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 Kroenke 40th Anniversary Edition
Auer
Vandenberg
Yoder
D ATA B A S E P R O C E S S I N G
FUNDAMENTALS, DESIGN, AND IMPLEMENTATION

D ATA B A S E P R O C E S S I N G
FUNDAMENTALS, DESIGN, AND IMPLEMENTATION

FIFTEENTH
David M. Kroenke David J. Auer Scott L. Vandenberg Robert C. Yoder
www.pearson.com
EDITION

FIFTEENTH EDITION
 vi Contents

SQL Enhancements for Querying a Single Table 66

Reading Specified Rows from a Single Table 66 • Reading Specified Columns and Rows from a
Single Table 70 • Sorting the SQL Query Results 70 • SQL WHERE Clause Options 73
Performing Calculations in SQL Queries 80
Using SQL Built-in Aggregate Functions 81 • SQL Expressions in SQL SELECT Statements 85
Grouping Rows in SQL SELECT Statements 88
Querying Two or More Tables with SQL 93
Querying Multiple Tables with Subqueries 93 • Querying Multiple Tables with Joins 96
• Comparing Subqueries and Joins 102 • The SQL JOIN ON Syntax 102 • SQL Queries
on Recursive Relationships 106 • Outer Joins 107 • Using SQL Set Operators 111
Summary 115 • Key Terms 116 • Review Questions 117 • Exercises 124
• Case Questions 129 • The Queen Anne Curiosity Shop Project Questions 133
• Morgan Importing Project Questions 140

PART 2 ■ Database Design 145

Chapter 3: The Relational Model and Normalization 146

Chapter Objectives 146
Relational Model Terminology 148
Relations 148 • Characteristics of Relations 149 • Alternative Terminology 151
• To Key, or Not to Key—That Is the Question! 152 • Functional Dependencies 152
• Finding Functional Dependencies 154 • Keys 157
Normal Forms 161
Modification Anomalies 161 • A Short History of Normal Forms 162 • Normalization
Categories 163 • From First Normal Form to Boyce-Codd Normal Form Step by Step 164
• Eliminating Anomalies from Functional Dependencies with BCNF 167 • Eliminating
Anomalies from Multivalued Dependencies 177 • Fifth Normal Form 181 • Domain/Key
Normal Form 181
Summary 181 • Key Terms 182 • Review Questions 183 • Exercises 185
• Case Questions 186 • The Queen Anne Curiosity Shop Project Questions 187
• Morgan Importing Project Questions 189

Chapter 4: Database Design Using Normalization 191

Chapter Objectives 191
Assess Table Structure 192
Designing Updatable Databases 193
Advantages and Disadvantages of Normalization 193 • Functional Dependencies 194
• Normalizing with SQL 194 • Choosing Not to Use BCNF 196 • Multivalued
Dependencies 196
Designing Read-Only Databases 197
Denormalization 197 • Customized Duplicated Tables 198
Common Design Problems 200
The Multivalue, Multicolumn Problem 200 • Inconsistent Values 202 • Missing
Values 203 • The General-Purpose Remarks Column 204
Summary 205 • Key Terms 206 • Review Questions 206 • Exercises 208
• Case Questions 209 • The Queen Anne Curiosity Shop Project Questions 209
• Morgan Importing Project Questions 210

Chapter 5: Data Modeling with the Entity-Relationship Model 212

Chapter Objectives 212
The Purpose of a Data Model 213

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 Contents vii

The Entity-Relationship Model 213

Entities 214 • Attributes 214 • Identifiers 214 • Relationships 215 • Maximum
Cardinality 217 • Minimum Cardinality 218 • Entity-Relationship Diagrams and Their
Versions 219 • Variations of the E-R Model 219 • E-R Diagrams Using the IE Crow’s Foot
Model 220 • Strong Entities and Weak Entities 222 • ID-Dependent Entities 222
• Non–ID-Dependent Weak Entities 223 • The Ambiguity of the Weak Entity 224
• Subtype Entities 225
Patterns in Forms, Reports, and E-R Models 227
Strong Entity Relationship Patterns 228 • ID-Dependent Relationship Patterns 231
• Mixed Identifying and Nonidentifying Relationship Patterns 238 • The For-Use-By Subtype
Pattern 241 • Recursive Relationship Patterns 242
The Data Modeling Process 245
The College Report 246 • The Department Report 247 • The Department/Major
Report 249 • The Student Acceptance Letter 249
Summary 252 • Key Terms 253 • Review Questions 253 • Exercises 256
• Case Questions 262 • The Queen Anne Curiosity Shop Project Questions 265
• Morgan Importing Project Questions 265

Chapter 6: Transforming Data Models into Database Designs 267

Chapter Objectives 267
The Purpose of a Database Design 268
Create a Table for Each Entity 268
Selecting the Primary Key 268 • Specifying Alternate Keys 271 • Specifying Column
Properties 271 • Verify Normalization 278
Create Relationships 279
Relationships Between Strong Entities 279 • Relationships Using ID-Dependent
Entities 283 • Relationships with a Weak Non–ID-Dependent Entity 287 • Relationships in
Mixed Entity Designs 288 • Relationships Between Supertype and Subtype Entities 289
• Recursive Relationships 290 • Representing Ternary and Higher-Order Relationships 292
• Relational Representation of the Highline University Data Model 295
Design for Minimum Cardinality 296
Actions when the Parent Is Required 297 • Actions when the Child Is
Required 299 • Implementing Actions for M-O Relationships 300 • Implementing Actions
for O-M Relationships 301 • Implementing Actions for M-M Relationships 301 • Designing
Special Case M-M Relationships 302 • Documenting the Minimum Cardinality Design 302
• An Additional Complication 304 • Summary of Minimum Cardinality Design 304
The View Ridge Gallery Database 305
View Ridge Gallery Database Summary of Requirements 305 • The View Ridge
Data Model 306 • Database Design with Data Keys 307 • Minimum Cardinality
Enforcement for Required Parents 308 • Minimum Cardinality Enforcement for the Required
Child 310 • Column Properties for the View Ridge Database Design Tables 311
Summary 313 • Key Terms 316 • Review Questions 316 • Exercises 318
• Case Questions 319 • The Queen Anne Curiosity Shop Project Questions 321
• Morgan Importing Project Questions 321

PART 3 ■ Database Implementation 323

Chapter 7: SQL for Database Construction and Application

Processing 324
Chapter Objectives 324
The Importance of Working with an Installed DBMS Product 325
The View Ridge Gallery Database 325
SQL DDL and DML 325

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 viii Contents

Managing Table Structure with SQL DDL 327

Creating the VRG Database 327 • Using SQL Scripts 327 • Using the SQL CREATE
TABLE Statement 328 • Variations in SQL Data Types and SQL/PSM 329 • Creating the
VRG Database ARTIST Table 329 • Creating the VRG Database WORK Table and the 1: N
ARTIST-to-WORK Relationship 332 • Implementing Required Parent Rows 333
• Implementing 1:1 Relationships 334 • Casual Relationships 334 • Creating Default
Values and Data Constraints with SQL 335 • Creating the VRG Database Tables 336
• The SQL ALTER TABLE Statement 340 • The SQL DROP TABLE Statement 340
• The SQL TRUNCATE TABLE Statement 341 • The SQL CREATE INDEX
Statement 341
SQL DML Statements 342
The SQL INSERT Statement 342 • Populating the VRG Database Tables 343 • The
SQL UPDATE Statement 349 • The SQL MERGE Statement 350 • The SQL DELETE
Statement 351
Using SQL Views 352
Using SQL Views to Hide Columns and Rows 355 • Using SQL Views to Display Results of
Computed Columns 356 • Using SQL Views to Hide Complicated SQL Syntax 357
• Layering Built-in Functions 358 • Using SQL Views for Isolation, Multiple Permissions, and
Multiple Triggers 360 • Updating SQL Views 361
Embedding SQL in Program Code 362
SQL/Persistent Stored Modules (SQL/PSM) 364 • Using SQL User-Defined
Functions 364 • Using SQL Triggers 367 • Using Stored Procedures 373 • Comparing
User-Defined Functions, Triggers, and Stored Procedures 376
Summary 378 • Key Terms 380 • Review Questions 381 • Exercises 391
• Case Questions 395 • The Queen Anne Curiosity Shop Project Questions 409
• Morgan Importing Project Questions 416

Chapter 8: Database Redesign 424

Chapter Objectives 424
The Need for Database Redesign 425
SQL Statements for Checking Functional Dependencies 425
What Is a Correlated Subquery? 426
How Do I Analyze an Existing Database? 431
Reverse Engineering 432 • Dependency Graphs 433 • Database Backup and Test
Databases 433
Changing Table Names and Table Columns 434
Changing Table Names 434 • Adding and Dropping Columns 436 • Changing a Column
Data Type or Column Constraints 437 • Adding and Dropping Constraints 438
Changing Relationship Cardinalities 438
Changing Minimum Cardinalities 438 • Changing Maximum Cardinalities 439
Adding and Deleting Tables and Relationships 442
Forward Engineering 443
Summary 443 • Key Terms 445 • Review Questions 445 • Exercises 447
• Case Questions 448 • The Queen Anne Curiosity Shop Project Questions 449
• Morgan Importing Project Questions 450

