1. Database Systems Part VII: XML
Software School of Hunan University

2. Objectives
 Define semistructured data and list its advantages over (fixed) relational schemas.
 Given OEM objects, be able to draw a graph representation of the data.
 Given an XML document, determine if it is well-formed.
 Given an XML document and a DTD, determine if it is valid.
 Explain the difference between #PCDATA and CDATA.
 Know the symbols (?,*,+) for cardinality constraints in DTDs.
 Compare and contrast ID/IDREFs in DTDs with keys and
foreign keys in the relational model.

3. Objectives (2)  List some advantages that XML Schema has over DTDs.
 Explain what an XML parser does.
 Compare and contrast the two XML parser APIs: DOM and SAX.
 Explain why and when namespaces are used.
 Why are paths important in XML? Explain the role of XPath.
 Explain what XSL and XSLT are used for.

4. Semistructured Data
Semistructured data is data that may have a varying structure. The data typically has some structure, but the data does not conform to a fixed schema.
With semistructured data, the schema information is contained within the data itself. Thus, semistructured data is often called self-describing.
Semistructured data is important because:
�It allows flexibility in representing data whose schema may frequently change or is hard to conform to a single schema.
�XML data is very similar to semistructured data.

5. Representing Semistructured Data
Semistructured data is often represented in a graph form.
In this graph:
�Nodes represent objects.
�Labels on edges represent attributes or relationships.
�Atomic values are at leaf nodes (nodes with no edges out).
The graph representation is very flexible because there is no restriction on:
� The number of labels out of a node.
� The number of children nodes with a given label.

6. Semistructured Graph Example
Data represented:
- Dept D1 has Employees:
R. Davis and J. Jones
- Dept D2 has budget $350,000 and
Emps: L. Chu, A. Lee and
manager R. Davis
root
Unique node identifier
&1
dept
dept
&3
&2
mgr
budget
dno
emp
emp
dno
emp
emp
&4
&5
&6
&7
&8
&9
&10 D1 D2
name
name
name
name
$350,000
&11
&12
&13
&14
R. Davis
J. Jones
L. Chu
A. Lee

7. Semistructured Data Question
Given the following data, represent it in a semistructured graph:
Employees: (eno, ename, dept)
 E1, J. Doe, D1
 E3, A. Lee, D2
Departments: (dno, dname)
 D1, Management
 D2, Consulting
WorksOn: (eno, pno, hours)
 E1, P1, 12
 E3, P3, 10
 E3, P4, 48
How would your graph change
if instead of D1 this value was NULL?

8. Object Exchange Model (OEM)
Object Exchange Model (OEM) is a semistructured data
model developed for the TSIMMIS integration project.
Data in OEM consists of objects where each object has:
 a unique identifier (e.g. &6)
 a text label (string)
 a type (string)
 a value
Atomic objects have a value for a base type and have no
children nodes when represented in a diagram.
Complex objects have a set of object identifiers as their value, and have children nodes in the diagram.

9. Object Exchange Model (OEM) Example
The previous data could be represented in the OEM model as:
(&1, root, set, {&2, &3})
(&2, Dept, set, {&4, &5, &6})
(&3, Dept, set, {&5, &7, &8, &9, &10})
(&4, name, string, "D1")
(&5, Emp, set, {&11})
(&6, Emp, set, {&12})
(&7, name, string, "D2")
(&8, Emp, set, {&13})
(&9, Emp, set, {&14})
(&10, budget, double, )
(&11, name, string, "R. Davis")
(&12, name, string, "J. Jones")
(&13, name, string, "L. Chu")
(&14, name, string, "A. Lee")

10. XML
Extensible Markup Language (XML) is a markup language that allows for the description of data semantics.
 XML is a markup language for describing any type of data because the markup terms can be user-defined.
XML derives from SGML (Standard Generalized Markup Language) for structuring documents.
 XML is interoperable with both HTML and SGML.
 Note that XML is case-sensitive unlike HTML.
XML is standardized by the World Wide Web Consortium (W3C).

