1. 1 Modelling Intellectual Processes: The object-orient FRBR Model Martin Doerr Center for Cultural Informatics Institute of Computer Science Foundation for Research and Technology - Hellas TPDL 2011 Helsinki, Finland June 10, 2012 FRBR OO

2. CIDOC June 10, 2012 2 Outline:  Logic of integrating library and museum information  The CRM-FRBR Harmonization Project  Interpretation of FRBR Group-1 entities  A process view of intellectual content creation  Container Work and incorporation  Identifier creation  Conclusions Outline

3. FRBR OO CIDOC June 10, 2012 3 Libraries and museums have complementary roles:  Libraries document literature in order to facilitate access to it.  Museum objects are referred to and published in literature. Literature describes the museum objects, their context and theories about and related to them. Literature describes subjects that are exemplified or illustrated by museum objects.  Museum documentation classifies and describes museum objects, their context and relevance. It refers to literature. Museums produce regularly literature. Libraries may also produce literature.  Libraries may document and curate rare objects as museums do.  Research needs an integrated view on museum and library information There was no common conceptual model or machine-readable language to integrate rich museum and library information. DC is a good format, but often too simple. MARC is detailed, but used only by libraries. There are the models of FRBR, FRAD, FRSAD, CIDOC CRM. Library and Museum Information

4. FRBR OO CIDOC June 10, 2012 4 Libraries Museums Archives illustrate, exemplify refer to Books Objects, Sites primary Documents provide finding aids are about document features & context provide finding aids contain narratives made from publish using SMRs Epistemology of Integration document manage

5. FRBR OO CIDOC June 10, 2012 5 The “Harmonization” Project 2003-2011 of the International Working Group on FRBR/CIDOC CRM Harmonisation:  A collaboration of CIDOC CRM-SIG and the IFLA FRBR Review Group.  To express the IFLA FRBR model with the concepts, ontological methodology and notation conventions provided by the CIDOC CRM.  Reengineering from FRBR text as empirical base, and adaptation of CRM to cover new higher-level abstractions emerging from FRBR ontological interpretation  Produced in 2009 FRBR OO  Work is continuing with FRAD (Functional Requirements for Authority Data) and FRSAD (Functional Requirements for Subject Authority Data)

6. FRBR OO CIDOC June 10, 2012 6 CRM The CIDOC Conceptual Reference Model (CRM)  a core ontology initially aiming at integrating cultural heritage information  existing documentation Innovations:  centre descriptions not around the things, but around the events that connect people, material and immaterial things in space-time.  explicit description of the discourse on relations between identifiers and the identified.  typologies modeled both as classification means and as objects of the cultural- historical discourse. Lacks: a model of intellectual work

7. FRBR OO CIDOC June 10, 2012 7 FRBR The Functional Requirements for Bibliographic Records (FRBR)  developed 1992-1997 by IFLA (now being complemented by the Functional Requirements for (Subject) Authority Data (FRAD/FRSAD)  A core ER model to integrate library objects by content relation : 4+6 Entities, 97 attributes, 34 relationships  Based on new requirement to make derivation/intellectual relations/equivalences accessible to bibliographic access/search?  Might result in a new library practice Innovations:  Definition of stages/ abstraction levels of intellectual products: Work, Expression, Manifestation, Item (precise distinctions debated for many years).  Clusters publications and items around the notion of derivation and common conceptual origin across stages / abstraction levels. Lacks: any explicit notion of the processes behind.

