A CDA Open Industry Workshop · Addressing the Information Legacy of an Offshore Asset A CDA Open Industry Workshop 15th March 2018 –CDA Aberdeen

Addressing the Information Legacy of an Offshore AssetA CDA Open Industry Workshop

15th March 2018 – CDA Aberdeen

Overview – A Records Retention Schedule for Oil & Gas Decommissioning

Daniel Brown, CDA

© Common Data Access Limited 2018 2

Why do organisations keep records?


• Because the law says they must

• Because they have value to the organisation, either now, or in the future

• Because they may be needed if a risk matures


Building a Retention Schedule for Decommissioning


DigitalRecords

PhysicalRecord Manifests

Company RecordsRetention Policy

: ACT + 40 yrs

: EVT + 6 yrs

: EVT + 20 yrs

: IND

: EVT + 5 yrs

. . .

Outcome:

GenericRetention Schedule

Generic OffshoreRetention Schedule

Apply,Review,

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Company DecomRetention Schedule

Deliverables – freely available from CDA website


• Detailed Records Retention Schedule for Oil & Gas – under open conditions of use• Guidance on the Construction and Use of the Retention Schedule

https://cdal.com/index.php/data-regulations/

Brent Delta Decommissioning: Challenges for Information Managers

Brent Delta Project Information Management Team, Shell E&P Ltd.

SLIDES NOT AVAILABLE FOR DISTRIBUTION


Navigating the Oil & Gas Information Legacy

Greg Gordon, Head of the School of Law, University of Aberdeen


CDA Workshop, Aberdeen, 15 March 2018

Dr Greg Gordon

Overview

• Focus on the legal review

• Process and Methodology

• Assumptions/exclusions

Process and Methodology of the Legal Review

• Started with a very lengthy and detailed document retention schedule produced by Keith Batchelor

• 30 initial categories, >300 pages

• Focussed upon legal obligations (primarily regulatory law obligations; also licence obligations) and also common law

• Not solely focussed upon offshore

• Following clarification of project goals, subjected to “legal review”

• Removal of the obligations not applicable offshore

• Removal of “corporate” or “central” obligations (focus on the platform and the activity)

• Cross-checking to ensure that particular offshore obligations were included

Assumptions/exclusions/caveats

• Set out in detail on p.8 of CDA Guidance, p.8.

• Does not consider the situation of export pipelines crossing to onshore

• Offshore, not onshore (save for flow-back effects of onshore waste disposal)

• Operator-focussed – although some contents, e.g. the handover obligations, may be of relevance to the contractor community

• Assumptions relative to the stage of operations

• General – therefore does not take account of any specific consenting conditions or particular undertakings given

• Further caveat – the law changes over time

• Need for periodic review

The obligations-focus of the legal review

• My work (assisted by Constantinos Yiallourides) – primarily obligations focussed, not documents focussed

• Not document retention specialists

• The nature of the exercise we were undertaking

• What must we retain - front-line obligation; thou shalt keep [type of document] for [minimum period] – kept those in the schedule

• What in the interests of prudence should we retain – secondary obligation, arising from the potential need to defend oneself in the future – kept those in the schedule

• Discretionary retention – what might we want to keep so as to improve our business or for historical interest – did not keep those in the schedule

Primary obligations

• Imposed:

• because the Government itself wants data (e.g., requirements in the MCs); or

• The most obvious category to have to keep.

• Very important and may give rise to the need to keep a lot of documents; but not a lot of legal obligations in that category.

• because of specific and obvious risks (e.g., handling of asbestos)

• May be quite specific about the type of document to be kept (eg log books, certain types of records) and the duration of the obligation

• A reasonably large number of obligations in this category

Secondary Obligations

• Retained in the interests of prudence based on potential future need (defend against prosecution and/or claim)

• Involved an element of judgment (significant time spent debating with project team)

• Took a fairly precautionary/inclusive approach

• A lot of obligations in this category but often speaking to the same type of document (logs, permits to work, etc etc)

• Often, but not always, about accidents – but some other forms of obligation too – “handover obligations” and “due diligence obligations”

Categories of legal obligations

• Not the same a categories of document

AHCompany needs to be able to protect itself against possible personal injury claim associated with pre-decom operations

ADCompany needs to be able to protect itself against possible personal injury claim associated with operations in decom phase

OCCompany needs to be able to protect itself against another type of claim [include short narrative as to nature of obligation and length of obligation]

HO Handover obligation: company needs to be able to demonstrate that contractor was aware of what it was re

DDDue diligence. Company faces liability if it cannot demonstrate that it undertook due diligence as to e.g. contractor’s qualifications.

