W3C home > Mailing lists > Public > www-xml-query-comments@w3.org > November 2000

Re: w3c-ql@w3.org, www-webdav-dasl@w3.org

From: Dongwook Shin <dwshin@nlm.nih.gov>
Date: Thu, 16 Nov 2000 10:59:17 -0500 (EST)
Message-ID: <004f01c04fe7$23ced0d0$29500e82@nlm.nih.gov>
To: "Bob Kline" <bkline@rksystems.com>, <ddnebert@fgdc.gov>
Cc: "Massimo Marchiori" <massimo@w3.org>, <www-ql@w3.org>, <www-xml-query-comments@w3.org>

The most recent version is dated June 22:

That is the internal draft.

Attached is a draft without internal issues.

Bob Kline wrote:

> On Thu, 17 Aug 2000, Massimo Marchiori wrote:
> >
> > The XML Query Working Group has published the second revised draft of
> > XML Query Data Model, available from the W3C web site at:
> > http://www.w3.org/TR/query-datamodel/
> >
> This announcement leads one to believe that the release of the second
> revised draft was a recent event, but the date of this draft is the 11th
> of May.  Is there a URL for a later version, or is this just a very
> delayed announcement?
> --
> Bob Kline
> mailto:bkline@rksystems.com
> http://www.rksystems.com

Mary Fernandez                    AT&T Labs - Research
Principal Technical Staff Member  180 Park Ave., Bldg 103, E243
mff@research.att.com              Florham Park, NJ 07932-0971
http://www.research.att.com/~mff  973-360-8679 FAX: 973-360-8187


XML Query Data Model

W3C Working Draft 22 June 2000

This version:
Latest version:http://www.w3.org/XML/Group/xmlquery/query-datamodel.html
Editors:Mary Fernandez (AT&T Labs)  < mff@research.att.com >
Jonathan Robie (Software AG)  <Jonathan.Robie@SoftwareAG-USA.com>

 Copyright 2000 W3C(superscript: )  (MIT,  INRIA,  Keio), All Rights
Reserved. W3C  liability,  trademark,  document use and  software licensing
rules apply.


This document defines the W3C XML Query Data Model, which is the foundation
of the W3C XML Query Algebra; the XML Query Algebra will be specified in a
future document. Together, these two documents [will] provide a precise
semantics of the XML Query Language.

Status of this document

This section describes the status of this document at the time of its
publication. Other documents may supersede this document. The latest status
of this document series is maintained at the W3C.

This is a First Public Working Draft for review by W3C Members and other
interested parties. It is a draft document and may be updated, replaced or
made obsolete by other documents at any time. It is inappropriate to use
W3C Working Drafts as reference material or to cite them as other than
"work in progress". This is work in progress and does not imply endorsement
by the W3C membership.

This document has been produced as part of the W3C XML Activity, following
the procedures set out for the W3C Process. The document has been written
by the XML Query Working Group.

The XML Query Working Group feels that the contents of this Working Draft
are reasonably stable, and therefore encourages feedback.

Comments on this document should be sent to the W3C mailing list
www-xml-query-comments@w3.org (archived at

A list of current W3C Recommendations and other technical documents can be
found at http://www.w3.org/TR/.

Table of contents

1 Introduction
2 Concepts
2.1 Types and Signatures
2.1.1 Reference Type
2.1.2 Schema Types
2.2 Post Schema-Validated Infoset
3 Nodes
3.1 Data Model Instance
3.2 Document
3.3 Elements
3.4 Attributes
3.5 Namespaces
3.6 Processing Instructions
3.8 Values
3.9 Information Items
4 Example
5 Constraints on the Data Model
6 References


A XML Information Set Mapping
A.1 Notation and Pseudo-code Syntax
A.2 Information Items
A.3 Document Item
A.4 Element Items
A.5 Attribute Items
A.6 Namespace Items
A.7 Processing Instruction Items
A.8 Comment Items
A.9 Other Information Items
B Candidate Operators for XML Query Algebra
B.1 Equality Operators
B.2 Serialization Operators
B.3 Order Operators
B.4 Accessors for Reference Values
C Internal Open Issues

1 Introduction

This document defines the W3C XML Query Data Model, which is the foundation
of the W3C XML Query Algebra; the XML Query Algebra  will be specified in a
future document. Together, these two documents [will] provide a precise
semantics of the XML Query Language.

Several XML data models have been developed in the W3C Activities. The XML
Information Set ( http://www.w3.org/TR/xml-infoset) provides a description
of the information available in a well-formed XML document. The XPath
Recommendation ( http://www.w3.org/TR/xpath), which is used by both XSLT (
http://www.w3.org/TR/xslt) and XPointer ( http://www.w3.org/TR/xptr),
contains a data model and a mapping that relates the XPath data model to
the XML Information Set (hence ``Infoset''). The Document Object Model (
http://www.w3.org/TR/DOM-Level-2/) is an API for HTML and XML documents,
but it does imply an underlying abstract data model. The XML Schema Working
Group is defining features, such as structures
http://www.w3.org/TR/xmlschema-1) and datatypes
http://www.w3.org/TR/xmlschema-2), that extend an instance of the XML
Information Set  with more precise type information.

The XML Query Data Model defines formally the information contained in the
input to an XML Query processor;  in other words, an XML Query processor
evaluates a  query on an instance of the XML Query Data Model. Our model is
based on the XML Information Set,  but it requires the following new
features to meet the XML Query Working Group's requirements:

   Support for XML Schema types. (http://www.w3.org/TR/xmlschema-1,
   http://www.w3.org/TR/xmlschema-2 )

   Representation of Collections of Documents and of Simple and Complex
   Values. (http://www.w3.org/TR/2000/WD-xmlquery-req-20000131#collections)

   Representation of References. (

In this document, we provide a precise and formal definition of  how values
in the XML Query Data Model are constructed and accessed; these operators
are the foundation of the XML Query Algebra, and therefore, require a more
formal treatment than is provided in the definitions of the XPath and
Infoset data models. For comparison, we note wherever the XML Query Data
Model differs from that of XPath, and we provide a formal definition of the
mapping from the Infoset to the XML Query Data Model in Appendix A.

