Modelling Intellectual Processes: The object-orient FRBR Model

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

2. Outline 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

3. Library and Museum Information • 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.

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

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 FRBROO • Work is continuing with FRAD (Functional Requirements for Authority Data) and FRSAD (Functional Requirements for Subject Authority Data)

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 intellectualwork

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 ERmodel 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 : Abstraction Levels 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...” Work isrealized through (is a realization of) has part “the intellectual or artistic realization of a work in the form of alpha-numeric, musical, or choreographic notation, sound, image, object, movement, etc” has a complement has a successor has a summary has a supplement has a transformation has adaptation has an imitation Expression isembodied in (is the embodiment of ) “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…” has part Manifestation isexemplified by (exemplifies ) has part “a single exemplar of a manifestation...” Item

9. Conception of FRBROO • 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 explanationof 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 FRBROO

10. Conception of FRBROO • Scope of FRBROO: • 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. Interpretation of Work / Expression Concepts 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 setof 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. R1 is logical successor of (has successor) R2 is derivative of (has derivative) F1 Work R10 has member (is member of) F14 Individual Work F15 Complex Work E73 Information Object R3 is realized in (realizes) R14 incorporates (is incorporated in) F2 Expression R5 has component (is component of) F22 Self Contained Expression R15 has fragment (is fragment of) F23 Expression Fragment

12. Clarification of Manifestation Concepts • 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 E55 Type R4 comprises carriers of F3 Manifestation Product Type immaterial P128 carries (is carried by) E24 Physical Man-Made Stuff E84 Information Carrier R7 is example of (has example) Manifestation Singleton material Item

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

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

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

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

17. Creation View: A Design Pattern Identifiable Forms of immaterial objects Conceptual Objects Activities Physical Objects R16 initiated (was initiated by) F27 Work Conception F1 Work R3 is realised in (realises) R19 created a realisation of (was realised through) F4 Manifestation Singleton R18 created (was created by) R17 created (was created by) F2 Expression F28 Expression Creation R14 incorporates (is incorporated in) R16 initiated (was initiated by) F19 Publication Work F27 Work Conception R23 created a realisation of (was realised through) R3 is realised in (realises) P16 used specific object (was used for) F24 Publication Expression R24 created (was created by) F30 Publication Event F3 Manifestation Product Type R26 produced things of type (was produced by) CLR6 should carry (should be carried by) R28 produced (was produced by) R27 used as source material (was used by) F5 Item F32 Carrier Production Event R29 reproduced (was reproduced by) F33 Reproduction Event E84 Information Carrier R30 produced (was produced by)

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

19. F26 Recording F15 Complex Work F31 Performance Henry IV part 1Play25/12/07DVD “Henry IV ”Idea Performance 25/12/07action F22 Self-Contained Expression F15 Complex Work F21 Recording Work F15 Complex Work Henry IV part 1 AdaptationText “Henry IV part 1 ”Idea “Henry IV part 1 ”Ideaof recording “Henry IV part 2 ”Idea F20 Performance Work F15 Complex Work “Henry IV part 1 ”Idea of mise-en-scene “Henry IV part 1 ”Idea Adaptation F29 Recording Event Recording Performance 25/12/07action F28 Expression Creation F28 Expression Creation Henry IV part 1 mise-en-sceneaction Adaptation of Henry IV part 1action F25 Performance Plan Henry IV part 1 “mise-en-scène”guidelines Performing Arts : An “Added Value” Chain F16 Container Work R10 has member (is member of) R10 has member (is member of) R10 has member (is member of) R2 is derivative of (has derivative) R22 realised (was realised through) R19 created a realisation of (was realised through) R19 created a realisation of (was realised through) R20 recorded (was recorded though) R13 is realised in (realises) R12 is realised in (realises) R21 created (was created by) R9 is realised in (realises) R17 created (was created by) R25 performed (was performed in) R17 created (was created by) R14 incorporates (is incorporated in) R14 incorporates (is incorporated in)

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

21. F22 Self-Contained Expression F22 Self-Contained Expression F22 Self-Contained Expression F22 Self-Contained Expression F22 Self-Contained Expression F22 Self-Contained Expression project2Text project3Text project1Text Special ThemeText editorial Text “ERCIM vol. May 2011 ” F18 Serial Work F19 Publication Work F14 Individual Work F17 Aggregation Work “ERCIM vol. May 2011 ” “Special Theme ” “ERCIM vol. May 2011 ” “ERCIM News ” F28 Expression Creation F28 Expression Creation F28 Expression Creation “ERCIM vol. May 2011 ” “ERCIM vol. May 2011 ” “Special Theme ” Container Work Example: A Journal Volume F16 Container Work R10 has member (is member of) R19 created a realisation of (was realised through) R19 created a realisation of (was realised through) R19 created a realisation of (was realised through) R3 is realised in (realises) R3 is realised in (realises) R3 is realised in (realises) R17 created (was created by) R17 created (was created by) R17 created (was created by) R14 incorporates (is incorporated in) P148 has component (is component of) R14 incorporates (is incorporated in) …………….

22. Container Work and Incorporation The collected expressions are integral part of the containing expression The works of the collected expressions do not become part of the container work Work X Work Y F16 Container Work R3 is realised in (realises) R3 is realised in (realises) R3 is realised in (realises) Overall Expression P148 has component (is component of) Expression of Work X <Additional Expr.> R14 is incorporated in Expression of Work X R14 is incorporated in Expression of Work Y Expression of Work Y

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

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

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

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

27. The FRBR - CRM HarmonizationResults summary • Applications: • Introduces FRBR to Europeana (extremely light-weighted!!) • European Projects • CASPAR • 3D-COFORM\ • and others….. • Links: • http://cidoc.ics.forth.gr

28. The FRBR - CRM HarmonizationConclusions • Ongoing work: • Integrating conceptualization of FRAD (Authority Data), FRSAD (subjects) – being submitted to IFLA as FRBROO 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. The FRBR - CRM HarmonizationConclusions • The combined model CRM – FRBROO: • 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 FRBROO 2.0