ISO 11506:2009
(Main)Document management applications — Archiving of electronic data — Computer output microform (COM) / Computer output laser disc (COLD)
Document management applications — Archiving of electronic data — Computer output microform (COM) / Computer output laser disc (COLD)
ISO 11506:2009 specifies techniques for archiving electronic data to ensure their long-term integrity, accessibility, usability, readability and reliability, in order to protect the evidential value of the data. Long term is considered to be a period of time lasting more than a century (see ISO 5466). Black-and-white microforms processed with liquid chemicals are used in ISO 11506:2009 because the result is always an irreversible record and because of the proven quality of microforms as a long-term preservation media. ISO 11506:2009 also specifies procedures for the parallel recording, by a single production unit, of COM and COLD output from the same data. It applies to many different types of electronic data, such as text and two-dimensional graphic data which can be represented as a black-and-white image.
Applications de gestion de documents — Archivage de données électroniques — Microforme de sortie d'ordinateur (COM) / Disque laser de sortie d'ordinateur (COLD)
General Information
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Standards Content (Sample)
INTERNATIONAL ISO
STANDARD 11506
First edition
2009-06-15
Document management applications —
Archiving of electronic data — Computer
output microform (COM)/Computer
output laser disc (COLD)
Applications de gestion de documents — Archivage de données
électroniques — Microforme de sortie d'ordinateur (COM)/Disque laser
de sortie d'ordinateur (COLD)
Reference number
ISO 11506:2009(E)
©
ISO 2009
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ISO 11506:2009(E)
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ii © ISO 2009 – All rights reserved
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ISO 11506:2009(E)
Contents Page
Foreword. iv
Introduction . v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions. 2
4 Electronic data archiving . 3
4.1 Archiving functions . 3
4.2 Functional specifications. 3
5 Specifications related to micrographics options . 4
5.1 Choice of principles. 4
5.2 Choice of microform type . 4
6 Specifications related to micrographic recording. 4
6.1 Encoding formats . 4
6.2 Conversion . 6
6.3 COM recording process . 6
6.4 Micrographic process. 8
6.5 Production control. 9
6.6 Duplication of microforms . 9
6.7 Microform preservation. 9
7 Management of recorded data. 10
7.1 General. 10
7.2 Identification and indexing of microforms.10
7.3 Indexing COM microfiche . 12
7.4 Indexing 16 mm COM microfilm . 12
7.5 Indexing 35 mm COM microfilm . 13
7.6 Indexing COM aperture cards. 13
8 Evidentiary aspects of COM recording. 14
8.1 General. 14
8.2 Integrity of recorded data . 14
8.3 Stamping the microform . 15
8.4 Time-stamping . 15
9 COM-COLD dual recording . 15
9.1 General. 15
9.2 Recommended COLD media . 15
9.3 Uniqueness of the original data . 15
9.4 Parallel production . 16
9.5 Similar visual results. 16
9.6 Management of data recorded on COLD media . 16
9.7 Electronic databases. 17
10 Evidentiary aspects of COM-COLD dual recording. 17
Annex A (informative) Archiving electronic data subject to restrictions for privacy reasons on
COM microforms. 18
Annex B (informative) The COM process and microforms . 20
Annex C (informative) Long-term preservation of silver microforms. 26
Annex D (normative) Microforms created for use as evidence. 29
Bibliography . 33
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ISO 11506:2009(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO 11506 was prepared by Technical Committee ISO/TC 171, Document management applications,
Subcommittee SC 1, Quality.
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ISO 11506:2009(E)
Introduction
Businesses, administrations and organizations of all shapes and sizes are becoming more and more
electronic in the way they operate, either by digitizing their paper documents, or by doing business purely
electronically (networked procedures and declarations, on-line administrative forms, creating contracts
electronically, etc.). In addition to facilitating the process of using, processing and transferring information,
these practices reduce the volume of written information in relation to their paper equivalent.
The change towards electronic resources concerns information of all levels of importance or seriousness, from
internal documents to medical files to accounting records, tax declarations, banking transactions and e-
commerce. Questions concerning the authenticity and traceability of legal documents are therefore of critical
importance. Many countries have made changes to their legislation in order to regulate the use of electronic
processes in the presentation of evidence. The implication of questions of evidence regarding archiving
techniques can therefore not be ignored, in an increasingly connected world, where cross-border transactions
are common, and where the use of processes described as “paper free” only fuels the need for solutions that
offer sufficient guarantees in terms of information integrity and durability.