An instance of the XML Query data model represents one or more complete XML
documents or document parts.  As with the Infoset, the XML Query Data Model
specifies what information in the documents is accessible, but it does not
specify the  programming-language interfaces or bindings used to represent
or  access the data.  We assume that the information contained in an
instance of the XML Query Data Model is static for the duration  query
evaluation; in particular, the meaning of a query applied to input data
that changes during query evaluation is undefined.

We define the data model using a functional notation. We chose this
notation because it is simple and permits a precise and concise definition
of the data model. The notation is presented in the next section. Although
the notation has a functional style,  we emphasize that the data  model can
be realized in a variety of programming languages and styles,  for example,
as object classes and methods in an object-oriented language.

There is a close correspondence between the data model and the algebraic
operations that are applied to instances of the data model. In the
definition of the data model, we mention several algebraic operators. These
and other candidate operators are identified  in the Candidate Operators
for XML Query Algebra appendix.   The complete algebra will be defined in a
future document.

2 Concepts

Because XML documents are tree-structured, we define the XML Query data
model using conventional terminology for trees. Various mathematical
representations of trees exist (see [CLR]). The graph-theoretic
representation models a tree as a tuple (N, E, r), where N is a set of tree
nodes, E is a one-to-many relation of edges from parent nodes to children
nodes, and r is the distinguished root node of the tree. The
tree-constructor representation models a tree by recursive application of a
tree-creation function to a list of children trees  [Knuth]. In either
representation, a tree can have data associated with its nodes node-labeled
), with its edges (edge-labeled), or with both. The XPath and Infoset data
models are examples of node-labeled, tree-constructor representations.

The XML Query Data Model (hence ``data model'') is a node-labeled,
tree-constructor representation,  but also includes a concept of node
identity. The addition of node identity  simplifies the representation of
XML reference values, e.g.,  IDREF, XPointer, and URI values.  Unlike the
graph model, the data model does not support both nodes and edges as
first-class concepts. We note, however, whenever a graph model may be more
flexible or concise.

2.1 Types and Signatures

The data model defines the structure of various kinds of tree nodes;
functions to construct tree nodes, called constructors; and functions to
access nodes' structure, called accessors. This presentation is similar to
that in the definition of the XSLT data model [Wadler].

We use the terms node type to refer to the kind of  a tree node; schema
type to refer to an XML Schema type; and collection type to refer to
tuples, lists, sets, and disjoint unions. The term type refers to any node,
schema, or collection type.  The term signature refers to a constructor's
or accessor's function type, i.e., the function's zero or more input types
and  its one output type.

To make the definition of the data model concise, we use the following

   N ranges over node types.

   U ranges over the union of node types, schema types, and collection

   [ U ] denotes a list of values with type U; a list is ordered and may
   contain duplicates.

   { U } denotes a set of values with type U; a set is unordered and does
   not contain duplicate values.

   {| U |} denotes a bag of values with type U; a bag is unordered and may
   contain duplicate values.

   (U1, U2, ..., Un) denotes a tuple whose first component has type U1,
   second component  has type U2, etc.

   U1 | U2 | ... | Un denotes the disjoint union of values with types U1
   ,..., Un, etc.

   TN = U denotes that the string TN is a type name that represents the
   type U.  A type name may appear wherever its associated type is

An occurrence of the type symbol  U denotes a value or instance of that

The signatures of constructors and accessors use the following notation:

   f : U1 -> U2 denotes a function f that takes an input value with type U1
   and returns an output value with type U2.

2.1.1 Reference Type

The data model provides node references as a mechanism to test and bind the
identity of nodes in a given instance of the data model.  The actual
mechanism for implementing node identity is implementation dependent, for
example,  node identity might be represented by a key value, an object
identifier, an XPointer value, etc.

   Ref(N) denotes a reference to a node with type N.

The data model provides the function ref to create a reference to a node
and the function deref to produce  the node referent of a reference value.
Their signatures are:

ref        : Node      -> Ref(Node)
deref      : Ref(Node) -> Node

The function ref is surjective, i.e., it is onto. The function deref is the
inverse of ref, i.e., for all nodes n, node_equal(deref(ref(n)), n) is
true, where node_equal is an implementation-dependent  equality operator
over nodes.

Some accessors map values (e.g., IDREF or key values) into reference
values.  If a key value does not represent a valid reference, the ``not a
reference'' value, NaR, may be used.

2.1.2 Schema Types

Nodes contain values that are instances of schema types. The following
symbols denote schema types:

   T ranges over XML schema types, which are either simple or complex.

   ST ranges over simple types.

   CT ranges over complex types.

A simple type is either primitive (e.g., string, boolean, float, double,
ID, IDREF) or derived  (e.g., language, NMTOKEN, long, etc., or user
defined). A complex type defines the structure and content of an element.

It may be necessary for a query to have access to  a value's type during
query execution, i.e., at run time. Because an instance of an XML Schema is
also an XML document  (see  XML Representation of Schemas and Schema
Components in [XMLSchema Part 1]), a document's schema can be represented
as an instance of the data model.

   Def_T = ElemNode denotes the data model representation of  schema type T

Because Def_T is an element value in the data model, i.e., an ElemNode,
all of the accessors defined for ElemNode can be applied to Def_T values.

2.2 Post Schema-Validated Infoset

We assume that an instance of the data model is derived from an instance of
the XML Information Set [XML Infoset] after XML Schema validation. Such an
instance is called a ``PSV Infoset'',  for post schema-validated Infoset.

Schema information may be associated with a document in two ways.  A
document may refer directly to a DTD, and a document may be paired with an
XML Schema, which may be derived from one or more XML Schema documents.  It
is also possible for an XML document to have no DTD or associated schema,
i.e., it is ``schemaless''.  For a document, schema pair, the PSV Infoset
provides the schema.  For a document that refers directly to a DTD, we
assume a mapping from the DTD to an equivalent schema is provided, and the
PSV Infoset provides this equivalent schema.  For a schemaless document, a
default schema is provided by the data model, and we specify in this
document that default schema.  In all three cases, a schema can be provided
for the input document and the corresponding data-model instance.

