1、BRITISH STANDARD BS 6498:2002 Guide to preparation of microfilm and other microforms that may be required as evidence ICS 37.080 NO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAWBS 6498:2002 This British Standard, having been prepared under the direction of the DISC Board, was p
2、ublished under the authority of the Standards Policy and Strategy Committee on 26 March 2002 BSI 26 March 2002 First published June 1984 Second edition April 1991 Third edition 26 March 2002 The following BSI references relate to the work on this British Standard: Committee reference IDT/1/3 Draft f
3、or comment 99/620036 DC ISBN 0 580 38884 0 Committees responsible for this British Standard The preparation of this British Standard was entrusted by Technical Committee IDT/1, Information and documentation assembly, to Subcommittee IDT/1/3, Document imaging applications General issues, upon which t
4、he following bodies were represented: Bar Association for Commerce, Finance and Industry British Imaging and Photographic Association British Office Technology Manufacturers Alliance Computing Suppliers Federation Information and Document Management Association Society for Computers and Law UK Assoc
5、iation for Information Management Document Management Application UK Association for Information Management Legal Admissibility UK Association for Information Management Media UK Association for Information Management Micrographics Image Quality Co-opted members Amendments issued since publication A
6、md. No. Date CommentBS 6498:2002 BSI 26 March 2002 i Contents Page Committees responsible inside front cover Foreword ii 1S c o p e 1 2 Normative references 1 3T e r m s a n d d e f i n i t i o n s 2 4 Establishing a microform programme 2 5 Forms, register and retention of certificates 3 6 Original
7、documents 4 7 Microforms 5 8 Monitoring 6 Annex A (informative) Summary of legal position as at 1st April 2001 7 Annex B (informative) Examples of certificates 8 Bibliography 11 Figure B.1 Certificate of authority 8 Figure B.2 Camera operators certificate 9 Figure B.3 Continuation certificate 9 Figu
8、re B.4 Certificate of acceptance 9 Figure B.5 Certificate of destruction 10BS 6498:2002 ii BSI 26 March 2002 Foreword This British Standard has been prepared by Subcommittee IDT/1/3, under the direction of Technical Committee IDT/1. It supersedes BS 6498:1991, which is withdrawn. This revision of BS
9、 6498 has been prepared to cover changes in legislation and to make editorial and technical changes that improve the accuracy and clarity of this standard. The storage of documents on microfilm, or some other microform, is common practice, and original documents are often destroyed after filming. In
10、 legal proceedings it may be necessary to prove that a microform is a true copy of the original document. This British Standard gives guidance to organizations that wish to use microforms for record-keeping, or for copying documents, about the procedures that should be followed to ensure, as far as
11、possible, that the microforms will be admissible as evidence. However, no guarantee can be given that microforms prepared in accordance with this guide will automatically be admissible. Many organizations will already have established microform programmes that, although not necessarily following all
12、 the recommendations of this guide, adequately meet the needs of the particular organization. This guide should be of particular assistance to organizations that are setting up a microform programme for the first time in ensuring that a properly planned and authorized programme is introduced, so tha
13、t they may demonstrate that microforms have been produced as part of normal business practice. This British Standard amplifies and updates the advice given in DD 199 on the preparation of microforms that may be required in evidence. DD 199 also contains an annex giving information about the legal st
14、atus of microforms in various other countries. This information was correct at the time of its publication in 1991 and subsequently updated by Amendment 1, published in 1998. Annex A and Annex B are informative. A British Standard does not purport to include all necessary provisions of a contract. U
15、sers of British Standards are responsible for their correct application. Compliance with a British Standard does not of itself confer immunity from legal obligations. Summary of pages This document comprises a front cover, an inside front cover, pages i and ii, pages 1 to 11 and a back cover. The BS
16、I copyright notice displayed in this document indicates when the document was last issued.BS 6498:2002 BSI 26 March 2002 1 1 Scope This British Standard gives guidance to organizations that may have to produce microforms in evidence, to enable them to show that the microform has been made in accorda
17、nce with an established procedure. It gives recommendations for the treatment of original documents and microforms, including microcopies from computer output microfilming (COM), the establishment of a microform programme and the monitoring of these procedures. Recommendations concerning forms and r
