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ISAAR(CPF): Norme internationale sur les notices d'autorité archivistiques relatives aux collectivités, aux personnes et aux familles
Page principale > Exigences sources > ISAAR(CPF)
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2. Normes et directives associées
3. Glossaire
4. Structure et utilisation de la norme
5. Elements d'une notice d'autorité
1. Objet
1.1
La présente norme fournit les lignes directrices pour la préparation de notices d’autorité qui offrent la description d’entités (collectivités, personnes ou familles) associées à la production et à la gestion des archives.
1.2
Les notices d’autorité peuvent être utilisées :
- a. pour décrire une collectivité, une personne ou une famille, en tant qu’unité à l’intérieur d’un système d’information archivistique ;
- b. pour contrôler la création et l’utilisation de points d’accès dans les descriptions archivistiques ;
- c. pour apporter des informations sur les relations entre différents producteurs d’archives, entre ces entités et les archives ou d’autres ressources qu’elles produisent ou qui les concernent.
1.3
La description des producteurs d’archives est une activité essentielle des archivistes, que ceux-ci travaillent dans un environnement manuel ou informatisé. Cette activité requiert une documentation complète et régulièrement mise à jour, sur le contexte de production et d’utilisation des documents, en particulier sur leur provenance.
1.4
La norme qui accompagne celle-ci, ISAD(G): Norme générale et internationale de description archivistique, prévoit l’intégration de cette information sur le contexte dans la description même des archives (à quelque niveau que ce soit). L’ISAD(G) reconnaît aussi la possibilité de gérer cette information contextuelle hors de la description et de la relier aux autres éléments servant à la description.
1.5
Plusieurs raisons rendent essentielle la gestion de ce type d’information contextuelle hors de la description archivistique. Cela permet de relier la description d’un producteur et l’information contextuelle aux différentes descriptions de ses archives, même si celles-ci sont conservées par des services d’archives différents, de même qu’aux descriptions de ressources bibliographiques ou muséographiques relatives à ce producteur. De telles relations améliorent la gestion des documents et facilitent la recherche.
1.6
Lorsque différents services d’archives conservent des documents d’un même producteur, ils peuvent plus facilement échanger leur information contextuelle sur ce producteur si cette information est gérée sous une forme normalisée. Cette normalisation revêt un intérêt international quand l’échange d’information contextuelle se fait par-delà les frontières. Le caractère international des archives présentes ou passées appelle une normalisation internationale pour permettre l’échange de l’information contextuelle. A titre d’exemple, la colonisation, l’immigration ou le commerce, ont contribué au caractère international des archives.
1.7
La présente norme a été élaborée pour permettre le partage de notices d’autorité, en garantissant la rédaction de descriptions des collectivités, des personnes ou des familles producteurs d’archives qui soient compatibles entre elles, pertinentes et explicites. Elle est conçue pour être utilisée conjointement avec des normes nationales, ou pour servir de point de départ au développement de telles normes.
1.8
Une notice d’autorité pour les archives est semblable à une notice d’autorité pour les bibliothèques dans la mesure où, dans les deux cas, il convient de créer des points d’accès normalisés à la description. Le nom du producteur de l’unité de description est un des points d’accès les plus importants. Tout point d’accès peut comporter des “ qualificatifs ”, essentiels pour identifier l’entité ainsi désignée et permettre de distinguer sans ambiguïté différentes entités qui ont le même nom ou des noms très proches.
1.9
La rédaction d’une notice d’autorité pour les archives doit cependant répondre à un plus grand nombre d’exigences que celle d’une notice d’autorité pour les bibliothèques. En effet, dans les systèmes de description archivistique, il est important de réunir des informations sur les producteurs et sur le contexte de production des documents. Ainsi, les notices d’autorité pour les archives vont plus loin et contiennent généralement beaucoup plus d’informations que les notices d’autorité pour les bibliothèques.
1.10
L’objectif premier de la présente norme est donc de fournir des règles générales pour la normalisation de la description des producteurs d’archives et du contexte de production des documents d’archives. Cette normalisation devrait permettre :
- un accès aux documents d’archives fondé sur une description du contexte de production qui soit
liée aux descriptions des documents eux-mêmes, ceux-ci étant souvent divers et matériellement dispersés ;
- une compréhension, par les utilisateurs, du contexte de production et d’utilisation des documents
d’archives, leur permettant de mieux en interpréter la signification et la portée ;
- une identification précise de chaque producteur, intégrant la description des relations entre
différentes entités, et en particulier, les informations relatives aux modifications de caractère administratif (pour les collectivités) ou personnel (pour les personnes et les familles) ;
- l’échange de ces descriptions entre les institutions, les systèmes et les réseaux.
