Vol. 9 No. 1, October 2003
There are several kinds of conceptual models for information seeking and retrieval (IS&R). The paper suggests that some models are of a summary type and others more analytic. Such models serve different research purposes. The purpose of this paper is to discuss the functions of conceptual models in scientific research, in IS&R research in particular. What kind of models are there and in what ways may they help the investigators? What kinds of models are needed for various purposes? In particular, we are looking for models that provide guidance in setting research questions, and formulation of hypotheses. As a example, the paper discusses [at length] one analytical model of task-based information seeking and its contribution to the development of the research area.
There has been considerable interest in recent years in producing conceptual models for information seeking and retrieval (IS&R) research. The recent paper by Wilson (1999) reviews models for information behaviour (Wilson 1981), information seeking behaviour (Wilson 1981; 1996; Dervin, 1986; Ellis et al. 1993, Kuhlthau, 1991), and information searching or retrieval (Ingwersen, 1996; Belkin, et al. 1995; Spink, 1997).
Wilson (1999: 250) notes concerning the models of information behaviour, among others, that "rarely do such models advance to the stage of specifying relationships among theoretical propositions: rather they are at a pre-theoretical stage, but may suggest relationships that might be fruitful to explore or test." Later he notes that,
"[t]he limitation of this kind of model, however, is that it does little more than provide a map of the area and draw attention to gaps in research: it provides no suggestion of causative factors in information behaviour and, consequently, it does not directly suggest hypotheses to be tested." (1999: 251)
It seems, therefore, that there may be several kinds of conceptual models for IS&R and that, at least for some research purposes, we would need models that may suggest relationships that might be fruitful to explore and provide hypotheses to test. The purpose of this paper is to discuss the functions of conceptual models in scientific research, in IS&R research in particular. What kind of models are there and in what ways may they help the investigators? What kinds of models are needed for various purposes? In particular, we are looking for models that provide guidance in setting research questions, and formulating hypotheses.
In the following section we shall discuss the meaning and function of conceptual frameworks and principles for judging their merits in research. This extends Järvelin's (1987) discussion on criteria for assessing conceptual models for IS&R research. Section 3 analyses briefly some summary frameworks for the IS&R domain. This is followed by a discussion of analytic frameworks. In particular, the classifications suggested by Järvelin are presented and their use in generating fruitful research hypotheses is discussed. Jarvelin's suggestions led to empirical study (Byström & Järvelin, 1995; Byström, 1999) and theoretical development (Byström, 1999; Vakkari & Kuokkanen, 1987; Vakkari, 1999), which analysed the relationships of task complexity and information seeking. The uses for the classifications in later research are briefly summarised. The paper ends with discussion and conclusions.
All research has an underlying model of the phenomena it investigates, be it tacitly assumed or explicit. Such models, called conceptual frameworks (Engelbart, 1962) or conceptual models, easily become topics of discussion and debate when a research area is in transition. Often two or more models are compared and debated. With an eye on advancing the research area, how should the models be assessed for their possible uses? In this section we discuss the function of conceptual frameworks and principles for judging their merits.
According to Engelbart, developing conceptual models means specifying the following:
Conceptual models are broader and more fundamental than scientific theories in that they set the preconditions of theory formulation. In fact, they provide the conceptual and methodological tools for formulating hypotheses and theories. If they are also seen to represent schools of thought, chronological continuity, or principles, beliefs and values of the research community, they become paradigms. The conceptual model of a research area is always constructed - it does not simply lie somewhere waiting for someone to pick it up.
The literature of the Philosophy of Science provides discussions on the functions of scientific theories. According to Bunge (1967), scientific theories are needed (or used) for the following functions:
We believe that these functions are also suitable functions of conceptual models, which are more general in nature than theories. Clearly, conceptual models may and should map reality, guide research and systematise knowledge, for example, by integration and by proposing systems of hypotheses.
A conceptual model provides a working strategy, a scheme containing general, major concepts and their interrelations. It orients research towards specific sets of research questions. A conceptual model cannot be assessed directly empirically, because it forms the basis of formulating empirically testable research questions and hypotheses. It can only be assessed in terms of its instrumental and heuristic value. Typically, this happens by assessing the research strategies and programmes (and results) it creates. The latter programmes consist of interrelated substantial theories and research relevant for evaluating them ( Wagner, et al., 1992; Vakkari 1998). If the substantial theories prove to be fertile, the model is so too.