3 Nodes

The basic concept in the data model is a Node. A Node is one of eight node
types:  document, element, value, attribute, namespace (NS), processing
instruction (PI), comment, or information item.  This definition specifies
that a Node is the disjoint union of eight node types:

Node =  DocNode | ElemNode | ValueNode   | AttrNode
     |  NSNode  | PINode   | CommentNode | InfoItemNode

The eight node types are defined in the following subsections. Note that an
implementation of the data model in an object-oriented language might
choose to make Node an interface (or an abstract class) and to make each
node type a concrete class that implements the Node interface (or a
sub-class of the abstract class Node).

A Node has eight accessors, each of which returns true if the Node value is
of the specified type.

isDocNode      : Node -> boolean
isElemNode     : Node -> boolean
isValueNode    : Node -> boolean
isAttrNode     : Node -> boolean
isNSNode       : Node -> boolean
isPINode       : Node -> boolean
isCommentNode  : Node -> boolean
isInfoItemNode : Node -> boolean

3.1 Data Model Instance

An XML document is represented by its distinguished document node, which is
a DocNode. A document part is a sub-tree of a document and is represented
by an ElemNode, ValueNode, PINode, or CommentNode. An instance of the data
model represents one or more complete documents or document parts and may
be unordered or ordered. Therefore, a data-model Instance is a set, a list,
or a bag of one or more nodes:

Instance = { DocNode | ElemNode | ValueNode | PINode | CommentNode }
         | [ DocNode | ElemNode | ValueNode | PINode | CommentNode ]
         | {| DocNode | ElemNode | ValueNode | PINode | CommentNode |}

3.2 Document

A document is represented by a unique DocNode, which  corresponds to a
document information item in the Infoset. A DocNode has the constructor
docNode, which takes a URI reference value and a non-empty list of its
children nodes:

docNode  : (URIRefValue, [ Ref(ElemNode) | Ref(PINode) | Ref(CommentNode)
         -> DocNode

The list of children nodes  may contain zero or more references to PINodes
and CommentNodes and  must contain exactly one reference to an ElemNode.

The accessor uri returns a DocNode's URI reference value, and  the accessor
children returns a DocNode's list of children:

uri      : DocNode -> URIRefValuechildren : DocNode -> [ Ref(ElemNode) |
Ref(PINode) | Ref(CommentNode) ]

The root accessor returns a reference to the unique ElemNode in a DocNode's
children list:

root     : DocNode -> Ref(ElemNode)

3.3 Elements

An ElemNode has the constructor elemNode, which takes a tag value,  a set
of NSNode namespaces, a  set of AttrNode attributes, a list of children
nodes, and a reference to the node's type:

elemNode : (Ref(QNameValue), { Ref(NSNode) }, { Ref(AttrNode) },
            [ Ref(ElemNode) | Ref(ValueNode) | Ref(PINode)
            | Ref(CommentNode) | Ref(InfoItemNode) ],
         -> ElemNode

An ElemNode's tag is a qualified name value, QNameValue. An ElemNode's set
of namespaces contain one namespace node  for each distinct namespace that
is declared explicitly on the element. The node's children is a list of
references to  ElemNode, ValueNode, PINode,  CommentNode, and InfoItemNode

We assume that the element is an instance of the type represented by Def_T,
i.e., the document  ``type checks'' or is valid with respect to the given
schema.  For a schemaless document, the data model defines a default
schema;  in this case, the Def_T value for all ElemNodes  is the ur-type
definition [XMLSchema Part 1].

The accessors name, namespaces,  attributes, children, and type returns an
ElemNode's constituent parts:

name       : ElemNode -> Ref(QNameValue)
namespaces : ElemNode -> { Ref(NSNode) }
attributes : ElemNode -> { Ref(AttrNode) }
children   : ElemNode -> [ Ref(ElemNode) | Ref(ValueNode) | Ref(PINode)
                         | Ref(CommentNode) | Ref(InfoItemNode) ]
type       : ElemNode -> Ref(Def_T)

The accessor parent returns a reference to  the unique parent of an
ElemNode. If an ElemNode is the root node of a  document, parent will
return a reference to the corresponding  DocNode, unless a document node
does not exist, in which case parent returns NaR, the ``not a reference''

parent     : ElemNode -> Ref(ElemNode) | Ref(DocNode) | NaR

NOTE: The XPath data model does not model the complex type of a node. This
definition adds Def_T to an element node, and it also adds ValueNode and
InfoItemNode as  permissible children of an element node.

3.4 Attributes

An AttrNode has the constructor attrNode,  which takes the attribute's name
and value:

attrNode : (Ref(QNameValue), Ref(ValueNode)) -> AttrNode

The accessors name and value, return an attribute's constituent parts:

name     : AttrNode  -> Ref(QNameValue)
value    : AttrNode  -> Ref(ValueNode)

For a schemaless document, the data model defines a default schema;  in
this case, the type of all AttrNode's values is the  simple type

<simpleType base="string"/>.

The accessor parent returns a reference to  the containing element of an

parent   : AttrNode -> Ref(ElemNode)

NOTE: The XPath data model only permits attribute values to be strings.
This definition permits attribute values to be of any simple type.

3.5 Namespaces

An NSNode has the constructor nsNode, which  takes an namespace prefix,
which may be null, and the absolute URI of the namespace being declared,
which may be null:

nsNode : (Ref(StringValue) | null, Ref(URIRefValue) | null) -> NSNode

The accessors prefix and uri return a NSNode's constituent parts:

prefix : NSNode -> Ref(StringValue) | null
uri    : NSNode -> Ref(URIRefValue) | null

A namespace node may contain:  a non-null prefix and a non-null uri;  a
null prefix and a non-null uri;  or a null prefix and a null uri. A
namespace node may not contain a non-null prefix and a null uri.

The accessor parent returns a reference to  the containing element of an

parent : NSNode -> Ref(ElemNode)

3.6 Processing Instructions

A PINode has the constructor piNode, which takes a local name that is the
processing instruction's target and a string value:

piNode : (Ref(StringValue), Ref(StringValue)) -> PINode

The local name is a string value that must have type NCNAME, i.e., its type
value  refers to the definition of the derived type NCName :

<simpleType name="NCName" base="Name"/>

The accessors target, value return a PINode's constituent parts.

target : PINode -> Ref(StringValue)
value  : PINode -> Ref(StringValue)

The accessor parent returns a PINode's unique parent:

parent : PINode -> Ref(ElemNode) | Ref(DocNode)  | NaR


A CommentNode has the constructor commentNode,  which takes a string value:

commentNode : Ref(StringValue) -> CommentNode

The accessor value returns a CommentNode's value, and  the accessor parent
returns a CommentNode's unique parent:

value    : CommentNode -> Ref(StringValue)
parent   : CommentNode -> Ref(ElemNode) | Ref(DocNode) | NaR

3.8 Values

A ValueNode is the disjoint union of fourteen kinds of simple-type values;
each value kind has an associated constructor.