PLO Petroleum Licensing obligation [specify]

PAO Obligation imposed by Petroleum Act or other legislation or associated Guidance.

OLO Other Licensing obligation (eg, telecommunications licence)

OSO Other Statutory Obligation [include short narrative as to nature of obligation and duration]

M Miscellaneous [include short narrative as to nature of obligation and duration]

Personal evaluation of the legal review

• A big job!

• A useful job?• Discussions among the project team about scope demonstrated an underlying

conceptual complexity

• Simplified the retention schedule

• Could it be simplified further?

• Highlighted how few specific information-retention obligations there are in UK petroleum law (and how open-textured they are)

• Obligations focus (as opposed to document focus) involved viewing the same concept from two different perspectives; which should at the very least be a useful cross-check

• Future work?

• Periodic review – based on legal change, experience and reflection

• Contractor-facing exercise?

The 1,000 Year Perspective: Records Retention at the Nuclear Decommissioning Authority

Martin Robb, National Programme Manager Information Governance, NDA


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Addressing the Information Legacy of

an Off Shore Asset –

“The Nuclear Industry Perspective”

Aberdeen 15th

March 2018

Martin Robb NDA Programme Manager

Agenda

• Why ?

• Why should we address the “records issue”?

• How?

• The Information Governance Strategy “IGS” and Programme “IGP”

• Information Management (IM) workstream

• Waste Package Records (WPR)

• NDA Archives Ltd

• Infrastructure

• Building

• People

• “Rules and Tools”

• Knowledge Hub – Security landscape

• “Sift and Lift”

• Issues

• Waste Package Records (WPR)

• Questions

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Why?

• 500,000 archive boxes and growing

• Poor storage and management systems

• Poor meta data / indexing / searchability

• 84+ EDRMSs (Electronic Data Record Management System)

• 300+ e rooms

• Information from 1940s to present to circa 2120

• Waste records needed for a minimum of 300 yrs. (thousands of years?)

• Obsolete databases / lack of IT preservation and migration policies

• Demographic profile – ageing workforce

• Legal compliance – statutory requirements such as FOI / Data protection /

H&S / employment / contractual etc..

• Regulatory compliance – ONR / EA / SEPA / NRW

• Public Records – The National Archive (TNA)

Information Governance Strategy (IGS) addresses above

Information Governance Programme (IGP) delivers the strategy

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How? Business Case Benefits

Allows NDA to deliver key business objectives in the following areas

• Geological disposal of radioactive waste (GDF, LLWR and Scottish equivalents) - Waste Package

Records

• Deferred decommissioning / final site clearance - land quality records, records associated with

remaining infrastructure etc.

• Civil Nuclear Compensation Scheme (dose and personnel records)

• Legal, statutory and Regulatory compliance (in particular Environmental records)

by “capturing knowledge and preserving appropriate information / records in a searchable and usable form to

meet the business need, which maintains and enhances the civil nuclear industry reputation and increases

public / Regulatory / HMG confidence in the industry’s ability to manage and discharge radioactive liabilities”

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How? What’s included within IGP?Official

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IGP delivers the “how” (“rules and

tools”) and others deliver the “what”

Waste Package Record programme -

provides a business need / focus and

creates a “burning platform” to help

drive the IGP and “change culture /

behaviours”

How? Information Management

• Commercial Partner – Restore Scan plc

• Opened to public 14th Feb 17 (on target)

• Security major consideration

• Will interact with NDA Knowledge Hub (Crucible) via electronic documents

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Nucleus - NDA Archive BuildingOfficial

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Nucleus – Rules & Tools 1

• Record Retention Schedule (RRS)

• Version 2 on NDA website

• Compiled to meet legal & statutory compliance

• Retentions based on individual document type NOT collections

• Collections generally meet business need “over and above” legal &

statutory compliance

• Only collection identified in RRS is waste package record

• Specification - IMP06

• NDA standards for managing information

• Concept of “fix backwards / fix forwards”

• Meta data – note there are mandated fields in the “Dublin core”. All

records must have these mandated fields completed as of 1st April

15.There will be some relaxation of the requirement for legacy material

where straight forward attributes ( e.g. title, date, security classification

etc..) must be included.

