Aerospace series - Quality systems - Record retention

This document provides requirements and guidance for the retention, storage, retrieval and disposal of
records for the international aviation, space and defense industry.

Luft- und Raumfahrt - Qualitätsmanagement - Aufbewahrung von Aufzeichnungen

1.1 Allgemeines
Dieses Dokument stellt Anforderungen und einen Leitfaden für die Aufbewahrung, Speicherung, Bereitstellung und Entsorgung von Aufzeichnungen für die internationale Luftfahrt , Raumfahrt  und Verteidigungsindustrie bereit.
1.2 Anwendbarkeit
1.2.1 Diese Norm gilt für alle Dokumente und Datenaufzeichnungen, bei gegenwärtigen und früheren Produkten, die unter Anwendung gegenwärtiger oder früherer Geschäftsvereinbarungen und geltender gesetzlicher und behördlicher Anforderungen hergestellt wurden.
1.2.2 „Dokumente“ sollte im weitest möglichen Sinn verstanden werden, um sämtliche Aufzeichnungen, Daten und Informationen, in elektronischer oder Papierform oder auf Film einzuschließen, einschließlich die von externen Anbietern, die im eigenen Namen arbeiten.
1.2.3 Einige Dokumente dürfen elektronisch aufbewahrt werden. Die Form, in der Dokumente aufzubewahren sind, unterscheidet sich von einem Zuständigkeitsbereich zum anderen und ist abhängig vom jeweiligen Dokument. In einigen Ländern wird vorgeschrieben, dass bestimmte Dokumente in ihrer Originalform als Hardcopy (z. B. Vorstandsprotokolle, Dokumente unter Verschluss, vertrauliche Dokumente und Originaldokumente, die Gegenstand spezifischer gesetzlicher Anforderungen sind) aufzubewahren sind.

Série aérospatiale - Systèmes qualité - Conservation d'enregistrements

1.1 Généralités
Le présent document fournit des exigences et des recommandations pour la conservation, le stockage, la récupération et l’élimination d’enregistrements destinées à l'industrie aéronautique, spatiale et de la défense internationale.
1.2 Applicabilité
1.2.1 Le présent document s’applique à tous les enregistrements de documents et de données, sur des produits actuels ou antérieurs, produits à partir d’accords commerciaux en cours ou passés, et d’exigences légales et réglementaires applicables.
1.2.2 Il convient d’interpréter le terme « documents » au sens le plus large possible afin d’englober tous enregistrements, données et informations, aux formats papier, électronique ou sur film, y compris ceux des prestataires externes travaillant en leur nom.
1.2.3 Certains documents peuvent être conservés au format électronique. La forme sous laquelle les documents sont tenus d’être conservés varie d’une juridiction à l’autre, mais également en fonction du document concerné. Certains pays prescrivent la conservation de certains documents dans leur format original, en version papier (par exemple : procès-verbaux de conseil d’administration, documents sous scellés, actes de fiducie et documents originaux qui sont sujets à des exigences légales spécifiques, etc.).

Aeronavtika - Sistemi vodenja kakovosti - Hramba dokumentov

General Information

Status
Published
Publication Date
26-Jul-2020
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
20-Jul-2020
Due Date
24-Sep-2020
Completion Date
27-Jul-2020

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SLOVENSKI STANDARD
SIST EN 9130:2020
01-oktober-2020
Aeronavtika - Sistemi vodenja kakovosti - Hramba dokumentov
Aerospace series - Quality systems - Record retention
Luft- und Raumfahrt - Qualitätsmanagement - Aufbewahrung von Aufzeichnungen
Série aérospatiale - Systèmes qualité - Conservation d'enregistrements
Ta slovenski standard je istoveten z: EN 9130:2020
ICS:
03.120.10 Vodenje in zagotavljanje Quality management and
kakovosti quality assurance
49.020 Letala in vesoljska vozila na Aircraft and space vehicles in
splošno general
SIST EN 9130:2020 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN 9130:2020
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SIST EN 9130:2020
EN 9130
EUROPEAN STANDARD
NORME EUROPÉENNE
July 2020
EUROPÄISCHE NORM
ICS 03.120.10; 49.020
English Version
Aerospace series - Quality systems - Record retention

Série aérospatiale - Systèmes qualité - Conservation Luft- und Raumfahrt - Qualitätsmanagement -

d'enregistrements Aufbewahrung von Aufzeichnungen
This European Standard was approved by CEN on 22 December 2019.

