Selected Readings On Database Technologies And Applications Terry Halpin
Selected Readings On Database Technologies And Applications Terry Halpin
Selected Readings On Database Technologies And Applications Terry Halpin
Selected Readings On Database Technologies And Applications Terry Halpin
Selected Readings On Database Technologies And Applications Terry Halpin
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Selected Readings on
DatabaseTechnologies
and Applications
Terry Halpin
Neumont University, USA
Hershey • New York
InformatIon scIence reference
Table of Contents
Prologue............................................................................................................................................xviii
Aboutthe Editor............................................................................................................................. xxvii
Section I
Fundamental Concepts and Theories
Chapter I
Conceptual Modeling Solutions for the Data Warehouse....................................................................... 1
Stefano Rizzi, DEIS - University of Bologna, Italy
Chapter II
Databases Modeling of Engineering Information................................................................................. 21
Z. M. Ma, Northeastern University, China
Chapter III
An Overview of Learning Object Repositories.................................................................................... 44
Argiris Tzikopoulos, Agricultural University of Athens, Greece
Nikos Manouselis, Agricultural University of Athens, Greece
Riina Vuorikari, European Schoolnet, Belgium
Chapter IV
Discovering Quality Knowledge from Relational Databases............................................................... 65
M. Mehdi Owrang O., American University, USA
9.
Section II
Development andDesign Methodologies
Chapter V
Business Data Warehouse: The Case of Wal-Mart .............................................................................. 85
Indranil Bose, The University of Hong Kong, Hong Kong
Lam Albert Kar Chun, The University of Hong Kong, Hong Kong
Leung Vivien Wai Yue, The University of Hong Kong, Hong Kong
Li Hoi Wan Ines, The University of Hong Kong, Hong Kong
Wong Oi Ling Helen, The University of Hong Kong, Hong Kong
Chapter VI
A Database Project in a Small Company (or How the Real World Doesn’t Always
Follow the Book) ................................................................................................................................. 95
Efrem Mallach, University of Massachusetts Dartmouth, USA
Chapter VII
Conceptual Modeling for XML: A Myth or a Reality ........................................................................112
Sriram Mohan, Indiana University, USA
Arijit Sengupta, Wright State University, USA
Chapter VIII
Designing Secure Data Warehouses................................................................................................... 134
Rodolfo Villarroel, Universidad Católica del Maule, Chile
Eduardo Fernández-Medina, Universidad de Castilla-La Mancha, Spain
Juan Trujillo, Universidad de Alicante, Spain
Mario Piattini, Universidad de Castilla-La Mancha, Spain
Chapter IX
Web Data Warehousing Convergence: From Schematic to Systematic............................................. 148
D. Xuan Le, La Trobe University, Australia
J. Wenny Rahayu, La Trobe University, Australia
David Taniar, Monash University, Australia
Section III
Tools and Technologies
Chapter X
Visual Query Languages, Representation Techniques, and Data Models.......................................... 174
Maria Chiara Caschera, IRPPS-CNR, Italy
Arianna D’Ulizia, IRPPS-CNR, Italy
Leonardo Tininini, IASI-CNR, Italy
10.
Chapter XI
Application ofDecision Tree as a Data Mining Tool in a Manufacturing System............................ 190
S. A. Oke, University of Lagos, Nigeria
Chapter XII
A Scalable Middleware for Web Databases....................................................................................... 206
Athman Bouguettaya, Virginia Tech, USA
Zaki Malik, Virginia Tech, USA
Abdelmounaam Rezgui, Virginia Tech, USA
Lori Korff, Virginia Tech, USA
Chapter XIII
A Formal Verification and Validation Approach for Real-Time Databases ....................................... 234
Pedro Fernandes Ribeiro Neto, Universidade do Estado–do Rio Grande do Norte, Brazil
Maria Lígia Barbosa Perkusich, Universidade Católica de Pernambuco, Brazil
Hyggo Oliveira de Almeida, Federal University of Campina Grande, Brazil
Angelo Perkusich, Federal University of Campina Grande, Brazil
Chapter XIV
A Generalized Comparison of Open Source and Commercial Database Management Systems ...... 252
Theodoros Evdoridis, University of the Aegean, Greece
Theodoros Tzouramanis, University of the Aegean, Greece
Section IV
Application and Utilization
Chapter XV
An Approach to Mining Crime Patterns ............................................................................................ 268
Sikha Bagui, The University of West Florida, USA
Chapter XVI
Bioinformatics Web Portals ............................................................................................................... 296
Mario Cannataro, Università “Magna Græcia” di Catanzaro, Italy
Pierangelo Veltri, Università “Magna Græcia” di Catanzaro, Italy
Chapter XVII
An XML-Based Database for Knowledge Discovery: Definition and Implementation.................... 305
Rosa Meo, Università di Torino, Italy
Giuseppe Psaila, Università di Bergamo, Italy
Chapter XVIII
Enhancing UML Models: A Domain Analysis Approach.................................................................. 330
Iris Reinhartz-Berger, University of Haifa, Israel
Arnon Sturm, Ben-Gurion University of the Negev, Israel
11.
Chapter XIX
Seismological DataWarehousing and Mining: A Survey.................................................................. 352
Gerasimos Marketos,University of Piraeus, Greece
Yannis Theodoridis, University of Piraeus, Greece
Ioannis S. Kalogeras, National Observatory of Athens, Greece
Section V
Critical Issues
Chapter XX
Business Information Integration from XML and Relational Databases Sources............................. 369
Ana María Fermoso Garcia, Pontifical University of Salamanca, Spain
Roberto Berjón Gallinas, Pontifical University of Salamanca, Spain
Chapter XXI
Security Threats in Web-Powered Databases and Web Portals ......................................................... 395
Theodoros Evdoridis, University of the Aegean, Greece
Theodoros Tzouramanis, University of the Aegean, Greece
Chapter XXII
Empowering the OLAP Technology to Support Complex Dimension Hierarchies........................... 403
Svetlana Mansmann, University of Konstanz, Germany
Marc H. Scholl, University of Konstanz, Germany
Chapter XXIII
NetCube: Fast, Approximate Database Queries Using Bayesian Networks...................................... 424
Dimitris Margaritis, Iowa State University, USA
Christos Faloutsos, Carnegie Mellon University, USA
Sebastian Thrun, Stanford University, USA
Chapter XXIV
Node Partitioned Data Warehouses: Experimental Evidence and Improvements ............................. 450
Pedro Furtado, University of Coimbra, Portugal
Section VI
Emerging Trends
Chapter XXV
Rule Discovery from Textual Data .................................................................................................... 471
Shigeaki Sakurai, Toshiba Corporation, Japan
12.
Chapter XXVI
Action Researchwith Internet Database Tools.................................................................................. 490
Bruce L. Mann, Memorial University, Canada
Chapter XXVII
Database High Availability: An Extended Survey............................................................................. 499
Moh’d A. Radaideh, Abu Dhab Police – Ministry of Interior, United Arab Emirates
Hayder Al-Ameed, United Arab Emirates University, United Arab Emirates
Index.................................................................................................................................................. 528
13.
Detailed Table ofContents
Prologue............................................................................................................................................xviii
About the Editor............................................................................................................................. xxvii
Section I
Fundamental Concepts and Theories
Chapter I
Conceptual Modeling Solutions for the Data Warehouse....................................................................... 1
Stefano Rizzi, DEIS - University of Bologna, Italy
This opening chapter provides an overview of the fundamental role that conceptual modeling plays in data
warehouse design. Specifically, research focuses on a conceptual model called the DFM (Dimensional
Fact Model), which suits the variety of modeling situations that may be encountered in real projects
of small to large complexity. The aim of the chapter is to propose a comprehensive set of solutions for
conceptual modeling according to the DFM and to give the designer a practical guide for applying them
in the context of a design methodology. Other issues discussed include descriptive and cross-dimension
attributes; convergences; shared, incomplete, recursive, and dynamic hierarchies; multiple and optional
arcs; and additivity.
Chapter II
Databases Modeling of Engineering Information................................................................................. 21
Z. M. Ma, Northeastern University, China
As information systems have become the nerve center of current computer-based engineering, the need
for engineering information modeling has become imminent. Databases are designed to support data
storage, processing, and retrieval activities related to data management, and database systems are the
key to implementing engineering information modeling. It should be noted that, however, the current
mainstream databases are mainly used for business applications. Some new engineering requirements
challenge today’s database technologies and promote their evolution. Database modeling can be clas-
sified into two levels: conceptual data modeling and logical database modeling. In this chapter, the
author tries to identify the requirements for engineering information modeling and then investigates the
satisfactions of current database models to these requirements at two levels: conceptual data models
and logical database models.
14.
Chapter III
An Overviewof Learning Object Repositories ................................................................................... 44
Argiris Tzikopoulos, Agricultural University of Athens, Greece
Nikos Manouselis, Agricultural University of Athens, Greece
Riina Vuorikari, European Schoolnet, Belgium
Learning objects are systematically organized and classified in online databases, which are termed learn-
ing object repositories (LORs). Currently, a rich variety of LORs is operating online, offering access
to wide collections of learning objects. These LORs cover various educational levels and topics, store
learning objects and/or their associated metadata descriptions, and offer a range of services that may
vary from advanced search and retrieval of learning objects to intellectual property rights (IPR) manage-
ment. Until now, there has not been a comprehensive study of existing LORs that will give an outline of
their overall characteristics. For this purpose, this chapter presents the initial results from a survey of 59
well-known repositories with learning resources. The most important characteristics of surveyed LORs
are examined and useful conclusions about their current status of development are made.
Chapter IV
Discovering Quality Knowledge from Relational Databases.............................................................. 65
M. Mehdi Owrang O., American University, USA
Current database technology involves processing a large volume of data in order to discover new knowl-
edge. However, knowledge discovery on just the most detailed and recent data does not reveal the long-
term trends. Relational databases create new types of problems for knowledge discovery since they are
normalized to avoid redundancies and update anomalies, which make them unsuitable for knowledge
discovery. A key issue in any discovery system is to ensure the consistency, accuracy, and completeness
of the discovered knowledge. This selection describes the aforementioned problems associated with the
quality of the discovered knowledge and provides solutions to avoid them.
Section II
Development and Design Methodologies
Chapter V
Business Data Warehouse: The Case of Wal-Mart .............................................................................. 85
Indranil Bose, The University of Hong Kong, Hong Kong
Lam Albert Kar Chun, The University of Hong Kong, Hong Kong
Leung Vivien Wai Yue, The University of Hong Kong, Hong Kong
Li Hoi Wan Ines, The University of Hong Kong, Hong Kong
Wong Oi Ling Helen, The University of Hong Kong, Hong Kong
The retailing giant Wal-Mart owes its success to the efficient use of information technology in its op-
erations. One of the noteworthy advances made by Wal-Mart is the development of a data warehouse,
which gives the company a strategic advantage over its competitors. In this chapter, the planning and
implementation of the Wal-Mart data warehouse is described and its integration with the operational
systems is discussed. The chapter also highlights some of the problems encountered in the developmental
15.
process of thedata warehouse. The implications of the recent advances in technologies such as RFID,
which is likely to play an important role in the Wal-Mart data warehouse in future, are also detailed in
this chapter.
Chapter VI
A Database Project in a Small Company (or How the Real World Doesn’t Always
Follow the Book) ................................................................................................................................. 95
Efrem Mallach, University of Massachusetts Dartmouth, USA
The selection presents a small consulting company’s experience in the design and implementation of a
database and associated information retrieval system. The company’s choices are explained within the
context of the firm’s needs and constraints. Issues associated with development methods are discussed,
along with problems that arose from not following proper development disciplines. Ultimately, the author
asserts that while the system provided real value to its users, the use of proper development disciplines
could have reduced some problems while not reducing that value.
Chapter VII
Conceptual Modeling for XML: A Myth or a Reality ........................................................................112
Sriram Mohan, Indiana University, USA
Arijit Sengupta, Wright State University, USA
Conceptual design is independent of the final platform and the medium of implementation, and is usu-
ally in a form that is understandable to managers and other personnel who may not be familiar with the
low-level implementation details, but have a major influence in the development process. Although a
strong design phase is involved in most current application development processes, conceptual design
for XML has not been explored significantly in literature or in practice. In this chapter, the reader is
introduced to existing methodologies for modeling XML.Adiscussion is then presented comparing and
contrasting their capabilities and deficiencies, and delineating the future trend in conceptual design for
XML applications.
Chapter VIII
Designing Secure Data Warehouses................................................................................................... 134
Rodolfo Villarroel, Universidad Católica del Maule, Chile
Eduardo Fernández-Medina, Universidad de Castilla-La Mancha, Spain
Juan Trujillo, Universidad de Alicante, Spain
Mario Piattini, Universidad de Castilla-La Mancha, Spain
As an organization’s reliance on information systems governed by databases and data warehouses (DWs)
increases, so does the need for quality and security within these systems. Since organizations generally
deal with sensitive information such as patient diagnoses or even personal beliefs, a final DW solution
should restrict the users that can have access to certain specific information. This chapter presents a
comparison of six design methodologies for secure systems.Also presented are a proposal for the design
of secure DWs and an explanation of how the conceptual model can be implemented with Oracle Label
Security (OLS10g).
16.
Chapter IX
Web DataWarehousing Convergence: From Schematic to Systematic............................................. 148
D. Xuan Le, La Trobe University, Australia
J. Wenny Rahayu, La Trobe University, Australia
David Taniar, Monash University, Australia
This chapter proposes a data warehouse integration technique that combines data and documents from
different underlying documents and database design approaches. Well-defined and structured data,
semi-structured data, and unstructured data are integrated into a Web data warehouse system and user
specified requirements and data sources are combined to assist with the definitions of the hierarchical
structures. A conceptual integrated data warehouse model is specified based on a combination of user
requirements and data source structure, which necessitates the creation of a logical integrated data ware-
house model. A case study is then developed into a prototype in a Web-based environment that enables
the evaluation. The evaluation of the proposed integration Web data warehouse methodology includes
the verification of correctness of the integrated data, and the overall benefits of utilizing this proposed
integration technique.
Section III
Tools and Technologies
Chapter X
Visual Query Languages, Representation Techniques, and Data Models.......................................... 174
Maria Chiara Caschera, IRPPS-CNR, Italy
Arianna D’Ulizia, IRPPS-CNR, Italy
Leonardo Tininini, IASI-CNR, Italy
An easy, efficient, and effective way to retrieve stored data is obviously one of the key issues of any
information system. In the last few years, considerable effort has been devoted to the definition of more
intuitive, visual-based querying paradigms, attempting to offer a good trade-off between expressive-
ness and intuitiveness. In this chapter, the authors analyze the main characteristics of visual languages
specifically designed for querying information systems, concentrating on conventional relational data-
bases, but also considering information systems with a less rigid structure such as Web resources storing
XMLdocuments. Two fundamental aspects of visual query languages are considered: the adopted visual
representation technique and the underlying data model, possibly specialized to specific application
contexts.
Chapter XI
Application of Decision Tree as a Data Mining Tool in a Manufacturing System............................ 190
S. A. Oke, University of Lagos, Nigeria
This selection demonstrates the application of decision tree, a data mining tool, in the manufacturing
system. Data mining has the capability for classification, prediction, estimation, and pattern recognition
by using manufacturing databases. Databases of manufacturing systems contain significant information
17.
for decision making,which could be properly revealed with the application of appropriate data mining
techniques. Decision trees are employed for identifying valuable information in manufacturing databases.
Practically, industrial managers would be able to make better use of manufacturing data at little or no
extra investment in data manipulation cost. The work shows that it is valuable for managers to mine
data for better and more effective decision making.
Chapter XII
A Scalable Middleware for Web Databases....................................................................................... 206
Athman Bouguettaya, Virginia Tech, USA
Zaki Malik, Virginia Tech, USA
Abdelmounaam Rezgui, Virginia Tech, USA
Lori Korff, Virginia Tech, USA
The emergence of Web databases has introduced new challenges related to their organization, access,
integration, and interoperability. New approaches and techniques are needed to provide across-the-board
transparency for accessing and manipulating Web databases irrespective of their data models, platforms,
locations, or systems. In meeting these needs, it is necessary to build a middleware infrastructure to sup-
port flexible tools for information space organization communication facilities, information discovery,
content description, and assembly of data from heterogeneous sources. This chapter describes a scalable
middleware for efficient data and application access built using available technologies. The resulting
system, WebFINDIT, is a scalable and uniform infrastructure for locating and accessing heterogeneous
and autonomous databases and applications.
Chapter XIII
A Formal Verification and Validation Approach for Real-Time Databases ....................................... 234
Pedro Fernandes Ribeiro Neto, Universidade do Estado–do Rio Grande do Norte, Brazil
Maria Lígia Barbosa Perkusich, Universidade Católica de Pernambuco, Brazil
Hyggo Oliveira de Almeida, Federal University of Campina Grande, Brazil
Angelo Perkusich, Federal University of Campina Grande, Brazil
Real-time database-management systems provide efficient support for applications with data and trans-
actions that have temporal constraints, such as industrial automation, aviation, and sensor networks,
among others. Many issues in real-time databases have brought interest to research in this area, such
as: concurrence control mechanisms, scheduling policy, and quality of services management. However,
considering the complexity of these applications, it is of fundamental importance to conceive formal
verification and validation techniques for real-time database systems. This chapter presents a formal
verification and validation method for real-time databases. Such a method can be applied to database
systems developed for computer integrated manufacturing, stock exchange, network-management, and
command-and-control applications and multimedia systems.
Chapter XIV
A Generalized Comparison of Open Source and Commercial Database Management Systems ...... 252
Theodoros Evdoridis, University of the Aegean, Greece
Theodoros Tzouramanis, University of the Aegean, Greece
18.
