Descriptive Cataloging Using RDA Functional Requirements for Bibliographic Records (FRBR) Cooperative and Instructional Programs Division Library of Congress Module 2

Acknowledgements  This course is the result of collaboration between Tim Carlton, Cooperative and Instructional Programs Division, Library of Congress Ingrid Hsieh-Yee, Ph. D., Dept. of Library & Information Science, Catholic University of America 2

About This Material  This training material has been created for a primary audience of Library of Congress staff. Other audiences are welcome to adapt and utilize it as they see fit. However, it should be understood that it reflects LC policies, and should not be interpreted to either prohibit or require specific practices for other libraries or organizations. 3

4 Learning Objectives  Introduction -- What is FRBR?  Overview of FRBR  Group 1 Entities  FRBR relationships  Group 2 Entities

5 Unit 1: Introduction – What is FRBR?  What Does FRBR Stand For?  Why do You Need to Understand FRBR?  Conceptual Model  FRBR, RDA, and MARC  FRBR User Tasks

6 6 What Does FRBR Stand For?  Functional Requirements for Bibliographic Records  International Federation of Library Associations and Institutions (IFLA)  1998; amended and corrected since  Available at requirements-for-bibliographic-records requirements-for-bibliographic-records 6

7 Why Do You Need to Understand FRBR?  FRBR is the conceptual basis of the new cataloging code, Resource Description and Access (RDA) Provides underlying structure  If you understand FRBR, it will be easier to … navigate the RDA text understand RDA instructions in context apply cataloger’s judgment make the catalog work best for patrons

8 A Conceptual Model  Not a set of rules  Entity-relationship model More on this shortly

FRBR, RDA, and MARC “CATALOGING” RDAFRBRMARC 9

10 FRBR, RDA, and MARC  FRBR is a conceptual model  RDA is a cataloging standard based on the FRBR conceptual model  MARC (MAchine-Readable Cataloging) is an encoding scheme by which computers exchange, use, and interpret bibliographic information

11  “F” stands for “Functional”  User-centered  assist with concrete user tasks  this is what ‘judgment’ is all about FRBR User Tasks

12 FRBR User Tasks FindIdentifySelectObtain

13 FRBR User Tasks – Find  “using the data to find materials that correspond to the user’s stated search criteria (e.g., in the context of a search for all documents on a given subject …)”  Practical Example: Ken Burns’ Baseball – search for and find

14 FRBR User Tasks – Identify  “using the data retrieved to identify an entity (e.g., to confirm that the document described in a record corresponds to the document sought by the user, or to distinguish between two texts …)” The next level of searching  Practical Example: Ken Burns’ Baseball – identify the ‘work’ 14

15 FRBR User Tasks – Select  “using the data to select an entity that is appropriate to the user’s needs (e.g., to select a text in a language the user understands … )”  Practical Example: Ken Burns’ Baseball – select the ‘version’

16 FRBR User Tasks – Obtain  “using the data in order to acquire or obtain access to the entity described (e.g., to place a purchase order for a publication … or to access online an electronic document stored on a remote computer).”  Practical Example: Ken Burns’ Baseball – obtain/access the ‘version’ 16

17 Unit 2: Overview of FRBR  FRBR Entity-Relationship Model  Outline of Group 1-3 Entities  Thinking Conceptually  Group 1 Entities -- Terminology  The WEMI Entities  Is FRBR Really New?