1.11
Une notice d’autorité conforme à la présente norme peut aussi servir à contrôler la forme du nom et l’identité de toute collectivité, personne ou famille citée dans tout point d’accès relié à une unité de description.
4. Structure and use of the standard
4.1
This standard determines the types of information that could be included in an archival authority record and provides guidance on how such records may be deployed in an archival descriptive system. The content of the information elements included in the authority record will be determined by the conventions and/or rules that the agency follows.
4.2
This standard consists of information elements, each of which contains:
- a. the name of the element of description;
- b. a statement of purpose for the element of description;
- c. a statement of the rule (or rules) applicable to the element; and
- d. where applicable, examples illustrating implementation of the rule.
4.3
Paragraphs are numbered and are given for citation purposes only. These numbers should not be used to designate elements of description or to prescribe the order or structure of descriptive resources.
4.4
The elements of description for an archival authority record are organized into four information areas:
1. Identity Area
- (where information is conveyed which uniquely identifies the entity being described and which defines standardized access points for the record)
2. Description Area
- (where relevant information is conveyed about the nature, context and activities of the entity being described)
3. Relationships Area
- (where relationships with other corporate bodies, persons and/or families are recorded and described)
4. Control Area
- (where the authority record is uniquely identified and information is recorded on how, when and by which agency the authority record was created and maintained).
4.5
This standard also provides in Chapter 6 guidelines for linking archival authority records to the descriptions of records created by the entity and/or other information resources about or by them. Chapter 6 also includes data models that illustrate the relationships between authority records that describe archival records creators and descriptions of the archives created by those entities.
4.6
Appendix A provides a mapping of the descriptive elements between the first edition of this standard and the current edition. Appendix B provides full examples of archival authority records compiled in accordance with this standard.
4.7
All the elements covered by these rules are available for use, but the following four elements are essential:
- Type of entity (element 5.1.1);
- Authorized form(s) of name (element 5.1.2);
- Dates of existence (element 5.2.1); and
- Authority record identifier (element 5.4.1).
4.8
The nature of the entity being described and the requirements of the particular system or network within which the preparer of an archival authority record works will determine which of the optional elements of description are used in a given authority record and whether these elements are presented in a narrative and/or a structured format.
4.9
Many of the descriptive elements in an ISAAR(CPF) compliant authority record will be used as access points. Rules and conventions for standardizing access points may be developed nationally or separately for each language. Vocabularies and conventions to be used in creating or selecting the data content for these elements may also be developed nationally, or separately for each language. The following ISO standards are useful when developing and maintaining controlled vocabularies:
- ISO 5963 Documentation - Methods for examining documents, determining their subjects, and selecting indexing terms,
- ISO 2788 Documentation - Guidelines for the establishment and development of monolingual thesauri,
- ISO 5964 Documentation - Guidelines for the establishment and development of multilingual thesauri and
- ISO 999 Information and Documentation - Guidelines for the content, organization and presentation of indexes.
In citing a published source in any element of description, it is suggested that agencies follow the latest version of ISO 690 Documentation - Bibliographic references - Content, form and structure.
4.10
Examples provided throughout the standard are illustrative and not prescriptive. They illuminate the provisions of the rules to which they are attached, rather than extend those provisions. Do not take the examples, or the form in which they are presented as instructions. To clarify the context, each example is followed by an indication in italic of the name of the agency that supplied the example. Further explanatory notes may follow, also in italic, preceded by the word Notes:. Do not confuse the indication of the source of the example and any notes with the example itself.
4.11
This standard is intended to be used in conjunction with ISAD(G) - General International Standard Archival Description, 2nd edition and with national archival descriptive standards. When these standards are used together within the context of an archival descriptive system or network, authority records will be linked to descriptions of archives, and vice versa. See Chapter 6 for guidance on how these links may be created. Descriptions of archives and records can be linked to archival authority records in the Name of creator(s) element (3.2.1) and the Administrative/Biographical history element (3.2.2) of an ISAD(G) compliant description.