11. Advantages of XML Some advantages of XML:  Simplicity
 The XML standard is relatively short and less complex that SGML.
 Open standard
 Standardized by W3C to be vendor and platform independent.
 Extensibility
 XML allows users to define their own tags.
 Separation of data and presentation
 XML data may be presented to the user in multiple ways.
 Interoperability(互用性,协同工作能力)
 By standardizing on tags, interoperation and integration of systems is simplified.

12. XML Components
An XML document is a text document that contains markup in the form of tags.
An XML document consists of:
An XML declaration line indicating the XML version.
Elements (or tags) called markup. Each element may contain free-text, attributes, or other nested elements.
 Every XML document has a single root element.
 Tags, as in HTML, are matched pairs, as <FOO> … </FOO>.
 Closing tags are not needed if the element contains no data: <FOO/>
 Tags may be nested.
An attribute is a name-value pair declared in an element.
Comments
Note that XML data is ordered by nature.

13. XML Example Attribute XML declaration
<?xml version = "1.0" encoding="UTF-8" standalone="no"?>
<?xml:stylesheet type="text/xsl" href="dept.xsl"?>
<!DOCTYPE root SYSTEM "dept.dtd">
<!-- Department/Employee data formatted in XML -->
<root>
<Dept dno = "D1">
<Emp eno="E7"><name>R. Davis</name></Emp>
<Emp eno="E8"><name>J. Jones</name></Emp>
</Dept>
<Dept dno = "D2" mgr = "E7">
<Emp eno="E6"><name>L. Chu</name></Emp>
<Emp eno="E3"><name>A. Lee</name></Emp>
<budget>350000</budget>
</root>
Stylesheet for
presentation
External DTD
for validation
Comment
Attribute
Element reference

14. Valid and Well-Formed XML Documents
An XML document is well-formed if it obeys the syntax of the XML standard. This includes:
 Having a single root element
 All elements must be properly closed and nested.
An XML document is valid if it is well-formed and it conforms to its Document Type Definition (DTD).
 A document can be well-formed without being valid if it contains tags or nesting structures that are not allowed in its DTD.
 The DTD is a schema definition for an XML document.

15. Namespaces
Namespaces allow tag names to be qualified to avoid naming conflicts. A naming conflict would occur when the same name is used by two different domains or vocabularies.
A namespace consists of two components:
1) A declaration of the namespace and its abbreviation.
2) Prefixing tag names with the namespace name to exactly define the tag's origin.

16. Namespaces Example
<?xml version = "1.0" encoding="UTF-8" standalone="no"?>
<root xmlns = "
xmlns:n1 = "
<Dept dno = "D1">
<Emp eno="E7"><name>R. Davis</name></Emp>
<Emp eno="E8"><name>J. Jones</name></Emp>
</Dept>
<Dept dno = "D2" mgr = "E7">
<Emp eno="E6"><name>L. Chu</name></Emp>
<Emp eno="E3"><name>A. Lee</name></Emp>
<n1:budget>350000</budget>
</root>
Default namespace
n1 namespace
budget is a XML tag in the n1 namespace.

17. Schemas for XML  Document Type Definition (DTD)  XML Schema
Although the totally unrestricted format of XML and semistructured data is valuable to many applications, database data normally has some structure, even though that structure may not be as rigid as required in relational schemas.
Thus, it is valuable to define schemas for XML documents that restrict the format of those documents.
There are two main ways of specifying a schema for XML:
 Document Type Definition (DTD)
 XML Schema

18. Document Type Definitions (DTDs)
A Document Type Definition (DTD) defines the grammatical rules for the document. It is not required for an XML document but provides a mechanism for checking a document's validity.
General DTD form:
<!DOCTYPE myroot [ <elements> ]>
Essentially, a DTD is a set of document rules expressed using EBNF (Extended Backus-Naur Form) grammar. The rules limit:
 the set of allowable element names, how elements can be nested, and the attributes of an element among other things
name of root element in XML document
contents of DTD declares
elements and attributes

