Mechanism

Set of essential records (SER)

The decision on SER implementation should be made by the regulator and/or the implementing agency.

Rules for the selection, classification, maintenance, periodic review and short term preservation of the

SER should be developed by the implementing agency in co-operation with regulators, archives and as

Actors

many disciplines and stakeholders as relevant.

The national archives shall be responsible for preserving the SER in the medium and long term. Other

preservation institutes (e.g. local and international archives, servers of international co-operation bodies,

education bodies) should be involved to create redundancy.

Main

The SER provides detailed information on the repository system, selected specifically as to be an

information, knowledge and decision-making resource for future society, particularly technicians,

strengths/benefits

researchers and decision makers.

There is a need to develop a traceable and justifiable approach for the repository records classification

Specific

and selection, taking into account regulations, archiving rules and stakeholder requirements. The

issues/challenges

durability and accessibility of the SER need to be maintained. Security issues may control some aspects

of accessibility.

International

The SER is intended mainly for local and national use. It is too detailed and specific to play a significant

international role. Nevertheless, best practices can be shared and international bodies may also preserve

dimension

national SERs in the longer term.

Dedicated record sets and summary files: KIF (the KIF and SER should point to each other)

Memory institutions: archives

Connection to other

Regulatory framework: National regulatory framework (regulation will likely require the production and

approaches/

updating of a SER)

mechanisms

Oversight: oversight related records (these (e.g. related to monitoring and land use) may be included in the SER)

Knowledge management

Culture, education and art: Education, research and training

Information resources

• NEA (forthcoming), Preservation of Records, Knowledge and Memory (RK&M) Across Generations:

issued by the RK&M

Compiling a Set of Records for a Radioactive Waste Repository, OECD, Paris.

initiative

• IAEA (1999), Maintenance of Records for Radioactive Waste Disposal, IAEA-TECDOC-1097, IAEA, Vienna.

• IAEA (2004), Records for Radioactive Waste Management up to Repository Closure: Managing the Primary

Other information

Level Information (PLI) Set, IAEA-TECDOC-1398, IAEA, Vienna.

• IAEA (2006), Data Requirements and Maintenance of Records for Spent Fuel Management: A Review, IAEA-

resources

TECDOC-1519, IAEA, Vienna.

• IAEA (2007), Long Term Preservation of Information for Decommissioning Projects, Technical Report

Series 467, IAEA, Vienna.

Examples

• The Detailed Memory File (“Dossier Détaillé de Mémoire”) required in France (Decree 2007-1557

modified 28th June 2016) contains much of the information likely to be found in the SER. However, this

is a single prepared document, rather than a compilation of existing records.

Mechanism

Archives

Approach

Memory institutions

The term “archive” refers to both an accumulation of historical records and to the physical place where

these records are located. It also denotes the institution or service in charge of the management and

custody of these records.

Archives generally consist of records (including both documents and objects), in analogue and/or digital

format, that have been selected for permanent or long-term preservation, based on the grounds of their

enduring administrative, informational, cultural, historical or legal value as evidence of the work of the

creating organisation or programme. Archival records are mostly unpublished and almost always

Definition/description

unique, unlike books or journals, for which many identical copies exist. Archives focus on collections

rather than on individual records. Special care is taken to maintaining the context of each collection. The

preservation of “original” material (i.e. in its original format, on the original medium) is particularly

important. This means that archives, as institutions, are quite distinct from libraries with regard to their

functions and organisation, although archival collections may sometimes be found within library

buildings.

National archives acquire, preserve and make available national records, in particular those created by

national agencies. They usually establish policies and procedures for managing these records and assist

national agencies in carrying out their records management responsibilities.

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In the framework of a disposal project, the relevant records are usually firstly kept by the organisation(s)

in charge of the project. This information repository is not strictly speaking an archive, but a

management tool that is used to organise, preserve and access information during the entire duration of

How does this

the project. Depending on national legislation and the administrative status of the organisation(s) in

mechanism contribute

charge of disposal, the process of transferring records to one or more archives may be initiated at

to RK&M preservation/

different points in time during the operational phase of the repository or after closure. At the latest, the

How can it be

process should take place when a transfer of responsibilities occurs (e.g. after repository closure).

implemented?

Ultimately, the relevant records should be stored in one or more archives, preferably with a different

geographic scope of influence to add to accessibility and redundancy. Given that repository records are

of national relevance and importance, at least a subset of them is likely to be preserved by national

archives. The possibility to establish an archive dedicated to repository records, with dedicated funding,

at the national and/or international level, should also be taken into consideration.

Regarding the selection of repository records to be archived, see especially the “SER” mechanism.

Does the mechanism mainly preserve information, records, knowledge, memory or awareness?

Information: X

Records: X

Knowledge:

Memory:

Awareness:

Archives preserve records with information. By paying special attention to maintaining the context of

and coherence among record collections, archives aim to support both users’ ability to understand,

interpret and use the content of the records (knowledge) and a broader awareness of events, people,

places and levels of knowledge in the past (memory). If a dedicated nuclear archive were to be

established, its sheer existence would also support awareness.

What is the level of detail addressed/provided by the mechanism?