This chapter attemptsto bring to light the field of one of the less popular branches of the open source
software family, which is the open source database management systems branch. In view of the objec-
tive, the background of these systems is first briefly described followed by presentation of a fair generic
database model. Subsequently and in order to present these systems under all their possible features, the
main system representatives of both open source and commercial origins will be compared in relation
to this model, and evaluated appropriately. By adopting such an approach, the chapter’s initial concern
is to ensure that the nature of database management systems in general can be apprehended. The overall
orientation leads to an understanding that the gap between open and closed source database management
systems has been significantly narrowed, thus demystifying the respective commercial products.
Section IV
Application and Utilization
Chapter XV
An Approach to Mining Crime Patterns ............................................................................................ 268
Sikha Bagui, The University of West Florida, USA
This selection presents a knowledge discovery effort to retrieve meaningful information about crime from
a U.S. state database. The raw data were preprocessed, and data cubes were created using Structured
Query Language (SQL). The data cubes then were used in deriving quantitative generalizations and for
further analysis of the data. An entropy-based attribute relevance study was undertaken to determine
the relevant attributes. A machine learning software called WEKA was used for mining association
rules, developing a decision tree, and clustering. SOM was used to view multidimensional clusters on
a regular two-dimensional grid.
Chapter XVI
Bioinformatics Web Portals ............................................................................................................... 296
Mario Cannataro, Università “Magna Græcia” di Catanzaro, Italy
Pierangelo Veltri, Università “Magna Græcia” di Catanzaro, Italy
Bioinformatics involves the design and development of advanced algorithms and computational platforms
to solve problems in biomedicine (Jones & Pevzner, 2004). It also deals with methods for acquiring,
storing, retrieving and analysing biological data obtained by querying biological databases or provided
by experiments. Bioinformatics applications involve different datasets as well as different software
tools and algorithms. Such applications need semantic models for basic software components and need
advanced scientific portal services able to aggregate such different components and to hide their details
and complexity from the final user. For instance, proteomics applications involve datasets, either pro-
duced by experiments or available as public databases, as well as a huge number of different software
tools and algorithms. To use such applications, it is required to know both biological issues related to
data generation and results interpretation and informatics requirements related to data analysis.
Chapter XVII
An XML-Based Database for Knowledge Discovery: Definition and Implementation.................... 305
Rosa Meo, Università di Torino, Italy
Giuseppe Psaila, Università di Bergamo, Italy
19.
Inductive databases havebeen proposed as general purpose databases to support the KDD process.
Unfortunately, the heterogeneity of the discovered patterns and of the different conceptual tools used
to extract them from source data make integration in a unique framework difficult. In this chapter, us-
ing XML as the unifying framework for inductive databases is explored, and a new model, XML for
data mining (XDM), is proposed. The basic features of the model are presented, based on the concepts
of data item (source data and patterns) and statement (used to manage data and derive patterns). This
model uses XML namespaces (to allow the effective coexistence and extensibility of data mining opera-
tors) and XML schema, by means of which the schema, state and integrity constraints of an inductive
database are defined.
Chapter XVIII
Enhancing UML Models: A Domain Analysis Approach.................................................................. 330
Iris Reinhartz-Berger, University of Haifa, Israel
Arnon Sturm, Ben-Gurion University of the Negev, Israel
UML has been largely adopted as a standard modeling language. The emergence of UML from different
modeling languages has caused a wide variety of completeness and correctness problems in UML mod-
els. Several methods have been proposed for dealing with correctness issues, mainly providing internal
consistency rules, but ignoring correctness and completeness with respect to the system requirements
and the domain constraints. This chapter proposes the adoption of a domain analysis approach called
application-based domain modeling (ADOM) to address the completeness and correction problems of
UML models. Experimental results from a study which checks the quality of application models when
utilizing ADOM on UML suggest that the proposed domain helps in creating more complete models
without compromising comprehension.
Chapter XIX
Seismological Data Warehousing and Mining: A Survey.................................................................. 352
Gerasimos Marketos,University of Piraeus, Greece
Yannis Theodoridis, University of Piraeus, Greece
Ioannis S. Kalogeras, National Observatory of Athens, Greece
Earthquake data is comprised of an ever increasing collection of earth science information for post-
processing analysis. Earth scientists, as well as local and national administration officers, use these data
collections for scientific and planning purposes. In this chapter, the authors discuss the architecture of a
seismic data management and mining system (SDMMS) for quick and easy data collection, processing,
and visualization. The SDMMS architecture includes a seismological database for efficient and effective
querying and a seismological data warehouse for OLAP analysis and data mining. Template schemes are
provided for these two components and examples of how these components support decision making are
given. A comparative survey of existing operational or prototype SDMMS is also offered.
20.
Section V
Critical Issues
ChapterXX
Business Information Integration from XML and Relational Databases Sources............................. 369
Ana María Fermoso Garcia, Pontifical University of Salamanca, Spain
Roberto Berjón Gallinas, Pontifical University of Salamanca, Spain
Roberto Berjón Gallinas, Pontifical University of Salamanca, Spain
This chapter introduces different alternatives to store and manage jointly relational and eXtensible
Markup Language (XML) data sources. Nowadays, businesses are transformed into e-business and
have to manage large data volumes and from heterogeneous sources. To manage large amounts of in-
formation, Database Management Systems (DBMS) continue to be one of the most used tools, and the
most extended model is the relational one. On the other side, XML has reached the de facto standard to
present and exchange information between businesses on the Web. Therefore, it could be necessary to
use tools as mediators to integrate these two different data to a common format like XML, since it is the
main data format on the Web. First, a classification of the main tools and systems where this problem
is handled is made, with their advantages and disadvantages. The objective will be to propose a new
system to solve the integration business information problem.
Chapter XXI
Security Threats in Web-Powered Databases and Web Portals ......................................................... 395
Theodoros Evdoridis, University of the Aegean, Greece
Theodoros Tzouramanis, University of the Aegean, Greece
It is a strongly held view that the scientific branch of computer security that deals with Web-powered
databases (Rahayu & Taniar, 2002) that can be accessed through Web portals (Tatnall, 2005) is both
complex and challenging. This is mainly due to the fact that there are numerous avenues available for
a potential intruder to follow in order to break into the Web portal and compromise its assets and
functionality. This is of vital importance when the assets that might be jeopardized belong to a legally
sensitive Web database such as that of an enterprise or government portal, containing sensitive and
confidential information. It is obvious that the aim of not only protecting against, but mostly preventing
from potential malicious or accidental activity that could set a Web portal’s asset in danger, requires an
attentive examination of all possible threats that may endanger the Web-based system.
Chapter XXII
Empowering the OLAP Technology to Support Complex Dimension Hierarchies........................... 403
Svetlana Mansmann, University of Konstanz, Germany
Marc H. Scholl, University of Konstanz, Germany
Comprehensive data analysis has become indispensable in a variety of domains. OLAP (On-Line Ana-
lytical Processing) systems tend to perform poorly or even fail when applied to complex data scenarios.
The restriction of the underlying multidimensional data model to admit only homogeneous and balanced
dimension hierarchies is too rigid for many real-world applications and, therefore, has to be overcome in
order to provide adequate OLAPsupport. The authors of this chapter present a framework for classifying
21.
and modeling complexmultidimensional data, with the major effort at the conceptual level of transforming
irregular hierarchies to make them navigable in a uniform manner. The properties of various hierarchy
types are formalized and a two-phase normalization approach is proposed: heterogeneous dimensions
are reshaped into a set of well-behaved homogeneous subdimensions, followed by the enforcement of
summarizability in each dimension’s data hierarchy. The power of the current approach is exemplified
using a real-world study from the domain of academic administration.
Chapter XXIII
NetCube: Fast, Approximate Database Queries Using Bayesian Networks...................................... 424
Dimitris Margaritis, Iowa State University, USA
Christos Faloutsos, Carnegie Mellon University, USA
Sebastian Thrun, Stanford University, USA
This chapter presents a novel method for answering count queries from a large database approximately
and quickly. This method implements an approximate DataCube of the application domain, which can be
used to answer any conjunctive count query that can be formed by the user. The DataCube is a conceptual
device that in principle stores the number of matching records for all possible such queries. However,
because its size and generation time are inherently exponential, the current approach uses one or more
Bayesian networks to implement it approximately. By means of such a network, the proposed method,
called NetCube, exploits correlations and independencies among attributes to answer a count query
quickly without accessing the database. Experimental results show that NetCubes have fast generation
and use, achieve excellent compression and have low reconstruction error while also naturally allowing
for visualization and data mining.
Chapter XXIV
Node Partitioned Data Warehouses: Experimental Evidence and Improvements ............................. 450
Pedro Furtado, University of Coimbra, Portugal
Data Warehouses (DWs) with large quantities of data present major performance and scalability chal-
lenges, and parallelism can be used for major performance improvement in such context. However,
instead of costly specialized parallel hardware and interconnections, the authors of this selection focus
on low-cost standard computing nodes, possibly in a non-dedicated local network. In this environment,
special care must be taken with partitioning and processing. Experimental evidence is used to analyze
the shortcomings of a basic horizontal partitioning strategy designed for that environment, and then im-
provements to allow efficient placement for the low-cost Node Partitioned Data Warehouse are proposed
and tested.Asimple, easy-to-apply partitioning and placement decision that achieves good performance
improvement results is analyzed. This chapter’s experiments and discussion provides important insight
into partitioning and processing issues for data warehouses in shared-nothing environments.
22.
Section VI
Emerging Trends
ChapterXXV
Rule Discovery from Textual Data .................................................................................................... 471
Shigeaki Sakurai, Toshiba Corporation, Japan
This chapter introduces knowledge discovery methods based on a fuzzy decision tree from textual data.
The author argues that the methods extract features of the textual data based on a key concept dictionary,
which is a hierarchical thesaurus, and a key phrase pattern dictionary, which stores characteristic rows
of both words and parts of speech, and generate knowledge in the format of a fuzzy decision tree. The
author also discusses two application tasks. One is an analysis system for daily business reports and
the other is an e-mail analysis system. The author hopes that the methods will provide new knowledge
for researchers engaged in text mining studies, facilitating their understanding of the importance of the
fuzzy decision tree in processing textual data.
Chapter XXVI
Action Research with Internet Database Tools.................................................................................. 490
Bruce L. Mann, Memorial University, Canada
This chapter discusses and presents examples of Internet database tools, typical instructional methods
used with these tools, and implications for Internet-supported action research as a progressively deeper
examination of teaching and learning. First, the author defines and critically explains the use of arti-
facts in an educational setting and then differentiates between the different types of artifacts created by
both students and teachers. Learning objects and learning resources are also defined and, as the chapter
concludes, three different types of instructional devices – equipment, physical conditions, and social
mechanisms or arrangements – are analyzed and an exercise is offered for both differentiating between
and understanding differences in instruction and learning.
Chapter XXVII
Database High Availability: An Extended Survey............................................................................. 499
Moh’d A. Radaideh, Abu Dhab Police – Ministry of Interior, United Arab Emirates
Hayder Al-Ameed, United Arab Emirates University, United Arab Emirates
With the advancement of computer technologies and the World Wide Web, there has been an explo-
sion in the amount of available e-services, most of which represent database processing. Efficient and
effective database performance tuning and high availability techniques should be employed to ensure
that all e-services remain reliable and available all times. To avoid the impacts of database downtime,
many corporations have taken interest in database availability. The goal for some is to have continuous
availability such that a database server never fails. Other companies require their content to be highly
available. In such cases, short and planned downtimes would be allowed for maintenance purposes. This
chapter is meant to present the definition, the background, and the typical measurement factors of high
availability. It also demonstrates some approaches to minimize a database server’s shutdown time.
Index.................................................................................................................................................. 528
23.
xviii
Prologue
historical oVErViEw ofdatabasE tEchnology
This prologue provides a brief historical perspective of developments in database technology, and then
reviews and contrasts three current approaches to elevate the initial design of database systems to a
conceptual level.
Beginning in the late 1970s, the old network and hierarchic database management systems (DBMSs)
begantobereplacedbyrelationalDBMSs,andbythelate1980srelationalsystemsperformedsufficiently
well that the recognized benefits of their simple bag-oriented data structure and query language (SQL)
made relational DBMSs the obvious choice for new database applications. In particular, the simplicity of
Codd’s relational model of data where all facts are stored in relations (sets of ordered n-tupes) facilitated
data access and optimization for a wide range of application domains (Codd, 1970). Although Codd’s
data model was purely set-oriented, industrial relational DBMSs and SQL itself are bag-oriented, since
SQL allows keyless tables, and SQL queries queries may return multisets (Melton & Simon, 2002).
Unlike relational databases, network and hierarchic databases store facts in not only record types but
also navigation paths between record types. For example, in a hierarchic database the fact that employee
101 works for the Sales department would be stored as a parent-child link from a department record (an
instance of the Department record type where the deptName attribute has the value ‘Sales’) to an em-
ployee record (an instance of the Employee record type where the empNr attribute has the value 101).
Although relational systems do support foreign key “relationships” between relations, these relation-
shipsarenotnavigationpaths;insteadtheysimplyencodeconstraints(e.g.eachdeptNameinanEmployee
table must also occur in the primary key of the Department table) rather than ground facts. For example,
the ground fact that employee 101 works for the Sales department is stored by entering the values 101,
‘Sales’ in the empNr and deptName columns on the same row of the Employee table.
In1989,agroupofresearcherspublished“TheObject-OrientedDatabaseSystemManifesto”inwhich
they argued that object-oriented databases should replace relational databases (Atkinson et al. 1989).
Influenced by object-oriented programming languages, they felt that databases should support not only
core databases features such as persistence, concurrency, recovery, and an ad hoc query facility, but also
object-oriented features such as complex objects, object identity, encapsulation of behavior with data,
types or classes, inheritance (subtyping), overriding and late binding, computational completeness, and
extensibility. Databases conforming to this approach are called object-oriented databases (OODBs) or
simply object databases (ODBs).
Partly in response to the OODB manifesto, one year later a group of academic and industrial re-
searchers proposed an alternative “3rd
generation DBMS manifesto” (Stonebraker et al., 1990). They
considered network and hierarchic databases to be first generation, and relational databases to be second
generation, and argued that third generation databases should retain the capabilities of relational systems
while extending them with object-oriented features. Databases conforming to this approach are called
object-relational databases (ORDBs).
24.
xix
While other kindsof databases (e.g. deductive, temporal, and spatial) were also developed to address
specific needs, none of these has gained a wide following in industry. Deductive databases typically
provide a declarative query language such as a logic programming language (e.g. Prolog), giving them
powerful rule enforcement mechanisms with built-in backtracking and strong support for recursive rules
(e.g. computing the transitive closure of an ancestor relation).
Spatial databases provide efficient management of spatial data, such as maps (e.g. for geographi-
cal applications), 2-D visualizations (e.g. for circuit designs), and 3-D visualizations (e.g. for medical
imaging). Built-in support for spatial data types (e.g. points, lines, polygons) and spatial operators (e.g.
intersect, overlap, contains) facilitates queries of a spatial nature (e.g. how many residences lie within
3 miles of the proposed shopping center?).
Temporal databases provide built-in support for temporal data types (e.g. instant, duration, period)
and temporal operators (e.g. before, after, during, contains, overlaps, precedes, starts, minus), facilitating
queries of a temporal nature (e.g. which conferences overlap in time?).
Amore recent proposal for database technology employs XML(eXtensible Markup Language). XML
databases store data in XML (eXtensible Markup Language), with their structure conforming either to
the old DTD (Document Type Definition) or the newer XSD (XML Schema Definition) format. Like
the old hierarchic databases, XML is hierarchic in nature. However XML is presented as readable text,
using tags to provide the structure. For example, the facts that employees 101 and 102 work for the Sales
department could be stored (along with their names and birth dates) in XML as follows.
<department name = “Sales”>
<employee empNr = “101”>
<name>Fred Smith</name>
<birthdate>1946-02-15</birthdate>
</employee>
<employee empNr = “102”>
<name>Sue Jones</name>
<birthdate>1980-06-30</birthdate>
</employee>
</department>
Just as SQL is used for querying and manipulating relational data, the XQuery language is now the
standard language for querying and manipulating XML data, (Melton & Buxton, 2006).
One very recent proposal for a new kind of database technology is the so-called “ontology database”,
which is proposed to help achieve the vision of the semantic web (Berners-Lee et al., 2001). The basic
idea is that documents spread over the Internet may include tags to embed enough semantic detail to
enable understanding of their content by automated agents. Built on Unicode text, URIrefs (Uniform
ResourceIdentifiers)toidentifyresources,XMLandXSDdatatypes,factsareencodedinRDF(Resource
Description Framework) triples (subject, predicate, object) representing binary relationships from a node
(resource or literal) to another node. RDF Schema (RDFS) builds on RDF by providing inbuilt support
for classes and subclassing. The Web Ontology Language (OWL) builds on these underlying layers to
provide what is now the most popular language for developing ontologies (schemas and their database
instances) for the semantic web.
OWL includes three versions. OWL Lite provides a decidable, efficient mechanism for simple on-
tologies composed mainly of classification hierarchies and relationships with simple constraints. OWL
DL (the “DL” refers to Description Logic) is based on a stronger SHOIN(D) description logic that is
still decidable. OWL Full is more expressive but is undecidable, and even goes beyond even first order
logic.
25.
xx
All of theabove database technologies are still in use, to varying degrees. While some legacy systems
still use the old network and hierarchic DBMSs, new database applications are not built on these obso-
lete technologies. Object databases, deductive databases, and temporal databases provide advantages
for niche markets. However the industrial database world is still dominated by relational and object-
relational DBMSs. In practice, ORDBs have become the dominant DBMS, since virtually all the major
industrial relational DBMSs (e.g. Oracle, IBM DB2, and Microsoft SQL Server) extended their systems
with object-oriented features, and also expanded their support for data types including XML. The SQL
standard now includes support for collection types (e.g. arrays, row types and multisets, recursive queries
and XML). Some ORDBMSs (e.g. Oracle) include support for RDF. While SQL is still often used for
data exchange, XML is being increasingly used for exchanging data between applications.
