2PART ONE: Beyond Information Objects PART TWO: What Documents Wreak PART THREE: What you can Wreak with DocumentsPART FOUR: Standardized Documents
3Beyond information objects PART ONEBeyond information objects
4Much valuable work on ‘documents’ in the context of XML, etc Much valuable work on ‘documents’ in the context of XML, etc., standardizatione.g. Bob Glushko: “A document is a purposeful and self-contained collection of information.”focuses on information content, not on the physical containersees 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
5(Much bad stuff too) HL7 Clinical Document Architecture is an XML-based document markup standard that specifies the structure and semantics of clinical documents for the purpose of information exchangeall CDA documents derive their meaning from the HL7 Reference Information Model (RIM)
6HL7-RIMDocument:Definition: Specialization of Act to add the characteristics unique to document management services. (3.7.1)Act:Definition: An Act is an action of interest that has happened, can happen, is happening, is intended to happen, or is requested/demanded to happen. (1.5.1)Definition: A record of something that is being done, has been done, can be done, or is intended or requested to be done. (3.1.1)
7HL7-RIM (Ballot September 2004) Logical nonsenseAct = record of an Act (1.5.1)Act = intentional action (3.1.1)Ontological nonsense“there is no distinction between an activity and its documentation” (3.1.1)Sheer nonsensedocument is a subclass (?!) of structured document (2.2.3)(Compare: number is a special type of prime number)
8HL7-RIM draws no clear distinctions between documents (as entities which endure, can be stored, etc.)those acts of recording information which create documentsacts of ordering or requesting or signing documentsthe information recorded in documentsthe activities described in documentsetc.
9We are interested here in the class of (roughly: time-sensitive) documents of importance e.g.in homeland security (identification documents)in commercein lawin healthcareThus: not novels ...
10Some examples Made of paper Not made of paper novel textbook newspaper advertising flierrecipemapbusiness cardlicensedegree certificatedeedcontractwillreceiptstatement of accountsmedical consent formclay tablet recording outcome of litigatione-documentelectronic health recordmovie clappercredit card receiptstock market tickercar license plateadvertising hoardinggravestonehallmarked silver platefilm creditsexterior signage on buildings
11OED 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,tomb-stone, coin, picture, etc.
12What is missing from existing document ontologies: the social and institutional (deontic, quasi-legal) powers of documentsthe social interactions in which documents play an essential role (how documents bind people together)the sorts of things which we can do with documentsthe different types of institutional systems to which documents belongthe provenance of documents (on what distinguishes original, authentic documents from copies, forgeries ...)
13What is missing from existing document ontologies: document as stand-alone entity vs. document with all its different types of proximate and remote attachmentsdocument template vs. filled-in documentdocument vs. the piece of paper (or other physical carrier) upon which a document is written/printed,etc.Focusing on information alone will not suffice; it is a hard problem to simulate some of these features in the case of documents which exist only in a digital medium
14Allographic vs. Autographic A work of art is “autographic if and only if the distinction between the original and the copy has meaning; or rather, if even its most exact reproduction does not have the status of authenticity.” (Nelson Goodman, Languages of Art)painting is autographicmusic is allographicIt follows that a musical forgery is ontologically impossible (R. Pouivet, “The ontology of forgery”)How simulate the autographic in a digital medium? Not via any pure information object, but only via provenance (history).
15Allographic = identity is notational vs Allographic = identity is notational vs. Autographic = identity is historicalA signature is autographicA fingerprint left at the scene of the crime is autographicA fingerprint taken for identification purposes is allographic
17Two types of ontology natural-science ontology (bio-ontologies) administrative ontology (e-commerce ontologies)Healthcare ontologies span the two
18Documents belong to the domain of administrative entities entities such as organizations, rules, prices, debts, standardized transactions ..., which we ourselves createBut what does ‘create’ mean ?
19Austin/Searle 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.
20The Searle thesisclaims and obligations and deontic powers* are brought into existence by the performance of speech acts(acts of promising, marrying, accusing ... )The Construction of Social Reality (1989)* rights, relations of authority, debts, property-relations, permissions, ...
21HL7-RIMclaims to be based on speech act theory, but ignores completely the deontic features of speech acts
22appointings, marryings, promisings ... change the worldbut only if certain background conditions are satisfied:valid formulationlegitimate authorityacceptance by addresseesWe perform a speech act ... the world changes, instantaneously
23A new entity comes into being – a claim, obligation, right, power, name, office –which survives for an extended period of timeWhat is the physical basis for this extended existence?In small societies: the memories of those involvedIn large societies: documentsWriting creates and sustains permanent, re-usable meaning and permanent re-usable deontic powers
24Differences between document acts and speech acts you don’t need to understand a document in order to perform a properly constituted document actpaper documents are continuants, which means that they can change over time (be filled in, copied, stamped, etc.)they can also create traceable liability (form an audit trial)they can be attached together, creating new document-complexes whose structure mirrors relations (e.g. of debtor to creditor) among humans
25Differences between document acts and speech acts document acts typically involve components deriving from several of Searle’s five typesdual role of a delivery note:to guide those involved in delivering an objectto allow the recipient to attest to its receiptand also components of other types–dual role of your signature in your passport:to attest to the truth of a certain assertionto provide a sample pattern for comparison
26Differences 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, ...)
