Document Class: Normative Documents
Caveat. The definitions below are to be considered only as a general description with the sole purpose of providing an indication of the types of documents that may belong to each class and subclass.
UN document class | Normative Documents |
subclasses | Charter Description: foundational treaty outlining the conditions under which a body is organised, and defining its rights and privileges. Code of Conduct Description: rules outlining the responsibilities of, or proper practices for: individuals, parties, organizations, or countries on specific issues. Code of Practice Description: defines correct procedures on how to implement principles and/or standards. Constitution Description: a set of fundamental principles or established precedents according to which a body is acknowledged to be governed. Convention Description: mandatory regulations subject to ratification. Instruments usually negotiated under the auspices of an international organization. Protocol Description: international agreement that supplements a previous treaty or international agreement. Recommendation Description: provide guidance and may create reporting obligations for parties. Rules Description: prescribe principles governing conduct or procedure within a particular area of activity. Rules of Procedure Description: prescribe guides for conduct or actions, such as rules for conducting business within a body, as well as for the financial administration of organizations and their members. Regulation Description: set guides to enforce a statutory instrument or regulate activities. Standard Description: set of guides established by consensus outlining the responsibilities of, or proper practices for, individuals, parties, organizations or countries on specific issues. Treaty Description: international agreements concluded between States, and bilateral or multilateral agreements governed by international law to which international organizations are parties. |
AKN4UN | AKN | AKN4UN | UN Document | AKN4UN |
documentType | subtype | sub-class | @name sub-class mandatory | |
value is prescribed | value is suggested | |||
normative documents | <act> <bill> | provision | charter | charter |
code of conduct | codeOfConduct | |||
code of practice | codeOfPractice | |||
constitution | constitution | |||
convention | convention | |||
protocol | protocol | |||
recommendation | recommendation | |||
rules | rules | |||
rules of procedure | rulesOfProcedure | |||
regulation | regulation | |||
treaty | treaty | |||
standard | standard | |||
function | Formal provisions concerning commands, recommendations, opinions or expressions of will issued by a principal or a subsidiary organ or other empowered bodies. Function Formal provisions concerning commands, recommendations, opinions or expressions of will issued or entered into by a principal or a subsidiary organ or other empowered bodies. Structure Usually articulated in hierarchical structures in which the text is subdivided into higher and lower subdivisions. | |||
authors | UN principal and subsidiary organs, funds, programs, specialized agencies, other entities deliberative bodies of intergovernmental organizations, conference, commission, etc. | |||
editors | Secretariats of the assemblies, councils, conferences, boards, or international organizations, governmental organizations, etc. |
Caveat. What follows is the modelling and description of the "Normative Documents Class" (logical normative document) in which a "normative document" may appear during its lifecycle.
The Normative Documents Class is not specific to the normative documents of any organization in particular. It lists all the possible characteristics that a normative document may have across all the UN organizations, since the objective is to cover all the variances that may exist. The description and modelling of the publications in which a normative document may be published is presented in the "Publication Document Class".
The Normative Documents Class will have to be localised by the different organizations, based on their specific editorial and style traditions, by selecting only the elements that are required to model all the relevant structural and semantic parts of a specific typology of a normative document.
Please note that the XML examples provided in the next sections should not be considered complete. Examples show only the essential structural elements of the mark-up and only the ones relevant in a specific context without any semantic or presentation markup in order to keep the XML "humanly’" readable.
Document Structure
The structure of normative documents may have the following elements:
Identification part Title, proponent authority, identification, etc. | always present |
Justificatory text Purpose, motivations, justification or legal basis. | not always present. |
Main content Main text usually articulated in hierarchical structures. | always present |
Closing formula Closing formulas, date etc. | not always present. |
Attachments Informative or technical documents. | not always present. |
Modelling
document type | <akomaNtoso> <act contains="originalVersion" name="{AKN4UN:subclass}"> |
metadata | <meta> <identification source="#{manifestationAuthor}1"> </identification> </meta> |
identification part | <preface> (...) </preface> |
justificatory text | <preamble> (...) </preamble> |
main content | <body> (...) </body> |
closing formula | <conclusions> (...) </conclusions> |
attachments | <attachments> (...) </attachments> |
</act> </akomaNtoso> |
Examples
Below are some practical examples of the Akoma Ntoso mark-up of the main blocks of a normative document.
document type source2 | <akomaNtoso> <act contains="originalVersion" name="{AKN4UN:subclass}"> | |
identification part | <preface> ……… </preface> | |
preamble | <preamble> ……… </preamble> | |
main content | <body> ……… </body> | |
closing block | <conclusions> ….. </conclusions> | |
annexes | <attachments> ….. </attachments> | |
</act> </akomaNtoso> |
Identification part: <preface>
The identification part <preface> includes any matter found from the very beginning of a document up to where the <preamble> begins. It may contain information related to the title of the document, proponent authority, identification numbers, date of approval, etc. It may include long titles, tables of contents, and the like.