However, waiting for the substantial theories to prove to their fertility may take some time. In the meantime, or even before embarking on some line of research, it may be important to argue about the merits of various conceptual models. The following are the types of arguments that can be used to judge the merits of a conceptual model:
When two competing conceptual models are compared the following criteria may be applied to judge their merits:
Theoretical development or the construction of new conceptual models in any research area often requires conceptual and terminological development. Conceptual development may mean fulfilling, perhaps in a better way than before, the basic requirements for scientific concepts - precision, accuracy, simplicity, generality, and suitability for expressing propositions, which may be shown true or false. Moreover, good concepts represent essential features (objects, relationships, events) of the research area. More importantly, the concepts should differentiate and classify the phenomena in ways that lead to interesting hypotheses (or research problems). This means that the concepts must relate to each other in systematic and fruitful ways. Concepts also need to support research into the phenomena by known research methods (or, somewhat relaxed, by methods that can be developed). They need to be compatible with each other and with research methods (that is, be congruent).
We will discuss Ellis's (1989; Ellis, et al., 1993) and Ingwersen's (1996) frameworks. These are used and discussed here as examples only and we make no claims about their merits with respect to the research tasks for which they were originally intended.
Ellis's elaboration of the different behaviours involved in information seeking consists of six features. Ellis makes no claims to the effect that the different behaviours constitute a single set of stages; indeed, he uses the term 'features' rather than 'stages'. These features are named and defined below:
The strength of Ellis's model is that it is based on empirical research and has been tested in subsequent studies, most recently in the context of an engineering company (Ellis & Haugan, 1997).
Of the features, Ellis (1989: 178) notes that, '...the detailed interrelation or interaction of the features in any individual information seeking pattern will depend on the unique circumstances of the information seeking activities of the person concerned at that particular point in time'. Wilson (1999) proposes how these features may relate to each other temporally, providing a partial order; see Figure 1.
One may describe any information seeking activities through Ellis's features. Indeed, they are general enough to fit a large number of empirical situations. However, if one is to explain information seeking behaviour, say, in terms of the work tasks the subjects are engaged with, or their knowledge on the task, the features fall short because they are not explicitly related to such external possible causative factors.
Of course, Ellis's model may still be of indirect help in finding explanations for information seeking behaviour. It is possible to discern differences in any of the 'features' in different situations, involving different kinds of persons through successive research projects. For example, some persons in some roles may be shown to engage more or less in monitoring than other persons. This may then lead to an examination of the factors that 'cause' these differences.
Ingwersen's (1996) model is slightly simplified in Figure 2. Wilson points out its relationships to other models of information seeking behaviour. In particular, the elements user's cognitive space and social/organisational environment, resemble the person in context and environmental factors specified in Wilson's models (1981, 1996; 1999). The general orientation towards queries posed to an IR system point to a concern with the active search, which is the concern of most information-seeking models. Ingwersen, however, makes explicit a number of other elements: first, he demonstrates that within each area of his model, the functions of the information user, the document author, the intermediary, the interface and the IR system are the result of explicit or implicit cognitive models of the domain of interest at that particular point. Thus, users have models of their work-task or their information need, or their problem or goal, which are usually implicit, but often capable of explication. Again, the IR system is an explication of the system designer's cognitive model of what the system should do and how it should function. Secondly, Ingwersen brings the IR system into the picture, suggesting that a comprehensive model of information-seeking behaviour must include the system that points to the information objects that may be of interest to the enquirer. Thirdly, he shows that various cognitive transformations take place in moving from the life-world in which the user experiences a problem or identifies a goal to a situation in which a store of pointers to information objects can be satisfactorily searched and useful objects identified. Finally he points to the need for these cognitive structures and their transformations to be effectively communicated throughout the 'system', which will include the user, the author and the IR system designer. All this true—it is easy to agree.
Thus, Ingwersen's model, to a degree, integrates ideas relating to information behaviour and information needs with issues of IR system design, and this is an important strength of the model. Saracevic suggests that (1996): 'The weakness is in that it does not provide for testability... and even less for application to evaluation of IR systems.' However, recently, Borlund and Ingwersen ( 1997; 1998; Borlund, 2000) have developed and tested an evaluative strategy on the basis of this model and have demonstrated its value in testing interactive IR systems. A remaining potential weakness is that information behaviour other than information retrieval is not explicitly analysed. Issues of how users arrive at the point of making a search, and how their cognitive structures are affected by the processes of deciding how and when to move towards information searching, may be lost. These issues may be discussed in terms of the social or organisational environment but, to say the least, this is not explicit.