18 FRBR Entity-Relationship Model  Entities (classes of things ) Attributes (characteristics of the entities) RDA calls these “elements”  Relationships (associations among entities)

19 Outline of Group 1-3 Entities  Group 1 Entities -- ‘products’ Works, Expressions, Manifestations, Items  Group 2 Entities -- ‘producers’ Persons, Corporate Bodies, Families  Group 3 Entities – ‘subjects’ Concept, Object, Event, Place, plus all Group 1 & 2 Entities (Subjects)

20 Thinking Conceptually – What This Module is REALLY About  We are not yet concerned with detailed instructions for how to record attributes that is RDA, and will come later  FRBR means thinking conceptually about the things we catalog  the ‘products’ -- the Group 1 Entities the creators of and contributors to those things  the ‘producers’ -- the Group 2 Entities 20

21 Group 1 Entities -- Terminology  The English language can be imprecise  We will look at 4 different meanings of the word “book”  What is the FRBR term for each of these meanings – these ‘entities’? The following conceptualization is courtesy of Patrick LeBoeuf, former chair of the IFLA FRBR Review Group 21

22 Group 1 Terminology – “Book”  At the most abstract level, we may think of a “book” in the sense of ‘who wrote that book?’  Conceptual or intellectual content  Ideas in the head of the author, composer, artist, etc.  FRBR calls this the Work

23 Group 1 Terminology – “Book”  At a slightly less abstract level, we may think of a “book” in the sense of ‘who translated or illustrated that book?’  How those ideas are expressed printed words? pictures? spoken?  FRBR calls this the Expression 23

24 Group 1 Terminology – “Book”  At a more concrete level, we may think of a “book” in the sense of ‘the physical thing you buy at a bookstore, request in a library, or read as an online PDF’  A specific publication, version …  FRBR calls this the Manifestation 24

25 Group 1 Terminology – “Book”  And at the most concrete level, we may think of a “book” in the sense of ‘the specific physical thing -- ink on paper, between covers -- you take with you to the beach, or (horrors!) use to prop open a door’  A specific copy of a publication  FRBR calls this the Item 25

26 Group 1 Terminology – Recap  Work  Expression  Manifestation  Item Abstract Concrete “Products”

27 Group 1 Terminology  When you catalog a “book” on your desk: You are working with a FRBR Group 1 Item The bibliographic record you create will represent a FRBR Group 1 Manifestation, with some characteristics of the contained Work and Expression Attributes of other FRBR entities may also appear in the bibliographic record  Analogy to Amazon

 Abstract entity -- ideas  Recognized through individual realizations or expressions  Selected attributes: Title of the Work Form of Work The WEMI Entities – Work 28

29 A.Digitized version of the printed Oxford University Press text published in 2008 B.Leather bound autographed copy in Rare Books Collection C.French translation D.London Symphony Orchestra 2005 performance E.Shakespeare’s play Hamlet 29 Identify the FRBR Work 29

30 WEMI Entities – Expression  The realization of a work in the form of: Alpha-numeric notation Musical notation Choreographic notation Sound Image … or any combination of such forms  Selected attributes Language of expression Medium of performance How the ideas of the creator are expressed or communicated 30

31 Identify the FRBR Expression A.Digitized version of the printed Oxford University Press text published in 2008 B.Leather bound autographed copy in Rare Books Collection C.French translation D.London Symphony Orchestra 2005 performance E.Shakespeare’s play Hamlet 31

32  Wide range of physical materials, e.g. Books Periodicals Maps Sound recordings CD-ROMs  Selected attributes Publisher/Distributor Date of Publication/Distribution WEMI Entities – Manifestation Represents all the physical objects that bear the same characteristics, in respect to both intellectual content and physical form

33 A.Digitized version of the printed Oxford University Press text published in 2008 B.Leather bound autographed copy in Rare Books Collection C.French translation D.London Symphony Orchestra 2005 performance E.Shakespeare’s play Hamlet 33 Identify the FRBR Manifestation

34 WEMI Entities – Item  Concrete entity A single physical object (a copy of a monograph, a single audio cassette, etc.) Can comprise more than one physical object (a two-volume monograph, a three- disc recording, etc.)  Selected attributes Item identifier Provenance of the item ‘an exemplar of a manifestation’

35 Identify the FRBR Item A.Digitized version of the printed Oxford University Press text published in 2008 B.Leather bound autographed copy in Rare Books Collection C.French translation D.London Symphony Orchestra 2005 performance E.Shakespeare’s play Hamlet