4.12
This Standard is intended to be used in conjunction with national standards and conventions. For example, archivists may be guided by national standards when deciding which elements may or may not be repeatable. In many countries archival descriptive systems require a single Authorized form of name for a given entity, while in other countries it is permitted to create more than one Authorized form of name.
4.13
This standard addresses only part of the conditions needed to support the exchange of archival authority information. Successful automated exchange of archival authority information over computer networks is dependent upon the adoption of a suitable communication format by the repositories involved in the exchange. Encoded Archival Context (EAC) is one such communications format which supports the exchange of ISAAR(CPF) compliant archival authority data over the World Wide Web. EAC has been developed in the form of Document Type Definitions (DTDs) in XML (Extensible Markup Language) and SGML (Standard Generalized Markup Language).
5. Elements of an authority record
5.1 Identity area
5.1.1 Type of entity
Purpose:
To indicate whether the entity being described is a corporate body, person or family.
Rule:
Specify the type of entity (corporate body, person or family) that is being described in this authority record.
5.1.2 Authorized form(s) of name
Purpose:
To create an authorized access point that uniquely identifies a corporate body, person or family.
Rule:
Record the standardized form of name for the entity being described in accordance with any relevant national or international conventions or rules applied by the agency that created the authority record. Use dates, place, jurisdiction, occupation, epithet and other qualifiers as appropriate to distinguish the authorized form of name from those of other entities with similar names. Specify separately in the Rules and/or conventions element (5.4.3) which set of rules has been applied for this element.
5.1.3 Parallel forms of name
Purpose:
To indicate the various forms in which the Authorized form of name occurs in other languages or script form(s).
Rule:
Record the parallel form(s) of name in accordance with any relevant national or international conventions or rules applied by the agency that created the authority record, including any necessary sub elements and/or qualifiers required by those conventions or rules. Specify in the Rules and/or conventions element (5.4.3) which rules have been applied.
5.1.4 Standardized forms of name according to other rules
Purpose:
To indicate standardized forms of name for the corporate body, person or family that have been constructed according to rules other than those used to construct the authorised form of name. This can facilitate the sharing of authority records between different professional communities.
Rule:
Record the standardized form of name for the entity being described in accordance with other conventions or rules. Specify the rules and/or if appropriate the name of the agency by which these standardized forms of name have been constructed.
5.1.5 Other forms of name
Purpose:';
To indicate any other name(s) for the corporate body, person or family not used elsewhere in the Identity Area.
Rule:
Record other names by which the entity may be known, such as:
- a) other forms of the same name, e.g. acronyms;
- b) other names of corporate bodies, for example, changes of name over time and their dates;3
- c) including pseudonyms, maiden names, etc;
- d) names and prenominal and postnominal titles of persons and families, e.g. titles of nobility, or titles of honour held by the individual or family.
5.1.6 Identifiers for corporate bodies
Purpose:
To provide any numeric or alpha-numeric identifiers that are used to identify the corporate body.
Rule:
Record where possible any official number or other identifier (e.g. a company registration number) for the corporate body and reference the jurisdiction and scheme under which it has been allocated.
5.2 Description area
The purpose of this area is to describe the history, roles, context and activities of the corporate body, person or family.
The Dates of existence (5.2.1) must be recorded as a separate element.
The information specified in rules 5.2.3-5.2.8 may be recorded as separate, structured elements and/or as narrative text in 5.2.2.
5.2.1 Dates of existence
Purpose:
To indicate the dates of existence of the corporate body, person or family.
Rule:
Record the dates of existence of the entity being described. For corporate bodies include the date of establishment/foundation/enabling legislation and dissolution. For persons include the dates or approximate dates of birth and death or, when these dates are not known, floruit dates. Where parallel systems of dating are used, equivalences may be recorded according to relevant conventions or rules. Specify in the Rules and/or conventions element (5.4.3) the system(s) of dating used, e.g. ISO 8601.
5.2.2 History
Purpose:
To provide a concise history of the corporate body, person or family.
Rule:
Record in narrative form or as a chronology the main life events, activities, achievements and/or roles of the entity being described. This may include information on gender, nationality, family and religious or political affiliations. Wherever possible, supply dates as an integral component of the narrative description.
5.2.3 Places
Purpose:
To indicate the predominant places and/or jurisdictions where the corporate body, person or family was based, lived or resided or had some other connection.
Rule:
Record the name of the predominant place(s)/jurisdiction(s), together with the nature and covering dates of the relationship with the entity.
