How to Do Things With Documents

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Florence, December 2008

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  • Searle 1996, p. 9.
  • http://www.chazj.com/indent/en/1664qa.jpg
  • How to Do Things With Documents

    1. 1. How to Do Things WithDocumentsBarry SmithDepartment of PhilosophyUniversity at Buffalohttp://ontology.buffalo.edu/smith1
    2. 2. What is a document?Bob Glushko: “A document is a purposeful and self-contained collection of information.” (DocumentEngineering)• focuses on information content, not on the physicalcontainer• sees business collaborations – e.g. between on-linecustomer credit card authorization service when thelatter verifies and charges the customer’s account – as‘Internet information exchanges’• there is more than information here2
    3. 3. Definitionx is a document=defx is a permanent record representing orexpressing one or more deontically orinstitutionally relevant acts3
    4. 4. Information Artifact Ontologyhttp://code.google.com/p/information-artifact-ontology/4
    5. 5. The three ages of legaldocumentation• pre-documentary law• paper document law• e-law5
    6. 6. Hernando de SotoInstitute for Liberty and Democracy, Lima, PeruBill Clinton:“The most promising anti-poverty initiative in the world”6
    7. 7. Common beliefs about the African village• no individual property rights• regime of ‘community property’• land cannot be bought and sold, because it issacred …• no legal and economic institutions• law is confined to what is legislated (= big-citytop-down, colonial law)7
    8. 8. What really exists in the Africanvillage ?8
    9. 9. extralegal cell phone rentingand supply of pre-paid calltimeMassai cell phone User9
    10. 10. The realm of extra-legal(spontaneously created) law• In Tanzania, villages are relatively isolatedfrom the influences of big-city law• but this does not mean that they are free oflegal-commercial activities and of associatedinstitutions10
    11. 11. adjudicationElders engaged in dispute resolution in Kisongo (Tanzania)dealing with conflicts about family matters, parcel boundariesand other property issues. Evidence is brought from witnessesand community members.11
    12. 12. Session of OlasitiVillage Council,Arusha (northernTanzania), led bythe recently electedMwenyekitiadjudication12
    13. 13. Documentation of the resolution of a dispute over land in theArusha area and of the property rights thereby established.A council of notable elders is selected as judges and they followestablished rules for the hearing, for presenting and processingevidence before the community. 13
    14. 14. property right• The difference between a piece of land andproperty is that property can be set out in awritten document with determinate meaning.This document creates and establishes theright, which ties owner to physical asset inan enduring way.• The system of such documents creates a newabstract order15
    15. 15. registrationThe Mwenyekiti (ordemocratically electedvillage chairman)keeps records of birthsdeaths, contracts ...,provides written andunwritten proof ofcustomary rights ofoccupancy, participatesin real estate transactionsas witness16
    16. 16. registration• registration makes documents permanentlyaccessible, providing in one single sourcerecords of the information required to knowwho owns what• without this information, the combination andmobilization of assets is risky, and it isimpossible to apply legal provisions againstfraud and theft.17
    17. 17. registration• the registrar oversees the ways in whichrecords are subjected to amendments, e.g.when assets are used as collateral for loans.• the fact that the people know that documentsare stored in the registry gives them securityeven if they never utilize its services18
    18. 18. The new role of the Mwenyekiti: keeping extralegal records19
    19. 19. registration• Paper documents serve as filaments that binddifferent elements of social and institutionalreality in a way which leads to the creation ofnew types of value.• A network of social relations is created bythe network of cross-referenced and cross-attached documents. In this way, the registryof documents forms a mirror of the network oflegal and property relationships.20
    20. 20. redundancy22
    21. 21. Record of the transfer of a nine-acre parcel in en Ilkerin Village.redundancy24
    22. 22. Anchoring• a photograph alone is not sufficient to establish youridentity: it must appear in the right place in the rightsort of document that has been marked in the rightsort of way by signatures, counter-signatures, stamps,ID numbers25
    23. 23. Anchoring documents to reality26
    24. 24. fingerprintofficial stampphotographbar codecow brand-markcar license plateallow cross-referencing to documentsAnchoring27
    25. 25. fungibilitywhen property rights are documented, abuilding can be used as– an address for collecting debts and taxes– as a locus point for the identification ofindividuals for commercial, judicial or civicpurposes– as a reliable terminal for receiving public utilityservices.29
    26. 26. collateralA rehani, a type ofguarantee that uses landas extra-legal collateralfor a money loan. Thedebtor transfers to thecreditor a parcel of landwith the condition that itshall be returned whenthe loan has been paid.30
    27. 27. collateralEven Tanzanians living in the poorestareas of the country provide loans securedwith real estate collateral and seek greatersecurity in their transactions byincorporating and fixing them intodocuments.31
    28. 28. collateral: documents make property liquidWhen a society can make a property document,and make that document serve as collateral, it hastransformed the document into a representation ofphysical assets that can flow into more highlyvalued purposes than these assets themselves.33
    29. 29. Extralegal will filled out“in the name of theRepublic of Tanzania”testament34
    30. 30. testament• Tanzanians are producing valid testaments acceptedand enforced on the basis of local communityconsensus.• They have found a way to express their individual willin such a way that it can becomes effective even whenthey no longer exist.• Documents enable them to go beyond the merephysical control of their assets in the here-and-now.They are inventing an abstract order which allowsthem to transcend time.35
    31. 31. Statutes of Mungano Women, an extralegalenterprise that makes and commercializes strawproducts in Masasi.Note the organizational chart.association36
