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1、TECHNICAL REPORT ISO/TR 12654 First edition 1997-12-15 Electronic imaging - Recommendations for the management of electronic recording systems for the recording of documents that may be required as evidence, on WORM optical disk lmagerie klectronique - Recommandations relatives A ia gestion des syst
2、kmes Biectroniques d enregistrement, pour I enregistrement de documents ayant vaieur de preuve, sur disque optique WORM -._ Reference number ISOiTR 12654:1997(E) Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=NASA Technical Standards 1/997254
3、5001 Not for Resale, 04/24/2007 23:17:28 MDTNo reproduction or networking permitted without license from IHS -,-,- ISO/TR 12654: 1997(E) Contents 1 Scope 1 2 References 1 3 Establishing procedure . 1 3.1 Principles . 1 3.2 Procedures 2 3.3 Certificates 3 3.3.1 General 3 3.3.2 Authorization certifica
4、te 3 3.3.3 Operator s certificate . 3 3.3.4 Certificate of acceptance 3 3.3.5 Certificate of destruction 3 3.4 Bureaux 3 4 General recommendations . 3 4.1 Document preparation . 3 4.2 Referencing and retrieval . 3 4.3 Corruption of image . 4 4.4 Backup . 4 4.5 WORM optical disks . 4 4.6 Disk mainten
5、ance . 4 4.7 Safeguards 4 4.7.1 Information stored on WORM optical disk 4 0 IS0 1997 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permiss
6、ion in writing from the publisher International Organization for Standardization Case postale 56 l CH-1211 Geneve 20 l Switzerland Internet centraliso.ch x.400 c=ch; a=400net; p=iso; o=isocs; s=central Printed in Switzerland ii Copyright International Organization for Standardization Provided by IHS
7、 under license with ISO Licensee=NASA Technical Standards 1/9972545001 Not for Resale, 04/24/2007 23:17:28 MDTNo reproduction or networking permitted without license from IHS -,-,- ISO/TR 12654:1997(E) 0 IS0 Foreword IS0 (the International Organization for Standardization) is a worldwide federation
8、of national standards bodies (IS0 member bodies). The work of preparing International Standards is normally carried out through IS0 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. I
9、nternational organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. IS0 collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. The main task of technical committees is to prepare In
10、ternational Standards, but in exceptional circumstances a technical committee may propose the publication of a Technical Report of one of the following types: - type 1, when the required support cannot be obtained for the publication of an International Standard, despite repeated efforts; - type 2,
11、when the subject is still under technical development or where for any other reason there is the future but not immediate possibility of an agreement on an International Standard; - type 3, when a technical committee has collected data of a different kind from that which is normally published as an
12、International Standard (“state of the art”, for example). Technical Reports of types 1 and 2 are subject to review within three years of publication, to decide whether they can be transformed into International Standards. Technical Reports of type 3 do not necessarily have to be reviewed until the d
13、ata they provide are considered to be no longer valid or useful. lSO/TR 12654, which is a Technical Report of type 3, was prepared by Technical Committee lSO/TC 171, Document imaging applications, Subcommittee SC 3, General issues. iv Copyright International Organization for Standardization Provided
14、 by IHS under license with ISO Licensee=NASA Technical Standards 1/9972545001 Not for Resale, 04/24/2007 23:17:28 MDTNo reproduction or networking permitted without license from IHS -,-,- 0 IS0 ISO/TR 12654: 1997(E) introduction Although this Technical Report refers only to WORM optical disk systems
15、 this does not necessarily imply that other recording systems are unlikely to be legally acceptable. As noted below this is for the courts to decide. Other documents are in preparation by ISOiTC 171/SC 3 addressing other recording systems. Many organizations now use optical storage media for keeping
16、 records generated or received in the normal course of business. Optical storage systems provide a particularly compact form of storage that facilitates an efficient method of retrieval, provided an index is maintained. For the purpose of legal admissibility, electronic images can replace large volu
17、mes of paper files only if the organization is confident that documents may be destroyed once their images have been recorded. Occasionally documents produced in the normal course of business have to be produced in evidence and at that stage the legal admissibility of electronic images of documents
