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  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>Alignment Patterns based on Unified Foundational Ontology</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Natalia F. Padilha</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Fernanda Baião</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Kate Revoredo</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Federal University of the State of Rio</institution>
          <addr-line>de Janeiro (UNIRIO) - Rio de Janeiro - RJ -</addr-line>
          <country country="BR">Brazil</country>
        </aff>
      </contrib-group>
      <fpage>48</fpage>
      <lpage>59</lpage>
      <abstract>
        <p>Ontology alignment is the process of finding related entities in different ontologies. In this context, precise and explicit representation of conceptualizations is essential for reaching semantic integration to ensure that only data related to the same (or sufficiently similar) real-world entity are merged. Foundational ontologies describe general concepts independent of a domain and precisely define meta-properties so as to make the semantics of each concept in the ontology explicit. In this paper we show how the use of OntoUML, a conceptual modeling language based on Unified Foundational Ontology, allows the application of alignment patterns and exemplify how this approach may improve precision, recall and refine the type of the alignment.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>1. Introduction</title>
      <p>
        An essential issue for reaching semantic integration is the precision of an explicit
conceptualization representation.
        <xref ref-type="bibr" rid="ref8">Guizzardi (2005)</xref>
        addresses this issue as ontological
adequacy, defined as a measure of how close a model is to the situation in reality it
represents. The author presents OntoUML, a modeling language that considers the
ontological distinctions and axiomatic theories put forth by the Unified Foundational
Ontology (UFO) he proposes.
      </p>
      <p>
        In this paper we show how the use of OntoUML, based on some design patterns
explored in
        <xref ref-type="bibr" rid="ref7">Guizzardi et al. (2011)</xref>
        , allows the application of some alignment patterns to
improve semantic integration.
      </p>
      <p>
        Another contribution of this paper is a review in the classification of alignment
approaches proposed by
        <xref ref-type="bibr" rid="ref3">Euzenat (2007)</xref>
        concerning the technique called “Upper level,
domain specific ontologies” to better organize the works that address foundational
ontologies in the process of ontology alignment.
      </p>
      <p>This paper is structured as follows. Section 2 presents some OntoUML design
patterns that explore constraints underlying UFO. In section 3 we discuss the ontology
alignment process and present a review in the classification of ontology alignment
approaches. Section 4 introduces the alignment patterns based on OntoUML design
patterns. In section 5 we exemplify the application of these alignment patterns. Section 6
reviews related works, followed by the conclusions in the section 7.</p>
    </sec>
    <sec id="sec-2">
      <title>2. Unified Foundational Ontology</title>
      <p>
        Foundational ontologies (also called upper-level or top-level ontologies) describe very
general concepts, which are independent of a particular problem or domain
        <xref ref-type="bibr" rid="ref6">(Guarino
1998)</xref>
        .
      </p>
      <p>
        UFO is one example of foundational ontology that has been developed based on
a number of theories from Formal Ontology, Philosophical Logics, Philosophy of
Language, Linguistics and Cognitive Psychology
        <xref ref-type="bibr" rid="ref8">(Guizzardi 2005)</xref>
        . It is composed by
three main parts. UFO-A is an ontology of endurants (objects). UFO-B is an ontology of
perdurants (events, processes). UFO-C is an ontology of social entities (both endurants
and perdurants) built on the top of UFO-A and UFO-B.
      </p>
      <p>OntoUML is a conceptual modeling language designed to comply with the
ontological distinctions and axiomatic theories put forth by UFO that results from a
redesign process of the Unified Modeling Language (UML). The OntoUML classes, for
example, make explicit the distinctions between an object and a process, types of things
from their roles, among others.</p>
      <p>A fundamental distinction in UFO is between particulars and universals.
