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Formats for Exchanging Archival             Data  An Introduction to EAD, EAC-   CPF, and Archival Metadata           Stan...
Michael Rush        Accessioning Archivist / EAD               Coordinator,    Beinecke Rare Book and Manuscript          ...
Assumptions and Definitions3
Assumptions     Familiarity with some ICA standards - ISAD (G),      ISAAR (CPF), ISDF, or ISDIAH     Awareness of EAD, ...
Definitions     EAD: Encoded Archival Description     EAC-CPF: Encoded Archival Context – Corporate      bodies, Persons...
Development History6
EAD Development History     Berkeley Finding Aid Project (1993-1995)     EAD Alpha (1996)     EAD Beta (1996)     EAD ...
EAC-CPF Development History     Meeting at Yale University (1998)     Meeting at University of Toronto (2001)     EAC B...
Governance and Maintenance9
Governance and Maintenance      EAD       EAD Working Group (1995-2010)       Technical Subcommittee for EAD (2010- )  ...
Design Goals and Applications11
EAD Design Goals      Represent hierarchical structure of finding aids      SGML, then XML      Flexibility, to encoura...
EAD Applications      Delivery      Standardization      Sharing      Transmission/Communication      Repurposing13
Example EAD Implementations      Yale Finding Aid Database      Online Archive of California (OAC)      Northwest Digit...
EAC-CPF Design Goals      Close compatibility with ISAAR (CPF)        A change from EAC Beta to current schema      XML...
EAC-CPF Applications      Identity/Authority      Description      Relationships      Aggregation      Transmission/C...
Oral history                interview with                Terry Sanford                 UNC SOHP                  Terry   ...
Example EAC-CPF                Implementation      The Social Networks and Archival Context Project      (SNAC)18
Challenges19
Challenges      Data migration and/or creation      Establishing encoding best       practices      Delivery        In...
Data migration/creation      Methods        Hand encoding        Templates        Scripting        Outsourcing       ...
Encoding Best Practices      Local       Yale EAD Encoding Best Practice         Guidelines [EAD]      Consortial      ...
Delivery      Indexing and search        No single solution        Popular tools include :         XTF (eXtensible Tex...
XML            HTML     XSLT                   CSS24
Data Maintenance      File management      Version control      Link maintenance25
Sharing      Consortia      Bulk Aggregators       ArchiveGrid      Topical Aggregators       U.S. National Library o...
Related Standards27
Related Description Standards      ICA standards:        ISAD(G): General International Standard Archival         Descri...
EAD Data Structure29
EAD: Basic Structure     <ead>*     <eadheader>*     <archdesc>*      <dsc>30
EAD Header     <eadheader>*      <eadid>*      <filedesc>*      <profiledesc>      <revisiondesc>31
File Description     <filedesc>*      <titlestmt>*       <titleproper>*       <author>      <publicationstmt>       ...
Profile Description     <profiledesc>      <creation> - Creation      <langusage> - Language      Usage      <descrule...
Revision Description     <revisiondesc>      <change> - Change       <date> - Date       <item> - Item34
EAD: Basic Structure     <ead>*     <eadheader>*     <archdesc>*      <dsc>35
Hierarchical Encoding      <archdesc>       Top level of description.      <dsc>       Optional child of <archdesc>   ...
Components      <c> - Component       (Unnumbered)      Or      <c01> - Component (First       Level)       <c02> - Co...
Levels of Description      @level      [ISAD(G) 3.1.4]         subseries       collection            file       fonds...
Descriptive Elements      Valid as at all levels of description      <did> is required at each level of      description...
Descriptive Identification      <did>*       Always the first child of        <archdesc> and the component        elemen...
<did> Children      <unitid> - Unit Identification       [ISAD(G) 3.1.1]      <unittitle> - Unit Title       [ISAD(G) 3....
<did> Children (continued)      <unitdate> - Unit Date       [ISAD(G) 3.1.3]      <physdesc> - Physical       Descriptio...
<did> Children (continued)     <origination> - Origination      [ISAD(G) 3.2.1]     <langmaterial> - Language      of th...
