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  <front>
    <journal-meta />
    <article-meta>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Christopher Menzel</string-name>
          <email>cmenzel@tamu.edu</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Department of Philosophy, Texas A&amp;M University, College Station</institution>
          ,
          <addr-line>TX</addr-line>
          ,
          <country country="US">USA</country>
        </aff>
        <aff id="aff1">
          <label>1</label>
          <institution>Ironically, the very foundational work that began with the arithmetization of analysis and led to the development of mathematical logic ultimately resurrected the notion of an infinitesimal and an alternative foundation for analysis built thereon - so-called “nonstandard” analysis. See</institution>
          ,
          <addr-line>e.g., [4] Chapter 3</addr-line>
        </aff>
      </contrib-group>
      <abstract>
        <p>Ontology today is in many ways in a state similar to that of analysis in the late 18th century prior to arithmetization: it lacks the sort rigorous theoretical foundations needed to elevate ontology to the level of a genuine scientific discipline. This paper attempts to make some first steps toward te development of such foundations. Specifically, starting with some basic intuitions about ontologies and their content, I develop an expressively rich framework capable of treating ontologies as theoretical objects whose properties and logical interconnections - notably, potential for integration - we can clearly define and study. Ontology today is in a state similar to that of analysis in the late 18th century. The practical power of the calculus had been convincingly demonstrated in the work or Newton and his great successors. Moreover, the field of real analysis itself had seen an explosion of creativity, exemplified most notably in the work of Euler. However, Euler's own work also revealed worrisome foundational problems. For techniques used with great success in one instance to prove deep and dramatic theorems in another instance could lead to absurdities, e.g., that the value of certain monotonically increasing infinite series was 1. Such results led to a conceptual crisis - how can any results be trusted when the methods that generate them can lead to error? This crisis was addressed, and successfully eliminated, by the development of rigorous foundation for analysis - widely known as the arithmetization of analysis - by Cauchy, Weierstrass, Bolzano, and others in the early 19th century. Building on the sound foundation of number theory, mathematicians replaced the intuitive but undefined notions of analysis - limit, continuity, series, integration, real number etc. - with clearly defined counterparts (e.g., the now-familiar ; definition of limit) and banished unruly notions like that of an infinitesimal altogether.2 With these solid underpinnings in place, mathematicians were able to identify clear conditions of applicability for their analytic methods that prevented the derivation of absurdities without limiting their ability to prove desirable results. A similar foundation is needed in the study of ontologies. As with analysis prior to arithmetization, the potential of ontologies is evident, but the fundamental notions remain largely intuitive; notably, there is no precise characterization of the notion of an ontology, nor what it is for two ontologies to be intergrated. What we need, then, is our own “arithmetization” - in a nutshell, we need ontology theory: a mathematical framework, akin to number theory or modern analysis, that enables us to characterize the notion of an ontology formally and develop accounts of their properties and the various ways in which one ontology can be related to another. Note also that the framework itself might not be used as it stands for any actual ontology integration work. It is in the respect analogous to computability theory. No one actually programs turing machines (except as a heuristic exercise). Rather, the notion provides a model of computation that serves as a foundation for both theoretical and, therefore, indirectly, applied computer science. In this brief paper we can only make some first halting steps toward a general ontology theory. The bulk of this paper will be to argue for, and lay out in varying degrees of detail, a formal framework with the representational horsepower adequate for a robust ontology theory.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>Intuitions</title>
      <p>I begin with some intuitions to motivate the design of a framework
for ontology theory.
1. Ontologies consist of propositions.
2. Propositions are not sentences, they are what sentences express;
different sentences in different languages (or possibly the same
language) can express the same proposition.
3. Propositions can be equivalent without being identical.
4. Propositions and ontologies are objects, things we can talk about.
5. The content of an ontology consists of the propositions
involving concepts in the ontology that are entailed by the constituent
propositions of the ontology.
6. Ontologies are comparable in terms of their content. In particular,
two ontologies are equivalent if they have the same content.
3</p>
    </sec>
    <sec id="sec-2">
      <title>Desiderata</title>
      <p>In developing a general ontology theory our concern is describe the
phenomenon, just as in the development of number theory or real
analysis or, for that matter, computability theory. We therefore place
no computational restrictions on expressiveness, and hence will avail
ourselves of at least full first-order logic.3</p>
      <p>However, we will need quite a lot more than that to satisfy the
intuitions in the preceding section. Notably:</p>
      <p>
        Re (
        <xref ref-type="bibr" rid="ref1">1</xref>
        ) above, we need formal notions of ontology and proposition,
and a notion of the relation between ontologies and the
propositions they consist of.
      </p>
      <p>
        Re (
        <xref ref-type="bibr" rid="ref2">2</xref>
        ), we need a notion of proposition that is independent of any
particular language.
3 As with both number theory and analysis, of course, we may want to explore
computationally more tractable subtheories of our theory.