Particulars are entities that exist in reality possessing a unique identity, while universals
are patterns of features, which can be realized in a number of different particulars.</p>
      <p>
        UML class diagrams are intended to represent the static structure of a domain, in
which classes typically represent endurant universals. The UML profile proposed by
        <xref ref-type="bibr" rid="ref8">Guizzardi (2005)</xref>
        is a finer-grained distinction between different types of classes that
represent each of the leaf ontological categories (gray entities in figure 1) specializing
substantial universal types of UFO-A.
      </p>
      <p>Substantials are entities that persist in time while keeping their identity (as
opposed to events such as a business process or a birthday party). Constructs that
represent Sortal Universals can provide a principle of identity and individuation for its
instances. Mixin Universal is an abstract metaclass that represents the general properties
of all mixins, i.e., non-sortals (or dispersive universals). A type is rigid iff for every
instance of that type, it is necessarily an instance of that type. In contrast, a type is
antirigid iff for every instance of the type, there is always a possible world in which it is not
an instance of this type.</p>
      <p>A kind (and subkinds) represent rigid sortals that applies necessarily to its
instances, i.e., in every possible world (such as a Person, Man or Woman). A phase
represents an anti-rigid sortal instantiated in a specific world or time period, but not
necessarily in all of them (such as Child, Adolescent and Adult phases of a Person). A
role defines an anti-rigid sortal which may be assumed in a world, but not necessarily in
all possible worlds (such as a Student or a Professor role played by a Person), but once it
is, this depends on its participation in a specific relation or event. Due to space
restrictions, we will not define all other OntoUML categories. The design patterns
presented in the next section are limited to these primitives: kind/subkind, phases and
roles.</p>
    </sec>
    <sec id="sec-3">
      <title>2.1. Design Patterns</title>
      <p>
        The design patterns presented in this section were explored by
        <xref ref-type="bibr" rid="ref7">Guizzardi et al. (2011)</xref>
        and are derived from the ontological foundations of OntoUML.
      </p>
      <p>Subkinds can be manifested as a part of a generalization set which has as a
common superclass a Kind S. In this case, the subkind classes are disjoint and complete.
The Subkind Design Pattern is illustrated in figure 2(a).</p>
      <p>Phases are always manifested as part of a phase partition (PP). In a PP there is
always one unique root common supertype which is necessarily a Kind S. As well as
subkinds, phases are manifested as a part of a generalization set of type S. The Phase
Design Pattern is illustrated in figure 3(a).</p>
      <p>Roles represent (possibly successive) specializations of a Kind S by using a
relational specialization condition R with another type T of the model. The Role Design
Pattern is illustrated in figure 4(a).</p>
    </sec>
    <sec id="sec-4">
      <title>3. Ontology Alignment</title>
      <p>
        Ontology alignment is the process of finding corresponding entities (concept, relation,
or instance) in two ontologies describing the same domain. A general ontology
alignment function based on the vocabulary, E, of all terms e Є E, based on the set of
possible ontologies, O, and based on possible alignment relations, M, is a partial
function: align: E x O x O → E x M. Apart from one-to-one equality alignments, mostly
investigated in existing work, one entity often has to be aligned not only to equal
entities, but based on another relation (e.g., subsumption). Further, there are complex
composites such as a concatenation of terms (e.g., name equals first plus last name)
        <xref ref-type="bibr" rid="ref2">(Ehrig 2007)</xref>
        .
      </p>
      <p>Precision and recall are commonplace measures in information retrieval and are
also applied to evaluate alignment results. Precision measures the correctness of the
method by the ratio of correctly found correspondences over the total number of
returned correspondences. Recall is a completeness measure and considers the ratio of
correctly found correspondences over the total number of expected correspondences.</p>
    </sec>
    <sec id="sec-5">
      <title>3.1. Classification of ontology alignment approaches</title>
      <p>
        The classification of
        <xref ref-type="bibr" rid="ref3">Euzenat (2007)</xref>
        , reproduced in figure 5, if read from the bottom up,
focuses on how the techniques interpret the input information. Element-level alignment
techniques compute correspondences by analyzing entities in isolation, ignoring their
relations with other entities. Structure-level techniques compute correspondences by
analyzing how entities appear together in a structure. Syntactic techniques interpret the
input with regard to its sole structure following some clearly stated algorithm. External
techniques exploit auxiliary (external) resources of a domain and common knowledge in
order to interpret the input. Semantic techniques use some formal semantics to interpret
the input.
