信息系统间数据交换模型的研究与设计

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摘 要
数据交换能够使企业内部不同信息系统间实现相关数据交互，其建立的目的
在于保持企业内部的信息共享和同步，从而能有效地利用资源，提高系统性能，
加快信息流通。数据交换模型是实现数据交换的核心，它给出了一套完整的数据
存储和访问机制。
本文分析总结了数据交换的建模需求，重点比较了现有几种数据交换模型在
这些需求方面的能力表现，并对这些模型做出评价。本文以基于数据迁移与转移
技术的数据交换模型为主要研究对象，从中间数据的概念出发，提出了一种采用
XML 文档作为中间数据，基于 XML 文档转移技术的数据交换模型。
本文分析了 XML 的优势所在，介绍了 XML 及其相关技术，XML Schema 定
义了文档的合法性，XSLT 提供了文档的转换规则，DOM 提供了 XML 文档的访
问接口。同时也介绍了 Java 及其相关技术，和 Java 对XML 技术的支持。
本文进一步阐述了基于 XML 文档转移技术的数据交换模型的设计方法，提出
了模型的结构框架，包括拓扑结构、体系结构和整体结构，并详细介绍了该框架
中各模块的功能和工作流程等重要内容。同时，还详细阐述了 XML 模式和数据库
关系模式间的映射、XML 文档和数据库数据间的转换、XML 文档的模式验证、
XSLT 的构造和 XML 文档的转换等主要模块的算法和实现。
最后，本文介绍了基于 XML 文档转移技术的数据交换模型的实际应用，并以
J2EE 为平台搭建了一个售后服务系统，实现了两个不同部门信息系统间的数据交
换功能，证明模型的可行性，同时也指出了模型有待进一步改进完善之处。
关键词：数据交换 XML XML Schema XSLT DOM 模式映射
ABSTRACT
Data exchange can make the related data that is between the information systems of
different departments in enterprise be accessed by each other, whose establishment aims
at keeping sharing and synchronization of data in enterprise, thus utilizes resources
effectively, improves the performance of the system and accelerates data circulation.
Data exchange model, which defines a whole rules to store and access data, is the core
of data exchange.
First, this paper specifies and summarizes the requirements of data exchange model.
The capabilities of the existing data exchange models in these requirements fields are
provided and various approaches are assessed. This paper deals with data exchange
model based on technology of data transfer. The method of this data exchange model is
expatiated based on the mid-data. A data exchange model which adopts XML as the
mid-data and is based on technology of XML transfer is put forward.
Then, this paper analyzes the dominance of XML, introduces the related
technologies. XML Schema defines the data type and data legality. XSLT provides the
rules for transform between different XML. DOM provides the interface for accessing
XML. This paper also presents Java, the related technologies and the supports to XML
by Java.
Furthermore, this paper presents ways of designing the data exchange model based
on XML transfer. Structure framework is introduced, which includes topological
structure, architecture and whole structure. Module function and working process of the
framework are also introduced. This paper presents the arithmetic and realization of
main module, such as the map of XML Schema and relational schema of database, the
transform of XML document and database information, XML document schema
validation, construction of XLST, transform of XML document and et al.
Finally, practical application of the data exchange model based on technology of
XML transfer is introduced. An after-service system is set up based on J2EE platform.
It realizes the function of data exchange between two information systems of different
departments and certifies the feasibility of this model. And the further improvements of
the model are pointed out.