<did> Children (continued)      <note> - Note [ISAD(G) 3.6.1]      <abstract> - Abstract      <physloc> - Physical Loca...
<did> Children (continued)     <did>      <container> - Container      <dao> - Digital Archival       Object      <dao...
<did> Siblings      <bioghist> - Biography or History       [ISAD(G) 3.2.2]      <custodhist> - Custodial History       ...
<did> Siblings      <scopecontent> - Scope and       Content       [ISAD(G) 3.3.1]      <accruals> - Accruals       [ISA...
<did> Siblings (continued)      <accessrestrict> - Conditions       Governing Access [ISAD(G) 3.4.1]      <userestrict> ...
<did> Siblings (continued)      <originalsloc> - Location of       Originals      [ISAD(G) 3.5.1]      <altformavail> -...
<did> Siblings (continued)      <bibliography> - Bibliography       [ISAD(G) 3.5.4]      <note> - Note       [ISAD(G) 3....
<did> Siblings (continued)      <prefercite> - Preferred Citation      <controlaccess> - Control Access      <fileplan>...
EAC-CPF Data Structure52
EAC-CPF Concepts   SINGLE IDENTITY: one person (or corporate body or family) with a single identity     represented in one...
Basic structure      <eac-cpf>*      <control>*      <cpfDescription>       <identity>       <description>       <re...
Basic Structure     <control>: identity, creation, maintenance, status,      rules and authorities, and sources used to   ...
Philosophical neutrality (1)     <eac-cpf>       <control></control>       <cpfDescription>           <identity></identity...
Philosophical neutrality (2)     <eac-cpf>       <control></control>       <multipleIdentities>                  <cpfDescr...
<control>      <recordId>*      <maintenanceAgency>*      <maintenanceStatus>*      <maintenanceHistory>*      <publi...
<cpfDescription>/<identity>      <entityType>*      <nameEntry>**      <nameEntryParallel>**      <entityId>      <de...
Basic Name Models     <nameEntry>         <part></part>         <useDates></useDates>     </nameEntry>     <nameEntryParal...
<cpfDescription>/<description>      <existDates>      <function>      <generalContext>      <legalStatus>      <langu...
<cpfDescription>/<relations>      <cpfRelation>      <functionRelation>      <resourceRelation>       ◦   @*RelationTyp...
<cpfRelation>: relation types      @cpfRelationType       identity       hierarchical       hierarchical-parent      ...
<resourceRelation>: relation                  types      @resourceRelationType       creatorOf       subjectOf       o...
<functionRelation>: relation types      @functionRelationType       controls       owns       performs65
Future Development66
EAD Revision Timeline      Comment period complete (October 2010 –         February 2011)        EAD Revision Forum (SAA...
EAD Revision Goals      Clarify relationship with EAC-CPF      Improve interoperability with databases        Reconside...
Future EAC Development      EAC-CPF Implementation      Review by 2016      Companion EAC standards?       EAC-Functio...
EAC-           CPF                  EAC-     EAD   EAD     IAH           EAC-            F70
EAD            EAC-            CPF     EAC-          EAC-      F            CPF71
EAC-            F           EAC-            F                  EAC-     EAD                  CPF72
Questions?      michael.rush@yale.edu     http://twitter.com/mike_rush73
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Formats for Exchanging Archival Data: An Introduction to EAD, EAC-CPF, and Archival Metadata Standards

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Presented July 1, 2011, as part of the session "Standards, Information, and Data Exchange" at the 7th International Seminar of Iberian Tradition Archives, Rio de Janeiro, Brazil.

