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1、BRITISH STANDARD BS ISO 9144:1991 Implementation of ISO 9144:1991 Securities Optical character recognition line Position and structure Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI BS ISO 9144:1991 This British Standard, having been prepar
2、ed under the direction of the Information Systems Technology Standards Policy Committee, was published under the authority of the Standards Board and comes into effect on 31 March 1992 BSI 01-2000 The following BSI references relate to the work on this standard: Committee reference IST/12 Draft for
3、comment 90/64534 DC ISBN 0 580 20694 7 Committees responsible for this British Standard The preparation of this British Standard was entrusted by the Information Systems Technology Standards Policy Committee (IST/-) to Technical Committee IST/12, upon which the following bodies were represented: Ame
4、rican Banks and Securities Association of London Association for Payment Clearing Services Building Societies Association British Telecommunications plc IBM (UK) Ltd. The London Stock Exchange The following bodies were also represented in the drafting of the standard, through subcommittees and panel
5、s: British Bankers Association The EDI Association Institutional Fund Managers Association The London Stock Exchange Stock Exchange Management Association Securities and Investments Board Amendments issued since publication Amd. No.DateComments Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25
6、13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI BS ISO 9144:1991 BSI 01-2000i Contents Page Committees responsibleInside front cover National forewordii Forewordiii Text of ISO 91441 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI BS ISO
7、 9144:1991 ii BSI 01-2000 National foreword This British Standard reproduces verbatim ISO 9144:1991 and implements it as the UK national standard. This British Standard is published under the direction of the Information Systems Technology Standards Policy Committee whose Technical Committee IST/12
8、has the responsibility to: aid enquirers to understand the text; present to the responsible international committee any enquiries on interpretation, or proposals for change, and keep UK interests informed; monitor related international and European developments and promulgate them in the UK. NOTEInt
9、ernational and European Standards, as well as overseas standards, are available from BSI Sales Department, BSI, Linford Wood, Milton Keynes, MK14 6LE. A British Standard does not purport to include all the necessary provisions of a contract. Users of British Standards are responsible for their corre
10、ct 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, the ISO title page, pages ii to iv, pages 1 to 11 and a back cover. This standard has been upda
11、ted (see copyright date) and may have had amendments incorporated. This will be indicated in the amendment table on the inside front cover. Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 2
12、5 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI ISO 9144:1991(E) ii BSI 01-2000 Contents Page Forewordiii Introduction1 1Scope1 2Normative references1 3Definitions1 4Paper characteristics2 5Specifications and size of the clear area2 6Printing specifications of the OCR line2 7Structure of the O
13、CR lines3 8Examples of OCR lines4 Annex A (normative) OCR lines already in existence6 Annex B (normative) Specifications and size of the clear areas8 Annex C (normative) OCR-B initial alphanumeric character sub-set10 Annex D (normative) Structure of the OCR lines11 Figure B.1 Specifications and size
14、 of the clear area(s) on the security sheet8 Figure B.2 Specifications and size of the clear area on the coupon9 Figure C.110 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI ISO 9144:1991(E) BSI 01-2000iii Foreword ISO (the International Org
15、anization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been establi
16、shed has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardizatio
17、n. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. International Standard ISO 9144 was prepared by Technical Committee IS
18、O/TC 68, Banking and related financial services, Sub-Committee SC 4, Securities. Annex A, Annex B, Annex C and Annex D form an integral part of this International Standard. Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI iv blank Licensed Co
19、py: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI ISO 9144:1991(E) BSI 01-20001 Introduction The optical reading of securities is an important step towards the further rationalization of securities processing since it results in lower handling costs, fas