      </p>
      <p>
        Re (
        <xref ref-type="bibr" rid="ref3">3</xref>
        ), we need a notion of proposition robust enough to allow for
distinct logically equivalent propositions.
      </p>
      <p>
        Re (
        <xref ref-type="bibr" rid="ref4">4</xref>
        ), we need to be able to name and quantify over propositions
and ontologies; i.e., ontologies and propositions must be
“firstclass citizens” in ontology theory.
      </p>
      <p>
        Re (
        <xref ref-type="bibr" rid="ref5">5</xref>
        ), we need to be able to represent the notion of content, and
hence (i) a notion of entailment that can hold between ontologies
and propositions and (ii) a notion of the concepts within an
ontology.
      </p>
      <p>
        Re (
        <xref ref-type="bibr" rid="ref6">6</xref>
        ), we need to be able to define notions of comparability in
terms of ontological content.
      </p>
      <p>
        I will satisfy these desiderata by developing a first-order theory of
structured relations, of which propositions will be one species.
Ontologies will be identified with 1-place relations, which for most
purposes can play the role of classes. This theory will satisfy desiderata
(
        <xref ref-type="bibr" rid="ref1">1</xref>
        ), (
        <xref ref-type="bibr" rid="ref2">2</xref>
        ), (
        <xref ref-type="bibr" rid="ref3">3</xref>
        ), and (
        <xref ref-type="bibr" rid="ref4">4</xref>
        ). By “structured” I mean that, although they will
not be identified with formulas, relations will have a decomposable
logical form similar to formulas. Together with a primitive modality,
the structured nature of relations in turn will enable us to define a
notion of entailment for propositions that will enable us to define a
notion of content for ontologies, and hence to satisfy desiderata (
        <xref ref-type="bibr" rid="ref5">5</xref>
        )
and (
        <xref ref-type="bibr" rid="ref6">6</xref>
        ).
4
      </p>
      <p>A Formal Framework for Ontology Theory
In this section I will define a language with appropriate expressive
power for ontology theory and a corresponding semantics.
4.1</p>
    </sec>
    <sec id="sec-3">
      <title>Syntax</title>
      <p>To accomodate the narrow columns of the ECAI 2-column format, as
much as anything, I will simply use the basic apparatus of standard
Principia Mathematica-style first-order language, augmented with a
number of useful constructs. I will call the language “L”.</p>
      <p>Note that the unfriendliness of such languages in regard to
computer processability is no more to the point here than it is with
respect to group theory or computability theory. Our goal is
theoretical — a mathematical theory of ontologies. Such work, of course, if
sound, should lead to developments wherein computer processable
languages are critical, but at this point processability is not an issue.
4.1.1</p>
      <sec id="sec-3-1">
        <title>Lexicon</title>
        <p>The lexicon consists of a countable set of individual constants, a
denumerable set of individual variables, for each n 0, a countable
set of n-place predicate constants and a denumerable set of n-place
predicate variables (jointly called n-place predicates), the reserved
logical symbols :, ^, _, !, $, 8, 9, , and 2, and parentheses
and brackets. Individual variables will consist of lower case letters,
typically x, y, z, possibly with numerical subscripts. n-place
predicate variables will consist of upper case letters with numerical
superscripts (suppressed where context serves to indicate the arity of
an n-place predicate), typically F n, Gn, and Hn, possibly also with
numerical subscripts. For purposes here, constants will consist of
alphanumeric strings — other than the single-character strings already
in use for the variables — beginning with an upper or lower case
letter; dashes are also permitted to join alphanumeric strings. Typically,
I will use a strings beginning with a lower case letter for constants
that are intended to denote individual objects and strings beginning
with an upper case letter for constants intended to denote relations.
4.1.2</p>
      </sec>
      <sec id="sec-3-2">
        <title>Grammar</title>
        <p>We define formulas and terms by a simultaneous recursion:
1. Any constant or variable (individual or predicate) is a term.
2. If is an n-place predicate and 1, . . . , n are any terms, n 0,
then ( 1; : : : ; n) is an (atomic) formula of L. is said to
occur in predicate position, and each i in argument position, in
( 1; : : : ; n). In the case where n = 0, we omit the empty
parentheses and say that standing alone is an atomic formula.
3. If ', are formulas, so are :', 2', and (' ! ).
4. If ' is any formula and 1, . . . , n any variables, then
(8 1 : : : n)' is a formula.
5. If ' is a formula containing no occurrences of 2, no bound
variables occurring in predicate position, and no bound predicate
variables, and 1, . . . , n are any individual variables that do not occur
free in any term occurring in ', then [ 1 : : : n '] is an n-place
predicate.