    32. 32. association• poor people in Tanzania are increasingly associating toform business organizations in addition to family, clan, andtribal groupings. Such association brings together founders,employees, suppliers, creditors and clients in a single framethat allows division of labor and specialization.• the business organization is a new moral entity, whichbelongs to an abstract realm and can so outlast theindividuals which go to form it.• brings the ability to draw on a broader base of employeesby bringing in workers from outside the family or clan• (defined) positional roles in an organization37
    33. 33. association• A business organization is a legal person: it is acollective put together in a standardized way onthe basis of the determinate meanings captured byits statutes (as contrasted with the biologicalcollective whole which is the family).• The offices of the corporation are positional rolesfor human beings, who need to be recognized byother human beings within the organization asoccupants of those roles and as enjoying thecorresponding authority and responsibility.39
    34. 34. division of laborTrading Name Showroom OfficeTimber SupplierFabric SupplierFormally registeredbusinessExtralegalDoor factoryExtralegalWood workingMachine shopLumbersuppliesExtralegal beds andcabinetsmanufacturingThe Jaguar enterprise, locatedin Dar es Salaam; dedicatedto the production of woodengoods and furniture.40
    35. 35. division of labor• business organization brings the possibility ofbreaking up production into more efficientspecialized functions and thereby increasingproductivity• the specialization of each worker yields agradual increase in the quality of the workand in the quality of the worker• allows accountability based on measures andstandards, and new kinds of incentives, suchas promotion to a higher grade of work• creates a separation in time, between personallife and work life41
    36. 36. managementMembers of the enterprise AmaniMazingira Group, which providestrash collection services in a area ofDodoma. The business is owned bywomen (13 partners), who havedivided labor among themselves bydesignating a Chairwoman, Treasurer,Secretary, and Counselor and whoemploy men to carry out tasksrequiring physical strength, such aspushing tricycles.43
    37. 37. transparencyMwenyekit making documentsavailable in his office in ......44
    38. 38. transparency• writing down agreements on paper and enteringthem into records provides a crucial seed of the ruleof law and of economic development• agreements written on paper and recorded moveinto an enduring realm where they can be locatedand accessed by all.• Their content becomes obvious to sight, and so theyacquire the capacity to enjoy the certainty thatcomes with scrutiny and careful reflection.• Statements and agreements come to be associatedwith evidence; they are opened up to tests ofvalidity which can be carried out by namelessothers.45
    39. 39. accountingbalance sheet of theextralegal enterprise IgembeSaboThese balance sheetsconstitute an incipientdouble entry book keepingsystem that converts localpractices into writteninformation about theenterprise and its assets46
    40. 40. Collections ledger of the extralegalenterprise Igembe Sabo, comprisedof 10 women who provide farmlabor in Mwanza. As recorded inthe ledger, 4 of the 10 partnersrepresent all the rest before thirdparties and in collections activities.RecordKeeperGroup leader(Kijongosi)StockKeeperMembers of Iringa Furnitures,Dodoma, indicating delegatedrecord-keeping tasks 47
    41. 41. accounting• The business association is a permanentarrangement, and so documentation isindispensable in order to attribute responsibilitiesbetween different actors, both inside and outsidethe organization, and to track the flow ofactivities through the life of the organization.• The trail that is thereby created allows traceableliability in case of fraud or error and facilitatesgood governance and self-correction within theorganization.49
    42. 42. identificationDocument in which aMwenyekiti from theKibaha area certifies theidentity of an individualfrom his village. Bothphotograph and signatureare authenticated with anofficial stamp.51
    43. 43. identificationMarks used to identifyownership of the cattle atan auction market inDodoma.The cattle identification bybranding serves as thebasis for a formal pledgesystem.52
    44. 44. identification• in the village everyone knows who you are; in a largermarket, to determine identity is harder.• the absence of a national registry system has given riseto the widespread practice of the Mwenyekitibecoming attestors of the identities and addresses ofvillagers, issuing identity documents with photographs,fingerprints, stamps, seals, and addresses.• Tanzanians in the extralegal economy are devising themechanisms to facilitate networking among peoplewho do not belong to the same community.54
    45. 45. representation (proxy)The Statutes of Mungano WomenGroup specify that four out of the 10partners are authorized to representthe others in business negotiations. Atthe bottom of the Statutes thereappears a chart that maps theirdifferent positional roles within thecompany.57
    46. 46. representationA certificate of attendanceat an international tradefair in Dar es Salaam by arepresentative of theMungano Women’s Group58
    47. 47. An extralegal standardizedsales contract for a one-acreparcel in the outskirts ofArusha, including theinvolvement of witnesses inthe preparation of thedocument and the use offingerprints to ensure theauthenticity of thedocument.standardization62
    48. 48. standardized documents• improve the flow of communications• allow standardized transactions• allow assets to be described using standard categories,so as to enable comparisons• allow the transition from ad hoc narratives (as in oldtitle deeds) to structured representations of reality• communication is hereby advanced because signalsare abbreviated• supports the creation of more effective registries63
    49. 49. The Archetypes of Law and Markets Found in theExtralegal Economy of Tanzaniaarchetypes ofpropertyarchetypes ofbusiness organizationarchetypes of theexpanded marketadjudicationproperty rightregistrationfungibilitycollateraltestamentassociationdivision of labormanagementtransparencyaccountingidentificationredundancyattestationrepresentationrational deliberationstandardization72
    50. 50. social interactionclaim and obligation•virtual assetscommitment to process•adjudication•recognition•rational deliberation•witnessingaccountabilityenforceabilitydelegation•representationbusiness organization•combining factors•pooling assets•division of labor within the business•separation of capital and labor•separation of management and productionperpetual succession•offices•chains of authoritycollateral•creditdocumentationrecord keeping (private accounts)•audit trail•traceable liability•planningrecord keeping (public registry)•transparency•certification•validation•verification•amendmentidentification•imprinting•signatures•fingerprints•attachmentstandardization•templates•filling in standard forms•heritage of best practicesstatutecontracttestament73