In practice, most applications use an object model for transient (in-memory) storage, while using
an RDB or ORDB for persistent storage. This has led to extensive efforts to facilitate transformation
between these differently structured data stores (known as Object-Relational mapping). One interesting
initiative in this regard is Microsoft’s Language Integrated Query (LINQ) technology, which allows users
to interact with relational data by using an SQL-like syntax in their object-oriented program code.
Recently there has been a growing recognition that the best way to develop database systems is by
transformation from a high level, conceptual schema that specifies the structure of the data in a way
that can be easily understood and hence validated by the (often nontechnical) subject matter experts,
who are the only ones who can reliably determine whether the proposed models accurately reflect their
business domains.
While this notion of model driven development was forcefully and clearly proposed over a quarter
century ago in an ISO standard (van Griethuysen, 1982), only in the last decade has it begun to be
widely accepted by major commercial interests. Though called differently by different bodies (e.g. the
Object management Group calls it “Model Driven Architecture” and Microsoft promotes model driven
development based on Domain Specific Languages) the basic idea is to clearly specify the business
domain model at a conceptual level, and then transform it as automatically as possible to application
code, thereby minimizing the need for human programming. In the next section we review and contrast
three of the most popular approaches to specifying high level data models for subsequent transformation
into database schemas.
concEptual databasE modEling approachEs
In industry, most database designers either use a variant of Entity Relationship (ER) modeling or simply
design directly at the relational level. The basic ER approach was first proposed by Chen (1976), and
structures facts in terms of entities (e.g. Person, Car) that have attributes (e.g. gender, birthdate) and
participate in relationships (e.g. Person drives Car). The most popular industrial versions of ER are the
Barker ER notation (Barker, 1990), Information Engineering (IE) (Finkelstein, 1998), and IDEF1X
(IEEE, 1999). IDEF1X is actually a hybrid of ER and relational, explicitly using relational concepts
such as foreign keys. Barker ER is currently the best and most expressive of the industrial ER notations,
so we focus our ER discussion on it.
The Unified Modeling Language (UML) was adopted by the Object Management Group (OMG) in
1997 as a language for object-oriented (OO) analysis and design. After several minor revisions, a major
overhaul resulted in UML version 2.0 (OMG, 2003), and the language is still being refined. Although
suitable for object-oriented code design, UML is less suitable for information analysis (e.g. even UML
2 does not include a graphic way to declare that an attribute is unique), and its textual Object Constraint
26.
xxi
Language (OCL) istoo technical for most business people to understand (Warmer & Kleppe, 2003). For
such reasons, although UMLis widely used for documenting object-oriented programming applications,
it is far less popular than ER for database design.
Despite their strengths, both ER and UML are fairly weak at capturing the kinds of business rules
found in data-intensive applications, and their graphical language does not lend itself readily to verbal-
ization and multiple instantiation for validating data models with domain experts.
These problems can be remedied by using a fact-oriented approach for information analysis, where
communication takes place in simple sentences, each sentence type can easily be populated with multiple
instances, attributes are avoided in the base model, and far more business rules can be captured graphi-
cally. At design time, a fact-oriented model can be used to derive an ER model, a UML class model, or
a logical database model.
Object Role Modeling (ORM), the main exemplar of the fact-oriented approach, originated in Eu-
rope in the mid-1970s (Falkenberg, 1976), and been extensively revised and extended since, along with
commercial tool support (e.g. Halpin, Evans, Hallock & MacLean, 2003). Recently, a major upgrade to
the methodology resulted in ORM 2, a second generation ORM (Halpin 2005; Halpin & Morgan 2008).
Neumont ORM Architect (NORMA), an open source tool accessible online at www.ORMFoundation.
org, is under development to provide deep support for ORM 2 (Curland & Halpin, 2007).
ORM pictures the world simply in terms of objects (entities or values) that play roles (parts in rela-
tionships). For example, you are now playing the role of reading, and this prologue is playing the role
of being read. Wherever ER or UML uses an attribute, ORM uses a relationship. For example, the Person.
birthdate attribute is modeled in ORM as the fact type Person was born on Date, where the role played by date
in this relationship may be given the rolename “birthdate”.
ORM is less popular than either ER or UML, and its diagrams typically consume more space because
of their attribute-free nature. However, ORM arguably offers many advantages for conceptual analysis,
as illustrated by the following example, which presents the same data model using the three different
notations.
In terms of expressibility for data modeling, ORM supports relationships of any arity (unary, binary,
ternary or longer), identification schemes of arbitrary complexity, asserted, derived, and semiderived
facts and types, objectified associations, mandatory and uniqueness constraints that go well beyond ER
and UML in dealing with n-ary relationships, inclusive-or constraints, set comparison (subset, equality,
exclusion) constraints of arbitrary complexity, join path constraints, frequency constraints, object and
role cardinality constraints, value and value comparison constraints, subtyping (asserted, derived and
semiderived), ring constraints (e.g. asymmetry, acyclicity), and two rule modalities (alethic and deontic
(Halpin, 2007a)). For some comparisons between ORM 1 and ER and UML see Halpin (2002, 2004).
As well as its rich notation, ORM includes detailed procedures for constructing ORM models and
transforming them to other kinds of models (ER, UML, Relational, XSD etc.) on the way to implementa-
tion. For a general discussion of such procedures, see Halpin & Morgan (2008). For a detailed discussion
of using ORM to develop the data model example discussed below, see Halpin (2007b).
Figure 1 shows an ORM schema for a fragment of a book publisher application. Entity types appear
as named, soft rectangles, with simple identification schemes parenthesized (e.g. Books are identified by
theirISBN).Valuetypes(e.g.characterstrings)appearasnamed,dashed,softrectangles(e.g.BookTitle).
Predicates are depicted as a sequence of one or more role boxes, with at least one predicate reading. By
default, predicates are ready left-right or top-down. Arrow tips indicate other predicate reading direc-
tions. An asterisk after a predicate reading indicates the fact type is derived (e.g. best sellers are derived
using the derivation rule shown). Role names may be displayed in square brackets next to the role (e.g.
totalCopiesSold).
27.
xxii
A bar overa sequence of one or more roles depicts a uniqueness constraint (e.g. each book has at
most one booktitle, but a book may be authored by many persons and vice versa). The external unique-
ness constraint (circled bar) reflects the publisher’s policy of publishing at most one book of any given
title in any given year. A dot on a role connector indicates that role is mandatory (e.g. each book has a
booktitle).
Subtyping is depicted by an arrow from subtype to supertype. In this case, the PublishedBook subtype
is derived (indicated by an asterisk), so a derivation rule for it is supplied. Value constraints are placed
in braces (e.g. the possible codes for Gender are ‘M’ and ‘F’).
The ring constraint on the book translation fact type indicates that relationship is acyclic. The ex-
clusion constraint (circled X) ensures that no person may review a book that he or she authors. The
frequency constraint (≥ 2) ensures that any book assigned for review has at least two reviewers. The
subset constraint (circled ⊆) ensures that if a person has a title that is restricted to a specific gender (e.g.
‘Mrs’is restricted to females), then that person must be of that gender—an example of a constraint on a
conceptual join path. The textual declarations provide a subtype definition and two derivation rules, one
in attribute style (using role names) and one in relational style. ORM schemas can also be automatically
verbalized in natural languages sentences, enabling validation by domain experts without requiring them
to understand the notation (Curland & Halpin, 2007).
Figure 2 depicts the same model in Barker ER notation, supplemented by textual rules (6 numbered
constraints, plus 3 derivations) that cannot be captured in this notation.
Barker ER depicts entity types as named, soft rectangles. Mandatory attributes are preceded by an
asterisk and optional attributes by “o
”. An attribute that is part of the primary identifier is preceded by
“#”, and a role that is part of an identifier has a stroke “|” through it.
All relationships must be binary, with each half of a relationship line depicting a role. A crowsfoot
indicates a maximum cardinality of many. A line end with no crowsfoot indicates a maximum cardinal-
ity of one. A solid line end indicates the role is mandatory, and a dashed line end indicates the role is
optional. Subtyping is depicted by Euler diagrams with the subtype inside the supertype. Unlike ORM
and UML, Barker ER supports only single inheritance, and requires that the subtyping always forms a
partition.
Figure 1. Book publisher schema in ORM
Book
(ISBN)
is authored by
Person
(.nr)
is assigned for review by
“ReviewAssignment !”
PersonName
has/is of
Gender
(.code)
is of
{‘M’, ‘F’}
has
PersonTitle
is restricted to
resulted in
Grade
(.nr) {1..5}
BookTitle
has
Year
(CE)
was published in
Published
Book*
is translated from
… in … sold ...
NrCopies
sold total- * is a best seller*
Each PublishedBook is a Book that was published in some Year.
* For each PublishedBook, totalCopiesSold= sum(copiesSoldInYear).
* PublishedBook is a best seller iff PublishedBook sold total NrCopies >= 10000.
[copiesSoldInYear]
[totalCopiesSold]
≥ 2
28.
xxiii
Figure 3 showsthe same model as a class diagram in UML, supplemented by several textual rules
captured either as informal notes (e.g. acyclic) or as formal constraints in OCL (e.g. yearPublished ->
notEmpty()) or as nonstandard notations in braces (e.g., the {P} for preferred identifier and {Un} for
uniqueness are not standard UML). Derived attributes are preceded by a slash. Attribute multiplicities
are assumed to be 1 (i.e. exactly one) unless otherwise specified (e.g. restrictedGender has a multiplicity
of [0..1], i.e. at most one). A “*” for maximum multiplicity indicates “many”.
Figure 3. Book publisher schema in UML, supplemented by extra rules
Figure 2. Book publisher schema in Barker ER, supplemented by extra rules
BOOK
# * ISBN
* book title
o year published
for
the translation
source of
PUBLISHED BOOK
SALES FIGURE
# * year sold
* copies sold in year
Derivation Rules:
Published_Book.totalCopiesSold = sum(Book_Sales_Figure.copies_sold_in_year).
Published_Book.is_a_best seller = totalCopiesSold >= 10000.
Subtype Definition:
Each Published_Book is a Book where year_published is not null.
PERSON
# * person nr
* person name
* gender
an author of
authored by
REVIEW ASSIGNMENT
o grade
with
for
assigned
by
allocated
a translation of
PERSON TITLE
# * title name
o restricted gender
with
of
≥ 2
1
1 (book title, year published) is unique.
2
The translation relationship is acyclic.
3
Review Assignment is disjoint with authorship.
4 Possible values of gender are ‘M’, ‘F’.
5 Each person with a person title restricted to a gender
has that gender.
6
Possible values of grade are 1..5.
2
3
3
4
5
6
UNPUBLISHED BOOK
isbn {P}
bookTitle {U1}
yearPublished [0..1] {U1}
Book
/isaBestSeller
/totalCopiesSold
PublishedBook
yearPublished -> notEmpty().
totalCopiesSold = sum(salesFigure.copiesSoldInYear).
isaBestSeller = (totalCopiesSold >= 10000).
author
translationSource
0..1
*
acyclic
yrSold
copiesSoldInYear
SalesFigure
* 1
nr {P}
name
gender: GenderCode
Person
reviewer
bookAuthored
bookReviewed
* 1..*
* 0, 2..*
grade [0..1] { value in 1..7 }
ReviewAssignment
bookAuthored disjoint
with bookReviewed
«enumeration»
gendercode
m
f
name {P}
restrictedGender [0..1]: GenderCode
Title
*
1
translation
title.restrictedGender = self.gender
or
title.restrictedGender -> isEmpty()
Each (yrSold, publishedBook)
combination applies to at most
one SalesFigure
29.
xxiv
Part of theproblem with the UML and ER models is that in these approaches personTitle and gender
would normally be treated as attributes, but for this application we need to talk about them to capture a
relevant business rule. The ORM model arguably provides a more natural representation of the business
domain, while also formally capturing much more semantics with its built-in constructs, facilitating
transformation to executable code. This result is typical for industrial business domains.
Figure 4 shows the relational database schema obtained by mapping these data schemas via ORM’s
Rmap algorithm (Halpin & Morgan, 2008), using absorption as the default mapping for subtyping. Here
square brackets indicate optional, dotted arrows indicate subset constraints, and a circled “X” depicts
an exclusion constraint. Additional constraints are depicted as numbered textual rules in a high level
relational notation. For implementation, these rules are transformed further into SQL code (e.g. check
clauses, triggers, stored procedures, views).
conclusion
While many kinds of database technology exist, RDBs and ORDBs currently dominate the market, with
XMLbeingincreasinglyusedfordataexchange.WhileERisstillthemainconceptualmodelingapproach
for designing databases, UML is gaining a following for this task, and is already widely used for object
oriented code design. Though less popular than ER or UML, the fact-oriented approach exemplified by
ORM has many advantages for conceptual data analysis, providing richer coverage of business rules,
easier validation by business domain experts, and semantic stability (ORM models and queries are un-
impacted by changes that require one to talk about an attribute). Because ORM models may be used to
generate ER and UML models, it may also be used in conjunction with these if desired.
Figure 4. Book publisher relational schema
Book ( isbn, title, [yearPublished], [translationSource] )
SalesFigure ( isbn, yearSold, copiesSold )
Authorship ( personNr, isbn )
ReviewAssignment ( personNr, isbn, [grade] )
Person ( personNr, personName, gender, personTitle )
TitleRestriction ( personTitle, gender )
View: SoldBook (isbn, totalCopiesSold, isaBestSeller )
1
1 acyclic
2
only where yearPublished exists
3 SalesFigure.isbn
4 sum(copiesSold) from SalesFigure group by isbn
5
totalCopiesSold > 10000
6 not exists(Person join TitleRestriction on personTitle
where Person.gender <> TitleRestriction.gender).
≥ 2
{M, F}
{M, F}
{1..5}
2
3 4 5
6
6
30.
xxv
With a viewto providing better support at the conceptual level, the OMG recently adopted the Se-
mantics of Business Vocabulary and Business Rules (SBVR) specification (OMG, 2007). Like ORM, the
SBVR approach is fact oriented instead of attribute-based, and includes deontic as well as alethic rules.
Many companies are now looking to model-driven development as a way to dramatically increase the
productivity, reliability, and adaptability of software engineering approaches. It seems likely that both
object-oriented and fact-oriented approaches will be increasingly utilized in the future to increase the
proportion of application code that can be generated from higher level models.
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Stonebraker, M., Rowe, L., Lindsay, B., Gray, J., Carey, M., Brodie, M., Bernstein, P. & Beech, D. (1990).
‘Third Generation Database System Manifesto’, ACM SIGMOD Record, vol. 19, no. 3.
van Griethuysen, J. (ed.) (1982). Concepts and Terminology for the Conceptual Schema and the Infor-
mation Base, ISO TC97/SC5/WG3, Eindhoven.
Warmer, J. & Kleppe,A. (2003). The Object Constraint Language: Getting Your Models Ready for MDA,
Second Edition. Reading: Addison-Wesley.
32.
xxvii
About the Editor
TerryHalpin, BSc, DipEd, BA, MLitStud, PhD, is distinguished professor and vice president (Conceptual
Modeling) at Neumont University. His industry experience includes several years in data modeling technology
at Asymetrix Corporation, InfoModelers Inc., Visio Corporation, and Microsoft Corporation. His doctoral thesis
formalized Object-Role Modeling (ORM/NIAM), and his current research focuses on conceptual modeling and
conceptual query technology. He has authored over 150 technical publications and five books, including Informa-
tion Modeling and Relational Databases and has co-edited four books on information systems modeling research.
He is a member of IFIP WG 8.1 (Information Systems) and several academic program committees, is an editor or
reviewer for several academic journals, is a regular columnist for the Business Rules Journal, and has presented
seminars and tutorials at dozens of international conferences. Dr. Halpin is the recipient of the DAMAInternational
Achievement Award for Education (2002) and the IFIP Outstanding Service Award (2006).
Conceptual Modeling Solutionsfor the Data Warehouse
support; the workload they support has com-
pletely different characteristics, and is widely
known as OLAP (online analytical processing).
Traditionally, OLAP applications are based on
multidimensional modeling that intuitively rep-
resents data under the metaphor of a cube whose
cells correspond to events that occurred in the
business domain (Figure 1). Each event is quanti-
fied by a set of measures; each edge of the cube
corresponds to a relevant dimension for analysis,
typically associated to a hierarchy of attributes
that further describe it. The multidimensional
model has a twofold benefit. On the one hand,
it is close to the way of thinking of data analyz-
ers, who are used to the spreadsheet metaphor;
therefore it helps users understand data. On the
otherhand,itsupportsperformanceimprovement
as its simple structure allows designers to predict
the user intentions.
Multidimensional modeling and OLAP work-
loads require specialized design techniques. In
the context of design, a basic role is played by
conceptual modeling that provides a higher level
of abstraction in describing the warehousing pro-
cess and architecture in all its aspects, aimed at
achievingindependenceofimplementationissues.
Conceptual modeling is widely recognized to be
the necessary foundation for building a database
that is well-documented and fully satisfies the
userrequirements;usually,itreliesonagraphical
notation that facilitates writing, understanding,
and managing conceptual schemata by both de-
signers and users.
Unfortunately,inthefieldofdatawarehousing
there still is no consensus about a formalism for
conceptual modeling (Sen Sinha, 2005). The
entity/relationship (E/R) model is widespread
in the enterprises as a conceptual formalism to
provide standard documentation for relational
informationsystems,andagreatdealofefforthas
been made to use E/R schemata as the input for
designingnonrelationaldatabasesaswell(Fahrner
Vossen, 1995); nevertheless, as E/R is oriented
to support queries that navigate associations be-
tween data rather than synthesize them, it is not
wellsuitedfordatawarehousing(Kimball,1996).