19. Document Type Definitions (DTDs)
+ means 1 or more times
<!DOCTYPE root [
<!ELEMENT root(Dept+)>
<!ELEMENT Dept(Emp*, budget?)>
<!ATTLIST Dept dno ID #REQUIRED>
<!ATTLIST Dept mgr IDREF #IMPLIED>
<!ELEMENT budget (#PCDATA)>
<!ELEMENT Emp (name)>
<!ATTLIST Emp eno ID #REQUIRED>
<!ELEMENT name (#PCDATA)>
]>
* means 0 or more times
? means 0 or 1 time
Element reference
(like a foreign key)
ID is a unique value that
identifies the element
Parsed Character Data
(atomic value)

20. DTD Elements Each element declaration has the form:
<!ELEMENT <name> ( <components> )>
Notes:
 Each !ELEMENT declaration specifies that an element is being created.
 Components is either a list of one or more subelements or #PCDATA, or EMPTY (has no content).
 Each subelement may occur exactly once, zero or one time (?), zero or more (*), or one or more (+).
 An element that is a composite element (contains other elements) specifies the other elements in parentheses. These elements must appear in the document in the order specified.

21. DTD Attributes Attributes are declared using:
<!ATTLIST <eltName> <attrName> <type> <value>)
Notes:
Attribute names must be unique within an element.
The type of attribute may be (among others):
 CDATA - non-parsed string
 ID - element identifier (ID valued attributes must start with a letter)
 IDREF or IDREFS - one or more element references
The value source may be:
 #IMPLIED - attribute is optional
 #REQUIRED - always present
 #FIXED "default value"- declared default value

22. DTD Attribute Example Values for an attribute may be specified:
<!ELEMENT Emp (name,salary)>
<!ATTLIST Emp title ("EE"|"SA"|"PR"|"ME") "EE">
<!ATTLIST Emp eno ID #REQUIRED>
<!ATTLIST Emp bdate CDATA #IMPLIED>

23. DTD ID and IDREF
An ID attribute is used to uniquely identify an element within a document. It is used to model keys.
 Note however that the scope of the uniqueness is the entire document not elements of the given type.
 An ID is like declaring named anchors(锚) in HTML.
 An ID must be a string starting with a letter and must be unique throughout the whole document.
IDREF/IDREFS are attributes that allow an element to refer to another element in the document.
 An IDREF attribute contains a single value that references a named location in the document (an existing ID value).
 An IDREFS attribute contains a list of ID references.
 Using IDREF allows the structure of an XML document to be a graph, rather than just a tree.

24. DTD Choice The symbol "|" can connect alternative sequences of tags.
For example, a name may have an optional title, a first name, and a last name, in that order, or is a full name:
<!ELEMENT NAME ( (TITLE?, FIRST, LAST) | FULLNAME)>

25. Element identify, IDs and ID References
Example: Branch has staff
<!ATTLIST STAFF staffNo ID #REQUIRED>
<!ATTLIST BRANCH staff IDREFS #IMPLIED>
<STAFF staffNo = “SL21”>
<NAME>
<FNAME>John</FNAME><LNAME>White</LNAME>
</NAME>
</STAFF>
<STAFF staffNo = “SL41”>
<FNAME>Julie</FNAME><LNAME>Lee</LNAME>
<BRANCH staff = “SL21 SL41”>
<BRANCHNO>B005</BRANCHNO>
</BRANCH>

26. Using DTDs in an XML Document
A DTD can either be either embedded in the XML document itself or specified as an external file.
Embedding:
 Set STANDALONE = "yes" in XML declaration.
 Put DTD right after XML declaration line.
Separate file:
 Set STANDALONE = "no" in XML declaration.
 Put DTD in another file say myfile.dtd.
 Put the line in the XML document:
<!DOCTYPE myroot SYSTEM "myfile.dtd">
name of root element in XML document
private
DTD
DTD file
location

27. DTD Question Build a DTD for our relational database:
 Emp (eno, ename, title, salary, dno)
 Project (pno, pname, budget, dno)
 WorksOn (eno, pno, resp, dur)
 Department (dno, dname, mgr)

28. XML Schema
While DTDs are sufficient for many uses of XML, they are lacking compared to other forms of database schema. Specifically, they do not have good support for:
 data types
 constraints
 explicit primary keys and foreign key references.
Further, DTDs are written in a non-XML syntax.
XML Schema was defined by the W3C to provide a standard XML schema language which itself is written in XML and has better support for typical data modeling issues.

