TECHNICAL STANDARD NTP 392.

030-2
PERUVIAN 2005
Commission of Technical and Commercial Regulations - INDECOPI
Calle de La Prosa 138, San Borja (Lima 41) Apartado 145 Lima, Peru

MICROFORMS. Requirements for organizations that

They operate microform production systems. Part 2:
Electronic filing media
MICROFORMS. Requirements for organizations working microforms production systems. Part 2:
Electronics storage media

2005-09-08
2aEdition

R.0074–2005/INDECOPI-CRT. Published on 2005-09-22 Price based on 39 pages

I.C.S.: 37.080 THIS STANDARD IS RECOMMENDED
Descriptors: Micrography, requirements, electronic file
 INDEX

page

INDEX i

PREFACE ii

INTRODUCTION iv

1. OBJECT 1

2. SCOPE OF APPLICATION 1

3. NORMATIVE REFERENCES 3

4. DEFINITIONS 6

5. GENERAL REQUIREMENTS 11

6. REQUISITOS TÉCNICOS 15

7. SYSTEM FORMATS 31

8. REGISTERS AND FILES 31

9. EVALUATION OF THE SYSTEM 32

10. BACKGROUND 32

ANNEXES

ANNEX A 34
ANNEX B 36
ANNEX C 38

i
 PREFACE

A. HISTORICAL REVIEW

A.1 This Peruvian Technical Standard was prepared by the Technical Committee
Specialized Normalization of Digital Microforms, through the System 2 or
ordinary, during the months of July 2004 to April 2005, using as
backgrounds mentioned in the corresponding chapter.

A.2 The Specialized Technical Standardization Committee for Microforms

Digital, presented to the Technical and Commercial Regulations Commission - CRT, with
date 2005-04-22, the PNTP 392.030-2:2005, for its review and approval, being
submitted to the Public Discussion stage on 2005-07-08. No submissions having been made
observations were formalized as Technical Standard Peru NTP 392.030-2:2005
MICROFORMS. Requirements for organizations that operate systems of
production of microforms. Part 2: Electronic archiving media, 2nd Edition, the
22 de setiembre del 2005.

A.3 This Peruvian Technical Standard replaces NTP 392.030-2:1997. The

The current Technical Standard of Peru has been structured according to the Peruvian Guidelines.
GP 001:1995 and GP 002:1995.

B. ENTITIES INVOLVED IN THE PREPARATION OF THE

PRESENT TECHNICAL STANDARD PERUVIAN

Secretariat INDECOPI

Secretary Miguel Véliz Granados

ENTITY REPRESENTATIVE

A Y D Associates SAC Orlando Santisteban Valencia

AFFECTION César Salazar Vera

Rubén Rolando Torres Quispe

ii
General Archive of the Nation Marlitt Rodríguez Francia
Nora Gamero Sánchez
Yanina Quiroz Bravo

Central Reserve Bank of Peru José Luis Demichelli Vidal.

Javier Quinteros Zarzoza

Credit Bank of Peru Oscar Córdova Lecca

Lima Chamber of Commerce Carlos Durand Chaud

Yusith Vega Odes

Lima Bar Association Julio César Núñez Ponce

José Ochoa Reyes

COLLEGE OF NOTARIES OF LIMA Cyra Ana Landázuri Golffer

CONASEV Héctor Saravia Martínez

Olga Suárez Avelino

CONSUCODE Hamilton Rodríguez Francia

Marlene Ibarra Castro

CosapiSoft Luis Cuenca Canal

Belén Alvarado Chau

DATACONT SAC César Fierro Vela

ENTER S.A.C. José Luis Pereyra Quirós

Carlos Pedroza Barrios

GMD Aldo Galli Álvarez

INNSOLUTIONS S.A.C. Walter Pereda Zavaleta

iii
Keeper TECH SA. Ernesto Antonio Aranda Vergara

Microx Office Moisés Mejía Portilla

Ministry of Foreign Affairs Yolanda Bisso Drago

Patricia Herrera Castañeda

PERU SECURE E-NET Pablo Omonte Durand

Polysystems S.A.C. Alfredo Zelasco Portocarrero

Honorio José Espinoza Donayre

Presidency of the Council of Ministers Max Lázaro Taico

Ransa Comercial S.A: Rosario Yataco Yataco

SGS del Perú S.A.C. César Lezma Gallardo

Ulises Ubillús Galarreta

Scientific Technical Solutions S.A.
SUNAT Yuri Castañeda Pedroza
Lupe Mariella Merino De la Torre

Superintendency of Banking and Insurance Cecilia Ravines Tobies

Maria del Pilar Bautista Montenegro

T-Copia SAC Carlos Ormeño Martínez

Telefónica Digital Services. S.A.C. Hernán Llerena De Rossi

Alejandro Orihuela

iv
 INTRODUCTION

The purposes of this Peruvian Technical Standard are as follows:

a) Establish the requirements that organizations must meet

they operate microform production systems.

b) Provide organizations that operate production systems of

microforms, a guide to developing your own policies and procedures
operation specifics, to meet their fundamental requirements.

c) Establish the storage requirements for microforms

generated in accordance with the specifications set forth in this NTP and in
others that the competent entity establishes.

The technical standards establish a certain level of quality for microforms and for
its compliance guarantees the achievement of a uniform final quality. The standards
techniques evolve at a slower pace than technological transformations, so
Those responsible for implementing these standards must use the appropriate editions.
according to the manufacturing technology of the type of microform they use in their
processes.

---oooOooo---

v
TECHNICAL STANDARD NTP 392.030-2
PERUVIAN 1 of 39

MICROFORMS. Requirements for organizations that

operating microform production systems. Part 2:
Electronic filing media

1. OBJECT

The present Peruvian Technical Standard establishes the requirements that must be met by the
organizations that operate microform production systems in archival media
electronic, and manage their storage under conditions of security and preservation.

2. NORMATIVE REFERENCES

The following regulations contain provisions that, when referenced in this text, constitute
requirements of this Peruvian Technical Standard. The indicated editions were in effect in the
the time of this publication. Like all regulations, it is subject to review. It is recommended to
those who make agreements based on them, to analyze the convenience of using the
recent editions of the standards cited below. The Peruvian Organization of
Normalization has, at all times, the information of the Peruvian Technical Standards in
validity.

