Office for Nuclear Regulation
An agency of HSE

Annex 4 - Record retention and storage

T/AST/033 - Issue 2

A4.1  Records that might be considered for long term storage include:

  • approved specification of products;
  • records of the conditions of products;
  • records demonstrating that individuals are competent to perform their work;
  • records demonstrating compliance with statutory and regulatory requirements;
  • configuration management records;
  • records of the investigation of an accident, malfunction or non-conformance.

A4.2  Records such as management system documentation, procedures and assessment reports might also be considered for long term storage.

A4.3  It is recognised that the nomenclature and type of records may vary from licensee to licensee and alternative categories may be chosen at the discretion of the licensee.A4.4  The retention time for records is normally 30 years (or more for radiological records) unless approval is given for shorter periods. The licensee may standardise the record scheme as follows:

  1. greater than 30 years;
  2. 30 years;
  3. 5 years;
  4. 3 years.

A4.5  Senior management will need to establish storage and location requirements for the maintenance, preservation and protection of records and associated test materials and specimens from the time of their receipt and their disposal. A record storage process will need to include the following:

  • a description of the document or record storage facility;
  • a description of the filing system to be used;
  • a method for verifying that the records received are in agreement with the transmittal document and that the records are in good condition;
  • a method that the records agree with the records index;
  • rules governing access to and control of the files;
  • a method for filing corrected or supplemental information and disposing of records that have been superseded;
periodic checking to ensure that the records are not damaged, deteriorating or missing.

A4.6  Continued ability to read the data will need to be ensured, with account taken of any technological changes that occur.  Any changes in reading equipment and technology should only be made after consideration of how the capability to access and read existing recorded data will be maintained. This may necessitate transferring data to new media.  In such cases checks will need to be carried out to ensure that the data are readable and accessible and that they are an exact copy of the original.

A4.7  Paper records will need to be firmly attached in binders or placed in folders or envelopes for storage on shelves or in containers. Steel file cabinets or safes are preferred.

A4.8  Records that are processed by special methods will need to be packaged and stored as recommended in the manufacturer’s instructions and in line with applicable standards. Examples are: radiographs, photographs, microfilm, magnetic tapes, microdiskettes, laser discs and those records that might be sensitive to light, pressure, humidity, magnetic fields, dust and temperature.

A4.9  Where appropriate record storage facilities may need to accommodate contaminated records and physical specimens.

A4.10  Record storage facilities will need to protect the contents from possible damage or destruction by such causes as fire, flooding, insects and rodents and from possible deterioration under adverse environmental conditions of light, temperature and humidity.

A4.11  The following factors among others will need to be considered in the construction of a storage facility:

  • location and security;
  • type of construction, including structural features and internal surface treatment;
  • pipework layout and drainage;
  • control of ventilation, temperature and humidity;
  • prevention, detection and fighting of fires;
  • protection against electromagnetic radiation.

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Updated 21.08.09