Actually, the E/R model has enough expressivity
torepresentmostconceptsnecessaryformodeling
a DW; on the other hand, in its basic form, it is
not able to properly emphasize the key aspects of
the multidimensional model, so that its usage for
DWs is expensive from the point of view of the
Figure 1. The cube metaphor for multidimensional modeling
36.
Conceptual Modeling Solutionsfor the Data Warehouse
graphical notation and not intuitive (Golfarelli,
Maio, Rizzi, 1998).
Some designers claim to use star schemata
for conceptual modeling. A star schema is the
standardimplementationofthemultidimensional
model on relational platforms; it is just a (denor-
malized) relational schema, so it merely defines
a set of relations and integrity constraints. Using
the star schema for conceptual modeling is like
starting to build a complex software by writing
the code, without the support of and static, func-
tional, or dynamic model, which typically leads
to very poor results from the points of view of
adherence to user requirements, of maintenance,
and of reuse.
For all these reasons, in the last few years the
research literature has proposed several original
approaches for modeling a DW, some based on
extensions of E/R, some on extensions of UML.
This chapter focuses on an ad hoc conceptual
model, the dimensional fact model (DFM), that
was first proposed in Golfarelli et al. (1998) and
continuously enriched and refined during the fol-
lowing years in order to optimally suit the variety
ofmodelingsituationsthatmaybeencounteredin
realprojectsofsmalltolargecomplexity.Theaim
of the chapter is to propose a comprehensive set
ofsolutionsforconceptualmodelingaccordingto
the DFM and to give a practical guide for apply-
ing them in the context of a design methodology.
Besides the basic concepts of multidimensional
modeling, namely facts, dimensions, measures,
and hierarchies, the other issues discussed are
descriptive and cross-dimension attributes; con-
vergences; shared, incomplete, recursive, and
dynamic hierarchies; multiple and optional arcs;
and additivity.
After reviewing the related literature in the
next section, in the third and fourth sections,
we introduce the constructs of DFM for basic
and advanced modeling, respectively. Then, in
the fifth section we briefly discuss the different
methodologicalapproachestoconceptualdesign.
Finally, in the sixth section we outline the open
issues in conceptual modeling, and in the last
section we draw the conclusions.
rElatEd litEraturE
In the context of data warehousing, the literature
proposedseveralapproachestomultidimensional
modeling.Someofthemhavenographicalsupport
andareaimedatestablishingaformalfoundation
for representing cubes and hierarchies as well as
analgebraforqueryingthem(Agrawal,Gupta,
Sarawagi, 1995; Cabibbo Torlone, 1998; Datta
Thomas, 1997; Franconi Kamble, 2004a;
GyssensLakshmanan,1997;LiWang,1996;
Pedersen Jensen, 1999; Vassiliadis, 1998);
since we believe that a distinguishing feature of
conceptualmodelsisthatofprovidingagraphical
supporttobeeasilyunderstoodbybothdesigners
anduserswhendiscussingandvalidatingrequire-
ments, we will not discuss them.
Table 1. Approaches to conceptual modeling
E/R extension object-oriented ad hoc
no method
Franconi and Kamble
(2004b);
Sapia et al. (1998);
Tryfona et al. (1999)
Abelló et al. (2002);
Nguyen, Tjoa, and Wagner
(2000)
Tsois et al. (2001)
method Luján-Mora et al. (2002)
Golfarelli et al. (1998);
Hüsemann et al. (2000)
37.
Conceptual Modeling Solutionsfor the Data Warehouse
The approaches to “strict” conceptual model-
ing for DWs devised so far are summarized in
Table 1. For each model, the table shows if it is
associated to some method for conceptual design
and if it is based on E/R, is object-oriented, or is
an ad hoc model.
The discussion about whether E/R-based,
object-oriented, or ad hoc models are preferable
is controversial. Some claim that E/R extensions
shouldbeadoptedsince(1)E/Rhasbeentestedfor
years;(2)designersarefamiliarwithE/R;(3)E/R
has proven flexible and powerful enough to adapt
toavarietyofapplicationdomains;and(4)several
important research results were obtained for the
E/R (Sapia, Blaschka, Hofling, Dinter, 1998;
Tryfona, Busborg, Borch Christiansen, 1999).
On the other hand, advocates of object-oriented
modelsarguethat(1)theyaremoreexpressiveand
better represent static and dynamic properties of
information systems; (2) they provide powerful
mechanisms for expressing requirements and
constraints; (3) object-orientation is currently
the dominant trend in data modeling; and (4)
UML, in particular, is a standard and is naturally
extensible(Abelló,Samos,Saltor,2002;Luján-
Mora,Trujillo,Song,2002).Finally,webelieve
that ad hoc models compensate for the lack of
familiarity from designers with the fact that (1)
they achieve better notational economy; (2) they
give proper emphasis to the peculiarities of the
Figure 2. The SALE fact modeled through a starER (Sapia et al., 1998), a UML class diagram (Luján-
Mora et al., 2002), and a fact schema (Hüsemann, Lechtenbörger, Vossen, 2000)
38.
Conceptual Modeling Solutionsfor the Data Warehouse
multidimensional model, thus (3) they are more
intuitive and readable by nonexpert users. In par-
ticular, they can model some constraints related
to functional dependencies (e.g., convergences
and cross-dimensional attributes) in a simpler
way than UML, that requires the use of formal
expressions written, for instance, in OCL.
A comparison of the different models done
by Tsois, Karayannidis, and Sellis (2001) pointed
out that, abstracting from their graphical form,
the core expressivity is similar. In confirmation
of this, we show in Figure 2 how the same simple
fact could be modeled through an E/R based, an
object-oriented, and an ad hoc approach.
thE dimEnsional fact modEl:
basic modEling
In this chapter we focus on an ad hoc model
called the dimensional fact model. The DFM is a
graphical conceptual model, specifically devised
for multidimensional modeling, aimed at:
• Effectively supporting conceptual design
• Providing an environment on which user
queries can be intuitively expressed
• Supporting the dialogue between the
designer and the end users to refine the
specification of requirements
• Creating a stable platform to ground logical
design
• Providinganexpressiveandnon-ambiguous
design documentation
The representation of reality built using the
DFM consists of a set of fact schemata. The basic
concepts modeled are facts, measures, dimen-
sions, and hierarchies. In the following we intui-
tively define these concepts, referring the reader
to Figure 3 that depicts a simple fact schema for
modeling invoices at line granularity; a formal
definition of the same concepts can be found in
Golfarelli et al. (1998).
Definition 1: A fact is a focus of
interest for the decision-making pro-
cess; typically, it models a set of events
occurringintheenterpriseworld.Afact
isgraphicallyrepresentedbyaboxwith
two sections, one for the fact name and
one for the measures.
Figure 3. A basic fact schema for the INVOICE LINE fact
39.
Conceptual Modeling Solutionsfor the Data Warehouse
Examplesoffactsinthetradedomainaresales,
shipments, purchases, claims; in the financial
domain: stock exchange transactions, contracts
for insurance policies, granting of loans, bank
statements, credit cards purchases. It is essential
for a fact to have some dynamic aspects, that is,
to evolve somehow across time.
Guideline 1: The concepts repre-
sentedinthedatasourcebyfrequently-
updated archives are good candidates
for facts; those represented by almost-
static archives are not.
As a matter of fact, very few things are com-
pletelystatic;eventherelationshipbetweencities
and regions might change, if some border were
revised. Thus, the choice of facts should be based
either on the average periodicity of changes, or
on the specific interests of analysis. For instance,
assigning a new sales manager to a sales depart-
ment occurs less frequently than coupling a
promotion to a product; thus, while the relation-
ship between promotions and products is a good
candidate to be modeled as a fact, that between
sales managers and departments is not—except
for the personnel manager, who is interested in
analyzing the turnover!
Definition2:Ameasureisanumer-
icalpropertyofafact,anddescribesone
of its quantitative aspects of interests
for analysis. Measures are included in
the bottom section of the fact.
For instance, each invoice line is measured by
thenumberofunitssold,thepriceperunit,thenet
amount, and so forth. The reason why measures
should be numerical is that they are used for
computations. A fact may also have no measures,
if the only interesting thing to be recorded is the
occurrence of events; in this case the fact scheme
is said to be empty and is typically queried to
count the events that occurred.
Definition 3: A dimension is a
fact property with a finite domain and
describes one of its analysis coordi-
nates. The set of dimensions of a fact
determines its finest representation
granularity. Graphically, dimensions
are represented as circles attached to
the fact by straight lines.
Typical dimensions for the invoice fact are
product, customer, agent, and date.
Guideline 2: At least one of the
dimensionsofthefactshouldrepresent
time, at any granularity.
The relationship between measures and di-
mensions is expressed, at the instance level, by
the concept of event.
Definition 4: A primary event is an
occurrenceofafact,andisidentifiedby
a tuple of values, one for each dimen-
sion. Each primary event is described
by one value for each measure.
Primary events are the elemental information
which can be represented (in the cube metaphor,
they correspond to the cube cells). In the invoice
example they model the invoicing of one product
to one customer made by one agent on one day;
it is not possible to distinguish between invoices
possibly made with different types (e.g., active,
passive, returned, etc.) or in different hours of
the day.
Guideline 3: If the granularity of
primary events as determined by the
set of dimensions is coarser than the
granularityoftuplesinthedatasource,
measuresshouldbedefinedaseitherag-
gregationsofnumericalattributesinthe
data source, or as counts of tuples.
40.
Conceptual Modeling Solutionsfor the Data Warehouse
Remarkably, some multidimensional models
in the literature focus on treating dimensions
and measures symmetrically (Agrawal et al.,
1995; Gyssens Lakshmanan, 1997). This is
an important achievement from both the point
of view of the uniformity of the logical model
and that of the flexibility of OLAP operators.
Nevertheless we claim that, at a conceptual level,
distinguishingbetweenmeasuresanddimensions
is important since it allows logical design to be
morespecificallyaimedattheefficiencyrequired
by data warehousing applications.
Aggregation is the basic OLAP operation,
since it allows significant information useful for
decision support to be summarized from large
amounts of data. From a conceptual point of
view,aggregationiscarriedoutonprimaryevents
thanks to the definition of dimension attributes
and hierarchies.
Definition5:Adimensionattribute
is a property, with a finite domain, of
a dimension. Like dimensions, it is
represented by a circle.
Forinstance,aproductisdescribedbyitstype,
category, and brand; a customer, by its city and
its nation. The relationships between dimension
attributes are expressed by hierarchies.
Definition 6: A hierarchy is a
directed tree, rooted in a dimension,
whose nodes are all the dimension at-
tributes that describe that dimension,
and whose arcs model many-to-one
associations between pairs of dimen-
sion attributes. Arcs are graphically
represented by straight lines.
Guideline 4: Hierarchies should
reproduce the pattern of interattribute
functional dependencies expressed by
the data source.
Hierarchies determine how primary events
can be aggregated into secondary events and
selected significantly for the decision-making
process. The dimension in which a hierarchy is
rooted defines its finest aggregation granular-
ity, while the other dimension attributes define
progressivelycoarsergranularities.Forinstance,
thankstotheexistenceofamany-to-oneassocia-
tion between products and their categories, the
invoicing events may be grouped according to
the category of the products.
Definition 7: Given a set of di-
mension attributes, each tuple of their
values identifies a secondary event
that aggregates all the corresponding
primary events. Each secondary event
isdescribedbyavalueforeachmeasure
that summarizes the values taken by
thesamemeasureinthecorresponding
primary events.
We close this section by surveying some
alternative terminology used either in the lit-
erature or in the commercial tools. There is
substantial agreement on using the term dimen-
sions to designate the “entry points” to classify
and identify events; while we refer in particular
to the attribute determining the minimum fact
granularity, sometimes the whole hierarchies
are named as dimensions (for instance, the term
“time dimension” often refers to the whole hi-
erarchy built on dimension date). Measures are
sometimescalledvariablesormetrics.Finally,in
somedatawarehousingtools,thetermhierarchy
denotes each single branch of the tree rooted in
a dimension.
thE dimEnsional fact modEl:
adVancEd modEling
The constructs we introduce in this section,
with the support of Figure 4, are descriptive and
41.
Conceptual Modeling Solutionsfor the Data Warehouse
cross-dimensionattributes;convergences;shared,
incomplete, recursive, and dynamic hierarchies;
multipleandoptionalarcs;andadditivity.Though
someofthemarenotnecessaryinthesimplestand
mostcommonmodelingsituations,theyarequite
useful in order to better express the multitude of
conceptual shades that characterize real-world
scenarios. In particular we will see how, follow-
ing the introduction of some of this constructs,
hierarchies will no longer be defined as trees to
become, in the general case, directed graphs.
descriptive attributes
In severalcases itis usefulto representadditional
information about a dimension attribute, though
it is not interesting to use such information for
aggregation. For instance, the user may ask for
knowing the address of each store, but the user
will hardly be interested in aggregating sales
according to the address of the store.
Definition 8: A descriptive attri-
butespecifiesapropertyofadimension
attribute,towhichisrelatedbyan x-to-
one association. Descriptive attributes
are not used for aggregation; they are
alwaysleavesoftheirhierarchyandare
graphically represented by horizontal
lines.
There are two main reasons why a descriptive
attribute should not be used for aggregation:
Guideline 5: A descriptive attri-
bute either has a continuously-valued
domain (for instance, the weight of a
product),orisrelatedtoadimensionat-
tribute by a one-to-one association (for
instance, the address of a customer).
cross-dimension attributes
Definition 9: A cross-dimension attribute is a
(either dimension or descriptive) attribute whose
value is determined by the combination of two or
more dimension attributes, possibly belonging to
different hierarchies. It is denoted by connecting
through a curve line the arcs that determine it.
For instance, if the VAT on a product depends
on both the product category and the state where
theproductissold,itcanberepresentedbyacross-
dimension attribute as shown in Figure 4.
Figure 4. The complete fact schema for the INVOICE LINE fact
42.
Conceptual Modeling Solutionsfor the Data Warehouse
convergence
Consider the geographic hierarchy on dimension
customer(Figure4):customersliveincities,which
are grouped into states belonging to nations.
Suppose that customers are grouped into sales
districtsaswell,andthatnoinclusionrelationships
exist between districts and cities/states; on the
other hand, sales districts never cross the nation
boundaries. In this case, each customer belongs
to exactly one nation whichever of the two paths
is followed (customer → city → state → nation or
customer → sales district → nation).
Definition10:Aconvergencetakes
place when two dimension attributes
within a hierarchy are connected by
two or more alternative paths of many-
to-one associations. Convergences are
represented by letting two or more
arcs converge on the same dimension
attribute.
The existence of apparently equal attributes
does not always determine a convergence. If in
the invoice fact we had a brand city attribute on
the product hierarchy, representing the city where
a brand is manufactured, there would be no con-
vergence with attribute (customer) city, since a
product manufactured in a city can obviously be
sold to customers of other cities as well.
optional arcs
Definition 11: An optional arc models the fact
that an association represented within the fact
scheme is undefined for a subset of the events.
An optional arc is graphically denoted by mark-
ing it with a dash.
For instance, attribute diet takes a value only
for food products; for the other products, it is
undefined.
In the presence of a set of optional arcs exiting
fromthesamedimensionattribute,theircoverage
can be denoted in order to pose a constraint on
the optionalities involved. Like for IS-A hierar-
chies in the E/R model, the coverage of a set of
optionalarcsischaracterizedbytwoindependent
coordinates. Let a be a dimension attribute, and
b1
,..., bm
be its children attributes connected by
optional arcs:
• Thecoverageistotalifeachvalueofaalways
corresponds to a value for at least one of its
children;conversely,ifsomevaluesofaexist
for which all of its children are undefined,
the coverage is said to be partial.
• The coverage is disjoint if each value of a
corresponds to a value for, at most, one of
its children; conversely, if some values of
a exist that correspond to values for two or
more children, the coverage is said to be
overlapped.
Thus, overall, there are four possible cover-
ages, denoted by T-D, T-O, P-D, and P-O. Figure
4 shows an example of optionality annotated
with its coverage. We assume that products can
have three types: food, clothing, and household,
since expiration date and size are defined only
for, respectively, food and clothing, the coverage
is partial and disjoint.
multiple arcs
Inmostcases,asalreadysaid,hierarchiesinclude
attributesrelatedbymany-to-oneassociations.On
theotherhand,insomesituationsitisnecessaryto
includealsoattributesthat,forasinglevaluetaken
by their father attribute, take several values.
Definition 12: A multiple arc is
an arc, within a hierarchy, modeling a
many-to-many association between the
two dimension attributes it connects.
43.
0
Conceptual Modeling Solutionsfor the Data Warehouse
Graphically, it is denoted by doubling
the line that represents the arc.
Consider the fact schema modeling the sales
of books in a library, represented in Figure 5,
whose dimensions are date and book. Users will
probably be interested in analyzing sales for
each book author; on the other hand, since some
books have two or more authors, the relationship
between book and author must be modeled as a
multiple arc.
Guideline 6: In presence of many-
to-manyassociations,summarizability
isnolongerguaranteed,unlessthemul-
tiple arc is properly weighted. Multiple
arcs should be used sparingly since, in
ROLAP logical design, they require
complex solutions.
Summarizability is the property of correcting
summarizingmeasuresalonghierarchies(Lenz
Shoshani,1997).Weightsrestoresummarizability,
but their introduction is artificial in several cases;
for instance, in the book sales fact, each author
of a multiauthored book should be assigned a
normalized weight expressing her “contribution”
to the book.
shared hierarchies
Sometimes, large portions of hierarchies are
replicated twice or more in the same fact schema.
