Document management -- Part 1: Principles and methods

EN following parallel vote

Dokumentenmanagement -- Teil 1: Prinzipien und Methoden

Gestion de documents -- Partie 1: Principes et méthodes

Spécifie des principes et des méthodes pour définir des métadonnées de gestion des documents techniques et commerciaux associés sur l'ensemble de leur cycle de vie. Ce cycle qui couvre généralement une plage s'étendant de l'idée conceptuelle d'un document jusqu'à sa destruction. Les principes et les méthodes mis en oeuvre sont ceux de base pour tous les systèmes de gestion des documents. Cette partie est prévue pour être une norme générale de base dans tous les domaines d'application et sert de cadre applicable à la partie 2. La Norme internationale 82045 est essentiellement prévue pour constituer une ressource dans l'emploi des systèmes informatisés tels que les systèmes electroniques de gestion des documents (EDMS) ou les systèmes de gestion des données de produits (PDMS) pour la gestion, le repérage, le stockage et la sélection et l'archivage des documents et également comme une base pour l'échange des documents.

Document management - Part 1: Principles and methods (IEC 82045-1:2001)

General Information

Status
Published
Publication Date
30-Sep-2002
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
01-Oct-2002
Due Date
01-Oct-2002
Completion Date
01-Oct-2002

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SLOVENSKI SIST EN 82045-1:2002
prva izdaja
STANDARD
oktober 2002
Document management - Part 1: Principles and methods (IEC 82045-1:2001)
ICS 01.110; 35.240.01 Referenčna številka
SIST EN 82045-1:2002(en)

© Standard je založil in izdal Slovenski inštitut za standardizacijo. Razmnoževanje ali kopiranje celote ali delov tega dokumenta ni dovoljeno

---------------------- Page: 1 ----------------------
EUROPEAN STANDARD EN 82045-1
NORME EUROPÉENNE
EUROPÄISCHE NORM November 2001
ICS 01.110;35.240.01
English version
Document management
Part 1: Principles and methods
(IEC 82045-1:2001)
Gestion de documents Dokumentenmanagement
Partie 1: Principes et méthodes Teil 1: Prinzipien und Methoden
(CEI 82045-1:2001) (IEC 82045-1:2001)

This European Standard was approved by CENELEC on 2001-11-01. CENELEC members are bound to

comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European

Standard the status of a national standard without any alteration.

Up-to-date lists and bibliographical references concerning such national standards may be obtained on

application to the Central Secretariat or to any CENELEC member.

This European Standard exists in three official versions (English, French, German). A version in any other

language made by translation under the responsibility of a CENELEC member into its own language and

notified to the Central Secretariat has the same status as the official versions.

CENELEC members are the national electrotechnical committees of Austria, Belgium, Czech Republic,

Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Luxembourg, Malta, Netherlands,

Norway, Portugal, Spain, Sweden, Switzerland and United Kingdom.
CENELEC
European Committee for Electrotechnical Standardization
Comité Européen de Normalisation Electrotechnique
Europäisches Komitee für Elektrotechnische Normung
Central Secretariat: rue de Stassart 35, B - 1050 Brussels

© 2001 CENELEC - All rights of exploitation in any form and by any means reserved worldwide for CENELEC members.

Ref. No. EN 82045-1:2001 E
---------------------- Page: 2 ----------------------
EN 82045-1:2001 - 2 -
Foreword

The text of document 3B/327/FDIS, future edition 1 of IEC 82045-1, prepared by SC 3B,

Documentation, of IEC TC 3, Documentation and graphical symbols, was submitted to the IEC-

CENELEC parallel vote and was approved by CENELEC as EN 82045-1 on 2001-11-01.
The following dates were fixed:
– latest date by which the EN has to be implemented
at national level by publication of an identical
national standard or by endorsement (dop) 2002-08-01
– latest date by which the national standards conflicting
with the EN have to be withdrawn (dow) 2004-11-01
Annexes designated "normative" are part of the body of the standard.
Annexes designated "informative" are given for information only.
In this standard, annex ZA is normative and annexes A and B are informative.
Annex ZA has been added by CENELEC.
__________
Endorsement notice

The text of the International Standard IEC 82045-1:2001 was approved by CENELEC as a European

Standard without any modification.

