EAD Bibliography 1

Running Head: EAD Bibliography

Encoded Archival Description: An Annotated Bibliography

Amy Nelson

Emporia State University

EAD Bibliography 2

Encoded Archival Description: An Annotated Bibliography

Technological advancements are responsible for many changes in practice and thinking

within library and archival communities. Among such changes is the increased use of the

Internet by historical repositories to share their collections via electronic finding aids and

improved catalog records. The evolution of markup languages such as HTML and XML has

enabled archivists and records managers to convert and create metadata about historical

collections and their finding aids using Encoded Archival Description (EAD).

First introduced over a decade ago, EAD has been implemented by a number of national

and international institutions, who have experienced many benefits and challenges. The

archival community currently expresses both optimism and skepticism about EAD. While

proponents argue that EAD is opening new doors for information access and retrieval, others

demand a deeper understanding of the theory and methodology behind this new standard and

are unsure of training needs, institutional costs, technology limitations and user satisfaction.

This bibliography, intended for archivists, catalogers and other professionals who work

with information retrieval in archive settings, strives to present resources that will provide

useful information about the history of EAD and its relationship to other descriptive standards,

theoretical and administrative considerations, and case studies from a variety of archival

institutions using EAD. The resources have been selected for their accessibility to both novice

and expert archivists, as well as to non-EAD users, professionals considering EAD

implementation, and those who have been using the standard for years.

EAD Bibliography 3

Fox, M. (2004). The EAD Cookbook. Retrieved November 1, 2009 from

http://www.archivists.org/saagroups/ead/ead2002cookbook.html.

Member of the EAD Working Group and accomplished archivist, Michael Fox, created

the EAD Cookbook to simplify the process of learning about and implementing EAD. This

revision to the manual published in 2000 provides various protocols and tools, including:

tag usage, software use, file configuration, display options, design principles, templates

for EAD documents, and downloadable XLST stylesheets.

Based on RLG Best Practices Guidelines for Encoded Archival Description, the EAD

Cookbook seeks to establish greater consistency in encoding and presentation for use in

union environments and local repositories to improve record management and user

access. Although Fox uses highly technical language, the book includes clear

instructions, templates and examples that should develop a solid understanding among

new and experienced users of EAD. Review of the theory and methodologies introduced

by the articles edited by Dooley, Pitti & Duff will provide useful background information

that inspired Fox to write this manual. Similarly, Prom’s survey and usability study

provides an interesting follow-up investigation of institutions that have used this

resource.

EAD Bibliography 4

Dooley, J. (1998). Encoded archival description: Context, theory, and case studies. Chicago:

Society of American Archivists

Originally published in two consecutive issues of American Archivist, 60(3-4), this book

compiles articles by leaders in the field such as Pitti, DeRose, Fox, Ruth, and Dow to

explain the history and context of EAD development, as well as the implications of its

use in archives and repositories. Although the articles were published over ten years ago

and digital technology has advanced significantly since that time, this book is valuable

because it presents seminal works in the field that lay the foundation for the

standardization and universal access that EAD seeks to provide.

The articles in the first half of the book are theoretical and technical in nature,

focusing on the history, structure, and administrative considerations behind EAD. The

second half of the book presents case studies that illustrate the benefits and challenges

of EAD implementation. These articles compliment others that have been written in

more recent years by McCrory & Russell, Wisser & Roper, Roth, and Prom that analyze

the effects of EAD-use in libraries and archives. Similarly, Describing Archives: A Content

Standard and RLG Best Practices Guidelines provide important background information

about the organizational standards that influence archives and support the

development of EAD.

EAD Bibliography 5

Dow, E. (2005). Creating EAD-compatible finding guides on paper. Lanham, MD: Scarecrow

Press.

As an assistant professor at the School of Library and Information Science at Louisiana

State University in Baton Rouge who has worked in numerous archives, Dow uses her

expertise to explain how to create paper-based finding aids that can easily be converted

to EAD. In addition to providing a brief history of EAD and markup languages such as

XML, Dow describes the information that must be collected to create comprehensive

paper-based finding aids and the various standards that should be used when organizing

materials in order to prepare archivists for future migration to a digital environment.

This basic introduction to EAD, cataloging, and archival principles uses numerous

examples to create an overview of the organizational system at work in an archive.

Although the book focuses on inventories for manuscript repositories that were created

using word processing software, the practices introduced by Dow can be expanded to

encompass other archival settings. Dow supports her treatment of this subject by citing

the works of leaders in the field such as Pitti, Fox and the Society of American Archivists.

For a more thorough understanding of Dow’s work, review of ISAD(G), RLG Best

Practices Guidelines, and Describing Archives: A Content Standard is recommended.

EAD Bibliography 6

McCrory, A. & Russell, Beth. (2005). Crosswalking EAD: Collaboration in archival description.