A typical example is the temporal hierarchy: a
fact frequently has more than one dimension of
type date, with different semantics, and it may
be useful to define on each of them a temporal
hierarchy month-week-year. Another example
are geographic hierarchies, that may be defined
starting from any location attribute in the fact
schema. To avoid redundancy, the DFM provides
a graphical shorthand for denoting hierarchy
sharing. Figure 4 shows two examples of shared
hierarchies. Fact INVOICE LINE has two date di-
mensions, with semantics invoice date and order
date,respectively.Thisisdenotedbydoublingthe
circlethatrepresentsattributedateandspecifying
two roles invoice and order on the entering arcs.
The second shared hierarchy is the one on agent,
that may have two roles: the ordering agent, that
is a dimension, and the agent who is responsible
for a customer (optional).
Guideline8:Explicitlyrepresenting
sharedhierarchiesonthefactschemais
important since, during ROLAP logi-
cal design, it enables ad hoc solutions
aimed at avoiding replication of data
in dimension tables.
ragged hierarchies
Let a1
,..., an
be a sequence of dimension attributes
that define a path within a hierarchy (such as
city, state, nation). Up to now we assumed that,
for each value of a1
, exactly one value for every
Figure 5. The fact schema for the SALES fact
44.
Conceptual Modeling Solutionsfor the Data Warehouse
other attribute on the path exists. In the previ-
ous case, this is actually true for each city in the
U.S., while it is false for most European countries
where no decomposition in states is defined (see
Figure 6).
Definition 13: A ragged (or incom-
plete) hierarchy is a hierarchy where,
for some instances, the values of one
or more attributes are missing (since
undefinedorunknown).Araggedhier-
archyisgraphicallydenotedbymarking
with a dash the attributes whose values
may be missing.
As stated by Niemi (2001), within a ragged
hierarchy each aggregation level has precise and
consistent semantics, but the different hierarchy
instances may have different length since one or
more levels are missing, making the interlevel
relationships not uniform (the father of “San
Francisco” belongs to level state, the father of
“Rome” to level nation).
There is a noticeable difference between a
ragged hierarchy and an optional arc. In the first
case we model the fact that, for some hierarchy
instances, there is no value for one or more attri-
butesinanypositionofthehierarchy.Conversely,
through an optional arc we model the fact that
there is no value for an attribute and for all of
its descendents.
Guideline 9: Ragged hierarchies
mayleadtosummarizabilityproblems.
Awayforavoidingthemistofragment
a fact into two or more facts, each
including a subset of the hierarchies
characterized by uniform interlevel
relationships.
Thus, in the invoice example, fragmenting
INVOICE LINE into U.S. INVOICE LINE and E.U.
INVOICE LINE (thefirstwiththestate attribute,the
second without state) restores the completeness
of the geographic hierarchy.
unbalanced hierarchies
Definition14:Anunbalanced(orrecursive)hier-
archy is a hierarchy where, though interattribute
relationships are consistent, the instances may
havedifferentlength.Graphically,itisrepresented
by introducing a cycle within the hierarchy.
A typical example of unbalanced hierarchy is
the one that models the dependence interrelation-
shipsbetweenworkingpersons.Figure4includes
an unbalanced hierarchy on sale agents: there are
no fixed roles for the different agents, and the
different “leaf” agents have a variable number
of supervisor agents above them.
Guideline 10: Recursive hierar-
chies lead to complex solutions during
ROLAP logical design and to poor
Figure 6. Ragged geographic hierarchies
45.
Conceptual Modeling Solutionsfor the Data Warehouse
querying performance. A way for
avoiding them is to “unroll” them for
a given number of times.
For instance, in the agent example, if the
user states that two is the maximum number of
interestinglevelsforthedependencerelationship,
the customer hierarchy could be transformed as
in Figure 7.
dynamic hierarchies
Time is a key factor in data warehousing sys-
tems, since the decision process is often based
on the evaluation of historical series and on the
comparison between snapshots of the enterprise
takenatdifferentmoments.Themultidimensional
models implicitly assume that the only dynamic
components described in a cube are the events
that instantiate it; hierarchies are traditionally
considered to be static. Of course this is not cor-
rect: sales manager alternate, though slowly, on
different departments; new products are added
every week to those already being sold; the prod-
uct categories change, and their relationship with
products change; sales districts can be modified,
and a customer may be moved from one district
to another.1
The conceptual representation of hierarchy
dynamicity is strictly related to its impact on user
queries.Infact,inpresenceofadynamichierarchy
wemaypicturethreedifferenttemporalscenarios
for analyzing events (SAP, 1998):
• Todayforyesterday:Alleventsarereferred
to the current configuration of hierarchies.
Thus, assuming on January 1, 2005 the
responsible agent for customer Smith has
changed from Mr. Black to Mr. White,
and that a new customer O’Hara has been
acquired and assigned to Mr. Black, when
computing the agent commissions all in-
voicesforSmithareattributedtoMr.White,
whileonlyinvoicesforO’Haraareattributed
to Mr. Black.
• Yesterdayfortoday:Alleventsarereferred
tosomepastconfigurationofhierarchies.In
the previous example, all invoices for Smith
are attributed to Mr. Black, while invoices
for O’Hara are not considered.
• Today or yesterday (or historical truth):
Each event is referred to the configuration
hierarchies had at the time the event oc-
curred. Thus, the invoices for Smith up to
2004 and those for O’Hara are attributed to
Mr. Black, while invoices for Smith from
2005 are attributed to Mr. White.
While in the agent example, dynamicity con-
cerns an arc of a hierarchy, the one expressing
the many-to-one association between customer
and agent, in some cases it may as well concern
a dimension attribute: for instance, the name of a
product category may change. Even in this case,
the different scenarios are defined in much the
same way as before.
Ontheconceptualschema,itisusefultodenote
which scenarios the user is interested for each arc
and attribute, since this heavily impacts on the
specific solutions to be adopted during logical
design. By default, we will assume that the only
interesting scenario is today for yesterday—it
Figure 7. Unrolling the agent hierarchy
46.
Conceptual Modeling Solutionsfor the Data Warehouse
is the most common one, and the one whose
implementation on the star schema is simplest. If
someattributesorarcsrequiredifferentscenarios,
the designer should specify them on a table like
Table 2.
additivity
Aggregation requires defining a proper operator
to compose the measure values characterizing
primaryeventsintomeasurevaluescharacterizing
eachsecondaryevent.Fromthispointofview,we
may distinguish three types of measures (Lenz
Shoshani, 1997):
• Flowmeasures:Theyrefertoatimeperiod,
and are cumulatively evaluated at the end
of that period. Examples are the number of
products sold in a day, the monthly revenue,
the number of those born in a year.
• Stock measures: They are evaluated at
particular moments in time. Examples are
the number of products in a warehouse, the
numberofinhabitantsofacity,thetempera-
ture measured by a gauge.
• Unit measures: They are evaluated at
particular moments in time, but they are
expressed in relative terms. Examples are
the unit price of a product, the discount per-
centage, the exchange rate of a currency.
The aggregation operators that can be used
on the three types of measures are summarized
in Table 3.
Definition 15: A measure is said
to be additive along a dimension if
its values can be aggregated along
the corresponding hierarchy by the
sum operator, otherwise it is called
nonadditive. A nonadditive measure is
nonaggregable if no other aggregation
operator can be used on it.
Table 3 shows that, in general, flow measures
areadditivealongalldimensions,stockmeasures
are nonadditive along temporal hierarchies, and
unit measures are nonadditive along all dimen-
sions.
On the invoice scheme, most measures are
additive. For instance, quantity has flow type:
Table 2. Temporal scenarios for the INVOICE fact
arc/attribute today for yesterday yesterday for today today or yesterday
customer-resp. agent YES YES YES
customer-city YES YES
sale district YES
Table 3. Valid aggregation operators for the three types of measures (Lenz, 1997)
temporal hierarchies nontemporal hierarchies
flow measures SUM, AVG, MIN, MAX SUM, AVG, MIN, MAX
stock measures AVG, MIN, MAX SUM, AVG, MIN, MAX
unit measures AVG, MIN, MAX AVG, MIN, MAX
47.
Conceptual Modeling Solutionsfor the Data Warehouse
the total quantity invoiced in a month is the sum
of the quantities invoiced in the single days of
that month. Measure unit price has unit type and
is nonadditive along all dimensions. Though it
cannot be summed up, it can still be aggregated
by using operators such as average, maximum,
and minimum.
Since additivity is the most frequent case,
in order to simplify the graphic notation in the
DFM, only the exceptions are represented ex-
plicitly. In particular, a measure is connected to
the dimensions along which it is nonadditive by
a dashed line labeled with the other aggregation
operators (if any) which can be used instead. If a
measure is aggregated through the same operator
along all dimensions, that operator can be simply
reported on its side (see for instance unit price in
Figure 4).
approachEs to concEptual
dEsign
In this section we discuss how conceptual de-
sign can be framed within a methodology for
DW design. The approaches to DW design are
usually classified in two categories (Winter
Strauch, 2003):
• Data-driven (or supply-driven) approaches
that design the DW starting from a detailed
analysis of the data sources; user require-
ments impact on design by allowing the
designer to select which chunks of data
are relevant for decision making and by
determining their structure according to
the multidimensional model (Golfarelli et
al., 1998; Hüsemann et al., 2000).
• Requirement-driven (or demand-driven)
approachesstartfromdeterminingtheinfor-
mation requirements of end users, and how
tomaptheserequirementsontotheavailable
datasourcesisinvestigatedonlyaposteriori
(Prakash Gosain, 2003; Schiefer, List
Bruckner, 2002).
While data-driven approaches somehow sim-
plifythedesignofETL(extraction,transformation,
and loading), since each data in the DW is rooted
in one or more attributes of the sources, they give
userrequirementsasecondaryroleindetermining
the information contents for analysis, and give
the designer little support in identifying facts,
dimensions, and measures. Conversely, require-
ment-driven approaches bring user requirements
to the foreground, but require a larger effort when
designing ETL.
data-driven approaches
Data-driven approaches are feasible when all of
the following are true: (1) detailed knowledge
of data sources is available a priori or easily
achievable; (2) the source schemata exhibit a
good degree of normalization; (3) the complex-
ity of source schemata is not high. In practice,
when the chosen architecture for the DW relies
on a reconciled level (or operational data store)
these requirements are largely satisfied: in fact,
normalization and detailed knowledge are guar-
anteed by the source integration process. The
sameholds,thankstoacarefulsourcerecognition
activity, in the frequent case when the source is
a single relational database, well-designed and
not very large.
Inadata-drivenapproach,requirementanaly-
sis is typically carried out informally, based on
simple requirement glossaries (Lechtenbörger,
2001)ratherthanonformaldiagrams.Conceptual
design is then heavily rooted on source schemata
and can be largely automated. In particular, the
designer is actively supported in identifying di-
mensions and measures, in building hierarchies,
indetectingconvergencesandsharedhierarchies.
Forinstance,theapproachproposedbyGolfarelli
et al. (1998) consists of five steps that, starting
48.
Conceptual Modeling Solutionsfor the Data Warehouse
from the source schema expressed either by an
E/R schema or a relational schema, create the
conceptual schema for the DW:
1. Choose facts of interest on the source
schema
2. For each fact, build an attribute tree that
captures the functional dependencies ex-
pressed by the source schema
3. Edit the attribute trees by adding/deleting at-
tributes and functional dependencies
4. Choose dimensions and measures
5. Create the fact schemata
While step 2 is completely automated, some
advanced constructs of the DFM are manually
applied by the designer during step 5.
On-the-field experience shows that, when ap-
plicable, the data-driven approach is preferable
since it reduces the overall time necessary for
design. In fact, not only conceptual design can
be partially automated, but even ETL design is
made easier since the mapping between the data
sources and the DW is derived at no additional
cost during conceptual design.
requirement-driven approaches
Conversely, within a requirement-driven frame-
work, in the absence of knowledge of the source
schema, the building of hierarchies cannot be
automated; the main assurance of a satisfactory
result is the skill and experience of the designer,
and the designer’s ability to interact with the do-
mainexperts.Inthiscaseitmaybeworthadopting
formaltechniquesforspecifyingrequirementsin
ordertomoreaccuratelycaptureusers’needs;for
instance,thegoal-orientedapproachproposedby
Giorgini, Rizzi, and Garzetti (2005) is based on
anextensionoftheTroposformalismandincludes
the following steps:
1. Create, in the Tropos formalism, an organi-
zationalmodelthatrepresentsthestakehold-
ers,theirrelationships,theirgoalsaswellas
the relevant facts for the organization and
the attributes that describe them.
2. Create,intheTroposformalism,adecisional
model that expresses the analysis goals
of decision makers and their information
needs.
3. Create preliminary fact schemata from the
decisional model.
4. Edit the fact schemata, for instance, by
detecting functional dependencies between
dimensions, recognizing optional dimen-
sions,andunifyingmeasuresthatonlydiffer
for the aggregation operator.
This approach is, in our view, more difficult
to pursue than the previous one. Nevertheless, it
is the only alternative when a detailed analysis of
data sources cannot be made (for instance, when
the DW is fed from an ERP system), or when the
sourcescomefromlegacysystemswhosecomplex-
ity discourages recognition and normalization.
mixed approaches
Finally, also a few mixed approaches to design
have been devised, aimed at joining the facilities
of data-driven approaches with the guarantees
of requirement-driven ones (Bonifati, Cattaneo,
Ceri, Fuggetta, Paraboschi, 2001; Giorgini et
al.,2005).Heretheuserrequirements,capturedby
means of a goal-oriented formalism, are matched
with the schema of the source database to drive
the algorithm that generates the conceptual
schema for the DW. For instance, the approach
proposed by Giorgini et al. (2005) encompasses
three phases:
1. Create, in the Tropos formalism, an organi-
zationalmodelthatrepresentsthestakehold-
ers, their relationships, their goals, as well
astherelevantfactsfortheorganizationand
the attributes that describe them.
49.
Conceptual Modeling Solutionsfor the Data Warehouse
2. Create,intheTroposformalism,adecisional
model that expresses the analysis goals
of decision makers and their information
needs.
3. Mapfacts,dimensions,andmeasuresidenti-
fiedduringrequirementanalysisontoentities
in the source schema.
4. Generate a preliminary conceptual schema
by navigating the functional dependencies
expressed by the source schema.
5. Edit the fact schemata to fully meet the user
expectations.
Note that, though step 4 may be based on the
same algorithm employed in step 2 of the data-
drivenapproach,herenavigationisnot“blind”but
ratheritisactivelybiasedbytheuserrequirements.
Thus, the preliminary fact schemata generated
here may be considerably simpler and smaller
than those obtained in the data-driven approach.
Besides,whileinthatapproachtheanalystisasked
for identifying facts, dimensions, and measures
directlyonthesourceschema,heresuchidentifica-
tion is driven by the diagrams developed during
requirement analysis.
Overall,themixedframeworkisrecommend-
able when source schemata are well-known but
their size and complexity are substantial. In fact,
the cost for a more careful and formal analysis
of requirement is balanced by the quickening of
conceptual design.
opEn issuEs
A lot of work has been done in the field of concep-
tual modeling for DWs; nevertheless some very
importantissuesstillremainopen.Wereportsome
of them in this section, as they emerged during
joint discussion at the Perspective Seminar on
“Data Warehousing at the Crossroads” that took
place at Dagstuhl, Germany on August 2004.
• Lack of a standard: Though several con-
ceptual models have been proposed, none
of them has been accepted as a standard
so far, and all vendors propose their own
proprietary design methods. We see two
mainreasonsforthis:(1)thoughtheconcep-
tual models devised are semantically rich,
some of the modeled properties cannot be
expressed in the target logical models, so
the translation from conceptual to logical
is incomplete; and (2) commercial CASE
tools currently enable designers to directly
draw logical schemata, thus no industrial
push is given to any of the models. On the
other hand, a unified conceptual model for
DWs, implemented by sophisticated CASE
tools, would be a valuable support for both
the research and industrial communities.
• Design patterns: In software engineering,
designpatternsareaprecioussupportforde-
signerssincetheyproposestandardsolutions
to address common modeling problems.
Recently, some preliminary attempts have
been made to identify relevant patterns for
multidimensionaldesign,aimedatassisting
DW designers during their modeling tasks
by providing an approach for recognizing
dimensions in a systematic and usable way
(Jones Song, 2005). Though we agree
that DW design would undoubtedly benefit
fromadoptingapattern-basedapproach,and
we also recognize the utility of patterns in
increasingtheeffectivenessofteachinghow
to design, we believe that further research
is necessary in order to achieve a more
comprehensive characterization of multi-
dimensional patterns for both conceptual
and logical design.
• Modelingsecurity:Informationsecurityis
aseriousrequirementthatmustbecarefully
considered in software engineering, not
in isolation but as an issue underlying all
stages of the development life cycle, from
50.
Conceptual Modeling Solutionsfor the Data Warehouse
requirement analysis to implementation
and maintenance. The problem of infor-
mation security is even bigger in DWs, as
these systems are used to discover crucial
business information in strategic decision
making. Some approaches to security in
DWs,focused,forinstance,onaccesscontrol
and multilevel security, can be found in the
literature(see,forinstance,PriebePernul,
2000), but neither of them treats security as
comprisingallstagesoftheDWdevelopment
cycle. Besides, the classical security model
usedintransactionaldatabases,centeredon
tables,rows,andattributes,isunsuitablefor
DW and should be replaced by an ad hoc
model centered on the main concepts of
multidimensionalmodeling—suchasfacts,
dimensions, and measures.