PART 4 ■ Multiuser Database Processing 453

Chapter 9: Managing Multiuser Databases 454

Chapter Objectives 454
The Importance of Working with an Installed DBMS Product 455
Database Administration 455
Managing the Database Structure 456

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 Contents ix

Concurrency Control 457

The Need for Atomic Transactions 458 • Resource Locking 461 • Optimistic Versus
Pessimistic Locking 463 • SQL Transaction Control Language and Declaring Lock
Characteristics 464 • Implicit and Explicit COMMIT TRANSACTION 466 • Consistent
Transactions 466 • Transaction Isolation Level 467 • SQL Cursors 468
Database Security 470
Processing Rights and Responsibilities 470 • DBMS Security 471 • DBMS Security
Guidelines 472 • Application Security 474 • The SQL Injection Attack 475
Database Backup and Recovery 475
Recovery via Reprocessing 476 • Recovery via Rollback/Rollforward 476
Managing the DBMS 479
Maintaining the Data Repository 480
Summary 481 • Key Terms 482 • Review Questions 483 • Exercises 484
• Case Questions 485 • The Queen Anne Curiosity Shop Project Questions 486
• Morgan Importing Project Questions 488

Chapter 10: Managing Databases with Microsoft SQL Server 2017,

Oracle Database, and MySQL 5.7 490
Chapter Objectives 490
Installing the DBMS 491
Using the DBMS Database Administration and Database Development Utilities 492
Creating a Database 492
Creating and Running SQL Scripts 492
Reviewing the Database Structure in the DBMS GUI Utility 493
Creating and Populating the View Ridge Gallery VRG Database Tables 493
Creating SQL Views for the View Ridge Gallery VRG Database 493
Importing Microsoft Excel Data into a Database Table 493
Database Application Logic and SQL/Persistent Stored Modules (SQL/PSM) 493
DBMS Concurrency Control 494
DBMS Security 494
DBMS Database Backup and Recovery 494
Other DBMS Topics Not Discussed 494
Choose Your DBMS Product(s)! 495
Summary 495 • Key Terms 496 • Exercises 496

ONLINE CHAPTER: SEE PAGE 495 FOR INSTRUCTIONS

Chapter 10A: Managing Databases with Microsoft SQL
Server 2017
Chapter Objectives
The Microsoft SQL Server 2017 DBMS
Installing Microsoft SQL Server 2017
Installing Microsoft SQL Server 2017 Required Software • Installing the Microsoft
SQL Server 2017 DBMS • Installing Microsoft SQL Server 2017 Reporting
Services
Microsoft SQL Server 2017 Utilities
SQL CMD and Microsoft PowerShell • Microsoft SQL CLR • The Microsoft SQL Server
Management Studio
Using Microsoft SQL Server 2017
Creating a Microsoft SQL Server 2017 Database
Microsoft SQL Server 2017 SQL Statements and SQL Scripts
Using Existing SQL Scripts • Using a Single SQL Script to Store Multiple SQL Commands
Implementing the View Ridge Gallery VRG Database in Microsoft SQL Server 2017

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 x Contents

Using SQL Scripts to Create and Populate Database Tables • Creating the View Ridge
Gallery VRG Database Table Structure • Reviewing Database Structures in the SQL
Server GUI Display • Indexes • Populating the VRG Database Tables with Data
• Creating SQL Views
Importing Microsoft Excel Data into a Microsoft SQL Server Database Table
Microsoft SQL Server 2017 Application Logic
Transact-SQL • User-Defined Functions • Stored Procedures • Triggers
Microsoft SQL Server 2017 Concurrency Control
Transaction Isolation Level • Cursor Concurrency • Locking Hints
Microsoft SQL Server 2017 Security
SQL Server 2017 Database Security Settings
Microsoft SQL Server 2017 Backup and Recovery
Backing Up a Database • SQL Server Recovery Models • Restoring a Database
• Database Maintenance Plans
Topics Not Discussed in This Chapter
Summary • Key Terms • Review Questions • Exercises • Case Questions
• The Queen Anne Curiosity Shop Project Questions • Morgan Importing Project
Questions

ONLINE CHAPTER: SEE PAGE 495 FOR INSTRUCTIONS

Chapter 10B: Managing Databases with Oracle Database
Chapter Objectives
The Oracle Corporation Oracle Database DBMS
Installing Oracle Database
Installing a Loopback Adapter • Oracle Database, Java, JavaScript, and the Adobe
Flash Player • Oracle Database 12c Release 2 Documentation • Downloading Oracle
Database • Installing Oracle Database 12c Release 2 with the Oracle Universal
Installer (OUI) • Installing Oracle Database Express Edition 11g Release 2 (Oracle
Database XE)
Oracle Database Administration and Development Tools
The Oracle Database 12c Release 2 Configuration Assistant • The Oracle Enterprise Manager
Database Express 12c Database Administration Utility • The Oracle Database XE 11.2
Database Administration Utility
Oracle Database Tablespaces
Oracle Database Security
User Privileges • Creating a User Account • Creating a Role
Oracle Database Application Development Tools
Oracle SQL*Plus • Oracle SQL Developer • Creating a Workspace for the SQL Developer
Files • Oracle Database Schemas
Creating and Using an Oracle Database Database
Creating a Database in Oracle Database • Oracle Database SQL Statements and SQL
Scripts • Using Existing SQL Scripts • Using a Single SQL Script to Store Multiple SQL
Commands
Implementing the View Ridge Gallery VRG Database in Oracle Database
Using SQL Scripts to Create and Populate Database Tables • Creating the View Ridge
Gallery VRG Database Table Structure • Transaction COMMIT in Oracle Database
• Reviewing Database Structures in the SQL Developer GUI Display • Indexes
• Populating the VRG Tables • Creating SQL Views
Importing Microsoft Excel Data into an Oracle Database Table
Oracle Database Application Logic
Oracle Database PL/SQL • User-Defined Functions • Stored Procedures
• Triggers

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 Contents xi

Oracle Database Concurrency Control

Read-Committed Transaction Isolation Level • Serializable Transaction Isolation Level
• Read-Only Transaction Isolation • Additional Locking Comments
Oracle Database Backup and Recovery
Oracle Database Recovery Facilities • Types of Failure
Topics Not Discussed in This Chapter
Summary • Key Terms • Review Questions • Exercises • Case Questions
• The Queen Anne Curiosity Shop Project Questions • Morgan Importing
Project Questions

ONLINE CHAPTER: SEE PAGE 495 FOR INSTRUCTIONS

Chapter 10C: Managing Databases with MySQL 5.7
Chapter Objectives
The MySQL 5.7 DBMS
Installing MySQL Community Server 5.7
The MySQL Installer • MySQL Storage Engines
The MySQL Utilities
The MySQL Command-Line Client • The MySQL Workbench GUI Utility • Creating a
Workspace for the MySQL Workbench Files
Creating and Using a MySQL Database
Creating a Database in MySQL • Setting the Active Database in MySQL • MySQL SQL
Statements and SQL Scripts • Using Existing SQL Scripts • Using a Single SQL Script to
Store Multiple SQL Commands
Implementing the View Ridge Gallery VRG Database in MySQL 5.7
Creating the VRG Database • Using SQL Scripts to Create and Populate Database Tables
• Creating the View Ridge Database Table Structure • Reviewing Database Structures in the
MySQL GUI Display • Indexes • Populating the VRG Tables with Data • Transaction
COMMIT in MySQL • Creating SQL Views
Importing Microsoft Excel Data into a MySQL 5.7 Database Table
MySQL Application Logic
MySQL SQL/PSM Procedural Statements • User-Defined Functions • Stored
Procedures • Triggers • A Last Word on MySQL Stored Procedures and Triggers
Concurrency Control
MySQL 5.7 Security
Creating a New User • MySQL Database Security Settings
MySQL 5.7 DBMS Backup and Recovery
Backing Up a MySQL Database • Restoring a MySQL Database
Topics Not Discussed in This Chapter
Summary • Key Terms • Review Questions • Exercises • Case Questions
• The Queen Anne Curiosity Shop Project Questions • Morgan Importing
Project Questions

PART 5 ■ Database Access Standards 497

Chapter 11: The Web Server Environment 498

Chapter Objectives 498
A Web Database Application for the View Ridge Gallery 500
The Web Database Processing Environment 501
Database Server Access Standards 502
The ODBC Standard 503
ODBC Architecture 504 • Conformance Levels 505 • Creating an ODBC Data Source
Name 506