8. FRBR OO CIDOC June 10, 2012 8 FRBR : Abstraction Levels Work Expression Manifestation Item has part is realized through (is a realization of) has part is embodied in (is the embodiment of ) has part is exemplified by (exemplifies ) has part has a complement has a successor has a summary has a supplement has a transformation has adaptation has an imitation “a distinct intellectual or artistic creation… there is no single material object one can point to as the work...” “the intellectual or artistic realization of a work in the form of alpha-numeric, musical, or choreographic notation, sound, image, object, movement, etc” “the physical embodiment of an expression of a work…all the physical objects that bear the same characteristics… …may be only a single physical exemplar…” “a single exemplar of a manifestation...” has a complement has a successor has a summary has a supplement has a transformation has adaptation has an imitation

9. FRBR OO CIDOC June 10, 2012 9 Conception of FRBR OO The CIDOC Conceptual Reference Model (CRM) is an ontology of  a material and phenomenological view of the past in terms of discrete things and processes in a human-centric, mesoscopic scale  It provides an explanation of concepts and statements appearing in documentation, not a theory of the world example: we need not decide whether an object carries information or not, we need to decide what it means that someone says it carries this particular information….  As long as memory institutions and researchers document things without explicit representation of things like “zeitgeist” and telepathy, intellectual relations are mediated by material processes only.  This phenomenological view constrains intellectual content, processes and communication.  Therefore the CRM view is in principle suited as superontology for FRBR OO

10. FRBR OO CIDOC June 10, 2012 10 Conception of FRBR OO Scope of FRBR OO :  processes creating and mediating content,  evidence of content,  inferred abstraction of content (expression => work!) Innovations:  Theory of identifying immaterial objects  Connecting material and intellectual production (“externalization”)  Explicating the publication work (publishing houses, graphics designers, illustrators)  Coherent theory of performances, content and recordings  A new intellectual content relationship: “incorporation” !  Adaptation of CRM: (Information Object => Propositional /Symbolic divide) Identifier definition & construction (librarians have the best models of identifiers!)

11. FRBR OO CIDOC June 10, 2012 11 Interpretation of Work / Expression Concepts F1 Work F15 Complex Work F14 Individual Work R1 is logical successor of (has successor) R2 is derivative of (has derivative) R10 has member (is member of) E89 Propositional Object The substance of Work is propositions (the “ideas”). Only through the comprehension of the propositions is derivation possible! Individual Work: A self-contained set of concepts (“completed”) Complex Work: Coherent set of Individual Works  Continuation (possibly by others), derivatives, complements, alternatives, translations! The substance of Expression is signs (the “text”).  The kinds of signs/features that identify an Expression depend on the function. Self-Contained Expression: Evidence of Individual Work  “Complete” – either according to the author or unfinished. Expression Fragment: Any piece, in relation to the whole. F2 Expression F22 Self Contained Expression F23 Expression Fragment R5 has component (is component of) R14 incorporates (is incorporated in) E73 Information Object R15 has fragment (is fragment of) R3 is realized in (realizes)

12. FRBR OO CIDOC June 10, 2012 12 Clarification of Manifestation Concepts Item Manifestation Singleton F3 Manifestation Product Type E55 Type E24 Physical Man-Made Stuff E84 Information Carrier immaterial material Manifestation Product Type is a class of like items (the publication)  Note the polysemy of an industrial product type and the information content which is part of its features! An Item is single exemplar of a Manifestation Product Type A Manifestation Singleton is an “original”. It may be a feature (e.g. inscription) F2 Expression R4 comprises carriers of R7 is example of (has example) P128 carries (is carried by)

13. FRBR OO CIDOC June 10, 2012 13 ISBN:960-86830-0-9 F5 Item E19 Physical Object F3 Manifestation Product Type E60 Number CLP57 should have number of parts P57 has number of parts Individual copies Inherits from E19 Physical Object: P57 has number of parts 2 CPL57 should have number of parts P57 has number of parts “R7 is example of” = instances R7 is example of (has example) Items are seen as instances of a particular Manifestation Product Type. This is simulated by property R7 1 3 … 2 n Manifestation Product Type - a Metaclass ! E55 Type instances Metaclasses particulars

14. FRBR OO CIDOC June 10, 2012 14 The Process View: “Externalization” Work conceptionExpression creation Work elaboration produces a work produces an idea Produces (simultaneously) an Expression and a Manifestation-Singleton F28 Expression Creation F27 Work Conception F1 Work E39 Actor E52 Time E53 Place F2 Expression F4 Manifestation Singleton R16 initiated (was initiated by) P14 carried out by (performed) P4 has time-span (is time-span of) P7… R17 created (was created by) R18 created (was created by) P4… P7 took place at (witnessed) P14 carried out by (performed) R19 created a realisation of (was realised through) time