Normative documents may start with some or all of the information below, not necessarily in the same order:
document type
title
document authority
acronym
identifier
date of adoption
Modelling <preface>
For information about element specific usage, see 1.2 <preface>.
Examples
source3 | |
modelling | <preface> FOR THE SAFETY OF LIFE AT SEA <inline name="year" value="2004">2004</inline> |
modelling | <preface> <p> </docTitle> Adopted in <inline name="year" value="1985" refersTo="#yearOfAdoption">1985</inline>. <inline name="year" value="2011" refersTo="#yearOfRevision">2011</inline>. Amendment: <inline name="year" value="2003" refersTo="#yearOfAmendment">2003 </inline>, <inline name="year" value="2009" refersTo="#yearOfAmendment">""2009 </inline>, <inline name="year" value="2012" refersTo="#yearOfAmendment">""2012 </inline>, <inline name="year" value="2013" refersTo="#yearOfAmendment">""2013 </inline>, <inline name="year" value="2015" refersTo="#yearOfAmendment">""2015</inline> and <inline name="year" value="2016" refersTo="#yearOfAmendment">""2016 </inline>. ANNEX adopted in <inline name="year" value="2011" refersTo="#yearOfAdoption">2011</inline>. Revision: <inline name="year" value="2013" refersTo="#yearOfAdoption">""2013</inline>, <inline name="year" value="2016" refersTo="#yearOfAdoption">""2016</inline> </p> </preface> |
Notes | Here we use the <inline> element to qualify the dates with a specific name indicating the type of date. For the years, we recommend using @value to expresse the value of the year followed by the @refersTo noun form of the word to describe the year, e.g. "Amendment" and "Adoption" which gives us : "yearAdoption" and "yearAmendment". |
source5 | |
modelling | <preface> <p> <docAuthority refersTo="#unesco">United Nations Educational, Scientific and Cultural </docTitle> Adopted in <docDate date="1945-11-16"> London on 16 November 1945</docDate> and amended by the General Conference at its <session refersTo="#sessionSecond" value="2">2nd</session>, <session refersTo="#sessionThird" value="3">3rd</session>, <session refersTo="#sessionFourth" value="4">4th</session>, <session refersTo="#sessionFifth" value="5">5th.</session> </preface> |
source6 | |
modelling | <preface> <p> <docType refersTo="#agreement">AGREEMENT </docType> FOR THE ESTABLISHMENT OF A CENTRE ON INTEGRATED RURAL DEVELOPMENT </docTitle> <event name="interval" refersTo="#interval"> <date date="1979-09-18" refersTo="#startDate">18</date> <date date="1979-09-21" refersTo="#endDate">21 September 1979</date></event> </preface> |
source7 | |
modelling | <preface> <p> <docTitle> <docType>Protocol</docType> of 1990 to the Night Work (Women) Convention (Revised), 1948 </docTitle> 26 Jun 1990</docDate>) <docStatus refersTo="#upToDateInstrument">Up-to-date instrument</docStatus>. </p> </preface> |
Justificatory text: <preamble>
The justificatory text includes any matter found after the <preface> up to where the <body> begins. It may contain one or more paragraphs stating purpose, aims, and justification of a normative document. They may refer to the legal basis, other normative documents, statements, etc.
This part may consist of one or more different paragraphs, usually not numbered, which state the considerations on the legal basis and rationale of a document. At times it might be structured as a single long sentence formatted into multiple paragraphs for readability, in which each paragraph begins with a verb.
The preambular part usually begins with an "enacting formula", followed by unnumbered paragraphs.
The preamble typically begins with a present, past or perfect participle or participial phrase in italics, and ends with a comma. Preamble paragraphs may be subdivided as follows:
First-degree sub-paragraphs: e.g. identified by lower-case letters between parentheses.
Second-degree sub-paragraphs: e.g. identified by lower-case roman numerals between parentheses.
Note: the styles may vary according to the language and organization.
Some or all the informational parts below, but not necessarily in the same order, may be found:
Recitals: motivations and justifications of the legal document.
Citations: references to other legal documents.
Enacting Formula: enacting sentences.
Paragraph(s).
Modelling <preamble>
For information about element specific usage, see section 1.4 <preamble>.
