Ontologie des Dokuments

Präsentation zum Thema: "Ontologie des Dokuments"—  Präsentation transkript:

1 Ontologie des Dokuments
Barry Smith Institute for Formal Ontology and Medical Information Science Saarbrücken Department of Philosophy University at Buffalo

2 Ontologie (Phil.) Die Lehre vom Sein

3 Google hits (in Millionen) 6.7.06
ontology + philosophy 2.7 ontology + information science 6.6 ontology + database ontology Google hits (in Millionen) Google hits (in Millionen)

4 Q: Warum ‘Ontologie’ heute
Q: Warum ‘Ontologie’ heute? A: Das Babelturmproblem der Informationssysteme

5 ‘Ontologie’ (Tech.) = die Konstruktion künstlicher Taxonomien als Softwareartefakte, die u.a. Datenbanken miteinander kompatibel (interoperabel) machen sollen

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7 Erste Reaktion auf dieses Problem: Thesauri
Indizierung Suchfunktionen Probleme mit string-basiertem Suchen diffuse Organisation durch Synonyma keine logische Struktur

8 Ontologie und Webtechnologie
die Integration von Wissen im Internet z.B. im Rahmen des so genannten “Semantic Web” Ontology Web Language (OWL)

9 Ausdrucksfähigkeit vs. Berechenbarkeit
die Sprachen des Ontological Engineers bieten nur stark begrenzte Ausdrucksmöglichkeiten sie führen daher oft zu vereinfachten ‘Modellen’ der Wirklichkeit statt zu einer Repräsentationen dieser Wirklichkeit selbst

10 Semantic Web führt daher leider oft zu ‘schwachen Ontologien’
Pet Profile Ontology MusicBrainz Metadata Vocabulary Musical Baton Vocabulary Beer Ontology Kissology (

11 Ontology (science) eine Wissenschaft von Typen von Entitäten in den verschiedenen Domänen der Wirklichkeit, sowie von den Relationen zwischen diesen Typen Ontologien werden durch intensive multidisziplinäre Zusammenarbeit entwickelt empirische und logische Methoden werden verwendet, um Evolutionsschritte in Richtung einer Qualitätsverbesserung zu ermöglichen

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13 Ontology (science) in der Biomedizin
wir akkumulieren gigantische Mengen von Daten

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15 Ontology (science) in der Biomedizin
how do we know what data we have ? how do I know what data you have ? how do we know what data we don’t have ? how do we make different sorts of data combinable ?

16 wir brauchen semantische Annotation dieser Daten
where in the cell ? what kind of process ? what kind of biological goal ? wir brauchen semantische Annotation dieser Daten dir.niehs.nih.gov/ microarray/datamining/

17 Woops: 54M already ! Compare with 3M Dec 2004, and 12 M june 2005 when I did this.

18 warum ist die Gene Ontologie so erfolgreich?

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20 GO Methodologie der Annotation
Experten durchforsten die wissenschaftliche Literatur, um Einträge in biochemischen Datenbanken mit GO-Termini zu verbinden diese Verbindungen werden digital katalogisiert die verschiedenen Datenbanken werden dann durch die GO-Termini automatisch integriert und zwar in einer Weise, die die biochemischen Daten auch für Menschen zugänglich macht GO Methodologie der Annotation

21 this leads to improvements and extensions of the ontology
GO + Annotationen stellen eine wachsende algorithmisch interpretierbare Landkarte der biologischen Wirklichkeit dar Sie spielen auch für Menschen eine wichtige integrierende Rolle this leads to improvements and extensions of the ontology

22 Ontology (science) Wichtigkeit menschlicher Akzeptanz
Menschen müssen Ontologien bevölkern und benützen  Gegengift zum Nimbus der EDV-Fachleute

23 Ontologie (science) als wissenschaftliche Begleitung der Rechtsinformationssysteme
Anwendungen in: Standardisierung (z.B. des EU-Rechts) Lernsystemen im komparativen Recht Festlegung gemeinsamen Grundwissens automatischem Schließen Statistik Integration von Daten

24 Beispiel: Die Ontologie des Dokuments

25 Dokument als Gegenstand der Informatik
Bob Glushko (Document Engineering): “A document  is a purposeful and self-contained collection of information.” on-line business transactions are ‘internet information exchanges’ but there is more than information here

26 Was ist ein Dokument? x is a document=def
x ist eine dauerhafte Urkunde, die einen deontisch oder institutionell relevanten Akt darstellt oder ausdrückt x ist eine dauerhafte Urkunde, die eine wesentliche Rolle in einem deontisch oder institutionell relevanten Akt spielt

27 Beispiele von Dokumenten in diesem deontischen Sinn
identification documents commercial documents legal documents Thus: not novels, recipes, diaries ...