ValueNode = StringValue  | BoolValue     | FloatValue    | DoubleValue
          | DecimalValue | TimeDurValue  | RecurDurValue | BinaryValue
          | URIRefValue  | IDValue       | IDREFValue    | QNameValue
          | ENTITYValue  | NOTATIONValue

The data model provides constructors for the fourteen primitive XML Schema

stringValue  : (string, Ref(Def_string), [Ref(InfoItemNode)]) ->
StringValueboolValue    : (boolean, Ref(Def_boolean))                    ->
BoolValuefloatValue   : (float, Ref(Def_float))                        ->
FloatValuedoubleValue  : (double, Ref(Def_double))                      ->
DoubleValuedecimalValue : (decimal, Ref(Def_decimal))                    ->
DecimalValuetimeDurValue : (timeDuration, Ref(Def_TimeDuration))
-> TimeDurValuerecurDurValue: (recurringDuration, Ref(Def_recurringDuration
))-> RecurDurValuebinaryValue  : (binary, Ref(Def_binary))
-> BinaryValueurirefValue  : (uriReference, Ref(Def_uriReference))
-> URIRefValueidValue      : (ID, Ref(Def_ID))
-> IDValueidrefValue   : (IDREF, Ref(Def_IDREF))                        ->
IDREFValueqnameValue   : (uriReference | null, string, Ref(Def_QName))  ->
QNameValueentityValue  : (ENTITY, Ref(Def_ENTITY))                      ->
ENTITYValuenotationValue: (NOTATION, Ref(Def_NOTATION))                  ->

Ed. Note:

We note here that the data model does not currently represent key values
and key reference values  as described in XML Schema Part 1 : Structures
[XMLSchema Part 1]. In a future draft of this document, keys and key
references will be represented in the data model.

Derived datatypes are modeled as instances of their primitive base type. In
particular, wherever an instance of Def_ST is expected,  we assume an
instance of ST' is permitted if and only if  ST' is derived from simple
type ST. For example, the derived simple type long has base type integer,
so an instance of long can be modeled by an IntegerValue whose type is
Ref(Def_long), i.e., it refers to the definition of the derived type long:

<simpleType name="long" base="integer"/>

The explicit enumeration of each kind of value guarantees that the type of
the value's instance and its type representation correspond.   For example,
a StringValue always contains a string value and a reference to the
representation of a primitive or derived type whose base type is string.
For example, a product's ``Sku'' number could be represented by the  string

StringValue("926-AA", Ref(Def_Sku), [])

where the Sku type is derived from string:

<simpleType name="Sku" base="string">
  <pattern value="\d{3}-[A-Z]{2}"/>

The accessor type returns a ValueNode's type:

type      : ValueNode   -> Ref(Def_ST)

The accessor string returns a ValueNode's string representation:

string    : ValueNode   -> StringValue

The accessor infoItems returns the list of information items associated
with a StringValue; this list may contain the character information items
from which the string value was created:

infoItems : StringValue -> [ Ref(InfoItemNode) ]

The accessors localPart and uriPart return a QNameValue's constituent

uriPart   : QNameValue  -> uriReference | null
localPart : QNameValue  -> string

The accessor referent returns a list of element-node references associated
with an IDREFValue or URIRefValue:

referent  : (IDREFValue | URIRefValue) -> [ Ref(ElemNode) | NaR ]

If a referent is not in the data-model instance, referent returns NaR, the
``not a reference'' value. In a data-model instance of a PSV infoset, every
IDREF and keyref value is guaranteed to refer to a  ElemNode in the
data-model instance. This may not be the case for a URI value, which could
refer to an element in an arbitrary document that is not contained in the
data-model instance.  In this case, referent may return a list containing

A ValueNode has fifteen additional accessors, each of which returns true if
the ValueNode is of the specified type.

isStringValue   : ValueNode -> boolean
isBoolValue     : ValueNode -> boolean
isFloatValue    : ValueNode -> boolean
isDoubleValue   : ValueNode -> boolean
isDecimalValue  : ValueNode -> boolean
isTimeDurValue  : ValueNode -> boolean
isRecurDurValue : ValueNode -> boolean
isBinaryValue   : ValueNode -> boolean
isURIRefValue   : ValueNode -> boolean
isIDValue       : ValueNode -> boolean
isIDREFValue    : ValueNode -> boolean
isQNameValue    : ValueNode -> boolean
isENTITYValue   : ValueNode -> boolean
isNOTATIONValue : ValueNode -> boolean

NOTE: ValueNode replaces the XPath data model's text node.

3.9 Information Items

An InfoItemNode has the constructor infoItemNode:

infoItemNode : Ref(InfoItem) -> InfoItemNode

An InfoItemNode is an opaque value that preserves those information items
that are not of interest to the data model or query language, but are
required by the underlying Infoset implementation. It has no accessors.

4 Example

We use the following XML document to illustrate the information contained
in  an instance of the data model:

<?xml version=1.0?>
<p:part xmlns:p="http://www.mywebsite.com/PartSchema"
      xsi:schemaLocation = "http://www.mywebsite.com/PartSchema

The XML schema for this document is:

<xsd:schema xmlns:xsd="http://www.w3.org/1999/XMLSchema"
  <xsd:element name="part" type="part_type">
    <xsd:complexType name="part_type">
      <xsd:element name = "mfg" type="xsd:string"/>
      <xsd:element name = "price" type="xsd:decimal"/>
      <xsd:attribute name = "name" type="xsd:string"/>

For this example, we chose a XML document that includes an  XML Schema to
illustrate the relationship between  document content and its associated
schema type information.  In general, an XML Schema is not required, that
is, the data model can represent a schemaless, well-formed XML document
with the default typing described in this document.