Examples
modelling | <preamble> <heading>Preamble</heading> | ||
source9 | |||
modelling | <preamble> <container name=""> <block name="heading">PREAMBLE</block> Considering that on 21 May 2003, the Fifty-sixth World Health Assembly adopted by consensus the WHO Framework Convention on Tobacco Control, which came into force on 27 February 2005; </p> </container> </preamble> | ||
Here we have to use <block name="heading">PREAMBLE</block> and not <heading> because in this case we have also the "enacting formula" and "recital" that wrapped in a "conatainer" elements that does not support <heading>. Please note that all these "containement rules" will be managed by the editing software that will provide to the content editors only the correct options. | |||
In <container name=""> the @name is required. | |||
source | |||
modelling | <preamble> <container name=""> <recitals> </preamble> | ||
notes | If recitals are mumbered you may use eId and <num> e.g. <recital eId="recital_1"><num>1</num> If you want to number recitals that are not explicitly numbered you may just use eId e.g. <recital eId="recital_1"> | ||
source10 | |
modelling | <preamble> <container name=""> <formula name="enactingAuthority"> International Labour Office, </container> </preamble> |
Main content: <body>
The main content includes any matter found after the <preamble> up to the <conclusion>, or <attachments>, or the end of the document. It contains the main part of the document, which is characterised by a structural complexity that may vary depending on the document typology and purpose.
It is usually articulated in hierarchical structures in which the text is subdivided into higher subdivisions, basic units and lower subdivisions.
The higher subdivision may be called parts, sections, chapter etc. and groups the basic units. Higher subdivision may have Roman or Arabic numbers or letters to identify them and may or may not have a title.
The basic units (e.g. articles, clauses) may or may not have heading and may be numbered (Roman or Arabic numbers or letters) with a single numeration for the entire body or within each of the parts of which they may be composed of.
The lower subdivision may include paragraphs, sub-paragraphs, sub-points, etc. Single paragraph are usually not numbered or may be numbered with Roman or Arabic numbers or letters with different styling conventions.
<body>
Normative documents are usually modelled in hierarchical structures. By hierarchical structure we mean a structure organized with higher subdvision that groups basic units and lower subdivisions inside of the basic unit, much like a hierarchy of headings in a word document as heading1, heading2, heading3 and so on. The "hierarchy" in the hierarchy structure is analogous to a typical heading hierarchy in a document.
The <body> element is used for any document that presents an explicit hierarchy of parts, which may be identified by a meaningful name. The content is composed of higher levels subdivisions e.g. chapters, sections, etc.) that group basic units (e.g. article, section, etc.) and all the lower levels subdivisions they might contain (e.g. paragraphs, lists, etc.).
The Akoma Ntoso standard is neutral with respect to the legal drafting traditions and provides most of the hierarchical elements for modelling the body structure in a very precise way without prescribing any fixed order for the different hierarchical elements. It explicitly supports the following hierarchical containers in alphabetical order: alinea, article, book, chapter, clause, division, hcontainer, indent, level, list, paragraph, part, point, proviso, rule, section, subchapter, subclause, subdivision, sublist, subparagraph, subpart, subrule, subsection, subtitle, title, tome and transitional.
Please note that the word "paragraph" appears with two meanings in this section:
Legislative structure: corresponds to the <paragraph> hierarchical element when it is numbered or to the <alinea> element when it is not numbered.
Text (typographical) paragraph: it is the minimum unit of text that will be marked with a single <p> element.
The following table, taken from the Akoma Ntoso documentation, shows an example of the different hierarchical elements which fit the different legal traditions:
Anglophone | French | Portuguese | Spanish | AKOMA NOTOSO | |
Higher Subdivision | Tome | Tome | tome | ||
Part | Partie (codes) | Parte (codes) | Parte | part | |
Livre (codes) | Livro (codes) | Libro | book | ||
Title | Titre | Título | Título | title | |
Chapter | Chapitre | Capítulo | Capítulo | chapter | |
Subchapter Article (US) | Section (codes) | Secção | Sección o Párrafo | section | |
Subsection (code) | SubSeçcão | subsection | |||
level | level11 | ||||
Basic Unit | Section Rule | Article | Artigo | Artículo | article/ section/ |
Lower Subdivision | Subsection Clause (in US Constitution) | Alinéa | Alineas | Inciso | subsection clause |
Paragraph | Paragraphe | Paragrafo | paragraph | ||
Proviso | proviso | ||||
Subparagraph | subparagraph | ||||
division | |||||
letra | point/item | ||||
número | point/item | ||||
Latin number | point/item | ||||
point/item |
There are cases where the hierarchical levels are either not named or their naming is unclear. For instance, in some cases the reference might be simply stated as §7(f)(2), where it is not clear how the lower levels are named. For these undefined or inconsistent cases, the more generic <level> element may be used.
Please note that there are cases where it is possible to have headings that act as a divider, more than as hierarchical containers. These cases should be modelled using the <crossheading> element, which does not participate in the hierarchy of a document.
For the actual organization of the hierarchical elements and their specific content model please see the section "Hierarchical Elements".