      </p>
      <p>If the classification is read in ascending it focus on the kinds of manipulated
objects: strings (terminological), structure (structural), models (semantics) or data
instances (extensional).</p>
      <p>The approach proposed in this paper fits the classification described as "Upper
level, domain specific ontologies", which is an element-level technique based on
external semantic input. This classification groups approaches based on domain specific
ontologies used as external sources of background knowledge of the particular domain
being aligned and those ones that actually exploit foundational ontologies as external
sources of common knowledge. Although both cases involve the use of an external
ontology, their role in the alignment process is very different. In this paper we propose a
dissociation of these inputs in two techniques, as illustrated in figure 6.</p>
      <p>Considering this new classification, our approach is instantiated in the “Upper
level ontologies” technique. In section 6 we will present the related work instantiated in
this classification.</p>
    </sec>
    <sec id="sec-6">
      <title>4. Alignment patterns based on foundational ontologies</title>
      <p>Considering the design patterns presented in section 2 it is possible to derive some
alignments patterns given below.</p>
    </sec>
    <sec id="sec-7">
      <title>4.1. Subkind Alignment Pattern</title>
      <sec id="sec-7-1">
        <title>This pattern consists of three rules:</title>
        <p>Rule 1: The alignment (equivalence) of a &lt;&lt;kind&gt;&gt; class C1 of an ontology A to a
&lt;&lt;kind&gt;&gt; class C2 of an ontology B is possible if all &lt;&lt;subkind&gt;&gt; classes of C1 have a
corresponding class that is also a &lt;&lt;subkind&gt;&gt; of C2 in ontology B (a one-to-one
equivalence is not required).
Rule 2: The alignment (specialization) of a &lt;&lt;kind&gt;&gt; class C2 of an ontology B to a
&lt;&lt;kind&gt;&gt; class C1 of an ontology A is possible if some of the &lt;&lt;subkind&gt;&gt; classes of
C1 have equivalent classes in ontology B, and these equivalences cover all the
&lt;&lt;subkind&gt;&gt; classes of C2 in ontology B.
Rule 3: The alignment of a &lt;&lt;kind&gt;&gt; class C1 of an ontology A to a &lt;&lt;kind&gt;&gt; class C2
of an ontology B is not possible if at least one &lt;&lt;subkind&gt;&gt; class of C1 in ontology A is
not aligned to a &lt;&lt;subkind&gt;&gt; class of C2 in ontology B.</p>
      </sec>
    </sec>
    <sec id="sec-8">
      <title>4.2. Phase Design Pattern</title>
      <p>Besides the distinct semantics of Subkind and Phase classes, since both are manifested
as a part of a disjoint and complete generalization set which has as a common superclass
a Kind S, the rules of the Phase Design Pattern are analogous to the rules of the Subkind
alignment pattern that were previously presented.</p>
    </sec>
    <sec id="sec-9">
      <title>4.3. Role Design Pattern</title>
      <sec id="sec-9-1">
        <title>This pattern consists of one rule:</title>
        <p>Rule 4: The alignment (equivalence) of a &lt;&lt;role&gt;&gt; class C1 of an ontology A to a
&lt;&lt;role&gt;&gt; class C2 of an ontology B is only possible if the &lt;&lt;kind&gt;&gt; rigid class that the
&lt;&lt;role&gt;&gt; classes specialize, and the relation its instantiation depends on, are aligned to
each other.</p>
      </sec>
    </sec>
    <sec id="sec-10">
      <title>5. Examples of use</title>
      <p>Is this section we will exemplify the application of the alignment patterns presented in
section 4. The ontologies describe the domain of organizing conferences, which
corresponds to one track of the Ontology Alignment Evaluation Initiative (OAEI) 20111.