The XML document is represented by the data-model accessors below. The
value D1 represents a DocNode;  the values E1, E2, etc. represent ElemNode
s;  the values A1, etc. represent AttrNodes; the values N1, etc. represent

children(D1)   = [ Ref(E1) ]
root(D1)       = Ref(E1)

name(E1)       = QNameValue("http://www.mywebsite.com/PartSchema",
                            "part", Ref(Def_QName))
children(E1)   = [ Ref(E2), Ref(E3) ]
attributes(E1) = { Ref(A1) }
namespaces(E1) = { Ref(N1) }
type(E1)       = Ref(Def_part_type)
parent(E1)     = Ref(D1)

name(A1)       = QNameValue(null, "name", Ref(Def_QName))
value(A1)      = Ref(StringValue("nutbolt", Ref(Def_string)))
parent(A1)     = Ref(E1)

prefix(N1)     = Ref(StringValue("p", Ref(Def_string)))
uri(N1)        = URIRefValue("http://www.mywebsite.com/PartSchema",
parent(N1)     = Ref(E1)

name(E2)       = QNameValue(null, "mfg", Ref(Def_QName))
children(E2)   = [ Ref(StringValue("Acme", Ref(Def_string))) ]
attributes(E2) = {}
namespaces(E2) = {}
type(E2)       = Ref(Def_string)
parent(E2)     = Ref(E1)

name(E3)       = QNameValue(null, "price", Ref(Def_QName))
children(E3)   = [ Ref(DecimalValue(10.50, Ref(Def_decimal))) ]
attributes(E3) = {}
namespaces(E3) = {}
type(E3)       = Ref(Def_decimal)
parent(E3)     = Ref(E1)

A graphical depiction of the data-model instance, containing the
information described in the text above, is also included.

                Graphical depiction of data model instance.

Recall that an XML schema is also an XML document, which can be represented
in the data model.  The complex and simple types in the example schema are
represented below:

name(Def_part_type)       = QNameValue("http://www.w3.org/1999/XMLSchema",
                                       "complexType", Ref(Def_QName))
children(Def_part_type)   = [ Ref(E4), Ref(E5), Ref(E6) ]
attributes(Def_part_type) = { Ref(A2) }
namespaces(Def_part_type) = {}
type(Def_part_type)       = Ref(Def_complexType)

name(A2)       = QNameValue(null, "name", Ref(Def_QName))
value(A2)      = Ref(StringValue("part_type", Ref(Def_NCName), []))

name(E4)       = QNameValue("http://www.w3.org/1999/XMLSchema",
                            "element", Ref(Def_QName))
children(E4)   = []
attributes(E4) = { Ref(A3), Ref(A6) }
namespaces(E4) = {}
type(E4)       = Ref(Def_element)

name(A3)       = QNameValue(null, "name", Ref(Def_QName))
value(A3)      = Ref(StringValue("mfg", Ref(Def_NCName), []))

name(A6)       = QNameValue(null, "type", Ref(Def_QName))
value(A6)      = Ref(QNameValue("http://www.w3.org/1999/XMLSchema",
                                "string", Ref(Def_QName), []))

name(E5)       = QNameValue("http://www.w3.org/1999/XMLSchema",
                            "element", Ref(Def_QName))
children(E5)   = []
attributes(E5) = { Ref(A4), Ref(A7) }
namespaces(E5) = {}
type(E5)       = Ref(Def_element)

name(A4)       = QNameValue(null, "name", Ref(Def_QName))
value(A4)      = Ref(StringValue("price", Ref(Def_NCName)))

name(A7)       = QNameValue(null, "type", Ref(Def_QName))
value(A7)      = Ref(QNameValue("http://www.w3.org/1999/XMLSchema",
                                "decimal", Ref(Def_QName), []))

name(E6)       = QNameValue("http://www.w3.org/1999/XMLSchema",
                            "attribute", Ref(Def_QName))
children(E6)   = []
attributes(E6) = { Ref(A5), Ref(A8) }
namespaces(E6) = {}
type(E6)       = Ref(Def_attribute)

name(A5)       = QNameValue(null, "name", Ref(Def_QName))
value(A5)      = Ref(StringValue("name", Ref(Def_NCName), []))

name(A8)       = QNameValue(null, "type", Ref(Def_QName))
value(A8)      = Ref(QNameValue("http://www.w3.org/1999/XMLSchema",
                                "string", Ref(Def_QName), []))

For conciseness, we eliminate the definitions of  builtin schema
components, e.g., complexType, and of primitive simple types, e.g., string.

5 Constraints on the Data Model

A data-model instance must satisfy the following constraints:

   Node references: We assume that the representation of a node reference
   is defined by the query system that implements the data model, not by
   the query language itself. Node references are not serialized, i.e.,
   they exist only for use by  the query system, and they are not
   guaranteed to be globally unique or persistent, although some
   implementation of the data model may choose to support persistent node
   references.  Multiple techniques may exist for implementing references,
   and there may be multiple techniques for implementing identity.

   Node identity: the function ref is one-to-one and onto, i.e.,
   ref_equal(ref(n1), ref(n2)) holds if and only if n1 and n2 are the same
   node. We assume that the operator ref_equal is an
   implementation-dependent  equality operator over node references.

   Unique parent: the parent accessor is a many-to-one function, i.e., a
   node has exactly one parent.

   Parent-child relationships: Given two ElemNode references ref(p) and
   ref(n),  ref_equal(parent(n), ref(p))  holds if and only if ref(n) is in

   Similarly, given a DocNode reference ref(d) and a node reference ref(n),
   ref_equal(parent(n), ref(d))  if and only if ref(n) is in children(d).

   Finally, given a AttrNode (or NSNode) reference ref(a) and a node
   reference ref(n),  ref_equal(parent(a), ref(n))  if and only if ref(a)
   is in attributes(n) (namespaces(n)).

   Duplicate-free list of children:  Given a node n and any two node
   references r1 and r2 at distinct positions in children(n), not
   ref_equal(r1, r2) must hold i.e., the ordered list of children nodes is
   duplicate free.