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 xii Contents

The Microsoft .NET Framework and ADO.NET 512

OLE DB 514 • ADO and ADO.NET 518 • The ADO.NET Object Model 518
The Java Platform 523
JDBC 523 • Java Server Pages (JSP) and Servlets 525 • Apache Tomcat 525
Web Database Processing with PHP 527
Web Database Processing with PHP and the NetBeans IDE 527 • Getting Started with
HTML Web Pages 530 • The index.html Web Page 530 • Creating the index.html Web
Page 530 • Using PHP 533
Web Page Examples with PHP 540
Example 1: Updating a Table 541 • Example 2: Using PHP Data Objects (PDO) 545
• Example 3: Invoking a Stored Procedure 546 • Challenges for Web Database
Processing 553 • SQL Injection Attacks 554
Extensible Markup Language (XML) 555
The Importance of XML 555 • XML as a Markup Language 556
Creating XML Documents from Database Data 557
Using the SQL SELECT … FOR XML Statement 557
Summary 559 • Key Terms 561 • Review Questions 562 • Exercises 565
• Case Questions 567 • The Queen Anne Curiosity Shop Project Questions 567
• Morgan Importing Project Questions 568

Chapter 12: Data Warehouses, Business Intelligence Systems,

and Big Data 569
Chapter Objectives 569
Business Intelligence Systems 571
The Relationship Between Operational and BI Systems 571
Reporting Systems and Data Mining Applications 571
Reporting Systems 572 • Data Mining Applications 573
Data Warehouses and Data Marts 573
Components of a Data Warehouse 573 • Data Warehouses Versus Data Marts 577
• Dimensional Databases 578
Reporting Systems 586
RFM Analysis 586 • OLAP 588
Data Mining 597
Distributed Database Processing 599
Types of Distributed Databases 599 • Challenges of Distributed Databases 600
Object-Relational Databases 601
Virtualization 602
Cloud Computing 603
Big Data and the Not Only SQL Movement 607
Column Family Databases 608 • MapReduce 610 • Hadoop 610
Summary 611 • Key Terms 613 • Review Questions 614 • Exercises 616
• Case Questions 617 • The Queen Anne Curiosity Shop Project
Questions 618 • Morgan Importing Project Questions 619

Appendices

ONLINE APPENDICES: SEE PAGE 620 FOR INSTRUCTIONS

Appendix A: Getting Started with Microsoft Access 2016
Chapter Objectives
What Is the Purpose of This Appendix?
Why Should I Learn to Use Microsoft Access 2016?
What Will This Appendix Teach Me?
What Is a Table Key?
What are Relationships?

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 Contents xiii

How Do I Create a New Microsoft Access 2016 Database?

What is the Microsoft Office Fluent User Interface?
The Ribbon and Command Tabs • Contextual Command Tabs • Modifying the Quick Access
Toolbar • Database Objects and the Navigation Pane
How Do I Close a Database and Exit Microsoft Access 2016?
How Do I Open an Existing Microsoft Access 2016 Database?
How Do I Create Microsoft Access 2016 Database Tables?
How Do I Insert Data into Tables Using the Datasheet View?
Modifying and Deleting Data in Tables in the Datasheet View
How Do I Create Relationships Between Tables?
How Do I Create and Run Microsoft Access 2016 Queries?
How Do I Create Microsoft Access 2016 Forms and Reports?
How Do I Close a Newly-Created Database and Exit Microsoft Access 2016?
Key Terms • Review Questions • Exercises

Appendix B: Getting Started with Systems Analysis and Design

Chapter Objectives
What Is the Purpose of This Appendix?
What Is Information?
What Is an Information System?
What Is a Competitive Strategy?
How Does a Company Organize Itself Based on Its Competitive Strategy?
What Is a Business Process?
How Do Information Systems Support Business Processes?
Do Information Systems Include Processes?
Do We Have to Understand Business Processes in Order to Create Information Systems?
What Is Systems Analysis and Design?
What Are the Steps in the SDLC?
The System Definition Step • The Requirements Analysis Step • The Component Design Step
• The Implementation Step • The System Maintenance Step
What SDLC Details Do We Need to Know?
What Is Business Process Modeling Notation?
What Is Project Scope?
How Do I Gather Data and Information About System Requirements?
How Do Use Cases Provide Data and Information About System Requirements?
The Highline University Database
The College Report • The Department Report • The Department/Major Report
• The Student Acceptance Letter
What Are Business Rules?
What Is a User Requirements Document (URD)?
What Is a Statement of Work (SOW)?
Key Terms • Review Questions • Exercises

Appendix C: E-R Diagrams and the IDEF1X and UML Standards

Chapter Objectives
What Is the Purpose of This Appendix?
Why Should I Learn to Use IDEF1X or UML?
What Will This Appendix Teach Me?
What are IDEF1X Entities?
What are IDEF1X Relationships?
Nonidentifying Connection Relationships • Identifying Connection Relationships • Nonspecific
Relationships • Categorization Relationships
What are Domains?
Domains Reduce Ambiguity • Domains Are Useful • Base Domains and Typed Domains

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 xiv Contents

How Does UML Represent Entities and Relationships?

Representation of Strong Entities • Representation of Weak Entities • Representation of Subtypes
What OOP Constructs Are Introduced by UML?
What is the Role of UML in Database Processing Today?
Key Terms • Review Questions

Appendix D: Getting Started with Microsoft Visio 2016

Chapter Objectives
What Is the Purpose of This Appendix?
Why Should I Learn to Use Microsoft Visio 2016?
What Will This Appendix Teach Me?
What Won’t This Appendix Teach Me?
How Do I Start Microsoft Visio 2016?
How Do I Create a Database Model Diagram in Microsoft Visio 2016?
How Do I Name and Save a Database Model Diagram in Microsoft Visio 2016?
How Do I Create Entities in a Database Model Diagram in Microsoft Visio 2016?
How Do I Create Relationships Between Entities in a Database Model Diagram in
   Microsoft Visio 2016?
How Do I Create Data Models in Microsoft Visio 2016?
How Do I Create Database Designs in Microsoft Visio 2016?
Key Terms • Review Questions • Exercises

Appendix E: Getting Started with the MySQL Workbench

Data Modeling Tools
Chapter Objectives
What Is the Purpose of This Appendix?
Why Should I Learn to Use the MySQL Workbench Data Modeling Tools?
What Will This Appendix Teach Me?
What Won’t This Appendix Teach Me?
How Do I Start the MySQL Workbench?
How Do I Create a Workspace for the MySQL Workbench Files?
How Do I Create Database Designs in the MySQL Workbench?
How Do I Create a Database Model and E-R Diagram in the MySQL Workbench?
Key Terms • Review Questions • Exercises

Appendix F: The Semantic Object Model

Chapter Objectives
What Is the Purpose of This Appendix?
Why Should I Learn to Use the Semantic Object Model?
What Will This Appendix Teach Me?
What Are Semantic Objects?
What Semantic Objects Are Used in the Semantic Object Model?
What Are Semantic Object Attributes? • Attribute Cardinality • What Are Object
Identifiers? • What Are Attribute Domains? • What Are Semantic Object Views?
What Types of Objects Are Used in the Semantic Object Model?
What Are Simple Objects? • What Are Composite Objects? • What Are Compound Objects?
• How Do We Represent One-to-One Compound Objects as Relational Structures? • How Do
We Represent One-to-Many and Many-to-One Relationships as Relational Structures? • How
Do We Represent Many-to-Many Relationship Objects as Relational Structures? • What Are
Hybrid Objects? • How Do We Represent Hybrid Relationships in Relational Structures?
• What Are Association Objects? • What Are Parent/Subtype Objects? • What Are
Archetype/Version Objects?
Comparing the Semantic Object and the E-R Models
Key Terms • Review Questions

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 Contents xv

Appendix G: Physical Database Design and Data Structures for

Database Processing
Chapter Objectives
What Is the Purpose of This Appendix?
What Will This Appendix Teach Me?
Introduction to Physical Database Design
What Are Flat Files?
Processing Flat Files in Multiple Orders • A Note on Record Addressing • How Can Linked Lists
Be Used to Maintain Logical Record Order? • How Can Indexes Be Used to Maintain Logical
Record Order? • B-Trees • Summary of Data Structures
How Can We Represent Binary Relationships?
A Review of Record Relationships • How Can We Represent Trees? • How Can We Represent
Simple Networks? • How Can We Represent Complex Networks? • Summary of Relationship
Representations
How Can We Represent Secondary Keys?
How Can We Represent Secondary Keys with Linked Lists? • How Can We Represent Secondary
Keys with Indexes?
Multicolumn Indexes
Clustering
Decomposition
Vertical Decomposition • Horizontal Decomposition
Key Terms • Review Questions

