SIST EN 9300-002:2018

SLOVENSKI STANDARD
01-oktober-2018
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Aerospace series - LOTAR -LOng Term Archiving and Retrieval of digital technical
product documentation such as 3D, CAD and PDM data - Part 002: Requirements
Luft- und Raumfahrt - LOTAR - Langzeit-Archivierung und -Bereitstellung digitaler
technischer Produktdokumentationen, wie zum Beispiel von 3D-, CAD- und PDM-Daten -
Teil 002: Anforderungen
Série aérospatiale - LOTAR - Archivage Long Terme et récupération des données
techniques produits numériques, telles que CAD 3D et PDM - Partie 002 : Exigences
Ta slovenski standard je istoveten z: EN 9300-002:2018
ICS:
01.110 7HKQLþQDGRNXPHQWDFLMD]D Technical product
L]GHONH documentation
35.240.10 5DþXQDOQLãNRSRGSUWR Computer-aided design
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35.240.30 Uporabniške rešitve IT v IT applications in information,
informatiki, dokumentiranju in documentation and
založništvu publishing
49.020 Letala in vesoljska vozila na Aircraft and space vehicles in
splošno general
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

EN 9300-002
EUROPEAN STANDARD
NORME EUROPÉENNE
June 2018
EUROPÄISCHE NORM
ICS 35.240.60; 49.020; 01.110; 35.240.30
English Version
Aerospace series - LOTAR -LOng Term Archiving and
Retrieval of digital technical product documentation such
as 3D, CAD and PDM data - Part 002: Requirements
Série aérospatiale - LOTAR - Archivage Long Terme et Luft- und Raumfahrt - LOTAR - Langzeit-Archivierung
récupération des données techniques produits und -Bereitstellung digitaler technischer
numériques, telles que 3D, CAO et PDM - Partie 002 : Produktdokumentationen, wie zum Beispiel von 3D-,
Exigences CAD- und PDM-Daten - Teil 002: Anforderungen
This European Standard was approved by CEN on 5 June 2017.

CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this
European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical references
concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to any CEN
member.
This European Standard exists in three official versions (English, French, German). A version in any other language made by
translation under the responsibility of a CEN member into its own language and notified to the CEN-CENELEC Management
Centre has the same status as the official versions.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION

EUROPÄISCHES KOMITEE FÜR NORMUNG

CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2018 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 9300-002:2018 E
worldwide for CEN national Members.

Contents Page
European foreword . 3
Foreword . 4
Executive summary. 5
1 Scope . 6
2 Normative references . 7
3 Terms, definitions and abbreviations . 7
4 Applicability . 7
5 Introduction . 7
6 Key requirements . 8
6.1 Acceptance . 8
6.2 Legal Requirements . 9
6.3 Security and integrity . 9
6.4 Certification . 10
6.5 Requirements Refinement . 10
7 Application of the OAIS Model . 11
7.1 The Open Archive Information System (OAIS) Reference Model . 11
7.2 Product Data Archiving using the OAIS Model . 11
7.2.1 System Preparation . 12
7.2.2 Identification of Preservation Use Cases . 12
7.2.3 Categorization of digital product data to archive . 12
7.2.4 Specification of the Descriptive Information of the SIP . 12
7.2.5 Description of the quality control criteria . 12
7.2.6 Description of the derivation procedures for the SIP . 12
7.3 Implementation requirements on operation . 12
7.3.1 Data Preparation . 13
7.3.2 Ingest . 13
7.3.3 Archive Storage . 14
7.3.4 Data Management . 15
7.3.5 Administration . 19
7.3.6 Preservation Planning . 19
7.3.7 Access . 21
Annex A (informative) . 23
Bibliography . 31

European foreword
This document (EN 9300-002:2018) has been prepared by the Aerospace and Defence Industries
Association of Europe - Standardization (ASD-STAN).
After enquiries and votes carried out in accordance with the rules of this Association, this Standard has
received the approval of the National Associations and the Official Services of the member countries of
ASD, prior to its presentation to CEN.
