Towards an account for dealing with Document Act in DEMO Method Kátia Coelho 1, David Aveiro 2 (Co-Supervisor), Maurício Almeida 1 (Supervisor) 1 School of Information Science, Federal University of Minas Gerais, Brazil. 2 Exact Sciences and Engineering Centre, University of Madeira, Portugal 16 th CIAO! Doctoral Consortium, Funchal, Madeira, Portugal

About me Kátia C. Coelho PhD Candidate in Information Science at School of Information Science - Federal University of Minas Gerais, Brazil Job and research: at Foundation Center of Hematology and Blood Transfusion of Minas Gerais, Brazil - Hemominas Foundation

Agenda Introduction Problem & Motivation Objectives Methodology Final remarks Next steps

Introduction Scope: Enterprise Ontology The context: DEMO Method it aims to develop models for construction and operation of organizations it independent of the actual implementation, by focusing on the communication patterns between human actors communication between human actors is a necessary basis for a theory of organizations

Document Act Theory it is an extension of the speech acts theory; it does justice to how documents can be used to cause a variety of effects. Speech is evanescent, documents endure through time; documents can be more than just reports, they can add something to reality; they also have social and institutional powers (legal, ethical), named deontic powers; documents can be preserved so that they can be inspected and modified in successive points in time and grouped into complexes lasting documents. Introduction

Different sorts of things we can do (achieve, effect, realize) with a document create an organization record the deliberations of a committee initiate a legal action release funds confirm flight readiness Institutional systems to which documents belong in areas  marriage  law  government  commerce  credentialing  identification  as well as real estate property titling systems  credit reporting systems  credit card payment systems  taxation systems  and so on Smith, 2012

Introduction 1.We represent how things are: record, report, description, assertion … 2.We try to get people to do things: request, order, command … 3.We commit ourselves to doing things: promise, agreement, … 4.We bring about changes in the world through utterances declaring, baptizing, marrying, promoting, hiring, testifying … How to do things with words (speech act theory) 1. We represent how things are: map, chemical diagram, x-ray image, … 2. We try to get people to do things: blueprint, wiring diagram, training manual… 3. We commit ourselves to doing things contract, planning agreement, flow chart… 4. We bring about changes in the world through document acts official stamp, serial number, seal, signature, … How to do things with documents (document act theory) Smith, 2012

Introduction Documents plays an essential role in many social interactions and can unite people, groups or nations in a lasting way Different sorts of things we can do to a document... fill it sign it stamp it inspect it copy it file it

Problem & Motivation DEMO Method lacks the notion of document as a physical entity. In DEMO, discusses the documental level of abstraction, i.e., it is associated with the human ability to accomplish: 1) coordination act - actors act according to was agreed previously; 2) ability to perform production act like: to store, to retrieve, to transmit, to copy (phrases or documents). Our account - we are dealing with what the human being can do with documents. Document is a physical entity that records some human actions named document acts. The present-day the term document keeps the sense of “instruction regarding an action with the aim of confirming a fact” [13]. The term document also acquires a deontic- normative connotation [13] (duties or obligations ) [13] We seek to answer our research problem about the possibility of connecting documents to the models based on DEMO, through the embodiment to documents acts theory.

Objectives Main to check improvements in DEMO Method through the connection between the documental approach of DEMO Method with the principles of Documents Acts Theory and D-acts ontology Secondary To introduce a new set of best practices for the DEMO way of working

Methodological proposal Design Science Methodology Artifact developed - Object Fact Diagram of the Document Act Ontological Model (D-ACTOM). Our approach - The model was developed from the analysis those theories that underlies DEMO Method, Document Act Theory and D-ontology acts. We are investigating how we would correlate these theories in order to find out a merging of their foundations.. We are looking for possible improvements that could be added to DEMO Method, both in theoretical studies and in practical applications Our model has been developed to be the bridge between DEMO Method and Document Act Theory.

As part of our methodological approach, we are applying our model into a real context (health area) in order to evaluate it. Our approach follows a rigorous process in which we used theoretical foundations of philosophy, of information systems modeling and of DEMO method. Methodological proposal Design Science Methodology … continuation

The scenario of application In the context of health area there are many documents acts. One example of this kind of document is the consent letter, a document that legally enables the process of blood drawing. This document is required in several countries for all people in the need of blood drawing as medical treatment for a diagnosed medical condition, including those ones with genetic predisposition to iron overloading (hereditary hemochromatosis, or HH). Thus, a consent letter is the specified input of a document act that represents the desire of any patient in consenting that their blood be drawn. In this context, the clerk (responsible for the blood drawing process) is the bearer of the document act template creator role. The blood-drawing patient is the bearer of the declaration performer role. The nurse is responsible for medical procedures that enabling the patient to draw blood, for instance, blood drawing from the patient’s arm. She is - the declaration target (see d-act ontology), since she becomes endowed with the right to perform the aforementioned procedures [10] and [15].