2.1 Peruvian Technical Standards

2.1.1 NTP-ISO 3334:1997 MICROGRAPHY. ISO Resolution View No

2. Description and use

2.1.2 NTP-ISO 6196-5:1997 MICROGRAPHY. Vocabulary. Part 5:

Image quality, readability, inspection

2.1.3 NTP-ISO/IEC 17799-2004 EDI. Information Technology. Code of

Good Practices for Management
information security
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2.2 International Technical Standards

2.2.1 ISO 10196-2003 Document imaging applications -

Recommendations for the creation of original
documents

2.2.2 ISO 18927:2002 Imaging materials -- Recordable compact disc

systems -- Method for estimating the life
expectancy based on the effects of temperature
and relative humidity

2.2.3 ISO 7498 –2:1989 Information processing systems – Open

Systems Interconnection – Basic Reference
Model – Part 2: Security Architecture

2.2.4 ISO/IEC 9798-1 Information technology - Security techniques -

Entity authentication - Part 1 - General

2.2.5 ISO/IEC 10181-4 Information technology – Open Systems

Interconnection – Security frameworks for
open systems: Non-repudiation framework

2.2.6 ISO/IEC 12119:1994 Information technology. Software packages-

Quality requirements and testing

2.2.7 ISO/IEC 13888-1 Information technology – Security techniques

– Non Repudiation – Part 1: General

2.2.8 ISO/IEC 13888-2 Information technology – Security techniques

- Non Repudiation - Part 2 Mechanisms using
symmetric techniques
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2.2.9 ISO/IEC 13888-3 Information technology – Security techniques

– Non Repudiation – Part 3: Mechanisms
using asymmetric techniques

2.2.10 ISO/IEC 15947 Information technology – Security – IT

intrusion detection framework

2.2.11 ISO/IEC TR 13335-5 Information Technology. Guidelines for the

management of information technology. Part
5: Management guidance on networking
security

2.2.12 ISO/IEC TR 14516 Information technology – Security techniques

Guidelines for the use and management of
trusted Third Party

2.3 Technical Association Standards

2.3.1 ANSI/AIIM MS44-1988 Recommended Practice for Quality Control of

Image Scanners

2.3.2 ANSI/AIIM MS52:1991 Recommended Practice for the Requirements

and Characteristics of Documents Intended for
Optical Scanning

3. FIELD OF APPLICATION

3.1 This Peruvian Technical Standard applies in the evaluation of the

technical suitability of:

3.1.1 The production and storage systems of microforms of the

authoring or owning organizations of the original documents and of the companies
TECHNICAL STANDARD NTP 392.030-2
Peruvian 4 out of 39

contracted specialists to provide specialized production services,

storage or digital intermediation.

3.1.2 The elements of production and storage systems of microforms

in electronic media intended to preserve and maintain with integrity,
accuracy and fidelity of original documents, in digital format.

3.1.3 The production systems of microformats from documents

originals in physical formats or generated electronically, identified and chosen by the
owner organization.

3.1.4 The organizational structure, personnel, resources, processes, procedures and

environments associated with the production and storage system of microforms that
manage an organization.

3.1.5 The quality that electronic archiving media must meet

of physical support and storage of documents in digital format, so that
they have qualities of firmness and durability with equal or superior properties to those
original documents.

NOTE: Electronic storage media, such as CD-R optical disks, are included.
ROM, DVD, WORM and other physical media with equal or superior properties, currently
known or under development.

3.1.6 Information security systems, controls, plans of

physical and logical contingencies applied to personnel, resources, processes, procedures,
environments, the software, hardware, workstations, sources of emission, reception,
the internal and external transmission networks associated with the media production system
from electronic file based on original documents in physical formats or generated
electronically defined under the responsibility of the author, owner or
their expressly designated representatives.

NOTE: Microforms whose support media are considered original documents

they are microfilms, microfiches, or electronic filing media.
TECHNICAL STANDARD NTP 392.030-2
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3.2 This NTP includes the technical requirements that must be met.
when the processes of microform production are included in the system
electronic transfer of documents, information or data over private or public networks.

3.3 The present NTP includes the conditions for safety and conservation.
what organizations must comply with for the storage of microforms
generated by the microform production systems.

3.4 This NTP does not apply to microform production systems that
they use electronic filing media that allow total modifications or
partial data or documents contained, through any software application.

4. DEFINITIONS

For the purposes of this Peruvian Technical Standard, the following definitions apply:

4.1 File: For the purposes of this NTP, set of documents

preserved by any technique, in any currently known medium or
recently developed.

4.1.1 An file prepared in the first instance or

coming from other files.

4.1.2 duplicate file: A file that exactly reproduces the original.

4.2 configuration: The way in which the hardware and software of a system
Information processing systems are organized and interconnected.

4.3 A decipherable representation of information in a way

formalized suitable for communication, interpretation or processing.
TECHNICAL STANDARD NTP 392.030-2
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4.4 document: Any medium that contains recorded information and that
it can be treated as a unit.

NOTE 1: According to the functional requirements of the organizations, the documents are
they can classify, organize, arrange, and identify individually or together and in both ways
cases to be treated as a unit, whether as physical documents or electronic documents.

NOTE 2: Examples of sets treated as a unit are libraries, collections, series.

documentaries, files, records, forms, etc., whether as physical documents or documents
electronics or a combination of both.

4.4.1 original document: For the purposes of this NTP, document of

an organization that authorizes its migration to microforms and from whose origin and content is
responsible.

4.4.2 electronic document: Structured units of recorded information,

published or not, likely to be generated, classified, managed, transmitted,
processed or preserved by a person or an organization according to their requirements
functional, using computer systems.

NOTE: The term electronic document does not solely refer to text documents that are
they usually create with word processors, but it also includes email messages,
spreadsheets, charts and images, HTML or XML documents, and documents
composed of, multimedia or other types, that include their links and automatic accesses.

4.5 reduction scale: Relationship between the dimensions of a microimage and

the corresponding dimensions of the original.

4.6 workstation: Physical environment in which one or more

processes of a microforms production line, assigned to a single user and equipped
of resources, procedures, hardware, and software required to perform functions
assigned.

4.7 digital signature

a) Set of data attached to an electronic file that allows a

recipient to authenticate its origin.
TECHNICAL STANDARD NTP 392.030-2
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b) Data attached to, or a cryptographic transformation of, a unit of

data that allows the receiver of the data unit to verify the origin and integrity of
the data unit and protect against counterfeiting for example by the receiver.

4.8 image: Representation by appropriate means of an appropriate receiver

(screen, photosensitive surface...) of an object or of data corresponding to it
object.

4.9 electronic image: Representation of a document in the form of data

about a digital storage device, elements of a frame on the screen of a
visual display device or in the form of printed copy.