This European Standard shall be given the status of a national standard, either by publication of an
identical text or by endorsement, at the latest by December 2018, and conflicting national standards
shall be withdrawn at the latest by December 2018.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CEN shall not be held responsible for identifying any or all such patent rights.
According to the CEN-CENELEC Internal Regulations, the national standards organizations of the
following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria,
Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia,
France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta,
Netherlands, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and the United Kingdom.
Foreword
This standard was prepared jointly by AIA, ASD-STAN, PDES Inc and the PROSTEP iViP Association.
The PROSTEP iViP Association is an international non-profit association in Europe. For establishing
leadership in IT-based engineering it offers a moderated platform to its nearly 200 members from
leading industries, system vendors and research institutions. Its product and process data
standardization activities at European and worldwide levels are well known and accepted. The
PROSTEP iViP Association sees this standard and the related parts as a milestone of product data
technology.
PDES Inc is an international non-profit association in USA. The mission of PDES Inc is to accelerate the
development and implementation of ISO 10303, enabling enterprise integration and PLM
interoperability for member companies. PDES Inc gathers members from leading manufacturers,
national government agencies, PLM vendors and research organizations. PDES Inc. supports this
standard as an industry resource to sustain the interoperability of digital product information, ensuring
and maintaining authentic longevity throughout their product lifecycle.
Readers of this standard should note that all standards undergo periodic revisions and that any
reference made herein to any other standard implies its latest edition, unless otherwise stated
The Standards will be published under two different standards organizations using different prefixes.
ASD-Stan will publish the standard under the number EN 9300–xxx. AIA will publish the standard
under the number NAS 9300–xxx. The content in the EN 9300 and NAS 9300 documents will be the
same. The differences will be noted in the reference documentation (i.e. for EN 9300 Geometric
Dimensioning & Tolerancing will be referenced in ISO 1101 and ISO 16792, and for NAS 9300 the same
information will be referenced in ASME Y14.5M and Y 14.41). The document formatting etc. will follow
that of the respective editorial rules of ASD-Stan and AIA.
Executive summary
Many companies are migrating their design processes from traditional hard-copy drawings and
documents to using digital data. New processes are also needed to archive digital data and preserve
access to it, in compliance with business and regulatory requirements appropriate to this new media.
Some industries are required to archive data for the life of a product, which can be in excess of 50 years.
Over these time periods, changes in technology impact the ability to retrieve and use product data.
Organizations, which use digital product data, will need strategies and processes that maintain the
usability of the data over multiple generations of technology.
Initially, this document sums up the main business requirements for long term archiving of digital
product data.
Then, this document describes requirements for standardized processes (and associated technologies)
that ensure product data are retrievable and usable for as long as needed. The archiving process is
developed from the Open Archival Information System (OAIS) Reference Model (ISO 14721), which
provides a conceptual framework for archive systems.
The archiving process is structured into sub processes for introducing new material into the archive
(ingest), managing the data and metadata (data management), managing the physical systems (archive
storage), retrieving information and providing it to users (access) and planning the evolution of the
repositories (preservation planning). Specific requirements for the archiving of product data are put
into this framework.
1 Scope
This document is a part of the EN 9300 Series. This document addresses requirements for the long term
archiving of digital product information, applicable to the international aerospace industry.
Data shall be available to meet regulatory, legal, contractual and business requirements.
Initially, this document sums up the main business requirements for long term archiving of digital
product data. Although these requirements are not in themselves normative, when making data
available over an extended period, it is a fundamental principle that the contextual data needed to
interpret the data is also available.
This document uses the OAIS reference model to provide comparability with other approaches to
keeping information available. However, OAIS is a standard reference model for comparison, not a
standard for implementation. Consequently, this document defines requirements for processes (and
associated technologies) intended to make data available for the life of a product, and does so in terms
of the OAIS model.