• ModelingETL:ETLisacornerstoneofthe
data warehousing process, and its design
and implementation may easily take 50%
of the total time for setting up a DW. In the
literaturesomeapproachesweredevisedfor
conceptual modeling of the ETL process
from either the functional (Vassiliadis,
Simitsis, Skiadopoulos, 2002), the dy-
namic (Bouzeghoub, Fabret, Matulovic,
1999),orthestatic(Calvanese,DeGiacomo,
Lenzerini, Nardi, Rosati, 1998) points of
view. Recently, also some interesting work
on translating conceptual into logical ETL
schemata has been done (Simitsis, 2005).
Nevertheless, issues such as the optimiza-
tion of ETL logical schemata are not very
well understood. Besides, there is a need
for techniques that automatically propagate
changes occurred in the source schemas to
the ETL process.
conclusion
Inthischapterwehaveproposedasetofsolutions
for conceptual modeling of a DW according to
theDFM.Since1998,theDFMhasbeensuccess-
fully adopted, in real DW projects mainly in the
fields of retail, large distribution, telecommuni-
cations, health, justice, and instruction, where it
has proved expressive enough to capture a wide
variety of modeling situations. Remarkably, in
most projects the DFM was also used to directly
support dialogue with end users aimed at validat-
ing requirements, and to express the expected
workload for the DW to be used for logical and
physical design. This was made possible by the
adoption of a CASE tool named WAND (ware-
Figure 8. Editing a fact schema in WAND
51.
Conceptual Modeling Solutionsfor the Data Warehouse
house integrated designer), entirely developed
at the University of Bologna, that assists the
designer in structuring a DW. WAND carries out
data-drivenconceptualdesigninasemiautomatic
fashion starting from the logical scheme of the
source database (see Figure 8), allows for a core
workloadtobedefinedontheconceptualscheme,
and carries out workload-based logical design to
produce an optimized relational scheme for the
DW (Golfarelli Rizzi, 2001).
Overall,ouron-the-fieldexperienceconfirmed
that adopting conceptual modeling within a DW
project brings great advantages since:
• Conceptual schemata are the best support
for discussing, verifying, and refining user
specificationssincetheyachievetheoptimal
trade-off between expressivity and clarity.
Star schemata could hardly be used to this
purpose.
• For the same reason, conceptual schemata
areanirreplaceablecomponentofthedocu-
mentation for the DW project.
• They provide a solid and platform-inde-
pendent foundation for logical and physical
design.
• They are an effective support for maintain-
ing and extending the DW.
• They make turn-over of designers and ad-
ministrators on a DW project quicker and
simpler.
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EndnotE
1
In this chapter we will only consider dy-
namicity at the instance level. Dynamicity
at the schema level is related to the problem
of evolution of DWs and is outside the scope
of this chapter.
This work was previously published in Data Warehousing and Mining: Concepts, Methodologies, Tools, and Applications,
edited by J. Wang, copyright 2008 by Information Science Reference, formerly known as Idea Group Reference (an imprint
of IGI Global).
F
[Footnote 79.4] thedocument cannot be five years
earlier
printed as shown: missing “over”, “more than” or
similar?
1001
PROCLAMATION AGAINST HENRY TUDOR81.1
R. R.
Ricardus, etc. salutem. Precipimus tibi, etc.
1485
JUNE 23
ORASMOCHE as the Kyng our sovereign Lord hath certeyn
knowlege that Piers, Bisshop of Exeter, 81.2 Jasper
Tydder, 81.3 son of Owen Tydder, callyng hymself Erle of
Pembroke, John, late Erle of Oxon, 81.4 and Sir Edward
Wodevyle, 81.5 with other dyvers his rebelles and traytours,
disabled and atteynted by the auctorite of the High Court of
Parlement, of whom many be knowen for open murdrers,
advoutrers [adulterers], and extorcioners, contrary to the
pleasure of God, and a yenst all trouth, honour, and nature,
have forsakyn there naturall contrey, takyng them first to be
under th’obeisaunce of the Duke of Bretayn, 81.6 and to hym
promysed certeyn thyngs whiche by him and his counsell were
thought thynggs to gretly unnaturall and abominable for them to
graunt, observe, kepe, and perfourme, and therfore the same
utterly refused.
The seid traytours, 82.1 seyng 82.2 the seid Duke and his counsell
wolde not aide nor socour theym ner folowe there wayes, privily
57.
departed oute ofhis contrey in to Fraunce, and 82.3 there takyng
theym to be under the obeisaunce of the Kynggs auncient
enemy, Charlys, 82.4 callyng hymself Kyng of Fraunce, and to
abuse and blynde the comons of this seid Realme, the seid
rebelles and traitours have chosyn to be there capteyn one
Henry Tydder, 82.5 son of Edmond Tydder, son of Owen Tydder, 82.6
whiche of his ambicioness and insociable 82.7 covetise 82.8
encrocheth 82.9 and usurpid 82.10 upon hym the name and title of
royall astate of this Realme of Englond, where unto he hath no
maner interest, right, title, or colour, as every man wele
knowyth; 82.11 for he is discended of bastard blood bothe of
ffather side and of mother side, for the seid Owen the
graunfader was bastard borne, and his moder was doughter
unto John, Duke of Somerset, son unto John, Erle of Somerset,
sone unto Dame Kateryne Swynford, and of ther 82.12
indouble 82.13 avoutry [adultery] gotyn, wherby it evidently
apperith that no title can nor may [be] 82.14 in hym, which fully
entendeth to entre this Reame, purposyng a conquest. And if he
shulde atcheve his fals entent and purpose, every man is lif,
livelod, and goddes shulde be in his hands, liberte, and
disposicion, wherby sholde ensue the disheretyng and
distruccion of all the noble and worshipfull blode of this Reame
for ever, and to the resistence and withstondyng wherof every
true and naturall Englishman born must ley to his hands for his
owen suerte and wele.
And to th’entent that the seid Henry Tydder myght the rather
atcheve his fals intent and purpose by the aide, supporte, and
assistence of the Kynggs seid auncient enemy of Fraunce, 83.1
hath covenaunted and bargayned with hym and all the counsell
of Fraunce to geve up and relese inperpetuite all the right, title,
and cleyme that the Kyng[es] of Englond have, had, and ought
to have, to the Crowne and Reame of Fraunce, to gether with
the Duchies of Normandy, Anjoy, and Maygne, Gascoyn and
Guyne, castell[es] and townys of Caleys, Guysnes, Hammes,
with the marches apperteynyng to the same, 83.2 and discevir
58.
and exclude thearmes of Fraunce oute of the armes of Englond
for ever.
And in more prove and shewing of his seid purpose of conquest,
the seid Henry Tidder hath goven as well to dyvers of the seid
Kynggs enemys as to his seid rebelles and traitours,
archebisshoprikes, bisshoprikes, and other dignitees spirituels,
and also the ducheez, erledomez, baronyes, and other
possessions and inheritaunces of knyghts, squyres, gentilmen,
and other the Kynggs true subjetts withynne the Reame, and
entendith also to chaunge and subverte the lawes of the same,
and to enduce and establisse newe lawes and ordenaunces
amongez the Kynggs seid subjetts. 83.2 And over this, and beside
the alienacions of all the premyssez into the possession of the
Kynggs seid auncient enemys to the grettest anyntisshment, 83.3
shame, and rebuke that ever myght falle to this seid land, the
seid Henry Tydder and others, the Kynggs rebelles and traitours
aforeseid, have extended [intended] at there comyng, if they
may be of power, 84.1 to do the most cruell murdrers,
slaughterys, and roberys, and disherisons that ever were seen in
eny Cristen reame.
For the wich, and other inestymable daungers to be escheuved,
and to th’entent that the Kynggs seid rebelles, traitours, and
enemys 84.2 may be utterly put from there seid malicious and fals
purpose 84.3 and sone discomforted, 84.4 if they enforce to land, 84.5
the Kyng our soveraign Lord 84.6 willith, chargeth, and
comaundith all and everyche of the naturall and true subgetts of
this his Reame to call the premyssez to there mynds, and like
gode and true Englishmen to endover themselfs with all there
powers for the defence of them, there wifs, chylderyn, and
godes, and heriditaments ayenst the seid malicious purposes
and conspiracions which the seid auncient enemes 84.7 have
made with the Kynggs seid rebelles and traitours 84.8 for the
fynall distruccion of this lande as is aforesaid. And our said
soveraign Lord, as a wele willed, diligent, and coragious Prynce,
wel put his moost roiall persone to all labour and payne
59.
necessary in thisbehalve for the resistence and subduyng of his
seid enemys, rebells, and traitours 84.9 to the moost comforte,
wele, and suerte of all 84.10 his true and feithfull liege men and
subgetts.
And over this, our seid soveraign Lord willith and comaundith all
his seid subgetts to be redy in there most defensible arraye to
do his Highnes servyce of werre, when thy be opyn
proclamacion, or otherwise shall be comaunded so to do, for the
resistence of the Kynggs seid rebelles, traitours, and enemyes.
Et hoc sub periculo, c.—T. me ipso apud Westmonasterium,
xxiij. die Junij, Anno regni nostri secundo.
81.1 [From Fenn, ii. 318.] The MS., as Fenn tells us, was endorsed in
an ancient hand, ‘Kent Cherfys [Sheriffs].—Copia literæ Regis R. III.
persuadentis subditos suos ad resistendum Henr’ Tydder, postea
Regem Angliæ ac declarantis a quo idem Henricus descendebat.’
Another but imperfect copy of this proclamation will be found in the
Harleian MS., No. 433, f. 220 b. A similar proclamation had been
issued on the 7th December 1484, of which a copy will also be
found in the same Harleian volume at folio 273 b. Sir Henry Ellis has
also printed in his Original Letters (2 Ser. i. 162) a copy of this
proclamation as set forth in the original warrant for issuing it, which
the King addressed to the Bishop of Lincoln as Chancellor. The MS.
followed by Ellis was a transcript from one of the records formerly in
the Tower. I have compared these different texts throughout with
that printed by Fenn, and noted all variations that are of any
consequence. The two Harleian texts I have called A. and B., the
former being that of the proclamation issued on the 7th December
preceding. The text printed by Ellis I have called E.
81.2 Peter Courtney, Bishop of Exeter, after the miscarriage of the
Duke of Buckingham’s conspiracy, fled into Bretagne to the Earl of
Richmond, who, after he became Henry VII., promoted this Prelate
to the See of Winchester in 1486, in which he died in 1492.—F.
81.3 Jasper Tudor of Hatfield, half-brother to Henry VI. He was
created Duke of Bedford in 1485.
81.4 John de Vere, Earl of Oxford, who had escaped from the Castle
of Hammes.—F.
81.5 Sir Edward Wodevile, brother to the Queen of Edward IV.—F. The
names given in text A. are ‘Piers, Bisshop of Excestre, Thomas Grey,
60.
late Marques Dorset,Jasper, late Erle of Pembroche, John, late Erle
of Oxenford, and Sir Edward Widevile.’
81.6 Francis II., the last Duke of Bretagne, was overthrown by
Charles VIII., King of France, and died in 1488.—F.
82.1 ‘The said traytours.’ They. A.
82.2 that. A. B. E.
82.3 ‘and’ omitted in A. B. and E.
82.4 Charles VIII. ascended the throne in 1483, and died in 1498.—F.
82.5 Henry Tudor, Earl of Richmond, who in 1483 became King of
England, by the title of Henry VII.—F.
82.6 ‘one Herry . . . . Owen Tydder’ oon Herry late calling
himself Erle of Richemond. A.
82.7 ‘ambicious and insaciable.’ A. B. E.
82.8 ‘stirred and excited by the confederacie of the Kinges said
rebelles and traytours,’ added in A.
82.9 Here text B. comes to an end.
82.10 ‘usurpeth.’ E.
82.11 From here to the end of the paragraph is omitted in A.
82.12 ‘ther’ her. A.
82.13 This either means double adultery, that is adultery on both
sides; or indubitable, undoubted adultery.—F. I suspect the true
reading to be ‘and of her in double avowtry gotyn.’ It is a great
question whether John, Earl of Somerset, John of Gaunt’s eldest son
by Catherine Swynford, was not born during the life of her lawful
husband as well as during that of John of Gaunt’s lawful wife.—See
Excerpta Historica, 155-6.
82.14 Supplied from E.
83.1 The beginning of this sentence in A. is as follows:—‘And to
th’entent to accheve the same by th’aide, support, and assistence of
the Kinges seid auncyent ennemyes and of this his royaume.’
83.2 From the words ‘and discevir’ to the sentence beginning ‘And
over this,’ all is omitted in A.
83.3 Aneantisement—anientised is used by Chaucer in his Tale of
Melibeus, for reducing to nothing.—F.
84.1 ‘if they may be of power,’ omitted in A.
84.2 rebelles and traytours. A.
84.3 malicious purposes. A.
84.4 discomfited. A. E.
61.
84.5 Or rather,made good their landing by force.—F.
84.6 desireth. A. E.
84.7 the auncyentes ennemyes of this lande. A.
84.8 ‘and traitours,’ omitted in A.
84.9 rebelles, traitours, and enemyes. A. In which text the
proclamation ends with these words, and is followed by the usual
words addressed to the Chancellor as his authority for making out
the proclamation: ‘And thise oure lettres shall be your sufficient
warrant in that behalve.’ This warrant to the Chancellor is dated ‘at
oure Castell of Notyngham, the xxj. day of Juyn, the secund yere of
our reigne,’ two days before the proclamation was issued.
84.10 and singlier. A.
the Kyng our soveraign Lord84.6
willith
misplaced footnote tag? note 84.6 refers to verb
Footnote 82.6: ‘one Herry . . . . Owen
Tydder’
body text has “Henry”: confusion with following
MS. citation?
[Footnotes 82.11, 82.12]
[Footnotes 84.9, 84.10]
each pair of footnotes printed as shown
1002
THE DUKE OF NORFOLK TO JOHN PASTON85.1
To my welbelovyd frend, John Paston, be thys byll
delyveryd in hast.
1485
AUG.
62.
W
Yower lover,
J. Norffolk.
ELBELOVYDfrend, I cummaunde me to yow, letyng yow
to undyrstond that the Kyngs enmysse be a land, and
that the Kyng wold hafe set forthe as uppon Monday
but only for Howre Lady Day; 85.2 but for serten he gothe
forward as uppon Tewsday, for a servant of myne browt to me
the sertente.
Wherfor, I pray yow that ye met with me at Bery, 85.3 for, be the
grace of God, I purposse to lye at Bery as uppon Tewsday
nyght, and that ye brynge with yow seche company of tall men
as ye may goodly make at my cost and charge, be seyd that ye
have promysyd the Kyng; and I pray yow ordeyne them jakets
of my levery, and I shall contente yow at your metyng with me.
85.1 [From Fenn, ii. 334.] This letter must have been written in
August 1485, some days after the landing of the Earl of Richmond,
afterwards Henry VII., at Milford Haven.
85.2 The Assumption of Our Lady, 15th of August.
85.3 Bury St. Edmund’s in Suffolk.
64.
R
THE PASTON LETTERS
HenryVII.
1003
DAME ELIZABETH BROWNE TO JOHN PASTON86.1
To my ryght worchepfull and hertly beloved nevew,
John Paston, Sqwyer.
1485
SEPT. 23
IGHT worchepfull, and my ryght hertly beloved nevew,
I recomand me to yow. And wher as ye desier me to
send yow woord whether my brodyr John Paston, your
fadyr, was with my fadyr and hys, whom God assoyle, duryng
hys last syknesse and at the tyme of hys dissease at Seynt
Brydis, or nowght.
Nevew, I assarteyn yow upon my feythe and poore honore that
I was xiiij., xv. yer or xvj. yer old, and 86.2 at Seynt Brydis with
my fadyr and my modyr when my fadyrs last syknesse took
hym, and tyll he was disseassid; and I dare depose befor ony
65.
Your loveing awnte,
El[iza]bethBrowne.
persone honorable that when my fadyrs last siknesse tooke
hym, my brodyr your fadyr was in Norffolk, and he came not to
London tyll aftyr that my fadyr was disseassid, and that can Sir
William Cootyng 86.3 and Jamys Gressham record, for they bothe
were my fadyrs clerkys at that tyme. And I remembre and wot
well that Jamys Gressham was with my fadyr at Seynt Brydys
duryng all hys siknesse and at hys disseasse, and thys wyll I
wyttnesse whyle I leve for a trowthe, as knowith God, Whom I
beseche to preserve you and yours.
And, nevew, I prey yow recomand to my neese your wyff, whom
I wold be glad to se onys a yen in London, wher thys bylle was
wretyn, signed with myn hand, and sealed with my seale [the
Thursday next befor Whyghtsonday, the second yer of Kyng
Richard the Thred], 87.1 the xxiij. daye of September the first yer
of the reyngne of Kyng Herry the vijth
.
86.1 [From Paston MSS., B.M.] The MS. from which this letter is printed
is not in the handwriting of Dame Eliz. Browne. It is a corrected
draft in the handwriting of John Paston, with the address at the
head.
86.2 The words ‘xiiij. —— old, and’ are an interlineation, J. P.
apparently did not know his sister’s exact age at the time and
wished her to supply it.
86.3 Rector of Swainsthorpe from 1444 to 1450, and of Titchwell
from 1450 to 1457. He was presented to the former living by Judge
Paston and John Dam.
87.1 This date is scratched through with the pen.
Footnote 86.2: apparently did not know his sister’s
exact age at the time
text unchanged: error for “aunt’s”?
66.
M
1004
ELIZABETH, COUNTESS OFSURREY, TO JOHN
PASTON87.2
To myn ryght worshepfull cosyn, John Paston, Esquyer.
1485
OCT. 3
YN ryght worshipfull cosyn, I recomawnde me hertly to
you, thankyng you of your greet kyndnes and lovyng
disposicion towardys myn lord and me at all tymes,
which I pray God I may leve to see the acquytell ther of to your
plesure, prayeng you of your good continuans.