In the official version, for Bibliography, the following notes have to be added for the standards indicated:

IEC 61082-1 + A1 + A2 NOTE Harmonized as EN 61082-1:1993 + A1:1995 + A2:1996 (not modified).

IEC 61346-2 NOTE Harmonized as EN 61346-2:2000 (not modified).
IEC 61175 NOTE Harmonized as EN 61175:1993 (not modified).
IEC 61666 NOTE Harmonized as EN 61666:1997 (not modified).
IEC 81714-2 NOTE Harmonized as EN 81714-2:1998 (not modified).
__________
---------------------- Page: 3 ----------------------
- 3 - EN 82045-1:2001
Annex ZA
(normative)
Normative references to international publications
with their corresponding European publications

This European Standard incorporates by dated or undated reference, provisions from other

publications. These normative references are cited at the appropriate places in the text and the

publications are listed hereafter. For dated references, subsequent amendments to or revisions of any

of these publications apply to this European Standard only when incorporated in it by amendment or

revision. For undated references the latest edition of the publication referred to applies (including

amendments).

NOTE When an international publication has been modified by common modifications, indicated by (mod), the relevant

EN/HD applies.
Publication Year Title EN/HD Year
IEC 61346-1 1996 Industrial systems, installations and EN 61346-1 1996
equipment and industrial products -
Structuring principles and reference
designations
Part 1: Basic rules
IEC 61355 1997 Classification and designation of EN 61355 1997
documents for plants, systems and
equipment
IEC 62023 2000 Structuring of technical information and EN 62023 2000
documentation
ISO/IEC 2382-1 1993 Information technology - Vocabulary--
Part 1: Fundamental terms
ISO/IEC 8613-1 1994 Information technology - Open --
Document Architecture (ODA) and
interchange format: Introduction and
general principles
ISO 9000 2000 Quality management systems EN ISO 9000 2000
Fundamentals and vocabulary
ISO 10007 1995 Quality management EN ISO 10007 1996
Guidelines for configuration
management
ISO 15226 1999 Technical product documentation --
Life cycle model and allocation of
documents
ISO 16016 2000 Technical product documentation --
Protection notices for restricting the use
of documents and products
---------------------- Page: 4 ----------------------
NORME
CEI
INTERNATIONALE IEC
82045-1
INTERNATIONAL
Première édition
STANDARD
First edition
2001-09
Gestion de documents –
Partie 1:
Principes et méthodes
Document management –
Part 1:
Principles and methods
© IEC 2001 Droits de reproduction réservés ⎯ Copyright - all rights reserved

Aucune partie de cette publication ne peut être reproduite ni No part of this publication may be reproduced or utilized in

utilisée sous quelque forme que ce soit et par aucun procédé, any form or by any means, electronic or mechanical,

électronique ou mécanique, y compris la photocopie et les including photocopying and microfilm, without permission in

microfilms, sans l'accord écrit de l'éditeur. writing from the publisher.
International Electrotechnical Commission 3, rue de Varembé Geneva, Switzerland
Telefax: +41 22 919 0300 e-mail: inmail@iec.ch IEC web site http://www.iec.ch
CODE PRIX
PRICE CODE
Pour prix, voir catalogue en vigueur
For price, see current catalogue
---------------------- Page: 5 ----------------------
82045-1 © IEC:2001 – 3 –
CONTENTS

FOREWORD .......................................................................................................................... 5

INTRODUCTION ....................................................................................................................9

1 Scope ............................................................................................................................ 13

2 Normative references..................................................................................................... 13

3 Definitions...................................................................................................................... 15

3.1 General................................................................................................................. 15

3.2 Document related issues....................................................................................... 17

3.3 Product related issues .......................................................................................... 19

3.4 Workflow related issues ........................................................................................ 19

4 Principles of document management.............................................................................. 21

4.1 General................................................................................................................. 21