Scope

Low level of detail:

High level of detail: X

The “level of detail” is relative, but in the RK&M preservation context, the focus of (whole) archives is on

knowledge supporting/enabling, detailed information, more than on awareness supporting/enabling,

basic information.

What is the main geographical or administrative-political scope (development/implementation/

operation) of the mechanism? On which scale does the mechanism notably enable RK&M preservation?

[Note also the field “International dimension” further below.]

Local: X

Regional: X

National: X

International:

Virtual: X

Archives exist on different levels, notably the local, regional and national level. International archives are

rare (see separate mechanism “International archiving activities”). Online archives with digital(ised)

records also exist.

Which timescale(s) is this mechanism mainly aimed at (target timescale)?

Long term: X

Medium term: X

Short term:

Very short term:

While archives are always “used in the present”, their main aim is to preserve selected records for the

longer timescales, rather than the very short and short term (although, as repository projects often

extend over many decades, archived records may also be consulted prior to repository closure).

When should this mechanism be implemented? This may or may not be equal to the target timescale.

Pre-operational:

Operational:

Pre-closure: X

Post-closure: X

For this mechanism, the implementation timescale refers to the transfer of records to archives. While the

implementer will do some in-house “archiving”, this is not considered as transfer to an archive.

Timescales

Depending on the national regulatory framework, the transfer of records directly related to the

repository is likely to happen mostly in the preand post-closure phase.

Taking into account national archives that also establish policies and procedures for managing records,

and assist national agencies in carrying out their records management responsibilities, the

implementation timescale can be understood to also include the pre-operational and operational phase

(as preparatory phases for the actual record transfer).

When should this mechanism be developed? This may or may not be equal to the implementation

timescale.

Done: X

Pre-operational:

Operational: X

Pre-closure: X

Post-closure:

Archives already exist. A dedicated archive may be developed during the operational and pre-closure

timescales.

Should the mechanism be implemented intentionally (e.g. time capsules) or is its emergence largely

unintentional (e.g. surface traces) or can it not be fully controlled (e.g. art work)?

Intentional: X

Unintentional:

Cannot be controlled:

Characteristics

Archives are an intentional mechanism. This includes providing records to be archived.

Is the mechanism mainly tangible or intangible?

Tangible: X

Intangible:

Archives and their content are tangible.

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Mechanism

Archives

Does the mechanism mainly rely on mediated transmission or non-mediated transmission?

Characteristics

Mediated transmission: X

Non-mediated transmission: X

Archives use both mediated and non-mediated transmission. While the collection of records is

continuously and actively maintained for preservation and accessibility purposes (mediated

transmission), the content of the individual records is fixed and is transferred in a non-mediated way.

Archives can be developed and run by both government and private actors at all geographical levels.

Actors

The establishment of a dedicated nuclear archive could be the shared responsibility of government,

implementing and regulatory agencies. Archiving specialists should obviously be involved. Society at

large should be made aware of the existence of the archive and the potential to make use of it.

The main mission of archives is the long-term preservation of collections of records in order to ensure

access over an indefinite period of time. Access relates to both “form” (integrity of the information

carrier) and “content” (understandability through providing coherence and context).

As one or more public agencies are likely to be involved in radioactive waste management (e.g. the

Main

safety authority), their records are usually due to be delivered to the national archive. This ensures their

strengths/benefits

preservation in the longer term – even when the legal framework of waste disposal does not include

specific provisions related to repository records.

The specific strengths of a dedicated national or international “nuclear archive”, in comparison to a

generic archive, need to be investigated. The existence of such an archive would make it easier to locate

the relevant records.

If the waste disposal implementing agency is a private company, it may not be legally required to hand

over its records to a public archive. This process would need to be defined and organised.

For public archives, well-established standards for record collection and metadata already exist. These

standards may not be entirely compatible with the specific needs related to geological repository

records. From an archival point of view, e.g. records are considered “archival records” when they are no

longer in use or when the corresponding process has been completed. The long timescales of the

Specific

disposal process are a challenge in this respect.

Therefore, requirements regarding the format and structure of records collections, as well as metadata

issues/challenges

and contextual information, media, language, retention periods, access and confidentiality must be

developed in concert with the institutional stakeholders (in particular the regulator) for RK&M

preservation. They also need to be compared to current archival policies and practices, as defined by

international (e.g. ISO) and national standards.

Outside legally defined usage, potential users must first recognise an information need in order to

search and subsequently find the relevant information in archives. Other mechanisms should direct

users to archives.

Archives are usually part of a wider network. The management of archival collections (e.g. cataloguing) is

International

governed by international standards.

dimension

Specific benefits derived from international nuclear archives, as well as expected challenges, remain to

be investigated.

International mechanisms: International archiving initiatives

Dedicated record sets and summary files: SER; KIF

Connection to other

Culture, education and art: Alternative reuse of the site and/or its infrastructure (an archive could be

established on-site)

approaches/

Time capsules (Mediated time capsules containing records can be seen as a particular sort of archive.)

mechanisms

Legal Framework: National legal framework; safeguards

Oversight provisions (Archives can serve oversight by preserving usable records. Oversight is also likely to

produce records that will be archived.)