In dealing with traditional media, the differences between substantial change and unimportant
“surface” change are generally self-evident. For example, the yellowing of paper over time, or the
encrustation of a gravestone with lichen do not lose the information contained, whereas the loss of
pages of a document, or the erosion of the stone do so, and archiving focusses on the preservation of the
medium. For digital product data, the medium is unimportant, but the content can be corrupted. The
subject of the (many) remaining parts of this standard is the identification of the information that shall
be uncorrupted if digital product data is to be usable in the future, and the consequent refinement of
processes and procedures to insure this.
This document addresses, archiving of digital product data required for product definition, such as in
three-dimensional representations a tolerances, material properties, manufacturing data, etc.
specification call-outs, product structure and configuration control data, etc. Other parts of the EN 9300
standards will cover more specifically the long term archiving of, for example, composites, electrical
systems, product analyses and product simulation information.
This document also addresses managing the evolution of technologies required to ensure the
availability and usability of the data for the required archiving period.
This document is not intended to incorporate company specific requirements and does not dictate
specific organizational structures within a company. This document does not specify a design or an
implementation of an archive system. Actual implementations may distribute responsibilities or break
out functionality differently.
This document assumes that all requirements for configuration management of the product data are in
place and therefore are not specifically described in this document.
If an organization chooses to implement requirements beyond those outlined in this requirements
document, those additional requirements shall not conflict or negatively impact the requirements
contained in this document.
Purpose:
This document establishes legal and other business requirements for processes intended to preserve
digital data. Data needs to be stored and maintained so that data is retrievable and usable for the
required archiving period. In addition, for some business requirements, data needs to be authentically
preserved and accessed.
This standard is intended to allow for different implementations based on a company’s specific business
environment.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
EN 9300 (all parts), Aerospace series — LOTAR — LOng Term Archiving and Retrieval of digital technical
product documentation such as 3D, CAD and PDM data
3 Terms, definitions and abbreviations
For the purposes of this standard, the terms, definitions and abbreviations given in EN 9300-007 shall
apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
• IEC Electropedia: available at http://www.electropedia.org/
• ISO Online browsing platform: available at http://www.iso.org/obp
4 Applicability
Refer to EN 9300-001, Clause 4, for applicability.
5 Introduction
Many companies are migrating their design processes from using traditional hard-copy drawings and
documents to using digital data. New processes are also needed to archive digital data and preserve
access to it, in compliance with business and regulatory requirements appropriate to this new media.
Some industries are required to archive data for the life of a product, which can be in excess of 50 years.
Over these time periods, changes in technology impact the ability to retrieve and use product data.
Organizations which use digital product data will need strategies and processes that maintain the
usability of the data over multiple generations of technology.
The cost of a particular technology varies over time. As a particular technology ages, the cost of
implementation, use and maintenance of that technology can provide a large economic pressure to
move to a more current technology. Typically, a newer technology also provides additional business
benefits, which is not reflected only in the figures of a cost and benefits comparison. At some point,
regardless of cost, it may become impractical or even impossible to use older technology due to lack of
materials, equipment, tools and support for the technology.
Business requirements dictate the archiving of product data for long periods of time. It is generally not
feasible to maintain a single generation of technology over a period of 50 years. Over these time
periods, changes in technology impact the ability to retrieve, reproduce and use product data.
Organizations which use digital product data will need strategies and processes that maintain the
reproducability and usability of the data over multiple generations of technology.
Development of new aerospace projects implies increasingly the use of digital product information by
the supply chain, for inservice support reasons and by the customers. The business requirements
described within this standard are planned to be applicable for the full aerospace product life cycle.
This standard sums up the main business requirements for long term archiving of digital product data.
In some cases, the authentic preservation of design type information is requested; EN 9300 describes
related requirements applicable for this constraint. (see also EN 9300-003 “Fundamentals and
Concepts”).
Then, this document describes requirements for standardized processes (and associated technologies)
that ensure product data are retrievable, reproducible and usable for the required retention period. The
long term archiving and retrieval process is described in terms of the Open Archival Information
System (OAIS) Reference Model (ISO 14721.2003) that provides a conceptual framework for archive
systems.