36 Is FRBR Really New?  Before we discuss the specific attributes of these entities, we’ll look at some displays of a record from the Library of Congress Online Catalog 36

Is FRBR Really New?  We’ll see that: FRBR concepts have long been part of cataloging a record is a composite of Group 1 and Group 2 entities a record addresses the FRBR user tasks  Think about how these records also indicate relationships, which we’ll discuss shortly 37

LC Control No.: LCCN Permalink: Type of Material:Book (Print, Microform, Electronic, etc.) Personal Name:Shakespeare, William, Shakespeare, William, Main Title:... Hamlet, traduit par André Gide. Published/Created:[Paris] Gallimard [1946] Description:2 p. l., 7-237, [2] p. 17 cm. CALL NUMBER:PR2779.H3 G5Copy 1PR2779.H3 G5 -- Request in:Jefferson or Adams Bldg General or Area Studies Reading Rms 38

LC Control No.: LCCN Permalink: Type of Material:Book (Print, Microform, Electronic, etc.) Personal Name:Shakespeare, William, Shakespeare, William, Main Title:... Hamlet, traduit par André Gide. Published/Created:[Paris] Gallimard [1946] Description:2 p. l., 7-237, [2] p. 17 cm. CALL NUMBER:PR2779.H3 G5Copy 1PR2779.H3 G5 -- Request in:Jefferson or Adams Bldg General or Area Studies Reading Rms Shakespeare, William, Hamlet. French. “Work” “Person” 39

40 LC Control No.: LCCN Permalink: Type of Material:Book (Print, Microform, Electronic, etc.) Personal Name:Shakespeare, William, Shakespeare, William, Main Title:... Hamlet, traduit par André Gide. Published/Created:[Paris] Gallimard [1946] Description:2 p. l., 7-237, [2] p. 17 cm. CALL NUMBER:PR2779.H3 G5Copy 1PR2779.H3 G5 -- Request in:Jefferson or Adams Bldg General or Area Studies Reading Rms Shakespeare, William, Hamlet. French. “Expression” 40

41 LC Control No.: LCCN Permalink: Type of Material:Book (Print, Microform, Electronic, etc.) Personal Name:Shakespeare, William, Shakespeare, William, Main Title:... Hamlet, traduit par André Gide. Published/Created:[Paris] Gallimard [1946] Description:2 p. l., 7-237, [2] p. 17 cm. CALL NUMBER:PR2779.H3 G5Copy 1PR2779.H3 G5 -- Request in:Jefferson or Adams Bldg General or Area Studies Reading Rms “Manifestation” 41 Shakespeare, William, Hamlet. French.

42 LC Control No.: LCCN Permalink: Type of Material:Book (Print, Microform, Electronic, etc.) Personal Name:Shakespeare, William, Shakespeare, William, Main Title:... Hamlet, traduit par André Gide. Published/Created:[Paris] Gallimard [1946] Description:2 p. l., 7-237, [2] p. 17 cm. CALL NUMBER:PR2779.H3 G5Copy 1PR2779.H3 G5 -- Request in:Jefferson or Adams Bldg General or Area Studies Reading Rms Shakespeare, William, Hamlet. French. “Item” 42

43 Online Quiz: FRBR Terminology  Online Quiz: Test yourself! FRBR Terminology 15 minutes Multiple Choice True/False Graded results  Instructor will guide you through the first question

44 Unit 3: Group 1 Entities  Attributes of a Work  Attributes of an Expression  Attributes of a Manifestation  Attributes of an Item

45 Attributes of a Work  Title of work  Form of work  Date of work  Other distinguishing characteristic  Intended termination  Intended audience  Context for the work  Others … 45

Identify the Work Attribute 1? 2? 3? 4? 46

47 Attributes of an Expression  Form of expression  Date of expression  Language of expression  Other distinguishing characteristic  Medium of performance  Content for the expression  Extent of expression  Summarization of content  Others … 47