6 References

CLR T. Cormen, C. Leiserson, R. Rivest, Introduction to Algorithms, MIT
Press, 1991. Knuth D. Knuth, The Art of Computer Programming, Vol. 1,
Addison-Wesley, 1973. Wadler P. Wadler, A formal semantics of patterns in
XSLT. Available at:
 XML Infoset World Wide Web Consortium,  XML Information Set (Infoset).
Available at: http://www.w3.org/TR/xml-infoset XPath World Wide Web
Consortium,  XML Path Language (XPath). Available at:
http://www.w3.org/TR/xpath.html XMLSchema Part 1 World Wide Web Consortium,
XML Schema Part 1 : Structures. Available at:
http://www.w3.org/TR/xmlschema-1 XMLSchema Part 2 World Wide Web
Consortium,  XML Schema Part 2 : Datatypes. Available at:

A XML Information Set Mapping

The XML Information Set (http://www.w3.org/TR/xml-infoset) provides a
description of the information available in a well-formed XML document.  In
this appendix,  we define the Infoset in the same notation as the data
model, and  we define functions that map from an instance of the Infoset to
an instance of the data model in a pseudo-code notation.

Ed. Note: In a future draft of this document, a mapping from the XML Query
data model into the Infoset will be provided.

A.1 Notation and Pseudo-code Syntax

We name accessors of the PSV Infoset  using the convention psv_<item-name>
_<property> . For example, psv_elem_attributes is the accessor  that
returns an element item's attributes property.  The comments in the
accessor definitions specify  whether a property is core or peripheral.

The following operations are defined on lists and are used in the function

   [] constructs the empty list.

   [n] constructs a list with one element n.

   h :: t constructs a list with head element h and tail list t.

It is often necessary to deconstruct a list value, for example, into  its
head element and tail list.  We use the same notation to match and
deconstruct list values. For example, this function maps all "a" values in
a list to "b" values by deconstructing and matching the argument list L:

fun a2b(L) {
 case L of []           => []
        |  [ "a" ] :: t => [ "b" ] :: (a2b t)
        |  h :: t       => h :: (a2b t)
a2b [ "a", "c", "a" ] = [ "b", "c", "b" ]

The case expression matches its list argument L against each list pattern
and evaluates the right-hand-side of the first pattern that matches L.

The function concat_list concatenates two lists, and concat_string
concatenates two strings:

concat_list : ([ U ], [ U ]) -> [ U ]
concat_string : (string, string) -> string

For example,

concat_list [ 1, 2 ] [ 3, 4 ] = [ 1, 2, 3, 4 ]
concat_string "First" "Last" = "FirstLast"

The function flat_list takes a list of lists and returns the flattened

flat_list : [ [ U ] ] -> [ U ]

For example,

flat_list([ [1], [2, 3] ]) = [ 1, 2, 3 ]

The function map_set applies a function to every member of a set and
returns the transformed set; map_list is analogous for lists:

map_set  : ((U1 -> U2), { U1 }) -> { U2 }
map_list : ((U1 -> U2), [ U1 ]) -> [ U2 ]

For example, given the function addOne:

fun add_one(x) { return x + 1 }
map_set  add_one { 1, 2 } = { 2, 3 }
map_list add_one [ 1, 2 ] = [ 2, 3 ]

A.2 Information Items

The basic concept in the Infoset is an InfoItem. An InfoItem is one of ten
item types:

InfoItem = DocItem      | ElemItem    | CDATAItem   | AttrItem
         | NSItem       | PIItem      | CommentItem | SkipEntityItem
         | EntityMarker | CDATAMarker

No constructors are defined for Item values, because they are constructed
by an Infoset processor, not the data model.

A.3 Document Item

The following accessors are defined on a document information item:

/* core */
psv_doc_children : DocItem -> [ /* core */
                                Ref(PIItem) | Ref(ElemItem)
                                /* peripheral */
                              | Ref(CommentItem) | Ref(DocTypeItem) ]
psv_doc_notations : DocItem-> { Ref(NotationItem) }
psv_doc_base_uri  : DocItem -> uriReference

/* core : unparsed entities; peripheral : parsed entities */
psv_doc_entities  : DocItem -> { Ref(EntityItem) }

Exactly one ElemItem is required in the psv_doc_children list and it is the
root element of the document tree.

The following pseudo-code documents the mapping from an instance of the PSV
infoset to an instance of the data model. The function dm_docNode  maps a
document information item (DocItem) to a document node (DocNode):

dm_docNode : DocItem -> DocNodefun dm_docNode(d) {
  kids = map_list dm_node (psv_doc_children d)
  return docNode(uriValue(psv_doc_base_uri d, ref(Def_uriReference)), kids)

In the definition of kids, map_list applies the function dm_node to each
child of the DocItem value d; this constructs a new list of children nodes,
each of which has type Node. The application of the constructor docNode
constructs the document node in the data model.

A.4 Element Items

The following accessors are defined on element information items:

/* core */
psv_elem_uri       : ElemItem -> uriReference
psv_elem_local_name: ElemItem -> string

psv_elem_children  : ElemItem -> [ /* core */
                                 | Ref(ElemItem)
                                 | Ref(SkipEntityItem)
                                 | Ref(CDATAItem)

                                   /* peripheral */
                                 | Ref(CommentItem)
                                   /* start, end marker pairs : */
                                 | (Ref(EntityMarker), Ref(EntityMarker))
                                 | (Ref(CDATAMarker), Ref(CDATAMarker))
/* core */
psv_elem_attrs       : ElemItem -> { AttrItem }
psv_elem_decl_ns     : ElemItem -> { NSItem } /* declared namespaces */
psv_elem_base_uri    : ElemItem -> uriReference
psv_elem_parent      : ElemItem -> (Ref(ElemItem) | Ref(DocItem))

/* Infoset item for schema type */
psv_elem_schema_type : ElemItem -> Ref(ElemItem)

/* peripheral */
psv_elem_inscope_ns  : ElemItem -> { NSItem } /* in-scope namespaces */

The function dm_elemNode  maps an ElemItem to an ElemNode:

dm_elemNode : ElemItem -> ElemNodefun dm_elemNode(e) {
  name      = qnameValue(psv_elem_uri e, psv_elem_local_name e, Ref(
  nsnodes   = map_set dm_nsNode (psv_elem_decl_ns e)
  attrnodes = map_set dm_attrNode (psv_elem_attrs e)
  kids      = dm_collapse_strings(map_list dm_node (psv_elem_children e))
  type      = dm_schema_type(psv_elem_schema_type e)
  newkids   = if (isSimpleType(type)) (map_list (dm_coerce_string type)
              else kids
  return elemNode(name, nsnodes, attrnodes, newkids, type)

This function extracts components from the ElemItem, transforms them into
instances of data-model values, and then constructs an ElemNode value.