6. Nothing else is a term or formula of L</p>
        <p>The usual definitions of ^, _, $, and 9 will be assumed.</p>
        <p>
          There are two particularly distinctive features of L. First, although
the language of L contains so-called “higher-order” variables, unlike
standard higher-order languages, these variables, and n-place
predicates generally, are considered terms; they can occur as arguments
to other predicates. Semantically speaking, as we will see
explicitly below, this means that our universe is type-free — everything
is an object; the quantifiers of the language will range over
everything alike. Note this does not mean that there is no distinction
between kinds of things. Notably, as noted already, our basic ontology
includes relations as well as ordinary individuals. Rather, in
accordance with intuition (
          <xref ref-type="bibr" rid="ref4">4</xref>
          ), it simply means that all of these things are
in the universe of discourse, i.e., the range of the quantifiers. All
entities — individuals, propositions, properties, and relations alike —
are first-class logical citizens that jointly constitute a single domain
of quantification. As such, properties and relations can themselves
have properties, stand in relations, and serve as potential objects of
reference.
        </p>
        <p>Perhaps the strongest linguistic evidence for type freedom is the
phenomenon of nominalization, whereby any verb phrase can be
transformed into a noun phrase of one sort or another, most
commonly, a gerund. So, for example, the verb phrase ‘is famous’
indicates a property that can be predicated of individuals, as in ‘Quentin
is famous’. Its gerundive counterpart, however, ‘being famous’,
serves to denote a subject of further predication, as in, e.g., ‘Being
famous is all Quentin thinks about’. Intuitively, the verb phrase
indicating the property predicated and the gerund indicating the object of
Quentin’s thoughts (i.e., the object possessing the property of being
thought by Quentin) are the very same thing, the property of being
famous.</p>
        <p>
          In L, this “dual role” of properties and relations — thing
predicated vs. object of predication — is reflected in the fact that the same
constant can play both traditional syntactic roles of predicate symbol
and individual constant. Thus, in L, we can write both
(
          <xref ref-type="bibr" rid="ref1">1</xref>
          ) Famous(quentin)
and
(
          <xref ref-type="bibr" rid="ref2">2</xref>
          ) (8F )(ThinksAbout (quentin; F ) $ (F = Famous))
(L retains no representation of the grammatical distinction between
verb phrases — e.g., ‘is famous’ — and their gerundive counterparts
— e.g., ‘being famous’. One could be added easily enough, of course,
but as there is no semantic difference between verb phrases and their
gerunds on a type free conception, any such representation would be
semantically otiose.)
        </p>
        <p>
          Because all objects are of the same logical type, it follows that
any property can be predicated of any property and, in particular,
a property can be predicated of (and, indeed, can exemplify) itself.
Again, this comports with natural language; the property of being a
property, for instance, is a property, and hence exemplifies itself. This
is naturally represented in L in the obvious way:
(
          <xref ref-type="bibr" rid="ref3">3</xref>
          ) Property (P roperty)
        </p>
        <p>It must be emphasized that the fact that we will be quantifying
over properties, propositions, and relations generally does not in and
of itself mean that L is higher-order. For that, one’s semantics must
involve higher-order quantifiers whose range includes a power set
construction of some ilk over a domain of logical individuals. In our
semantics, there is no such construction; there is but a single domain
over which a single type of quantifier ranges.</p>
        <p>
          The second distinctive feature of L, and arguably the most
prominent, is the presence of complex terms [ 1 : : : n ']. Intuitively,
these terms denote complex relations. For instance, the term
(
          <xref ref-type="bibr" rid="ref4">4</xref>
          ) [ x Enjoys(x; salmon) ^ Prefers(x; red _wine; white_wine)]
indicates the property of enjoying salmon and preferring red wine to
white. Terms with no bound -variables indicate 0-place relations,
i.e., propositions. In this case the can be dropped. Thus,
(
          <xref ref-type="bibr" rid="ref5">5</xref>
          ) [8x(Planet (x) ! Larger (sun; x))]
indicates the proposition that the sun is larger than all of the planets.
This feature of L is particularly important, as ontologies in the
proposed theory will be characterized roughly as classes of propositions,
and the logical connections between ontologies will be expressed in
terms of logical relations between propositions. -terms enable us
to talk about the propositions in a given ontology explicitly. And as
we will see, they are also extremely useful for defining a variety of
important auxiliary notions.