• ALL documents receive a unique identifying number generated by

NDAAL

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https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/555096/IMG02_-_NDA_Records_Retention_Schedule_V2_-_Aug_2016.pdf

https://www.gov.uk/government/publications/imp06-managing-nda-information-requirements


• Freedom of Information (FOI)

Protocol in place - NDA still takes lead and NDAAL refer FOI to NDA

• NDA Acquisition Policy

Will be published 1st April – will not include examples of “public records”

as suggested. However could be re-considered later via request from

Archive User Group

• IT

• Archive Management System

• Scanned (on demand) documents

• stored on NDA IT network (EDRMS – Electronic Data Records

Management System)

• Issued securely via Knowledge Hub

• Scope to develop a “schema” to allow IT search capability (“dictionary”)

• Developing strategy on approach to IT database preservation / migration

(Engaged closely with Digital Preservation Coalition)


• Physical records / non standard shape records

• Bespoke racking e.g. AO drawing chests and hangers

• Physical samples can be stored and displayed in the archive. Models should be offered to the

archive prior to destruction

• Physical samples will require “meta data” and will be indexed at the archive even if stored off site in

more appropriate locations e.g. NNL active facility, British Geological Society etc.

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“Sift and Lift” - issues

• “Sift and Lift”

• Numerous sites / “Information Asset Owners”= Different interpretations

• Different industries e.g. rail, maritime shipping, nuclear etc.

• Identifying the “trigger date” / multiple authors / versions

• Documents / records held elsewhere e.g. published books / articles etc.

• Security requirements / Changing security classifications

• Lack of meta data / different meta data sets

• Records having 2 different retention periods i.e. “falling into one of more

different “collections”

• Records “treated as a collection” in business operation requiring (?) to be

separated out for retention e.g. asbestos exposure records included in

individual HR personnel records. Need to assess cost vs. benefit e.g. treat

HR records for retention purposes as a single record and apply the

longest retention period

• How to identify which records are part of a collection without duplicating

copies of the record

• Etc.!!!!

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Waste Package Records

• Waste Package Records (WPR) provide a “Burning Platform” for the IGP due to

impending knowledge loss / information degradation

• Based on a 4 year target

• All ILW packages (circa 300,000+) will have an approved WPR

• Consists of 3 record collections A, B and C class records

• Each waste package has an individual class C record (circa 50 pages)

• Each group of waste packages has common Class A / B records (circa 300

documents)

• Relationship between A / B records and Class described by a PRS (Package

Record Specification) which is an “index” providing a “family tree”

• Record Sets yet to be developed into programmes

• “People” - Civil Nuclear Compensation Scheme – complex matrix structures

similar to WPR

• “Licence to operate” Environmental Records - review and address EA permit

requirements

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Knowledge Hub-Security Landscape

Why do we not use a Public Cloud?

• In the UK the Civil Nuclear Industry is bound by legislation which makes public cloud difficult to adopt at

this time:

• Nuclear Industry Security Regulations 2003 (NISR)

• NISR creates different types of “OFFICIAL” classification:

• OFFICIAL – normal classification as per rest of HMG

• OFFICIAL (Sensitive) – normal “need to know” caveat as per HMG

• OFFICIAL (Sensitive) Sensitive Nuclear Information (SNI) – OFFICIAL data which contains information

deemed to attract special NISR “need to know” criteria which requires special protective measures which lie

significantly above norms for OFFICIAL threat models, but not as high as SECRET

• Civil Nuclear information is of interest to wide & varied threat sources:

• Personnel and business status controls will reflect the need for UK sovereignty

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[email protected]

LONDON | ABERDEEN

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