NB/T 31021-2024Specification for scientific and technical document filing and arrangement of wind power enterprise (English PDF)

Foreword

This document was issued on 24 May 2024 by the National Energy Administration of the PRC and takes effect on 24 November 2024.

It is a NB/T standard: recommended rather than compulsory, but it is the text a Chinese reviewer applies when assessing a submission.

It is classified under ICS 27.180, Chinese classification F 11.

It replaces NB/T 31021-2012, which is superseded.

This document was drafted in accordance with the rules given in GB/T 1.1-2020 Directives for standardization - Part 1: Rules for the structure and drafting of standardizing documents.

This document replaces NB/T 31021-2012 Specification for scientific and technical document filing and arrangement of wind power enterprise.

Please note that some of the content of this document may be the subject of patent rights. The issuing body of this document assumes no responsibility for identifying patents.

This document was proposed by, and is under the administration of, the wind power standardization technical committee of the energy industry.

The versions of this document and of the document it replaces are as follows: first issued in 2012 as NB/T 31021-2012; this is the first revision.

1 Scope

NB/T 31021-2024 is the Chinese energy sector specification for how a wind power company files and organises its technical records. It sounds like paperwork and it is, but it is the paperwork that decides whether a wind farm can be sold, refinanced, repowered or defended in a warranty dispute twenty years after the turbines went up. A wind farm is a long-lived asset built by a chain of contractors who disperse once the project is commissioned, and everything a later owner needs to know about it - what the foundation was actually poured to, which blade serial numbers went on which tower, what the commissioning tests measured, how a gearbox failure was repaired - exists only in documents that somebody has to have kept, indexed and been able to find. A buyer conducting due diligence on a portfolio does not inspect the turbines; the buyer reads the archive, and a missing file becomes a price reduction or a deal that does not close. This document sets out what has to be kept and for how long. It fixes the overall requirements, including the rule that the filing obligation must be written into the contract with every participating unit at the time of signing, that the enterprise must have a dedicated records department with full-time staff, that important records must be backed up off site and on different media, and that the repository must meet the archive building code JGJ 25. It then covers, in turn, the filing of technical documents - responsibilities, scope, timing, number of copies and document quality - and their arrangement, from appraisal and classification through assembly into files, ordering, cataloguing, binding and the specifications of the boxes and forms. Separate clauses handle the three categories that ordinary document rules handle badly: photographic records, physical records, and electronic documents, the last with its own requirements on formats and metadata for long-term preservation. A final clause covers the transfer of records and its review and endorsement. The weight of the document is in its annexes: the normative classification scheme for the technical records of a wind power enterprise, and the normative table of filing scope and retention periods that runs for forty-five pages, together with the forms for records arrangement and the scope of engineering photographs. It was issued on 24 May 2024 by the National Energy Administration, took effect on 24 November 2024, and replaces NB/T 31021-2012.

This document specifies the filing, arrangement and transfer of the scientific and technological documents, photographs, physical items and electronic documents of a wind power enterprise.

This document applies to the filing and arrangement of the scientific and technological documents of a wind power enterprise.

2 Normative references

The contents of the following documents constitute indispensable provisions of this document through normative reference in the text. For dated references, only the edition corresponding to that date applies to this document. For undated references, the latest edition, including all amendments, applies to this document.

GB/T 10609.3 Technical drawings - Method of folding of reproduced drawings

GB/T 11821 Specification for the management of photographic records

GB/T 11822-2008 General requirements for the composition of scientific and technological record files

GB/T 18894-2016 Specification for the filing of electronic documents and the management of electronic records

DA/T 28 Specification for the management of construction project records

DA/T 47 Format requirements for the long-term preservation of layout-based electronic documents

DA/T 50 Specification for the filing and management of digital photographs

DA/T 69 Specification for the binding of paper filed documents

DA/T 92 General requirements for single-set management of electronic records

JGJ 25 Code for architectural design of archive buildings

3 Terms and definitions

The following terms and definitions apply to this document.