The function dm_schema_type returns a reference to the Def_T value that
corresponds to the  schema type represented by its information-item

dm_schema_type   : Ref(ElemItem) -> Ref(Def_T)

We assume above that if an element's type is a simple type,  its list of
children must contain one string value.  The function dm_coerce_string
coerces its string-valued second argument into an instance of the  simple
type referenced by its first argument.

dm_coerce_string : (Ref(Def_ST), StringValue) -> ST

Ed. Note:

This mapping does not capture an element item's keyref values, which are
maintained in the element item's identity constraints table. The identity
constraints table is created for ``bookkeeping purposes'' by an XML Schema
processor (see [XMLSchema Part 1]).  The mapping of an element item's
identity constraints table into  keyref values will be specified in a
future draft of this document.

The function dm_node maps an information item to a reference to a
data-model node. All information items are preserved in the data model, but
the document type, skipped entity reference, entity markers, and character
data markers are represented by the opaque data type InfoItemNode.

dm_node : InfoItem -> Ref(Node)
fun dm_node(i) {
  case i of
    Ref(PIItem e)            => ref(dm_piNode e)
  | Ref(ElemItem e)          => ref(dm_elemNode e)
  | Ref(CommentItem)         => ref(dm_commNode e)
  | Ref(CharDataItem e)      => ref(dm_char2string e)
  | r as Ref(DocTypeItem)    => ref(infoItemNode r)
  | r as Ref(SkipEntityItem) => ref(infoItemNode r)
  | p as (Ref(EntityMarker), Ref(EntityMarker)) => ref(infoItemNode p)
  | p as (Ref(CDATAMarker),  Ref(CDATAMarker))  => ref(infoItemNode p)

The function dm_char2string takes one CDATA item and maps it to a
StringValue with a string value of length one. Note that the StringValue
constructor preserves the original CDATA item in a InfoItemNode.

dm_char2string : CDATAItem -> StringValuefun dm_char2string(c) {
  /* convert (psv_cdata_code c) to string of length 1 */
  stringValue(code2string(psv_cdata_code c), Ref(Def_string),
              [infoItemNode (ref c)])

The function dm_collapse_strings synthesizes a single string value from
multiple CDATA items. It does this by collapsing one or more consecutive
StringValues in its argument list,  each of which must have the simple
schema type string, into one StringValue whose content is the concatenation
of the values of the consecutive StringValues.  All other node values are
returned unchanged.

dm_collapse_strings : [ Ref(Node) ] -> [ Ref(Node) ]
fun dm_collapse_strings(nodelist) {
  case nodelist of :
    []     => return []
  | [ n ]  => return [ n ]
  | h1 as Ref(StringValue(s1, Ref(Def_string), i1)) :: t1 =>
    { case t1 of :
        []   =>   return [ h1 ]
        /* Collapse two consecutive strings and
           apply dm_collapse_strings recursively */
      | Ref(StringValue(s2, Ref(Def_string), i2)) :: t2 =>
          return dm_collapse_strings(
                   ref(stringValue(concat_string(s1, s2),
                                   concat_list(i1, i2))) :: t2)
      | h :: t => return (h :: (dm_collapse_strings t))

A.5 Attribute Items

The following accessors are defined for attribute information items:

/* core */
psv_attr_children     : AttrItem -> [ Ref(CDATAItem) ]
psv_attr_uri          : AttrItem -> uriReference
psv_attr_local_name   : AttrItem -> string
psv_attr_owner_elem   : AttrItem -> Ref(ElemItem)

/* Infoset item for schema type */
psv_attr_schema_type  : AttrItem -> Ref(ElemItem)

/* peripheral */
psv_attr_type         : AttrItem -> string
psv_attr_spec_flag    : AttrItem -> SpecifiedFlag
psv_attr_default      : AttrItem -> [ Ref(CDATAItem) ]
psv_attr_start_entity : AttrItem -> Ref(EntityMarker)
psv_attr_end_entity   : AttrItem -> Ref(EntityMarker)

The function dm_attrNode  maps an AttrItem to an AttrNode:

dm_attrNode : AttrItem -> AttrNode fun dm_attrNode(a) {
   name = qnameValue(psv_attr_uri a, psv_attr_local_name a, ref(Def_QName))
   /* An attribute value should be one string */
   value = head(dm_collapse_strings(map_list dm_node (psv_attr_children
   type = dm_schema_type(psv_attr_schema_type a)
   /* convert value to appropriate type */
   return attrNode(name, (dm_coerce_string type value))

A.6 Namespace Items

The following accessors are defined for namespaces:

/* core */
psv_ns_prefix        : NSItem -> string
psv_ns_uri           : NSItem -> uriReference
psv_ns_value         : NSItem -> [ Ref(CDATAItem) | Ref(EntityMarker) ]
psv_ns_owner_elem    : NSItem -> Ref(ElemItem)

The function dm_nsNode  maps an NSItem to an NSNode:

dm_nsNode : NSItem -> NSNode fun dm_nsNode(i) {
   /* what happens to NS node's CDATA children? */
   return nsNode(stringValue(psv_ns_prefix i, ref(Def_string), []),
                 urirefValue(psv_ns_uri i, ref(Def_uriReference))

A.7 Processing Instruction Items

The following accessors are defined on processing-instruction information

/* core */
psv_pi_target        : PIItem -> string
psv_pi_value         : PIItem -> string
psv_pi_base_uri      : PIItem -> uriReference
psv_pi_parent        : PIItem
                     -> (Ref(ElemItem) | Ref(DocItem) | Ref(DocTypeItem))

The function dm_piNode  maps an PIItem to an PINode:

dm_piNode : PIItem -> PINode fun dm_piNode(i) {
  return piNode(stringValue(psv_pi_target i, ref(Def_NCName), []),
                stringValue(psv_pi_value i, ref(Def_string), []))

A.8 Comment Items

The following accessor is defined on comment information items:

/* core */
psv_comm_value        : CommentItem -> string
psv_comm_parent       : CommentItem
                      -> (Ref(ElemItem) | Ref(DocItem) | Ref(DocTypeItem))

The function dm_commNode  maps an CommentItem to an CommentNode:

dm_commNode : CommentItem -> CommentNode fun dm_commNode(i) {
  return  commNode(stringValue(psv_comm_value i, ref(Def_string), []))

A.9 Other Information Items

The data model represents  document type, skipped entity reference, entity
markers, and character data markers as instances of the opaque data type
InfoItemNode. For completeness, the following accessors are defined for
these information items.