4.1.3
        </p>
      </sec>
      <sec id="sec-3-3">
        <title>On Syntactic Restrictions on Term Formation</title>
        <p>
          Clause (
          <xref ref-type="bibr" rid="ref5">5</xref>
          ) in the grammar for L imposes a number of restrictions
on the formation of complex terms. The most noteworthy of these
is the restriction permitting only individual variables to be bound by
the operator in complex terms. This restriction avoids the Russell
paradox, as without that restriction the term [ F :F (F )] —
indicating, intuitively, the property of non-self-exemplification — would be
legitimate. The grammar would then permit the construction of the
atomic formula [ F :F (F )]([ F :F (F )]), which, by the logical
principle of -conversion ((10) below), could be proven equivalent
to its negation. However, the restriction that prevents the paradox is
not ad hoc. Its justification — which will become clear in Section 4.2
— is that there is simply no intuitive logical operation that yields
relations whose logical form corresponds to such terms, and hence no
warrant for permitting them. The avoidance of Russell’s paradox falls
out as a consequence of this restriction, and hence is explained rather
than merely avoided: the paradox arises from a theoretically
unwarranted assumption about the structure of complex relations, much as
the corresponding paradox of self-membership arises from a
theoretically unwarranted assumption about the nature and structure of sets
(see, e.g., [2]).
        </p>
        <p>
          Clause (
          <xref ref-type="bibr" rid="ref5">5</xref>
          ) imposes a number of other restrictions on the formation
of terms that are, in fact, dispensable in the sense that we could in fact
provide a reasonable semantics for them. Specifically:
        </p>
        <p>The requirement that -bound variables all occur free in ' rules
out such terms as [ xy P x] that contain vacuous -bound
variables;4
The restriction on free occurrences of -bound variables
within complex terms occurring in ' rules out such terms as
[ xy P [ zQxz]y];5
The restriction on bound occurrences of predicate variables
within complex terms occurring in ' rules out such terms as
[ y (9F 1)y = F 1];6</p>
        <p>However, the terms that would be permitted without these
restrictions are inessential to our purposes here and hence allowing them
would introduce unnecessary technical complexity.</p>
        <p>While the restrictions to non-modal formulas in the formation of
terms is, like the two above, also inessential, it has a certain intuitive
warrant. For, unlike the three restrictions above, this restriction
reflects an important feature of the intended domain guiding the
development of the current framework. Specifically, we are formulating a
theory of first-order ontologies, that is, ontologies whose constituent
propositions are expressible by sentences in a non-modal first-order
language (hence in any weaker sublanguage thereof). This is, of
course, not to say that there are no modal (or higher-order)
ontologies. However, the vast majority of existing ontologies are first-order,
and it seems quite unlikely that this will change with the development
of the Semantic Web if the expressiveness of its basic language is to
be on the order of DAML+OIL. Therefore, to provide the capacity to
express modal propositions, at this point, seems unwarranted.</p>
        <p>A theory of ontologies, however, does need this expressive power.
Specifically, modality is useful for characterizing the nature of
ontologies and their logical connections. Most notably, perhaps, as will
be seen explicitly in Section 7 below, the modal component of the
language of our theory enables us to define a robust notion of
entailment which, in turn, can be used to formulate a correspondingly
robust notion of ontological content.
4.2</p>
      </sec>
    </sec>
    <sec id="sec-4">
      <title>Semantics</title>
      <p>In this section I will build upon work by Bealer [1], Zalta [7], and
Menzel [5] to develop a rich “meta-ontology” of structured relations.
4.2.1</p>
      <sec id="sec-4-1">
        <title>Model Structures</title>
        <p>A model structure M for L is a 5-tuple hD; W; dom; Op; ext i. Here
D = SfA; Rg is the domain of M, and consists of the union of two
mutually disjoint sets A and R. A is the set of individuals of D and R
is the set of relations, of which we consider propositions a species. R
itself can be partitioned in two significant ways. First, R is the union
of two mutually disjoint nonempty sets Rp and Rc , intuitively, the
sets of logically primitive and logically complex relations,
respectively. Additionally, R is the union of denumerably many nonempty
sets R0, R1, . . . , each Rn being, intuitively, the class of n-place
relations. We let Rnp and Rnc be Rp \ Rn and Rc \ Rn, respectively. W
4 Such terms are easily accommodated by means of a further set of logical
operations Vaci that insert vacuous argument places into the ith “slot” in
the argument structure of a relation.
5 See Menzel [5] for an account of the semantics of such terms and
surrounding philosophical issues.
6 Again, see [5] for the semantics of such terms.
is a nonempty set, intuitively, a set of “possible worlds” or “possible
situations.” More formally, W provides us with a model of
modality that enables us to represent entailment and other logical relations
between ontologies. Accordingly, dom is a function that maps every
element w of W to a subset dom(w) of D representing, intuitively,
the set of things that “exist” in the possible world w.</p>
        <p>The next element of a model structure, Op is a set of five sets of
logical operations: a set of predication operations, fPred in1:::ik :
0 &lt; i1 &lt; : : : &lt; ik n; k 07g; a set of two boolean operations,
fNeg ; Impl g; a set of universalization operations, fUniv i1:::ik :
1 i1 &lt; : : : &lt; ik n; g; a set of conversion operations,
fConv ij : 1 i &lt; j &lt; !g; and a set of reflection operations,
fRe ij : 1 i &lt; j &lt; !g. These operations “construct” logically
complex relations from individuals and less complex relations in D.