Appendix H: Getting Started with Web Servers, PHP, and the NetBeans IDE
Chapter Objectives
What Is the Purpose of This Appendix?
Which Operating System are we Discussing?
How Do I Install a Web Server?
How Do I Set Up IIS in Windows 10?
How Do I Manage IIS in Windows 10?
How Is a Web Site Structured?
How Do I View a Web Page from the IIS Web Server?
How Is Web Site Security Managed?
What is Java?
What Is the NetBeans IDE?
How Do I Install the Java Development Kit (JDK) and the NetBeans IDE?
What Is PHP?
How Do I Install PHP?
How Do I Check PHP to Make Sure it is Running Correctly?
How Do I Create a Web Page Using the NetBeans IDE?
How Do I Manage the PHP Configuration?
Key Terms • Review Questions • Exercises

Appendix I: XML
Chapter Objectives
What Is the Purpose of This Appendix?
Extensible Markup Language (XML)
XML as a Markup Language • Materializing XML Documents with XSLT
XML Schema versus Document Type Declarations
XML Schema Validation • Elements and Attributes • Flat Versus Structured Schemas
• Global Elements
Creating XML Documents from Database Data
Using the SQL SELECT . . . FOR XML Statement • Multi-table SELECT with FOR XML
• An XML Schema for All CUSTOMER Purchases • A Schema with Two Multivalued Paths

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 xvi Contents

Why Is XML Important?

Additional XML Standards
Summary • Key Terms • Review Questions • Exercises

Appendix J: Business Intelligence Systems

Chapter Objectives
What Is the Purpose of This Appendix?
Business Intelligence Systems
Reporting Systems and Data Mining Applications
Reporting Systems • Data Mining Applications
The Components of a Data Warehouse
Data Warehouses and Data Marts • Data Warehouses and Dimensional Databases
Reporting Systems
OLAP • RFM Analysis • Reporting System Components • Reporting System Functions
Data Mining
Unsupervised versus Supervised Data Mining • Four Popular Data Mining Techniques
• Market Basket Analysis • Decision Trees
Summary • Key Terms • Review Questions • Exercises • Case Questions
• The Queen Anne Curiosity Shop Project Questions • Morgan Importing
Project Questions

Appendix K: Big Data

Chapter Objectives
What Is the Purpose of This Appendix?
What Is Big Data?
The Three Vs and the “Wanna Vs” • Big Data and NoSQL Systems • The CAP Theorem
Non-Relational Database Management Systems
Key-Value Databases • Document Databases • Column Family Databases • Graph Databases
Using a Cloud Database Management System
Migrating an Existing Local Database to Microsoft Azure Cosmos DB • Using SQL to Create a
New Database on Microsoft Azure Cosmos DB
Big Data, NoSQL Systems, and the Future
Summary • Key Terms • Review Questions • Exercises

Appendix L: JSON and Document Databases

Chapter Objectives
What Is the Purpose of This Appendix?
Document Database Basics
JSON Data Structuring
Introducing ArangoDB
Downloading and Installing ArangoDB
Creating Data in ArangoDB
Simple Document Examples • Complex Document Examples • Logical Design Choices
Querying Data in ArangoDB
Using HTTP • Using a Programming Language • Using ArangoDB Query Language (AQL)
Physical Design Choices in ArangoDB
Indexing • Data Distribution
Document Databases in the Cloud
Creating a Document Database in Microsoft Azure Cosmos DB • Querying a Document
Database in Microsoft Azure Cosmos DB
Summary • Key Terms • Review Questions • Exercises

Bibliography 621
Glossary 623
Index 639

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 Foreword to the 40th Anniversary Edition
David Kroenke

The publisher has asked me to write a short history of this text for this, the 40th anniversary
edition. The details of each edition and how they changed are instructive, but this text and
the discipline of database processing grew up together, and the story of how that happened
might be more helpful to students who will work in disciplines, such as Big Data, that are
emerging today.

We Didn’t Know What We Were Doing

Database processing technology originated in the period 1970 to 1975, though not necessar-
ily by that name. At the time, the U.S. government used the term data bank. Others used data
base as well as database. I liked the latter and used it when I began work on this text in 1975.
In 1971, I was an officer in the U.S. Air Force, assigned to a Pentagon team that was
building and using a simulation of World War III. It was the height of the Cold War, and
the Department of Defense wanted a means to assess the efficacy of current and proposed
weapons systems.
By a stroke of good luck, I was assigned to work on the data manager portion of that
simulation (the term Database Management System [DBMS] was not yet in use). The logical data
model of that data manager was similar to that of the set-based system that Bachmann had
developed at General Electric (then a mainframe manufacturer) and that later became the
CODASYL DBTG standard.1
Our simulation was slow and long-running; a typical run would take 10 to 12 hours. We
were constrained more by input and output of data than by CPU time, and I developed low-
level, re-entrant, assembly language routines for getting and putting data to and from main
memory on parallel channels.
In addition to our project and Bachmann’s, IBM was developing a manufacturing-
oriented data manager in concert with North American Aviation. That project eventually
became IBM’s product IMS.2 Another government project of that era resulted in the data
manager named Total.
In retrospect, I’d say the one thing we had in common was that none of us knew what we
were doing. We didn’t have any data models, best practices, or design principles. We didn’t
even know how to program. This was long before GoTo–less programming, which led to
structured programming, and eventually to object-oriented programming. We did know that
life was easier if we developed some sort of a logic chart before we began, but that was about
it. We’d pick up our coding pads (everything was done via punched cards) and start to work.
There were no debugging tools. When a job would fail, we’d receive a hexadecimal
printout of the CPU registers and the contents of main memory (the printout would be 12 to
18 inches thick). There were no hexadecimal calculators, so we’d manually add and subtract

1
CODASYL, the Committee on Data Systems Languages, was the committee, chaired by Grace Hopper (see
https://en.wikipedia.org/wiki/Grace_Hopper), that developed the COBOL language standard. DBTG, the database
task group, was a subcommittee tasked with developing a data modeling standard. The DBTG model was
popular for a short while, but was replaced by the relational model by the 1980s.
2
IBM IMS is still a functional DBMS product—see www-01.ibm.com/software/data/ims/index.html.

xvii

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 xviii Foreword to the 40th Anniversary Edition

hexadecimal numbers to navigate our way around the printout, sticking rulers in the listing as
place markers. Stiff, wooden rulers were the best.
Again, though, we were just trying to solve a problem. We didn’t have any idea that the
technology we were developing would become an important part of the emerging world.
Imagine Amazon or your college without database processing. But all of that was in the future.
We were just trying to get the “darn thing” to run and somehow solve the particular problem
that we’d been assigned.
For example, an important function of those early systems was to manage relationships.
In our simulation, we had bombers and tankers and opposing radar sites and opposing air-to-
air missiles. We needed to keep track of which of those was assigned or related to which. We
just wrote programs to do that. A decade or two later someone discovered in surprise, “Hey,
there’s as much information in the relationships as there is in the data.”
We made stuff up as we went along. The first edition of this text included no definition
of database. When a reviewer pointed that out, I made one up for the second edition. “A self-
describing collection of integrated records.” Completely fabricated, but it’s worked now for
35 years, so it must have been serviceable.
Situations like that were common in those early projects. We made stuff up that would
help us solve our problem. Progress was slow, mistakes were frequent, failures were common.
Millions of dollars and labor hours were wasted. But gradually, over time, database technol-
ogy emerged.

Origin of This Text

In 1973 I completed my military commitment and following John Denver’s song “Rocky
Mountain High” moved my family from Washington, D.C., to Colorado State University. The
business school hired me as an instructor while I attended graduate school in statistics and
engineering across the street. To my delight, I was assigned to teach a course entitled File
Management, the predecessor of today’s Database Processing course (see Figure FM-1).
As with any young instructor, I wanted to teach what I knew and that was the rudiments
of database processing. So, I began to formulate a database course and by the spring of 1975,
was looking for a textbook. I asked the book reps if they had such a book and none did. The
sales rep for SRA, however, asked, “No, but we’re looking for one. Why don’t you write it?” My
department chair, Bob Rademacher, encouraged me to do so, and on June 29, 1975, I signed
the contract.

FIGURE FM-1
David Kroenke Loses
Control of Students Excited
by Database Technology

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 Foreword to the 40th Anniversary Edition xix

FIGURE FM-2
How Textbooks Were Written

The draft and all the diagrams were written in number 2 pencil on the back of old coding
sheets, as shown in Figure FM-02. The text would go to a typist, who’d do the best she could
to decipher my writing. I’d proof the typing and she’d produce another typed manuscript
(long before word processing—pages had to be retyped to remove errors). Those pages would
then go to a copy editor and I would redo them again, back to the typist for a round or two.
Eventually, the final typed manuscript would go to a compositor who would produce long gray
sheets (called galleys) of text to be proofed. After that, the text would be glued (I’m not kid-
ding) to make up pages, integrating the art which had been following a similar pathway, and
then those pages would be photographed and sent to a printer.
The final draft of the first edition was completed in January 1976, and the text was pub-
lished in January 1977. We were proud that it only took a year.