4.10 Indexing: For the purposes of this NTP, data identification,

information or individual documents or together, treated as a unit, following
a defined methodology of logical and uniform organization that allows for easy location,
fast availability and its recovery, during the transformation processes to which
is subjected and from the chosen support media for its conservation and
storage, maintaining at all times the original integrity of said unit.

NOTE: The identification methodology can use consecutive numbers, letters, or dates.
names, alphanumeric identification or combinations that follow internal rules established by the
organization or external ones adopted by mutual agreement with the recipients or in compliance with
provisions issued by competent authorities.

4.11 information: Data, whether in the form of numbers, graphs, or words,

that have been organized, systematized, and presented in such a way that the patterns
underlying matters remain clear.

4.12 Inspection: It is the process of measuring, examining, testing or

compare in some way, the unit under consideration with respect to the requirements
established.

4.13 legibility: The ability of an image to be interpreted; or read quickly and

unequivocally, identifying and distinguishing elements, individuals, series or sets
(letters, numbers, strokes, lines, objects, etc.).
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4.14 production line: Set of processes, procedures, and resources of

integrated software and hardware as a production unit for manufacturing
microforms.

4.15 lot: It is a specified amount of documents, information, data or

images of similar features or that have been produced, collected, arranged or
transmitted under essentially uniform processes or conditions, which are subjected to
processing and inspection as a unified set.

4.16 electronic medium: Medium capable of containing files in

digital format.

4.17 microform1A generic term for any medium that contains

images.

4.18 Original microform: Microform used to produce the successive

generations of microforms.

4.19 module: Set of function rights and object rights assigned

to a certain user or groups of users to develop a specific process in
a production line of microforms.

4.20 sample: It is a group of units taken from a batch that serves to

obtain the necessary information to appreciate one or more characteristics of that batch,
to serve as a basis for a decision regarding that batch or the process that produced it.

4.21 organization: Unless specifically stated, it is one that

independently or as part of other activities, is responsible for operating a system
from production, use the digital intermediation service and store microforms,
directly, in the capacity of author or owner of the original documents, or
through contracts with specialized companies for production, storage, or
digital intermediation.

1
In the country, Law No. 26612 establishes legal definitions of microform.
TECHNICAL STANDARD NTP 392.030-2
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4.22 power of resolution: Numerical expression of the limit of resolution of a

optical or photographic system, determined with the help of a ray expressed as the
Number of distinguishable pairs of lines per millimeter in an image of a test sample.

NOTE: Due to the inherent imperfections of any optical system, the resolving power does not
is constant throughout the image area.

4.23 registration: Procedure by which an organism indicates the

relevant characteristics of a product, process or service or the characteristics
particulars of an organism, or of a person, in an appropriate available list
publicly.

4.24 compression ratio: Relationship between the number of bits of an image

electronics after and before compression.

4.25 resolution

a) Suitability of a photographic system (equipment, optics, sensitive emulsion and

processing) to record fine details; and

b) The ability of an optical system to visually represent fine details.

4.26 computer system: Set of related elements, made up of

one or more of the processes, hardware, software, facilities, and personnel that provide
the ability to meet a defined need or objective.

4.27 user: Individual or organization that uses the operating system to

to carry out a specific function.

NOTE: The user can take on other roles, such as that of a developer acquirer or
maintenance manager.
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5. GENERAL REQUIREMENTS

5.1 Manual of the microform production system

5.1.1 Organizations must document the technical specifications of their

system for the preparation and storage of microforms.

5.1.2 The technical specifications must be described in a manual.

5.1.3 The Manual must:

a) Identify those responsible for its preparation and approval;

b) Indicate the approval date and the edition number;

c) To be printed on A4 size paper or to be recorded in that format on a

suitable non-rewritable technical medium;

d) Describe the administrative structure and the responsible parties of the system of
elaboration and storage of microforms of the organization;

e) Indicate the location of the production line(s) for the microforms and
place(s) for the storage of microforms;

f) Identify the transmitting and receiving stations that are part of the system
of microform production;

g) Indicate if the organization owns the original documents.

intended for conversion into microforms, or if applicable, indicate the condition of
specialized company provider of microformat development services,
digital storage or intermediation;

h) The functions of those responsible for the administration or production of

system for the production of microforms, or if applicable refer to the
internal regulatory document that describes these functions;

i) The technology to be used, the main and support equipment, the medium of
electronic file to be used to contain information and digitized data;
TECHNICAL STANDARD NTP 392.030-2
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j) The processes of the system from generation to disposal of the

originals including the production, storage, and use processes of the
microforms;

k) Indicate the participation of the representatives of the public faith. See 6.16.

5.2 The organization must be legally established.

5.3 Organization and functions

5.3.1 The organization owning the documents intended to be converted

in microforms it should:

a) Having a comprehensive document management system that regulates

the functions of generating, archiving, and deleting documents, in addition to the
planning processes, preparation, production, quality control and
storage of microforms;

b) Have a person in charge of the comprehensive system of production and storage

of microforms;

c) Specify and document the responsibility of the personnel in charge of the

established processes;

d) Contemplate what is established in current archival legislation;

e) Store the microforms, whether in own facilities or in companies.

specialized services, under the established security and conservation conditions in
the legal regulations and applicable technical standards, certified by a
certifying organism registered by the competent entity;

f) Ensure the availability and renewal of stored microforms

during the specified preservation time, through periodic inspection or
technological update.

5.3.2 The organization must resolve the legal and technical aspects applicable to its
microform production system calling on personnel when necessary
TECHNICAL STANDARD NTP 392.030-2
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qualified (information system professionals, system auditors, representatives of

public faith, archive specialists, among others).

NOTE: This includes the work teams occasionally summoned to provide guidance on
management of information and files, as well as the document evaluation committees that act as
agreement to the law.

5.3.3 Specialized companies that provide production and/or services

storage must:

a) Having a system for the preparation of microforms that includes personnel,

procedures and responsibilities of the processes for designing IT solutions,
production control, and system evaluation;

b) Have an executive responsible for the preparation service and/or

storage of microforms;

c) Specify and document the responsibilities and functions of the staff

in charge of the processes that include the service of production and/or
storage of microforms that provides;

d) Contemplate what is established in the current archiving legislation.

5.4 Confidentiality and quality of staff work

5.4.1 The organization must have provisions to ensure that its staff is
free from any commercial, financial or other pressure that may adversely affect the
quality of your work.

NOTE: The provisions contained in internal regulations, codes of ethics, are included.
contractual terms or other confidentiality agreements.

