Formats for Exchanging Archival

Data
An Introduction to EAD, EAC-CPF,
and Archival Metadata Standards

7th International Seminar of Archives

from Iberian Tradition,
1 July 2011
7th International Seminar of Archives from Iberian Tradition www.an.gov.br/tradicaoiberica Rio de Janeiro ▪ Brazil ▪ June 27th to July 1st, 2011
 Michael Rush
Accessioning Archivist / EAD
Coordinator,
Beinecke Rare Book and Manuscript
Library, Yale University

Co-Chair, Technical Subcommittee for

Encoded Archival Description, Society
2 of American Archivists
 Assumptions and Definitions

3
 Assumptions
Familiarity with some ICA standards - ISAD
(G), ISAAR (CPF), ISDF, or ISDIAH
Awareness of EAD, but little of no experience
with it
Little or no experience with XML

4
 Definitions
EAD: Encoded Archival Description
EAC-CPF: Encoded Archival Context –
Corporate bodies, Persons, and Families
XML: Extensible Markup Language

5
 Development History

6
 EAD Development History
Berkeley Finding Aid Project (1993-1995)
EAD Alpha (1996)
EAD Beta (1996)
EAD 1.0 (1998)
EAD 2002 (2002)
EAD 2002 Schema (2007)
EAD 2013?

7
 EAC-CPF Development History
Meeting at Yale University (1998)
Meeting at University of Toronto (2001)
EAC Beta (2004)
EAC-CPF (2010)

8
 Governance and Maintenance

9
 Governance and Maintenance
EAD

EAD Working Group (1995-2010)

Technical Subcommittee for EAD (2010- )

EAC-CPF

Ad hoc working group (2001-2004)

EAC Working Group (2007-2011)

Technical Subcommittee for EAC-CPF (2011- )

Schema Development Team (2010- )

10
 Design Goals and Applications

11
 EAD Design Goals
Represent hierarchical structure of finding
aids
SGML, then XML
Flexibility, to encourage adoption.
Compatibility with ISAD (G)

12
 EAD Applications
Delivery
Standardization
Sharing
Transmission/Communication
Repurposing

13
 Example EAD Implementations
Yale Finding Aid Database
Online Archive of California (OAC)
Northwest Digital Archive (NWDA)
Archives Portal Europe (APEnet)

14
 EAC-CPF Design Goals
Close compatibility with ISAAR (CPF)

A change from EAC Beta to current schema
XML
Philosophical neutrality
Relatively simple and straightforward
Extensible design
Adaptability to relational database structures

15
 EAC-CPF Applications
Identity/Authority
Description
Relationships
Aggregation
Transmission/Communication

16
 Example EAC-CPF Implementation
The Social Networks and Archival Context Project
(SNAC)

18
 Challenges

19
 Challenges
Data migration and/or creation
Establishing encoding best
practices
Delivery

Indexing and search

Display
Data maintenance
Sharing
20
 Data migration/creation
Methods

Hand encoding

Templates

Scripting

Outsourcing

Export from databases (Archivists’ Toolkit,
Archon, ICA AtoM)
Costs

Staff time

Staff training

Consultant or outsourcing fees
21

Software
 Encoding Best Practices
Local

Yale EAD Encoding Best Practice Guidelines [EAD]
Consortial

Northwest Digital Archives Best Practice Guidelines [EAD]

RLG Best Practice Guidelines for Encoded Archival Description
[EAD]

22
 Delivery
Indexing and search

No single solution

Popular tools include :
➢
XTF (eXtensible Text Framework)
➢
Fedora Commons Repository Software
Display

Transformation via XSLT (Exstensible
Stylesheet Language – Transformations)
➢
XML --> HTML
➢
XML --> PDF
23
 CSS
24
 Data Maintenance
File management
Version control
Link maintenance

25
 Sharing
Consortia
Bulk Aggregators

ArchiveGrid

Topical Aggregators

U.S. National Library of Medicine, History of Medicine Finding Aids Consortium

26
 Related Standards

27
 Related Description Standards
ICA standards:

ISAD(G): General International Standard Archival
Description - Second edition

ISAAR(CPF): International Standard Archival
Authority Record for Corporate Bodies, Persons
and Families, 2nd Edition

ISDF: International Standard for Describing
Functions

ISDIAH: International Standard for Describing
Institutions with Archival Holdings
National Description Standards