14 Patient signs consent letter template bestows with certain rights and obligations The consent process Brochhausen, 2015

Types Instances document document act rights/obli gations Consent letter Ratification of consent to realize the blood draw Obligation to consent to drawing blood has specified input has specified output 15 Document act – from d-act ontology Brochhausen, 2015

16 consent letter template # consent process # consent letter document # right to draw blood has participant is specified output of is specified output of document act document socio-legal GDC is a Brochhausen, 2015

17 right to draw blood # generically dependent continuant legal role # specifically dependent continuant is concretized as nurse # inheres in Drawing blood# realizes independent continuant process is a Brochhausen, 2015

D-ACT DOCUMENT ACT TEMPLATE RIGHTS/OBLIGATI ONS [d-act] bestows [rights/obligations] [document act template] of [d-act] DOCUMENT ACT TEMPLATE CREATOR ROLE [document act template creator role] creates [document act template] DECLARATION PERFORMER ROLE SOCIO-LEGAL GDC DECLARATION TARGET [declaration performer role] performs [d-act] [rights/obligations] is a [socio-legal GDC] [declaration target] carries out [d-act] DECLARATION [blood drawing consent letter] registers [blood drawing consent] [d-act] of [declaration] blood drawing consent [blood drawing consent] authorizes [blood drawing] [nurse] carries out [blood drawing ] [patient] performs [blood drawing consent] [blood drawing consent letter] of [blood drawing consent] [clerk x ] creates [blood drawing consent letter] [document act template] registers [declaration] [blood drawing consent] of [blood drawing consent] OFD - BFO perspective of D-act ontology

blood drawee CA01 A01 blood drawing realizer blood drawing consent realization T03 T02 T01 blood drawing management blood drawing consent letter singing CONSENT [consent] of [patient] PATIENT [blood drawing consent letter #235] was signed [blood drawing consent] of [patient #111]

D-ACT [d-act] affects [document] [d-act] of [transaction kind] [documental process step] of [transaction kind ] A [documental process step] formalizes [transaction step ] [documental process step] of [d-act] documental process step realizes d-act kind ORDER D-ACT KIND DOCUMENTAL PROCESS STEP TRANSACTION STEP TRANSACTION KIND DOCUMENT 1 - [d-act] of [blood drawing consent] – generate 2 – hand- over 3 – fill 4 – sign 1 - [d-act] affects [blood drawing consent letter] [document process step#23] 1 realizes [d-act kind # 1] [document process step #24] 2 realizes [d-act kind #2] [document process step #25] 3 realizes [d-act kind#3] [document process step #27] 5 realizes [d-act kind #2] [document process step #26] 4 realizes [d-act kind #4] [document process step #24] formalizes [transaction step #1] [document process step #26] formalizes [transaction step #3] [document process step #27] formalizes [transaction step #4] 1 1 Blood drawing consent - 23-Generate, 24-Hand-over, 25-Fill, 26-sign, 27-hand-over consent consent letter 1 - blood drawing consent 1 – blood drawing consent letter 1 – rq; 2 – pm; 3 – ex; 4 – st; 5 - ac DOCUMENT KIND [document] of [document kind]

The steps of the model development The essence of the D-act is the declaration entity whose facts are formalized in the (physical) document, whose purposes of the declaration will to last over time. TRANSACTION KIND class - represents transactions whose results are facts of the world. T01 - blood drawing consent realization D-ACT KIND class represents all kinds of actions at datalogical level. These actions formalize a declaration type of TRANSACTION KIND class in D-ACT clas DOCUMENTAL PROCESS STEP class specifies each step, at datalogical level, needed for registering each declaration in D-ACT class. A certain d-act kind formalizes a certain transaction step. TRANSACTION STEP class specifies the steps required for each transaction from TRANSACTION KIND class. 1 – rq (request); 2 – pm (promise); 3 – ex (execute); 4 – st (state) and 5 – ac (accept). T1 blood drawing consent realization and T02 - blood drawing consent letter signing. The instance 24 means, the request act is realized by one hand-over; the instance 26 means that the execute is realized by one sign; the instance 27 means, the state act is realized by one hand-over

The steps of the model development … continuation DOCUMENTAL PROCESS STEP class implements the blood drawing consent transaction through these five steps, i.e. they are the realization of TRANSACTION KIND. DOCUMENT class refers to the population of documents.The documents in DOCUMENT class are a type of DOCUMENT KIND class. D-ACT class is the core of our approach. It represents a document act. The D-ACT class specifies all particular acts of a particular transaction. In D-ACT class one also can find: the history of a particular process; the historical of a particular; All history of a transaction; D-ACT class specifies all particular acts of a particular transaction. We can identify: 1) the result of a transaction 2) the document required for this declaration ; 3) all actions (D-ACT KIND), which must be realized at datalogical abstraction level (DOCUMENTAL PROCESS STEP), to formalize (to sign) the declaration and; 4) the coordination or production act used in each action (D-ACT KIND)

We argue - facts embodied in documents are formalizations of social acts including their rights and obligations required to fulfill commitments for the creation of any product or service. Document formalizes the creation of new social artifacts, assigning responsibilities - who produce it, who signs it, and so forth. Only documents are able to extend these commitments to the long term Final remarks

Next steps to… develop our ontological model in order to keep the entire document lifecycle, since its creation up to its proper discard; consolidate our theoretical and methodological bases; apply our model in other circumstances for different types of declarations; analyze and to identify the documents(acts) that are relevant in organizational domain; apply our methodology in a real case; analyze results; present eventual improvements on the theoretical frameworks and method.

Thank you from: Scottish Intercollegiate Guidelines Network; 25 Brochhausen, 2015

DOCUMENT [user] of [document] USER TEMPLATE C C [template] of [document] ARCHIVE [document] of [archive] FORMA C C [forma] of [document] DOCUMENT KIND DOCUMENT KIND [document] is an instance of [document kind] [document] is generated from [template ] [print form] is a [forma] [addressee] is a [user type] [permanent archive] is a [archive type] [document consent drawing blood] is a document type

Acknowledgment References Authors, their work and lessons  Almeida M.B,  Aveiro, D.S  Brochhausen  Dietz, J.L.G  Smith, B  and others authors not mentioned here