5.5 Microform production system

5.5.1 The senior management of the organization, or whoever it designates, must define and
approve the microform production system.
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5.5.2 The date from which the system begins must be recorded.
elaboration of microforms.

5.6 Hiring production services

5.6.1 In case the organization hires the services of a specialized company

for the preparation of the microforms, it must be ensured that the company has its
corresponding valid technical suitability certificate.

5.6.2 The contractual terms must include the necessary clauses to

that the contracted company carries out the production of microforms in compliance with, as
minimum, the specifications established by the organization.

5.7 Hiring of microform storage services

5.7.1 In case the organization hires the storage of microforms in

companies providing microfilming services, it must ensure that it has the
corresponding certificate of suitability for compliance with safety conditions
and conservation of microforms.

5.7.2 The organization must maintain the record and control of the location and
identification of the original microform(s).

5.8 Hiring of digital intermediary services

5.8.1 When the processes of microform production require the

transmission of a message of data or documents electronically with a digital signature,
to record, store, and preserve such data or messages, this must be carried out by a
third neutral.

5.8.2 The neutral third party must possess a certificate of technical suitability from
compliance with the requirements of this NTP, adopt the applicable specifications
security standards established in NTP-ISO/IEC 17799 and adapt their services accordingly
applicable guidelines of the ISO/IEC TR 14516 standard.
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5.8.3 The neutral third party must provide the required techniques or mechanisms.
for the intervention of the representatives of the public faith when required:

a) Certify using your digital or electronic signature based on cryptography

asymmetric, the authenticity and identity of the sender, holder of the digital signature that
attached to the message of data or documents transmitted, the confidentiality and the
integrity of that message. The authentication mechanism must be adapted to the
applicable specifications of the ISO /IEC 9798-1 standard;

b) Certify the date and time of receipt, for which effect the neutral third party
must have a date and time provider (certain date and time) referred to the
Coordinated Universal Time (UTC) which must be available within a
open network, accessible from any technological platform;

c) Certify the non-repudiation of origin and reception. The non-repudiation mechanism

repudiation must comply with the applicable specifications of the ISO/IEC standard
13888-3.

6. TECHNICAL REQUIREMENTS

6.1 Process of generating original documents

6.1.1 The organization must ensure and document the amount and type of
original documents that will be converted to microforms, indicating if they come from
any or all of the following means:

a) Printed on paper;

b) Microforms with probative value and legal effect;

c) Digitized documents contained in non-rerecordable media;

d) Documents generated electronically or obtained from the private network or the

public network, content in PC or server memory of the management system
documentary approved by the organization;

e) Movies, X-ray films, videos or phonograph records;

TECHNICAL STANDARD NTP 392.030-2
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f) Information transmitted with electronic or digital signature, with service of

digital or non-digital intermediation.

6.1.2 For printed documents and plans, the dimensions must be indicated.
originals.

6.1.3 For electronic documents, indicate the size in bytes and the
file extension, as well as determine the dimensions and the format in which they must be
Printed the images.

6.1.4 For the quick location and identification of documents, the organization
He must document the data and information that identify the original documents.

NOTE: The form of identification must comply with the organization's own regulations.
librarians, standards established by the competent authority in archives or technical standards
internationals.

6.1.5 In the generation of documents intended to be converted to microforms

the organization must:

a) Standardize their structure;

b) Determine the minimum character size of the letters, fine strokes, color
or shades that must be reproduced in printed copies;

c) Prepare the documents in accordance with ISO 10196;

d) Standardize the software and hardware involved in generation.

6.1.6 It includes among the originals any document, information, or data.

contents in microformats produced in systems that have their corresponding
certificate of suitability. For this case, the organization must have a procedure for
convert files from one medium or technology to another, ensuring that there are no changes
in the quality and accuracy during and as a result of the conversion processes.
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6.1.7 For the case of microforms that include as original documents,

electronic documents obtained directly from public or local networks with a signature
digital, the organization must establish a methodology for identification, (indexing) and
unique records that ensure:

a) Integrity. based on the principle that the digital signature ensures the
receiver identify when a document has been modified without authorization, and

b) Consecutive numbering, based on the use of Universal Time

Coordinated (UTC), (certain date and time), as a numbering indicator
corresponding in the reception for the purpose of complying with established provisions
by the organization itself or by competent entities.

6.2 Quality and readability of the original documents

6.2.1 To ensure the readability of printed documents, the organization must

indicate the smallest characters and the thinnest strokes of the original documents,
that must be reproduced in the printed copies from the images contained in
the microformats.

6.2.2 To ensure the quality and readability of signatures, stamps, logos, colors, the
organization must specify the most important elements and indicate them
reference patterns.

6.2.3 In case the original documents are moving images, that

includes sounds, the organization must provide the specifications or requirements
applicable to the reference patterns and have the means to verify the quality of
the same.

6.3 Microform production lines

6.3.1 The organizations owning the original documents or the companies

of specialized services, they must document the specifications of each line of
Preparation of microforms, at a minimum the following information must be established:
TECHNICAL STANDARD NTP 392.030-2
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a) The classes of original documents to be processed;

b) The location or origin of the original documents, the conditions

of security in the case of the transfer of documents;

c) The location of the production line(s);

d) The technology for image processing, software and hardware;

e) The architecture of the internal or external networks associated with the line of
production

f) El o los formatos de imagen en que se debe grabar cada documento original;

g) In the processes of image capture, quality control, and recording

the configuration of:

- the resolution

- shades of gray, color.

h) The chosen support media;

i) If applicable, the applications of electronic signatures, signatures

digital and encryption techniques;

j) If applicable, the entities involved in the service of

digital mediation;

k) The location or final destination of the microform produced.

6.3.2 The security measures and contingency plans, structured according to

to the NTP-ISO/IEC 17799 standard, which ensure levels of protection to maintain the
confidentiality, integrity, and availability of information while minimizing risks of
security incidents. (The inclusion of keys, or access codes, use of stations of
authorized work, physical security of the processing elements or equipment of
system

6.3.3 When in the production line of microforms the use of the

electronic or digital signatures must document the way in which the organization
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apply and comply with the legal and regulatory provisions and have the certificates
current digital

6.3.4 For the case of digital intermediary services, it is necessary to identify

the entities or individuals involved, according to legal provisions and
current regulations, outlining the scope of their responsibilities related to the(s)
class(es) of document(s) that corresponds to process.