29The Searle thesis:claims and obligations and deontic powers are brought into existence by the performance of speech acts
30Hernando de Soto, The Mystery of Capital, The de Soto thesis:documents and document systems are mechanisms for creating the institutional orders of modern societiesHernando de Soto, The Mystery of Capital,New York: Basic Books, 2000
31The creative powers of documents stock and share certificates create capitalexamination documents create PhDstitle deed/cadastral map creates real estate parcelsmarriage licenses create bonds of matrimonybankruptcy certificates create bankruptsstatutes of incorporation create companiestitle deeds create property rights and property owners
32The creative powers of documents insurance certificates create insurance coverageprice tag/pricelist (creates commitments)patent (creates rights)license/degree certificate (creates rights)statement of accounts (creates obligations)membership card (creates rights)divorce decree (creates rights and obligations)
33Identity documents create identity and thereby create the possibility of identity theftwhat is the ontology of identity?what is the epistemology of identity (the technologies of identification)?
34The creative power of documents documents create authorities(physicians’ license creates physician)authorities create documents(physician creates sick note)Documents issued by an authority within the framework of a valid legal institutionvs. issued by an authority extralegally on its own behalf (cf. US Declaration of Independence)
35Organizational charta map of the organization and of its flows of authority(a system of positional roles in the document represents [creates?] the system of positional roles which is the organization)
36Homework: How classify these kinds of documents partnership agreement/ statute of incorporationproxy form/representation agreementballot formresidence permitcensus reportstock certificateinsurance claim forminsurance policyvisa/immigration documentbankruptcy certificateinsurance card/health insurance cardhealth certificateconsent form (for medical procedure)medical recordcriminal recordpension bookrent bookaccident report/theft report/police report/chargearchitects plan (vs. template for an architects plan)
37What 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
38Non-Creative novel textbook newspaper recipe map business card advertizing fliertimetableguaranteetax form (filled in)minutes of a meetingALLOGRAPHIClicensebirth certificatedegree certificatedeedcontractwillreceiptbanknotepaintingstatuebuildingAUTOGRAPHIC
39What you can wreak with documents PART THREEWhat you can wreak with documents
40What you can do with a document [DOCUMENT ACTS] Sign 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 it
41Addressees (documents point also forward in time) Each kind of document has an associated kind of publicthe creators of the document-template (legislators, drafters ...)the guardians of the document (solicitors, notaries ...)the fillers-in of the document (this is the central target audience)the recipients of the document (registrars, ...)the beneficiaries of the document (wills)
42Registration 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 documentsmore easily authenticated
43RedundancySafety 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 numbersthese elements serve to anchor the document to the reality beyond and to the history of its production
45Anchoring fingerprint official stamp photograph bar code, cow brand-markcar license plateallow cross-referencing to documentsknowledge by acquaintanceknowledge by descriptionknowledge by comparisonI use my passport to prove my identityYou use my passport to check my identity
46The ontology of signatures documents needing signaturessigned/not signed/incorrectly signed/fraudulently signed/signed and stampedsigned by proxywith a single/with a plurality of signatories
47The ontology of namesa baptism ceremony creates a new sort of cultural object called a namenames, too, belong to the domain of administrative (= created) entitiesthis is an abstract yet time-bound object, like a nation or a clubit 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)
48How do documents relate to their linguistically 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 the realm of e-documents?How do we anchor e-documents to objects and processes in physical reality (e.g. to human beings)?
49How do documents relate to the underlying physical medium A credit card receipt is autographicA credit card is allographicBut the credit card as physical carrier is dispensable:What is important are the credit card numbers
50The ontology of (credit card) numbers These numbers are not mathematical (not informational) entities – they are ‘thick’ (historical) numbers, special sorts of cultural artefactsthey are information objects with provenance: abstract keys fitting into a globally distributed lock
51Standardized Documents PART FOURStandardized Documents
52Standardized documents Template, followed by act of filling inFirst step towards standardized products is a plan, a description, a template, which can be filled in (brand identity))documents filled incompletely/partiallycorrectly/incorrectlyvalidly/invalidly
53from the Shiprock Navajo fair New Mexico, September 30-October 1, 2005
54Standardized documents allow networkingacross time (documents can accumulate through attachment)across space (different groups can orientate themselves around the same document forms)can encapsulate the memory and experience of an entire profession
55Good documents vs. bad documents Good documents must be well-designedthey must map the corresponding reality in a perspicuous way – cf. maps as documentthey 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)
56standardized documents improve the flow of communicationsallow standardized transactionsallow assets to be described using standard categories, so as to enable comparisonsallow the transition from ad hoc narratives (as in old title deeds) to structured representations of realitycommunication is hereby advanced because signals are abbreviatedsupports the creation of more effective registries
57standardized documents embody social memory one can more easily check that one has filled in the boxescorrectly from a syntactical point of viewtruthfullyby the right personwith the right authoritysome entries are made self-validating through the presence of official seals or stampssome entries refer to other forms (copies of which may be required to be attached to this form)the form itself can guarantee that it occupies its proper place in a network of formsfacilitates checking and enforceability, and thus contributes to trust and to simplification of transactionsand (cf. de Soto) makes us all better people