Key Word: Data Exchange, XML, XML Schema, XSLT, DOM,
Schema Map
目 录
中文摘要
ABSTRACT
第一章 绪论 ························································································ 1
§1.1 引言 ······················································································· 1
§1.2 数据交换技术的研究现状 ···························································· 1
§1.3 本论文研究的主要内容 ······························································· 5
第二章 现有相关技术的研究 ··································································· 7
§2.1 XML 及其相关技术 ····································································7
§2.1.1 XML 的发展 ······································································· 7
§2.1.2 XML 的特点 ······································································· 8
§2.1.3 XML 的组成部分 ································································10
§2.1.4 XML 文档分类 ···································································17
§2.2 Java 及其相关技术 ··································································· 17
§2.2.1 Java 语言 ·········································································· 17
§2.2.2 J2EE 多层体系架构模型 ·······················································18
§2.2.3 Java XML 组件 ···································································20
§2.3 小结 ······················································································22
第三章 数据交换模型的总体框架 ··························································· 23
§3.1 系统的需求和模式选择 ····························································· 23
§3.1.1 数据交换模型的需求分析 ·····················································23
§3.1.2 数据交换模型的模式选择 ·····················································25
§3.2 数据交换模型的结构设计 ·························································· 27
§3.2.1 数据交换模型的拓扑结构设计 ···············································27
§3.2.2 数据交换模型的体系结构设计 ···············································28
§3.2.3 数据交换模型的整体结构设计 ···············································29
§3.3 数据交换模型的模块设计 ·························································· 31
§3.3.1 数据交换终端节点设计 ························································ 31
§3.3.2 数据交换平台设计 ······························································ 33
§3.3.3 信息注册平台设计 ······························································ 35
§3.4 数据交换模型的工作流程 ·························································· 36
第四章 数据交换模型的详细设计 ··························································· 39
§4.1 数据库模式到 XML 模式映射方法 ··············································· 39
§4.1.1 关系模式模型 ···································································· 40
§4.1.2 XML Schema 抽象模型 ························································· 41
§4.1.3 关系模式到 XML Schema 映射方法 ········································ 41
§4.2 数据库数据与 XML 文档之间转换方法 ········································· 45
§4.2.1 从数据库到 XML 文档的转换 ················································45
§4.2.2 XML 文档非终节点序对集 ··················································· 47
§4.2.3 XML 文档存入数据库 ··························································49
§4.3 XML 文档模式验证方法 ···························································· 50
§4.3.1 基于 AXSM 的XML 模式验证 ·············································· 51
§4.3.2 复杂类型有限自动机及其构造 ···············································51
§4.3.3 模式验证算法 ···································································· 52
§4.4 XML 文档间转换 ····································································· 54
§4.4.1 基于 XSLT 的XML 文档转换 ················································54
§4.4.2 XSLT 样式表单构造方法 ······················································55
§4.4.3 XML 文档转换方法 ·····························································57
§4.5 小结 ······················································································58
第五章 应用实例 ·················································································59