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Formats for Exchanging Archival Data: An Introduction to EAD, EAC-CPF, and Archival Metadata Standards

  1. 1. Formats for Exchanging Archival Data An Introduction to EAD, EAC- CPF, and Archival Metadata Standards VII International Seminar of Archives from Iberian Tradition
  2. 2. Michael Rush Accessioning Archivist / EAD Coordinator, Beinecke Rare Book and Manuscript Library, Yale University Co-Chair, Technical Subcommittee2 for Encoded Archival Description,
  3. 3. Assumptions and Definitions3
  4. 4. 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 XML4
  5. 5. Definitions  EAD: Encoded Archival Description  EAC-CPF: Encoded Archival Context – Corporate bodies, Persons, and Families  XML: Extensible Markup Language5
  6. 6. Development History6
  7. 7. 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
  8. 8. EAC-CPF Development History  Meeting at Yale University (1998)  Meeting at University of Toronto (2001)  EAC Beta (2004)  EAC-CPF (2010)8
  9. 9. Governance and Maintenance9
  10. 10. 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
  11. 11. Design Goals and Applications11
  12. 12. EAD Design Goals  Represent hierarchical structure of finding aids  SGML, then XML  Flexibility, to encourage adoption.  Compatibility with ISAD (G)12
  13. 13. EAD Applications  Delivery  Standardization  Sharing  Transmission/Communication  Repurposing13
  14. 14. Example EAD Implementations  Yale Finding Aid Database  Online Archive of California (OAC)  Northwest Digital Archive (NWDA)  Archives Portal Europe (APEnet)14
  15. 15. 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 structures15
  16. 16. EAC-CPF Applications  Identity/Authority  Description  Relationships  Aggregation  Transmission/Communication16
  17. 17. Oral history interview with Terry Sanford UNC SOHP Terry Terry SanfordTerry Sanfordpapers, 1946- Sanford records and papers, 1945- 1993 1998UNC (#3531) (EAC- Duke University CPF) Terry Sanford’s Governor’s papers, 1959- 1965 NC State Archives
  18. 18. Example EAC-CPF Implementation  The Social Networks and Archival Context Project (SNAC)18
  19. 19. Challenges19
  20. 20. Challenges  Data migration and/or creation  Establishing encoding best practices  Delivery  Indexing and search  Display  Data maintenance  Sharing20
  21. 21. 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 fees21  Software
  22. 22. 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
  23. 23. 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 --> PDF23
  24. 24. XML HTML XSLT CSS24
  25. 25. Data Maintenance  File management  Version control  Link maintenance25
  26. 26. Sharing  Consortia  Bulk Aggregators  ArchiveGrid  Topical Aggregators  U.S. National Library of Medicine, History of Medicine Finding Aids Consortium26
  27. 27. Related Standards27
  28. 28. 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: Describing Archives: A Content Standard28 (USA)
  29. 29. EAD Data Structure29
  30. 30. EAD: Basic Structure <ead>* <eadheader>* <archdesc>* <dsc>30
  31. 31. EAD Header <eadheader>* <eadid>* <filedesc>* <profiledesc> <revisiondesc>31
  32. 32. File Description <filedesc>* <titlestmt>* <titleproper>* <author> <publicationstmt> <publisher>32
  33. 33. Profile Description <profiledesc> <creation> - Creation <langusage> - Language Usage <descrules> - Descriptive Rules33
  34. 34. Revision Description <revisiondesc> <change> - Change <date> - Date <item> - Item34
  35. 35. EAD: Basic Structure <ead>* <eadheader>* <archdesc>* <dsc>35
  36. 36. Hierarchical Encoding  <archdesc>  Top level of description.  <dsc>  Optional child of <archdesc>  Consists of nested components36
  37. 37. Components  <c> - Component (Unnumbered)  Or  <c01> - Component (First Level) <c02> - Component (Second Level)37 Through <c12> - Component
  38. 38. Levels of Description  @level [ISAD(G) 3.1.4]  subseries  collection  file  fonds  item  class  Otherlevel  recordgrp  series  <archdesc  subfonds level=“fonds”>  subgrp  <c level=“series”>38
  39. 39. Descriptive Elements  Valid as at all levels of description  <did> is required at each level of description.39