In Ingwersen's model, there are several entities of the IS&R interplay present, and some of their relevant features are explicated. Therefore, there are better possibilities for formulating research questions for empirical study; for example, how is an individual user's uncertainty related to the intermediary functions, and how does this affect the retrieval process? However, there is still some way to go before one may say that an empirical research problem has been specified. This could be done by classifying, for example, uncertainty and intermediary functions in ways that suggest empirical relationships.
Summary models provide overviews of research domains, and list factors affecting the phenomena. It is often easy to agree that, what the models propose, are factors affecting the processes of interest. However, without detailed analysis of the components, such models provide little or no suggestion of causative factors in IS&R phenomena and, consequently, they do not directly suggest hypotheses to be tested. Indirectly, however, a comparison of findings across several studies may suggest causative factors to be explored.
Järvelin (1987) suggested three classifications and discussed their use in generating fruitful research hypotheses for the analysis of the relationships of task complexity and information seeking. Byström and Järvelin (1995; Byström 1999) revised the classification and carried out an empirical study, and Byström (1999) and Vakkari (1998; 1999) suggested theoretical developments. We first present the classifications and then discuss their theoretical and methodological consequences.
A worker's job consists of tasks, which consist of levels of progressively smaller subtasks. Tasks are either given to, or identified by, the worker. Each task has a recognisable beginning and end, the former containing recognisable stimuli and guidelines concerning goals and/or measures to be taken (Hackman, 1969). Seen in this way, both a large task or any of its (obviously simpler) sub-tasks may be considered as a task. This relativity in definition is necessary in order to analyse tasks of different levels of complexity.
In information seeking we are interested in information-related tasks. These can be seen as perceived (or subjective) tasks or objective tasks. The relationships of objective and perceived tasks have been considered in organisational psychology (Campbell, 1988; Hackman, 1969; Wood, 1986) where task descriptions based on perceived tasks are generally held invalid for many purposes (for example, Roberts & Glick, 1981). However, in information seeking, perceived tasks must be considered because each worker may interpret the same objective task differently (for example, as regards its complexity) and the perceived task always forms the basis for the actual performance of the task and for interpreting information needs and the choice of promising actions for satisfying them.
The literature suggests many task characteristics related to complexity: repetition, analysability, a priori determinability, the number of alternative paths of task performance, outcome novelty, number of goals and conflicting dependencies among them, uncertainties between performance and goals, number of inputs, cognitive and skill requirements, as well as the time-varying conditions of task performance (Campbell, 1988; Daft et al., 1988; Fischer, 1979; Fiske & Maddi, 1961; Hart & Rice, 1991; Järvelin, 1986; March & Simon, 1967; MacMullin & Taylor, 1984; Tiamiyu, 1992; Tushman, 1978; Van de Ven & Ferry, 1980; Wood, 1986; Zeffane & Gul, 1993). Also, these characteristics have been understood in many different ways in the literature. They belong in two main groups: characteristics related to the a priori determinability of tasks, and characteristics related to the extent of tasks.
Järvelin (1987; Byström and Järvelin, 1995) suggest a simple, one-dimensional categorisation of the complexity of tasks based on, from the worker's point of view, a priori determinability of, or uncertainty about, task outcomes, process and information requirements. This dimension is related to the above task characteristics: repetition, analysability, a priori determinability, the number of alternative paths of task performance and outcome novelty. Similar one-dimensional categorisations of complexity are used by Tiamiyu (1992) and Van de Ven and Ferry (1980). Simple tasks are routine information processing tasks, where the inputs, process and outcomes can be determined a priori, while difficult or complex tasks are new and genuine decision tasks, which cannot be so determined. Such a categorisation is generic and, thus, widely applicable to many types of tasks and domains.
In this paper, tasks are classified into five categories ranging from an automatic information-processing task to a genuine decision task. This categorisation is based on the a priori determinability (or structuredness) of tasks and is closely related to task difficulty or complexity.
Task complexity is often seen to depend on the degree of a priori uncertainty about the task inputs, process and outcome (for example, Van de Ven & Ferry, 1980). In automatic information processing tasks, the type of the task result, the work process through the task, and the types of information used can all be described in detail in advance. In genuine decision tasks, on the contrary, none can be determined a priori. 1 Our task categorisation is presented in Fig. 3 where information (both input and result) is represented by arrows and the task process by boxes. The a priori determinable parts of tasks are represented by solid arrows and solid boxes, and the a priori indeterminable parts of tasks are represented by dashed arrows and shaded boxes. Dashed arrows and shaded boxes thus represent cased-based arbitration. Three arrows are used in the input side to visualise that many inputs often are needed and that there are degrees of a priori determinability among them. Also the types of input differ by task category as discussed in the next subsection.