Contents of the First Edition

Database Processing was the first such textbook aimed at the information systems market.
C. J. Date had produced Database Systems prior to this text, but his book was aimed at com-
puter science students.3 No one knew what should be in an information systems database
book. I made it up, we sent drafts to reviewers, and they approved it. (They didn’t know
either.)

3
C. J. Date’s book An Introduction to Database Systems is currently in its eighth edition.

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 xx Foreword to the 40th Anniversary Edition

FIGURE FM-3
Cover of the First Edition
of Database Processing

The first edition (see Figure FM-3) had chapters on file management and data structures.
It also had chapters on hierarchical, network, and relational data models. By the way, E. F.
Codd, the creator of the relational data model, was relatively unknown at that point and he
was happy to review the relational chapter. The text also featured a description of the features
and functions of five DBMS products: ADABAS, System 2000, Total, IDMS, and IMS. (To my
knowledge, only IMS is still in use today.) It wrapped up with a chapter on database adminis-
tration.
When writing that last chapter, I thought it would be a good idea to talk with an auditor
to learn what auditors looked for when auditing database systems. Accordingly, I drove to
Denver and met with one of the top auditors at one of the then-Big-Eight firms. I didn’t learn
much, just some high-level hyperbole about using commonly accepted auditing standards.
The next day, the phone rang in my office and an executive in New York City invited me out to
that firm for a job interview for a position to develop and teach database auditing standards to
their staff. None of us knew what we were doing!
I had no idea of how incredibly fortunate I was. To stumble into a discipline that would
become one of the most important in the information systems field, to have experience and
knowledge to put into a text, to have a supportive department, and, finally, to have what was at
that time a superb publisher with an outstanding sales and marketing team (see Figure FM-4).
Because it was all I had known, I thought it was normal. Ah, youth.

Lessons Learned

At age 71, I’m not quite consigned to watching the daytime weather channel but have
reached the stage when people start listing lessons learned. I’ll try to keep it brief. Here are
my five lessons learned, developed both as a database technology bystander and participant:

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 Foreword to the 40th Anniversary Edition xxi

FIGURE FM-4
Hot Marketing Handout
1977—Note Text Price

Don’t Confuse Luck with Exceptional Ability

According to an independent study at the time, the second edition of this text had 91 percent
of the market. It was the first, and it had a great publisher with a superb sales force. That suc-
cess was due, truly, to lucky timing and good fortune. At that point I should have doubled
down and made sure that the 91 percent were satisfied while sending Thanksgiving turkeys to
the 9 percent not in the fold.
Instead, what did I do? Ignored the book and joined Microrim to help develop the R:Base
products.4 Five years later when I returned to the book, numerous competitors had emerged
and the book lost half of its market. I’d thought I could jump back in and regain that early suc-
cess, but the market had a hard lesson for me.
I mention this because I’ve seen it elsewhere as well. Microsoft was built and managed
by superior business professionals like Bill Gates, Steve Ballmer, Jon Shirley, Steve Okey, and,
in the database domain, David Kaplan. Between 1985 and 2000, hundreds of employees
joined the firm and were issued stock options. They were largely competent professionals,
but no different from the same level of professionals one would have found at 3M, Procter
and Gamble, Boeing, etc. The difference was that during that interval, their Microsoft stock
split seven times.
Many of those competent professionals understood that they had been very, very lucky
to get on the Microsoft bus when they did. They took their stock proceeds and re-invested in
index funds or something else safe and have been enjoying life on the golf course with their

4
For more information on R:Base, see the Wikipedia article R:Base (https://en.wikipedia.org/wiki/R:Base). Now
called RBASE, this is still a functional DBMS product—see http://www.rbase.com/.

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 xxii Foreword to the 40th Anniversary Edition

families ever since. However, some of the just-competent professionals confused their good
luck with exceptional personal ability and founded their own companies or started venture
capital firms. Most lost their money. They were good, but they weren’t of the same caliber as
Gates et al.
Joseph Conrad said it, “It is the mark of an inexperienced man not to believe in luck.”

Marketing Trumps Technology

If you have a chance to invest in an average technology with superb marketing or superb
technology with average marketing, take the former. Marketing is far more important than
technology.
IBM’s IMS uses a hierarchical data model. Representing many-to-many relationships
with hierarchies is a pain. With IMS the database developer is forced to write all sorts of
design and coding machinations that should have been done by the DBMS or avoided by
using a different DBMS. In the early days, I watched an IBM technical sales representative
present those machinations as a skill that every good database developer must already have.
“Surely you know how to do the XYZ?” (I don’t remember the name they’d given that dance).
Because none of us in the audience knew any better, we all assumed that we were deficient
if we didn’t know how to do the XYZ. The deficiency was in the product, not us, but we were
duped by good marketing.
Developed by Wayne Ratcliff, Ashton-Tate’s dBase5 was the most successful relational
microcomputer DBMS product until Microsoft entered the picture with Microsoft Access.
In fact, dBase was neither a DBMS nor was it relational—it was a file management system.
However, Ashton-Tate’s marketing convinced Osborne to place a free copy of dBase on every
one of its Osborne II computers. The Osborne II was the micro or personal computer (PC)
of choice for a new cadre of application developers, and they wrote millions of lines of dBase
code. They used what they had and thought it was fine. When better products came along,
there was no way that any small developer was going to rewrite existing code or learn new
products. The new graphical user interface in Microsoft Windows, the Microsoft Office pack-
age, and cheap Microsoft Access pricing was the only force strong enough to push Ashton-Tate
off its leading position.
Salsa, a product that I helped Wall Data develop, implemented the semantic object
model (which we discuss in Appendix F), and was selected as the runner-up to Netscape
Navigator for product of the year in 1996 (the other runner-up was Internet Explorer). Salsa
failed—not because of the technology, but because of the marketing. We tried to sell it as an
end-user product and it was a developer product. It was as if we’d invented Gore-Tex and we
were out trying to sell it to people standing in the rain. We should have sold it to the clothing
manufacturers. Marketing 101. I still have nightmares about the superior technology that
washed down that drain.

Christensen’s Model Informs

I don’t know anyone who made substantial money in mainframes that did well in the
microcomputer industry. Accustomed to the features and power of mainframes, we
viewed microcomputers as toys. We termed the TRS-80 micro the Trash-80. I bought
an early Apple and it crashed on me and I thought to myself, “This will never amount
to anything.”
This phenomenon is addressed by Clayton Christensen is his disruptive innovation
model.6 His thesis is that when a disruptive technology comes along, companies that have
success in the disrupted technology are unable to capitalize on the opportunities of the new
technology. Kodak could not adapt to digital photography; Swiss watch makers could not
adapt to digital watches. Textbook publishers could not adapt to book rentals and used books
sales by Amazon. Microsoft lost its way when it achieved its goal of “A computer on every desk
and in every home.” It struggled to adapt to the Internet.

5
dBbase is still a functional DBMS product—see http://www.dbase.com
6
Christensen, Clayton M. The Innovator’s Dilemma: When New Technologies Cause Great Firms to Fail (Reprint edi-
tion). (Brighton, MA: Harvard Business Review Press, 2106)

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 Foreword to the 40th Anniversary Edition xxiii

Don’t look for the market leaders in big data or robotics to come from existing, large ven-
dors. They will come from smaller companies that can position themselves to thrive in the
new environment. If you haven’t learned Christensen’s model, you should.

Good-enough Fashion Will Do

For the most part, the relational model supplanted all the other data models. Because of Codd’s
insights on the use of functional dependencies for relational design, it provided sound design
principles. Also, fixed-length records (as, in practice, they were at first) fit nicely with existing
file management capabilities. It worked. Thousands of papers were written on the topic.
However, today’s technology readily supports the storage and searching of multiple fields
in un-normalized documents. In 1980, technology constraints required designers to take a
document like a sales order and break it up into its pieces: Invoice, Salesperson, Customer,
Line-item, Product. They would then store those pieces and then put them all back together
with SQL (Structured Query Language) when someone wanted the original sales order. That
makes no sense today. It’s like driving your car into a parking garage and having staff pull off
your front tires and put them in the pile of front tires, your steering wheel into a pile of steer-
ing wheels, etc. Then, when you come back, put it all back together. Even though it’s unneces-
sary, it’s happening right now in zillions of data centers.
So why is the relational model still in use? Because it’s good enough and still in fashion.
Fashion is important. Consider normalization theory. Codd’s first paper addressed nor-
malization through third normal form. However, in later papers, he and others showed that
this wasn’t enough. Relations in third normal form still had anomalies, which led to fourth
and fifth and then Boyce-Codd (BCNF) Normal Forms. Despite this, one still hears people
talk about third normal form as the be-all, end-all of relational design. Third normal form is
good enough and still in fashion. It was as if progress stopped at third normal form (not in this
text, though, where all of these forms are taught).
I suspect that someday soon, the whole relational mess will no longer be good enough
and we’ll move to XML or JSON or some other form of document storage (as we discuss in
Chapter 12, Appendix I, and Appendix L). I’ve been saying that for 10 years, though, and it
hasn’t happened yet.
Another example of good enough and fashion is the entity-relationship (ER) model.
The ER model is nothing more than a thin cover over the relational model. Entities
are essentially logical relations, and relationships are a slim version of foreign keys. ER
operates at too low a level of abstraction. Other models like the semantic object model
and other object-oriented models are better. None succeeded. The ER model was in
fashion and good enough.