4.2 Processes supported by metadata ........................................................................ 21

4.3 Document concepts .............................................................................................. 21

4.4 Linked documents................................................................................................. 27

4.5 Document versions ............................................................................................... 27

5 Metadata for documents with relation to their environment............................................. 33

5.1 General................................................................................................................. 33

5.2 Metadata associated with the considered object(s) ............................................... 35

6 Metadata associated with activities within the life cycle of a document........................... 35

6.1 General................................................................................................................. 35

6.2 Initiation phase ..................................................................................................... 39

6.3 Preparation phase ................................................................................................ 43

6.4 Establishment phase............................................................................................. 43

6.5 Using phase.......................................................................................................... 47

6.6 Revision phase ..................................................................................................... 49

6.7 Archiving phase .................................................................................................... 51

6.8 Deletion phase...................................................................................................... 53

7 Conformance requirements ............................................................................................ 55

Annex A (informative) Environment of a document management system ............................. 57

Annex B (informative) List of used abbreviations ................................................................. 65

Bibliography ......................................................................................................................... 67

Figure 1 – Document with associated metadata.................................................................... 23

Figure 2 – Concept of the compound document.................................................................... 25

Figure 3 – Concept of the document aggregation ................................................................. 25

Figure 4 – Concept of the document set ............................................................................... 27

Figure 5 – Sequentially effective versus concurrently effective document versions ............... 31

Figure 6 – Maturity concept ................................................................................................. 33

Figure 7 – Activities along the life cycle of a document......................................................... 37

Figure A.1 – Environment of document management systems .............................................. 57

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82045-1 © IEC:2001 – 5 –
INTERNATIONAL ELECTROTECHNICAL COMMISSION
___________
DOCUMENT MANAGEMENT –
Part 1: Principles and methods
FOREWORD

1) The IEC (International Electrotechnical Commission) is a worldwide organization for standardization comprising

all national electrotechnical committees (IEC National Committees). The object of the IEC is to promote

international co-operation on all questions concerning standardization in the electrical and electronic fields. To

this end and in addition to other activities, the IEC publishes International Standards. Their preparation is

entrusted to technical committees; any IEC National Committee interested in the subject dealt with may

participate in this preparatory work. International, governmental and non-governmental organizations liaising

with the IEC also participate in this preparation. The IEC collaborates closely with the International

Organization for Standardization (ISO) in accordance with conditions determined by agreement between the

two organizations.

2) The formal decisions or agreements of the IEC on technical matters express, as nearly as possible, an

international consensus of opinion on the relevant subjects since each technical committee has representation

from all interested National Committees.

3) The documents produced have the form of recommendations for international use and are published in the form

of standards, technical specifications, technical reports or guides and they are accepted by the National

Committees in that sense.

4) In order to promote international unification, IEC National Committees undertake to apply IEC International

Standards transparently to the maximum extent possible in their national and regional standards. Any

divergence between the IEC Standard and the corresponding national or regional standard shall be clearly

indicated in the latter.

5) The IEC provides no marking procedure to indicate its approval and cannot be rendered responsible for any

equipment declared to be in conformity with one of its standards.

6) Attention is drawn to the possibility that some of the elements of this International Standard may be the subject

of patent rights. The IEC shall not be held responsible for identifying any or all such patent rights.

International Standard IEC 82045-1 has been prepared by subcommittee 3B: Documentation,

of IEC technical committee 3: Information structures, documentation and graphical symbols, in

co-operation with ISO subcommittees SC 1: Basic conventions, SC 8: Construction
documentation, of ISO technical committee 10: Technical product documentation.
The text of this standard is based on the following documents:
FDIS Report on voting
3B/327/FDIS 3B/343/RVD

Full information on the voting for the approval of this part of this standard can be found in the

reports on voting indicated in the above table.
Annexes A and B are for information only.

In order to collect all requirements concerning the metadata on documents within one

numerical series, ISO technical committee 10 and subcommittee 3B of IEC technical

committee 3 agreed to publish all parts of this International Standard within the 82045 series.