The ontologies and the reference alignments indicated by the initiative are available on
the Conference Track2.</p>
      <p>
        A prerequisite for application of the alignment patterns is that the ontologies to
be aligned must comply with the UFO constraints set out by
        <xref ref-type="bibr" rid="ref8">Guizzardi (2005)</xref>
        and it is
necessary the identification of the OntoUML stereotype applicable to each class,
considering the design patterns presented in section 2. Because the conference domain is
well understandable for every researcher, this task was executed by the authors for the
fragments discussed in this paper.
      </p>
      <p>We have analyzed the alignment of two ontologies identified in Table 1 by
considering the submitted alignments results of tools evaluated in group 1, which
consists of best evaluated matchers of the track. We will explore two common errors
committed by the four matchers of this group, one affecting the precision and other the
recall measure.
* Ontologies have been based upon actual conference (series) and its web pages</p>
      <p>All four matchers have identified a correspondence between the classes
Iasted::Document and SigKdd::Document that is not indicated by the reference
alignment (which harms the precision). The fragments are illustrated in figure11.</p>
      <p>In this case, both Document classes are of the type kind and correspond to a
generalization set of subkind classes, disjoint and complete.</p>
      <sec id="sec-10-1">
        <title>1 http://oaei.ontologymatching.org/ 2 http://oaei.ontologymatching.org/2011/conference/index.html</title>
      </sec>
    </sec>
    <sec id="sec-11">
      <title>Name</title>
      <sec id="sec-11-1">
        <title>Iasted</title>
      </sec>
      <sec id="sec-11-2">
        <title>SigKdd</title>
      </sec>
    </sec>
    <sec id="sec-12">
      <title>Number of classes</title>
      <p>140
49
Dotted lines indicate the expected alignment between the classes of these
ontologies fragments. The set of matchers considered have identified the
correspondence between Iasted::Review and SigKdd::Review, besides the wrong
correspondence between the Document classes. In this context, the application of Rule 3
would reject the correspondence between Iasted::Document and SigKdd::Document
since some of their subkind classes are not aligned.</p>
      <p>The other common error is that all four matchers could not identify the reference
alignment between Iasted::Sponsor and SigKdd::Sponzor indicated by the reference
alignment (thus reducing recall). The fragments are illustrated in figure 12.
In this example, both Sponsor and Sponzor classes are stereotyped as roles. In Iasted
ontology a Sponsor is a role played by a person that gives some Sponzorship. In SigKdd
ontology a Sponzor is a role characterized by the payment of a Sponzor_fee. However,
the kind class specialized by this role is not explicit in this ontology. Based on Role
Design Pattern, we define this role as a specialization of the class Person, already
defined in this ontology and aligned to the class Iasted::Person. With this redesign, the
rigid kind classes that these roles specialize are aligned to each other, which itself brings
additional information to allow the identification of the alignment between Sponsor and
Sponzor classes. However, by Rule 4, to guarantee the alignment between
Iasted::Sponsor and SigKdd::Sponzor, Iasted::Sponzorship and SigKdd::Sponzor_fee
must be aligned, which suggests an update in the reference alignment to include this
equivalence. Otherwise, this correspondence would be rejected.</p>
      <p>In figure 13 there are fragments of other two ontologies of the same conference
domain, identified in Table 2.