    51. 51. Towards an Ontology of Documentsand of Document Acts74
    52. 52. We are interested in time-sensitive,transactional documents• identification documents• commercial documents• legal documentsThus: not in novels, recipes, diaries ...75
    53. 53. Scope of document act theory• the social and institutional (deontic, quasi-legal)powers of documents• the sorts of things we can do with documents• the social interactions in which documents play anessential role• the enduring institutional systems to which documentsbelong78
    54. 54. Basic distinctions– document as stand-alone entity vs. document withall its different types of proximate and remoteattachments– document template vs. filled-in document– document vs. the piece of paper upon which it iswritten/printed– authentic documents vs. copies, forgeries– allographic vs. autographic entities79
    55. 55. What happens when you sign your passport?•you initiate the validity of the passport•you attest to the truth of the assertions itcontains (autographic)•you provide a sample pattern forcomparison (allographic)Three document acts for the price of one82
    56. 56. 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 to initiate myrenunciation of my citizenship83
    57. 57. Documents belong to the domain ofadministrative entitiesentities such as organizations, rules, prices,debts, standardized transactions ..., which weourselves createBut what does ‘create’ mean ?86
    58. 58. Two types of ontology• natural-science ontology (bio-ontologies)• administrative ontology (e-commerceontologies, legal ontologies)87
    59. 59. 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 throughutterances (declarations) (“I name this ship ...”)88
    60. 60. The Searle thesis:the performance of speech acts brings intobeing claims and obligations and deonticpowers89
    61. 61. appointings, marryings, promisingschange the world... provided certain background conditions aresatisfied:valid formulationlegitimate authorityacceptance by addresseesWe perform a speech act ... the worldchanges, instantaneously90
    62. 62. but speech acts are evanescent entities: they areevents, which exist only in their executions• we perform a speech act• a new entity comes into being, whichsurvives for an extended period of time insuch a way as to contribute to thecoordination of the actions of the humanbeings involved.• what is the physical basis for the temporallyextended existence of its products and fortheir enduring power to serve coordination?91
    63. 63. AnswerIn small societies: the memories of those involvedIn large societies: documents92
    64. 64. provided certain backgroundconditions are satisfieddocuments create and sustainpermanent re-usable deonticpowers93
    65. 65. 94
    66. 66. The Searle thesis:the performance of speech acts brings intobeing claims and obligations and deonticpowers98
    67. 67. The de Soto thesis:documents and document systems aremechanisms for creating the institutionalorders of modern societiesThe Mystery of Capital: Why Capitalism Triumphs inthe West and Fails Everywhere Else,New York: Basic Books, 200099
    68. 68. The creative power of documentstitle deeds create propertystock and share certificates create capitalexamination documents create PhDsmarriage licenses create bonds of matrimonybankruptcy certificates create bankruptsstatutes of incorporation create businessorganizationscharters create universities, cities, guilds100
    69. 69. The creative power of documentsinsurance certificatestreatiespatentslicensessummonsesmembership cardsdivorce decreesedicts of parliament101
    70. 70. Identity documents• create identity (and thereby create thepossibility of identity theft)• what is the ontology of identity?• what is the epistemology of identity (of thetechnologies of identification)?102
    71. 71. The creative power of documentsdocuments create authorities(physicians’ license creates physician)authorities create documents(physicians creates sick notes)documents issued by an authority within the frameworkof a valid legal institutionvs.documents issued by an authority extralegally on its ownbehalf (cf. US Declaration of Independence)103
    72. 72. What can we do with a document?[DOCUMENT ACTS]Sign itStamp itCopy itWitness itFill it inRevise itRegister itArchive itRealize (interrupt, abort ...)the actions mandated by itDeliver it (de facto, dejure)Declare it active/inactiveDisplay it (price list)Attest to its validityNullify itDestroy it108
    73. 73. Who can engage in document acts?[DOCUMENT ACTORS]creator of document / of document-template (legislator,drafter ...)signer / attestorfiller-in of templatechecker (solicitor, notary, administrative official)recipientaddressee (executor of an estate)beneficiary (will ...)registrar, archivist109
    74. 74. How do documents relate to theirlinguistically expressed content?• What extra features do they have (signing,counter-signing, registering, validating ...)which give them their deontic force?• And how do we recreate these features in therealm of e-documents?• How do we anchor e-documents to objectsand processes in physical reality (e.g. tohuman beings)?113
    75. 75. The ontology of (credit card) numbers• These numbers are not mathematical (notinformational) entities – they are ‘thick’(historical) numbers, special sorts of culturalartefacts– they are information objects with provenance:abstract keys fitting into a globally distributed lock115
    76. 76. Similarities between speech acts anddocument acts• Memory and learning play a role in each• We have to be trained to use and trustdocuments (de Soto in Peru)• Documentary habits are acquired in smallface-to-face societies119
    77. 77. Information Artifact Ontologyhttp://code.google.com/p/information-artifact-ontology/126
    78. 78. – not a mathematical object– not a contingent object with physicalproperties, taking part in causal relations– but a historical object, with a veryspecial provenance, relations analogousto those of ownership, existing only withina nexus of working financial institutions ofspecific kindsWhat is a credit card number?127
    79. 79. Information vs. Information Artifact‘information’ – mass noun (Shannon andWeaver)‘information artifact’ – count noun(Information Artifact Ontology)128
    80. 80. Information Artifacts in Scienceprotocoldatabasetheoryontologygene listpublicationresult...129
    81. 81. Information Entity (labeling)serial numberbatch numbergrant numberperson numbernameaddressemail addressURL...130
    82. 82. Blinding Flash of the ObviousContinuant OccurrentprocessIndependentContinuantthingDependentContinuantquality.... ..... ....... 131