The long term archiving and retrieval process is structured into sub-processes for:
— Ingest: introducing new material into the archive;
— Data management: managing the data and metadata;
— Archive storage: managing the physical systems;
— Access: retrieving information and providing it to users and
— Preservation planning: planning the evolution of the repositories.
Specific requirements for the archiving of product data are put into this framework.
6 Key requirements
Within the aerospace industry, a lot of requirements are known for a risk mitigation with respect to
certification and legal demands. The following list of requirements are categorized into:
— Acceptance (see 6.1)
— Legal demand (see 6.2)
— Security (see 6.3)
— Certification (see 6.4).
6.1 Acceptance
The first requirement category covers users' acceptance of the manageability of archived documents
and the minimizing of costs of archiving within the long term archiving system:
Table 1 — Requirements of category “Acceptance”
No. Requirement
AC1 Each document within an archive has to be retrievable
AC2 Each document has to be found in a predefined time frame (e.g. 3 days required by JAR)
AC3 The life cycle costs for archiving and access shall be minimized
AC4 The data (a copy of the archived data) shall be available for further use or manipulation
(preservation of the design intent), but possibly with limited functionality with respect to
the original source. (For example, one use case may only be required to visualize the model
and measure distances between the geometric entities, while another may require updates
to the model, which in turn entails that the original parametric information would need to be
preserved.)
AC5 A planned retention period shall be provided for archived documents/data, i.e., a point in
time when a document or a set of data has reached its retention period it must be reviewed
prior to removal. The Archive system provides a report that the document has been removed
from the archive.
6.2 Legal Requirements
The second requirement category covers the compliance with legal demands. Because of the fact that
legal demands (LD) are not fully described by laws, the following list of requirements covers the known
and expected demands.
Table 2 — Requirements in category “Legal Requirements”
No. Requirement
LD1 The ability to verify that a part or product conforms to its archived documentation (a form of
configuration audit)
LD2 The users shall be enabled to meet the provisions of relevant laws regarding data security and
protection of data privacy over the life cycle of the archives
LD3 The processes of archiving and retrieval shall be auditable
The goal of requirement LD1 is to ensure the conformity of a part or product with the associated
documentation. Requirement LD2 ensures the ability of the long term archiving system to provide
information about aspects of IT security. Throughout the IT security the long term archiving system
ensures the integrity of archived data during archiving time and protects data against unauthorized
changes. It requires auditable archiving and retrieval processes.
6.3 Security and integrity
The third requirement category covers the various aspects of integrity and accuracy. The first priority
for accuracy and integrity is to retrieve the same content for a document as it was archived.
The second priority is that the content of a document is semantically understood in the same way as
when it was created (i.e. preservation of the design intent of the user by the formal description of the
key characteristics of the information to be preserved), meassures should be provided which enable
ckecking of predefined properties (validation properties based on the essential information) of the
digital product documentation against given quality parameters.
Table 3 — Requirements of category “Security”
No. Requirement
S1 It shall be impossible to destroy a document during its scheduled lifetime.
S2 Each document shall be protected against unauthorized changes while archived.
S3 The document retrieved shall match search criteria. According to a predefined relevant
method.
S4 All actions that change the organization and structure of data within the archives shall be
recorded so that it will be possible to retrieve of the original contents over the complete
retention period.
S5 Documentation and data structure (e.g. Product Structure, documents, physical documents,
and product definition models) shall be retrievable and reproducible for the retention period
required. This may exceed the period of 50 years.
S6 It is required to provide supporting evidence that product met the design rules from the
period when the design was archived.
S7 Guarantee the integrity (ensure information is persistent and unaltered) of data for the period
required which may exceed the period of 50 years.
S8 The risk, expenses and costs arising from change of the archiving system or its release shall be
No. Requirement
managed, (i.e. via a cost model etc.).
S9 Electronic archives shall be designed to allow migration to new platforms, media, software
versions and components without loss of information.
S10 The information content of the document shall not be changed during the archiving, retrieval
and migration processes
S11 Each document should be able to be displayed and represented consistent with the form as
recorded. (This will assure the archived data is unchanged.)