* Ontologies have been based upon actual software tool for conference
organisation support</p>
      <p>The question identified here is not an error that affects the precision or recall, but
a review of the type of the correspondence identified.</p>
      <p>In this case, both Document classes are of the type kind and correspond to a
generalization set of disjoint and complete subkind classes, as the first example. The
dotted lines indicate the reference alignments that mean equivalence relation. Since part
of &lt;&lt;subkind&gt;&gt; classes of Edas ontology have equivalent classes in Cmt ontology, and
these equivalences cover all the &lt;&lt;subkind&gt;&gt; classes of Cmt ontology, the alignment
between the classes Document could be refined considering that Cmt::Document is a
specialization of Edas::Document.</p>
    </sec>
    <sec id="sec-13">
      <title>6. Related Work</title>
      <p>
        One main point that has guided the development of the approach presented in
        <xref ref-type="bibr" rid="ref10">Silva et al.
(2011)</xref>
        is the use of foundational ontologies. To establish the relationship among the
foundational ontology and the domain ontologies, for each first-level concept at the
domain ontology, a foundational concept was associated. Thus, the result is a unique
integrated ontology, composed by the domain ontology and some of the meta-categories
of a foundational ontology. Despite considering foundational ontologies, the additional
information they provide was relevant for the taxonomic similarity measure (structural
input) implemented by the matcher used for the tests, as it becomes possible to compare
upper-level concepts in the hierarchy when a candidate pair of concepts is under
analysis.
      </p>
      <p>The approach presented in this paper, in turn, proposes a directly use of
foundational ontologies to improve semantic integration by considering some alignment
patterns based on meta-properties of the OntoUML constructs, with the determination of
rules to be applied during the alignment process. Considering the suggested dissociation
of the “Upper level” and “Domain specific ontologies” it is instantiated in the “Upper
level ontologies” technique.</p>
      <p>
        Other works address foundational ontologies in the context of ontology
alignment but they are more directly related to the use of domain ontologies to support
the alignment of other ontologies on the same domain. In
        <xref ref-type="bibr" rid="ref9">Mascardi et al. (2010)</xref>
        the
techniques applied to associate the classes of the domain ontologies to the classes of the
foundational ontologies are typically used to associate concepts of domain ontologies. A
higher precision was only obtained with foundational ontologies that include many
domain-specific concepts in addition to the upper-level ones. In
        <xref ref-type="bibr" rid="ref4">Gonçalves et al. (2011)</xref>
        the hypothesis is that a domain reference ontology that considers the ontological
distinctions of OntoUML can be employed to achieve semantic integration between data
standards. The hypothesis is tested by means of an experiment that uses an
electrocardiogram (ECG) ontology and conceptual models of the ECG standards.
Considering the suggested dissociation of the “Upper level” and “Domain specific
ontologies”, these approaches would be instantiated in the “Domain specific
ontologies”.
      </p>
    </sec>
    <sec id="sec-14">
      <title>7. Conclusion and Future Work</title>
      <p>
        Ontology alignment is an active research area and some challenges consider semantic
issues. In this paper we discussed how the use of OntoUML oriented by some design
patterns improves the ontological adequacy of the ontologies being aligned and allows
the application of some rules based on alignment patterns. We have used some
ontologies from the main initiative for evaluation of ontology alignment to demonstrate
how the design patterns and the alignment patterns may improve precision, recall and
refine the type of the alignment, with a manually performed example. However, the
process of annotation the classes with the correct OntoUML stereotypes can be assisted
by a software tool
        <xref ref-type="bibr" rid="ref1">(Benevides and Guizzardi 2009)</xref>
        .
      </p>
      <p>
        Another contribution of the paper is a review in the classification of
        <xref ref-type="bibr" rid="ref3">Euzenat
(2007)</xref>
        concerning the technique called “Upper level, domain specific ontologies” to
better organize the works that address foundational ontologies in the process of ontology
alignment.
      </p>
      <p>Future work includes formalization of indicative and restrictive rules based on
the meta-properties of a larger set of constructs of OntoUML to be applied during the
alignment process. Moreover, the automatization of the proposal and its application in
complete scenarios will also be considered.</p>
    </sec>
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