1 This section provides a brief introduction to the use of COIN to record safety case assessment. It does not give instructions on the use of COIN. Specific guidance on handling OSD safety cases and recording documents etc is provided on the intranet.
2 COIN provides a means of storing and retrieving documents generated during assessment. It is supplemented by the safety case plan, which holds information on assessment timetabling and is posted to the OSD safety case planning bulletin board each week.
3 There are two main categories of information stored on COIN, records and text documents.
4 COIN links text documents (such as case notes and letters) to the notes page of the service order for the current task.
5 Case notes and issue notes are prepared as Word text files and linked to the service order line using the 'Add Note' command.
6 COIN can store internal Word documents (such as case and issue notes) and external electronic documents (for example letters from duty holders). Supported formats are Word for Windows (.doc), Word for Mackintosh (.mcw), Works for Windows (.wps), Adobe (.pdf), Rich Text Format (.rtf) and Text (.txt). Faxes, e-mails can be transcribed into Word documents, using the appropriate template, and added to COIN.
7 Initially, case and issue note documents can be edited or deleted by any COIN user.
8 Documents stored on COIN have no status allocated to them, it is the service order to which they are linked that has a status. When the service order status is changed to closed or complete, linked documents cannot be edited or deleted.
9 Should a document not be ready for filing until after the service order is closed, it will have to be recorded against the notes field for the case.
10 There is one unique COIN case record for each safety case received, that records details of the submission and case management. Further submissions or revisions of a previously accepted case shall not use any COIN reference number previously assigned. It is however recommended that the COIN Cases are linked (associated) to the original case.
11 Case notes are internal records of safety case assessment activity. They provide an audit trail to help demonstrate compliance with OSD procedures.
12 Matters that may prevent acceptance if not resolved are recorded on COIN as level 1 issue notes.
13 Letters to the duty holder relating to the assessment (other than receipt confirmation and acceptance decision letters) are recorded on COIN as severity level 3 issue notes.
14 Receipt confirmation and acceptance decision letters are recorded as severity level 4 issue notes.
15 When closing an issue note, text may be added in the details field of the service order notes page. This may for example, comment on a referenced duty holder response. Another note may alternatively be created.
16 Retention of appropriate records of OSD's actions and of the basis for decisions made during assessment is a fundamental part of satisfying the SCHAM Principles of Acceptability.
17 This section sets out principles for the management of assessment documentation and provides guidance on storage to satisfy the ISO 9000 series of standards.
18 The principles for managing assessment documentation are:
a. Documents should be stored so that the versions on which the case acceptance decision was based are available at the most likely point of use. Where possible documents should be stored electronically on COIN.
b. Copies of documents not held on registered files, or on COIN at "Closed - Completed" status, should be regarded as uncontrolled. They should not be used in exercising statutory powers, but may be used to aid understanding.
c. Operations managers are responsible for ensuring adequate registered filing systems are maintained and used. Other staff should use these systems as instructed.
19 COIN stores internal documents in Word format. Safety case Word templates shall be used when linking documents to COIN.
20 TARs should be attached to COIN notes.
21 The close out pack shall be stored as a permanent record by the OBST in Aberdeen. This is in addition to records held on unit registered files.
22 The master copy of the accepted safety case is held with the close out pack by the OBST. The master copy should include any amendments made during assessment. A working copy of the case should be retained by the CM, who should maintain its status to meet the needs of the IMT.
23 All other copies of the case shall be regarded as uncontrolled. Inspectors shall confirm (typically by discussion with the CM) that the information is current before use in inspection or enforcement. Account should be taken of any revisions made by the duty holder to comply with Regulation 14(1). Operations managers are responsible for the storage arrangements of uncontrolled copies.
24 Original copies of responses to level 1 issues and other assessment matters shall be filed in registered files in the case manager's unit, in accordance with local systems.