• Ohnesorge, K.W., “Digital Preservation at the Swiss Federal Archives”, in NEA (2011), The Preservation

of Records, Knowledge and Memory (RK&M) Across Generations: Scoping the Issue, Workshop

proceedings. 11-13 October 2011 in Issy-les-Moulineaux, OECD, Paris.

Information resources

• NEA (2013), The Preservation of Records, Knowledge and Memory (RK&M) Across Generations: Improving

issued by the RK&M

Our Understanding, Proceedings of the second RK&M Workshop, 12-13 September 2012, Issy-les-

Moulineaux, France, OECD, Paris. Items 31, 32 and 35 on archiving.

initiative

• Tucker, S., “The Nuclear Decommissioning Authority (United Kingdom) Nuclear Archive: The

importance of stakeholder engagement”, in NEA (2015), Radioactive Waste Management and

Constructing Memory for Future Generations: Proceedings of the International Conference and Debate,

15-17 September 2014, Verdun, France, OECD, Paris.

Other information

• International Council on Archives, ICA (www.ica.org/en).

resources

• Council of Audiovisual Archives, CCAAA (www.ccaaa.org).

• National archives in each country.

Examples

• Dedicated nuclear archive: Nucleus: The Nuclear and Caithness Archives, Wick, Scotland

(www.highlifehighland.com/nucleus-nuclear-caithness-archives).

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Mechanism

Libraries

Approach

Memory institutions

A library refers to a place where collections of books, periodicals and other information materials like

films, photographs and audio recordings or even archives, are kept. It may be a physical building or

Definition/description

room and/or a virtual space. It provides physical or digital access to its collections. Library collections

may be generic (such as in a national, a university or a municipal library) or highly specialised.

National libraries may be responsible for collecting all books published in the country or relevant to the

country.

Public libraries help structure and disseminate publicly available information. They hold materials of

different genres, which helps to reach a broad audience.

A dedicated section on “nuclear” or “radioactivity” or “radioactive waste management” can create

awareness for the issue. The material in this section would be useful for keeping RK&M on particular

How does this

disposal project and/or on the broader context of disposal projects, e.g. works on local history, on

mechanism contribute

scientific background (e.g. radioactivity), etc. Libraries often also host reading groups, where the topic of

to RK&M preservation/

waste disposal could be discussed based on materials in the library.

How can it be

In the short term, specialised libraries may contribute to the preservation of RK&M in the sense that they

implemented?

hold scientific information necessary to research, e.g. by the implementing agency, the regulator or R&D

institutions.

In the medium term, all relevant reports published by the implementer are likely to be kept at the

national library, for example the KIF could be stored by public libraries at different locations, both in

paper and in digital format.

Does the mechanism mainly preserve information, records, knowledge, memory, or awareness?

Information: X

Records:

Knowledge: X

Memory: X

Awareness:

Through their high accessibility, libraries promote the spread and preservation of information,

knowledge, memory and/or awareness contained in the various materials in their collections. While

specialised libraries may also preserve particular records, this is more the purpose of archives than of

libraries in general.

What is the level of detail addressed/provided by the mechanism?

Scope

Low level of detail: X

High level of detail: X

Libraries contain material of a broad variety of detail and genres.

What is the main geographical or administrative-political scope (development/implementation/

operation) of the mechanism? On which scale does the mechanism notably enable RK&M preservation?

[Note also the field “International dimension” further below.]

Local: X

Regional: X

National: X

International:

Virtual: X

Libraries exist at various levels and often collaborate regionally, nationally and sometimes

internationally. Virtual libraries are gaining in importance.

Which timescale(s) is this mechanism mainly aimed at (target timescale)?

Long term:

Medium term: X

Short term: X

Very short term: X

Libraries preserve RK&M in the present and near future, but there are also quite a few libraries worldwide

that are many centuries old.

When should this mechanism be implemented? This may or may not be equal to the target timescale.

Pre-operational:

Operational:

Pre-closure:

Post-closure:

Libraries already exist. One would try to make sure that national libraries and public libraries, especially

Timescales

those in the vicinity of disposal projects, contain a number of references on disposal projects from the

pre-operational and operational phases onwards. Disposal projects could also include on-site or nearby

library projects as a form of added value and dedicated RK&M preservation, which could be developed

during all timescales.

When should this mechanism be developed? This may or may not be equal to the implementation

timescale.

Done: X

Pre-operational:

Operational:

Pre-closure:

Post-closure:

Libraries already exist. The materials that could go into libraries are developed throughout all phases of

the repository lifetime.

Should the mechanism be implemented intentionally (e.g. time capsules) or is its emergence largely

unintentional (e.g. surface traces) or can it not be fully controlled (e.g. art work)?

Intentional: X

Unintentional: X

Cannot be controlled: X

Characteristics

Specialised libraries may be dedicated RK&M preservation mechanisms. The content of public libraries

cannot be fully controlled. Neither can the existence and content of private or personal libraries.

Is the mechanism mainly tangible or intangible?

Tangible: X

Intangible:

Libraries and their content are tangible.

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