28 Some examples Made of paper Not made of paper novel textbook newspaper
advertising flier recipe map business card license degree certificate deed contract will bill statement of accounts consent form clay tablet record-ing outcome of litigation e-document electronic health record credit card car license plate advertising hoarding gravestone hallmarked silver plate film credits exterior signage on buildings

29 OED 1., 2. Teaching, lesson learned (cf. doctor, docile, docent)
3. That which serves to show, point out, or prove something; evidence, proof. 4. Something written, inscribed, etc., which furnishes evidence or information upon any subject, as a manuscript, title-deed, tombstone, coin, picture, etc.

30 Scope of document ontology
the sorts of things we can do with documents the powers of documents the social interactions in which documents play an essential role the enduring institutional systems to which documents belong

31 Basic distinctions among documents
document template (Vorlage) vs. filled-in document document vs. piece of paper authentic document vs. copy, forgery

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33 Provenienz Gemälde vs. Gedicht
Lohnsteuerformblatt vs. Lohnsteuerausweis Fingerabdruck vs. Analyse eines Fingerabdrucks historische vs. syntaktische Identität Unterschrift Lichtbild Siegel Stempel

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35 Allographic = identity is notational Autographic = identity is historical
A signature is autographic A fingerprint left at the scene of the crime is autographic A fingerprint taken for identification purposes is allographic

36 What happens when you sign your passport?
you initiate the validity of the passport you attest to the truth of the assertions it contains (historical identity) you provide a sample pattern for comparison (syntactic identity) Three document acts for the price of one

37 Passport acts I use my passport to prove my identity
You use my passport to check my identity He renews my passport They confiscate my passport

38 You use my passport to check my identity
knowledge by acquaintance knowledge by description knowledge by comparison

39 knowledge by complementation

40 Two types of entities Discovered entities (molecules, cells, organisms) Created entities (corporations, ministries, obligations)

41 Two types of ontology natural-science ontology (bio-ontologies)
administrative ontology (e-commerce ontologies, legal ontologies)

42 Documents belong to the realm of administrative entities
entities such as organizations, rules, prices, debts, standardized transactions ..., which we ourselves create But what does ‘create’ mean ?

43 Speech Act Theory We tell people how things are (assertives)
We try to get them to do things (directives) We commit ourselves to doing things (commissives) We express our feelings and attitudes (expressives) We bring about changes in the world through utterances (declarations) (“I name this ship ...”) Searle 1996, p. 9.

44 The Searle thesis: the performance of speech acts brings into being claims and obligations and deontic powers

45 appointings, marryings, promisings
change the world ... provided certain background conditions are satisfied: valid formulation legitimate authority acceptance by addressees We perform a speech act ... the world changes, instantaneously

46 but speech acts are evanescent entities: they are events, which exist only in their executions
what is the physical basis for the temporally extended existence of its products and for their enduring power to serve coordination?

47 Answer In small societies: the memories of those involved
In large societies: documents

48 provided certain background conditions are satisfied
documents create and sustain permanent re-usable deontic powers

49 Differences between document acts and speech acts
there are categories of document acts which serve multiple ends (three-for-the-price-of-one) documents endure through time, and so can create traceable liability (rückverfolgbare Haftbarkeit) documents can be attached together, creating new complexes whose structure mirrors relations among the human beings involved (of husband to wife, debtor to creditor)

50 Differences between document acts and speech acts
speech acts are normally self-validating (they wear their provenance on their face) documents need technological devices (official stamps, special watermarks, signatures, countersignatures, seals, ...) documents foster proxy execution of social acts (representation, Vertretung) documents can be registered documents can be amended