6.3.5 Top management or whoever they designate must approve the specifications of
each production line.

6.4 Document preparation process

6.4.1 In each production line, depending on the type of original document,

the organization must document the procedure for preparing the documents
originals, establishing the necessary specifications to ensure the integrity of the
documents regarding property, origin, quantity, and formats.

6.4.2 When possible, documents should be grouped in batches for

facilitate the quality control of them.

6.4.3 When applicable, to restore the integrity of the originals the high
The manager or the person delegated must document and authorize the implementation of measures.
corrective measures, photocopying to improve readability and standardize usage
of posters or notices that indicate this condition as well as other corrective measures
agreed upon in the case of missing sheets or images, fragmentations, notes or messages
overlaid on the original or other previously identified defects.

6.4.4 In the case that the original documents are photocopies, it must be indicated.
this condition among the technical images at the beginning of digitization.

6.4.5 The necessary specifications for control must be documented.

ensure that the integrity corresponding to the originals is preserved during the
subsequent processes, including the recording process in the chosen storage medium.
TECHNICAL STANDARD NTP 392.030-2
Peruvian 19 of 39

6.4.6 The documents, information, or electronic data must be prepared.

following the internal rules of the organization, specifying the authors, the stations
work or authorized modules, the computer system, date and time of preparation and
size in bytes.

6.4.7 In the transmission of data or messages that requires mediation

digital, the comprehensive manager of the system or the authorized executive in charge of the
organization must ensure the application of policies, procedures, or mechanisms of
security established by the organization to protect the information or data in the
workstation or the module from which the messages are transmitted and ensure the
confidentiality, integrity, and availability of the information transmitted to the entities
authorized receptors, including the validity of the corresponding certificates.

6.4.8 The organization must establish the procedure for handling files
electronics that contain links or email addresses taking into account their
importance regarding the integrity of the document, in case it is required, it must ensure
the supply and continuity of the required links.

6.4.9 The organization must establish and maintain an updated record of the
documents, information or data related to the preparation process.

6.5 Proceso de captación de imágenes

6.5.1 For original paper documents, the imaging capture team

it must be configured in speed and resolution considering the type and weight of the paper, the
physical condition, the readability of the finer details to reproduce, using for that
folio or the folios that contain the most critical elements and the resolution pattern that
contain the resolution target set by NTP-ISO 3334.

6.5.2 The operator of the imaging capture equipment must ensure the
compliance with the preventive maintenance program of the equipment according to the
specifications established by the manufacturer as well as the replacement of the pattern of
resolution at the end of its useful life.
TECHNICAL STANDARD NTP 392.030-2
Peruvian 20 out of 39

6.5.3 For cases of original documents generated in electronic format

obtained directly from the private or public network, at the stations of
emission/reception, the organization, using the digitized image of the pattern of
the resolution must define, specify, and configure, at a minimum, the following parameters:

a) Image properties, original size and if applicable, ratio of

reduction;

b) Color modes (RGB, CMYK, grayscale, black/white, bitmap,

as appropriate);

c) Brightness and contrast.

6.5.4 The organization must ensure a uniform sequence for the

organization of documents, information or data intended to be converted into
microforms with legal value. considering:

a) The identification of documents, information or data, if necessary;

b) The identification of the authors or owners, if necessary;

c) Patterns of image quality resolution;

d) Opening Act, according to approved formats;

e) Images corresponding to lots of documents, information or data;

f) Closing act;

g) Resolution pattern;

h) Other relevant additional data approved by senior management.

organization or by whom it delegates, that support the recording of the
microforms.
TECHNICAL STANDARD NTP 392.030-2
Peruvian 21 of 39

6.6 Indexing process

6.6.1 The organization must document the specifications of the methodology of

indexing of the documents contained in microforms.

6.6.2 Manual or automated indexing must facilitate complete retrieval.

from a document.

6.6.3 The indexing methodology must consider defined specifications.

by the organization, when according to its functional needs, it is required to register
consecutive numbering or sequence of receipt of the original documents received
both in physical and electronic formats ensuring integrity in the recovery of
["libraries","collections","documentary series","files","folders","forms","documents"]
information, individual or collective data, treated as units.

6.7 Digitalization process

6.7.1 The organization must document the processing of images.

digitized, maintaining at all times the integrity and fidelity regarding the
original documents.

6.7.2 If required, the organization must specify the system of

compression of information or data or original formats, using appropriate techniques
that guarantee easy recovery, compatibility with current and future systems
developments.

6.7.3 For the preparation of the microforms, it must be ensured that the software is
ownership of the organization, licenses for use are available and registration to protect
copyright.

6.7.4 In case the organization develops the software or applications used

In some process of the elaboration of microforms, this must be evaluated according to the
guidelines of the ISO/IEC 12119 standard.
TECHNICAL STANDARD NTP 392.030-2
PERUVIAN 22 of 39

6.7.5 In case of a change or update of the software versions applied in

the development of microforms of a production line, the organization must retain
the corresponding versions for a period established by the provisions contained
in the applicable laws or regulations, the contractual terms or by the own
organization, as part of the contingencies in anticipation of reprocessing.

6.7.6 For the case of the software used in the digital signature application, the
the organization must adopt the security measures specified in the NTP ISO/IEC
17799, paragraph 8.3 in order to prevent malicious software, allow authentication by applying
the model specified in the ISO/IEC 9798-1 standard, record the date and time referred to
Coordinated Universal Time (UTC) and to ensure non-repudiation by applying the
mechanism specified in the ISO/IEC 13888-3 standard.

6.8 Security system

6.8.1 The organization must establish and maintain adequate levels of

security, regarding personnel, access stations, exits of the computer system, the
software and files and applications associated with the microform production system
through policies, procedures, and techniques that ensure confidentiality, integrity,
availability and quality of microforms, following the established guidelines in the
NTP-ISO /IEC 17799.

6.8.2 The organization must have a computer audit program that

ensure compliance with the suitability evaluation of the system that includes:

a) The responsibility and identification of the personnel in charge of the

key processes of the microform production system;

b) Unauthorized access attempts or eventual internal or external accesses;

c) The unauthorized use of stations, programs, files, and applications of

system.

6.8.3 If applicable, evaluate the established security measures for the

custody of electronic file media, stored on servers maintained in
line, or accessible for internal or external consultation.
TECHNICAL STANDARD NTP 392.030-2
Peruvian 23 of 39

6.8.4 In case of detecting threats or vulnerabilities that affect security

integral of the system, that is to say, the confidentiality, integrity, and availability of the data or
documents during the processes of preparing microforms must be applied
corrective measures that restore the proper operation of the production system of
microformats, independent of the administrative measures specific to the organization.