Examples
modelling | <body> <def eId="def_1">"<term refersTo="#brokering">Brokering</term>" means acting as an agent for others, as in negotiating contracts, purchases, or sales in return for a fee or commission.</def> </p> <def eId="def_2">"<term refersTo="#cigarette">Cigarette</term>"means a roll of cut tobacco for smoking, enclosed in cigarette paper. This excludes specific regional products such as bidis, ang hoon, or other similar products which can be wrapped in paper or leaves. For the purpose of Article 8, "cigarette" also includes fine cut "roll your own" tobacco for the purposes of making a cigarette.</def> </p> |
source13 | |
modelling | <body> <point eId="part_I__chp_1__art_1__list_1__point_a"> </list> |
source14 | |
modelling | <body> <intro> <p>Each Party shall, where appropriate, consistent with its national law and the objectives of the WHO Framework Convention on Tobacco Control, require that all natural and legal persons subject to Article 6 take the necessary measures to prevent the diversion of tobacco products into illicit trade channels, including, inter alia:</p></intro> <point eId="art_10__para_1__list_1__point_a"> </list> |
source15 | |
modelling | <body> <point eId="art_9__para_9-1__list_1__point_1"> </list> |
(omissis) | |
modelling | <body> <point eId="art_VIII__list_1__point_a"> <point eId="art_VIII__list_1__point_b__list_1__point_i"> </point> </list> |
modelling | <body> <point eId="art_76__list_1__point_a"> <wrapUp> |
modelling | <body> <point eId="part_I-A__chp_1__para_1-1__list_1__point_1"> <!-- omissis --> |
source19 | |
modelling | <body> |
modelling | <body> <point eId="rule_16bis__para_16bis-1__list_1__point_a"> </list> | |||
modelling | <body> | |||
notes | Here the @status attribute is used to indicate that the paragraphs 76.1, 76.2 and 76.3 have been deleted by setting its value to "removed". There is an additional class attribute set with @class=’concatenated’ which is used for presentation purposes, to show the contents of the consecutively deleted paragraphs on the same line. You will notice the <omissis> tag used in the content of the paragraph. This has been used to indicate that the content in the paragraph is not the original content of the paragraph, and should not be considered as such. The <omissis> tag is typically used for legal redactions from normative text. A question may be asked here as to why we have used <paragraph> tags to indicate the deleted paragraphs. The reason is to ensure consistency and continuity in the mark-up (especially if you have to renumber), –at an earlier stage of the life of the document the paragraphs existed with content, and were later deleted – thus the empty paragraphs act as placeholders for the deletions. | |||
Closing formula: <conclusion>
The closing formula includes all concluding material (e.g. closing formula(s), date(s) and signature(s)) and is placed at the end of the main document, typically before the Annexes.
Some or all the info parts below, not necessarily in the same order, may be found in this part:
date of execution
place/site
witnessing clause
parties
Modelling <conclusions>
For information about element specific usage, see section 1.6 <conclusions>.
Examples
source22 | |
modelling | <conclusions> <container> </container> </conclusions> |
source23 |
modelling | <conclusions> <container> </container> </conclusions> |
source24 | |
modelling | <conclusions> <container> </container> </conclusions> |
Annexes/Attachments: <attachments>
The annexes block includes all additional material in normative documents. They are generally autonomous documents that the normative document adopts or endorses, e.g. international agreements, treaties etc. They all retain their independent structure and formats. When such a document appears after the closing formula, it is structurally considered an annex.
The "additional material" typically appears after the main text of the normative document and may be titled with the word Annex, Attachment, Schedule, Tables, etc. and, usually, a descriptive heading.
Annexes in the strict sense are used as a means of presenting provisions or parts of provisions separately from the body of the enacting terms, in particular because of their technical nature: e.g. rules to be applied by specific actors, lists of products, tables of figures, plans and drawings and so on.
All these documents are "annexed" and by their very nature an integral part of the normative document. While pre-existing legal documents that are endorsed or referenced by normative documents (e.g. rules of subordinate bodies or international agreements) are generally "attached".
Modelling <attachments>
For information about element specific usage, see section 1.7 <attachments>.
Examples
source25 | (omissis) |
modelling (Annex 1) | <attachments> |
modelling | <attachments> <attachment> |
source26 | |
modelling | <attachments> …………<meta> … </meta> <preface> |
1 The author of the XML markup, the person/organization who take the responsibility for information provided.
11 In the cases where the hierarchical levels are either not named or their naming is unclear the more generic <level> element may be used.
13 http://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO:12100:P12100_INSTRUMENT_ID:312333:NO
14 http://apps.who.int/iris/bitstream/10665/80873/1/9789241505246_eng.pdf?ua=1&ua=1 page 19
22 http://www.fao.org/3/a-i1644t.pdf , page 24
25 http://www.un.org/depts/los/convention_agreements/texts/unclos/unclos_e.pdf Annex 1,2 : page 143