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52 The Searle thesis the performance of speech acts brings into being claims and obligations and deontic powers

53 The de Soto thesis documents and document systems create the institutional orders of modern societies Freiheit für das Kapital! Warum der Kapitalismus nicht weltweit funktioniert, Rowohlt 2002

54 The Mystery of Capital: Why Capitalism Succeeds in the West and Fails Everywhere Else
Freiheit für das Kapital! Warum der Kapitalismus nicht weltweit funktioniert, Rowohlt 2002

55 The Mystery of Capital = documentation

56 The creative power of documents
stock and share certificates create capital title creates property examination documents create PhDs marriage licenses create bonds of matrimony (Heiratsurkunde schafft Ehebund) bankruptcy certificates create bankrupts (Insolvenznachweis schafft Bankrotteur) statutes of incorporation create business (Statuten der Gesellschaftsgründung schaffen Unternehmen) charters create universities, cities, guilds (Verfassung schafft eine Stadt ...)

57 The creative power of documents
insurance certificates treaties patents licenses membership cards divorce decrees

58 Identity documents

59 Identity documents create identity (and thereby create the possibility of identity theft) what is the ontology of identity?

60 The creative power of documents
documents create authorities (physicians’ license creates physician) authorities create documents (physicians creates sick notes) documents issued by an authority within the framework of a valid legal institution vs. documents issued by an authority extralegally on its own behalf (cf. US Declaration of Independence)

61 Organizational chart = a map of the organization and of its flows of authority (document creates a system of positional roles)

62 Homework: How classify these kinds of documents ?
partnership agreement/ statute of incorporation proxy form/representation agreement ballot form residence permit census report stock certificate insurance claim form insurance policy visa/immigration document bankruptcy certificate insurance card/health insurance card health certificate consent form (for medical procedure) medical record criminal record pension book rent book accident report/theft report/police report/charge architects plan (vs. template for an architects plan)

63 What kinds of documents have creative power in social reality?
not novels – which exist in many identical copies (tokens of the same type) not watercolors in a gallery – which do not contain time-sensitive information

64 Non-Creative novel textbook newspaper recipe map business card
advertizing flier timetable guarantee tax form (filled in) minutes of a meeting ALLOGRAPHIC license birth certificate degree certificate deed contract will receipt banknote painting statue building AUTOGRAPHIC

65 What can we do with a document? [DOCUMENT ACTS]
Sign it Stamp it Copy it Witness it Fill it in Revise it Register it Archive it Realize (interrupt, abort ...) the actions mandated by it Deliver it (de facto, de jure) Declare it active/inactive Display it (price list) Attest to its validity Nullify it Destroy it

66 Who can engage in document acts? [DOCUMENT ACTORS]
creator of document / of document-template (legislator, drafter ...) signer / attestor filler-in of template checker (solicitor, notary, administrative official) recipient addressee (executor of an estate) beneficiary (will ...) registrar, archivist

67 Registration storing of documents in a way which makes them
permanently accessible (checkable, verifiable) amendable (e.g. where property is used as collateral for loans) combinable (attachment): social relations are created via cross-referenced and cross-attached documents more easily authenticated

68 What can we do with an ontology of documents?
what categories of documents? what categories of document acts?’ what categories of provenience? what kinds of forgery and what kinds of safeguards? can we reproduce all of these computationally?

69 Redundancy Safety procedures for mission-critical technology involve multiple layers of redundancy to ensure against catastrophe. a photograph alone is not sufficient to establish your identity: it must appear in the right place in the right sort of document that has been marked in the right sort of way by signatures, counter-signatures, stamps, ID numbers these elements serve to anchor the document to the reality beyond and to the history of its production

70 Redundancy

71 Technologies of identification
fingerprint official stamps and seals photograph watermarks bar code numeric IDs allowing cross-referencing to documents

72 Problems And how do we recreate these features in the realm of e-documents? How do we distinguish author from proxy in the realm of e-documents? How do we anchor e-documents to objects and processes in physical reality (e.g. to human beings)?