Cosyn, I shewyd you myn mynde that I wolde have myn
shildern to Thorpe, 87.3 wher in, God yelde you, it pleasyd you to
sey that I shulde have hors of you to help to conveye them
thyder; but now I undirstonde myn Lord Fitz Walter 87.4 hath
dischargyd myn lordys servauntes thens, affermyng up on them
that they shulde have had unfittyng langage of the Kynges
Grace. Cosyn, I trust that ye and all the jentilmen of the shire,
which have had knowleche of myn lordes servauntes, kan sey
that her to for they have not ben of that disposicion to be lavas
of theyr tungys, whan they had moore cause of booldnes than
they have nowe. I wolde not have thowght myn Lord Fitzwalter
wolde have takyn so ferforth displeasure for the keepyng of x.
or xij. men at Thorpe; I woot weell ther exceded not iij. mees 88.1
meet, good and bad. I truste, all thow I weer a soel woman, to
mayntene so many at the leeste, what so evyr I dyde moore.
I trustyd to have fowndyn myn Lord Fitzwalter better lord to me,
seyng whan I was wyth myn Lord of Oxenforth, up on myn
desyre and request at that tyme made un to hym, he promysed
67.
88.3Your faythefoull cosyene,
E.Surrey.
me to be good lord to myn lord and me, wher of I praye you to
put hym in remembrauns, trustyng yit be the meene of you to
fynde hym better lord to me her aftyr.
I have fownde myn Lord of Oxenforth singuler very good and
kynde lord to myn lord and me, and stedefaste in hys promys,
wher by he hath wonne myn lordys service as longe as he
leevyth, and me to be hys trewe beedwoman terme of myn
lyve; for hym I drede mooste, and yit as hyther to I fynde hym
beste. I pray you good cosyn, the rather by your meane, that I
may have the continuauns of hys good lordship, and to myn
poore power I truste to deserve it. I pray you, cosyn, that thys
byll may recomawnde [me] 88.2 to myn Lady Brews and to myn
cosyn, your wyf.
From Mynster, in the Yle of Shepey, the iijde
day of Octobre.
I pray you yeve credens to the berer of thys, and to Thomas
Jenney, whan he comyth to you.
87.2 [From Paston MSS., B.M.] This letter must have been written
either in 1485 or in 1486. Thomas Howard, Earl of Surrey, was taken
prisoner at the battle of Bosworth on the 22nd August 1485, and
was not released from confinement till 1487, in which latter year
also John Paston, to whom this letter is addressed, was knighted at
the battle of Stoke on the 16th June. Most likely the letter is of the
year 1485, at the beginning of the Earl’s imprisonment, and when
Henry VII. had been just six weeks upon the throne.
87.3 In Norfolk.—F.
87.4 John Ratcliff, Lord Fitzwalter, who was summoned to Parliament
in September 1485.
88.1 A mess was a party of four at dinner.
88.2 Omitted in MS.
88.3 These last words were written by the Countess, the letter by her
secretary.—F.
68.
W
E. Surrey.
R
1005
ELIZABETH, COUNTESSOF SURREY, TO WILLIAM
HARWARD89.1
1485, or later
YLLIAM HARWARD, I woll that ze delyver to Robert
Thorppe of Norwych v. marc off the next money that
ze gadyr; for he hath lent it me, and I have sygned
hym to be payed of yow as sone he comyth hom.
89.1 [Add. MS. 34,889, f. 228.] This brief note, like No. 1004, was
probably written during the imprisonment of the writer’s husband.
The text is entirely crossed through, doubtless to show that the
transaction was closed.
1006
THE DUKE OF SUFFOLK TO JOHN PASTON89.2
To our trusty and welbeloved John Paston, Sheriff of
Suffolk and Norfolk.
The Duc of Suffolk.
1485
OCT. 20
IGHT welbeloved, we grete you well. And for asmuche as
the King our sovereigne Lord hath late addressed his
letters of comission undre his seale unto us, reciting by
the same that his highnesse undrestondith certayn his rebells
69.
Suffolk, yor frende.
associateto his old enmys of Scotlond, entending not only to
trowble his peax, the nobles and subjects of this Realme to
destroy, their goods and possessions to spoill, and reward at
thair liberties, but also the lawes of this lond and holy Chirche to
subvert.
Our said moost drad soverayn Lord, as a Cristen Prince, . . .
. . . . . his said enmys and rebels to resist, hath assigned
and comaunded us to do all maner . . . . and others
defensible able to labour, as well archers as hobbyllers, 90.1 to
come before us and charge them . . . . . armed and
arayed, every man aftre his degre and power, to attend uppon
his person, and uppon us, to do him service in defence as well
of the Chirche as of the said nobles and subjects of this Realm,
against his said enmys and rebels.
We therfore wull, and in our said sovereigne Lords name straitly
charge and comaunde you, that in all possible hast ye do this to
be proclamed:—And that all maner men able to do the King
service, as well knights, esquiers, and gentlemen, as townships
and hundreds, as well within franchesse and libertes as without,
within the counties of Suffolk and Norffolk, and that they be
charged to be redy at all tymes uppon an howre warnyng, and
ordered according to the last comission afore this, to attend
uppon his Grace and uppon us to do him service, whatsoever
they shalbe comaunded, not failing herof, as ye wull answer at
your perile. Goven at Long Stratton, the xx. day of October.
And forthermore, that ye yeve credence unto our servaunt this
bringer, as this same day we receyved the Kings commission at
iiij. aftre none.
89.2 [From Fenn, ii. 326.] John Paston was Sheriff of Norfolk in the
first year of Henry VII., and entered on his duties at Michaelmas
1485. This letter therefore is of that year.
90.1 Light horsemen.
70.
R
Be your servaunt,
MargeryPaston.
1007
MARGERY PASTON TO JOHN PASTON90.2
To my mastyr, John Paston, be this delyvird.
1486
JAN. 21
YGHT reverent and wortshepfull syre, in my most umbill
weysse I recomaunde me to you, desyryng to here of
your welfare, the wytche I beseche God to preserve to
His plesur and so your hartes desyir. Syr, I thank you for the
venyson that ye sent me; and youre schepe is seylyd owt of the
havene as this daye.
Syr, I send you be my brodyr Wyllem your stomachere of
damaske. As for youre teppet of velvet, it is not here; An seythe
that ye put yt in your casket at London.
Syr, your chyldryn be in goode helle, bellsside be God.
Syr, I prey you sende me the gowild, that I spak to you of be
the nexst man that comythe to Norwytche.
Syr, your mast that laye at Yermowyth is letyn to a scheppe of
Hull for xiijs. iiijd., and if there fawyll ony hurt ther to, ye schall
have a newe mast ther for.
No mor to you at this time, but Almyty God have you in His
kepyng. Wretyn at Castyr Hawill, the xxj. daye of Janever, in the
furst yere of Kyng Harry the vijth
.
I prey God no ladyis no more ovyr com
you, that ye geve no lenggar respyt in your materys.
90.2 [From Paston MSS., B.M.]
71.
J
Your loving moder,
Alise,Lady Fitzhugh.
1008
ALICE, LADY FITZHUGH, TO JOHN PASTON91.1
To my right trusty and welbeloved son, 91.2 Sir John
Paston, be this delyvered.
FEB. 24
ON PASTON, I recommaunde me to you in my moste hertely
maner. And wher I understande be my doghter Lovell, ye
desyre to know whedir I woll have the bargane ye made
for me in Norwich or nay, and if I wol, I moste content therfor
now in mercs; Son, in good faith it is so, I shal receyve no mony
of the revenowse of my lyvelod afore Mydsommer; and also I
have payd accordyng to my promise to Sir William Cabell a great
payment, the which ye knowe wel was due to be payde, so that
I can not be of power to content therfore, for the which I am
right sory, for I know well I shall never have such a bargane.
Also my doghtyr Lovell 92.1 makith great sute and labour for my
sone hir husbande. Sir Edwarde Franke hath bene in the North
to inquire for hym; he is comyn agayne, and cane nogth
understonde wher he is. Wherfore her benevolers willith hir to
continue hir sute and labour; and so I can not departe nor leve
hir as ye know well; and if I might be there, I wold be full glad,
as knowith our Lorde God, Whoo have you in His blissid
kepynge.
From London, the xxiiijth
day of February.
91.1 [From Fenn, ii. 336.] There is a difficulty in dating this letter only
from the address being to Sir John Paston. It has every appearance
of having been written in the year 1486, when Francis, Viscount
Lovel, lay concealed shortly before his outbreak with Humphrey and
Thomas Stafford. But in that case the prefix ‘Sir’ before John
72.
R
Paston’s name mustnot be taken as indicating that he was then a
knight; for he was not knighted till the battle of Stoke in June 1487.
The writer of this letter was the widow of Henry, Lord Fitzhugh, who
died on the 12th June 1472. She was the daughter of Richard Nevill,
Earl of Salisbury, and sister of Warwick the Kingmaker.
91.2 I find no evidence of any real relationship between Paston and
Lady Fitzhugh.
92.1 Francis, Viscount Lovel, married Anne, daughter of Alice, Lady
Fitzhugh.
1009
MARGARET, COUNTESS OF OXFORD, TO JOHN
PASTON92.2
To my right trusti and welbiloved John Paston, Shrieve
of Norffolk and Suffolk.
1486
MAY 19
IGHT trusti and welbiloved, I recomaund me unto you. And
for as moche as I am credebly enfourmed that Fraunceis,
late Lorde Lovell, is now of late resorted into the Yle of
Ely, to the entente by alle lykelyhod, to finde the waies and
meanes to gete him shipping and passage in your costes, or ellis
to resorte ageyn to seintuary, if he can or maie;
I therfor hertily desire praie you, and neverthelesse, in the
Kinges name, streitly chargie you that ye in all goodly haste
endevore your self that suche wetche or other meanes be used
and hadde in the poorts, and creks, and othre places wher ye
thinke necessary by your discrecion, to the letting of his seid
purpose; and that ye also use all the waies ye can or maie by
73.
Margaret Oxynford. 93.1
T
yourwisdom, to the taking of the same late Lorde Lovell. And
what pleasur ye maie do to the Kings Grace in this matier, I am
sure, is not to you unknowen. And God kepe you.
Wretyn at Lavenham, the xix. day of May.
92.2 [From Fenn, ii. 338.] The date of this is quite certain from the
subject to which it refers, as well as from the fact of John Paston
being at the time Sheriff of Norfolk and Suffolk. Francis, Viscount
Lovel, was one of the principal adherents of Richard III., and was
attainted after the accession of Henry VII. in 1485. For some time he
lay concealed, but in the spring of 1486 he attempted to raise an
insurrection along with Humphrey and Thomas Stafford, who had
broken out of their sanctuary at Colchester. He is said to have been
drowned in the Trent in 1487, in endeavouring to escape after the
battle of Stoke. But according to another story he lived in
concealment for some time after.
93.1 Margaret, daughter of Richard Neville, Earl of Salisbury, and
sister of Richard, the great Earl of Warwick, was the first wife of
John de Vere, Earl of Oxford.—F.
1010
HENRY VII. TO JOHN PASTON93.2
To our trusty and welbeloved John Paston, one of our
Esquiers for our Body, Shreife of our countys of
Norffolk and Suffolk.
By the King.
1486
AUG. 12
RUSTY and welbeloved, we greet you well. And whereas we
send at this time our trusty and welbeloved clerke and
counseilor, Mr. Edmunde Chaderton, to do and execute
74.
R
certein things byour commandement in those parties, like as he
can shew to you more at large; We desire and pray you that ye
not only yeve unto him therein credence, but also, for the
effectuall and speedy performance of the same, ye will be unto
him from time to time in everythinge, as the case shall require,
adviseinge, aidinge, and assistinge, as we singularly trust you,
and as ye desire to do us pleasure.
Yeven under our Signet at our manner of Shene, the xijth
day of
August.
93.2 [From Sandford’s Genealogy of the Paston Family.] This letter is
derived from Mr. Worship’s article in the Norfolk Archæology on a MS.
Genealogy of the Paston family. The date must be 1486, during John
Paston’s shrievalty. The transcript is of the seventeenth century.
1011
JOHN, LORD FITZWALTER, TO JOHN PASTON94.1
To my right wurshipfull cosyn, John Paston, esquyer.
1486
SEPT. 19
IGHT wurshipfull cosyn, I recomaunde me to you,
certifyeng you that, where as I understond ye have
distreyned Richard Caus of Byngham 94.2 for issuez ronne
uppon hym in th’escheker to the summe of iiijli. and odde sylver,
I pray you that ye wull, the rather for my sake, showe hym the
favour that ye may doo, savyng youre sylfe, and that ye wulle
not be harde uppon hym; but if ye kan by th’advys of councell
this next terme fynde the meanes for youre discharge uppon
youre acompte in th’escheker, that than ye wull lete hym be so
in reste and peas withoute more paymentz for that cause; the
75.
Zowr Cosyn andfrend,
J. Sieur Fytzwauter.
J
which I prey you to tendre the rather because I fynde the seid
Richard Caus at all tymez my trewe servaunt, and I shall be as
redy to the acomplyshment of all youre resonable desirez with
Goddis grace, Who kepe you. At Attelburgh, this Tuesday next
before Seint Mathuz Day.
94.1 [Add. MS. 34,889, f. 176.] This letter is probably of the year
1486, when John Paston was sheriff. Its contents, as will be seen,
are somewhat similar in character to those of No. 1024, written a
year or two later, after John Paston had been knighted.
94.2 Binham in Norfolk.
I fynde the seid Richard Caus
text reads “Cans”
1012
THE EARL OF OXFORD TO JOHN PASTON95.1
To my right trusty and right welbelovyd Councellor,
John Paston, Esquier.
1487
JAN. 24
OHN PASTON, I comaund me to you. And as for such
tithynge as ye have sent hider, the Kyng had knowlech
therof more than a sevyn-nyght passed. And as for such
names as ye have sent, supposyng theym to be gone with the
Lord Lovell, they be yitt in England, for he is departyng with xiiij.
personys and no moe. At the Kynges comyng to London I wold
advise you to see his Highnes. And Almyghty God kepe you.
76.
Oxynford.
R
Writen at Wyndesore,the xxiiijth
day of January.
Endorsed: The Countis of Oxfordes lettre.
95.1 [From Douce MS. 393, f. 78.] Francis, Viscount Lovel, after trying
to raise a rebellion in England in 1486, escaped abroad to Flanders,
and joined the Earl of Lincoln in the following spring in an invasion
of England in behalf of Lambert Simnel. This letter appears
therefore to have been written in the beginning of the year 1487.
1013
JOHN, PRIOR OF NORWICH, TO ——95.2
1487
IGHT worchupfull serys, we recomaunde us all unto you in
oure most herty wyse. And it is so that longe and many
yerys ther hath ben hangyng a grete variaunce and a
growge bitwix Annes Paston deceassed, late the wyff of William
Paston, Justice, and William Paston now lyvyng, and Clement
Paston deceassid, ther sones, one the oone parte, and John
Paston, the sone of the seide William Paston, Justice, and of the
seide Annes his wiff, also deceassid, and Ser John Paston,
Knyght, deceassed, and John Paston yet lyvyng, sones to the
seide John deceassid, on the othir parte. And now the seide
variaunce contynueth betwixe the seide William and John that
now is lyvyng of and upon the right, title, and possessioun of
the maners of Sporle, Woodhall, Pagrave, Cressyngham,
Swaynesthorpe, and Est Bekham, all [in] this cuntre of Norffolk.
Likith it you to wete that the seide William Paston, Justice, in his
lyve was a speciall lover and frende to our monastery, and for
synguler love and trust that he hadde to be remembred amonge
us after hys deceasse, not with stondyng h[e de]yed at London,
77.
yet he bequesthis body to be beryed, and is beryed in the
chapell of Our Lady with inne oure monastery. [And] the seide
William Paston, Justice, oftyn and many tymes in his pleyn lyfe,
the seide Annes beyng present, he shewed unto the Priour of
our monastery that was than, called Dawn John Heverlonde, 96.1
and to Dawn John Molett, 96.2 that was Priour after, to Dawn
John Fornsett, Doctour of Devynyte, Dawn Richerd Walsham,
our sexten, and to Dawn John Wechyngham, and to many
dyverse other that were of his acqueyntaunce, and that he had
trust unto to breke his mynde for the wele of his soule, that
were thanne olde fadirs of our monastery, and arn now
decessed, that it was his verry last will that ought of the seide
maners schuld be perpetually immortaysed a serteyn londe, or
annuyte of suche valewe, that every suche monke that syngith
the last messe in the seide chapell, wher the body of the seide
William Paston light beryed, schuld have that day that he songe
messe ther iiijd. to pray for the soules of the seide William, and
of Annes his wif, and for ther auncetrys, kynred, consanguynyte,
affynyte, and frendes, and for all Cristen soules; and over that, a
serteyn summe of money yerly to be payed to have the obytt of
the seide William and Annes zerly kept with dirige and masse in
the seide chapell.
