Standards relating to
document management
Introduction
Those concerned with the planning and implementation of
document management systems may feel that national and international
standards are more relevant to suppliers of equipment and materials than
users. It is true that standards were once largely confined to sizes
and tolerances to ensure compatibility between products from different
suppliers, but recommendations and advisory standards, aimed at users, have
also been introduced to encourage them to adopt best practices, achieve
optimum quality and ensure maximum archival life.
BSI is the prime UK source of BS and ISO standards. G G
Baker & Associates were closely involved in the development and improvement
of their standards for micrographics and assisted with progress towards
international integration. The International Standards Organisation (ISO)
now lists many standards relating to micrographics and electronic records
management, most of which are based on previous BSI standards. All BS and
ISO standards are available from the British Standards Institution at
www.bsigroup.com. G G Baker &
Associates no longer stock them. BSI Non-member
prices are quoted in the following lists - there are discounts of up to 50%
for BSI members.
When mandatory requirements are involved there is no
substitute for the relevant national or international standard, but when
advice and guidance is required there are less expensive and often free
alternatives that may suffice, One excellent source is
The National Archives at Kew who make
some excellent documents available for free download. We have listed the
most relevant items under
Helpful books and downloadable files.
Gerald Baker was the Chairman of the BSI and ISO
micrographic committees for many years and he also Chaired the working group
responsible for COM. G G Baker & Associates used to organise seminars on
document management subjects and one of the questions most frequently asked
by delegates related to the legal status of microfilmed documents. At one of
these seminars, held at the Chartered Accountant's Hall in London in 1982,
Mrs H S Fletcher Rogers, who represented the Bar Association for Commerce,
Finance & Industry, presented a paper which had far-reaching consequences
because it sparked a demand for an advisory standard on the subject.
Gerald Baker, then Chairman of the Microfilm Associati0on
of Great Britain, wrote to all of the microfilm associations elsewhere in
the world asking for a brief description of the legal position in their
countries - their replies were included in a paper he presented at the same
seminar. He then headed a BSI working group which prepared a Draft for
Development - it was issued in 1984 under the title Preparation of
Microfilm and Other Microforms that may be required as evidence.
It is still available today as BS 6498: 2002
and remains one of the best available sources of guidance and has since
been used as a model for subsequent standards relating to the legal aspects
of digital images.
When preparing the following lists we have tried to
include all of the main standards and publications relating to the legal
status of microfilmed and scanned documents as we are aware of the
widespread interest and ignorance on this subject. We have ignored many
standards applying to very limited applications or industries - such as
those only applying to aviation. We have also omitted many standards and
recommendations which specifically apply to public libraries and public
archives as they will be very familiar with them.
When seeking a standard by its reference number, please
note that we have listed BSI standards first, followed by BS ISO standards
and then supporting publications from BSI, the DLM Forum, The National
Archives and other sources - some of which are available without charge as
downloadable files.
British Standards
BS 1153: 1992 - Recommendations for the processing and
storage of silver-gelatin-type microfilm. Useful for those concerned
with the long-term retention of records on film. £46
BS 5444: 2008 - Physical attributes of documents for
microfilming or scanning. Code of practice. Replaces the identically
numbered standard which was limited to preparation of copy for microcopying.
Relates to filming in accordance with BS ISO 6199 or scanning at a minimum
of 200 dots per inch. £74
BS 5454: 2000 - Recommendations for the storage and
exhibition of archival documents. Guidance for records offices,
libraries museums and exhibitions and architects, contractors and others
concerned with planning, construction, equipment maintenance and working of
premises. £130
BS 5536: 1988 - Preparation of technical drawings and
diagrams for microfilming.
Applies to drawings to be filmed at reductions of 1:30. Covers sheet
sizes, borders, centring marks, drawing methods and materials. £46
BS 5706: 1979 - Method for determination of
thiosulphate and other residual chemicals in processed photographic film,
plates and papers. Includes methylene blue photometric method and silver
sulphide densitometric test methods.
BS 6313: 2003 - Micrographics. 35mm microfilming of
serials. Specification. Covers preparation, microfilming and storage of
serials other than newspapers on black and white silver halide roll film.
£92
BS 6359: 1983 - Specification for dimensions and
position of microfiche heading coating (colour stripe).
BS 6660 - 1: 2005 - Guide to setting up and maintaining
micrographics units. Covers matters to consider when planning and
operating a micrographic unit. £92
BS 6498: 2002 - Guide to
preparation of microfilm and other microforms that may be required as
evidence. Covers the setting up of a suitable microfilming procedure,
the forms and records required and a summary of the legal position in the
UK. £92
BS 10008: 2008 - Evidential weight and legal
admissibility of electronic information. Specification. Ensures that any
electronic information required as evidence of a business transaction is
afforded the maximum evidential weight. Addresses issues related to
electronic identity verification, including the use of electronic signatures
and electronic copyright systems as well as the linking of electronic
identity to particular electronic documents. £130
BS ISO Standards
BS ISO 3272: Microfilming of technical drawings and
other drawing office documents. This now a five-part standard.