5.2.4 Legal status
Purpose:
To indicate the legal status of a corporate body.
Rule:
Record the legal status and where appropriate the type of corporate body together with the covering dates when this status applied.
5.2.5 Functions, occupations and activities
Purpose:
To indicate the functions, occupations and activities performed by the corporate body, person or family.
Rule:
Record the functions, occupations and activities performed by the entity being described, together with the covering dates when useful. If necessary, describe the nature of the function, occupation or activity.
5.2.6 Mandates/Sources of authority
Purpose:
To indicate the sources of authority for the corporate body, person or family in terms of its powers, functions, responsibilities or sphere of activities, including territorial.
Rule:
Record any document, law, directive or charter which acts as a source of authority for the powers, functions and responsibilities of the entity being described, together with information on the jurisdiction(s) and covering dates when the mandate(s) applied or were changed.
5.2.7 Internal structures / Genealogy
Purpose:
To describe and/or represent the internal administrative structure(s) of a corporate body or the genealogy of a family.
Rule:
Describe the internal structure of a corporate body and the dates of any changes to that structure that are significant to the understanding of the way that corporate body conducted its affairs (e.g. by means of dated organization charts).
Describe the genealogy of a family (e.g. by means of a family tree) in a way that demonstrates the inter-relationships of its members with covering dates.
5.2.8 General context
Purpose:
To provide significant information on the general social, cultural, economic, political and/or historical context in which the corporate body, person or family operated, lived or was active.
Rule:
Provide any significant information on the social, cultural, economic, political and/or historical context in which the entity being described operated.
5.3 Relationships area
The purpose of this area is to describe relationships with other corporate bodies, persons and families as may be described in other authority records.
5.3.1 Names / Identifiers of related corporate bodies, persons or families
Purpose:
To indicate the names and any unique identifiers of related entities and to support linkages to the authority records for related corporate bodies, persons or families.
Rule:
Record the authorized form of name and any relevant unique identifiers, including the authority record identifier, for the related entity.
5.3.2 Category of relationship
Purpose:
To identify the general category of relationship between the entity being described and another corporate body, person or family.
Rule:
Record a general category into which the relationship being described falls. Use general categories prescribed by national rules and/or conventions or one of the following four categories. Record in the Rules and/or conventions element (5.4.3) any classification scheme used as a source of controlled vocabulary terms to describe the relationship.
Hierarchical
- Eg. superior/subordinate; controlled/controlling; owner of/owned by)
- In a hierarchical relationship an entity may exercise some authority and control over the activities of a number of other corporate bodies, persons or families. An entity may also be subordinate to a number of other corporate bodies, persons or families, as for example a joint-committee or an organization whose superior changed over time.
Temporal
- Eg. predecessor/successor.
- In a temporal relationship an entity may succeed a number of other corporate bodies, persons or families in exercising some functions and activities. In turn it may be succeeded by a number of other corporate bodies, persons or families.
Family
- In a family a person may have a wide circle of relationships with other members of the family and with the family as an entity. Where the genealogical structure of the family is complex it may be appropriate to create separate authority records for each member and link them to parent(s), spouse(s) and child(ren). Alternatively this information may be recorded in the Internal structures/Genealogy element (5.2.7).
Associative
- An associative relationship is a general category for relationships not covered by any of the above (e.g. Provider/client, membership, part/whole, business partner).
5.3.3 Description of relationship
Purpose:
To provide a specific description of the nature of the relationship.
Rule:
Record a precise description of the nature of the relationship between the entity described in this authority record and the other related entity, e.g. superior agency, subordinate agency, owner, predecessor, husband, wife, son, cousin, teacher of, student of, professional colleague. Record in the Rules and/or conventions element (5.4.3) any classification scheme used as a source of controlled vocabulary terms to describe the relationship. A narrative description of the history and/or nature of the relationship may also be provided here.
5.3.4 Dates of the relationship
Purpose:
To indicate the dates of duration of the relationship with another corporate body, person or family.
Rule:
Record when relevant the commencement date of the relationship or succession date and, when relevant, the cessation date of the relationship. Specify in the Rules and/or conventions element (5.4.3) any systems of dating used, e.g. ISO 8601.
5.4 Control area
5.4.1 Authority record identifier
Purpose:
To identify the authority record uniquely within the context in which it will be used.