    83. 83. Basic Formal Ontology (BFO)Continuant OccurrentbiologicalprocessIndependentContinuantcellularcomponentDependentContinuantmolecularfunction..... ..... ........132
    84. 84. Information artifacts are tied toprovenance and to processors ina way in which types are not133
    85. 85. Basic Formal OntologyContinuant OccurrentprocessIndependentContinuantthingDependentContinuantquality.... ..... .......quality dependson bearer134
    86. 86. Blinding Flash of the ObviousContinuant OccurrentprocessIndependentContinuantthingDependentContinuantquality, ….... ..... .......process dependson participant135
    87. 87. Basic Formal OntologyContinuantOccurrentprocessIndependentContinuantthingDependentContinuantquality.... ..... .......process is changein quality136
    88. 88. What is a datum?Continuant OccurrentprocessIndependentContinuantlaptop, bookDependentContinuantquality.... ..... .......datum: a pattern in somemedium with a certain kindof provenance137
    89. 89. type or instanceContinuantOccurrent(Process)IndependentContinuanthuman being,protocoldocumentDependentContinuantpattern ofink marksApplyingthe protocolSide-Effect …... .. ..... .... .....138
    90. 90. Continuant OccurrentIndependentContinuantDependentContinuant.... ..... .......InformationEntityActioncreating a datum139
    91. 91. Specific dependenceContinuant OccurrentprocessIndependentContinuantthingDependentContinuantquality.... ..... .......headache dependson human being147
    92. 92. Generically Dependent ContinuantsGenericallyDependentContinuantInformationEntitySequenceif one bearer ceases to exist, then theentity can survive, because there areother bearers (copyability)the pdf file on my laptopthe DNA (sequence) in thischromosome148
    93. 93. are realized through beingconcretized in specifically dependentcontinuants(the plan in your head, the protocolbeing realized by your research team)Generically dependent continuants149
    94. 94. they have a different kind ofprovenance◦ Aspirin as product of Bayer GmbH◦ aspirin as molecular structureGenerically dependent continuantsare distinct from types151
    95. 95. Generically Dependent ContinuantsGenericallyDependentContinuantInformationEntitySequence.pdf file .doc fileinstances 152
    96. 96. are concretized in specificallydependent continuantsBeethoven’s 9th Symphony isconcretized in the pattern of inkmarks which make up this score inmy handGenerically dependent continuants153
    97. 97. do not require specific media (paper,silicon, neuron …)Generically dependent continuants154
    98. 98. Realizable Dependent ContinuantsSpecificallyDependentContinuantQuality, PatternRealizableDependentContinuantinert ertOccurrent155
    99. 99. Examplesperformance of a symphonyprojection of a filmutterance of a sentenceapplication of a therapycourse of a diseaseincrease of temperatureOccurrentRealizableDependentContinuant156
    100. 100. ContinuantOccurrentIndependentContinuantSpecificallyDependentContinuantQuality DispositionRealizationRoleRealizableDependentContinuantGenericallyDependentContinuant157
    101. 101. A violinist reads the score of Beethoven’s9th Symphony and a concretization of theSymphony is created in his mind(something like a plan)In playing he realizes this plan, therebygenerating a performance of theSymphonyRealizable Dependent Continuants arealways specifically dependent158
    102. 102. Nature Protocolsvs.The protocol McDoe has beenfollowing in this project since MarchRealizable Dependent Continuants arealways specifically dependent159
    103. 103. McDoe reads the protocol as publishedand a concretization of the protocol iscreated in his mind (something like aplan)In his laboratory work he realizes thisplan, thereby generating an experimentRealizable Dependent Continuants arealways specifically dependent160
    104. 104. 161
    105. 105. standard examples: nurse, student,patient;in each case something holds (that aperson plays a role) because of somesocially vehiculated decision.Functions never exist purely becausepeople decide that they exist; this isbecause functions rest in each caseon some underlying physicalstructure with relevant causal powers.Roles162
    106. 106. 164
    107. 107. 165
    108. 108. 166
    109. 109. 167
    110. 110. Problem: rolesfistpatientFDA-approved drug168
    111. 111. • role: buyer/seller (roles come in analyticpairs..., can be view dependent)169
    112. 112. what is a role?• a realizable independent continuant that isnot the consequence of the nature of theindependent continuant entity which bearsthe role (contrast: disposition)• the role is optional (someone else assigns it,the entity acquires it by moving it into aspecific context)170
    113. 113. ContinuantOccurrentIndependentContinuantSpecificallyDependentContinuantQuality DispositionRealizationRoleRealizableDependentContinuantGenericallyDependentContinuant171
    114. 114. • standard examples: nurse, student, patient;• in each case something holds (that a personplays a role) because of some sociallyvehiculated decision. Functions never existpurely because people decide that they exist;this isbecause functions rest in each case on someunderlying physicalstructure with relevant causal powers.Roles172
    115. 115. • being first (in a queue, a pathway)• Cf. Searle: status functions = their exercisedoes not reflect their physicsMore Roles173
    116. 116. If x plays a role•there is a tendency for x to realize the role incertain kinds of actions174
    117. 117. without license• protocol• protocol application• action1 action2 action3  tendency topushback175
    118. 118. What is a role?• a realizable independent continuant that isnot the consequence of the nature of theindependent continuant entity which bearsthe role (contrast: disposition)• the role is optional (someone else assigns it,the entity acquires it by moving it into aspecific context)176
    119. 119. Having a role vs. realizing a roleHaving a function vs. realizing afunction• a coin can exercise the function of screwing in ascrew but it does not have this function• a passer by may exercise the function of nurse,but he does not have this role177
    120. 120. Basic Formal OntologyContinuantOccurrent(Process)IndependentContinuantDependentContinuant
    121. 121. 179© 2006 Adam Pease, Articulate Software - apease [at] articulatesoftware [dot] comFour dichotomiescontinuant vs. occurrentJohn vs. John’s lifedependent vs. independentJohn vs. John’s headacheinstance vs. typeJohn instance_of humanhuman is_a mammaltype vs. class{John, Mary, …} extension_of human
    122. 122. BFOContinuantOccurrent(Process)IndependentContinuant(molecule,cell, organ,organism)DependentContinuant(quality,function,disease)FunctioningSide-Effect,StochasticProcess, ...