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, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway,

Poland, Portugal, Republic of North Macedonia, 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

© 2020 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 9130:2020 E

worldwide for CEN national Members.
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SIST EN 9130:2020
EN 9130:2020 (E)
Contents
Page

European foreword ....................................................................................................................................................... 3

1 Scope .................................................................................................................................................................... 4

1.1 General ................................................................................................................................................................ 4

1.2 Applicability ...................................................................................................................................................... 4

2 Normative references .................................................................................................................................... 4

3 Terms and definitions ................................................................................................................................... 5

4 Documents and Data Records to be Retained and Retention Periods ......................................... 6

5 Means of retention .......................................................................................................................................... 6

5.1 Recording media.............................................................................................................................................. 6

5.2 Electronic storage and archiving ............................................................................................................... 6

5.3 Archiving and Retrieval Conditions ......................................................................................................... 7

5.4 Retention Responsibility Sharing between Customers and External Providers ...................... 8

5.5 Disposal of Documents and Data Records .............................................................................................. 8

Annex A (informative) Documents and Data Records Retention Matrix ................................................. 9

Bibliography ................................................................................................................................................................. 18

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SIST EN 9130:2020
EN 9130:2020 (E)
European foreword

This document (EN 9130:2020) 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-STAN, 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 January 2021, and conflicting national standards shall

be withdrawn at the latest by January 2021.

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 organisations of the

following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria,

Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland,

Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of

North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the

United Kingdom.
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SIST EN 9130:2020
EN 9130:2020 (E)
1 Scope
1.1 General

This document provides requirements and guidance for the retention, storage, retrieval and disposal of

records for the international aviation, space and defense industry.
1.2 Applicability

1.2.1 This document is applicable to all documents and data records, on current and earlier products,

produced using current and previous business agreements and applicable statutory and regulatory

requirements.

1.2.2 Documents should be interpreted in the broadest possible sense to include all records, data and

information, in paper or in electronic form or on film, including external providers working on own

behalf.

1.2.3 Some documents may be retained electronically. The form in which documents are to be retained

varies from one jurisdiction to another and varies depending on the document involved. Some countries

prescribe that certain documents be retained in their original form as a hardcopy (e.g. board minutes,

documents under seal, trust documents and original documents that are subject to specific legal

requirements…).
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 9300-003, Aerospace series — LOTAR — Long term archiving and retrieval of digital technical

product documentation such as 3D, CAD and PDM data — Part 003: Fundamentals and concepts

EN ISO 9000:2015, Quality management systems — Fundamentals and vocabulary

AS/EN/JISQ 9100, Quality Management Systems — Requirements for Aviation, Space and Defence

Organizations

AS/EN/JISQ 9110, Quality Management Systems — Requirements for Aviation Maintenance

Organizations

AS/EN/JISQ 9120, Quality Management Systems — Requirements for Aviation, Space and Defence

Distributors
These requirements are based on ISO 9001.
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SIST EN 9130:2020
EN 9130:2020 (E)
3 Terms and definitions

For the purposes of this document, the terms and definitions given in EN ISO 9000:2015 and the

following apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

 ISO Online browsing platform: available at http://www.iso.org/obp
 IEC Electropedia: available at http://www.electropedia.org/
3.1
archive(s)
permanent records, records maintained for continuing use

Note 1 to entry: Archives can be a place where archival materials are preserved and made available for

consultation. This is also referred to as an archival repository.