15. FRBR OO CIDOC June 10, 2012 15 The Externalization E28 Conceptual Object E84 Information Carrier E24 Physical Man-Made Thing E65 Creation E12 Production F28 Expression Creation F2 Expression F22 Self Contained Expression F23 Expression Fragment F4 Manifestation Singleton F14 Individual Work F15 Complex Work F1 Work F5 Item F3 Manifestation Production Type F32 Carrier Production Event R19 created a realization of (was realised through) R9 is realised in (realises) R18 created (was created by) R4 carriers provided by (comprises carriers of) R7 is example of (has example) R17 created (was created by) R28 produced (was produced by) A Causal Interpretation of FRBR

16. FRBR OO CIDOC June 10, 2012 16 The FRBR - CRM Harmonization Publication Work - An Identity Crisis Publisher’s Level F14 Individual Work F22 Self-Contained Expression F19 Publication Work F24 Publication Expression F32 Carrier Production Event F5 Item F4 Manifestation Singleton F15 Complex Work “Oliver Twist” Ideas “Oliver Twist” Version “Oliver Twist” Text “Oliver Twist” Manuscript “Oliver Twist” Publication Concept “Oliver Twist” Publication content “Oliver Twist” Publication “Oliver Twist” Printing “Oliver Twist” 20 th Book R3 is realized in (realises) R3 is realized in (realises) CLR6 should carry (should be carried by) R7 is example of (has example) R28 produced (was produced by R27 used as source material (was used by) R10 has member (is member of) Author’s Level F30 Publication Event “Oliver Twist” published! R24 created (was created through) R26 produced things of type (was produced by) R14 incorporates (is incorporated in) P128 carries (is carried by) F3 Manifestation-Product Type R23 created a realization of (was realized through)

17. FRBR OO CIDOC June 10, 2012 17 Creation View: A Design Pattern F5 Item R28 produced (was produced by) R18 created (was created by) F28 Expression Creation R17 created (was created by) R19 created a realisation of (was realised through) F30 Publication Event F32 Carrier Production Event R14 incorporates (is incorporated in) F2 Expression Activities Conceptual Objects F27 Work ConceptionF1 Work R16 initiated (was initiated by) R3 is realised in (realises) Physical Objects F4 Manifestation Singleton F19 Publication Work R23 created a realisation of (was realised through) F24 Publication Expression R24 created (was created by) R27 used as source material (was used by) F3 Manifestation Product Type R26 produced things of type (was produced by) Identifiable Forms of immaterial objects F33 Reproduction Event E84 Information Carrier R29 reproduced (was reproduced by) R30 produced (was produced by) CLR6 should carry (should be carried by) F27 Work Conception R16 initiated (was initiated by) R3 is realised in (realises) P16 used specific object (was used for)

18. FRBR OO CIDOC June 10, 2012 18 Equivalence Physical - Electronic Publishing Physical Publishing Electronic Publishing F24 Publication Expression F32 Carrier Production Event F5 Item CLR6 should carry (should be carried by) R7 is example of (has example) R27B was used by (used as source material) F30 Publication Event “Result of an industrial process” R28 produced (was produced by) R26 produced things of type (was produced by) makes accessible : “how to produce” “copy on local carrier” R24 created (was created through) R6 carries (is carried by) E29 Design or Procedure P16 used specific object (was used for) P94 has created (was created by) makes accessible: “how to download” F3 Manifestation-Product Type F24 Publication Expression F32 Carrier Production EventF5 Item R27B was used by (used as source material) F30 Publication Event R28 produced (was produced by) R24 created (was created through) R6 carries (is carried by) E29 Design or Procedure P94 has created (was created by) P16 used specific object (was used for)