Specifically, for all n:
: Rn</p>
        <p>Dk</p>
        <p>c
! Rn k (1
i1 &lt; : : : &lt; ik
Pred in1:::ik
n; k 1);
Neg : Rn
Impl : Rn</p>
        <p>c
! Rn;</p>
        <p>Rm ! Rnc+m;
Univ i1:::ik : Rn ! Rnc k, for k
Conv ij : Rn ! Rnc (1 i &lt; j
Re ij : Rn ! Rnc 1 (1 i &lt; j
n.
n);
n);</p>
        <p>We stipulate that Pred n (i.e., Pred in1:::ik for k = 0) is just the
identity relation on Rn,8 and that Rc is just the union of the ranges
of the logical operations, i.e., Rc = fS Range(f ) : f 2 SOpg.
To capture fine-grainedness, it is assumed that all of these operations
are one-to-one and that the ranges of all of the operations are pairwise
disjoint — similar to their syntactic counterparts, the “logical forms”
of relations formed from these operations are all distinct from one
another.</p>
        <p>Finally, let Dn be the set of all n-tuples over D and let D =
S0&lt;n&lt;! Dn. ext is a function on R W such that for all r 2
Rn, w 2 W , ext (r; w) Dn. Note that, for r 2 R0, only two
extensions are possible: fhig, i.e., D0 itself, and the empty set ?. In
this case it is useful to think of the former as the truth value &gt; (truth)
and the latter as the truth value ? (falsity).</p>
        <p>
          The behavior of ext is constrained further by the logical
operations in S Op. Some notational conventions will be helpful for
stating these constraints. For A Dn, let A be Dn A. Where s _ s0 is
the concatenation of two sequences (tuples) s; s0, for subsets A; B of
Dn and Dm, respectively, let A _ B = fa _ b : a 2 A; b 2 Bg.
Where 1 i1 &lt; : : : &lt; ij n, we let hb1; : : : ; bniia11::::::iajj be
result of replacing each bik with ak, and we let hb1; : : : ; bnii1:::ij
be the result of deleting each bik from hb1; : : : ; bni. Given this, let
r 2 Rn; q 2 Rm; then:
ext (Pred in1:::ik (r; a1; : : : ; ak); w) =
fhb1; : : : ; bnii1:::ik : hb1; : : : ; bniia11::::::iakk 2 ext (r; w)g;9
ext (Neg (r); w) = ext (r; w);
ext (Impl (q; r); w) = ext (q; w) _ Dn [ Dm _ ext (r; w)
ext (Univ i1;:::;ij (r); w) =
fha1; : : : ; anii1:::ij : 8b1; : : : ; bj 2 dom(w);
i1:::ij
ha1; : : : ; anib1:::bj 2 ext (r; w)g
7 If k = 0, then i1 : : : ik is the null sequence, which we want to allow here.
8 This stipulation will yield as logical truths all instances of =
[ 1 : : : n ( 1; : : : ; n)], for all n-place predicates .
9 Note that by the definition of the Pred functions, we always have k n in
Pred in1:::ik .
ext (Conv ij (r); w) =
fha1; : : : ; ai 1; aj ; : : : ; aj 1; ai; : : : ; ani
ext (r; w)g
ext (Re ij (r); w) =
fha1; : : : ; aj 1; aj+1; : : : ; ani :
ext (r; w) and ai = aj g
Constituency and Logical Form The intuitive picture here is a
“quasi-constructive” one similar to the intuitive picture that
underlies the iterative conception of sets. We begin with a set A of
individuals and a set Rp of logically simple relations. The logically
simple relations are thought of as the meanings of the primitive
predicates in an ontology. The predication functions applied to primitive
relations and individuals yield basic atomic relations — notably,
basic atomic propositions — and the remaining logical operations
applied to these yield logically complex relations. These in turn, can
be arguments to further applications of the logical operations,
yielding an “iterative hierarchy” of relations of increasing complexity.