Note 2 to entry: Archives can be an organization, agency or programme responsible for selecting, acquiring,

preserving and making available archives. This is sometimes referred to as an archival agency, archival institution,

or archival programme (ISO 30300).
3.2
archiving (electronic)

process of moving one or more electronic record extracts to off-line storage in a way that ensures the

possibility of restoring them to on-line storage when needed without loss of meaning. Wherever

possible, archived data should be technology-independent so that future users do not have

dependencies on obsolete technology from the past
[SOURCE: ISO 10781]
3.3
data integrity
property that data has not been altered or destroyed in an unauthorized manner
[SOURCE: ISO 7498-2:1989, 3.3.21]
3.4
digital signature

data appended to, or a cryptographic transformation of, a data unit that allows a recipient of the data

unit to prove the source and integrity of the data unit and protect against forgery, e.g. by the recipient

[SOURCE: ISO 7498-2:1989, 3.3.26]
3.5
life of product (LOP)

end of product operational life time, when the last product of a type has been withdrawn

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SIST EN 9130:2020
EN 9130:2020 (E)
3.6
records management

field of management responsible for the efficient and systematic control of the creation, receipt,

maintenance, use and disposition of records, including processes for capturing and maintaining

evidence of and information about business activities and transactions in the form of records

[SOURCE: ISO 15489-1:2016, 3.15]
Note 1 to entry: Also called recordkeeping.
3.7
retention
storage of data for reuse of a later date:
 aiming for data re-use and to keep data available;
 retaining any of the representations needed, but not the presentations;
 working over medium and short term;
 expecting invariance, though this is not mandatory;

 migration of the data format is allowed to guaranty data quality and interpretability (EN 9300-003)

4 Documents and Data Records to be Retained and Retention Periods

4.1 Records related to traceable products shall be kept not less than the operational life of the

applicable product (LOP).

NOTE At the level of an organization, the decision on traceable products may have an impact on the retention

period of the related documentation.

4.2 Annex A provides a matrix with recommended minimum retention duration and record examples

for the different types of documents and data as addressed in the aerospace standard

AS/EN/SJAC 9100.

NOTE Deviations of the retention duration (e.g. due to country-specific legal and/or regulatory

requirements) should be recorded in written statements or in the business agreements.

5 Means of retention
5.1 Recording media

5.1.1 Media (paper, film, magnetic etc.) used for recording shall allow the required duration for

retention under the conditions provided.

5.1.2 Retained documents and data records shall remain readable for the period of archiving, together

with due provision of any technological facility required (e.g. electronic readers, software,

computers etc.).
5.2 Electronic storage and archiving

NOTE The ISO/IEC 27000 standards series provides guidance to ensure the selection of adequate and

proportionate security controls that protect information assets and give confidence to interested parties.

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SIST EN 9130:2020
EN 9130:2020 (E)

5.2.1 In case of electronic storage of signed/stamped originals either scanning hence allowing to

restore the full original, a publically acceptable data transcription format and process shall be

employed.

NOTE Acceptable formats and processes are the ones providing from the digital sources paper documents,

which are identical to the originals.

5.2.2 If applicable, the organization shall ensure confirmation from local authority representative that

the proposed electronic recording media is acceptable.

5.2.3 When hardware and software changes take place, the transcription process shall be clearly

defined and controlled, in order to ensure that all necessary data continue to be accessible.

5.2.4 Back-up procedures shall be implemented for all electronic data held on computers, which are

under the scope of this standard.

5.2.5 Back-up copies shall be stored in a different location from that containing the working media

(e.g. discs, tapes etc.), in an environment that ensures they remain in good condition for retrieval.

5.3 Archiving and Retrieval Conditions

5.3.1 Documents and data records shall be maintained legible for the retention period.

5.3.2 The record keeping system shall ensure that all records are
a) accessible whenever needed within a reasonable time and
b) organized in a consistent way (e. g. chronological, alphabetical order etc.).