Thus, and regardless of the motives, this new situation is creating a major problem: how to archive reliably
and potentially for a very long period of time, data that have been created, converted to, or received in,
electronic form. In effect, with regard to archiving techniques, it should be noted that an electronic document is
linked to the software and hardware that is capable of interpreting it, displaying it and making it intelligible.
This means that preserving an electronic document cannot be limited to storing, bit by bit, the digital data as a
stored physical object due to the rapid obsolescence of computer hardware, software and peripherals.
Archiving needs to make this information independent of the originating software and hardware storage
platform, so as to guarantee its preservation during the required retention periods.
While this International Standard recognizes the need to preserve documents using micrographic technology,
significant advances have been made with standardization of file formats like PDF, PDF/A, as well as others.
This International Standard supports the continued use of film as a deep reference archive to electronic
formats and media.
For centuries, paper was the preferred material for the archiving of written work, allowing information to be
saved, managed, transmitted and proved. A single medium is not conceivable for electronic data, since
accessing and consulting on-line is a dynamic approach, while archiving and presentation of evidence is a
static approach, and these are thus antinomic. It then becomes necessary to analyse separately correlative
technical resources – to avoid confusing the “consumable” part of the electronic information with the part
whose durability is essential for saving work.
The questions relating to the conditions in which the electronic data concerning nominative or sensitive
information are stored are part of this issue. Dynamically storing such data presents a potential danger for
privacy (see Annex A).
This demonstrates a real need for clarification, and this International Standard has been prepared to help
economic and social partners to archive their electronic data with great care. It will help them answer
questions relating to legal aspects as and when they arise, as well as those relating to the preservation of
privacy and individual rights.
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INTERNATIONAL STANDARD ISO 11506:2009(E)
Document management applications — Archiving of electronic
data — Computer output microform (COM)/Computer output
laser disc (COLD)
1 Scope
This International Standard specifies techniques for archiving electronic data to ensure their long-term integrity,
accessibility, usability, readability and reliability, in order to protect the evidential value of the data.
In this International Standard, long term is considered to be a period of time lasting more than a century (see
ISO 5466).
Black-and-white microforms processed with liquid chemicals are used in this International Standard because
the result is always an irreversible record and because of the proven quality of microforms as a long-term
preservation media.
This International Standard also specifies procedures for the parallel recording, by a single production unit, of
COM and COLD output from the same data.
It applies to many different types of electronic data, such as text and two-dimensional graphic data which can
be represented as a black-and-white image.
It is not applicable to the following:
⎯ animated images or sounds;
⎯ three-dimensional images;
⎯ images in shades of grey or in colour;
⎯ X-ray images.
Neither is this International Standard applicable to microforms created from dry thermal processes, since they
offer insufficient guarantees in terms of irreversibility and longevity.
2 Normative references
The following referenced documents are indispensable for the application of this International Standard. For
dated references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO 6196-1, Micrographics — Vocabulary — Part 1: General terms
ISO 6196-2, Micrographics — Vocabulary — Part 2: Image positions and methods of recording
ISO 6196-3, Micrographics — Vocabulary — Part 3: Film processing
ISO 6196-4, Micrographics — Vocabulary — Part 4: Materials and packaging
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ISO 11506:2009(E)
ISO 6196-7, Micrographics — Vocabulary — Part 7: Computer micrographics
ISO 6196-8, Micrographics — Vocabulary — Part 8: Use
ISO 8514-1, Micrographics — Alphanumeric computer output microforms — Quality control — Part 1:
Characteristics of the test slide and test data
ISO 8514-2, Micrographics — Alphanumeric computer output microforms — Quality control — Part 2: Method
ISO/IEC 8859-1, Information Technology — 8-bit single-byte coded graphic character sets — Part 1: Latin
alphabet No. 1
ISO 11928-1, Micrographics — Quality control of graphic COM recorders — Part 1: Characteristics of the test
frames
ISO 11928-2, Micrographics — Quality control of graphic COM recorders — Part 2: Quality criteria and control
ISO 14648-1, Micrographics — Quality control of COM recorders that generate images using a single internal
display system — Part 1: Characteristics of the software test target
ISO 14648-2, Micrographics — Quality control of COM recorders that generate images using a single internal
display system — Part 2: Method of use
ISO 18901, Imaging materials — Processed silver-gelatin type black-and-white films — Specifications for
stability
ISO 18911, Imaging materials — Processed safety photographic films — Storage practices
ISO 18917, Photography — Determination of residual thiosulfate and other related chemicals in processed
photographic materials — Methods using iodine-amylose, methylene blue and silver sulfide
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 6196-1, ISO 6196-2, ISO 6196-3,
ISO 6196-4, ISO 6196-7 and ISO 6196-8 and the following apply.