6.8.5 The records of that computer audit system must be

available for examination or inspection and must be kept for a period established by the
organization responsible for the production of microforms.

6.9 Storage period of microforms

6.9.1 The organization must specify the retention period for the
microforms in periods equivalent to those corresponding to the original documents
in accordance with the provisions established by the organization and the legal or regulatory requirements.

6.10 Requirements for electronic file media

6.10.1 The electronic filing medium must:

a) Keep the files exclusively in a non-rewritable format, nor

removable;

b) Allow the verification of the quality and accuracy of the recording of the
documents, information or digitized data, as well as projected images
on screens, as when obtaining printed copies;

c) To have the ability to easily project the indices and files contained
in the electronic file to any acceptable medium according to the
requirements established by both the organization itself and the provisions
contained in the laws or regulations.

6.10.2 The organization responsible for the production and/or storage system
of electronic archiving media must:
TECHNICAL STANDARD NTP 392.030-2
Peruvian 24 out of 39

a) Make available, for evaluation or inspection purposes, the

necessary facilities for immediate and easy projection or reproduction
reading of the images contained in electronic archive media;

b) Provide printed copy when required for purposes of

evaluación o inspección.

6.10.3 Organizations must preserve and maintain them in safe conditions.

and storage, according to the manufacturer's instructions, legal regulations or
internal provisions, the carriers of the software, used in the processes of
preparation of microforms, as well as the required applications for verification
of digital signatures.

6.10.4 The preservation period of the software must be determined in accordance.

with the life cycle defined by the software manufacturer and the retention period of
the applicable microforms, established in the legal regulations or internal provisions of the
organization.

6.11 Recording process

6.11.1 The organization must specify the minimum resolution values and
legibility of its images, using the patterns that contain the resolution target
ISO No. 2 or equivalent patterns based on the ANSI/AIIM MS 43 standard.

6.11.2 The recording must proceed after verification and registration that the
the integrity of the documents remains unaltered throughout all processes from the
capture of images, or the generation or receipt of electronic documents; whether
through the review of computer audit reports (log files or audit trail) and/or
to be the case the verification of integrity using the properties of the digital signature
associated.

6.12 Labeling of microforms

6.12.1 The original and duplicated microforms must be labeled directly.

on the non-erasable surface or, in the case of WORM discs, on the packaging that
contains, including at least the following information:
TECHNICAL STANDARD NTP 392.030-2
Peruvian 25 out of 39

a) Name of the organization owning the original documents, or

information consistent with copyright;

b) Title or identification of the content;

c) Manufacturer serial number of the storage media;

d) Identification code of the support medium that contains the images

corresponding to the original documents;

e) Identification of the organization or service company responsible for the

preparation;

f) Current code for the identification of the public faith representative, assigned
by the competent authority, in accordance with what is established in the legal regulations
applicable;

g) Preparation date,

h) Identification of original or duplicate.

6.13 Original microforms

6.13.1 The organization must establish the number of original microforms to

elaborate and keep them under control and custody in premises that provide the conditions
Security and conservation in storage in own or company facilities
of specialized services that have their corresponding certificate in both cases
of suitability.

6.13.2 The organization must apply the quality control process of the
microformas elaboradas, que asegure conformidad respecto a:

a) The identification of the images corresponding to the documents

originals, in accordance with the established specifications,

b) The recovery in the specified media for viewing,

c) Integrity regarding the originals,

TECHNICAL STANDARD NTP 392.030-2
Peruvian 26 of 39

d) Legibility of the smallest characters or fine strokes, defined by

owner organization as necessary readability,

e) The absence of defects previously defined by the organization.

6.14 Duplicate microforms

6.14.1 The organization must specify the number of duplicated microforms and
keep under control your destination and use.

6.14.2 They must be labeled as duplicates; and ensure that they are used only for
consultation, for internal use restricted by the organization, the copies obtained from
they lack legal value.

6.15 Reproduction from microforms

6.15.1 The organization must ensure the readability of printed copies.

using printed copies of the resolution patterns as a means of control
defined for the microform production system.

6.15.2 For each line of microform production, the organization must

specify the resolution of the printer used for legibility control of the
printed copies, this resolution must be equal to or greater than the resolution of the scanner
used in the image capturing process.

6.15.3 In case of printed copies of messages transmitted electronically

These copies must include information or data corresponding to the identity and signature.
digital both of the sender and the recipient.

6.15.4 The organization must record the results of the readability control and in
cases of non-conformities to adopt appropriate corrective actions and the
reprocessing of the affected document.
TECHNICAL STANDARD NTP 392.030-2
Peruvian 27 out of 39

6.16 Intervention of the representatives of public faith

6.16.1 For each production line and storage location of microforms and
digital mediation in the preparation of microforms, the organization must specify
the intervention procedure of the representatives of the public faith, who must be
authorized to perform their functions in accordance with established legal regulations and
applicable regulations.

6.17 Digital Intermediation

6.17.1 In case the intervention of digital intermediary services is required.

the organization must establish the necessary procedures in accordance with the provisions
established in the applicable legal and regulatory norms and the guidelines of the
NTP-ISO/IEC 17799 and ISO/IEC-TR 14516 standards.

6.17.2 La organización debe mantener el registro y vigencia de los certificados de

the entities or participating persons, considering the case that the documents,
information or data is transferred between neutral third parties.

6.18 Storage

6.18.1 The organization must arrange the storage of the microforms in the
certified safety and conservation conditions in accordance with the established regulations
applicable legislation and regulations.

6.18.2 The organization must describe the characteristics of the system in a manual
of storage used including:

a) The organization and functions of those responsible for managing the system
of storage,

b) The technical specifications of the construction materials that must be

to comply with minimizing the risks of the possible threats indicated in the NTP
ISO/IEC 17799, paragraph 7.2.1.d),
TECHNICAL STANDARD NTP 392.030-2
Peruvian 28 out of 39

c) The system specifications, the control elements, and the measures of

security approved by the organization for controlling access to people, for
detect fire and flood risks,

d) The technical specifications of the environmental control equipment,

e) The calibration certificate of the temperature measuring instruments and

relative humidity

f) The records used to maintain the entry and exit of the

microforms and the environmental conditions of temperature and relative humidity.

6.19 Telematic transmission

6.19.1 When the microform production system includes among its

processes the electronic transmission over distance between stations or production lines both
in private or public networks, processes must be protected with security measures
that ensure:

a) The confidentiality, integrity, and availability of the files;

b) The non-modification of the original formats;

c) The transmission free from interceptions between the broadcasting station and the
receiving station.