    123. 123. Things you can do with a documentSign itStamp itWitness itFill it in Revise itNullify itRealize (interrupt, abort ...) actions mandated by itDeliver it (de facto, de jure)Declare it active/inactiveDisplay it (price list)Register itArchive itAnchor it to reality181
    124. 124. fingerprintofficial stampphotographbar code, cow brand-markcar license plateallow cross-referencing to documentsknowledge by acquaintanceknowledge by descriptionknowledge by comparison• I use my passport to prove my identity• You use my passport to check my identityAnchoring182
    125. 125. Anchoring is different fromaboutnessA clinical laboratory test result is anchored to thelaboratory, the sample, the technician, theinstrument, …It is about certain chemical qualities of a certainpatient …183
    126. 126. The ontology of signaturesdocuments needing signaturessigned/not signed/incorrectly signed/fraudulently signed/signed and stampedsigned by proxywith a single/with a plurality of signatories184
    127. 127. The ontology of names• a baptism ceremony creates a new sort of culturalobject called a name• names, too, belong to the domain of administrative (=created) entities• this is an abstract yet time-bound object, like a nationor a club• it is an object with parts (your first name and yourlast name are parts of your name, in something likethe way in which the first movement and the lastmovement are parts of Beethoven’s 9th Symphony)185
    128. 128. How do documents relate to theirlinguistically expressed content?• What extra features do they have (signing,counter-signing, registering, validating ...)which give them their deontic force?• And how do we recreate these features in therealm of e-documents?• How do we anchor e-documents to objects andprocesses in physical reality (e.g. to humanbeings)?186
    129. 129. How do documents relate to theunderlying physical medium• A credit card receipt is autographic• A credit card is allographic• But the credit card as physical carrier isdispensable:– What is important are the credit card numbers187
    130. 130. The ontology of (credit card) numbers• These numbers are not mathematical (notinformational) entities – they are ‘thick’(historical) numbers, special sorts of culturalartefacts– they are information objects with provenance:abstract keys fitting into a globally distributed lock188
    131. 131. PART FOURStandardized Documents189
    132. 132. Standardized documents• allow networking• across time (documents can accumulatethrough attachment)• across space (different groups can orientatethemselves around the same document forms)• can encapsulate the memory and experience ofan entire profession190
    133. 133. Example: money• The latest work on monetary theory has emphasised the potential formoney to solve strategic problems such as trust and memory in socialinteractions with a time dimension: Kiyotaki and Moore (2002) show howmoney can overcome a lack of trust, while Kocherlakota (1998, 2002)shows how money smoothes trade when contracts are imperfectly enforcedand memory is limited. The purpose of this very brief survey is to showthat there are many reasons to expect the emergence of money in a socialsetting. And it is not a surprise that money emerges so readily in manysocieties and under widely different circumstances, even if the form thatmoney takes may differ dramatically (e.g. gold, or silver, or sea shells, orcattle, or large stone rings or bits of paper with certain markings on them)(Friedman, 1992)13.191
    134. 134. Good documents vs. bad documentsGood documents must be well-designed1. they must map the corresponding reality in aperspicuous way – cf. maps as document2. they must be easy to fill in by members of itscentral target audience (need for process ofeducation?)3. they must not create new problems (should bow offthe stage once they have been properly filled in andnever be seen again except in those rare caseswhere problems arise)192
    135. 135. standardized documents• improve the flow of communications• allow standardized transactions• allow assets to be described using standard categories,so as to enable comparisons• allow the transition from ad hoc narratives (as in oldtitle deeds) to structured representations of reality• communication is hereby advanced because signalsare abbreviated• supports the creation of more effective registries193
    136. 136. standardized documents embody socialmemory• 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• some entries are made self-validating through the presence ofofficial seals or stamps• some entries refer to other forms (copies of which may berequired to be attached to this form)• the form itself can guarantee that it occupies its proper place in anetwork of forms• facilitates checking and enforceability, and thus contributes totrust and to simplification of transactions• and (cf. de Soto) makes us all better people194
    137. 137. END195
    138. 138. Information Entity OntologyBarry Smithhttp://ontology.buffalo.edu/smith196
    139. 139. Blinding Flash of the Obvious (BFO)Continuant OccurrentprocessIndependentContinuantthingDependentContinuantquality197
    140. 140. The Gene Ontology (BFO pre-baked)Continuant OccurrentbiologicalprocessIndependentContinuantcellularcomponentDependentContinuantmolecularfunction198
    141. 141. TypesContinuant OccurrentprocessIndependentContinuantthingDependentContinuantquality.... ..... .......Instances 199
    142. 142. DependenceContinuant OccurrentprocessIndependentContinuantthingDependentContinuantquality quality dependson bearer200
    143. 143. DependenceContinuantOccurrentprocessIndependentContinuantthingDependentContinuantquality, …process dependson participant201
    144. 144. 1. not a mathematical object (Plato)2. not a contingent, physico-energeticobject3. but a historical object, with a very specialprovenance, standing in relationsanalogous to those of ownership, existingonly within a nexus of institutions of specifickinds with rule-governed procedures forassociating data about the number withdata about people, transactions…What is a credit card number?202
    145. 145. The Use-Mention ConfusionThe representation of the credit cardnumber in the bank’s computer is notidentical with the credit card number itself.The representation of customer McJimin the bank’s computer is not identical withcustomer McJim himself.The representation of this genesequence in my database is not identicalwith the gene sequence itself203
    146. 146. Information Entity: CopyabilityInformation entities are: artifacts (products of human/sentientagency) in the realm of qualities (patterns), …which enjoy perfect copyability,reproducibility (they are in this sense digitalartifacts)204