Information Technology and Libraries, 24(3), 99-106

In this article, archivist, Amy McCrory and Beth Russell, Head of Special Collections

Cataloging, discuss the application of EAD at The Ohio State University Libraries (OSUL).

This article builds on earlier works about processes for mapping EAD to MARC by

exploring the technical implementation of several types of mapping used by OSUL staff.

Likewise, this article offers a useful model of collaboration across library departments to

present finding aids on the Web, and to exchange information with other metadata

systems already in place. Although this project was completed at a large, academic

institution, the procedures introduced in this article could be adapted to a smaller

library with fewer, but well-trained staff.

OSUL began EAD conversion through outsourcing but later learned that

departments could benefit from working together to generate their own local records.

Staff was trained to use the EAD Cookbook to create templates, and to conform to

standards established by RLG Best Practices Guidelines, Best Practices of the Online

Archive of California and Archives, and Hensen’s Personal Papers, and Manuscripts.

McCrory and Russell use very technical language to explain the crosswalk and

mapping procedures used by OSUL; however, review of the EAD Tag Library and the

EAD Cookbook will help familiarize the beginning archivist or cataloger with the markup

languages and organizational principles described in this article.

EAD Bibliography 7

Network Development and MARC Standards Office of the Library of Congress (2009).

Encoded Archival Description Version 2002 Official Site. Retrieved November 15, 2009

from http://www.loc.gov/ead/index.html.

The EAD Version 2002 Official Site reflects the contributions to archival description and

encoding made by the EAD Working Group. Members of this international group include

forerunners in the field such as Pitti, Fox and Kiesling. In addition to offering access to

EAD news, and links to related websites and publications, this website offers an

extensive history of EAD’s development, design principles for enhancement of EAD, and

access to both the 2001 and 2002 versions of EAD.

Although there is some overlap between the documents posted on the LC’s

website, and those available from the Society of American Archivists, this is a useful

companion to the SAA’s website because essential documents like the 2002 EAD Tag

Library are more easily located. Similarly, as an authority on descriptive standards, the

Library of Congress’ website explains how this cultural institution supports EAD

initiatives and encourages networking among archivists by offering subscription to an

EAD Listserv, for which an archive is also available.

EAD Bibliography 8

Pitti, D. & Duff, W. (2001). Encoded archival description on the internet. New York: Haworth Press.

This collection of articles gives an overview of EAD, its history and where it will lead in

the future. The papers in this book provide an introduction to archival description and

EAD, examples of its use in various contexts, and its impact on users and reference

services. Likewise, it seeks to show how archivists can take advantage of the Internet to

provide access and deliver information across geographical boundaries.

While some of the contributors use moderately technical language, most of the

articles in this book are relatively accessible to archivists of all experience levels and

backgrounds. There is a balance between technical, scholarly and practical accounts of

EAD’s development and implementation. Likewise, research is presented from

professionals working in a variety of archival settings, ranging from university and public

libraries to government repositories and museums.

Edited by leaders in the development of EAD, Daniel Pitti, CPhil, MLIS, and

Wendy Duff, PhD,this book is a welcome companion to Encoded Archival Description:

Context,Theory and Case Studies because it diverges from the theoretical context of EAD

and focuses on practical applications. Since this book was published a few years later,

there is more research available to build a more holistic view of EAD.

EAD Bibliography 9

Prom, C. (2002). The EAD Cookbook: A survey and usability study. The American Archivist, 65,

257-275.

Building on his research interests about the ways in which archival users seek

information relevant to their needs and how they use electronic tools, Christopher

Prom, Assistant University Archivist and Associate Professor of Library Administration at

the University of Illinois at Urbana-Champaign has written this article to share results

from a survey of EAD Cookbook users, and evaluate the usability of EAD finding aids.

Prom provides a brief overview of the EAD Cookbook, and explains how it strives to

increase acceptance of EAD in the archival community. Following a review of additional

literature about online archival resources, the article offers recommendations for

simplifying EAD encoding and display.

Prom presents his findings without bias, concluding that EAD implementation is

most successful among large academic and public institutions that are staffed by tech-

savvy personnel. While he makes recommendations about using the EAD Cookbook,

usability testing and data structure standards such as RLG Best Practices and California’s

Best Practices Guidelines, he also stresses the importance of future developments in

EAD-specific computer software and search mechanisms. Review of other articles by

Prom will create a comprehensive view of EAD’s ability to meet end-user needs in an

archive setting.

EAD Bibliography 10

RLG EAD Advisory Group. (2002) RLG Best practices guidelines for encoded archival description.

Retrieved October 15, 2009 from http://www.oclc.org/research/activities/past/rlg/

ead/bpg.pdf.