Identify the Expression Attribute 1? 2? 3? 4? 48

49 Attributes of a Manifestation  Title of manifestation  Statement of responsibility  Edition/issue designation  Place of publication/distribution  Publisher/distributor  Date of publication/distribution  Series statement  Form of carrier  Extent of the carrier  Others …

Identify the Manifestation Attribute 1? 2? 3? 4? 50

51 Attributes of an Item  Item identifier  Provenance of the item  Marks/inscriptions  Exhibition history  Condition of the item  Treatment history  Scheduled treatment  Access restrictions on the item  Fingerprint 51

Identify the Item Attribute 1? 2?3? 4? 52

53 Unit 4: Relationships – the Other Part of FRBR  Inherent Relationships  Other Relationships

54 Kinds of Relationships  Inherent relationships among Group 1 entities  WEMI to WEMI  Other relationships between entities of the three groups  Group 1 (WEMI) to Group 2 (Person, Family, Corporate Body)  Group 1 (WEMI) to Group 3 (Concept, Object, Event, Place) 54

is realized through is embodied in is exemplified by Work Expression Manifestation Item one many Physical – Recording of Content Intellectual/Artistic Content Inherent Relationships – Overview Attributes are carried to lower entities 55

56 Inherent Relationships – A Case Study Harry Potter and the Goblet of Fire Summary: Fourteen-year-old Harry Potter joins the Weasleys at the Quidditch World Cup, then enters his fourth year at Hogwarts Academy where he is mysteriously entered in an unusual contest that challenges his wizarding skills, friendships and character, amid signs that an old enemy is growing stronger. Number four in the Harry Potter series. 56

57  Harry Potter and the Philosopher’s Stone  Harry Potter and the Chamber of Secrets  Harry Potter and the Prisoner of Azkaban  Harry Potter and the Order of the Phoenix  Harry Potter and the Half-Blood Prince  Harry Potter and the Deathly Hallows Which Group 1 Entities are These? Works 57 Hint: The stories, not any particular ‘edition’ or ‘version’

58  Movie: Harry Potter and the Goblet of Fire (2005)  Video game: Harry Potter and the Goblet of Fire (2005) Expressions or Works 58 Which Group 1 Entities are These?

59  Original English version (2000) Bloomsbury (UK) hardcover Bloomsbury (UK) paperback Bloomsbury (UK) paperback (adult cover) Scholastic (US) hardcover Scholastic (US) paperback Raincoast (Canada) hardcover Raincoast (Canada) paperback Penguin (Canada) paperback (adult cover) Expression Group of Manifestations 59 Which Group 1 Entities are These?

60  Translations Arabic  Hardcover  Softcover Finnish  Hardcover  Softcover Italian  Hardcover  Softcover Expression Manifestations Expression Manifestations Expression Manifestations 60 Which Group 1 Entities are These?

 Audiobooks Jim Dale’s reading (2000)  Listening Library: 17 cassettes  Listening Library: 12 CDs Stephen Fry’s unabridged reading (2001)  BBC Audiobooks: 14 CDs  BBC Audiobooks: 18 cassettes 61 Expression Manifestations 61 Which Group 1 Entities are These?

62  Audiobooks in translation French  CD  Cassette Japanese  CD  Cassette Expression Manifestations 62 Which Group 1 Entities are These?