18、egisters to be maintained by personnel and the retention of certificates are also given. It applies to microfilm in roll form, microfiche, microfilm jackets, aperture cards and some updatable microforms, whether the filming and subsequent operations are performed in-house or by a bureau. In general
19、the recommendations apply to COM originals, although some parts of the certificate system recommended in this standard cannot be used with some computer systems. This standard does not apply to erasable microform systems, i.e. those capable of having images changed, deleted or replaced without leavi
20、ng any trace of the original image, because a court could not rely on such documents as a true and accurate record. Annex A gives a brief summary of the legal position in the United Kingdom. Annex B contains examples of certificates. 2 Normative references The following normative documents contain p
21、rovisions which, through reference in this text, constitute provisions of this part of this British Standard. For dated references, subsequent amendments to, or revisions of, any of these publications do not apply. For undated references, the latest edition of the publication referred to applies. BS
22、 1153, Recommendations for processing and storage of silver-gelatine-type microfilm. BS 4210-1, Specification for 35 mm microcopying of technical drawings Part 1: Operating procedures. BS 4210-3, Specification for 35 mm microcopying of technical drawings Part 3: Unitized microfilm carriers. BS 5444,
23、 Recommendations for preparation of copy for microcopying. BS 5525, Specification for 35 mm microcopying of maps and plans. BS 7338-1 (ISO 8127-1), Microfilm jackets Part 1: Specification for five-channel jacket for 16 mm microfilm. BS ISO 3272-2, Microfilming of technical drawings and other drawing
24、 office documents Part 2: Quality criteria and control of 35 mm silver gelatin microfilms. BS ISO 6196-1, Micrographics Vocabulary Part 1: General terms. BS ISO 6196-2, Micrographics Vocabulary Part 2: Image positions and methods of recording. BS ISO 6196-3, Micrographics Vocabulary Part 3: Film pro
25、cessing. BS ISO 6196-4, Micrographics Vocabulary Part 4: Materials and packaging. BS ISO 6196-5, Micrographics Vocabulary Part 5: Quality of images, legibility, inspection. BS ISO 6196-7, Micrographics Vocabulary Part 7: Computer micrographics. BS ISO 6199, Micrographics Microfilming of documents on
26、 16 mm and 35 mm silver-gelatin type microfilm Operating procedures. BS ISO 8127-2, Micrographics A6 size microfilm jackets Part 2: Other types of jacket for 16 mm and 35 mm microfilm. BS ISO 9923, Micrographics Transparent A6 microfiche Image arrangements.BS 6498:2002 2 BSI 26 March 2002 3 Terms an
27、d definitions For the purposes of this British Standard the terms and definitions given in BS ISO 6196-1, BS ISO 6196-2, BS ISO 6196-3, BS ISO 6196-4, BS ISO 6196-5 and BS ISO 6196-7 and the following apply. 3.1 updatable system microform system that allows images to be added photographically to an
28、existing microform, either as additional images or superimposed on existing images 4 Establishing a microform programme 4.1 General A microform programme should incorporate all feasible safeguards to establish that a microform made in accordance with the programme is a true copy of the original docu
29、ment and may be admissible in its place. Written evidence that the programme has been systematically planned and authorized, and that someone in the organization has been appointed to administer it, may be important in establishing the validity of a microform. It will help to show that the microform
30、 has been made as part of normal office routine and has not been specially prepared for court proceedings. If the recommendations in this standard are followed, it should be possible to establish that the microform programme has been systematically planned and operated. The advice of lawyers, audito
31、rs, records managers and archivists should be sought when the implementation of a microform programme is proposed. NOTE A summary of the legal position regarding microforms is given in Annex A. 4.2 Authorizing document The document that records the policy decision made by or on behalf of an organiza
32、tion to establish a microform programme should be retained permanently. 4.3 Delegation of authority Written authority within the terms of the authorizing document (see 4.2) should be issued, nominating the members of staff responsible for implementing and operating the programme, signing documents r
33、elating to it, and ensuring that standards are maintained, whether the microforms are prepared within the organization or by a bureau. 4.4 Plan A document that sets out the organizations plan for a microform programme should be prepared. The document should give details of the following: a) the cate