    147. 147. Information Entity: SyntaxInformation entities are: copyable artifacts (products of humanagency) in the realm of qualities (patterns),the examples we treat have a syntax = they arepatterns embedded within a rule-governed referenceframe that is itself digitally based (need a treatmentof these frames)are photographs information entities (?)pixellated images (?)205
    148. 148. Information Entity: SemanticsInformation entities are: copyable artifacts (products of humanagency) in the realm of qualities (patterns with syntax),and with semantics (reference, intentionality)so: not musicnot moleculesnot trademarks(… information entities are carriers of content, theyare associated with an aim to point beyondthemselves)206
    149. 149. Information Entity: ±PragmaticsInformation entities are: copyable artifacts (products of humanagency) in the realm of qualities (patterns with syntax andsemantics),and potentially also pragmatics (some of themspecify and create rights, obligations)so: licensescontractsproperty titles…207
    150. 150. Information Entity (labeling)serial numberbatch numbergrant numberperson numbernameaddressemail addressURL...208
    151. 151. Information Entity (science)protocollab notesdatabaseontologygene listpublicationresult...209
    152. 152. Information Entity (science)theory1. not a set of abstract propositions (Plato)2. not a physico-energetic entity3. but: a historical entity with a certainprovenance210
    153. 153. Information entities are dependentupon provenance and uponprocessors (humans working withinframes of reference)Information entities ≠ Universals211
    154. 154. Continuant OccurrentIndependentContinuantDependentContinuantInformationEntityActioncreating a datum212
    155. 155. What is a datum?Continuant OccurrentprocessIndependentContinuantlaptop, bookDependentContinuantqualitydatum: a pattern in somemedium with a certain kindof provenance213
    156. 156. What is a datum?IndependentContinuantlaptop, bookDependentContinuantquality.... ..... .......datum: … and withintended reference to sometarget entitytarget entity214
    157. 157. datum (OED)1. A thing given or granted; somethingknown or assumed as fact, and made thebasis of reasoning or calculation; anassumption or premiss from whichinferences are drawn.2. The quantities, characters, or symbolson which operations are performed bycomputers …215
    158. 158. What is a datum?.....  inside computertarget entity,referent external reality arrow of intentionality / aboutness216
    159. 159. arrow of intentionality (reference)compare: correspondence theory of truthasserted sentence, scientific theoryfact in reality, scientific domain217
    160. 160. Datum: Universal or instance?ContinuantOccurrent(Process)IndependentContinuanthuman being,protocoldocumentDependentContinuantpattern ofink marksApplyingthe protocolSide-Effect …218
    161. 161. Continuant OccurrentIndependentContinuantDependentContinuantInformationEntityActioncreating a datum219
    162. 162. universal: human beinginstance: Leon Tolstoyuniversal: novelinstance: War and Peaceuniversal: bookinstance: this copy of War and PeaceUniversals and instances220
    163. 163. universal: religious textinstances:The BibleThe King James BibleThe Hebrew Bible(different versions)Universals and instances221
    164. 164. Is UniProt a universal or an instance?If UniProt were a universal, and the copyof UniProt on my laptop were an instanceof this universal, thenthere would be many UniProts and manyWar(s) and Peaces.Hence UniProt is an instance.What is a database?222
    165. 165. Is War and Peace a universal or aninstance?If War and Peace were a universal, andthe copies of War and Peace in my libraryand in your library were instances, then• there would be many War(s) and Peaces.Hence War and Peace is an instance.What is a work of literature?223
    166. 166. There can be two copies of theDeclaration of IndependenceThere cannot be two Declarations ofIndependenceThere are not two Declarations ofIndependence224
    167. 167. universal: religious textinstances:The BibleThe King James BibleThe Hebrew Bible(different versions)Universals and instances225
    168. 168. Rule for UniversalsTheir names are pluralizableThere can be three peopleThere cannot be three Condoleezza RicesThere are three bibles on the shelf(three copies, instances of the universalbook)226
    169. 169. Specific dependenceContinuant OccurrentprocessIndependentContinuantthingSpecificallyDependentContinuantqualityheadache dependson human being227
    170. 170. Generic dependenceContinuantIndependentContinuantthingGenericallyDependentContinuantqualitypdf file dependson hard drive228
    171. 171. Generically Dependent ContinuantsGenericallyDependentContinuantInformationEntitySequenceif one bearer ceases to exist,then the entity can survive,because there are other bearers(copyability)the pdf file on my laptopthe DNA (sequence) in thischromosome229
    172. 172. Realizable dependent continuantsfunctionsplansrolesdispositions230
    173. 173. Realizable Dependent ContinuantsSpecificallyDependentContinuantQuality, PatternRealizableDependentContinuantinert ertOccurrent231
    174. 174. they have a different kind ofprovenanceAspirin as product of Bayer GmbHaspirin as molecular structureGenerically dependent continuantsare distinct from types232
    175. 175. Generically Dependent ContinuantsGenericallyDependentContinuantInformationEntitySequence.pdf file .doc fileinstances 233
    176. 176. are concretized in specificallydependent continuantsBeethoven’s 9th Symphony isconcretized in the pattern of inkmarks which make up this score inmy handGenerically dependent continuants234
    177. 177. do not require specific media (paper,silicon, neuron …)Generically dependent continuants235
    178. 178. Realizable Dependent ContinuantsSpecificallyDependentContinuantQuality, PatternRealizableDependentContinuantinert ertOccurrent236
    179. 179. Examplesperformance of a symphonyprojection of a filmutterance of a sentenceapplication of a therapycourse of a diseaseincrease of temperatureOccurrentRealizableDependentContinuant237
    180. 180. ContinuantOccurrentIndependentContinuantSpecificallyDependentContinuantQuality DispositionRealizationRoleRealizableDependentContinuantGenericallyDependentContinuant238
    181. 181. are realized by being concretized inspecifically dependent continuants(the plan in your head, the protocolbeing realized by your research team)Generically dependent continuants239
    182. 182. A violinist reads the score of Beethoven’s9th Symphony and a concretization of theSymphony is created in his mind(something like a plan)In playing he realizes this plan, therebygenerating a performance of theSymphonyRealizable Dependent Continuants arealways specifically dependent240