NOTE Organizations should clarify what is an acceptable time to access any stored record from the record

keeping system. Organizations should also clarify what is an acceptable way to organize documented information

and which are the criteria for retrieving information (e.g. keywords, etc.).
5.3.3 Documents and data records shall be stored

a) in a safe manner with regard to natural disasters (such e.g. fire, flood etc.) and

b) according to well documented conditions ensuring that they are readily retrievable and available

for secured and controlled access.
5.3.4 Access to archives shall be controlled to
a) prevent theft, negligence, malicious or fraudulent use of the contents and
b) ensure the integrity of the documents.
5.3.5 Removal of originals from the archive shall be formally controlled.

5.3.6 The organisation of and the responsibility for the archiving system (e.g. location, compilation,

format, data access conditions, identification of the personnel involved in conformity determination,

etc.) shall be described.
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SIST EN 9130:2020
EN 9130:2020 (E)
5.4 Retention Responsibility Sharing between Customers and External Providers

5.4.1 The organization shall ensure, through an appropriate level of surveillance, that the recording

and record keeping system used by its external providers meets the requirements of this standard.

5.4.2 The organization shall ensure that responsibilities to retain the documents are defined

a) at the own organization level and
b) at the level of its external providers.

NOTE Any particular archiving and retrieval rules applicable to documents and data records which are

sensible in regards to security classification or competition should be defined within the business agreement

(e.g. contract, memorandum of understanding, between the organization and its external provider.

5.4.3 In case of termination of operation (e.g. takeover, transfer of ownership, joint venture), the

organization shall define and implement the new responsibilities for archiving, including their possible

transfer.

5.4.4 In case of bankruptcy, the organization shall ensure that archived documents and data records

are maintained accessible for its customers and the appropriate regulatory authorities, including their

possible transfer to them.
5.5 Disposal of Documents and Data Records

5.5.1 Design records shall not be disposed without the written approval from the Customer, and from

the appropriate regulatory authority if applicable.

5.5.2 At the end of the stipulated retention period, the archived documents and data records shall be

assessed by the originator to determine if it requires re-archiving or alternative disposal.

5.5.3 Records that are potentially subject of, or relevant to, pending litigation or litigation which is

reasonably anticipated, shall not be disposed until obtaining approval from the legal department, and

from the document owner (if the owner is different from the organization).

5.5.4 Security classification of records shall be taken into account when determining the disposal

method (e.g. incineration, shredding).

NOTE At the end of the product life cycle, with the agreement of the appropriate authority or customer,

consideration should also be given to the transfer of records: for safe and secure storage; to cultural heritage

centres (e.g. national/local museums) where applicable.
5.5.5 Where needed, evidence of the records disposal shall be ensured.
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SIST EN 9130:2020
EN 9130:2020 (E)
Annex A
(informative)
Documents and Data Records Retention Matrix
The matrix is organized by sections of the standard AS/EN/SJAC 9100.

Unless otherwise specified, the recommended retention periods commence at the end of the current

month of completion or withdrawal/deletion of the records.

NOTE 1 All periods stated are minimum periods. It is permissible to keep the records longer than stated.

NOTE 2 Procedures and instructions related to control of product conformity (for example: inspection,

inspector qualification, calibration…) may be retained for a longer period (e.g. LOP or more) in order to be used if

necessary to show evidence of the good management of the product conformity control at the time they were in

application.
Table A.1
Retention
EN 9100:2016
Record Type Examples Duration
clause
(years)
4 Context of the organization

4.1 Understanding the 4.1 to 4.3 Written evidence of the approval certificates, incl. 10

organization and its their appendices and any additional records on the
context detailed extent of authorization; strategy
documents, records about organizational structure,
4.2 Understanding the
environment and business
needs and expectations
of interested parties
4.3 Determining the
scope of the quality
management system
4.4 Quality Management 4.4 Documented information (e.g. Quality Management 10
System and its processes Manual, procedures about control of documents
and records, forms, work instructions, quality
plans, records of quality systems reporting to the
management)
Process map, Process flows and interactions, QMS
Process matrix, process landscape
QMS documentation about management
commitment, customer focus, quality policy, qualit
...

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