ISO 11506:2017

INTERNATIONAL ISO
STANDARD 11506
Second edition
2017-07
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 2017
© ISO 2017, Published in Switzerland
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ii © ISO 2017 – All rights reserved

Contents Page
Foreword .v
Introduction .vi
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
6.1.1 General. 4
6.1.2 Line mode . 5
6.1.3 Image mode . 5
6.1.4 Form overlays . 5
6.2 Conversion . 6
6.2.1 General. 6
6.2.2 Conversion of files in line mode . 6
6.2.3 Conversion of files in image mode . 6
6.3 COM recording process . 6
6.3.1 Production parameters . 6
6.3.2 Form overlays . 6
6.3.3 Data reception . 6
6.3.4 Data recording modes . 7
6.3.5 Management of production interruptions or problems/faults/errors. 8
6.4 Micrographic process . 8
6.4.1 General. 8
6.4.2 Development system . 8
6.4.3 Integrated processing . 9
6.4.4 Separate processing . 9
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
7.2.1 Titles .10
7.2.2 Indexes . .10
7.2.3 Segmentation .11
7.2.4 Form overlays .11
7.2.5 Time-stamp .11
7.3 Indexing COM microfiche .12
7.3.1 General.12
7.3.2 Titling .12
7.3.3 Microfiche index page.12
7.4 Indexing 16 mm COM microfilm .12
7.4.1 Titling .12
7.4.2 Index pages .13
7.4.3 Blip generation .13
7.5 Indexing 35 mm COM microfilm .13
7.5.1 Titling .13
7.5.2 Index pages .13
7.6 Indexing COM aperture cards.13
7.6.1 Titling and indexing .13
7.6.2 Punched data .14
8 Evidentiary aspects of COM recording .14
8.1 General .14
8.2 Integrity of recorded data .14
8.2.1 Irreversibility .14
8.2.2 Integrity of COM microfiche and 16 mm and 35 mm COM microfilm .14
8.2.3 Integrity of COM aperture cards .14
8.3 Stamping the microform .14
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 .15
9.5 Similar visual results .15
9.6 Management of data recorded on COLD media .16
9.6.1 Administration .16
9.6.2 Retrieval and display of the data on COLD media .16
9.6.3 Indexing .16
9.6.4 Segmentation of file on COLD media .16
9.6.5 Form overlays .16
9.6.6 Labelling COLD media .16
9.6.7 Time-stamp .16
9.7 Electronic databases .17
9.7.1 General.17
9.7.2 Retrieval and display of database.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) 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
iv © ISO 2017 – All rights reserved

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.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
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. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/ patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO’s adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: w w w . i s o .org/ iso/ foreword .html.
This document was prepared by Technical Committee ISO/TC 171, Document management applications,
Subcommittee SC 1, Quality, preservation and integrity of information.
This second edition cancels and replaces the first edition (ISO 11506:2009), which has been technically
revised.
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 document 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 document supports the continued use of film and emerging new kinds of micrographic
media 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 document 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.
vi © ISO 2017 – All rights reserved

INTERNATIONAL STANDARD ISO 11506:2017(E)
Document management applications — Archiving of
electronic data — Computer output microform (COM)/
Computer output laser disc (COLD)
1 Scope
This document 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 document, long term is considered to be a period of time lasting more than a century (see
ISO 18911).
Black-and-white microforms processed with liquid chemicals are used in this document because the
result is always an irreversible record and because of the proven quality of microforms as a long-term
preservation media.
This document 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 document applicable to microforms created from dry thermal processes, since they offer
insufficient guarantees in terms of irreversibility and longevity.
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.
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
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 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 18901:2010, 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
ISO/IEC 8859-1, Information technology — 8-bit single-byte coded graphic character sets — Part 1: Latin
alphabet No. 1
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.
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
3.1
integrity
quality of being complete and unaltered
[SOURCE: ISO 13008:2012, 3.11]
3.2
irreversibility
result of a recording process depending on the chemical and/or physical transformation of a recordable
medium into a non-recordable medium
3.3
computer output microform
COM
structuring and recording of electronic documents on microforms
Note 1 to entry: 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 to entry: The official definition of the term COM in ISO 6196-7 does not take into account important
evolutions of this technique in recent years.
3.4
computer output laser disc
COLD
process in which electronic data is structured and stored on WORM media or in WORM systems
2 © ISO 2017 – All rights reserved