Rule:
Record a unique authority record identifier in accordance with local and/or national conventions. If the authority record is to be used internationally, record the country code of the country in which the authority record was created in accordance with the latest version of ISO 3166 Codes for the representation of names of countries.
Where the creator of the authority record is an international organization, give the organizational identifier in place of the country code.
5.4.2 Institution identifiers
Purpose:
To identify the agency(ies) responsible for the authority record.
Rule:
Record the full authorized form of name(s) of the agency(ies) responsible for creating, modifying or dissemninating the authority record or, alternatively, record a code for the agency in accordance with the national or international agency code standard. Include reference to any systems of identification used to identify the institutions (e.g. ISO 15511).
5.4.3 Rules and/or conventions
Purpose:
To identify the national or international conventions or rules applied in creating the archival authority record.
Rule:
Record the names and where useful the editions or publication dates of the conventions or rules applied. Specify separately which rules have been applied for creating the Authorized form of name. Include reference to any system(s) of dating used to identify dates in this authority record (e.g. ISO 8601).
5.4.4 Status
Purpose:
To indicate the drafting status of the authority record so that users can understand the current status of the authority record.
Rule:
Record the current status of the authority record, indicating whether the record is a draft, finalized and/or revised or deleted.
5.4.5 Level of detail
Purpose:
To indicate whether the authority record applies a minimal, partial or a full level of detail.
Rule:
Indicate whether the record consists of a minimal, partial or full level of detail in accordance with relevant international and/or national guidelines and/or rules. In the absence of national guidelines or rules, minimal records are those that consist only of the four essential elements of an ISAAR(CPF) compliant authority record (see 4.8), while full records are those that convey information for all relevant ISAAR(CPF) elements of description.
5.4.6 Dates of creation, revision or deletion
Purpose:
To indicate when this authority record was created, revised or deleted.
Rule:
Record the date the authority record was created and the dates of any revisions to the record. Specify in the Rules and/or conventions element (5.4.3) the system(s) of dating used, e.g. ISO 8601.
5.4.7 Language(s) and script(s)
Purpose:
To indicate the language(s) and/or script(s) used to create the authority record.
Rule:
Record the language(s) and/or script(s) of the archival authority record. Include the appropriate ISO codes for languages (ISO 639-2) and/or scripts (ISO 15924 Codes for the representation of names of scripts).
5.4.8 Sources
Purpose:
To identify the sources consulted in creating the authority record.
Rule: style="background:silver" | Rule | Record the sources consulted in establishing the authority record.
5.4.9 Maintenance notes
Purpose:
To document the creation of and changes to the authority record.
Rule:
Record notes pertinent to the creation and maintenance of the authority record. The names of persons responsible for creating the authority record may be recorded here.
6. Relating corporate bodies, persons and families to archival materials and other resources
Archival authority records are created primarily to document the context of records creation. To make this documentation useful it is necessary to link the authority records to descriptions of records. Archival authority records can also be linked to other relevant information resources. When such linkages are made it is important to describe the nature of the relationship, where known, between the corporate body, person or family and the linked resource. This Section provides guidance on how such linkages can be created in the context of an archival descriptive system. See Figure 1 for a pictorial representation of this.
Record relevant information as a free text narrative and/or as structured text as specified in the elements below and/or links to the resources.
6.1 Identifiers and titles of related resources
Purpose:
To identify uniquely the related resources and/or enable the linking of the authority record to a description of the related resources, where such descriptions exist.
Rule:
Provide the unique identifiers/reference codes and/or titles for the related resources. Where appropriate also provide the identifiers of any separate description of the related resource.
6.2 Types of related resources
Purpose:
To identify the type of related resource(s) being referenced.
Rule:
Identify the type of related resources, e.g. Archival materials (fonds, record series, etc), archival description, finding aid, monograph, journal article, web site, photograph, museum collection, documentary film, oral history recording.
6.3 Nature of relationships
Purpose:
To identify the nature of the relationships between the corporate body, person or family and the related resources.
Rule:
Describe the nature of the relationships between the corporate body, person or family and the related resource, e.g. creator, author, subject, custodian, copyright owner, controller, owner.
6.4 Dates of related resources and/or relationships
Purpose:
To provide any relevant dates for the related resources and/or the dates of the relationship between the corporate body, person or family and the related resources, and to indicate the significance of those dates.
Rule:
Provide any relevant dates for the related resources and/or the relationship between the corporate body, person or family and the related resource and describe the significance of those dates.