DACS: D escribing Archives: A C ontent S tandard
28 (USA)
 EAD Data Structure

29
 EAD: Basic Structure
<ead>*

<eadheader>*

<archdesc>*
➢
<dsc>

30
 EAD Header
<eadheader>*

<eadid>*

<filedesc>*

<profiledesc>

<revisiondesc>

31
 File Description
<filedesc>*

<titlestmt>*
➢
<titleproper>*
➢
<author>

<publicationstmt>
➢
<publisher>
32
 Profile Description
<profiledesc>

<creation> - Creation

<langusage> -
Language Usage

<descrules> -
Descriptive Rules
33
 Revision Description
<revisiondesc>

<change> - Change
➢
<date> - Date
➢
<item> - Item

34
 EAD: Basic Structure
<ead>*

<eadheader>*

<archdesc>*
➢
<dsc>

35
 Hierarchical Encoding
<archdesc>

Top level of description.
<dsc>

Optional child of <archdesc>

Consists of nested components

36
 Components
<c> - Component (Unnumbered)
Or
<c01> - Component (First Level)

<c02> - Component (Second
Level)
➢
Through <c12> - Component
(Twelfth Level)

37
 Levels of Description

38
 Descriptive Elements
Valid as at all levels of
description
<did> is required at each level
of description.

39
 Descriptive Identification
<did>*

Always the first child of
<archdesc> and the
component elements.

Wrapper element containing
elements with basic identifying
information.

Must have one child element.
40
 <did> Children
<unitid> - Unit Identification
[ISAD(G) 3.1.1]
<unittitle> - Unit Title
[ISAD(G) 3.1.2]

41
 <did> Children (continued)
<unitdate> - Unit Date
[ISAD(G) 3.1.3]
<physdesc> - Physical
Description
[ISAD(G) 3.1.5]

42
 <did> Children (continued)
<origination> - Origination
[ISAD(G) 3.2.1]
<langmaterial> - Language
of the Material [ISAD(G) 3.4.3]

43
 <did> Children (continued)
<note> - Note [ISAD(G) 3.6.1]
<abstract> - Abstract
<physloc> - Physical Location
<materialspec> - Material
Specific Details
<repository> - Repository

44
 <did> Children (continued)
<did>

<container> - Container

<dao> - Digital Archival
Object

<daogroup> - Digital
Archival Object Group

45
 <did> Siblings
<bioghist> - Biography or History
[ISAD(G) 3.2.2]
<custodhist> - Custodial History
[ISAD(G) 3.2.3]
<acqinfo> - Acquisition Information
[ISAD(G) 3.2.3]

46
 <did> Siblings
<scopecontent> - Scope and
Content
[ISAD(G) 3.3.1]
<accruals> - Accruals
[ISAD(G) 3.3.2]
<appraisal> - Appraisal
[ISAD(G) 3.3.3]
<arrangement> - Arrangement
[ISAD(G) 3.3.4]
47
 <did> Siblings (continued)
<accessrestrict> - Conditions
Governing Access [ISAD(G) 3.4.1]
<userestrict> - Conditions Governing
Use
[ISAD(G) 3.4.2]
<phystech> - Physical Characteristics
and Technical Requirements [ISAD(G)
3.4.4]
<otherfindaid> - Other Finding Aid
[ISAD(G) 3.4.5]
48
 <did> Siblings (continued)
<originalsloc> - Location of Originals
[ISAD(G) 3.5.1]
<altformavail> - Alternative Form
Available
[ISAD(G) 3.5.2]
<relatedmaterial> - Related Material
[ISAD(G) 3.5.3]
<separatedmaterial> - Separated
Material
[ISAD(G) 3.5.3]
49
 <did> Siblings (continued)
<bibliography> - Bibliography
[ISAD(G) 3.5.4]
<note> - Note
[ISAD(G) 3.6.1]
<odd> - Other Descriptive Data
[ISAD(G) 3.6.1]
<processinfo> - Processing
Information
[ISAD(G) 3.7.1]
50
 <did> Siblings (continued)
<prefercite> - Preferred
Citation
<controlaccess> - Control
Access
<fileplan> - File Plan
<index> - Index

51
 EAC-CPF Data Structure

52
 EAC-CPF Concepts
SINGLE IDENTITY: one person (or corporate body or family) with a single identity
represented in one EAC-CPF instance. (Most common.)

MULTIPLE IDENTITY-MANY IN ONE: two or more identities (including official identities)

with each represented by distinct descriptions within one EAC-CPF instance. Can be
programmatically converted into Multiple Identity-One in Many. (Less common
though not rare.)