When It’s Over, It’s Over

By the turn of the century, I’d been writing and revising this text for 25 years. Although I was
exceedingly grateful to the thousands of professors and students who had used this book over
those years, I also knew I was done. Partly, I said to myself, because it had settled down, the early
crazy days were long gone, and partly because 25 years is a long time to work on a textbook.
To my great good fortune, I found David Auer, who agreed to take over the revisions of
this text. I am most grateful to David for his hard work and for his fidelity to the underlying
goals and philosophy of this text. The rest of this story is his.

David Auer

I was introduced to David Kroenke while working on the Instructor’s Manual for the
ninth edition of Database Processing. Because we were both living and teaching in western
Washington State, we could get together for meals and discussions. This led to my working
on the companion textbook, Database Concepts, being a technical reader for the 10th edition
of Database Processing, and then being asked to become a coauthor for the 11th edition of
Database Processing.

A01_KROE2749_15_SE_FM.indd 23 14/12/17 4:03 PM

Discovering Diverse Content Through
Random Scribd Documents
is the plain consequence to which they might be driven, should they
answer the above question in the negative.
But if their answer be, "Yes! we do suppose and believe this
efficiency in the Baptismal act"—I have not another word to say.
Only, perhaps, I might be permitted to express a hope, that for
consistency's sake they would speak less slightingly of the
insufflation, and extreme unction, used in the Romish Church;
notwithstanding the not easily to be answered arguments of our
Christian Mercury, the all-eloquent Jeremy Taylor, respecting the
latter, which, "since it is used when the man is above half dead,
when he can exercise no act of understanding, it must needs be
nothing; for no rational man can think that any ceremony can make
a spiritual change without a spiritual act of him that is to be
changed; nor work by way of nature, or by charm, but morally and
after the manner of reasonable creatures."[135]
It is too obvious to require suggestion, that these words here
quoted apply with yet greater force and propriety to the point in
question: as the babe is an unconscious subject, which the dying
man need not be supposed to be. My avowed convictions respecting
Regeneration with the spiritual Baptism, as its condition and initiative
(Luke iii. 16; Matt. i. 7; Matt. iii. 11), and of which the sacramental
rite, the Baptism of John, was appointed by Christ to remain as the
sign and figure; and still more, perhaps, my belief respecting the
Mystery of the Eucharist, (concerning which I hold the same
opinions as Bucer,[136] Peter Martyr, and presumably Cranmer
himself)—these convictions and this belief will, I doubt not, be
deemed by the Orthodox de more Grotii, who improve the letter of
Arminius with the spirit of Socinus, sufficient data to bring me in
guilty of irrational and Superstitious Mysticism. But I abide by a
maxim, which I learnt at an early period of my theological studies,
from Benedict Spinoza:—Where the alternative lies between the
Absurd and the Incomprehensible, no wise man can be at a loss
which of the two to prefer. To be called irrational, is a trifle; to be so,
and in matters of religion, is far otherwise: and whether the
irrationality consists in men's believing (that is, in having persuaded
themselves that they believe) against reason, or without reason, I
have been early instructed to consider it as a sad and serious evil,
pregnant with mischiefs, political and moral. And by none of my
numerous instructors so impressively, as by that great and shining
light of our Church in the æra of our intellectual splendour, Bishop
Jeremy Taylor: from one of whose works, and that of especial
authority for the safety as well as for the importance of the principle,
inasmuch as it was written expressly ad populum, I will now, both
for its own intrinsic worth, and to relieve the attention, wearied,
perhaps, by the length and argumentative character of the
preceding discussion, interpose the following Aphorism.[137]

[132] Dr. Richard Field's "Of the Church," folio ed., Oxford,
1628, p. 58.—Ed.
[133] This word occurs but once in the New Testament,
Romans v. 11, the marginal rendering being reconciliation. The
personal noun, καταλλακτης, is still in use with the modern
Greeks for a money-changer, or one who takes the debased
currency, so general in countries under a despotic or other
dishonest government, in exchange for sterling coin or bullion;
the purchaser paying the catallage, that is, the difference. In the
elder Greek writers, the verb means to exchange for an opposite,
as, κατακκασσετο την εχθρην τοις στασιωταις.—He exchanged
within himself enmity for friendship, (that is, he reconciled
himself) with his party;—or, as we say, made it up with them, an
idiom which (with whatever loss of dignity) gives the exact force
of the word. He made up the difference. The Hebrew word of
very frequent occurrence in the Pentateuch, which we render by
the substantive, atonement, has its radical or visual image, in
copher, pitch. Gen. vi. 14: Thou shalt pitch it within and without
with pitch. Hence to unite, to fill up a breach, or leak, the word
expressing both the act, namely, the bringing together what had
been previously separated, and the means, or material, by which
the re-union is effected, as in our English verbs, to caulk, to
solder, to poy or pay (from poix, pitch), and the French suiver.
Thence, metaphorically, expiation, the piacula having the same
root, and being grounded on another property or use of gums
and resins, the supposed cleansing powers of their fumigation.
Numbers viii. 21: made atonement for the Levites to cleanse
them.—Lastly (or if we are to believe the Hebrew Lexicons,
properly and most frequently) it means ransom. But if by proper
the Interpreters mean primary and radical, the assertion does not
need a confutation: all radicals belonging to one or other of three
classes. 1. Interjections, or sounds expressing sensations or
passions. 2. Imitations of sounds, as splash, roar, whiz, &c. 3.
and principally, visual images, objects of sight. But as to
frequency, in all the numerous (fifty, I believe,) instances of the
word in the Old Testament, I have not found one in which it can,
or at least need, be rendered by ransom: though beyond all
doubt ransom is used in the Epistle to Timothy, as an equivalent
term.
[134] Review of the Memoirs of the Rev. J. Scott and Rev. J.
Newton, 'Quarterly Review,' April, 1824.—Ed.
[135] Dedication to Taylor's 'Holy Dying,' p. 295, Bohn's
Standard Library edition.—Ed.
[136] Appendix to Strype's 'Life of Cranmer.'—Ed.
[137] Slightly altered from the 'Worthy Communicant,' chap. iii.
sect. v.; p. 523, vol. xv. of Heber's edition of Jeremy Taylor's
works.—Ed.

APHORISM XX.
Jeremy Taylor.
 Whatever is against right reason, that no faith can oblige us to
believe. For though reason is not the positive and affirmative
measure of our faith, and our faith ought to be larger than our
[speculative] reason, and take something into her heart, that reason
can never take into her eye; yet in all our creed there can be nothing
against reason. If reason justly contradicts an article, it is not "of the
household of Faith." In this there is no difficulty, but that in practice
we take care that we do not call that reason, which is not so (see p.
122). For although reason is a right judge,[138] yet it ought not to
pass sentence in an inquiry of faith, until all the information be
brought in; all that is within, and all that is without, all that is above,
and all that is below; all that concerns it in experience, and all that
concerns it in act: whatsoever is of pertinent observation and
whatsoever is revealed. For else reason may argue very well and yet
conclude falsely. It may conclude well in logic, and yet infer a false
proposition in theology (p. 115). But when our judge is fully and
truly informed in all that whence she is to make her judgment, we
may safely follow her whithersoever she invites us.

[138] Which it could not be, in respect of spiritual truths and

objects super-sensuous, if it were the same with, and merely
another name for "the faculty judging according to sense"—that
is, the Understanding, or (as Taylor most often calls it in
distinction from Reason) Discourse (discursus seu facultas
discursiva vel discursoria). The Reason, so instructed and so
actuated as Taylor requires in the sentences immediately
following, is what I have called the Spirit. [See also note near the
end of Aphorism VIII.—Ed.]

APHORISM XXI.
Jeremy Taylor.
 He that speaks against his own reason, speaks against his own
conscience: and therefore it is certain, no man serves God with a
good conscience, who serves him against his reason.

