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DATA MODEL PATTERNS
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DATA MODEL PATTERNS
A Metadata Map

David C. Hay
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Data model patterns : a metadata map / David C. Hay.
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To my mother, Henrietta Hay, who taught me to write well
and to appreciate good writing.
This Page Intentionally Left Blank
CHRONO-SYNCLASTIC INFUNDIBULA—Just imagine that your Daddy is the smartest
man who ever lived on Earth, and he knows everything there is to find out, and he
is exactly right about everything, and he can prove he is right about everything.
Now imagine another little child on some nice world a million light-years away,
and that little child’s Daddy is the smartest man who ever lived on that nice world
so far away. And he is just as smart and just as right as your Daddy is. Both
Daddies are smart, and both Daddies are right.
Only if they ever met each other they would get into a terrible argument, because
they wouldn’t agree on anything. Now, you can say that your Daddy is right
and the other little child’s Daddy is wrong, but the Universe is an awfully big
place. There is room enough for an awful lot of people to be right about things and
still not agree.
The reason both Daddies can be right and still get into terrible fights is because there
are so many different ways of being right. There are places in the Universe, though,
where each Daddy could finally catch on to what the other Daddy was talking
about. These places are where all the different kinds of truths fit together as nicely
as the parts in your Daddy’s solar watch. We call these places chrono-synclastic
infundibula.
...
Chrono (KROH-no) means time. Synclastic (sin-CLASS-tick) means curved
toward the same side in all directions, like the skin of an orange. Infundibulum
(in-fun-DIB-u-lum) is what the ancient Romans like Julius Caesar and Nero called
a funnel. If you don’t know what a funnel is, get Mommy to show you one.

—Kurt Vonnegut Jr.

From The Sirens of Titan, © copyright 1988
by Kurt Vonnegut
Used by permission of Dell Publishing,
a division of Random House, Inc.
This Page Intentionally Left Blank
CONTENTS

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix

CHAPTER 1: ABOUT METADATA MODELS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

WHAT ARE METADATA? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

IN SEARCH OF METADATA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
THE ARCHITECTURE FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
The Rows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
The Columns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
METAMODELS AND THE FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Locations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
People and Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Timing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
THE NOTATION: OBJECT AND ENTITY CLASSES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Class Model (UML) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Entity-Relationship Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
LEVEL OF ABSTRACTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

CHAPTER 2: DATA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

DATA AND THE ARCHITECTURE FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

THE BUSINESS OWNER AND BUSINESS RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
ROW TWO: BUSINESS TERMS, CONCEPTS, AND FACT TYPES . . . . . . . . . . . . . . . . . . . . . 37
Terms and Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Ontologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Propositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Fact Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

ix
x CONTENTS

Authorship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Document Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
The Dublin Core . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Data Stewardship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
ROW THREE: THE ENTITY-RELATIONSHIP DIAGRAM . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Sample Entity-Relationship Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Entity Classes and Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Relationships and Relationship Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
Entity Class Views . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
About Reference Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
ROW FOUR: DATA DESIGN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Relational Database Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Object-Oriented Data Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
ROW SIX: THE PRODUCTION SYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

CHAPTER 3: ACTIVITIES, FUNCTIONS, AND PROCESSES . . . . . . . . . . . . . . . . . . . . 123

ACTIVITIES AND THE ARCHITECTURE FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123

DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
TYPES OF PROCESS MODELS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
ROW TWO: FUNCTIONS AND BUSINESS PROCESSES . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
Business Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Sample Process Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
Motivating Business Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
Access Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
ROW THREE: PROCESSING DATA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
A Data Flow Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
System Processes and Data Flows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
Access Roles and System Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150
Essential System Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
ROW FOUR: PROGRAM MODULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
Basic Module Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
Program Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
Object Modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
ROW SIX: PROGRAM INVENTORY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178

CHAPTER 4: LOCATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183

ABOUT LOCATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183

Site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
Geographic Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
 CONTENTS xi

ROW TWO: PLACING PARTIES, BUSINESS PROCESSES, AND MOTIVATION . . . . . . . . . . . . . . 192

Business Locations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
Means, End, and Effort . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
ROW THREE: DATA FLOW DIAGRAMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
ROW FOUR: PLACING DATA AND PROGRAMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
ROW SIX: SYSTEM INVENTORY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
Database Instances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
Servers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205

CHAPTER 5: PEOPLE AND ORGANIZATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209

THE PEOPLE AND ORGANIZATIONS COLUMN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209