6.19.2 The organization must document the internal transmission of documents.

information or data, including:

a) The configuration of the electronic storage subsystems below

control of authorized personnel, whose security must be established according to the
guidelines established in the ISO/IEC 13335-5 standard;

b) The transfer procedures between storage subsystems

electronic;

c) The retention time in each of the subsystems;

TECHNICAL STANDARD NTP 392.030-2
Peruvian 29 out of 39

d) The software applied for the control of file transfer;

e) In case the use of electronic or digital signatures is required

operator

f) In the case of electronic documents, the recording process of the

microforms, the application of the digital signature by a representative of the faith
public

g) The transfer operations, the date and time must be recorded in

The electronic records generated automatically by the system (log files).

6.19.3 The organization must document the transmissions over the private network of the
documents, information or data, that include:

a) The configuration between remote stations using fixed lines, and the
authorized personnel for this process whose security must be established in accordance with
the guidelines established in the ISO/IEC 13335-5 standard;

b) The transfer and reception procedures between the subsystems of

electronic storage

c) The retention time in the sending storage subsystem and the

receptor

d) The software applied for the control of the transfer and the reception of the
files;

e) In the case of electronic documents, the recording process of the

microforms, the application of the digital signature by a representative of the faith
public

f) The transfer operations, the date and time must be recorded in

the electronic records automatically generated by the system (log files).

6.19.4 The organization must document the transfer in public networks of the
documents, information or data, which include:
TECHNICAL STANDARD NTP 392.030-2
Peruvian 30 out of 39

a) The identification of the transmission systems between one system and another,
between systems of the same organization or between different organizations whose
security must be established according to the guidelines set out in the standard
ISO/IEC 13335-5;

b) The software applied for the control of the transfer and the reception of the
files intended for recording on microforms;

c) The use of the digital signature under the responsibility of the representative of the faith
public, when the files are obtained directly from the network and are intended for
the recording in microforms;

d) The procedures and techniques for the authentication service of signatures

digital

e) The procedures and techniques for non-repudiation service according to the

Specifications of the ISO 7498-2, ISO/IEC 10181-4 standards and Parts 1, 2, and 3
from ISO/IEC 13888;

f) The transfer operations, the date and time must be recorded in

the electronic records generated automatically by the system (log files).

6.20 Elimination of originals

6.20.1 The organization must establish a file withdrawal procedure.

physical and elimination of original documents, ensuring the intervention of the
representatives of the national authority on archives and other representatives who
the applicable legislation requires according to the value of the original document.

6.20.2 The procedure for deleting electronic files is included in the

memory of servers or hard drives that gave rise to the corresponding images of
the original documents, whether these originals are in paper or digitized.
TECHNICAL STANDARD NTP 392.030-2
Peruvian 31 of 39

7. SYSTEM FORMATS

7.1 The organization must establish the required formats to ensure the
compliance with the procedures of its own production system and
storage of microforms.

7.2 Formats must be printed or electronic documents with format

normalized.

8. REGISTERS AND FILES

8.1 The organization must define, identify, and keep updated the
necessary records to ensure that the system meets the suitability requirements
technique established in this NTP.

8.2 The responsible parties for its update and maintenance must be defined, whether they are
these printed formats or digitized documents.

8.3 The record of the relationship of microforms produced must be maintained.

8.4 The organization must keep a record of the representatives of the faith
public responsible for each production line and/or storage location of
microforms and those who are involved in digital mediation.

8.5 Conservation periods must be established for records and the

resulting files from the application of this NTP.
TECHNICAL STANDARD NTP 392.030-2
PERUVIAN 32 out of 39

9. SYSTEM EVALUATION

9.1 The owning organizations and specialized service companies

they must schedule the evaluation of the microform preparation system, at least
once a year.

9.2 The evaluation of the elements of information technology, software,

programas y aplicativos deben ser efectuados por profesionales o auditores informáticos.

9.3 La organización debe establecer el procedimiento de evaluación y el registro

of the evaluation result.

9.4 Unscheduled evaluations should be conducted when it is necessary to know.

the results of the system updates to the changes or adjustments in the
legal or technical documentation applicable to the adopted system.

9.5 When, as a result of the system evaluations, it is identified

corrective actions or updates are made in the organization, hardware, software and
procedimientos del sistema de elaboración y almacenamiento de las microformas, la
The organization must update the manual and the descriptive documents of the system.

10. BACKGROUND

10.1 NTP 392.030-2:1997 MICROFORMS. Requirements for the

organizations that operate systems of
production of microforms. Part 2: media of
electronic file

10.2 ISO/TR 15801 Electronic imaging – Information stored

electronically – Recommendations for
trustworthiness and reliability
TECHNICAL STANDARD NTP 392.030-2
Peruvian 33 of 39

10.3 ISO/TR 12654 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

10.4 ISO 12651:1999 Electronic imaging – Vocabulary

10.5 ISO/IEC 2382-32 Information technology – Vocabulary – Part

32. Electronic Mail

10.6 NTP ISO/IEC 12207:2004 Information Technology. Processes of

software life cycle

10.7 NTP-ISO 6196-1:1997 MICROGRAPHY. Vocabulary. Part 1:

General terms
TECHNICAL STANDARD NTP 392.030-2
Peruvian 34 out of 39

ANNEX A
(INFORMATIVE)

SAFETY AND CONSERVATION CONDITIONS

OF THE MICROFORMS

Organizations must ensure compliance with storage conditions

of the microforms in accordance with the established legal and regulatory standards
applicable and the technical standards established by the manufacturers of the microforms and the
applicable to the environmental conditions of the computer centers.

A.1 Provisions established in the D.S. 009-92-JUS. (Transcription)

Article 36.- The safety conditions required by the last paragraph of Article 15.
the laws are as follows:

a) The premises must be built of noble material and be in perfect condition.

conservation status; its floors must be made of concrete, cement, tiles, or other
incombustible material; its structure and superstructure must not have pieces or
materials prone to burning

b) The shelves and filing cabinets must be metallic or made of some other material.
combustible. In addition, they must be raised above the ground in case of
flooding the foundations are not reached by the water,

c) Optimal environmental conditions: Ventilation, relative humidity between 15%

y 50%; maximum temperature 20 degrees Celsius,

d) La puerta debe ser metálica o de reja metálica, con cerraduras de seguridad,

e) The keys and access to the file are kept under responsibility
shared by the company or notary that provides the specialized filing service and
TECHNICAL STANDARD NTP 392.030-2
PERUVIAN 35 out of 39

the company owner of the documentation. There will be double locks, both for that
such that the opening and access require the concurrence of both
entities.