Intuitively, then, relations in R are either primitive or are “built up”
from individuals and other relations via the logical operations, and
the manner in which a relation is so built up can be thought of as
its logical form. So, for example, our example proposition (
          <xref ref-type="bibr" rid="ref5">5</xref>
          ) —
[8x(Planet (x) ! Larger (sun; x))] — that the sun is larger than
every planet would be built up from the property of being a planet, the
2-place relation of being larger than, and the sun as follows. Pred 12
applied to the larger-than relation and the sun yields the property
(
          <xref ref-type="bibr" rid="ref6">6</xref>
          ) [ y Larger (sun; y)]
of being something that the sun is larger than.10 The boolean
“material implication” operator Impl applied to the property of being a
planet and (
          <xref ref-type="bibr" rid="ref6">6</xref>
          ) yields the relation
(
          <xref ref-type="bibr" rid="ref7">7</xref>
          ) [ xy Planet (x) ! Larger (sun; y)]
that a bears to b just in case a is not a planet or the sun is larger than
b. The reflection operation Re 21 applied to (
          <xref ref-type="bibr" rid="ref7">7</xref>
          ) “collapses” its two
argument places into one to yield the property
(8) [ x Planet (x) ! Larger (sun; x)]
of being something such that if it is a planet, then the sun is larger
than it. Finally, application of the “quantification” operator Univ 1
yields our desired proposition (
          <xref ref-type="bibr" rid="ref5">5</xref>
          ). In a single equation, then, we have
(9) (
          <xref ref-type="bibr" rid="ref5">5</xref>
          ) = Univ 1(Re 21(Impl (Planet ; Pred 12(Larger ; sun)))):
        </p>
        <p>The manner in which a relation is built up from individuals and
other relations can be thought of as its logical form. We can make this
idea rigorous as follows. Say that a constituency tree for an element
r 2 R is any labeled ordered tree T whose nodes are in D and
whose root node is r, such that, for every node e of T , the daughter
nodes e1; : : : ; ej of e are such that, for some operation F 2 S Op,
F (e1; : : : ; ej ) = e. A constituency tree T for r is complete iff every
leaf node o of T is an individual or a primitive relation, i.e., iff o 2
A [ Rp. Given the constraints on our logical operations it is easy to
show that every r 2 R has exactly one complete constituency tree,
which we can therefore identify with the logical form of r. We define
an object o 2 D to be a constituent of a relation r 2 R just in case
10 I am of course using the term ‘[ y Larger (sun; y)]’ here, not mentioning
it; I am not talking about the term itself, but rather the property it intuitively
denotes under the standard English meanings of the constituent constants.
e is a node in the complete constituency tree for r. o is a primitive
constituent of r iff o is a constituent of r and o 2 A [ Rp. The
notion of constituency will be important for defining the concept of
ontological content in Section 7 below.
4.2.2</p>
      </sec>
      <sec id="sec-4-2">
        <title>Denotations, Interpretations, and Truth</title>
        <p>Denotations for the terms of L relative to a model structure M are
determined by partitioning the class of complex terms according to
their syntactic form. In brief, where is [ 1 : : : n '], if the order
of the -bound variables in ' does not correspond to 1; : : : ; n,
then is the conversionij of an appropriate term 0. Otherwise, if one
of the -bound variables occurs free more than once in ', then is
a reflectionij of an appropriate 0. Otherwise, is classified as the
n
universalizationi1;:::;ij , implication, negation, or predicationi1;:::;ik
of the appropriate sort depending on the logical form of '. Complex
terms of the form [ 1 : : : n ( 1; : : : ; n)], for any predicate —
i.e., those of the form predicationn — are said to be trivial, as they
indicate no more logical complexity than the constitutive predicate
.</p>
        <p>Given a model structure M, let d be a function assigning elements
of the domain D of M to the individual constants and variables of
L and elements of Rn to the n-place predicates of L. Such a d is
known as a denotation function for L relative to M. Denotations for
complex terms are then assigned by extending d in an obvious way
that exploits the close parallel between the syntactic form of complex
terms and the logical forms of complex relations:</p>
        <p>If is the conversionij of 0, then d( ) = Conv ij (d( 0)).
If is the reflectionij of 0, then d( ) = Re ij (d( 0)).</p>
        <p>If is the universalizationi1;:::;ij of , then d( )
Univ i1;:::;ij (d( 0)).</p>
        <p>If is the implication of 0 and 00, then d( )
Impl (d( 0); d( 00)).</p>
        <p>If is the negation of 0, then d( ) = Neg (d( 0)).</p>
        <p>
          n
If is the predicationi1;:::;ij of 0 of 1; : : : ; j , then d( ) =
Pred in1;:::;ij (d( 0); d(
          <xref ref-type="bibr" rid="ref1">1</xref>
          ); : : : ; d( j )).
        </p>
        <p>We say that a denotation function d0 for L relative to M is a
variant of d, for any variable , just in case, for all variables 6= ,
d0( ) = d( ).11</p>
        <p>An interpretation A of L is a pair hM; di consisting of a model
structure M = hD; W; dom; Op; ext i and a denotation function d
for L relative to M. For any variable , a -variant of A = hM; di
is any interpretation A0 = hM; d0i such that d0 is a -variant of d.</p>
        <p>Let A = hM; di be an interpretation, where M =
hD; W; dom; Op; ext i. Truth at a world w 2 W in A for the
formulas of L is defined in the standard sort of way:</p>
        <p>
          ( 1; : : : ; n) is true at w in A iff hd(
          <xref ref-type="bibr" rid="ref1">1</xref>
          ); : : : ; d( n)i
ext (d( ); w).
:' is true at w in A iff ' isn’t.
(' ! ) is true at w in A iff either ' isn’t or is.