Part 1: 2003 - Procedures. Guidance for system
designers and operators. £92
Part 2: 1994 - Quality criteria and control for 35mm silver-gelatin
microfilms. £74
Part 3: 2001- Aperture cards for 35mm microfilm.
Dimensions and tolerances. £92
Part 4: 2004 - Microfilming of drawings of special and
exceptional elongated sizes. £46
Part 6: 2000 - Quality criteria and control of systems for enlargement from
35mm microfilm. Printout etc. £74 (Note - Part 5 has been withdrawn)
BS ISO 4087: 2005 - Micrographics. Microfilming
of newspapers for archival purposes on 35mm film. The title says it all.
£92
BS ISO 6199: 2005 - Micrographics. Microfilming of
documents on 16mm and 35mm silver-gelatin type microfilm. operating
procedures. £130
BS ISO 6200: 1999 - Micrographics. First generation
silver-gelatin microforms of source documents. Density specifications and
method of measurement. £74
BS ISO 8126: 2000 - Micrographics. Duplicating
film, silver, diazo and vesicular. Visual density.Specifications and
measurement. £74
BS ISO 8127-1: 1989 - Micrographics. A6 size microfilm
jackets. 5 channel jacket for 16mm microfilm. Stipulates dimensions and
tolerances. £74
BS ISO 8514-1: 2000 - Micrographics. Alphanumeric
computer output microforms. Quality control. Characteristics of the test
slide and test data. £74
BS ISO 8514-2: 2000 - Micrographics. Alphanumeric
computer output microforms. Quality control. Method. £92
BS ISO 9001: 2008 - Quality Management Systems.
Requirements. Assists when an organisation needs to prove compliance
with all regulatory requirements and aims to improve customer confidence in
strict control of operating procedures. Covers key processes in the
business, methods of monitoring and verifying effectiveness and adequate
record keeping. Adopted by several UK service bureaux. Replaces BS 9002.
£80. (3 helpful booklets are available as BIP 2013, 2014 and 2015.)
BS ISO 9923: 1994 - Micrographics. Transparent A6
microfiche. image arrangements. £130
BS 10012: 2009 - Data protection. Specification for a
personal information management system. Help for those seeking to keep
on the right side of the Data Protection Act. £100
BS ISO 10198: 1994 - Micrographics. Rotary camera for
16mm microfilm. Mechanical and optical characteristics. £46
BS ISO 11506: 2009 - Document management applications.
Archiving of electronic data. Computer output microfilm (COM) / Computer
output laser disc (COLD). £150
BS ISO 11928-1: 2000 - Micrographics. Quality control
of graphic COM recorders. Characteristics of the test frames. £74
BS ISO 11928-2: 2000 - Micrographics. Quality control
of graphic COM recorders. Quality criteria and control. £92
BS ISO 11962: 2002 - Micrographics. Image mark (blip)
used with 16mm and 35mm roll microfilm. Blip sizes for automated
retrieval systems. £74
BS ISO/TR 12031: 2000 - Micrographics. Inspection of
silver-gelatin microforms for evidence of deterioration. £130
BS ISO 14648-1: 2001 - Micrographics. Quality control
of COM recorders that generate images using a single internal display
system. Characteristics of the software test target. £74
BS ISO 14648-2: 2001 - Micrographics. Quality control
of COM recorders that generate images using a single internal display
system. Method of use. How to employ the test software specified in part
1 above. £74
BS ISO 15489-1: 2001 - Information and documentation.
Records management. General. Applies to management of records in all
formats or media, created or received by any public or private organisation
or any individual with a duty to create and maintain records. Offers help
for those seeking to comply with ISO 9001. £130
BS ISO 15489-2: 2001 - Information and documentation.
Records management. General. A guide for use by records management
professionals and those charged with the management of records in their
organisations. £130
BS ISO 18492: 2005 - Long-term preservation of
electronic document-based information. Applies when the retention period
extends beyond anticipated hardware or software life. £130
BS ISO 19005-1: 2005 - Document management. Electronic
document file format for long-term preservation. Use of PDF 1.4 Advice
on how to maximise device independence and self containment. £150
BS ISO 19005-2: 2011 - Document management. Electronic
document file format for long-term preservation. Use of ISO 32000-1.
Advice on how to maximise device independence and self containment. £150
BS ISO 23081-1: 2006 - Information and documentation.