19. FRBR OO CIDOC June 10, 2012 19 R14 incorporates (is incorporated in) R22 realised (was realised through) R12 is realised in (realises) R21 created (was created by) R19 created a realisation of (was realised through) R17 created (was created by) R19 created a realisation of (was realised through) R17 created (was created by) R20 recorded (was recorded though) R25 performed (was performed in) R13 is realised in (realises) R14 incorporates (is incorporated in) R10 has member (is member of) F16 Container Work R9 is realised in (realises) R2 is derivative of (has derivative) R10 has member (is member of) Performing Arts : An “Added Value” Chain R10 has member (is member of) F15 Complex Work “Henry IV ” Idea F15 Complex Work “Henry IV part 1 ” Idea F15 Complex Work “Henry IV part 2 ” Idea F15 Complex Work “Henry IV part 1 ” Idea Adaptation F20 Performance Work “Henry IV part 1 ” Idea of mise-en-scene F21 Recording Work “Henry IV part 1 ” Idea of recording F28 Expression Creation Adaptation of Henry IV part 1 action F28 Expression Creation Henry IV part 1 mise-en-scene action F25 Performance Plan Henry IV part 1 “mise-en-scène” guidelines F29 Recording Event Recording Performance 25/12/07 action F31 Performance Performance 25/12/07 action F22 Self-Contained Expression Henry IV part 1 Adaptation Text F26 Recording Henry IV part 1 Play 25/12/07 DVD

20. FRBR OO CIDOC June 10, 2012 20 F20 Performance Work F25 Performance Plan F21 Recording Work F26 Recording R12 is realised in (realises) F28 Expression Creation R19 created a realisation of (was realised through) F31 Performance R25 performed (was performed in) F29 Recording Event R22 realised (was realised through) R21 created (was created by) R14 incorporates (is incorporated in) F2 Expression R14 incorporates (is incorporated in) COLLOCATION! R20 recorded (was recorded though) Participants may write up other memories (performances may not be recorded) Activities Conceptual Objects Physical Objects identifiable forms of immaterial objects R18 created (was created by) F4 Manifestation Singleton P11 had participant (participated in) E39 Actors E53 Place P7 took place at (witnessed) R17 created (was created by) P128 carries (is carried by) P16 used specific object (was used for) R13 is realised in (realises) Performance View: A Design Pattern

21. FRBR OO CIDOC June 10, 2012 21 R19 created a realisation of (was realised through) R17 created (was created by) F16 Container Work Container Work Example: A Journal Volume F19 Publication Work “ERCIM vol. May 2011 ” F28 Expression Creation “ ERCIM vol. May 2011 ” F22 Self-Contained Expression Special Theme Text F22 Self-Contained Expression “ ERCIM vol. May 2011 ” P148 has component (is component of) R3 is realised in (realises) F22 Self-Contained Expression project1 Text F22 Self-Contained Expression project2 Text F22 Self-Contained Expression project3 Text F22 Self-Contained Expression editorial Text ……………. R19 created a realisation of (was realised through) R17 created (was created by) F17 Aggregation Work “Special Theme ” F28 Expression Creation “Special Theme ” R3 is realised in (realises) R19 created a realisation of (was realised through) R17 created (was created by) F14 Individual Work “ERCIM vol. May 2011 ” F28 Expression Creation “ ERCIM vol. May 2011 ” R3 is realised in (realises) R14 incorporates (is incorporated in) R10 has member (is member of) F18 Serial Work “ERCIM News ”

22. FRBR OO CIDOC June 10, 2012 22 The collected expressions are integral part of the containing expression The works of the collected expressions do not become part of the container work Expression of Work X Expression of Work Y F16 Container Work Expression of Work X Expression of Work Y Overall Expression Work X Work Y R3 is realised in (realises) R14 is incorporated in R3 is realised in (realises) R3 is realised in (realises) R14 is incorporated in Container Work and Incorporation P148 has component (is component of)