Tasks in different categories can be characterised briefly as follows:
Information seeking research has focused mostly on tasks in the middle and upper parts of the categories (normal decision task to genuine decision task) although this dimension has only rarely been recognised. Belkin (1980) describes a similar scale of problem situation levels). The categories above are relative to the worker: what is a genuine decision task to a novice may be a normal decision to an expert.
In expert systems design, the types of information are classified as problem information (PI), domain information (DI), and problem solving information (PSI) (for example, Barr & Feigenbaum, 1981). Järvelin and Repo (1983; 1984) proposed these concepts for information seeking research. These information categories can be characterised as follows:
These three information categories are orthogonal, that is, represent three different dimensions and have different roles in problem treatment. All are necessary in problem treatment but, depending on the task, and to different degrees, may be available to a worker performing the task. Because their typical sources are different, typical channels for acquiring them may also be different.
Regarding Figure 3, the solid arrows representing input information may be seen as a priori determinable problem information whereas the dashed arrows would represent all a priori indeterminable information, often problem-solving information.
Byström and Järvelin (1995) classified the types of information sources as:
They also classified the sources as being either internal or external to the organisation in which the user works.
Byström and Järvelin used their framework, the three classifications of tasks, information and information sources, for the analysis of their data structured in work charts (Figure 4). In combination, the three classifications suggest a set of hypotheses of the type: "Tasks of complexity type X require information of type Y that is available from sources of type Z". Thus the classifications suggest analytical relationships between the variables.
Byström and Järvelin (1995; Murtonen, 19922) developed a qualitative method for task-level analysis of the effects of task complexity on information seeking and found, in a public administration context, that these effects are systematic and logical. The specific research problem studied was: what types of information are sought through which types of channels from what kinds of sources in which kinds of tasks? They found that, as task complexity increased, so:
The contrast between simple and complex tasks underlines the importance and consequences of task complexity: in the latter understanding, sense-making and problem formulation are essential and require different types and more complex information through somewhat different types of channels from different types of sources.
Byström followed on with further empirical studies (1999; Murtonen, 1994). Based on her empirical findings, Byström presented a revised model of task-based information seeking (Figure 5). The model contains eleven statements (S1 - S11 in Figure 5). Some of the statements are given below (all are given in the Appendix):
Vakkari (1998; 1999; Vakkari & Kuokkanen, 1997) analysed, and contributed to, theory growth in task-based information seeking. Vakkari and Kuokkanen apply Wagner & Berger's (1985) analysis of theory growth to reconstructing a theory based on the framework by Byström and Järvelin (1995). Vakkari and Kuokkanen note that the latter did not fully utilise the whole potential of the framework, for example, the relationships of information types and source use was not fully developed. They derive new hypotheses for further empirical work from the reconstructed theory. The resulting theory is thus broader in scope and has more empirical consequences than the original. Vakkari and Kuokkanen state that their reconstruction creates potential growth of knowledge within the theory of information seeking. This is easy to agree.
Vakkari (1998) further uses Wagner & Berger (1985) and focuses on the theoretical research programme starting from Tushman's (1978) study on task complexity and information. He finds that Byström and Järvelin's (1995) work created progress in all dimensions of theory growth, especially in terms of precision and scope. The framework (research programme), by adding the classification of information types, explicated several new factual relations among information seeking phenomena.
The empirical findings and theoretical developments by Byström, Järvelin and Vakkari classify tasks, information and information sources in a systematic way. The latter are also systematically related to other central concepts of information seeking in a systematic way. The original papers suggested some classifications of essential phenomena. The original classifications were really simple, even trivial, when presented. However, they suggested specific systematic relationships to be explored. This led, in later papers, to thorough empirical work and theoretical development. This is an example of how proper analytic models may aid research in a specific area, such as information seeking.
The previous section presented a framework for information seeking studies that directly suggested research questions and hypotheses for testing. Such frameworks are clearly needed in building up a knowledge base in the IS&R domain. Unfortunately, the work discussed above is not complete and we cannot present a well thought-out complete framework. There is room for further work, which is not the purpose of the present paper. Moreover, the model discussed is very specific, it does not attempt to cover all phenomena related to [task-based] information seeking.
However, as a small contribution to further development, we can point to the fact that the model makes no reference to the characteristics of the person (apart from the possibility that novices and experts will behave differently), or to the field in which the person works. Other investigations have drawn attention to individual personality as a determinant of information-seeking behaviour (e.g., Kernan & Mojena, 1973 ; Bellardo, 1985; Palmer, 1991), and to the discipline or context within which the person works (e.g., Anon., 1965; Auster & Choo, 1994; Fabritius, 1998; Greene & Loughridge, 1996; Herner & Herner, 1967; Siatri, 1998; Timko & Loynes, 1989; Wilson & Streatfield, 1980). For example, the fact that more complex decisions involve more searching for people as sources of information may differ depending upon the person's 'need for affiliation' (McClelland, 1961).