20、ter and more reliable processing, and thus facilitates controls. However, optical reading does not release the recipient from carrying out customary authenticity checks. The definition of the location and structure of an Optical Character Recognition (OCR) line as contained in this International Sta
21、ndard must satisfy both visual and machine readable requirements. The specific needs of the securities administration, securities printing, and OCR reading techniques are taken into account. Benefits of OCR processing can only be achieved when a sufficiently high volume of OCR readable securities ha
22、s been issued. 1 Scope The purpose of this International Standard is a) to define the location and size of one or more areas on the securities (sheets, coupons, talons) for the printing of a line of characters readable by OCR equipment; b) to define the position of this line within the above-mention
23、ed areas; c) to define the structure and the contents of this line. This International Standard applies to all types of printed securities (both bearer and registered), such as bonds, shares, stock certificates, warrants, coupons and talons, whether they are circulating internationally or domestical
24、ly. Wherever this International Standard permits options, it is recommended at a national level to select and standardize one of them. At the time of its issuance, securities, were in existence with OCR lines which do not fully conform with this International Standard, e.g. Eurobonds and French “Cer
25、tificats Reprsentatifs”. Examples are given in Annex A. 2 Normative references The following standards contain provisions which, through reference in this text, constitute provisions of this International Standard. At the time of publication, the editions indicated were valid. All standards are subj
26、ect to revision, and parties to agreements based on this International Standard are encouraged to investigate the possibility of applying the most recent editions of the standards indicated below. Members of IEC and ISO maintain registers of currently valid International Standards. ISO 1073-2:1976,
27、Alphanumeric character sets for optical recognition Part 2: Character set OCR-B Shapes and dimensions of the printed image. ISO 1831:1980, Printing specifications for optical character recognition. ISO 6166:1987, Securities International securities identification numbering system (ISIN). ISO 8109:19
28、90, Banking and related financial services Securities Format of Eurobonds. 3 Definitions For the purposes of this International Standard, the following definitions apply. 3.1 clear area an area of specified position and dimensions within which information intended for reading by OCR is to be printed
29、. This area should always be parallel to other printed text on the document 3.2 OCR line this is a line of information to be read by an optical character reader. It is divided into fields of one or more OCR characters Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Un
30、controlled Copy, (c) BSI ISO 9144:1991(E) 2 BSI 01-2000 3.3 certificate number number identifying one specific document of any security issue. This definition includes transferable or negotiable receipts representing underlying securities 3.4 series designation the series designation differentiates
31、portions of the same issue (e.g. for redemptional drawing purposes) 3.5 default field length field length if this length is not specified at a national level 4 Paper characteristics This International Standard assumes that the paper specifications of the security are in compliance with ISO 1831 with
32、 the exception of references to the watermark. 5 Specifications and size of the clear area (see Annex B) 5.1 Dimensions 5.1.1 The clear area shall have a height of exactly 9 mm. 5.1.2 The clear area shall have a minimum width of 95 mm (for the maximum width, see 5.2.2). 5.2 Location of the clear are
33、a(s) on the security sheet 5.2.1 The horizontal centreline of the clear area(s) shall be located exactly 23,5 mm or 34,5 mm from the upper edge and/or exactly 7,5 mm from the lower edge of the security sheet. 5.2.2 The right edge of the clear area shall be located exactly 5 mm or 25 mm from the righ
34、t edge of the security sheet. The left edge of the clear area shall be located not less than 5 mm from the left edge of the security sheet. 5.3 Location of the clear area on the coupons 5.3.1 The horizontal centreline of the clear area shall be located exactly 7,5 mm from the lower edge of the coupo