§5.1 数据交换模型在售后服务系统中的应用 ········································ 59
§5.1.1 某公司售后服务系统的现状 ··················································59
§5.1.2 系统的体系结构 ································································· 60
§5.2 终端平台的模式映射和数据转换 ················································· 61
§5.2.1 模式映射 ·········································································· 61
§5.2.2 数据转换 ·········································································· 64
§5.3 数据交换平台的实现 ·································································66
§5.3.1 用户分配和权限管理 ··························································· 67
§5.3.2 注册本地 XML Schema 并生成 XSLT 样式表单 ························· 67
§5.3.3 用户上传 XML 文档 ····························································70
§5.3.4 用户下载 XML 文档 ····························································70
§5.4 小结 ······················································································71
第六章 总结与展望 ··············································································72
§6.1 全文总结 ················································································72
§6.2 进一步的研究工作 ····································································73
参考文献 ··························································································· 74
在读期间公开发表的论文和承担科研项目及取得成果 ··································77
致 谢 ······························································································ 78
第一章 绪 论
1
第一章 绪 论
§1.1 引言
随着计算机网络技术的迅猛发展，信息技术正向企业内部全面渗透，推进企
业逐步实现办公自动化、电子化、网络化以及全面的信息共享。
近年来，企业内部的信息化进程十分迅速，很多企业都已经开发或正在开发
自己的管理信息系统，同时运用各种大型数据库管理系统来管理业务数据。然而
企业在信息化建设过程中，由于其各职能部门间业务和功能的差异，以及构建自
身信息系统时间和规模的不同，它们的办公信息化平台通常会采用不同的实现形
式和选用不同的关系型数据库管理系统[1,2,3]，如 Oracle、Sybase、MS Sql server
等。无论选用何种数据库产品，由于构建数据模型上的不同和设计方法上的区别，
各部门所建的数据库往往会存在较大差异，形成许多相互隔离且数据表示不一的
管理信息系统。同时，由于各个数据库系统为独立的实体，通常不希望外来用户
控制或使用本地数据库系统，从而阻碍了信息系统间的联系。这些孤立的信息系
统就像一个个“信息孤岛”，严重制约着企业内部的信息共享和同步。然而在现
实工作中，一项业务的申报和审批流程往往需要多个部门的协同处理方可完成，
但是由于这些部门间信息化水平的差异，无法提供一套较好的企业数据共享、同
步和更新机制，往往造成企业信息在不同部门需进行额外处理，从而给这些部门
的管理和日常工作带来诸多不便，并降低其工作效率。
为了解决上述问题，通常采用对企业内部各个信息平台进行信息系统集成建
设[4,5,6]。所谓信息系统集成，就是在原有的各个分散、独立的信息系统的基础上，
利用先进的数据交换技术[7]，将其各项信息资源共享或同步，使企业内部的所有
信息得到最大化利用。而实现这一技术的关键则是设计出行之有效的数据交换模
型[8]，通过该模型，在不同的系统间传递数据，实现数据共享，减少重复的手工
操作及由此带来的差错，提高信息的传输速度和处理效率。
§1.2 数据交换技术的研究现状
数据在不同实体间的交换过程称为数据交换，其目的是为了很好地解决“信
息孤岛”问题，而解决该问题的关键在于对数据库异构性的处理。
信息系统间数据交换模型的研究与设计
2
二十世纪七十年代，随着数据库技术的迅速发展，相继产生了关系型数据库
和分布式数据[1,3,9]，带来了数据库系统的繁荣以及数据库应用的普及，然而由此
也带来了新的问题。由于不同的发展阶段、不同应用目的而产生的不同数据库系
统，需要有机的结合在一起共同使用，这便首次产生了数据库异构性的概念[2,10]。
到二十世纪九十年代开始，在 Web、新的应用要求以及硬件技术的共同推动下，
数据库不断向更大、功能更强、种类更多的方向发展，同时也推进了数据库异构
性理论的研究。目前数据库系统异构性主要体现在以下几个方面：
1．基本操作系统的异构，各个数据库系统的操作系统可以是 Windows，
Unix，Linux 等；
2．数据模型的异构，各个数据库系统的数据模型可以是关系型，网状型，
层次型，面向对象型；
3．关系型数据库管理系统（DBMS）的异构，包括 Oracle，
Sql Server，
DB2，
MySql 等。
如何实现不同数据库间数据信息资源合并和共享，如何保护已经建立的资源，
充分利用各个部门已经使用的数据库，实现不同数据库之间的连接，已成为解决
数据库异构性问题的关键，而数据交换技术是解决该问题的一种行之有效的方法。
目前用于处理数据库异构性的交换解决方案有许多种，分别依赖于许多因素，包
括信息平台的规模、行业类别、应用的集成度、项目系统的复杂度、所需交换数
据的类型以及预算等，这些方法虽能有效地访问不同的数据库中数据并在逻辑上
将其集成起来，但也存在不足之处。
早期，由于系统规模相对较小，当需要对企业内部的不同信息系统进行集成
时，往往会考虑重新开发新的业务系统以解决系统的兼容性。因为在一个系统间
连接所有现有的数据源的代码实现相对简单，且通过对原有系统各自业务逻辑的
整合与归并，使得实现业务逻辑的同时，就完成不同数据源的数据交换，该方法
体现出了较高的效率。如当某个用户在向销售部门录入订单信息的同时，需要同
时将该订单中的零件信息交换至零件中心的数据库中，通过重新封装原系统订单
录入模块的业务逻辑，可以很有效地将订单数据交换至零件中心的系统之中。但
是随着企业系统规模及业务复杂度的不断扩大，重新封装甚至开发新的业务系统，
就时间、成本、实施等方面考虑都是不可行和不可接受的，而且也不易于系统的
稳定实施与升级。于是，人们开始考虑通过整合原有系统，以达到数据交换的目
的。这种方法并不用改变原系统中的业务逻辑层代码，只需直接在数据访问层做
应用开发即可，从而很好的保留了原有的应用逻辑和数据结构，不会对系统的使
摘要：

摘要数据交换能够使企业内部不同信息系统间实现相关数据交互，其建立的目的在于保持企业内部的信息共享和同步，从而能有效地利用资源，提高系统性能，加快信息流通。数据交换模型是实现数据交换的核心，它给出了一套完整的数据存储和访问机制。本文分析总结了数据交换的建模需求，重点比较了现有几种数据交换模型在这些需求方面的能力表现，并对这些模型做出评价。本文以基于数据迁移与转移技术的数据交换模型为主要研究对象，从中间数据的概念出发，提出了一种采用XML文档作为中间数据，基于XML文档转移技术的数据交换模型。本文分析了XML的优势所在，介绍了XML及其相关技术，XMLSchema定义了文档的合法性，XSLT提供了...

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