3.5
COLD medium
electronic data storage medium, created from a COLD (3.4) production
3.6
COM-COLD dual recording
parallel recording, by a single production unit, producing a double COM (3.3) and COLD (3.4) output
from the same file
3.7
modular COM-COLD system
COM (3.3) production unit with a COLD module, capable of structuring and performing a COM-COLD
dual recording (3.6)
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 document, 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.
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
3 years.
— Intent to re-digitize should be considered in choice of microform used.
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
Direct or Immediate
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 often requires converting them into a format recognized by COM systems.
NOTE 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 starts 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.
For production in COM, two large file categories shall be defined: files in line mode and files in
image mode.
4 © ISO 2017 – All rights reserved

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.
1)
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.
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,
1) Formerly CCITT.
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.
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 © ISO 2017 – All rights reserved

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 using a reversible medium, consider that storage conditions of the tapes dramatically
affects life expectancy. Magnetic tapes can vary significantly in the number of rewrites allowed based
on tape type and environmental conditions such as dirt and storage humidity and temperature. It is
important to implement the manufacturer’s storage and rewrite recommendations. 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 are not dependent on any equipment or operating system which has been discontinued or
which has become unusable. They shall be devoid of any fault that could prevent or alter the reading of
the data that they contain.
The media created from an electronic document management system are only acceptable if the export
of data in printable format is allowed.
6.3.4 Data recording modes
6.3.4.1 General
A COM recorder receives the data to be stored in the following ways. Either
— it receives data direct from the computer sending the file when the COM recorder is on-line, or
— it reads data from an electronic medium, if the COM recorder is off-line.
The COM recorder operating system shall ensure that the incoming data are checked for parity and
other errors.
When a parity or another error arises, the COM recorder shall report the error and return control to the
operator. Production shall not restart until the error has been identified and rectified.
6.3.4.2 On-line recording
With this type of recording, the data file sent to the COM recorder shall contain beforehand all
commands necessary for the loading and automatic starting of the job that contains the processing
parameters for this file.
In case of a transmission fault, the on-line COM recorder shall interrupt production, report the incident
and return control to the operator.
6.3.4.3 Off-line recording
For production using an off-line (stand-alone) COM recorder, the loading and start commands of the job
concerned by the application can be either manual or automated. If automated, the file shall contain all
the commands necessary for loading and starting the appropriate job.
If the data are sent through the network, producing them on an off-line COM recorder requires recording
them on a transition medium that the off-line COM recorder can use.
When the data are transmitted to the off-line COM recorder by a computer medium that can be used
by the COM recorder, processing shall be performed by directly reading the computer media. When the
transmitted computer medium cannot be used by the off-line COM recorder, an identical copy shall be
made on a transfer medium that is compatible with the reading system and devices of the off-line COM
recorder.
When a transfer medium is necessary, it shall be exclusively chosen based on recording and reading
reliability criteria without its longevity being critical, as this is a transient medium. According to the
volume(s) recognized by the COM recorder concerned, the recommended media for COM recorders are
closed magnetic media such as “cartridges” or “cassettes”, which shall be used under the reservations
expressed in 6.3.3.3 referring to reversible media.
6.3.5 Management of production interruptions or problems/faults/errors
6.3.5.1 Interruptions in processing
The COM recorder shall allow processing to restart in case of interruption or errors.
Processing shall be continued after an interruption (e.g. due to reloading of a film reel, machine
breakdown or end of service) on the same machine (unless this is not possible) and with the same types
of film and chemicals.
6.3.5.2 Restart due to defects
Any restart necessary due to the occurrence of defects shall involve a new integral recording of the
microform(s) concerned. A COM microform that is to be archived shall not have any alterations, cuts or
repairs.
Restarts shall be carried out as soon as possible and with the same type of film as in the initial
processing. If several COM recorders are involved, then it is also recommended, if possible, to run the
restart with the COM recorder that performed the original processing.
When producing microfiche or aperture cards, it is possible to limit the new recording to the
microform(s) affected by the defect.
When a defect requires restarting one or several microforms in a series for which time-stamping
is important (see 7.2.5), it is necessary to save the defective microform(s), along with the restarted
microforms with the note “REDONE”.
6.4 Micrographic process
6.4.1 General
See Annex B.
6.4.2 Development system
According to the type of COM recorder and the format of the microforms, the chemical process can be
carried out with a development system included in the COM recorder or separately by transferring the
films containing the latent image to a separate film processor.
8 © ISO 2017 – All rights reserved

6.4.3 Integrated processing
In the case of an integrated process, the COM recorder shall check the settings continuously to ensure
the quality of the process, especially including:
— automatic checking and adjustment of the temperature of the chemicals in the processor tanks;
— automatic checking and adjustment of the processing times;
— automatic quantifying of the amount of film that can be processed;
— indication o
...