---------------------- Page: 7 ----------------------
82045-1 © IEC:2001 – 7 –

International Standard 82045 consists of the following parts under the general title Document

Management:
Part 1: 2001 Principles and methods (published by IEC)
Part 2 Reference collection of metadata and reference models (published by IEC)

Further parts specific to individual application field requirements are under consideration and

should be prepared either by ISO or by IEC.

This publication has been drafted in accordance with the ISO/IEC Directives, Part 3.

The committee has decided that the contents of this publication will remain unchanged until

2006. At this date, the publication will be
• reconfirmed;
• withdrawn;
• replaced by a revised edition, or
• amended.
———————
In preparation
---------------------- Page: 8 ----------------------
82045-1 © IEC:2001 – 9 –
INTRODUCTION

During the last decades, industry has undergone a thorough transition from manual practice

to computer support for the creation and exchange of information. However, the manual

practices and standards for handling documentation have not undergone a corresponding

process. The situation is that the well-documented manual methods for design co-operation

and co-ordination – a system for process quality assurance common to the industry – is being

replaced by procedures specific to projects and companies. The result is that, although every

single actor strives to assure the quality of his own products and services, the process may

fail in achieving overall product and process quality. The information, interfaces and

networking become industry key factors.

On the other hand, electronic document management technologies are well-suited to handle

large amounts of documents occurring in engineering, manufacturing, operation and

maintenance processes, together with the connected metadata. Cost reductions and quality

improvements are immediate incentives.
The potential benefits include
– efficient search and retrieval of specific documents;
– quick and direct propagation of changes;
– automatic workflow procedures;
– providing document collections about related information;

– reduced administration through integration of document production and management;

– retrieval of knowledge from previous projects and common industry sources;
– supporting the exchange and sharing of data;
– supporting collaborative engineering.

As document management by nature is an instrument for the exchange of information, the

need for standardisation is evident.

ISO TC 10 and IEC SC 3B have identified metadata for technical documents as being a field

where all industry disciplines immediately will benefit from standardisation, and where no

standards are available.

The Technical Management Board of ISO and the Committee of Action of IEC have decided

that, for each part of this series, one organization shall be responsible. The technical

committees involved have agreed not to change any part of International Standard 82045

without mutual agreement.

This standard defines the document concept covering not only traditional paper-based

documents, but also, more generally, computer-based information that is identified,

structured, processed, controlled and interchanged/communicated as a unit (a closed

container of information). It deals with fixed sets of information with associated metadata and

with multiple presentations of these sets of information.
---------------------- Page: 9 ----------------------
82045-1 © IEC:2001 – 11 –

It introduces the concept of maturity in document management systems, allowing a purpose-

driven approach for concurrent and collaborative engineering. This standard covers also the

document management systems using sequential engineering.

Management data are data about the content of a document, necessary to manage it in an

Electronic Document Management System (EDMS) or Product Data Management System
(PDMS) or any other relevant system.
---------------------- Page: 10 ----------------------
82045-1 © IEC:2001 – 13 –
DOCUMENT MANAGEMENT –
Part 1: Principles and methods
1 Scope

This part of International Standard 82045 specifies principles and methods to define metadata

for the management of documents associated with objects throughout their life cycle; This

cycle generally covers a range from the conceptual idea of a document to its deletion. The

established principles and methods are basic for all document management systems.

This part is intended as a general basic standard in all application fields and provides the

framework applicable for part 2.

International Standard 82045 is primarily intended as a resource for the use in computerised

systems such as Electronic Document Management Systems (EDMS) or Product Data

Management Systems (PDMS) for the management, retrieval, storage and selection and

archiving of documents, and as a basis for the exchange of documents.

NOTE – Part 2 of International Standard 82045 provides the collection of data element types associated with an

information reference model, which may be used in conjunction with the presentation of metadata on documents.