/* Skip Entity Item : core */
psv_skip_entity_item : SkipEntityItem -> string
psv_skip_entity_ref  : SkipEntityItem -> Ref(EntityItem)
psv_skip_entity_parent : SkipEntityItem -> Ref(ElemItem)

/* CDATA Item : core */
psv_cdata_code       : CDATAItem -> Code
psv_cdata_parent     : CDATAItem -> Ref(ElemItem)
/* CDATA Item : peripheral */
psv_cdata_whitespace : CDATAItem -> boolean
psv_cdata_predefined : CDATAItem -> boolean

/* Document Type Item :  peripheral */
psv_doctype_entity   : DocTypeItem -> Ref(EntityItem)
psv_doctype_children : DocTypeItem -> [ Ref(CommentItem) | Ref(PIItem) ]
psv_doctype_parent   : DocTypeItem -> Ref(DocItem)

/* Entity Item : core */
psv_entity_name      : EntityItem -> string
psv_entity_sysid     : EntityItem -> string
psv_entity_pubid     : EntityItem -> string
psv_entity_notat     : EntityItem -> Ref(NotationItem)
psv_entity_base_uri  : EntityItem -> uriReference

/* Entity Item : peripheral */
psv_entity_type      : EntityItem -> string
psv_entity_content   : EntityItem -> string
psv_entity_encoding  : EntityItem -> string
psv_entity_standalone: EntityItem -> string /* "yes", "no", "notpresent" */

/* Entity Marker : core */
psv_entity_marker_entity : EntityMarker -> Ref(EntityItem)
psv_entity_marker_parent : DocTypeItem
                         -> (Ref(ElemItem) | Ref(AttrItem) | Ref(NSItem))

/* Notation Item : core */
psv_notation_name    : NotationItem -> string
psv_notation_sysid   : NotationItem -> string
psv_notation_pubid   : NotationItem -> string
psv_notation_base_uri: NotationItem -> uriReference

/* CDATA Marker : core */
psv_cdata_marker_parent : CDataMarker
                        -> (Ref(ElemItem) | Ref(AttrItem) | Ref(NSItem))

B Candidate Operators for XML Query Algebra

There is a close correspondence between the data model and the algebraic
operations that are applied to instances of the data model.  In this
appendix, we identify those algebraic operators that  are candidate
operators for the algebra.

B.1 Equality Operators

An algebra typically defines at least one equality operator for all types
in the data model. We assume the algebra includes two equality operators:
node_equal and ref_equal, which define equality on node values and on node
references. We assume that these operators are provided by the data-model
implementation and conform to the constraints specified in Constraints on
the Data Model. The algebra may define other equality operators, for
example,  that perform coercions between values of different types.

B.2 Serialization Operators

In the XPath data model, every kind of node has an associated string value,
i.e., a string serialization  of the node's value. The data model already
provides an operator for serializing a ValueNode as a string. The algebra
also may include one or more operators to serialize a Node as a string:

serialize : Node -> StringValue

One serialization operator may emit a node value  in Canonical XML. Other
operators may choose other serializations.

B.3 Order Operators

Given an instance of the data model, an ordering relation  on its nodes can
be defined.   For example, document order, i.e., the absolute order of
nodes in an input document, is a property that a user of the XML Query
Language may want to query.

Given a single input document, a global,  total order can be defined on
nodes.  In general, however, it may not be possible to define a global
order, for example when a data model instance contains nodes from multiple
input documents. Therefore, it may be useful and necessary to have
multiple ordering relations, e.g., one that is global and one that is

globalOrder  : (Instance, Node) -> IntegerValue
partialOrder : (Instance, Node) -> IntegerValue

Order operators must be defined over a particular instance of the data
model.  The functions return an integer order value given an instance of
the data model and a node contained in that instance.

B.4 Accessors for Reference Values

Although reference values are often contained in attribute nodes,  they
typically represent element-to-element relationships. For convenience, the
algebra may define additional accessor functions that produce the
references associated with a particular element.

For example, the idrefs function takes an ElemNode and returns a list of
references to element nodes that are referenced by IDREF values in the
element's attribute and children components; this accessor is defined in
terms of existing accessors:

idrefs : ElemNode -> [ Ref(ElemNode) ]
fun idrefs(n) {
    flat_list [ referent(v) | a <- list(attributes(n)), v = value(a),
                isIDREFValue(v) ],
    flat_list [ referent(c) | c <- children(n), isIDREFValue(c) ])

The function is defined using a list comprehension, which is based on a
familiar notation for sets.  The second expression above:

[ referent(c) | c <- children(n), isIDREFValue(c) ]

is read as follows: return the list of the referent values of each node c
such that c is a child of n and c is a IDREFValue. Since referent produces
a list, the result of this expression is a list of lists: flat_list takes a
list of lists and returns the flattened list, and  concat_list concatenates
the two lists into one. The attributes accessor returns a set, not a list,
so the list function converts (non-deterministically) a set to a list.

The links accessor is analogous to  idrefs, but returns non-null URI values
that occur in the element's attributes and  children components; it is
defined as:

links : ElemNode -> [ Ref(ElemNode) ]
fun links(n) {
    flat_list [ referent(v) | a <- list(attributes(n)), v = value(a),
                isURIRefValue(v), not(referent(v) = NaR) ],
    flat_list [ referent(v) | c <- children(n), isURIRefValue(c),
                not(referent(c) = NaR)])

C Internal Open Issues

(See attached file: mff.vcf)
Received on Thursday, 16 November 2000 10:59:33 GMT

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