    183. 183. Nature Protocolsvs.The protocol McDoe has beenfollowing in this project since MarchRealizable Dependent Continuants arealways specifically dependent241
    184. 184. McDoe reads the protocoll as publishedand a concretization of the protocoll iscreated in his mind (something like aplan)In his laboratory work he realizes thisplan, thereby generating an experimentRealizable Dependent Continuants arealways specifically dependent242
    185. 185. How to understand restrictions on useof data?What is a license? What does‘permission’ mean?Towards an ontology of licensesand contracts243
    186. 186. Informational Entity (law)licensepermissionprohibitioncontractregulationdebtoffice (role)...244
    187. 187. Open Source LicensesOpen source licenses define the privileges and restrictions alicensor must follow in order to use, modify or redistributethe open source software.Examples include Apache License, BSD license,GNU General Public License, ...The proliferation of open source licenses is one of the fewnegative aspects of the open source movement because it isoften difficult to understand the legal implications of thedifferences between licenses.(Wikipedia)245
    188. 188. By following the strategy of the OBO FoundryExamine the instances in reality – laptops,labels, actions of signing contracts – and theirinterrelationse.g. distinguish license template from license(correctly) filled-inHow to create a common representationof the entities in the domain ofcontracts and licensing?246
    189. 189. All terms in an ontology must have instancesin realityOntologies must be anchored to realitythrough these instancesWe anchor the ontology of information entitiesthrough human acts of using language,through documents, through acts of enteringdata into a registry ...Basic rule of evidence-basedontology247
    190. 190. Open Source LicensesOpen source license as generically dependentcontinuant (compare: protocol in Nature Protocols)The license signed by John and Jim, a specificallydependent continuant whose bearer is (say) aspecific piece of paperThe former is a concretization of the latter248
    191. 191. two dimensions ofconcretizationcontract template contractpaper copy ofcontract templatepaper copy of filledin contract249
    192. 192. requesting, questioning, answering,ordering, imparting information,promising, commanding, baptisingSocial acts which “are performed inthe very act of speaking”The Ontology of Speech Acts250
    193. 193. envyforgivenesswaiving a claimSome social acts can be purelyinternal251
    194. 194. they must be not only directed towardsother peoplebut also registered by their addresseesSome social acts depend on uptake252
    195. 195. For example commands, marryings,baptisingsdepend onrelations of authoritySome social acts depend on externalcircumstances253
    196. 196. Promising gives rise to claims andobligations (e.g. to debts)Marrying gives rise to marital bondPromoting gives rise to new role on thepart of the promoteeSome social acts give rise tosuccessor entities254
    197. 197. Promising, commands, requestsgives rise to tendencies to realizationof their contentTendencies can be blocked …Some social acts give rise totendencies255
    198. 198. The Structure of the Promisepromiser promiseepromiserelations of one-sideddependence256
    199. 199. The Structure of the Promisepromiserpromiseeact ofspeakingact ofregisteringcontentthree-sided mutualdependence257
    200. 200. The Structure of the Promiseoblig-ationclaimpromiser promiseeact ofspeakingact ofregisteringcontenttwo-sidedmutualdependence258
    201. 201. The Structure of the Promisepromiserpromiseeact ofspeakingact ofregisteringcontentFoblig-ationclaimaction: do Ftendencytowardsrealization259
    202. 202. promiserpromiseeact ofspeakingact ofregisteringcontentFoblig-ationclaimaction: do FThe Background(Environment)Trust, common language, …sincereintention260
    203. 203. Sham promisesLies as sham assertions (cf. a forgedsignature); rhetorical questionsSocial acts performed in someoneelse’s name (representation,delegation)Social acts with multiple addressesConditional social actsModifications of Social Acts261
    204. 204. promiserpromiseeact ofspeakingact ofregisteringcontentFoblig-ationclaimaction: do FThe Background(Environment)sincereintentionHow modifications occur262
    205. 205. promiserpromiseeact ofspeakingact ofregisteringcontentFoblig-ationclaimaction: do FThe Background(Environment)sincereintention263
    206. 206. promiserpromiseeact ofspeakingact ofregisteringcontentFoblig-ationclaimaction: do FThe Background(Environment)sincereintention264
    207. 207. promiserpromiseeact ofspeakingact ofregisteringcontentFoblig-ationclaimaction: do FThe Background(Environment)sincereintentionHow modific-ationsoccur265
    208. 208. promiserpromiseeact ofspeakingact ofregisteringcontentFoblig-ationclaimaction: do FThe Background(Environment)sincereintention266
    209. 209. promiserpromiseeact ofspeakingact ofregisteringcontentFoblig-ationclaimaction: do FThe Background (Environment, External Memory,Frame of Reference)sincereintentionLack of trust, lack of authority, lack of clear rules 267
    210. 210. Assurance form is a promiseNHGRI SAMPLE REPOSITORY FOR HUMAN GENETICRESEARCH ASSURANCE FORM FOR HUMAN CELL LINESAND DNA SAMPLESTo ensure compliance with the (DHSS / 45 CFR Part 46)regulations for the protection of human subjects … the principalinvestigator must provide the Repository with a writtendescription of the research project to be done using the cellcultures or DNA samples [and] sign this statement agreeing toadhere to the following conditions:1) … to report any proposed changes to the researchproject2) … not to try to identity or contact the donor subjects fromwhom the cell cultures or DNA samples were derived.…http://svn.neurocommons.org/svn/trunk/mta/Coriell/NHGRI/assurance.pdf 268
    211. 211. Assurance form is a promiseThe PI promises to do X, Y and Z and not to doU, V and W.If he contravenes this promise then such andsuch steps (… punishment …) will followThe PI is subject to a restriction269
    212. 212. What is a restriction?We have a class P of processes involving asagent some member of some class H ofhuman subjects (or of groups of humansubjects) and as patient some member of aclass of [biosamples, data entities, …]Restriction =def. assignment to theprocesses in P by some competent authoritya of the role of being restricted to membersof H270
    213. 213. What does ‘prohibit’ mean?a prohibits members of H from performingprocess p =def. if a member h of H performsp then there is a tendency for a to punish hfor performing p [or: for a to undertakeproceedings with a tendency to lead to apunishment of h for performing p]271