MULTIPLE IDENTITY-ONE IN MANY: two or more identities (including official identities)

each represented in two or more interrelated EAC-CPF instances. Can be
programmatically converted into Multiple Identity-Many in One. (Less common
though not rare.)

ALTERNATIVE SET: derived EAC-CPF instance that is based on and incorporates two or
more alternative EAC-CPF instances for the same entity. To be used by a consortia or
a utility providing union access to authority records maintained in two or more
systems by two or more agencies. Alternative EAC-CPF instances may be in different
languages or in the same language.

COLLABORATIVE IDENTITY: a single identity shared by two or more persons (e.g. a

shared
pseudonym used in creation of a collaborative work). Use Multiple Identity-One in
Many. (Rare.)
53
 Basic structure
<eac-cpf>*

<control>*

<cpfDescription>
➢
<identity>
➢
<description>
➢
<relations>

54
 Basic Structure
<control>: identity, creation, maintenance,
status, rules and authorities, and sources
used to generate the EAC-CPF instance.

<cpfDescription>: description of the EAC-CPF

entity
<identity>: names
<description>: formal and informal descriptive
elements
<relations>: relationships to other entities,
resources and function descriptions
55
 Philosophical neutrality (1)
<eac-cpf>
<control></control>
<cpfDescription>
<identity></identity>
<description></description>
<relations>
<cpfRelation></cpfRelation>
<cpfRelation></cpfRelation>
</relations>
</cpfDescription>
</eac-cpf>

56
 Philosophical neutrality (2)
<eac-cpf>
<control></control>
<multipleIdentities>

<cpfDescription></cpfDescription>

<cpfDescription></cpfDescription>

<cpfDescription></cpfDescription>
</multipleIdentities>
</eac-cpf>
57
 <control>
<recordId>*
<maintenanceAgency>*
<maintenanceStatus>*
<maintenanceHistory>*
<publicationStatus>
<languageDeclaration>*
<sources>*
<conventionDeclaration>
<otherRecordId>
<localControl>
<localTypeDeclaration>
58
 <cpfDescription>/<identity>
<entityType>*
<nameEntry>**
<nameEntryParallel>**
<entityId>
<descriptiveNote>

59
 Basic Name Models
<nameEntry>
<part></part>
<useDates></useDates>
</nameEntry>

<nameEntryParallel>
<nameEntry></nameEntry>
<nameEntry></nameEntry>
</nameEntryParallel>
60
 <cpfDescription>/<description>
<existDates>
<function>
<generalContext>
<legalStatus>
<languageUsed>
<mandate>
<occupation>
<place>
<biogHist>
<structureOrGenealogy>
<localDescription>

61
 <cpfDescription>/<relations>
<cpfRelation>
<functionRelation>
<resourceRelation>

◦ @*RelationType
◦ <relationEntry>
◦ <objectBinWrap>
◦ <objectXMLWrap>
◦ <date>, <dateRange>, <dateSet>
◦ <place>
◦ <descriptiveNote>

62
 <cpfRelation>: relation types
@cpfRelationType

identity

hierarchical

hierarchical-parent

hierarchical-child

temporal

temporal-earlier

temporal-later

family

associative

63
 <resourceRelation>: relation types
@resourceRelationType

creatorOf

subjectOf

other

64
 <functionRelation>: relation types
@functionRelationType

controls

owns

performs

65
 Future Development

66
 EAD Revision Timeline
Comment period complete (October 2010 –
February 2011)
EAD Revision Forum (SAA Annual Meeting,
August 2011)
TS-EAD Working Meeting (March 2012)
Release draft schema (Fall 2012)
Second comment period (Winter 2013)
Finalize schema and documentation (Spring
2013)
Release revised schema (August 2013)

67
 EAD Revision Goals
Clarify relationship with EAC-CPF
Improve interoperability with databases

Reconsider finding aids as documents or data
Simplification

To eliminate unnecessary complexity

To make implementation easier
Improve usability
Enable profiles (schema subsets)

Data-friendly

Implementation-friendly (may or may not be
the same as data-friendly)
68
 Future EAC Development
EAC-CPF Implementation
Review by 2016
Companion EAC standards?

EAC-Functions (EAC-F)?

EAC-Institutions with Archival
Holdings (EAC-IAH)?

69
70
71
72
 Questions?

michael.rush@yale.edu

http://twitter.com/mike_rush

73