And it is so that many yeres aftir the decesse of the seide
William, Justice, ther were many men lyvyng bothe of olde
brethern of oures afore rehersyd, and of other that cowde
aborne witnesse in this mater, and that knewe the mynde of the
seide William Paston, Justice, that it was his last will, of whiche
men many now be deceassed; and no merveill, for it is upon a
xliij. yere past sithen the seide William, Justice, deyed. And also
the seide Annes that was hys wif lyved more thanne xxx. wynter
aftir hir husbonde, and was in singuler trust with her husbonde,
and one of his executours, and wele knowen in this cuntre, a
woman of vertuos lyvyng and disposicion, and of goode
discrecioun and conscience, and knewe hir husbondes mynde
and last will as wele as ony lyvyng creature; she witnessed
78.
alway that itwas hire husbondes last will to have this perpetuall
messe, and called on it all the dayes of hir lyfe, and also atte
her decesse; and sche seide that [it] was the will of her
husbonde that the annuyte schulde go oute of the seide maner
of Swaynesthorpe. The seide John Paston decessed wolde have
hadde it graunted owte of the seide maner of Cressyngham; and
summe of the executours wolde have hadde the seide messe to
a contynued but for the terme of iiijxx.
yere, and wolde have
made writyng accordyng; but the seide Annes wolde not ther of,
but seide alway that it was the last will of hir husbonde to have
the messe made perpetuall, and the executours schewid to us
that they wolde se the wyll perfourmed; and ther upon the
executours, be ther comon assent, lefte a cofre with a grete
substaunce of money of the goodes of the seide William,
Justice, to be kepte with inne our monastery, and tolde and
schewed to us that the seide gode schuld never be departid nor
hadde oute of our place till we wer made sure of the seide
annuyte. And duryng all that season that the seide cofer with
the goodes was with ynne our monastery, it was alway schewid
to us that the seide annuyte schulde be mortaysed in
perpetuyte, and duryng all that season that the seid cofer was in
our place, we hadde money yerly yoven us to pray for his soule
to kepe [his obytt] 97.1; and be menys devysed with oute the
knowleche of the seide Annes, or of ony of our brethern, all the
goode that was in the seide cofre was conveyed oute of our
monastery, and after that dede done, ther was no more money
yoven us, nowther to kepe the seide obit, ner to pray for the
soull of the seide William, as be the seide executours, savyng
that the seide Annes, duryng her lyve, yaff us of hir owne cost
yerly to remembre the soule, and that that hath be done sythen,
hath be don of our owne devocion, and this many zerys ther
hath no thing be yoven us, notwithstondyng of our own
devocion we have rehersid his name in oure bede rolle every
Sonday.
79.
By John, Prioroff Northwich
and the Covent.
And now it is informed us that as wele the seide William as the
seide John hath putt all ther title and interest, as wele in and of
all the seide maners, londes, and tenementys as of the seide
goodes in the awarde and jugement of the Right Reverend
Fader in God, my Lord of Ely, 98.1 Chaunceler of Inglond, Ser
Reynold Bray, Knyght, and in you tweyne. And in asmoche as ze
be of our cuntre and speciall frendes to our monastery, and
longest acqueyntyd with you, that makith me and all my
brethren the more bolde to schewe this our mater and interest
unto you, beseching yow bothe to tendre the mater, and to
schewe it bothe to my Lorde of Ely and to Ser Reynolde Bray,
that atte suche tyme as ze have the examynacion of the title of
theise seide maners, that ze will vouche saff of your charite to
schewe this mater and our interest in this behalf, and of the
seide annuyte, and how that we aught of right to have a graunt
of it oute of the seide maners.
And in this mater we hertily pray yow to take remembraunce
and speciall labour, so that we may trust that it schall not
askape your handes, nowe that the mater is putte in yowe; and
all our monastery schall pray for you, and also rewarde you to
your plesur, and over that, ze schall do her in suche a goode
dede that God schall rewarde you.
Wretyn in our monastery, the —— 98.2 day of ——, 98.2 the
secunde yer of the regne of Kyng Herry the vijth.
95.2 [From Paston MSS., B.M.] The writer of this letter was John
Bonwell, who was made Prior of Norwich in 1480, and died in 1488.
As it is actually dated in the second year of Henry VII., it must have
been written either after the 22nd August in 1486 or before that
date in 1487. Most probably it is of the latter year. It is endorsed in
a contemporaneous hand—‘Billa Prioris Norwic’ pro missa perpetue
fundanda.’ One or two words are now lost by the decay of the paper,
which seem to have been visible in the text when Fenn copied the
MS. for his fifth volume.
96.1 John Haverland was Prior of Norwich from 1436 to 1453.
80.
R
96.2 Prior from1453 to 1471.
97.1 The writing is here blurred and indistinct, being written on an
erasure.
98.1 John Alcock.
98.2 Blanks in MS.
1014
SIR EDMUND BEDINGFIELD TO JOHN PASTON99.1
Un to my ryght wurshypfull cosyn, John Paston,
Esquyer, for the Body.
1487
MAY 16
YGHT wurshypfull cosyn, I recomawnd me un to you as
hertly as I can, letyng you wytte I was with my Lorde
Stuarde 99.2 as on Munday laste paste, by the desyir of
them that I myght not sey ney to. I herde all that was seyd
there, but they gaate non avawntage, wurde, nor promyse off
me; but they thought in asmoche as they ware the beste in the
shere, that every man owghte to wayte and go with them.
Wherto yt was answerd that oure master, 99.3 nexte the Kynge,
havynge hys commysshon, muste nedys have the jentylmen and
the contre to a wayte up on hym by the vertu of the same; but
yt was thought I owght not to obeye no copy of the
commisshon, withoute I had the same under wexe, where in
hathe ben gret argument, whyche I understoode by reporte a
fortnyte paste, and that causyd me to sende unto my lorde to
have the very commysshon, whyche he sente me, and a letter,
where off I sende you the copy here in closyd.
81.
Your cosyn,
E. Bedyngfeld.100.1
As for you, ye be sore takyn in sum place, seying that ye
intende swyche thynges as ys lyke to folow gret myscheffe.
I seyd I undyrstood non swyche, nor thynges lyke it; and yt ys
thoughte ye intende nat to go forthe thys jorneye, nor no
jentylman in that quarter but Robert Brandon that hath
promysyd to go with them, as they seye.
I understonde Sir Wylliam Bolen 99.4 and Sir Harry Heydon 99.5
ware at Thetforde in to Kente ward, but they returnyd in to
Norffolk a geyne; I thynke they wull not goo thys jorney, yff the
Kynge nede. Ser Harry was at Attylborow on Saterday. I wene
he had a vyce there to turne a zen; wher for, cosyn, yt ys good
to understonde the sertente what jentylmen intende to goo, and
be assuryd to go together, that I may have wurde; my cosyn
Hoptun hathe promysyd that he wull be oon. As fore Wysman,
he seythe he wull be off the same, but I can have no holde.
Furthermore, cosyn, yt ys seyd that after my lordys departyng to
the Kynge ye ware mette at Barkwey, whyche ys construid that
ye had ben with the Lady Lovell, but wrathe seyd never well;
and in asmoche as we understonde my lordys plesur, yt ys well
doon we dele wysly therafter. And, nexte to the Kynge,
I answerd pleynly I was bownde to do him service, and to
fullfylle hys comaundment to the uttermest off my powere, by
the grace off God, Who ever preserve you to Hys plesur.
Wretyn at Oxburgh, the xvj. day of Maye.
99.1 [From Paston MSS., B.M.] This letter and that which follows were
written during the period of Lambert Simnel’s rebellion. The rebels
were at this time in Ireland, but they soon after invaded England,
and were defeated at the battle of Stoke on the 16th June 1487.
Francis, Viscount Lovel, took part in the movement, and is supposed
to have perished in the battle, or shortly after it.
99.2 John Ratcliff, Lord Fitzwalter.—See Campbell’s Materials for a
History of Henry VII., i. 92, 241.
99.3 Probably the Earl of Oxford.—See next letter.
82.
W
99.4 Sir WilliamBoleyn, of Blickling, had been made a Knight of the
Bath at the Coronation of Richard III. He died in 1505.—F.
99.5 Sir Henry Heydon, of Baconsthorp, Knight, had been steward of
the household to Cecilia, Duchess of York, and died in 1503.—F.
100.1 Sir Edmund Bedingfeld was made a Knight of the Bath at the
Coronation of Richard III. He was likewise in high favour with Henry
VII., who paid him a royal visit at Oxburgh, in Norfolk. He died in
1496.—F.
1015
[THE EARL OF OXFORD?] TO SIR EDMUND
BEDINGFIELD100.2
1487
MAY (?)
HERE AS I understonde by your late wrytyng un to me,
that ye have ryght well endevyrd you to th’execusion of
the Kynges comission and comawndment, in preparyng
your selffe with the jentylmen and other of the contre, to be
redy to do the Kyng servyce, whyche I have shewid un to the
Kynges Hyghnes, so that hys Grace ys ryght well content and
ryght thankfully acceptyth the same, understondynge the ryght
good myndys and dysposyschon off you and off other jentylmen
there towardes hys Grace. How be yt, hys Hyghnes wull not as
zytte put you to ony further labur or charge, for somoche as hys
rebellys and enemyes be in to Irlande; neverthelesse hys Grace
wull that the contre be redy at all tymis to do hys Hyghnes
servyce up on resonabull warnyng; for so moche as the Kynges
Grace intendythe to make provysyon to sende an armi in to
Irlonde in haaste, nat knowyng as zytte whether that ye, and
other aboute you shall be desyird to bere ony charge there to or
83.
no. And whereas yt ys mervellyd that ye had not the Kynges
comysshon, under hys gret seall, I send yt to you with thys my
wrytyng, wyllynge you nat to precede further to eny execushon
theroff tyll swyche tyme as ye have other wise in
comawndment, alwey thankyng hertyly the jentylmen, and all
other for ther good wyllys towardes me.
100.2 [From Paston MSS., B.M.] The MS. from which this letter was
printed was evidently the copy of a letter, which was enclosed in the
preceding. Fenn supposes with great probability that the writer was
the Earl of Oxford, but the MS. being only a copy, there is no
signature attached. Commissions of array were issued on the 7th
April 1487 for the counties of Suffolk, Norfolk, and Essex, with
special instructions for repairing and guarding the beacons for fear
of an invasion. The Commissioners for the County of Norfolk were
John, Duke of Suffolk, John, Earl of Oxford, John Radcliff, Lord
Fitzwalter, and fifteen others, among whom was John Paston.—See
Patent Roll, 2 Hen. VII., p. 2, m. 6, in dorso.
1016
KNIGHTS MADE AT THE BATTLE OF STOKE101.1
1487
JUNE 16
Sir Edmond Benyngfeld.
Sir Jamys Blount.
Sir Richard Croft.
Sir [Humfrey] Stanley.
[Sir Richard De]levere.
Sir J[ohn] Mortumer.
Sir William Troutbeke.
Knyghtes made at the same Batayll.
84.
The sone andheyr of the Lord Audeley. 102.1
Sir Edward Noreys.
Sir Robert Clyfford.
Sir George Hopton.
Sir John Paston.
Sir Thomas Lovell.
Sir Humfrey Savage.
Sir Herry Willoughby.
Sir John Sapcotes.
Sir William Vampage.
Sir Antony Brone.
. . . .
. . . .
. . . .
. . . .
. . . .
Sir Gregory . . . .
Sir Thomas Bl[ount].
Sir Robert Cheyny.
Sir William Car[ew].
Sir John Wy[ndham].
Sir Simond . . . .
Sir Roger Be[llingham].
Sir John . . . . .
Sir George Nevil . .
Sir Robert Radcly[ff].
Sir Jamys Par[ker].
Sir Edward Dar[ell].
Sir Edward Pekeryn[g].
Sir Thomas of W[olton].
Sir William Sand[es].
A mutilated endorsement in Sir John Paston’s hand reads, ‘. . .
. . prisoners . . . . . fownd.’
101.1 [Add. MS. 34,889, f. 135.] This is only a fragment, the first part
of which is lost. The seven names at the beginning are the end of a
list of knights bannerets made upon the field. Then follow the
names of those who were merely dubbed knights; but this list, too,
is imperfect, not merely by the mutilation of some names, but
because another leaf would certainly have been required to give
them all. Compare another copy of these lists in Leland’s
Collectanea, iv. 214-15, where the names in the second list stand in
a different order. Several of the mutilated names here have been
filled in from Leland; but, curiously enough, that list gives no Sir
Gregory and no Sir Simon. Since this was in type the Editor has
found a complete list, more accurate than Leland’s, which will be
printed at the end of these letters.
102.1 Sir James Audeley, as his name is given in Leland’s list. This
was Sir James Touchet, who succeeded his father as Lord Audeley in
1491, and was beheaded and attainted in 1497.
85.
R
Be zowyr trewmodyr,
Dam Elysabethe Brewysse.
1017
DAME ELIZABETH BREWS TO SIR JOHN
PASTON102.2
To my rytth worchupfull son, Sir Jon Paston, be thys
byll delyvyrd in hast.
1487, or later
YTH worchupfull son, I recommend me on to zow and to
my lady zowyr wyf, and thankyng zow harttyly for the
grett labyr thatt ze had on Thorys day for me, and for
zowyr kyndnes; for and odyr had don asse ze ded, I had had my
purpos; qwerfor I prey God do be them asse they do be me.
Son, I must prey zow to have a dosseyn men in harnes, with
bowys and wepyn convenyent for them, that I may feche my
stres ageyn. The schrevys man wasse here wythe me, and [j.
of] yowyres, he seyth he ys, and he hatth mad me feythful
promes that he wol be wyth me ageyn on Monday, qwerfor I
prey zow harttyly, son, and reqwere zow that zowyr men may be
wyth me on Monday, as my werry tros ys in zow, qwo sknowyth
blyssyd Jesu, Hom haff zow and zowyr in Yss keppyng.
102.2 [From Paston MSS., B.M.] Fenn dates this letter ‘about 1487.’ It
cannot be earlier than June of that year, and may be a few years
later. But the date is unimportant. This letter appears to be a
holograph. The next is written by a scribe.
86.
R
Be your moder,
DameElizabeth Brews.
1018
DAME ELIZABETH BREWS TO SIR JOHN
PASTON103.1
To my right worshipfull son, Sir John Paston, Knyght,
be this delyverd.
1488(?)
IGHT worshipfull son, I recommaund me unto you and to
my lady my doughter your wyfe, and I send you both
Cristes blyssyng and myne. And, son, I thank you hertely
for my son, William Brews; and I moste pray you for the
reverens of Jesu to help hym for your tenauntes and myne, or
els John Dynne will owver rewle them. And, son, God thank you,
ye helpyd ons Whyte of Metfeld, and so I must beseche you
nowe to do, and that it wold pleas you to gyffe credans unto the
Priour of the Wyhte Freres, for I have shewed unto hym my
mynd; and as ye do, I hold me content.
And, son, we ladys and jentil women in this contrey that is
wedows, be sore trobyld with the Bysshop of Chester, 104.1 and
haskith of us more than we may pay, and that knowith All
myghty Jesu, Who have you in His blyssed kepyng.
103.1 [From Paston MSS., B.M.] The date of this letter is nearly as
indefinite as that of the last, but it certainly lies between the year
1487, when Sir John Paston was knighted, and 1489, when William
Brews died. If the latter part of the letter refers to the levying of a
subsidy, in which the Bishop of Chester may have been one of the
King’s agents, the date is probably about the end of the year 1488.
Sir Thomas Brews, the writer’s husband, died in 1482.
104.1 The Bishops of Coventry and Lichfield were often called Bishops
of Chester before the foundation of the modern Bishopric of Chester
87.
M
Your,
John Paston.
by HenryVIII. John Hales or Halse was Bishop of Coventry from 1459
to 1490.
1019
SIR JOHN PASTON TO DAME MARGERY
PASTON104.2
To Dame Margery Paston, at Oxenhed.
1486-95
ASTRESS MARGEREY, I recomand me to yow. And I prey
yow in all hast possybyll to send me, by the next swer
messenger that ye can gete, a large playster of your
flose ungwentorum for Kynges Attorney, Jamys Hobart, for all
hys dysease is but an ache in hys knee. He is the man that
brought yow and me togedyrs, and I had lever then xlli. ye koud
with your playster depart hym and hys peyne. But when ye send
me the playster, ye must send me wryghtyng hough it shold be
leyd to and takyn fro hys knee, and hough longe it shold abyd
on hys kne unremevyd, and hough longe the playster wyll laste
good, and whethyr he must lape eny more clothys aboute the
playster to kepe it warme or nought. And God be with yow.
104.2 [From Paston MSS., B.M.] James Hobart was the King’s Attorney-
General from 1486 to 1509, and Dame Margery Paston died in 1495.
There is nothing to fix the date of this letter more precisely.
88.
R
1020
THE QUEEN TOTHE EARL OF OXFORD105.1
To oure right trusty and enterly beloved cosyn, Th’Erll
of Oxon.
By the Quene.
1487-1502
YGHT trusty and entierly beloved cosyn, we grete you well,
lattyng you wete hou it is commen un to oure knowlege
that where as ze newly entred upon oure welbeloved
Symon Blyant, gentilman, in to the maner of Hemnals in Cotton,
descended and belongyng unto hym by right of enheritaunce, as
it is seid, ze ther upon desired the same Symon to be agreable
for hys part to put all maters of variance thenne dependyng
atwene hym and oon Sir John Paston, Knyght, pretendyng a title
unto the seid maner into th’award and jugement of two lenerd
men, by you named and chosen as arbritrours atwene them;
and in case that the same arbritrours of and upon the premisses
neither yave oute nor made suche awarde be for the brekyng up
of Pasche [Easter] terme nowe last passed, ze of your owne
offre graunted and promysid unto the seid Symon, as we be
enformed, to restore hym forwyth there upon unto hys
possession of the seid maner. And how it be that the same
Symon, at youre mocion and for the pleasir of youre lordshyp,
as he seith, aggreed un to the seid compromyse, and ther upon
brought and shewed hys evydence concernyng, and sufficiently
provyng hys ryght in the seid maner un to the seid arbritrours,
and that they have not made nor yolden out betwene the said
parties any suche awarde; yet have not ze restored the same
Symon unto hys possession of the seid maner, but contynuelly
kepe hym owt of the same, wich, yf it so be, is not only to hys
right grete hurt and hinderaunce, but also oure mervaile.
89.
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