S12 The processes by which the document is inserted into an archive, migrated or retrieved from
the archive should not delete or remove any document from the archive, and should be
certifiable to this effect Document removal will be dictated by a retention schedule and
determined by an archive administrator.
S13 The archive shall provide fixity information against each archived document / set of data.
Evidence of security of an archive may also be provided through a certified process.
S14 The archiving system shall provide adequate measures when technically feasible to check
predefined properties within the documents which enable that information are
understandable by the Designated Community without the assistance of the information
producers. Furthermore this requirement should be supported where required by providing
links to the documents describing the correct interpretation of the context and content of an
archived document.
It is required to provide the contextual information (methods, procedures, guidelines, …)
associated with the product information, in order to ensure its correct interpretation after
retrieving
S15 An audit trail for the archiving process is required. This provides assured information about
the actions of relevant processes, and may provide evidence about what occurred.
S16 Collection management is required. I.e. archiving processes which include CAD or PDM data,
documents, etc. Supporting information should be managed within the Archive Information
Packages (AIP).
S17 The archive shall record the information about the management of access rights.
6.4 Certification
This category covers further requirements which shall be fulfilled for the archiving of type design
documents relevant for certification of a product.
Based on an analysis of certification standards and guidelines the ASD-STAN LOTAR came to the
conclusion, that the requirements resulting from certification demands are less restricted than of the
other three categories above, therefore certification requirements are already covered by the
requirements listed above.
6.5 Requirements Refinement
The business requirements identify the business functions that the archive shall support, however these
give no detailed criteria for assessment of whether a particular implementation will meet those
requirements.
The OAIS standard provides a reference to compare different archiving standards, but does not
mandate any particular approach to the solution. It has been recognised that OAIS gives a thorough and
effective analysis of the archiving problem, and can be used as the starting point for defining a
normative standard.
Therefore, the detailed requirements below use the OAIS standard terminology to define a normative
set of requirements for the process to archive digital product documentation and data. These
requirements can be divided into key process requirements and concomitant process requirements.
Key process requirements are those needed to meet the business requirements. Concomitant
requirements arise from the decision to formulate the requirements in terms of the OAIS model, and are
required to give a complete and consistent process.
7 Application of the OAIS Model
7.1 The Open Archive Information System (OAIS) Reference Model
The problem of archiving data is not unique to the aerospace industry. In the aeronautics industry, the
Consultative Committee for Space Data Systems developed the Reference Model for an Open Archival
Information System (OAIS). This model is a framework for describing archiving systems and processes.
The OAIS model has been the basis of a number of archiving systems in several industries and is
considered a mature model. The OAIS functional model is separated into seven functional entities
(Common Services, Ingest, Archive Storage, Data Management, Administration, Preservation Planning
and Access) and related interfaces. See Annex A, Figure A.1.
EN 9300 standard series is described in terms of the OAIS model, and requirements are allocated
against the elements of the OAIS reference model. A brief overview is described in EN 9300-003
“Fundamentals and Concepts”, see 4.1. and a summary of the terms used in the model is provided in
Annex A. For clarity, the detailed description of the operational processes is included in the relevant
requirement sections.
7.2 Product Data Archiving using the OAIS Model
Product Data is created throughout the complete product lifecycle. This data is authorized and
approved through controlled processes. The data for a particular product is archived in the repository
for the required archiving period. Users who require access to the product data may include regulatory
agencies, customers, organizations that support in-service operations, design organizations for updates
and re-use, etc. The use of an OAIS repository for the archiving of data is shown in Figure 1.

Figure 1 — Product data archiving using the OAIS Model
In order to meet the anticipated requirements of the consumers, the key characteristics of the data shall
be identified. For example, for the automatic machining of a mechanical part, it is necessary to archive
the shape of the part together with associated tolerance information - these are the key characteristics -
whereas the loss of the part description would not affect the machining.
The detailed parts of the EN 9300 series (part 100 and above) identify one of more required uses of an
item of product data, the key characteristics derived from that requirement, the data elements that
support those key characteristics, and supporting verification and validation data needed to
demonstrate that the information is not compromised.