Developed by the RLG Advisory Group, consisting of ten archivists and digital content

managers, these guidelines were published to establish standards for the creation of

EAD documents and to establish the index elements that are most valuable when

retrieving archival information in union environments. Similarly these guidelines

identify core data elements that will benefit both archivists and researchers. The best

practices established by the RLG Advisory Group can be used in the creation of new

finding aids and in retrospective conversion of legacy finding aids.

This document compliments publications available from the Society of American

Archivists and the Library of Congress, such as the EAD Tag Library and the EAD

Application Guidelines, but focuses primarily on cross-institutional use of EAD finding

aids. The document will be a challenging read for archivists who are unfamiliar with

EAD and other metadata standards due to numerous abbreviations, acronyms and

examples without thorough explanation. However, a table that groups elements and

attributes with explanations of their applications is a helpful feature.

A number of articles about the deployment of EAD such as those by McCrory &

Russell, Wisser & Roper, Prom and Smith explain the use of RLG’s guidelines, thereby

making it an essential addition to the EAD literature.

EAD Bibliography 11

Roth, J. (2001). Serving up EAD: An exploratory study on the deployment and utilization of

encoded archival description finding aids. American Archivist, 64, 214-237.

Currently an archivist at the John F. Kennedy Presidential Library in Boston, James Roth

was awarded the Theodore Calvin Peace Award for this study on EAD. He analyzes

current methods of EAD deployment, end-user evaluation of EAD finding aids, and

perceptions among the archival community about electronic access to collections. Roth

also offers suggestions for future efforts to improve deployment and evaluation of EAD

projects.

Roth provides an extensive review of literature related to the development,

implementation, deployment and evaluation of EAD. He then analyzes a study

conducted in 2001 among 47 institutions that were identified as implementers of EAD.

The paper indicates that learning to use EAD, institutional resources, and deployment

software pose challenges to many institutions. Roth also explains that there is a lack of

evaluative information about end-user satisfaction with EAD finding aids, and that most

users only express interest in the content of finding aids, not their structure or format.

This paper is a valuable addition to the EAD literature because it shares findings

from a broad pool of survey respondents. Likewise, it applies the theory and

methodology that has been published by EAD developers like Pitti and Fox in a real-

world context.

EAD Bibliography 12

Smiraglia, R. (1990). Describing archival materials. New York: Haworth Press.

Because there are both differences and similarities between published materials and

archival objects, consideration of the techniques used in library settings that rely on

traditional bibliographic description must be adapted to suit the archival collections of

libraries. This book explores the history, developments and implications of unifying

archival and bibliographic cataloging. The articles parallel cataloging procedures for both

types of materials to show how standards and integrated cataloging can achieve the

creation of more thorough and appropriate records, facilitating broader access to

archival collections in libraries.

Editor, Richard Smiraglia, MLS, is a Senior Lecturer in bibliographic control at the

School of Library Service, Columbia University and is an accomplished author and

lecturer on non-book material cataloging. In this book, he has compiled articles by

authoritative archivists and catalogers who explain critical principles and procedures

underlying the organization of archival materials and their bibliographic records. Review

of MARC AMC and familiarity with other archival cataloging standards are essential for

understanding of this book. This book broadens the reader’s understanding of archival

description, creating a theoretical foundation for other articles about EAD and

automated access to the intellectual content of archival collections.

EAD Bibliography 13

Smith, P. (2008). Preparing locally encoded electronic finding aid inventories for union

environments: A publishing model for encoded archival description. Information

Technology and Libraries, 27(2), 26-30.

Plato L. Smith II, Digital Initiatives Librarian, shares his experience with EAD

implementation at Florida State University Libraries, Tallahassee to describe the

encoding workflow and processes, and possible EAD publishing models. Smith also

provides background information about finding aids and how EAD metadata can

broaden access to such records in a union catalog environment. Smith emphasizes the

importance of standardization in successful EAD projects, relying on testing procedures

that use RLG Best Practices and OAC Best Practices Guidelines. Familiarity with these

protocols, as well as those established for finding aids with the publication of Describing

Archives: Content Standards will allow archivists to make EAD metadata as robust as

possible.

Although Smith uses highly technical language to describe FSU’s mapping

process, the article is valuable to even the novice user of EAD because it shows how

XML and XLST manipulate EAD metadata to improve end-user search capabilities,

explains how EAD and other standards like MARC and Dublin Core work together, and

provides links to other national and international institutions who have implemented

EAD initiatives. This recent publication brings together many of the theories and

methodologies that were introduced by developers like Pitti, Fox and Hensen.

EAD Bibliography 14

Society of American Archivists. (2009). EAD Roundtable Help Pages. Retrieved November 15,

2009 from http://www.archivists.org/saagroups/ead/ index.html.