3.1 scientific and technological document

The collective name for the text, charts, sound and image materials in various forms that record and reflect scientific research, production and operation, project construction activities, and the operation, maintenance and management of equipment and instruments; abbreviated to scientific and technological document.

3.2 scientific and technological records

The scientific and technological documents formed by state bodies, social organizations and individuals in carrying out their various social activities, which have preservation value for the state, for society, for the enterprise and for individuals, and which shall be filed and preserved; abbreviated to scientific and technological records. [GB/T 11822-2008, definition 3.2]

3.3 physical records

Items made or acquired by state bodies, social organizations or individuals in the course of social activities, which have preservation value and exist as specific tangible objects. [DA/T 89-2022, definition 3.1]

3.4 electronic document

The various information records in digital format formed, processed, transmitted and stored by state bodies, social organizations or individuals through computers and other electronic equipment in the performance of their statutory duties or in the handling of affairs. An electronic document is composed of content, structure and context. [GB/T 18894-2016, definition 3.1]

3.5 electronic records

Electronic documents (3.4) that have evidential, reference and preservation value and that have been filed and preserved. [GB/T 18894-2016, definition 3.2]

3.6 metadata

Data describing the content, context and structure of electronic documents (3.4) and electronic records (3.5) and their management processes. [GB/T 18894-2016, definition 3.3]

3.7 filing of document

The process by which, after the completion of production and operation, scientific research, project construction and the inspection and maintenance of equipment and instruments in a wind power enterprise, the functional departments and the units concerned systematically arrange the documents having preservation value and hand them over to the records department for preservation.

3.8 archival arrangement

The process of systematically classifying (3.9), combining, ordering, numbering and basically cataloguing the records according to defined principles, so as to put them in order.

3.9 classification

The hierarchical division of the record entities according to characteristics such as the source of the record, the time of formation, the content and the form.

3.10 transfer of records

The process by which the functional departments of the enterprise and the units concerned hand over the records whose arrangement (3.8) has been completed to the records department for filing and preservation, according to procedure and after review by the head of the department and by the quality supervision unit concerned.

4 Overall requirements

4.1 The scientific and technological records work of a wind power enterprise shall be planned as a whole together with the development of the enterprise and with the construction of the project, and implemented at the same time. When a construction project signs a contract with a participating unit, a dedicated clause shall be included setting out the requirements for the filing of the project documents. The scientific and technological records work shall be carried out under unified leadership, unified management, a unified system and a unified standard.

4.2 The wind power enterprise shall, according to its actual situation, establish a records management system and business specification, and shall prepare the classification scheme for the scientific and technological records of the enterprise together with the table dividing the scope of filing and the retention periods of the scientific and technological documents; these shall comply with the requirements of Annex A and Annex B.

4.3 The wind power enterprise shall set up a department with overall responsibility for the scientific and technological records, staffed with dedicated records personnel, to carry out the various records management activities and to organise the records acceptance of construction projects.

4.4 The wind power enterprise shall strengthen the informatization of its scientific and technological records, progressively establishing a digital archive so as to achieve digitisation of the records resources, standardisation of information capture, security of information storage and networked information services.

4.5 The wind power enterprise shall provide a records repository equipped with the necessary facilities and equipment; the repository and its facilities and equipment shall comply with the provisions of JGJ 25. At the same time, important scientific and technological records shall be backed up off site and on different media, and the management of classified scientific and technological records shall be carried out strictly in accordance with the national confidentiality provisions.

4.6 The wind power enterprise shall maintain the completeness, accuracy, systematic order and security of its scientific and technological records.

5 Filing of scientific and technological documents

5.1 Filing responsibilities

5.1.1 The wind power enterprise is responsible for the filing of the scientific and technological documents formed in the management activities of the enterprise, including production and operation, scientific research, project construction, and equipment and instruments.