8 ' is true at w in A iff ' is true at w in all -variants of A.
2' is true at w in A iff ' is true at w0 in A, for all w0 2 W .
5
        </p>
      </sec>
    </sec>
    <sec id="sec-5">
      <title>Proof Theory</title>
      <p>The proof theory for this semantics is an extension of classical
firstorder logic with identity. Notably, there are principles of identify for
=
=
2
complex terms that ensure fine-grainedness, e.g., that no
universalization is an implication or a negation, that predications are identical
iff they are predications of the same relation of exactly the same
objects, and so on.</p>
      <p>More relevant for ontology theory, however, is a principle of
conversion that takes as axioms all instances of:
(10) [</p>
      <p>1 : : : n ']( 1; : : : ; n) $ ' 11;;::::::;; nn ;
where ' 11;;::::::;; nn is the result of replacing every free occurrence of i
in ' with i. This principle lets us move freely between statements
about individuals and the attribution of complex properties and
relations to those individuals, e.g.,
(11)
[ x Enjoys(x; salmon) ^ Prefers(x; wine; beer )](jo)
$ Enjoys(jo; salmon) ^ Prefers(jo; wine; beer )
Notably, as we will see below, this principle will give us the ability
to move from talking about the propositions in an ontology to using
them in logical inferences. Like the other axioms of our theory, (10)
is easily shown to be valid relative to the semantics above.
6</p>
    </sec>
    <sec id="sec-6">
      <title>The Logic of Constituency</title>
      <p>The notion of constituency enables us to capture the intuitive fact that
different ontologies contain different concepts: the concepts in an
ontology are simply the properties and relations that are constituents of
the propositions of that ontology. Our fine-grained, structured notion
of properties, relations, and propositions gives us a rigorous
foundation for analyzing and exploiting the notion of constituency. We
have characterized constituency model theoretically above in Section
4.2.1. In this section we capture the notion axiomatically. We begin
with a schema:12
(12)</p>
      <p>Const ( ; 0); where 0 is a nontrivial complex term and
occurs free in 0
That is, any term occurring free within a complex term indicates a
constituent of the relation denoted by the complex term.</p>
      <p>Next, we note that the constituency relation is a strict partial
ordering, i.e., it is transitive and asymmetric (hence also irreflexive):
(13) (Const (p; q) ^ Const (q; r)) ! Const (p; r)
(14) Const (q; r) ! :Const (r; q)</p>
      <p>Finally, we can define an object to be primitive just in case it has
no constituents:
(15) Prim(x) =df :(9q)Const (q; x)
This reflects the model theoretic fact that the ranges of the logical
operations (other than the “trivial” Pred n operations) are all subsets
of Rc.
7</p>
    </sec>
    <sec id="sec-7">
      <title>Content</title>
      <p>As indicated, content is best cashed out in terms of some notion of
entailment. In classical first-order logic, entailment is usually
understood model theoretically. Ciociou and Nau [3] have taken some steps
in this direction in developing a formal notion of intertranslatability
between ontologies. For them, ontologies are understood as sets of
11 Thus, as it is often informally put, d0 differs from d at most in what it
assigns to .
12</p>
      <p>Recall that a trivial
[ 1 : : : n ( 1; : : : ; n)].</p>
      <p>complex
term
is
of the
form
sentences, and the content of an ontology is understood in terms of
its formal models: the content of an ontology O consists in the set of
its semantic consequences, i.e., the set of sentences that are true in
all the models of O. This approach thus can yield a robust notion of
common ontological content across different languages in terms of
shared models.</p>
      <p>This approach is clear and insightful, but suffers from two
shortcomings. First, though a notion of common content is possible on
this approach, the notion of ontology is still language-dependent; an
ontology is a set of sentences in some language. This violates
intuitions 1 and 2 above, which jointly imply that ontologies are classes
of language-independent propositions. More seriously, however, the
approach — as a basis for a general theory of ontologies — is
unwieldy. Content is understood in terms of the models of a theory.