2 Normative references

The following normative documents contain provisions which, through reference in this text,

constitute provisions of this International Standard. For dated references, subsequent

amendments to, or revisions of, any of these publications do not apply. However, parties to

agreements based on this International Standard are encouraged to investigate the possibility

of applying the most recent editions of the normative documents indicated below. For undated

references, the latest edition of the normative document referred to applies. Members of ISO

and IEC maintain registers of currently valid International Standards.

IEC 61346-1:1996, Industrial systems, installations and equipment and industrial products –

Structuring principles and reference designations – Part 1: Basic rules

IEC 61355:1997, Classification and designation of documents for plants, systems and

equipment
IEC 62023:2000, Structuring of technical information and documentation

ISO/IEC 2382-1:1993, Information technology – Vocabulary – Part 1: Fundamental terms

ISO/IEC 8613-1:1994, Information technology – Office Document Architecture (ODA) and

interchange format: Introduction and general principles
ISO 9000:2000, Quality management systems – Fundamentals and vocabulary
---------------------- Page: 11 ----------------------
82045-1 © IEC:2001 – 15 –
ISO 10007:1995, Quality management – Guidelines for configuration management

ISO 15226:1999, Technical product documentation – Life cycle model and allocation of

documents

ISO 16016:2000, Technical product documentation – Protection notices for restricting the use

of documents and products
3 Definitions

For the purpose of this part of International Standard 82045, the following terms and

definitions apply.
3.1 General
3.1.1
object

entity treated in the process of design, engineering, realisation, operation, maintenance and

demolition

NOTE 1 The entity may refer to something, which is either physical or non-physical or to a set of information

associated with it.

NOTE 2 Depending on its purpose, an object may be viewed in different ways called “aspects”.

[IEC 61346-1, modified]
3.1.2
aspect

specific way of selecting information on, or describing, a system or an object of a system

NOTE Such ways may be
– what the system or object is doing (function viewpoint);
– how the system or object is constructed (product viewpoint);
– where the system or object is located (location viewpoint).
[IEC 61346-1]
3.1.3
data medium
material on which data can be recorded and from which they can be retrieved
[IEC 61355, 3.1]
3.1.4
data

reinterpretable presentation of information in a formalised manner suitable for communication,

interpretation or processing
NOTE Data can be processed by human or by automatic means.
[ISO/IEC 2382-1:1993]
3.1.5
database

collection of data organized according to a conceptual structure describing the characteristics

of these data and the relationships among their corresponding entities, supporting one or

more application areas
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82045-1 © IEC:2001 – 17 –
3.1.6
information model; conceptual schema
implementation-independent specification of information structures
3.1.7
electronic document management system (abbr. EDMS)

computer-based application dealing with the management of documents throughout the

document life cycle
3.2 Document related issues
3.2.1
metadata for documents
data for the description of documents and their management
3.2.2
content
subject information of a document
3.2.3
document

fixed and structured amount of information that can be managed and interchanged as a unit

between users and systems
[ISO/IEC 8613-1, modified]

NOTE This unit may not necessarily be human perceptible. Information is usually stored on a data medium.

3.2.4
documentation
collection of documents related to a given subject
NOTE This may include technical, commercial and/or other documents.
[IEC 62023]
3.2.5
document part
part of a document having a function of its own
[IEC 62023]
3.2.6
aggregated document

document containing separately identified documents (parts) that are logically dependent but

can be physically independently managed
NOTE An aggregated document has its own metadata.
3.2.7
compound document
document consisting of several embedded files in a specified file structure
3.2.8
document set

collection of documents that are managed together as a unit for a specific purpose

NOTE The metadata of the document set describes which documents it consists of. The set has its own metadata,

but not its own content.
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82045-1 © IEC:2001 – 19 –
3.2.9
document life cycle

period from the conceptual idea to the logical and physical deletion of a document

3.2.10
document version

identified state of a document in its life cycle, recorded so that it can be retrieved as a record

or for distribution purposes
3.2.11
document revision
formally approved document version
3.3 Product related issues
3.3.1
product
intended or accomplished result of labour, or of a natural or artificial process

NOTE 1 A product usually has a part number, order number, type designation, and/or a name.