63 Inherent Relationships – “Family of Works”  Content relationships Equivalent Derivative Descriptive  Structural relationships Whole/part Part-to-part Sequential Accompanying The next slide illustrates the ‘family’ of content relationships 63

Original Work -- Same Expression Original Work -- New Expression New Work Cataloging Rules Cut-Off Point Derivative EquivalentDescriptive Facsimile Reprint Exact Reproduction Copy Microform Reproduction Variations or Versions Translation Simultaneous “Publication” Edition Revision Slight Modification Expurgated Edition Illustrated Edition Abridged Edition Arrangement Summary Abstract Digest Change of Genre Adaptation Dramatization Novelization Screenplay Libretto Free Translation Same Style or Thematic Content Parody Imitation Review Criticism Annotated Edition Casebook Evaluation Commentary ( citation/attribution in speaker notes ) 64 Inherent Relationships – “Family of Works”

Jane Austen (Creator) Spoken word in English (E) Audio Pub. Co (M) Owned by LC (I) Pride and prejudice (W) Text in French translation (E) Text in original English (E) Editions ABC, 2002 (M) T. Edgerton, 1813 (M) Owned by NLSBPH (I) Gutenberg.org, 1998 (M) Owned by ? (I) Owned by LC with barcode (I) 1 Owned by LC with condition (I) Art Cannot Be Damaged, Inc., 2009 (M) Created by Is Expressed by Is Manifested by Is Exemplified by 65

66 Other Relationships  The last slide transitions us to a discussion of other relationships – e.g., the creator to the work  Before we discuss such relationships, we must first understand the other entities Group 2 Entities  Persons, Families, and Corporate Bodies  We will focus on these entities Group 3 Entities  Concepts, Objects, Events, Places, G1, G2  These are subjects -- out of scope 66

67 Unit 5: Group 2 Entities  What are the Group 2 Entities?  FRAD User Tasks  Inter-Group Relationships  Attributes of Group 2 Entities  Intra-Group Relationships

68 What are the Group 2 Entities?  Persons  Corporate bodies  Families  Responsible for: the intellectual or artistic content  of works or expressions the physical production and dissemination  of manifestations the custodianship  of items “Producers”

69 FRAD User Tasks ( Functional Requirements for Authority Data)  Find Find an entity or set of entities corresponding to stated criteria  Identify Identify an entity  Clarify (Justify) Document the authority record creator’s reason for choosing the name or form of name on which an access point is based  Contextualize (Understand) Place a person, corporate body, work, etc. in context

70 Inter-Group Relationships -- Group 1 / Group 2 Work Expression Manifestation Item Creator e.g., author Contributor e.g., editor Manufacturer e.g., publisher Owner 70  Specific types of G1/G2 relationships:

71 Attributes of Group 2 Entities – Overview  Entities are described using attributes  Described in FRAD  Some similarities and overlap Persons Families Corporate bodies  Name is the identifying characteristic  To be covered in detail in Module 8 71

72 Attributes of Group 2 Entities -- Person Title of person Dates associated with the person (birth/death/period of activity) Gender Place of birth Place of death Country Place of residence Affiliation Address Language of person Field of activity Profession/ occupation Biography/history Other informational elements associated with the person

73 Type of family Dates of family Associated places Field of activity History of family Attributes of Group 2 Entities -- Family

74 Associated Places Dates associated Language of the corporate body Address Field of activity History Other information associated with the corporate body 74 Attributes of Group 2 Entities – Corporate Body “An organization or group of persons and/or organizations that is identified by a particular name and that acts, or may act, as a unit.”

75 Intra-Group Relationships -- Group 2 / Group 2 Clarify and Contextualize user tasks Person Family Corporate Body 75 What intra-Group 2 relationships can you think of? We already discussed Intra-Group 1 Relationships = WEMI relationships

76 Intra-Group Relationships -- Group 2 / Group 2 Bill Gates Gates (Family) Microsoft Corp. 76 Here’s another way to think of the previous slide What relationships can you think of?

Intra-Group Relationships -- Group 2 / Group 2 77 o Shown here are portions of the actual Name Authority Record for Bill Gates o In this record, we see the 510 relationships to Microsoft and the Gates Foundation, and NARs exist for each. No NAR exists for the Family, because of lack of warrant. But if warrant existed, there could also be a 500 relationship here to “Gates (Family)”, and a separate NAR for the Family (coded as a 100 field)