Hence, on this approach, one has to import the full apparatus of
firstorder model theory — basic set theory, formal languages,
interpretations, model theoretic truth and entailment, etc — just to define a
reasonable notion of ontological content. Moreover, the model
theoretic approach makes for a rather austere and formal notion of content
— to identify the meaning of a sentence with a set of models is rather
far removed from ordinary semantic notions.</p>
      <p>Though the present approach has a strong model theoretic
component, that component serves only to ground a first-order theory of
ontologies and their content; no linguistic or model theoretic entities,
properties, or relations are introduced into the theory.13 Rather, it
develops an account of ontologies and their content that is language
independent and grounded in the intuitive notion of propositions —
rather than the austere and abstract notion of a model — as the basic
semantical unit of meaning.</p>
      <p>To get at the relevant notion of entailment in our theory, recall
once again that, intuitively, ontologies can be thought of as classes of
propositions. The notion of a proposition is easily defined in terms
of our “higher-order” quantifiers:
(16) Proposition(p) =df (9F 0)p = F 0
Understanding classes as properties, we can now define an ontology
to be a nonempty class of propositions:
(17)</p>
      <p>Ont (O)
=df
(9F 1)O = F 1 ^ (9x)F 1(x) ^
8p(F 1(p) ! Proposition(p))</p>
      <p>The notion of entailment we are after involves both modality and
our notion of constituency. We first define a constituent of an
ontology O to be a constituent of one of the propositions in O:
(18) OntConst (x; O) =df Ont (O) ^ (9p)(O(p) ^ Const (x; p))
Next, say that an ontology O entails a proposition F 0 just in case F 0
must be true if all the propositions in O are true:
(19)</p>
      <p>Entails(O; F 0)
=df</p>
      <p>Ont (O)^
2((8G0)(O(G0) ! G0) ! F 0)
Now say that F 0 and O share primitives if every primitive
constituent of F 0 is a constituent of O:
(20)</p>
      <p>ShPrim(F 0; O) =df Ont (O) ^
(8x)((Prim(x) ^ Const (x; F 0)) ! OntConst (x; O))
13 Though of course we define a model theory for the language L of our
theory, but that’s just a matter of our own metatheoretic housekeeping: it
simply provides a proper theoretical foundation for the language we are
using to express our theory; the model theory for L is not itself a part of
ontology theory.</p>
      <p>Thus, combining (19) and (20), we have the notion of entailment we
are after:
(21) StrEntails(O; F 0) =df Entails(O; F 0) ^ ShPrim(O; F 0):
That is, an ontology O strongly entails a proposition F 0 just in case
O entails F 0 and F 0 and O share primitives; that is, intuitively, if O
entails F 0 and F 0 is “built up” from the same pool of concepts and
objects — the same “conceptual vocabulary” — as the propositions
in O. We will sometimes write “O ) F 0” for “StrEntails(O; F 0)”.</p>
      <p>The content of an ontology, then, can be thought of as all of the
propositions that it strongly entails. As it happens, we cannot strictly
define the content of an ontology as an object. However, for
theoretical purposes, strong entailment appears to be all we need. For
example, we can say that one ontology O subsumes another O0 just
in case the content of O0 is included in that of O, i.e., just in case O
strongly entails every proposition that O0 does:
(22)</p>
      <p>Subsumes(O; O0)
=df</p>
      <p>Ont (O) ^ Ont (O0) ^
(8p)(O0 ) p ! O ) p)
Ontologies can then be said to be equivalent just in case they
subsume each other:
(23) Equiv (O; O0) =df Subsumes(O; O0) ^ Subsumes(O0; O):</p>
      <p>Subtler metrics for comparison are of course also possible, e.g.,
two non-equivalent ontologies might nonetheless share all or some
of their primitives. More generally, the notions defined above
provide a rich framework for analyzing a wide variety of notions
relevant to understanding the nature of, and logical relations between,
ontologies.
8</p>
    </sec>
    <sec id="sec-8">
      <title>Integration</title>
      <p>A major extension of this work that goes far beyond the current scope
will consist in developing a theory of integration. At a purely abstract
level, integration is fairly straightforward. One can import several
ontologies into the language L of our approach by creating a separate
namespace for the terms in each ontology and translating them from
the language of the ontology into L. There will thus be, initially,
no possibility of name conflicts. Because the principle ['] $ ' is
valid, it will be possible to move seamlessly back and forth between
using the axioms of a given ontology to investigate its properties and
talking more generally about the ontology and its content.</p>
      <p>Because distinct ontologies are imported with separate
namespaces, there is no danger of logical inconsistency arising from
incompatible ontologies. Integration can proceed by identifying or
otherwise logically connecting the concepts (objects, properties, relations,
and propositions) expressed across ontologies. Thus, for instance, it
might be postulated that two concepts (properties) from different
ontologies are identical; or that one concept subsumes the other; or that
for every instance a of one there are two instances of the other that
bear some relation to a; and so on. In this way the logical
connections between ontologies can be mapped clearly and rigorously and
with ever greater precision.</p>
      <p>However, while this account of integration is theoretically
adequate as far as it goes, a complete treatment will have to include a
theory of languages that connects sets of sentences with the
ontologies that they express, and which should lead to more practical
applications of the theory. Investigating integration at this more applied
level will be the next phase of this project.
It will be possible for ontology to make significant progress toward
the lofty goals workers in the area are pursuing only if it has proper
theoretical foundations. For such goals can be reached only if there
is a clear, generally shared understanding of the subject matter of
ontology, one that makes it possible clearly to define the scope of
the discipline, to identify its subject matter, and chart a course
toward the resolution of its outstanding problems. The approach in this
paper shows promise for providing these essential theoretical
underpinnings</p>
    </sec>
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