NOTE 2 A technical system, plant, or services can be considered as a product.
[IEC 61346-1]
3.3.2
product life cycle
period from the conceptual idea to the ultimate disposal of a product
[ISO 15226, modified]
3.4 Workflow related issues
3.4.1
maturity level

purpose-oriented degree of completeness of information with regard to the intended final

object which is reflected in documents
3.4.2
effectivity
identification of the valid use of a document version tracked by date or event
3.4.3
approval

confirmation by an authority that something conforms to previously defined requirements

3.4.4
release

formal activity of an authority declaring the document effective for a declared purpose in the

process cycle
3.4.5
configuration
arrangement of the elements of a system
[ISO 9000:2000]
---------------------- Page: 14 ----------------------
82045-1 © IEC:2001 – 21 –

NOTE Further definitions and guidance on principles and practice related to configuration are available in ISO

10007.
3.4.6
configuration control

activities comprising the control of changes to a configuration item after formal establishment

of its configuration documents
[ISO 10007]
4 Principles of document management
4.1 General

For the management of documents within their life cycle and for their exchange between

partners, documents shall be associated with a set of metadata, i.e. data identifying and/or

describing the document.
Such metadata may appear
– as visible part of a document presentation;
– in a document file transferred between document management systems;
– be associated to a document in a document management system;

– as a separate set of data managed independently from the document for search and

retrieval purposes.

NOTE In a paper-based environment there is no clear distinction between metadata and content because both

appear in the same object. By introducing an EDMS both aspects should be clearly separated.

4.2 Processes supported by metadata

Metadata provide a separate added value to the document, as they allow to manage, search,

retrieve, etc. within a repository of metadata.

Part 2 of International Standard 82045 provides a list of predefined data element types

supporting a semantically correct description of documents for the purpose of document

exchange and sharing.
Metadata support the following subjects:
– viewing and reproduction process of documents (the presentation aspect);
– identification of documents (the organization aspect);
– workflow and version management of the document (the life cycle aspect) and,
– relations between documents and associated products (the product aspect).
4.3 Document concepts
The document concept covers not only traditional paper-based documents, but also

computer-based information that is handled as a unit (a closed container of information).

This unit is identified, structured, processed, controlled, interchanged and communicated.

Documents in this standard can be a single document, a compound document, an aggregated

document or a document set.
---------------------- Page: 15 ----------------------
82045-1 © IEC:2001 – 23 –
The following list provides some examples:
– text documents, for example textual description or message;
– graphical document, for example drawing, picture, diagram, chart;
– lists, e.g. parts list;
– hypertext documents, for example linked documents built on SGML, XML, HTML;
– multimedia documents, for example composition of text, picture, video, sound;

– electronic information package (Bus message), e.g. query message, automatic log

message;
– CAx models, for example CAE, CAD, CAM, multi-aspect model.
4.3.1 Single document
Each document is associated with metadata, see Figure 1.

NOTE The line between the ellipse and the rectangular box reflects the logical association between the metadata

and the document.
metadata
read:
document associated
with metadata
document
IEC 1736/01
Figure 1 – Document with associated metadata
Example:
Business letter, memo, sketch.
In addition, this standard supports the following more comprehensive structures.
4.3.2 Compound document
A document may result as being composed from more than one type of document,

for example a technical specification document, made up of, for example text files and/or

pictorial representation files. Each file may be produced by different software applications.

See Figure 2. The document resulting does not know its former process of preparation.

For the management of possible links in compound documents, see 4.4.
NOTE The dashed arrows point from the formerly used sources of information.
---------------------- Page: 16 ----------------------
82045-1 © IEC:2001 – 25 –
metadata
Separate single
documents merged
document
into one single
document
document
document
document
IEC 1737/01
Figure 2 – Concept of the compound document
Example:
A report, which contains a spreadsheet, presentations, etc.
4.3.3 Document aggregation

A document aggregation is an assembly of self-contained documents; each associated with its

own metadata. The aggregating document has metadata, but not necessarily a separate own

document. See Figure 3.
NOT
...

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