34、gories of the original document to be microfilmed; b) the stage at which the original document should be microfilmed; c) the procedure for microfilming, including certification, checking and information retrieval methods; d) provision for a register to be maintained; e) the periods of retention of o
35、riginal documents and microforms; f) provision for the destruction of original documents and for recording their destruction; g) provision for review of the microform programme. The plan should be approved in writing by the person appointed to administer the programme (see 4.1) or authorized member
36、of the organization before the microform programme is put into operation. 4.5 Date of introduction of programme When the plan has been approved, the organization should authorize, in writing, the introduction of a microform programme as part of the organizations customary activity from a specified d
37、ate.BS 6498:2002 BSI 26 March 2002 3 4.6 Manual A manual should be prepared, giving detailed instructions to the staff concerned in the various stages of the microform programme. The manual should give information about the following: a) the apparatus and microforms to be used; b) quality control; c
38、) indexing; d) correction of errors, including rules for splicing; e) routine monitoring of the procedures; f) production of full-size prints from microforms, if required. 4.7 Bureaux If a bureau undertakes filming and subsequent operations, the organization should satisfy itself that the bureaus pr
39、ocedures are adequate. 5 Forms, register and retention of certificates 5.1 Forms 5.1.1 General The microform programme should contain detailed instructions about the forms to be completed and signed at each stage. In 5.1.1, 5.1.2, 5.1.3, 5.1.4 and 5.1.5 the forms that may be necessary are described,
40、 although they are not all essential to every programme. The use of forms will vary according to the needs of different organizations. Annex B gives examples of the forms. 5.1.2 Certificate of authority A form authorizing the filming of each batch of documents should be completed and signed by the p
41、erson having custody of the documents before they are filmed (see B.2). The completed form may be filmed immediately before the documents it refers to, or it may be retained in its original form for the life of the film. The documents should be identified in sufficient detail to show that authority
42、has been given for filming those particular documents (see 6.1). 5.1.3 Camera operators certificate The camera operator should sign a form giving the operators name, date of filming and certifying that to the best of the operators knowledge and belief the microform is a complete record of the docume
43、nts received for filming (see B.3). The form should be filmed immediately after the documents it refers to and, if the authorization form is not filmed (see 5.1.2), immediately before them. If the film has to be spliced, a camera operators certificate, declaring that a splice has been made and givin
44、g the reason, should be filmed at the beginning and end of the spliced section. If a batch of documents needs more than one roll of film, a continuation certificate should be filmed at the end of the first roll and at the beginning of the second, and so on (see B.4). If there is a change of operator
45、 during the production of a roll, the first operator should film a certificate immediately after the last document filmed and the next operator should film a certificate immediately before the first document filmed. If images are added to an updatable microform that has already been certified, the c
46、amera operators certificate should be filmed immediately before the beginning of a sequence of additional images. 5.1.4 Certificate of destruction When documents that have been microfilmed are destroyed, a form giving the reference number and date of destruction of the documents and the reference nu
47、mber of the microform should be completed and signed (see B.6). The certificate of acceptance may be combined with the certificate of destruction.BS 6498:2002 4 BSI 26 March 2002 5.1.5 Certificate of acceptance When documents have been filmed, an authorized person should sign a form certifying that
48、the microform copy of the documents has been checked and accepted (see B.5) unless the certificate of acceptance is combined with the certificate of destruction. 5.2 Register The microform programme should include requirements for establishing a register, in which the following should be recorded: a
49、) the identification reference of the original documents (see 6.1); b) the date and reference of the certificate of authority (see 5.1.2); c) the date and reference of the camera operators certificate (see 5.1.3); d) the date and reference of the certificate of destruction (see 5.1.4); e) the reference(s) of the microform(s); f) the date and reference of the certificate of acceptance, if one is required (see 5.1.5); g) the storage location of the original microform(s) and duplicates. 5.3 Retention of certif
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