23. FRBR OO CIDOC June 10, 2012 23 Specializations of Work and Expression F21 Recording Work F1 Work F15 Complex Work F14 Individual Work F20 Performance Work F16 Container Work F18 Serial Work F17 Aggregation Work F19 Publication Work E89 Propositional Object E90 Symbolic Object E73 Information Object E29 Design or Procedure F2 Expression F22 Self-Contained Expression F25 Performance Plan F26 Recording F24 Publication Expression E42 Identifier F13 Identifier E41 Appellation F12 Name F23 Expression Fragment

24. FRBR OO CIDOC June 10, 2012 24 E7 Activity E1 CRM Entity E39 Actor P14 carried out by (performed) P1 is identified by (identifies) Generalization property E15 Identifier Assignment F40 Identifier Assignment E41 Appellation F12 Name E42 Identifier F13 Identifier P37 assigned (was assigned by) R46 assigned (was assigned by) E29 Design or Procedure P38 deassigned (was deassigned by) P142 used constituent (was used in) R47 used constituent (was used in) R45 assigned to (was assigned by) F43 Identifier Rule R52 used rule (was the rule used in P33 used specific technique (was used by) E13 Attribute Assignment P140 assigned attribute to (was attributed by) E90 Symbolic Object P106 is composed of (forms part of) R8 consists of (forms part of) Improving CRM: Identifier Assignment Adaptations of the CRM

25. FRBR OO CIDOC June 10, 2012 25 How to identify an Expression, a Work? F42 Representative Expression Assignment F1 Work F2 Expression F3 Manifestation Product Type F4 Manifestation-Singleton F41 Representative Manifestation Assignment R42 is representative manifestation singleton for (has representative manifestation-singleton) R41 has representative manifestation product type (is representative manifestation product type for) F44 Bibliographic Agency R43 carried out by (performed) R50 assign to (was assigned by) R49 assigned (was assigned by) R44 carried out by (performed) R51 assigned (was assigned by) R48 assigned to (was assigned by) R53 assigned (was assigned by) R4 carriers provided by (comprises carriers of) F22 Self-Contained Expression F23 Expression Fragment R15 is fragment of (has fragment) E39 Actor E13 Attribute Assignment F15 Complex Work R3 is realised in (realises) R40 has representative expression (is representative expression of) R10 has member (is member of)

26. FRBR OO CIDOC June 10, 2012 26 E65 Creation F30 Publication Event E12 Production F28 Expression Creation F32 Reproduction Event F33 Carrier production Event E63 Beginning of Existence F27 Work Conception E7 Activity E11 Modification E83 Type Creation E13 Attribute Assignment F42 Representative Expression Assignment F41 Representative Manifestation Assignment F40 Identifier Assignment E15 Identifier Assignment F31 Performance F29 Recording Event E5 Event Summary of new Activity Concepts

27. FRBR OO CIDOC June 10, 2012 27 The FRBR - CRM Harmonization Results summary Applications:  Introduces FRBR to Europeana (extremely light-weighted!!)  European Projects CASPAR 3D-COFORM\  and others….. Links:  http://cidoc.ics.forth.gr http://cidoc.ics.forth.gr

28. FRBR OO CIDOC June 10, 2012 28 The FRBR - CRM Harmonization Conclusions Ongoing work:  Integrating conceptualization of FRAD (Authority Data), FRSAD (subjects) – being submitted to IFLA as FRBR OO 2.0  New concepts:  Name Use Statement = prescribing the use of a “Nomen” for a “Thema”, audience and a validity period  Name Use Activity = historical reference to the use of a “Nomen” for a “Thema” by some Actors in a particular role or context  Floruit = period of Activity of an Actor in some subject area

29. FRBR OO CIDOC June 10, 2012 29 The FRBR - CRM Harmonization Conclusions The combined model CRM – FRBR OO :  Is a coherent model of museum and library conceptualization  On one side enriches the CIDOC CRM with notions of the stages of intellections creation and refines its model of identifiers and the associated discourse.  On the other side, it makes available to FRBR the general model of historical events of the CRM.  clarifies and makes explicit many notions more vaguely specified in FRBR Ongoing work:  Integrating conceptualization of FRAD (Authority Data), FRSAD (subjects) – being submitted to IFLA as FRBR OO 2.0