This website is a ‘one-stop-shop’ for anyone doing research about the development of

EAD or looking for tools to begin or simplify EAD implementation. The user-friendly web

design divides information into a number of easily navigable sections and offers a

comprehensive definition of EAD, EAD Schema, Document Type Description, and official

documentation. Another section includes links to best practices standards created by

institutions that have implemented EAD including: North Carolina, Online Archives of

California, Virginia Heritage Project and the RLG EAD Advisory Group. The ‘Tools and

Helpers’ section provides access to crosswalk codes, Hensen’s EAD Cookbook, and other

helpful conversion toolkits.

For researchers interested in EAD initiatives launched in national and

international institutions, there is a comprehensive list of implementers that includes

contact information and an overview of their processes and experiences. Likewise, the

website provides information about the SAA’s EAD Roundtable, citations to relevant

works, EAD news, training opportunities and suggestions for funding. A section about

other metadata standards shows EAD’s relationship to other formats, authorities and

controlled vocabularies of interest to archivists.

Many of the resources accessible from this website are referenced throughout

the EAD literature and archivists will benefit from finding so much authoritative

information in one place.

EAD Bibliography 15

Society of American Archivists. (2007). Describing archives: A content standard. Chicago: Society

of American Archivists.

After Hensen’s Archives, Personal Papers and Manuscripts (APPM), the descriptive

standard for the Society of American Archivists was placed on review in 2002, it was

acknowledged that new standards were needed to accommodate new technologies

such as XML and EAD. This book is intended to replace APPM and was written in

compliance with other bibliographic standards such as MARC, ISAD(G) and AACR2.

Describing Archives includes most of the content from APPM, but moves away from

APPM’s bibliographic model to reflect processes better suited to archival collections.

Coverage includes information about descriptive tools and data elements, rules for

describing archival collections, and crosswalks to MARC and EAD formats.

The book is divided into three sections: describing archival materials, describing

creators, and forming names for use in bibliographic records. For each of the topics

covered in these sections, the authors provide a brief explanation of purpose and scope,

exclusions, sources of information, general rules and examples.

Although the writing is extremely technical, review and understanding of this

book is essential to the creation of finding aids and catalog records. As a result, many

publications about EAD initiatives cite this book because it has been determined that

successful implementation of EAD depends upon following the standards outlined in

Describing Archives.

EAD Bibliography 16

Wisser, K. & Roper, J. (2002). Maximizing metadata: Exploring the EAD-MARC relationship,

Library Resources and Technical Services 47(2), 71-76.

Written by Katherine M. Wisser, Metadata Coordinator at Duke University, and Jennifer

O’Brien Roper, Head of Cataloging Services at the University of Virginia, this article

presents challenges and successes experienced by North Carolina State University

Libraries, who created a ‘crosswalk process’ to implement EAD in a library system that

uses MARC records. By clarifying strengths and weaknesses of both types of metadata,

and explaining the process they used to combine EAD and MARC in the description and

cataloging process, the authors illustrate how using both standards has enabled them to

provide fuller access to special collections materials and a more thorough

representation of their collections. This article provides a basic introduction to the

relationship between EAD and MARC standards and should be required reading for

anyone considering implementation of EAD.

Review of Describing Archives: A Content Standard, familiarity with MARC AMC

and exploration of the EAD Cookbook and RLG’s Best Practices, will help the reader

better understand the crosswalk procedures explained by Wisser and Roper.

Comparison of this article to those written by McCrory & Russell, Roth and Prom invite a

comparative analysis of the benefits and challenges of EAD crosswalk initiatives.

EAD Bibliography 17

Yakel, E., Shaw, S. & Reynolds, P. (2007). Creating the next generation of finding aids. D-Lib

Magazine, 13(5/6), 1-9.

Archivists from the University of Michigan, Yakel, Shaw and Reynolds, describe their

experience with the Next Generation Finding Aids Research Group, who used EAD to

improve access to their Polar Bear Expedition Collection. This article explains how

archivists were able to combine EAD finding aids, MARC records and an information

database to improve the searching and browsing capabilities of online finding aids.

Additionally, the use of Web 2.0 technologies allowed the authors to create a

collaborative research experience for archive users.

This article discusses difficulties encountered with the flexibility of EAD that

required the authors to restructure much of their existing metadata and improve

standardization among records. However, the article also focuses on the benefits of the

project, including improved accessibility and search features for end-users.

This article addresses Prom and Roth’s concerns about evaluating end-user

evaluation of EAD finding aids, as it discusses analysis of the University’s transaction

logs, observed behaviors among researchers, and suggests that Web 2.0 technologies

are one way to monitor use of online finding aids. By implementing commenting,

collaborative filtering and bookmarking features, archivists can learn more about users

of online EAD systems. This article provides an exciting vision of the future of EAD as it

relates to social technologies.