73 The ontology of signatures
signed/not signed signed incorrectly fraudulently and stamped and countersigned (Gegenzeichnungen) by a proxy (Stellvertreter) with a single/with a plurality of signatories

74 The ontology of names a baptism ceremony creates a new sort of cultural object called a name names, too, belong to the domain of administrative (= created) entities this is an abstract yet time-bound object, like a nation or a club it is an object with parts (your first name and your last name are parts of your name, in something like the way in which the first movement and the last movement are parts of Beethoven’s 9th Symphony)

75 How do documents relate to the underlying physical medium
A credit card receipt is autographic A credit card is allographic But the credit card as physical carrier is dispensable: What is important are the credit card numbers

76 The ontology of (credit card) numbers
These numbers are not mathematical (not informational) entities – they are ‘thick’ (historical) numbers, special sorts of cultural artefacts they are information objects with provenance: abstract keys fitting into a globally distributed lock

77 Standardized documents
Template, followed by act of filling in documents filled in completely/partially correctly/incorrectly validly/invalidly by proxy ...

78 Standardized documents
allow networking across time (documents can accumulate through attachment - Anhänge) across space (different groups can orientate themselves around the same document forms) can encapsulate the memory and experience of an entire profession

79 Good documents vs. bad documents
Good documents must be well-designed they must map the corresponding reality in a perspicuous way – cf. maps as document they must be easy to fill in by members of its central target audience (need for process of education?) they must not create new problems (should bow off the stage once they have been properly filled in and never be seen again except in those rare cases where problems arise)

80 Much valuable work on ‘documents’ in the context of XML, etc
Much valuable work on ‘documents’ in the context of XML, etc., standardization e.g. Bob Glushko: “A document  is a purposeful and self-contained collection of information.” focuses on information content, not on the physical container sees business collaborations – e.g. between on-line customer credit card authorization service when the latter verifies and charges the customer’s account – as ‘Internet information exchanges’ but there is more than information here

81 Similarities between speech acts and document acts
Memory and learning play a role in each We have to be trained to use and trust documents (de Soto in Peru) Documentary habits are acquired in small face-to-face societies

82 from the Shiprock Navajo fair New Mexico, September 30-October 1, 2005

83 Standardized documents embody social memory (the technology of filling in)

84 The virtues of standardized documents
one can more easily check that one has filled in the boxes correctly (from a syntactical point of view) truthfully by the right person with the right authority the form itself can guarantee that it occupies its proper place in a network of forms facilitates checking and enforceability, and thus contributes to reliability and simplification of transactions

85 Document Systems the system of identity documents (of birth and death certificates and public records offices, of visas, passports, consulates and border posts); the system of legal documents (of codes of law, summonses, police reports, court proceedings) the system of credentialing documents (of degree certificates, examinations, class lists, charters of credentialing organizations)

86 as document systems evolve
human beings acquire associated documentary skills in widening circles they thereby acquire the capacity to concretize the relevant kinds of ‘we’ intentionality, to occupy the relevant kinds of positional roles within larger corporate wholes through documents the actions of countless individuals become coordinated over space and time

87 documents helped to create modern civilization they help us to move from small to large societies

88 Hernando de Soto Institute for Liberty and Democracy, Lima, Peru Bill Clinton: “The most promising anti-poverty initiative in the world”

89 common beliefs about the African village
no individual property rights regime of ‘community property’ land cannot be bought and sold, because it is sacred … no legal and economic institutions law is confined to what is legislated (= big-city top-down, colonial law)

90 using ontology (science) to answer the question: what really exists in the African village ?

91 Ontologie (science) als wissenschaftliche Begleitung der Rechtsinformationssysteme
wissenschafliche Geschichte der Institutionen des Rechts wann sind welche Institutionen zuerst entstanden? Datierung von Dokumenten Unterschriften Dokumentvorlagen Ankreuzfelder

92 The history of document acts
in medieval England a change in the meaning of ‘to record’ from to bear oral witness to to produce a document origin of practices such as dating and signing of documents, the making of financial accounts, the safekeeping of (master copies of) documents in central registries peasants’ charters giving smallholders title to their land institutions formerly the preserve of royal chanceries progressively disseminated among the laity

93 ENDE