Records management processes. Metadata for records. Principles. An
extension of ISO 15489 to assist those responsible for metadata. £130
BS ISO 23081-2: 2009 - Information and documentation.
Managing metadata for records. Conceptual and implementation issues.
£150
BS ISO 27001: 2005 - Information Technology. Security
techniques. Information security management systems. Requirements.
Assists with the establishment of an ISMS and methods of monitoring its
performance. £90
BS ISO 30300: 2011 - Information and documentation.
Management systems for records. Fundamentals and vocabulary. £130
BS ISO 30301: 2011 - Information and documentation.
Management systems for records. Requirements. £150
BS ISO 30302: 2012 - Information and documentation.
Management systems for records. Implementation Guide. This is currently
in preparation for publication during 2012.
Helpful books and
downloadable files
Available from the DLM Forum Secretariat
MoReq 2010 Modular requirements for record
systems - Vol 1 - Core services and plug-in modules. The DLM Forum,
created in 1997 with the support of the public archives of European Union
States including The National Archives in the UK. Aims to provide a
comprehensive but easily understood set of requirements for a records
management system applicable to any type of organisation. This volume
outlines the minimum functionality required of a compliant system. In more
than 500 pages it goes beyond the needs of most company document management
systems, but it is packed with good advice and can be downloaded without
charge. This is part of a major international project. The 520 page file can
be downloaded free of charge from DLM Forum whose address details are in our
Address section.
Lord Chancellor's code of practice on the management of
records issued under section 46 of the freedom of information act 2000.
Applies to public authorities and other bodies subject to the public records
acts. Can be downloaded as a 27 page file without charge.
Available from BSI
BIP 0008-1: 2008 - Evidential weight and legal
admissibility of information stored electronically. Outlines suitable
policies for electronic creation, storage and retrieval of information and
recognises continuing uncertainty about its legal acceptance. £63
BIP 0008-2: 2008 - Evidential weight and legal
admissibility of information transferred electronically. Code of practice
for the implementation of BS 10008. £63
BIP 0008-3: 2008 - Evidential weight and legal
admissibility of linking electronic identity to documents. Code of practice
for the implementation of BS 10008. £63
BIP 0009: 2008 - Evidential weight and legal
admissibility of electronic information. Compliance workbook for use with BS
10008. £42
BIP 0050: 2009 - Data protection pocket guide.
Essential facts at your fingertips. Assists busy professionals with
compliance with the Data Protection Act and guidance on how compliance with
BS 10012:2009 can provide proof of compliance. £31.50
BIP 0025-2: 2002 - Effective records management.
Practical implementation of BS ISO 15489-1. Covers the design and
implementation methadology, tools, action plan and checklists. £26
BIP 0025-4: 2007 - Effective Records Management. Advice
on how to comply with BS ISO 15489-1. Covers various levels of
compliance to suit different organisations and advice on building a
portfolio of evidence. £31.50
BIP 2013: 2009 - Understanding ISO 9001: 2008 and
process-based management systems. Assists those planning or
implementing an internal quality management system. £45
BIP 2014: 2009 - Creating a process-based management
system for ISO 9001: 2008 and beyond. Help for those planning or
maintaining an internal QMS. £45
BIP 2015:2009 - Process management auditing for ISO
9001: 2008. Focuses on obtaining maximum benefit from the required audit
procedures. £45
BIP 3080: 2007 - Records management collection. A
CD-ROM containing BS ISO 15489-1 for guidance and PD ISO/TR 15498-2 :2001
for implementation plus a management guide book, and books on practical
implementation, performance management and compliance. £299
BS PD 0010: 1997 - The principles of good practice for
information management. Offers a practical framework to guide
organisations through the operation and development of new methods and
technologies for managing information. £35
BS PD ISO/TR 12036: 2000 - Micrographics. Expungement,
deletion, correction or amendment of records on microforms. £92
Available from The
National Archives
Managing digital records without an electronic
management system. Concerns management of electronic records stored in a
file system using existing infrastructure and resources. Assists with
establishing a policy, creation and use of management rules, the development
of a classification structure, the introduction of e-mail management rules
and version control and establishing user compliance. Available without
charge as a 42 page download.
Identifying and specifying requirements for offsite
storage of physical records. Covers the main issues an organisation must
address when defining its required level of service from an external
contractor. Includes 12 important areas to consider. It relates to typical
business documentation and similar records and is specifically not intended
to cover an archive facility for permanent preservation of physical records.
Available without charge as a 57 page download.
Available from the National Preservation Office of the British Library
Caring for CDs and DVDs. Produced for use by
libraries and museums but of substantial interest to anyone concerned with
the long-term storage of information on tis media. Available as a free
downloadable file at www.bl.uk
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