3.1
integrity
established result from the immutability of an information
3.2
irreversibility
result of a recording process depending on the physical transformation of a recordable medium into a
non-recordable medium
3.3
COM
computer output microform
〈process〉 structuring and recording of electronic documents on microforms
NOTE 1 Equipment for the production of microforms can use a generator of graphics (e.g. CRT, led, laser and plasma
screen), allowing the recording of electronic images on silver halide film.
NOTE 2 The official definition of the term COM in ISO 6196-7 does not take into account important evolutions of this
technique in recent years.
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ISO 11506:2009(E)
3.4
COLD
computer output laser disc
process in which electronic data is structured and archived on laser disks, such as CD-R or DVD-R
3.5
COLD medium
electronic data archiving medium, created from a COLD production
3.6
COM-COLD dual recording
parallel recording, by a single production unit, producing a double COM and COLD output from the same file
3.7
modular COM-COLD system
COM production unit with a COLD module, capable of structuring and performing a COM-COLD dual
recording
3.8
evidentiary copy
reproduction made by technical means specially chosen so as not to interrupt the evidentiary effects of the
reproduced document
4 Electronic data archiving
4.1 Archiving functions
The archiving of electronic data is based on a few important functions. In this International Standard, the
following functions are explained:
a) memorization;
b) accessibility;
c) usability;
d) legibility;
e) integrity.
These functions are interlinked. They have technical consequences and can also have legal consequences.
4.2 Functional specifications
a) the memorization function requires the use of durable media with quantifiable longevity;
b) the accessibility function requires the use of processes containing ways of retrieving information and
making it available and transmittable;
c) the usability function requires the use of methods that have no risk of being rendered impracticable or
incompatible due to tools becoming obsolete or operational methods disappearing;
d) the legibility function requires the use of signs or symbols that have a clear and consistent meaning;
e) the integrity function requires the use of recording and memorization methods that reveal any change in
the information after it has been recorded.
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ISO 11506:2009(E)
5 Specifications related to micrographics options
5.1 Choice of principles
Computer micrographics can be used to archive electronic data to ensure their authenticity and/or meet the
need for long-term archiving:
⎯ Using computer micrographics is recommended, even in the very short term, when the identity and the
integrity of the electronic data need to be guaranteed.
⎯ Using computer micrographics is recommended for data which is to be archived for more than three years.
5.2 Choice of microform type
The choice of the type of microform shall be based on technical essentials and constraints specific to the
application chosen, as well as on organizational preferences or constraints (see Table 1).
The choice of microform type should be linked to the level of miniaturization that it implies, so that the
capacities to produce all the significant details within the file are real.
NOTE See Annex B.
Table 1 — Main characteristics of COM microforms
Immediate
Direct or
a b
Microform type Segmentation Chaining
c
sequential access
processing
Microfiche Direct Yes Yes Yes
16 mm roll Sequential No Yes No
35 mm roll Sequential No Yes No
d
Aperture card Direct Yes No No
a
Segmentation – facilitating breaks, dispatching, accessibility and selective mobility of information.
b
Chaining – linking together a large number of pages.
c
Immediate processing – linking recording and processing in one machine.
d
Aperture cards – designed for archiving of technical drawings.
6 Specifications related to micrographic recording
6.1 Encoding formats
6.1.1 General
Files to be archived are created in formats based on the software used. The diversity of these code formats
1)
most often requires converting them into a format recognized by COM systems.
For production in COM, two large file categories shall be defined: files in line mode and files in image mode.
1) This conversion is comparable to one which is carried out from a paper print. Paper printing, however, has only one
unique production format. When printing on paper, the print driver should start by converting the file's original format (e.g.
“.doc”, “.pdf”, “.jpg”), into one single format recognized by the printer (e.g. “.pcl”). This operation is carried out automatically
and is not visible to the user.
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ISO 11506:2009(E)
6.1.2 Line mode
Alphanumeric COM recorders typically use ASCII as the internal code for 8-bit character sets (such as the
Latin alphabet).
Files created in ASCII shall be sent directly to the COM recorder without any conversion.
Files using 8-bit character encoding, but encoded in a code other than ASCII, shall be converted into ASCII
prior to COM production.
16-bit coded character sets (also known as “unicode characters”), such as the Oriental and Asian alphabets,
raise two distinct issues:
a) they are supported by specific versions of COM systems (a Kanji COM recorder, for example). These
shall be sent directly to the COM recorder without any conversion;
b) they require a conversion in image mode (see 6.1.3).