APHORISM XXII.
Jeremy Taylor.

By the eye of reason through the telescope of faith, that is,

Revelation, we may see what without this telescope we could never
have known to exist. But as one that shuts the eye hard, and with
violence curls the eye-lid, forces a fantastic fire from the crystalline
humour, and espies a light that never shines, and sees thousands of
little fires that never burn; so is he that blinds the eye of reason, and
pretends to see by an eye of faith. He makes little images of notions,
and some atoms dance before him; but he is not guided by the light,
nor instructed by the proposition, but sees like a man in his sleep. In
no case can true Reason and a right Faith oppose each other.

Note Prefatory to Aphorism XXIII.

Less on my own account, than in the hope of fore-arming my
youthful friends, I add one other transcript from Bishop Taylor, as
from a writer to whose name no taint or suspicion of Calvinistic or
schismatical tenets can attach, and for the purpose of softening the
offence which, I cannot but foresee, will be taken at the positions
asserted in paragraph the first of Aphorism VII., and the documental
proofs of the same in the next pages; and this by a formidable party
composed of men ostensibly of the most dissimilar creeds, regular
Church-divines, voted orthodox by a great majority of suffrages, and
the so-called Free-thinking Christians, and Unitarian divines. It is the
former class alone that I wish to conciliate: so far at least as it may
be done by removing the aggravation of novelty from the offensive
article. And surely the simple re-assertion of one of "the two great
things," which Bishop Taylor could assert as a fact,—which, he took
for granted, that no Christian would think of controverting,—should
at least be controverted without bitterness by his successors in the
Church. That which was perfectly safe and orthodox in 1657, in the
judgment of a devoted Royalist and Episcopalian, ought to be at
most but a venial heterodoxy in 1825. For the rest, I am prepared to
hear in answer—what has already been so often, and with such
theatrical effect dropped, as an extinguisher, on my arguments—the
famous concluding period of one of the chapters in Paley's Moral and
Political Philosophy, declared by Dr. Parr to be the finest prose
passage in English literature.[139] Be it so. I bow to so great an
authority. But if the learned Doctor would impose it on me as the
truest as well as the finest, or expect me to admire the logic equally
with the rhetoric—αφισταμαι—I start off! As I have been un-English
enough to find in Pope's tomb-epigram on Sir Isaac Newton nothing
better than a gross and wrongful falsehood, conveyed in an
enormous and irreverent hyperbole; so with regard to this passage
in question, free as it is from all faults of taste, I have yet the
hardihood to confess, that in the sense in which the words discover
and prove, are here used and intended, I am not convinced of the
truth of the principle, (that he alone discovers who proves), and I
question the correctness of the particular case, brought as instance
and confirmation. I doubt the validity of the assertion as a general
rule; and I deny it, as applied to matters of faith, to the verities of
religion, in the belief of which there must always be somewhat of
moral election, "an act of the Will in it as well as of the
Understanding, as much love in it as discursive power. True Christian
Faith must have in it something of in-evidence, something that must
be made up by duty and by obedience."[140] But most readily do I
admit, and most fervently do I contend, that the miracles worked by
Christ, both as miracles and as fulfilments of prophecy, both as signs
and as wonders, made plain discovery, and gave unquestionable
proof, of his divine character and authority; that they were to the
whole Jewish nation true and appropriate evidences, that He was
indeed come who had promised and declared to their forefathers,
Behold your God will come with vengeance, even God with a
recompense. He will come and save you.[141] I receive them as
proofs, therefore, of the truth of every word, which he taught who
was himself The Word: and as sure evidences of the final victory over
death and of the life to come, in that they were manifestations of
Him, who said: I am the resurrection and the Life!
The obvious inference from the passage in question, if not its
express import, is: Miracula experimenta crucis esse, quibus solis
probandum erat, homines non, pecudum instar, omnino perituros
esse. Now this doctrine I hold to be altogether alien from the spirit,
and without authority in the letter, of Scripture. I can recall nothing
in the history of human belief, that should induce me, I find nothing
in my own moral being that enables me, to understand it. I can,
however, perfectly well understand, the readiness of those divines in
hoc Paleii dictum ore pleno jurare, qui nihil aliud in toto Evangelio
invenire posse profitentur. The most unqualified admiration of this
superlative passage I find perfectly in character for those, who while
Socinianism and Ultra-Socinianism are spreading like the roots of an
elm, on and just below the surface, through the whole land, and
here and there at least have even dipped under the garden-fence of
the Church, and blunted the edge of the labourer's spade in the
gayest parterres of our Baal-hamon, who,—while heresies, to which
the framers and compilers of our Liturgy, Homilies, and Articles
would have refused the very name of Christianity, meet their eyes on
the list of religious denominations for every city and large town
throughout the kingdom—can yet congratulate themselves with Dr.
Paley, in his book on the Evidences, that the rent has not reached
the foundation[142] —that is, that the corruption of man's will; that
the responsibility of man in any sense in which it is not equally
predicable of dogs and horses; that the divinity of our Lord, and
even his pre-existence; that sin, and redemption through the merits
of Christ; and grace; and the especial aids of the Spirit; and the
efficacy of prayer; and the subsistency of the Holy Ghost; may all be
extruded without breach or rent in the essentials of Christian Faith;
—that a man may deny and renounce them all, and remain a
fundamental Christian, notwithstanding. But there are many who
cannot keep up with Latitudinarians of such a stride; and I trust that
the majority of serious believers are in this predicament. Now for all
these it would seem more in character to be of Bishop Taylor's
opinion, that the belief in question is presupposed in a convert to the
Truth in Christ—but at all events not to circulate in the great
whispering gallery of the religious public suspicions and hard
thoughts of those who, like myself, are of this opinion; who do not
dare decry the religious instincts of humanity as a baseless dream;
who hold, that to excavate the ground under the faith of all
mankind, is a very questionable method of building up our faith, as
Christians; who fear, that instead of adding to, they should detract
from, the honour of the Incarnate Word by disparaging the light of
the Word, that was in the beginning, and which lighteth every man;
and who, under these convictions, can tranquilly leave it to be
disputed, in some new Dialogues in the shades, between the fathers
of the Unitarian Church on the one side, and Maimonides, Moses
Mendelssohn, and Lessing on the other, whether the famous
passage in Paley does or does not contain the three dialectic flaws,
petitio principii, argumentum in circulo, and argumentum contra rem
a premisso rem ipsam includente.
Yes! fervently do I contend, that to satisfy the understanding, that
there is a future state, was not the specific Object of the Christian
Dispensation; and that neither the belief of a future state, nor the
rationality of this belief, is the exclusive attribute of the Christian
religion. An essential, a fundamental, article of all religion it is, and
therefore of the Christian; but otherwise than as in connexion with
the salvation of mankind from the terrors of that state among the
essential articles peculiar to the Gospel Creed (those, for instance,
by which it is contra-distinguished from the creed of a religious Jew)
I do not place it. And before sentence is passed against me, as
heterodox, on this ground, let not my judges forget, who it was that
assured us, that if a man did not believe in a state of retribution
after death, previously and on other grounds, neither would he
believe, though a man should be raised from the dead.
Again, I am questioned as to my proofs of a future state by men
who are so far, and only so far, professed believers, that they admit
a God, and the existence of a Law from God: I give them: and the
questioners turn from me with a scoff or incredulous smile. Now
should others of a less scanty Creed infer the weakness of the
reasons assigned by me from their failure in convincing these men;
may I not remind them, Who it was, to whom a similar question was
proposed by men of the same class? But at all events it will be
enough for my own support to remember it; and to know that He
held such questioners, who could not find a sufficing proof of this
great all-concerning verity in the words, The God of Abraham, the
God of Isaac, and the God of Jacob unworthy of any other answer—
men not to be satisfied by any proof—by any such proofs, at least,
as are compatible with the ends and purposes of all religious
conviction; by any proofs, that would not destroy the faith they were
intended to confirm, and reverse the whole character and quality of
its effects and influences. But if, notwithstanding all here offered in
defence of my opinion, I must still be adjudged heterodox and in
error,—what can I say, but that malo cum Platone errare, and take
refuge behind the ample shield of Bishop Jeremy Taylor.

APHORISM XXIII.
Jeremy Taylor.