29. Types in XML Schema
Elements that contain other elements are called complex types:
<xsd:element name = "Dept">
<xsd:complexType>
<xsd:sequence>
// Children defined here
</xsd:sequence>
</xsd:complexType>
</xsd:element>
Elements that have no subelements are simple types:
<xsd:element name = "name" type = "xsd:string" />
<xsd:element name = "budget" type = "xsd:decimal" />

30. Cardinality in XML Schema
The number of occurrences of elements can be controlled by cardinality constraints minOccurs and maxOccurs:
<xsd:element name = "Emp"
minOccurs="0" maxOccurs="unbounded">
<xsd:element name = "budget" type = "xsd:decimal"
minOccurs="1" maxOccurs="1" />

31. Constraints in XML Schema
Uniqueness constraints dictate that the value of an element (with a specified path) must be unique:
<xsd:unique name = "UniqueDno">
<xsd:selector xpath = "Dept" />
<xsd:field xpath = />
</xsd:unique>
Key constraints are uniqueness constraints where the value cannot be null.
<xsd:key name = "EmpKey">
<xsd:selector xpath = "Dept/Emp" />
<xsd:field xpath = />
</xsd:key>

32. Constraints in XML Schema (2)
Reference constraints forces the value of a reference to be constrained to specified keys:
<xsd:keyref name = "DeptMgrFK" refer "EmpKey">
<xsd:selector xpath = "Dept" />
<xsd:field xpath = />
</xsd:keyref>

33. Other Features of XML Schema
XML Schema also allows you to:
 Define your own types
 Define schema references to simplify schema maintenance
 Define groups of elements or attributes
 Use groups to allow for schema variations and choices
 Construct elements that are lists or unions of values

34. XML Schema Example <?xml version = "1.0">
<xsd:schema xmlns:xsd = "
<xsd:element name = "root">
<xsd:complexType>
<xsd:sequence>
<xsd:element name = "Dept" minOccurs="1" maxOccurs="unbounded">
<xsd:attribute name = "dno" type = "xsd:string" />
<xsd:attribute name = "mgr" type = "xsd:string" />
<xsd:element name = "Emp" minOccurs="0" maxOccurs="unbounded">
<xsd:element name = "name" type = "xsd:string" />
<xsd:attribute name = "eno" type = "xsd:string" />
</xsd:complexType>
</xsd:element>
<xsd:element name="budget" minOccurs="0" type ="xsd:decimal" />

35. XML Schema Example </xsd:sequence> </xsd:complexType>
</xsd:element>
<xsd:key name = "DeptKey">
<xsd:selector xpath = "Dept" />
<xsd:field xpath = />
</xsd:key>
<xsd:key name = "EmpKey">
<xsd:selector xpath = "Dept/Emp" />
<xsd:field xpath = />
<xsd:keyref name = "DeptMgrFK" refer "EmpKey">
<xsd:field xpath = />
</xsd:keyref>
</xsd:schema>

36. XML Parsers
An XML parser processes the content and structure of an XML document and may use its DTD (if one is present).
 Internet Explorer 5 has a built-in XML parser.
XML parsers read in the XML document and determine if the document is well-formed and valid (if a DTD is provided).
Once a document is parsed, programs may manipulate the document using one of two common interfaces: DOM and SAX.
 Note that you can write and parse XML documents without using a parser as the document itself is just a text file.