7.2.1 System Preparation
System preparation is the work needed to ensure that the Archiving System is ready to accept
submissions of information for being archived. Essentially, it involves the analysis of anticipated user
requirements, and the definition of the Submission Information Packages (SIP) used to support those
requirements. This includes the definition of verification and validation criteria. This standard is
concerned with the definition of this information, rather than the acquisition or preparation of software
to perform the function.
The initial version (2001) of the OAIS did not describe this function; the Consultative Committee for
Space Data Systems (CCSDS) identified the need to develop a “recommendation to identify, define and
provide structure to the relationships and interactions between an information Producer and an
Archive”.
7.2.2 Identification of Preservation Use Cases
The Producer and the Archive will identify and document the use cases that the Archive is intended to
serve. Each use case shall define the data needed to support the use case, and the reasons for keeping
the data available, and identify the SIPs needed to support each use case.
7.2.3 Categorization of digital product data to archive
For each SIP, the Producer and the Archive will categorize the digital product data to be preserved
according to its key characteristics. For example, for design and manufacturing of mechanical parts, a
key characteristic will be the shape of the part. EN 9300 describes the key characteristics for major
types of digital product data. Additional categories may be defined by each company, according to its
specific needs.
7.2.4 Specification of the Descriptive Information of the SIP
The Descriptive information is used to identify and locate the data provided through a SIP, and this
Descriptive information will be the basis for the meta data of the archive system. The Descriptive
Information for the source information will be specified and agreed by the Producer and the Archive.
7.2.5 Description of the quality control criteria
The Producer and Consumer shall identify the quality control criteria that the data in each SIP shall
meet, in order to ensure that the key characteristics are present and can be verified.
7.2.6 Description of the derivation procedures for the SIP
If the Archive has to process the SIP to generate derived representations, the process shall be
documented and validated by the Producer and the Archive during the system preparation phase; it
shall guarantee that the key characteristics are preserved.
7.3 Implementation requirements on operation
The business requirements provide a set of high level criteria for assessing a particular system for data
availability, however, being high level, these do not provide an adequate benchmark for assessing an
actual implementation and its operation. The implementation requirements provide that level of detail.
These are specified in terms of what the system shall achieve, rather than how it shall achieve it.
These requirements have been organized according to the processes of the OAIS model. Wherever the
requirement can be associated with a sub-process of the OAIS model, this is noted in the requirement.
However, not all requirements can be mapped directly to an element of the OAIS model.
These requirements provide the basis for ensuring all digital product information is kept available and
be reproducible. Subsequent LOTAR parts refine these for digital product data, that is, design
information interpreted directly by a computer, rather than being displayed for a human to interpret.
7.3.1 Data Preparation
Data preparation covers the phase of preparation for submission, and is outside the scope of the OAIS
model. This has the following detailed requirements:
1) Preparation of the Descriptive Information associated to each source product information:
The Descriptive Information shall be prepared for each SIP. This Descriptive Information has to be
consistent with its related source product information.
1)
2) Preparation of the verification information for each SIP: The Producer shall check the data
submitted against the agreed quality control rules for the SIP. The verification report of each SIP
has to be created and input to the Ingestion process of the Archive.
2)
3) Preparation of the validation information associated to each source product information:
When technically feasible, the Producer shall check the quality control criteria (e.g., validation
properties) of the information to be preserved. The validation report of each source product
information has to be created, as associated input to the Ingestion process of the Archive.
7.3.2 Ingest
The major functions of the OAIS Ingest entity are: Receive Submission, Quality Assurance, Generate AIP,
Generate Descriptive Information and Co-ordinate Updates. The functions and information flows
comprising the Ingest entity of the OAIS functional model are illustrated in Figure A.2.