18、becomes important. Unlike information written on paper, which is directly intelligible, information recorded on optical storage media requires electronic equipment, e.g. a computer terminal, to make it intelligible to the reader. The integrity of an electronic image of a document can best be demonst
19、rated by showing that it was made, and the hard copy version destroyed, with proper safeguards, as, part of normal business practice. This Technical Report has therefore been prepared to help organizations that use, or plan to use, optical storage for documents to ensure that properly planned and au
20、thorized procedures are introduced and followed, so that, if a document shoufd be required in evidence, its electronic image can be shown to have been produced as part of normal business practice and its integrity established. Because the laws of evidence vary from one country to another, the advice
21、 given in this Technical Report is very general. Legal experts should be consulted about the requirements for legal admissibility that apply in any particular country. WARNING Readers should note that it is for their national legal system to decide what is admissible and how much weight is attached
22、to it. No guarantee can be given that the electronic image of any document will automatically be admissible. Any organization that decides to establish a system for storing records on optical disk should seek legal advice in the country in which the system will operate. V Copyright International Org
23、anization for Standardization Provided by IHS under license with ISO Licensee=NASA Technical Standards 1/9972545001 Not for Resale, 04/24/2007 23:17:28 MDTNo reproduction or networking permitted without license from IHS -,-,- TECHNICAL REPORT o IS0 ISO/TR 12654:1997(E) Electronic imaging - Recomenda
24、tions for the management of electronic recording systems for the recording of documents that may be required as evidence, on WORM optical disk 1 Scope This Technical Report makes recommendations to be followed in establishing procedures for the capture and storage of electronic images of documents t
25、hat will ensure the preservation and integrity of the information recorded on the documents. This Technical Report applies to optical storage systems that use only media of a non-reversible Write-Once-Read- Many (WORM) type including compact disk (CD-ROM) to store electronic images of documents. It
26、does not apply to systems that allow an image to be erased or altered after capture. 2 References ISO/IEC 9171-1:1990, information technology - 730 mm optical disk cartridge, write-once, for information interchange - Part 1: Unrecorded optical disk cartridge. ISO/IEC 9171-2:i 990, information techno
27、logy - 730 mm optical disk cartridge, write-once, for information interchange - Part 2: Recording format. ISO/IEC 10885:1993, Information technology - 356 mm optical disk cartridge for information interchange - Write once. ISO/IEC 13403:1995, information technology - Interchange on 300 mm optical di
28、sk cartridges of the write once read multiple (WORM) type using the CCS method. ISO/IEC 13614:1995, Information technology - Interchange on 300 mm optical disk cartridges of the write once read multiple (WORM) type using the SSF method. ISO/IEC 13490-l :1995, information technology - Volume and file
29、 structure of read-only and write-once compact disk media for information - Part 1: General. ISO/IEC 13490-2:1995, information technology - Volume and file structure of read-only and write-once compact disk media for information - Part 2: Volume and file structure. 3 Establishing procedure 3.1 Princ
30、iples If an electronic image is produced in evidence instead of an original document, the organization responsible should be able to show that the image can be relied upon as being an accurate and reliable representation of the original. An organization that plans to destroy originals once they have
31、 been captured should therefore establish procedures that include safeguards against falsification and error. A member of staff should be made responsible for ensuring that the procedures are followed. 1 Copyright International Organization for Standardization Provided by IHS under license with ISO
32、Licensee=NASA Technical Standards 1/9972545001 Not for Resale, 04/24/2007 23:17:28 MDTNo reproduction or networking permitted without license from IHS -,-,- ISCXTR 12654: 1997(E) 0 IS0 Documents or part of documents can be electronically modified before they are committed to the optical storage. The
33、 content of an image stored on WORM optical disks cannot be altered, but reference to an image can be deleted from the file directory and reference to a new image substituted. Procedures and safeguards should be established to control the process to ensure the detection of modifications or alteratio