    214. 214. What is a license?The documentation of the assignment to themembers of P by competent authority a of therole of being restricted to members of H.The relevant document will include aspecification of P and of H.The relevant document will likely take theform of a reusable template in which thesespecifications are filled in.272
    215. 215. standard examples: nurse, student,patient;in each case something holds (that aperson plays a role) because of somesocially vehiculated decision. Functionsnever exist purely because people decidethat they exist; this isbecause functions rest in each case onsome underlying physicalstructure with relevant causal powers.Roles273
    216. 216. being first (in a queue, a pathway)Cf. Searle: status functions = theirexercise does not reflect their physicsMore Roles274
    217. 217. Liabilityif x has a liability to be Led, there is atendency for some other entity to do L to xx has license z to do S = somethingwhich does S has a liability to be Led, beingLed is bad, x can do S without being Led.275
    218. 218. DebtsOffices, rolesLicensesProhibitionsRightsLawsThe Ontology of Claims andObligations276
    219. 219. 1. Necessary Objects (intelligible;timeless) – e.g. the number 7 (Plato)2. Contingent Objects (knowable onlythrough observation; historical;causal) – e.g. Bill Clinton (positivists)3. Objects of the third kind (intelligible,but have a starting point in time) –e.g. claims, obligations …Three sorts of objects277
    220. 220. role: buyer/seller (roles come inanalytic pairs..., can be viewdependent)278
    221. 221. 4. RolesOne grain of truth in Shragerian fictionalism:Networks and pathways involve entities playingrolesRoles are always optional– roles are played by other entities, which arewhat they are independent of whether theyplay the roles279
    222. 222. The GO is not a catalog of rolesbeing a cell is not a rolebeing a cell membrane is not a rolebeing second nightwatchman is a role280
    223. 223. pathways can be represented atdifferent levels of granularity281
    224. 224. need for contextualizationP1 P1282
    225. 225. need for contextualizationthe same protein type appears twice in the samepathway – need to contextualize types (viasomething like roles)compare 2 + 2 = 4 (the first ‘2’ and the second ‘2’refer to different entities)P1 P1283
    226. 226. Which general terms designatetypes?Roughly: terms used by scientists to designateentities about which we have a plurality ofdifferent kinds of testable proposition(cell, electron ...)a type is such that its name can play a role inthe statement of a natural law284
    227. 227. Language has the power to creategeneral termswhich go beyond the domain of types studied byscience285
    228. 228. Problem: fiat demarcationsmale over 30 years of age with family history ofdiabetesabnormal curvature of spineparticipant in trial #2030286
    229. 229. Problem: rolesfistpatientFDA-approved drug287
    230. 230. Administrative ontologies often needto go beyond universalsFall on stairs or ladders in water transport injuringoccupant of small boat, unpoweredRailway accident involving collision with rolling stockand injuring pedal cyclistNontraffic accident involving motor-driven snowvehicle injuring pedestrian288
    231. 231. • role: buyer/seller (roles come in analyticpairs..., can be view dependent)289
    232. 232. what is a role?• a realizable independent continuant that isnot the consequence of the nature of theindependent continuant entity which bearsthe role (contrast: disposition)• the role is optional (someone else assigns it,the entity acquires it by moving it into aspecific context)290
    233. 233. • standard examples: nurse, student, patient;• in each case something holds (that a personplays a role) because of some sociallyvehiculated decision. Functions never existpurely because people decide that they exist;this is because functions rest in each case onsome underlying physical structure withrelevant causal powers.Roles291
    234. 234. • being first (in a queue, a pathway)• Cf. Searle: status functions = their exercisedoes not reflect their physicsMore Roles292
    235. 235. If x plays a role•there is a tendency for x to realize the role incertain kinds of actions293
    236. 236. What is a role?• a realizable independent continuant that isnot the consequence of the nature of theindependent continuant entity which bearsthe role (contrast: disposition)• the role is optional (someone else assigns it,the entity acquires it by moving it into aspecific context)294
    237. 237. If x plays a role•there is a tendency for x to realize the role incertain kinds of processes•in canonical circumstances the role is realized295
    238. 238. Army UCORE 2.0 Conceptual Data ModelWHOWHEREWHATWHENArmy UCORE 2.0 Conceptual Data ModelSituational Awareness - WHO was WHERE doing WHAT WHENUCORE OBJECTobject-identifierowner-producer-textoriginators-classification-textcreated-datetimePERSONperson-identifier (FK)person-nameperson-name-type-textperson-role-textowner-producer-textoriginators-classification-textcreated-datetimeORGANIZATIONorganisation-identifier (FK)organization-nameowner-producer-textoriginators-classification-textcreated-datetimeGEOSPATIAL LOCATIONgeospatial-location-identifier (FK)person-identifier (FK)event-identifier (FK)activity-identifier (FK)ISO-8601-start-datetime (FK)geospacial-location-type-textcoordinate-system-namealtitudelatitudelongitudeISO-8601-end-datetime (FK)owner-producer-textoriginators-classification-textcreated-datetimeAFFILIATION TYPEaffiliation-type-code-textowner-producer-textoriginators-classification-textcreated-datetimePERSON AFFILIATIONperson-identifier (FK)affiliation-type-code-text (FK)affiliation-create-datetimeowner-producer-textoriginators-classification-textcreated-datetimePERSON ORGANIZATIONperson-identifier (FK)organization-identifier (FK)person-organization-create-datetimeowner-producer-textoriginators-classification-textcreated-datetimeEVENTevent-identifierevent-nameevent-type-textowner-producer-textoriginators-classification-textcreated-datetimeACTIVITYactivity-identifierevent-identifier (FK)activity-nameactivity-type-textowner-producer-textoriginators-classification-textcreated-datetimeCOORDINATED UNIVERSAL START TIMEISO-8601-start-datetimeCOORDINATED UNIVERSAL END TIMEISO-8601-end-datetime(CDM)296
    239. 239. BiometricsOntologyJC3IEDM-SLC2 Core-SLFinanceAcquisitionHumanResourcesLogisticsInstallationsSemantic FrameworkBMAUpperOntologyGlossaryData DictionarySchemasIESSBMAMaster DataModel - SLGlossaryData DictionarySchemasIESSGlossaryData DictionarySchemasIESSGlossaryData DictionarySchemasIESSTraditionalData ModelArtifactsIntel MA TBDUCore(who-what-when-where)UCore-SL(who-what-when-where)GlossaryData DictionarySchemasIESSUCore-SLX (SUMO + BFO + DOLCE)297

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