6.1.3 Image mode
Graphic COM recorders typically support image files in black-and-white TIFF format.
The characteristics of the image in TIFF format shall take into account the requirements of the graphics COM
recorder used for recording, especially concerning compression and resolution.
2)
ITU G3 or ITU G4 compression is generally accepted by graphic COM recorders.
The resolution shall be adapted to the COM recorder resolution capacities. Since individual models of COM
recorders can have different resolution capabilities, the selection of the COM recorder shall be based on the
requirement of the resolution for the data being archived. When the resolution of the file differs from the COM
recorder resolution capacities, it might be necessary to convert the file in order to avoid changing the scale of
the images in relation to the expected reduction ratio.
Files in black-and-white TIFF format accepted by a COM recorder shall be sent directly to the COM recorder
without any conversion.
Files in a different image format, as well as text files, the coding of which is not supported by the COM
recorder, shall be converted into compatible black-and-white TIFF format so that they can be recorded on
microforms.
6.1.4 Form overlays
6.1.4.1 General
The processing of certain files requires the use of form overlays, which may be in optical or electronic format.
6.1.4.2 Optical form overlays
These are made up of the physical image produced by a photographic image on a glass (or other transparent)
plate. The image of the form is flashed simultaneously when each page in the file is created, with the two
types of data being combined on the same image using a prism.
2) Formerly CCITT.
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ISO 11506:2009(E)
6.1.4.3 Electronic form overlays
This is the image of the form produced as a file stored in the memory of the COM recorder. The image of the
form overlay is recreated by the COM recorder at the same time as the data from the production file, with the
two types of data being combined on the same image. Electronic form overlay systems enable the recording
of files requiring multiple form overlay formats within the same file.
6.2 Conversion
6.2.1 General
When necessary, any conversion into text format or image format recognized by a COM recorder shall be
carried out with the help of tools which retain the integrity of the content of the original data. Conversion
processes shall not significantly affect the presentation of the data.
6.2.2 Conversion of files in line mode
For converting files with 8-bit encoded characters, the file's external code (e.g. EBCDIC) shall be converted
into the COM recorder's internal code (ASCII) by conversion tables contained in the COM recorder.
ISO/IEC 8859-1 shall be applied to ensure an exact “sign by sign” conversion.
6.2.3 Conversion of files in image mode
Files that only contain image data (which can be an image of text), files mixed with line mode and image mode,
or files in line mode requiring a transfer into image mode so they can be recorded on microform, shall be
converted. The conversion procedure shall be identical in the three cases.
For formats requiring this type of conversion, the transfer shall be carried out, either by using the “export” or
“save as” function in the original software or by using dedicated conversion software for this format.
When the image file is created by word processor software, the character font tables shall be taken into
account in the conversion parameters.
6.3 COM recording process
6.3.1 Production parameters
All the elements that characterize the processing of a given application shall be put together and stored in the
form of a set of commands and parameters (a program commonly known as a “JOB”).
Each “JOB” shall integrate the description of the format of the file to be processed, the management of
electronic form overlay, if any, titling and indexing, breaks, the reduction ratio and recording or page direction,
as well as other additional elements (banner pages, links with other JOBs, etc.).
6.3.2 Form overlays
Form overlays are typically only used in the production of microfiche and 16 mm microfilm.
Form overlays (optical or electronic) shall reproduce all the significant elements of the form they represent and
shall ensure the correct reciprocal alignment of the form with the associated data.
Form overlay quality shall be good enough for it to be read efficiently.
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ISO 11506:2009(E)
6.3.3 Data reception
6.3.3.1 Transmission
Electronic data for COM recording can be transmitted by network or by exchangeable computer media.
6.3.3.2 Network transmission
During a network transmission, only transmission protocols that guarantee the identity and the integrity of
transmitted and received data shall be used. The transmission and reception monitors shall indicate any
transmission faults that arise.
The protocol concerned shall be capable of detecting, and dealing with, any transmission errors (e.g. an
untimely interruption), either by an automatic restart where the fault took place or by erasing and rewriting the
file.
A file whose reception remains defective shall be indicated as such.
6.3.3.3 Computer media
Medium containing data to be processed shall be chosen depending on how reliable it is for storing and
reading. When it is a reversible medium, it shall not have exceeded the number of rewrites designed for the
type of medium considered (for example, magnetic tapes are generally limited to 100 successful rewrites).
If an off-line COM recorder (see 6.3.4.3) is used, it is recommended that computer media that can be read
directly by the COM recorder be used.
Generally, media for digital storage, whether magnetic or optical, are only acceptable on the condition that
they ar
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