37. DOM and SAX
Document Object Model (DOM) and Simple API for XML (SAX) are two APIs for manipulating XML documents.
DOM is a tree-based API that parses the entire document into an in-memory tree and provides methods for traversing the tree.
SAX is an event-based serial access method. As a parser reads an XML file, it generates events when a new element is seen, when an element is closed, etc.
 A SAX program has event handler methods that perform actions when an event is fired.
The difference between DOM and SAX is that DOM may be costly for large documents, but DOM programs are normally easier to write.

38. XML and HTML XML documents are considered a data source.
An XML document that exists in an HTML document is called a data island.

39. XML in HTML Example
<!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.0 Transitional//EN">
<HTML> <! -- A contact list stored in XML displayed in HTML -->
<BODY>
<XML ID = "xmlDoc"> <!-- xmlDoc is the name for the XML info -->
<contacts>
<contact>
<LastName>Smith</LastName>
<FirstName>Bob</FirstName>
</contact>
<LastName>Henry</LastName>
<FirstName>Steve</FirstName>
<LastName>Jones</LastName>
<FirstName>Fred</FirstName>
</contacts>

40. XML in HTML Example (2) </XML>
<TABLE BORDER = "1" DATASRC = "#xmlDoc">
<THEAD>
<TR>
<TH>Last Name</TH>
<TH>First Name</TH>
</TR>
</THEAD>
<TBODY>
<TD><SPAN DATAFLD = "LastName"></SPAN></TD>
<TD><SPAN DATAFLD = "FirstName"></SPAN></TD>
</TBODY>
</TABLE>
</BODY>
</HTML>

41. XPath
XPath is a declarative query language for XML that provides syntax for addressing parts of an XML document.
XPath allows collections of elements to be retrieved by specifying a directory like path with optional conditions.
We will talk more about XPath when we look at XML querying.

42. XSL and XSLT
XSL (eXtenstible Stylesheet Language) is a W3C recommendation that defines how XML data is displayed.
 It is similar but more powerful than Cascading Stylesheet Specification (CSS) used with HTML.
XSLT (eXtenstible Stylesheet Language for Transformations) is a subset of XSL that provides a method for transforming XML (or other text documents) into other documents.

43. XSL Example Stylesheet declaration with namespace
<?xml version = "1.0"?>
<xsl:stylesheet xmlns:xsl ="
<xsl:template match = "/">
<html><head><title>My Title</title></head><body>
<table>
<xsl:for-each select = "Dept">
<tr><td><xsl:value-of
<td><table>
<xsl:for-each select = "Dept/Emp">
<tr><td><xsl:value-of select="Dept/Emp/name"></td></tr>
</xsl:for-each>
</table></td></tr>
</table></body></html>
</xsl:template>
</xsl:stylesheet>
Repeat for other columns headings
paths in XML document

44. XSL Example Output
<html><head><title>My Title</title></head>
<body>
<table>
<tr><td>D1</td>
<td> <table>
<tr><td>R. Davis</td></tr>
<tr><td>J. Jones</td></tr>
</table>
</td></tr>
<tr><td>D2</td>
<tr><td>L. Chu</td></tr>
<tr><td>A. Lee</td></tr>
</body>
</html>

45. XHTML
Extensible Hypertext Markup Language (XHTML) includes HTML 4 and XML and is the proposed successor (继承者) to HTML 4.
 XHTML contains the HTML tag set for backwards compatibility(向后兼容).
 XHTML documents are well-formed documents as they are verified using a DTD.
For more information on XHTML see: 

46. Conclusion Semistructured data is data that may have a varying
structure. The data typically has some structure, but the data does not conform to a fixed schema.
Extensible Markup Language (XML) is a markup language
that allows for the description of data semantics.
An XML document does not need a schema to be well-formed.
An XML document is valid if it conforms to its DTD schema.
XML Schemas can define schemas with more precision.
XML has many associated standards including parsing
(DOM/SAX), namespaces, querying (XPath/XQuery) and
display and transformations (XSL,XSLT,XHTML).