ABOUT PEOPLE AND ORGANIZATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
ROW TWO: THE BUSINESS OWNER’S VIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
Access Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
Concepts, Symbols, and Signifiers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
Activities, Decisions, and Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
Means and Ends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
ROW THREE: THE ARCHITECT’S VIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
ROW FOUR: THE DESIGNER’S VIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
Interactive Modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236
ROW SIX: SECURITY AND GOVERNANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243

CHAPTER 6: EVENTS AND TIMING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245

THE EVENTS AND TIMING COLUMN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245

ROW TWO: BUSINESS EVENT TYPES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
External Business Event Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
Internal Business Event Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
ROW THREE: SYSTEM EVENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
State-Transition Diagram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254
Entity Life History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
Essential System Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263
The Feedback Loop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266
ROW FOUR: PROGRAM EVENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
Object Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270

CHAPTER 7: MOTIVATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273

THE MOTIVATION COLUMN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273

About Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
Mission and Vision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
Ends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
Means . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278
xii CONTENTS

Directives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
Influencers and Assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284
Directive Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
ROW THREE: THE ARCHITECT’S VIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
About Business Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
Sample Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
Domains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
System Constraints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312
Business Rule Mapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
Data Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321
ROW FOUR: THE DESIGNER’S VIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322
Sample Database Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324
Database Constraints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
Object-Oriented Constraints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
Links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 336
Data Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338
ROW SIX: MEASURING DATA QUALITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338

GLOSSARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343

REFERENCES AND FURTHER READING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391

ABOUT THE AUTHOR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395

INDEX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
PREFACE

ABOUT METADATA
Twenty years ago, when I started working as a consultant with the Oracle
Corporation, I learned a particular style of data modeling. I had done database
design for many years before that, and often illustrated my designs with draw-
ings. The particular flavor of modeling I learned at Oracle, however, was very
different. For the first time, I was modeling the structure—the language—of a
company, not just the structure of a database. How does the organization under-
stand itself and how can I represent that so that we can discuss the information
requirements?
Thanks to this approach, I was able to go into a company in an industry about
which I had little or no previous knowledge and, very quickly, to understand the
underlying nature and issues of the organization—often better than most of the
people who worked there. Part of that has been thanks to the types of questions
data modeling forces me to ask and answer. More than that, I quickly discovered
common patterns that apply to all industries.
It soon became clear to me that what was important in doing my work effi-
ciently was not conventions about syntax (notation) but rather conventions about
semantics (meaning). This was the source of my first book, Data Model Pat-
terns: Conventions of Thought. I had discovered that nearly all commercial and
governmental organizations—in nearly all industries—shared certain semantic
structures, and understanding those structures made it very easy to understand
quickly the semantics that were unique to each.
The one industry that has not been properly addressed in this regard, however,
is our own—information technology. This is at least partly because the patterns
that address most businesses are not as helpful to the understanding this one.
Where a business model represents the semantics of a business, what we need are

xiii
xiv PREFACE

models that represent semantics itself. We need models of the models we use to
describe the business. This is more difficult.
Our industry also has not been properly addressed for the same reason many
companies do not have data models: we have not seen the need. Just as the idea
of modeling an organization’s data seems a little too arcane for many business
people, so too the idea of modeling information technology data seems too strange
for many of us. But the need is definitely there. Just as it is essential for an
organization to better understand the underlying nature of its data (and through
that the underlying nature of its own structure) if it is to acquire and use systems
successfully to meet its customers’ needs, so too is it essential for us to understand
the underlying nature of our data (and through that the underlying nature of our
industry’s own structure) if we are to be successful in producing information
systems products for our customers.
As you will see, some of the semantic patterns are in fact the same for infor-
mation technology as they are for any other industry. Most notably, people and
organizations are components of the information technology world, just as they
are at the heart of any business. Similarly, locating programs and data in the
information technology world is not that different from locating products and
customers in the business world. Beyond these topics, however, the model in this
book is very different from a typical commercial model. Whereas a business is
concerned with modeling products and processes, our model is concerned with
modeling the concepts for describing a product or process.
Aristotle called his work “Meta” physics, simply because it was the one he
wrote after writing the one on physics, the word meta being Greek for “after”.
This book could also be about a “meta” model simply because I am creating it
after years of creating business models. But it is more than that. Because of the
strange nature of Aristotle’s metaphysics, the word meta came to mean “above”
or “beyond”. Because of the strange nature of this model, I am sure no one will
argue against applying the word in this more cosmic sense.

ABOUT THIS BOOK

The “data” in metadata means that this description of our industry will be
expressed as a data model. The concepts are presented here using semantic
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