There is an ever increasing use of electronic means to generate and store records. In many instances records generated electronically do not exist in other forms. Records stored electronically or photographically are usually effectively indexed and as such are readily retrievable. Section 1 of the International Code of Good Practice for Electronic Documents and e-commerce Transactions as Legally Admissible Evidence reproduces BSI - DISC PD0008: 1999. PD 0008 describes the best practice for the management of information stored electronically.

A1.6 The management of records in the nuclear industry is a considerable task, not least due to the volume and diversity of records. This may make the transfer to a medium other than paper very attractive. There are no legal barriers to this provided that the safeguards above can be met, particularly with respect to the quality and accuracy of images.

A1.7 In essence licensees have to decide what the risks are from both the legal and commercial aspects, particularly regarding the disposition of original records. Current thinking is that it would be surprising if a company was to conclude that all its documents were suitable for imaging and destruction. It would be equally surprising if it decided that none were. It is unlikely that licensees will wish to destroy all original records following imaging. Documents such as consents, approvals, licence instruments, the licence itself and safety cases, for example, should be kept as original documents.

A1.8 Admissibility and weight are two factors that must be considered with respect to evidence in court. It is the accepted view that electronic records will be admissible, particularly if they have been properly managed and controlled. Copies of documents, photographs and microfiche have been admissible for years. It is the weight that the court gives to the evidence that is uncertain and where an original document is available this should be produced.

A1.9 Generic IAEA guidance on an EDMS can be found in IAEA Safety Guide GS-G-3.1 Annex I.