This leads to the following detailed requirements:
a) Approval Prior to Release: The identification of the approver(s) and some evidence documenting
the approval shall be associated with the released product data, such as an electronic signature.
b) Error Detection Methods: When the Quality Assurance process validates the SIP, some error
detection method, such as a checksum or cyclic redundancy check, shall be used. The error
detection data shall be associated with the AIP.
c) Translation Audit: If the Generate AIP process translates the representation of the product data,
e.g., from a native representation into a neutral representation, a periodic examination shall review
the translation process to assure that AIP accurately represents the product data.
d) Content Modifications and Updates: If a Producer needs to modify the content of an archived
object, the repository shall require them to obtain a copy of the object through the Access function.

1)
“The assurance that a collection of information has the correct representation” part EN 9300-007 (For more details,
see EN 9300-003)
2)
“The assurance that a collection of information has the correct content” part EN 9300-007 (For more details,
see EN 9300-003)
The Producer shall then modify the content and resubmit the object through the Ingest function.
This ensures the original object is maintained and the change history is captured. In this case, the
Ingest function shall capture how the content was changed from the original. The identifier of the
new object will be changed (identifier, versions, iterations, etc.), in comparison with the
identification elements of the initial archived object.
Proprietary Rights: Product data may be covered by proprietary rights that shall be protected.
Measures shall be provided to allow marking of information as proprietary information and its
management within the archiving system. Information regarding proprietary rights shall be
associated with the product data to assure that during the Access function the information is
appropriately marked to provide the protection warranted by such product data.
7.3.3 Archive Storage
The major functions of the OAIS Archive Storage entity are Receive Data, Manage Storage Hierarchy,
Replace Media, Error Checking, Disaster Recovery and Provide Data. The functions and information
flows comprising the Archive Storage portion of the OAIS functional model are illustrated in Figure A.3.
This leads to the following detailed requirements:
1) Notification of Storage Requests: When a storage request is complete, notification of the storage
completion will be sent to the requester.
2) Operational Statistics: Operational statistics of the storage media, available capacity and usage
should be kept in order to monitor and adjust archive capabilities.
3) Archive Maintenance: The ability to reproduce the stored product data shall be maintained over
time. This includes auditing the archive to detect media degradation and data corruption, and
migrating data to new storage media and operating/file systems when necessary. Any of these
changes have to be logged and documented.
4) Error Checking: Error checks shall be performed during transfers to ensure that no corruption
occurs.
5) Auditing Requirements: Auditing is part of the Error Checking sub-function (see Figure A.3).
Specific auditing requirements are listed below.
Each organization shall put in place policies on how often these audits need to be performed based
on their technology and business situation.
6) Auditing for Data Integrity Errors: An audit of the data stored in the repository shall be
performed periodically to assure that the data in the repository has been maintained and has not
been corrupted or changed without authorization. During the periodic audit, the error detection
mechanism shall be calculated on the current data and compared with the value recorded at the
time the data was placed into the repository (see 7.3.2). Discrepancies between these two values
indicate a data integrity problem.
7) Representative Sampling: During a periodic repository audit, a representative sample of the data
shall be checked for data integrity discrepancies.
8) Corrective Action Plans: For each discrepancy identified in an audit, a corrective action plan shall
be developed, reported and tracked.
9) Audit Reporting: Audit results shall be reported to the responsible persons or organizations in
accordance with internal auditing processes.
10) Documented Testing Procedures: All test scenarios and/or scripts used in the periodic audits
shall be documented and validated before use. These documents shall be managed and
configuration controlled.
11) Disaster Recovery: The Disaster Recovery process shall include a plan and process to ensure that
appropriate information systems and data are available when needed after a natural or human
disaster. The plan and process shall address the following requirements:
11.1) Back-up: Vital Product data records shall be backed up.
11.2) Off-site Facilities: Back-up data shall be stored at a company-authorized separate and
secure facility.
11.3) Validation: Disaster recovery plans shall be validated and associated processes verified
prior to implementation and periodically thereafter. Validation results are used to revise and
improve plans and drive changes in architecture and processes that will improve the
survivability of the company.
12) Media Context Dependencies: Relationships and dependencies between the media and the
software environment needed to interpret the data shall be captured and managed. For example,
accessing data on a physical WORM may require a particular reader along with its specific driver
software for a particular operating system.
7.3.4 Data Management
The major functions of th
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