  40. 40. 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
  41. 41. <did> Children  <unitid> - Unit Identification [ISAD(G) 3.1.1]  <unittitle> - Unit Title [ISAD(G) 3.1.2]41
  42. 42. <did> Children (continued)  <unitdate> - Unit Date [ISAD(G) 3.1.3]  <physdesc> - Physical Description [ISAD(G) 3.1.5]42
  43. 43. <did> Children (continued) <origination> - Origination [ISAD(G) 3.2.1] <langmaterial> - Language of the Material [ISAD(G) 3.4.3]43
  44. 44. <did> Children (continued)  <note> - Note [ISAD(G) 3.6.1]  <abstract> - Abstract  <physloc> - Physical Location  <materialspec> - Material Specific Details  <repository> - Repository44
  45. 45. <did> Children (continued) <did> <container> - Container <dao> - Digital Archival Object <daogroup> - Digital Archival Object Group45
  46. 46. <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
  47. 47. <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> - Arrangement47 [ISAD(G) 3.3.4]
  48. 48. <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]48  <otherfindaid> - Other Finding Aid
  49. 49. <did> Siblings (continued)  <originalsloc> - Location of Originals  [ISAD(G) 3.5.1]  <altformavail> - Alternative Form Available [ISAD(G) 3.5.2]  <relatedmaterial> - Related Material49 [ISAD(G) 3.5.3]
  50. 50. <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 Information50 [ISAD(G) 3.7.1]
  51. 51. <did> Siblings (continued)  <prefercite> - Preferred Citation  <controlaccess> - Control Access  <fileplan> - File Plan  <index> - Index51
  52. 52. EAC-CPF Data Structure52
  53. 53. 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 same53 language.
  54. 54. Basic structure  <eac-cpf>* <control>* <cpfDescription> <identity> <description> <relations>54
  55. 55. 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 descriptions55
  56. 56. Philosophical neutrality (1) <eac-cpf> <control></control> <cpfDescription> <identity></identity> <description></description> <relations> <cpfRelation></cpfRelation> <cpfRelation></cpfRelation> </relations> </cpfDescription> </eac-cpf>56
  57. 57. Philosophical neutrality (2) <eac-cpf> <control></control> <multipleIdentities> <cpfDescription></cpfDescription> <cpfDescription></cpfDescription> <cpfDescription></cpfDescription> </multipleIdentities> </eac-cpf>57
  58. 58. <control>  <recordId>*  <maintenanceAgency>*  <maintenanceStatus>*  <maintenanceHistory>*  <publicationStatus>  <languageDeclaration>*  <sources>*  <conventionDeclaration>  <otherRecordId>  <localControl>  <localTypeDeclaration>58
  59. 59. <cpfDescription>/<identity>  <entityType>*  <nameEntry>**  <nameEntryParallel>**  <entityId>  <descriptiveNote>59
  60. 60. Basic Name Models <nameEntry> <part></part> <useDates></useDates> </nameEntry> <nameEntryParallel> <nameEntry></nameEntry> <nameEntry></nameEntry> </nameEntryParallel>60
  61. 61. <cpfDescription>/<description>  <existDates>  <function>  <generalContext>  <legalStatus>  <languageUsed>  <mandate>  <occupation>  <place>  <biogHist>  <structureOrGenealogy>  <localDescription>61
  62. 62. <cpfDescription>/<relations>  <cpfRelation>  <functionRelation>  <resourceRelation> ◦ @*RelationType ◦ <relationEntry> ◦ <objectBinWrap> ◦ <objectXMLWrap> ◦ <date>, <dateRange>, <dateSet> ◦ <place> ◦ <descriptiveNote>62
  63. 63. <cpfRelation>: relation types  @cpfRelationType  identity  hierarchical  hierarchical-parent  hierarchical-child  temporal  temporal-earlier  temporal-later  family  associative63
  64. 64. <resourceRelation>: relation types  @resourceRelationType  creatorOf  subjectOf  other64
  65. 65. <functionRelation>: relation types  @functionRelationType  controls  owns  performs65
  66. 66. Future Development66
  67. 67. 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
  68. 68. 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
  69. 69. 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. 70. EAC- CPF EAC- EAD EAD IAH EAC- F70
  71. 71. EAD EAC- CPF EAC- EAC- F CPF71
  72. 72. EAC- F EAC- F EAC- EAD CPF72
  73. 73. Questions? michael.rush@yale.edu http://twitter.com/mike_rush73

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