From the point of view of context or discipline, even in the field of public administration, for example, there may be significant differences in the nature of the tasks in, say, a planning department and a more 'people oriented' department such as social work. In the former, the processing of applications may involve much more decision making of a formal, technical nature, while in the latter, the concern with people's personal and domestic problems may result in decisions that have consequences that are more difficult to assess. We can suggest, therefore, a distinction between decisions that are related to a 'concern for process' and those that are related to a 'concern for person'.
We can also note that the distinction between 'information' and 'advice' is not sufficiently explored, although we suspect that the increased use of people as sources in complex decisions may have as much to do with the ability of people to guide, evaluate and advise, as with their possession of expert knowledge. Previous work on the affective dimension of information behaviour may also be relevant here (Wilson, 1981; Kuhlthau, 1993).
Finally, we can also point to a second dimension of decisions: as noted above, the present framework uses one dimension "a priori determinability of, or uncertainty about, task outcomes, process and information requirements". Thompson (1967) proposed two dimensions, one of which is similar to that used here, "Preference regarding possible outcomes", which might be 'certainty' or 'uncertainty'. The second dimension is "Beliefs about cause/effect relationships", which, again, might be 'certain' or 'uncertain'. The matrix that results from the combination of these two dimensions gives four types of decision processes, as shown in Figure 6.
The conceptual richness that results from the addition of a second dimension would give rise to an additional set of hypotheses relating the use of information sources to decision process. For example, one might hypothesise that decisions requiring 'judgement' will involve more information seeking activity and a greater use of discussions with colleagues, than other types of decision process, while 'inspiration' may require more personal 'thinking time' and use of a greater variety of information sources.
We return to the requirements on conceptual frameworks presented above. The framework developed by Byström, Järvelin and Vakkari, through several studies, may be claimed to meet several of the requirements. In Engelbart's terms, it suggests that tasks, information, and information channels and sources are central objects in information seeking. It further suggests how these objects are related to each other. The hypotheses generated were (are) fruitful goals for further research.
Regarding Bunge's (1967) functions for scientific theories, here applied for assessing conceptual frameworks, we find the following when assessing the Byström, Järvelin and Vakkari framework:
Regarding general scientific principles, suggested above, for the assessment of conceptual frameworks, we may point out the following:
Further desiderata for conceptual models were:
We do not wish to make any claims about the usefulness or significance of this framework in comparison to other approaches within information seeking research. Rather, we wish to point out its formal merits: because of its characteristics, it has been successful in generating research that seems to have led to empirical and theoretical developments in the area of information seeking. Such models are needed in information science. According to Vakkari and Kuokkanen (1997), in order to create new knowledge in information science, we need clear, conceptually structured descriptions of the research objects. Without them the utilisation of research results in further studies is hampered. That would lead to slow or non-existent growth of knowledge in the field while findings may still amass.
1. It is this factor of determinability that helps us to define the 'automatic information processing' task. In such a task the outcome is determinable in advance. While a computer may be programmed to undertake tasks, which are computationally simple, such as those in a chess game, the outcome of the computer's calculations will not be determinable in advance, because of the complexity of the game.
2. Murtonen is the maiden name of Byström.
Byström's (1999) eleven statements - cf. Figure 5.
S1: as soon as information acquisition requires an effort people as sources are more popular than documentary sources.
S2: the more information types are needed, the greater the share of people as sources.
S3: the more information types are needed, the greater the share of general-purpose sources and the smaller the share of task-oriented sources.
S4: the more information types are needed, the more sources are used.
S5: the internality of different source types is loosely connected to the information types.
S6: the higher the degree of task complexity, the more probable is the need for multiple information types: first task information, then task and domain information, and finally task, domain and [problem] solving information.
S7: the higher the degree of task complexity, the more information types are needed, and the greater the share of people as sources and the smaller the share of documentary sources.
S8: the higher the degree of task complexity, the more information types are needed and the greater the share of general-purpose sources and the smaller the share of task-oriented sources.
S9: the higher the degree of task complexity, the more information types are needed, and the higher the number of sources used.
S10: task complexity is distinctly related to increasing internality of people as sources and decreasing internality of documentary sources.
S11: Increasing task complexity fosters the use of people as sources.
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Last updated: 29 September, 2003