34、ns of images and corrections to the file directory. A comprehensive index is essential. Documents that have been captured on WORM optical disk but are inadequately indexed will be effectively irretrievable. See also 4.2. 3.2 Procedures The organization should authorize a policy for the, capture, sto
35、rage and management of records on optical storage media. It should issue written procedures for implementing that policy. The procedures, certificates and related documents should be stored in a safe place. The written procedures should include information about: a) the types of record to be stored;
36、 b) procedures for access and access levels; c) procedures for scanning; d) procedures for indexing; e) procedures for quality control; f) procedures for retrieval and printing; g) procedures for certification; h) procedures for destruction of originals and for recording destruction; 9 procedures fo
37、r storage and retention; j) procedures for making backups of duplicates of an optical disk or index information; k) procedures for ensuring the correct functioning and operation of the system; 1) upgrades, software changes, repairs or alterations to system components or equipment systems, including
38、backup systems; m) procedures for training of staff to operate the system to authorized levels of operation; n) procedures for internal or external audit; o) authorization for issue, amendment and operation of procedures. The organization s policy should be reviewed periodically to take account of a
39、ny changes in legislation, technology or other relevant matters. Details of the review and any change made should be recorded. All procedures should be regularly audited and audit results recorded so that they may be made available, if required, in establishing legal admissibility. Any change made t
40、o policy or procedures should be notified to relevant personnel by means of amended documents and any superseded document withdrawn. A copy of each version of the policy, procedures, and audit results should be retained as long as the images recorded during their relevance. 2 Copyright International
41、 Organization for Standardization Provided by IHS under license with ISO Licensee=NASA Technical Standards 1/9972545001 Not for Resale, 04/24/2007 23:17:28 MDTNo reproduction or networking permitted without license from IHS -,-,- 0 IS0 ISO/TR 12654: 1997(E) 3.3 Certificates 3.3.1 General The procedu
42、res recommended in 3.2 should include some or all of the example certificates given in 3.3.2 to 3.3.5, to be completed at appropriate stages depending on the needs of the organization. Certificates should be kept for the same length of time as the documents they certify, either in their original for
43、m as hard copy or on WORM optical disk. 3.3.2 Authorization certificate Before capture an authorization certificate giving approval for conversion should be completed. 3.3.3 Operator s certificate After a batch of documents has been captured, the operator should complete a certificate giving operato
44、r s identification, date of scanning and indexing details. The certificate need not be completed if the system automatically records the required information as part of the internal audit trail. See also 4.7.4. 3.3.4 Certificate of acceptance After captured images have been checked, a certificate of
45、 acceptance may be completed, stating that the images are true and complete representation of the documents captured. If a certificate applies to a batch of documents, the number of images and the number of documents should be stated. On retrieval of images, a certificate of acceptance may also be c
46、ompleted, stating that the paper copy is a true copy of the electronic image held on WORM optical disk. See also 4.3. 3.3.5 Certificate of destruction After the accuracy of captured images has been confirmed, a destruction certificate should be issued to allow the destruction of the originals. See a
47、lso 4.9. 3.4 Bureaux The principles that apply to the owners of documents apply equally to bureaux. If an organization employs a bureau to record documents on optical storage media, the organization should satisfy itself that the bureau s procedures will provide security for the documents and are ad
48、equate for certification, indexing and input. The person responsible for appointing the bureau should examine the bureau s procedures and confirm in writing that they are satisfactory. The bureau s procedures should be reviewed from time to time and its operations inspected regularly. In these circu
49、mstances, information input by a bureau should have the same status as information input in-house. 4 General recommendations 4.1 Document preparation The organization should ensure that hard-copy documents produced within the organization will be of a quality to produce a legible image after scanning. Documents, whether produced within or outside