A.2 Additional technical specifications

A.2.1 Isolated or protected environments from the risks of the presence of fields
magnetic, electromagnetic discharges, fire hazards, flood risks,
extreme temperatures, presence of chemical substances.

A.2.2 The conservation system and the storage period according to

type of microform and obtaining copies before the useful life expires
microfilm. A lifespan estimate is specified in the standard ISO 18927:2002.

A.2.3 The conditions for replacing an old system with a new one,
before the old system becomes obsolete or is decided by policy
organization.
TECHNICAL STANDARD NTP 392.030-2
PERUVIAN 36 de 39

ANNEX B
(INFORMATIONAL)

EXAMPLES OF SYSTEM FORMATS

B.1 Generalities: The registration formats described in B.2 to B.7 are

based on the good practices of organizations. They do not intend to be
mandatory, nor to provide a guarantee that the use of these records ensures
necessarily, the admissibility of the microform as evidence.

Registration formats may need to be adapted according to practices of

individual organizations, the applied information system or according to the requirements
established in laws or regulations.

B.2 Opening Act: A format by which migration is authorized to

electronic file medium for each batch of documents. It must be filled out and signed by
the person(s) authorized by the organization or those designated by the laws or
applicable regulations, responsible for the original documents, before they are
recorded. This format must be recorded immediately before the documents to the
which refers. It must contain the identification of the original documents with the
sufficient details to show that the recording of such documents has been authorized in
particular.

B.3 Closing Act: Format that is filled out at the end of the recording process.
in which the date on which the process is completed, the quantity and identification of
the archive media, content data, references to the period covered, index and
observations among others. It must be filled out and signed by the authorized person(s) by
the organization or those designated by the applicable laws or regulations.

B.4 Certificate of conformity: Format through which it is stated that the

compliance with the process of creating a microform is completed when the
Documents have been recorded. It must be filled out and signed by the person(s)
authorized by the organization or designated by the applicable laws or regulations,
declaring that he has reviewed and accepted the microform containing the images
digitized copies of the original documents.
TECHNICAL STANDARD NTP 392.030-2
Peruvian 37 out of 39

B.5 Deletion record: When the original documents after having

Recorded, they are deleted, a form identified by a number must be filled out and signed.
reference correlativo, indicating the date of document elimination and the
reference number of the microform. Must be filled out and signed by the persons
authorized by the organization, the national competent authority in the field of archives
and/or those designated by applicable laws or regulations.

B.6 Recovery Act: A format through which the repetition of is evidenced.

the recording when deficiencies that affect the quality requirements are identified,
fidelity or the integrity of the recordings. It must be filled out and signed by a person
duly authorized.

B.7 Final recovery act: Format that is filled out and signed by the person
authorized at the end of the recording repetition process.
TECHNICAL STANDARD NTP 392.030-2
Peruvian 38 out of 39

ANNEX C
(INFORMATIVE)

RESPONSIBILITIES OF ORGANIZATIONS

DIRECT, INDIRECT, AND NOT APPLICABLE APPLICATION REQUIREMENTS

Ownership organization Specialized service company

Responsible for Contractor
Numeral Intermediation
production and from companies Production Storage
digital
specialized storage
5.1.1 RD RD RD RD RD
5.1.2 RD RD RD RD RD
5.1.3.a) RD RD RD RD RD
5.1.3.b) RD RD RD RD RD
5.1.3.c) RD RD RD RD RD
5.1.3.d) RD RD RD RD RD
5.1.3.e) RD RD RD RD RD
5.1.3.f) RD RD RD RD NA
5.1.3.g) RD RD RD RD RD
5.1.3.h) RD RD RI RI NA
5.1.3.i) RD RI RD RD NA
5.1.3.j) RD RD RI RI RI
5.1.3.k) RD RD RD RD RD
5.2 RD RD RD RD RD
5.3 RD RD NA NA NA
5.3.1.c) RD RD RD RD RD
5.3.2 RD RD NA NA NA
5.3.3 NA NA RD NA RD
5.4 RD RD RD RD RD
5.5 RD RD RI RI RI
5.6 NA RD RI NA NA
5.7 NA RD NA NA RI
5.8 RD RD RD RD RD
6.1 RD RD RI RI NA
6.2 RD RD RI RI NA
6.3 RD NA RD RD NA
6.4.1 RD RI RD RD NA
6.4.2 RD RI RD RD NA
6.4.3 RD RI RD NA NA
6.4.4 RD RI RD NA NA
6.4.5 RD RI RD RD NA
6.4.6 RD RI RD RD NA
6.4.7 RD RI RD RD NA
6.4.8 RD RI RD RD NA
6.4.9 RD RI RD RD NA
TECHNICAL STANDARD NTP 392.030-2
Peruvian 39 out of 39

Owner organization Specialized service company

Responsible for Contractor
Numeral Intermediation
production and of companies Production Storage
digital
specialized storage
6.5 RD RI RD RD NA
6.6 RD RD RD RD NA
6.7 RD RI RD RD NA
6.8 RD RI RD RD NA
6.9 RD RD NA NA NA
6.10.1 RD RD RD RD NA
6.10.2 RD RD RD RD RD
6.10.3 RD RI RD RD NA
6.10.4 RD RI RD RD NA
6.11 RD RD RD RI NA
6.12 RD RD RD NA RI
6.13.1 RD RD RD RD RI
6.13.2 RD RD RD RD RI
6.14 RD RD RD RD RI
6.15 RD RD RD RD RI
6.16 RD RD RD RD RD
6.17 RD RI RD RD NA
6.18 RD RI NA RI RD
6.19 RD RI RD RD NA
6.20.1 RD RD RI RI NA
6.20.2 RD RI RD RD NA
7 RD RD RD RD RD
8 RD RD RD RD RD
9 RD RD RD RD RD
Annex A RD RI NA NA RD

LEGEND:

RD: Direct Responsibility, the specialized organization or company must document and
present evidence of the way in which it meets the specific requirement.

RI: Indirect Responsibility, the specialized organization or company must be aware,

supervise, advise or order one of the parties to apply the specific requirement, when
there is a contractual relationship. It is not required to present evidence of the application of the
requirement.

NA: Not Applicable, the organization or specialized company has no responsibility for
the application of the specific requirement.