35、n. 5.3.2 The right edge of the clear area shall be located exactly 5 mm from the right edge of the coupon. The left edge of the clear area shall be located exactly 5 mm from the left edge of the coupon. 5.4 Background of the clear area(s) The background of the clear area(s) shall be white or tinted
36、in a sufficiently light colour; for further explanations see ISO 1831, 5.4 and Annex B. 6 Printing specifications of the OCR line 6.1 Characters to be used In accordance with Annex C of this International Standard, the only characters to be used are the 47 OCR-B, size 1 characters as defined in ISO
37、1073-2:1976, 5.2, sub-set 2 and 3.6, with the associated tables. For technical reasons it is recommended to avoid the use of the characters “full stop” and “comma”, as well as of the letters I, O, and Q. 6.2 OCR line and characters The OCR line shall be centred horizontally on the centreline of the
38、clear area. 6.2.1 The OCR line shall be right justified. 6.2.2 The OCR characters shall be printed with a constant pitch of 10 characters per inch (25,4 mm). The printed characters shall have the print tolerance range X (see ISO 1831:1980, 5.2 and Table 2). For other specifications on the print qual
39、ity (quality of the printed image, character skew, character spacing, and alignment within a line) see ISO 1831:1980, clauses 5 and 6 and Annex B, Annex C, and Annex D. Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI ISO 9144:1991(E) BSI 01-
40、20003 7 Structure of the OCR lines The structure of the lines is illustrated in Annex D. 7.1 Types There may be two types of OCR lines: the Security Identification Line (SIL) which is mandatory and contains the information needed to identify the certificate; the Auxiliary Information Line (AIL) whic
41、h is optional and contains additional information. The SIL and the AIL may be located in the upper and the lower clear areas respectively. Alternatively, the SIL and the AIL may be located consecutively (specifically AIL followed by SIL) in the same clear area. 7.2 General rules for structuring the
42、SIL and AIL 7.2.1 Fields shall be separated either by one space or by one “+” sign. Only one method shall be used at a national level. No other characters shall be used as field separators. 7.2.2 The length of the fields shall be standardized at a national level. Where no national standard exists, d
43、efault field lengths as specified in 7.3 shall apply. 7.2.3 The information characters within each field shall be right justified and unused positions shall be zero filled. 7.2.4 Unused fields shall consist of at least one zero. 7.3 The SIL The SIL shall always consist of 37 characters (field separa
44、tors included), and shall be composed of six fields appearing as follows from left to right: 7.3.1 Minimum of one space. The space preceding field one may be replaced by the sign “” if the sign “”. 8 Examples of OCR lines 8.1 Bearer security of 5 ordinary shares of PETROFINA S.A. (Belgium) a) SIL on
45、 the security sheet: b) SIL on coupon No. 83: 8.2 Bearer security of a LUF 1 000 000 bond of the PARBEL FINANCE N.V. 10 % 19851991 Private Bond issue a) SIL on the security sheet (default length): b) SIL on coupon No. 6 (default length): 8.3 Bearer security of 1 share “B” of SIBRA HOLDING S.A. (Swit
46、zerland) a) SIL on the security sheet (Swiss standard): b) SIL on coupon No. 18 (Swiss standard): 000000005BE0003441467006799461 123456(field No.) 083000005BE0003441467006799461 123456(field No.) 00000001M LU000203505200 0000130 123456(field No.) 00600001M LU000203505200 0000130 123456(field No.) 10
47、00000001 CH0002313911B0123456 123456(field No.) 1180000001 CH0002313911B0123456 123456(field No.) Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI ISO 9144:1991(E) BSI 01-20005 8.4 Registered security of 110 shares of CREDIT SUISSE (Switzerla
48、nd) a) SIL on the security sheet (Swiss standard): b) AIL on the security sheet (Swiss standard): 8.5 Warrant “A” of the OERLIKON-BHRLE HOLDING AG 2 3/4 % 19861996 CHF Bond issue SIL on the warrant sheet (Swiss standard): 0000000110 CH000133367000 039371 123456(field No.) 12345(field No.) 1W00000001
49、 CH00021535490A000501 123456(field No.) Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:14:08 GMT+00:00 2006, Uncontrolled Copy, (c) BSI ISO 9144:1991(E) 6 BSI 01-2000 Annex A (normative) OCR lines already in existence A.1 Euro-bonds (The Association of International Bond Dealers Recommendations for the format of Eurobonds) and Dutch securities A.1.1 The OCR line The OCR line is very similar to the ISO line (see ISO 8109). It differs in two respects: field No. 1 (special code) does not exist on security sheets and coupons; fie
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