In order to his own glory, and for the manifestation of his

goodness, and that the accidents of this world might not overmuch
trouble those good men who suffered evil things, God was pleased
to do two great things. The one was: that he sent his Son into the
world to take upon him our nature, that every man might submit to
a necessity, from which God's own Son was not exempt, when it
behoved even Christ to suffer, and so to enter into glory. The other
great thing was: that God did not only by Revelation and the
Sermons of the Prophets to his Church, but even to all Mankind
competently teach, and effectively persuade, that the soul of man
does not die; that though things were ill here, yet to the good who
usually feel most of the evils of this life, they should end in honour
and advantages. And therefore Cicero had reason on his side to
conclude, that there is a time and place after this life, wherein the
wicked shall be punished, and the virtuous rewarded; when he
considered that Orpheus and Socrates, and many others, just men
and benefactors of mankind, were either slain or oppressed to death
by evil men. And all these received not the promise. But when virtue
made men poor; and free speaking of brave truths made the wise to
lose their liberty; when an excellent life hastened an opprobrious
death, and the obeying Reason and our Conscience lost us our lives,
or at least all the means and conditions of enjoying them: it was but
time to look about for another state of things, where justice should
rule, and virtue find her own portion. And therefore men cast out
every line, and turned every stone, and tried every argument: and
sometimes proved it well, and when they did not, yet they believed
strongly; and they were sure of the thing, when they were not sure of the
argument.[143]

Comment.
A fact may be truly stated, and yet the Cause or Reason assigned
for it mistaken; or inadequate; or pars pro toto—one only or few of
many that might or should have been adduced. The preceding
Aphorism is an instance in point. The phenomenon here brought
forward by the Bishop, as the ground and occasion of men's belief of
a future state—viz. the frequent, not to say ordinary, disproportion
between moral worth and worldly prosperity—must, indeed, at all
times and in all countries of the civilized world have led the
observant and reflecting few, the men of meditative habits and
strong feelings of natural equity, to a nicer consideration of the
current belief, whether instinctive or traditional. By forcing the Soul
in upon herself, this enigma of saint and sage, from Job, David and
Solomon to Claudian and Boetius,—this perplexing disparity of
success and desert, has, I doubt not, with such men been the
occasion of a steadier and more distinct consciousness of a
something in man different in kind, and which not merely
distinguishes but contra-distinguishes, him from brute animals—at
the same time that it has brought into closer view an enigma of yet
harder solution—the fact, I mean, of a contradiction in the human
being, of which no traces are observable elsewhere, in animated or
inanimate nature. A struggle of jarring impulses; a mysterious
diversity between the injunctions of the mind and the elections of
the will; and (last not least) the utter incommensurateness and the
unsatisfying qualities of the things around us, that yet are the only
objects which our senses discover, or our appetites require us to
pursue:—hence for the finer and more contemplative spirits the
ever-strengthening suspicion, that the two phenomena must in some
way or other stand in close connexion with each other, and that the
Riddle of Fortune and Circumstance is but a form or effluence of the
Riddle of Man:—and hence again, the persuasion, that the solution
of both problems is to be sought for—hence the presentiment, that
this solution will be found—in the contra-distinctive constituent of
humanity, in the something of human nature which is exclusively
human;—and—as the objects discoverable by the senses, as all the
bodies and substances that we can touch, measure, and weigh, are
either mere totals, the unity of which results from the parts, and is
of course only apparent; or substances, the unity of action of which
is owing to the nature or arrangement of the partible bodies which
they actuate or set in motion, (steam for instance, in a steam-
engine); as on the one hand the conditions and known or
conceivable properties of all the objects which perish and utterly
cease to be, together with all the properties which we ourselves
have in common with these perishable things, differ in kind from the
acts and properties peculiar to our humanity, so that the former
cannot even be conceived, cannot without a contradiction in terms
be predicated, of the proper and immediate subject of the latter—
(for who would not smile at an ounce of Truth, or a square foot of
Honour?)—and as, on the other hand, whatever things in visible
nature have the character of Permanence, and endure amid
continual flux unchanged like a rainbow in a fast-flying shower, (for
example, Beauty, Order, Harmony, Finality, Law,) are all akin to the
peculia of humanity, are all congenera of Mind and Will, without
which indeed they would not only exist in vain, as pictures for moles,
but actually not exist at all;—hence, finally, the conclusion, that the
soul of man, as the subject of Mind and Will, must likewise possess a
principle of permanence, and be destined to endure. And were these
grounds lighter than they are, yet as a small weight will make a
scale descend, where there is nothing in the opposite scale, or
painted weights, which have only an illusive relief or prominence; so
in the scale of immortality slight reasons are in effect weighty, and
sufficient to determine the judgment, there being no counter-weight,
no reasons against them, and no facts in proof of the contrary, that
would not prove equally well the cessation of the eye on the removal
or diffraction of the eye-glass, and the dissolution or incapacity of
the musician on the fracture of his instrument or its strings.
But though I agree with Taylor so far, as not to doubt that the
misallotment of worldly goods and fortunes was one principal
occasion, exciting well-disposed and spiritually-awakened natures by
reflections and reasonings, such as I have here supposed, to mature
the presentiment of immortality into full consciousness, into a
principle of action and a well-spring of strength and consolation; I
cannot concede to this circumstance any thing like the importance
and extent of efficacy which he in this passage attributes to it. I am
persuaded, that as the belief of all mankind, of all[144] tribes, and
nations, and languages, in all ages, and in all states of social union,
it must be referred to far deeper grounds, common to man as man;
and that its fibres are to be traced to the tap-root of humanity. I
have long entertained, and do not hesitate to avow, the conviction,
that the argument, from Universality of belief, urged by Barrow and
others in proof of the first article of the Creed, is neither in point of
fact—for two very different objects may be intended, and two, or
more, diverse and even contradictory conceptions may be
expressed, by the same name—nor in legitimacy of conclusion as
strong and unexceptionable, as the argument from the same ground
for the continuance of our personal being after death. The bull-calf
butts with smooth and unarmed brow. Throughout animated nature,
of each characteristic organ and faculty there exists a pre-assurance,
an instinctive and practical anticipation; and no pre-assurance
common to a whole species does in any instance prove delusive.[145]
All other prophecies of nature have their exact fulfilment—in every
other ingrafted word of promise, nature is found true to her word;
and is it in her noblest creature, that she tells her first lie?—(The
reader will, of course, understand, that I am here speaking in the
assumed character of a mere naturalist, to whom no light of
revelation had been vouchsafed; one, who
—— with gentle heart
Had worshipp'd Nature in the hill and valley,
Not knowing what he loved, but loved it all!)
Whether, however, the introductory part of the Bishop's argument
is to be received with more or less qualification, the fact itself, as
stated in the concluding sentence of the Aphorism, remains
unaffected, and is beyond exception true.
If other argument and yet higher authority were required, I might
refer to St. Paul's Epistle to the Romans, and to the Epistle to the
Hebrews, which whether written by Paul or, as Luther conjectured,
by Apollos, is out of all doubt the work of an Apostolic man filled
with the Holy Spirit, and composed while the Temple and the glories
of the Temple worship were yet in existence. Several of the Jewish
and still Judaizing converts had begun to vacillate in their faith, and
to stumble at the stumbling-stone of the contrast between the pomp
and splendour of the old Law and the simplicity and humility of the
Christian Church. To break this sensual charm, to unfascinate these
bedazzled brethren, the writer to the Hebrews institutes a
comparison between the two religions, and demonstrates the
superior spiritual grandeur, the greater intrinsic worth and dignity of
the religion of Christ. On the other hand, at Rome where the Jews
formed a numerous, powerful, and privileged class (many of them,
too, by their proselyting zeal and frequent disputations with the
priests and philosophers trained and exercised polemics) the
recently-founded Christian Church was, it appears, in greater danger
from the reasonings of the Jewish doctors and even of its own
Judaizing members, respecting the use of the new revelation. Thus
the object of the Epistle to the Hebrews was to prove the superiority
of the Christian Religion; the object of the Epistle to the Romans to
prove its necessity. Now there was one argument extremely well
calculated to stagger a faith newly transplanted and still loose at its
roots, and which, if allowed, seemed to preclude the possibility of
the Christian religion, as an especial and immediate revelation from
God—on the high grounds, at least, on which the Apostle of the
Gentiles placed it, and with the exclusive rights and superseding
character, which he claimed for it. "You admit" (said they) "the divine
origin and authority of the Law given to Moses, proclaimed with
thunders and lightnings and the voice of the Most High heard by all
the people from Mount Sinai, and introduced, enforced, and
perpetuated by a series of the most stupendous miracles. Our
religion then was given by God: and can God give a perishable
imperfect religion? If not perishable, how can it have a successor? If
perfect, how can it need to be superseded?—The entire argument is
indeed comprised in the latter attribute of our Law. We know, from
an authority which you yourselves acknowledge for divine, that our
religion is perfect. He is the Rock, and his Work is perfect. (Deuter.
xxxii. 4.) If then the religion revealed by God himself to our
forefathers is perfect, what need have we of another?"—This
objection, both from its importance and from its extreme plausibility,
for the persons at least, to whom it was addressed, required an
answer in both Epistles. And accordingly, the answer is included in
the one (that to the Hebrews) and it is the especial purpose and
main subject of the other. And how does the Apostle answer it?
Suppose—and the case is not impossible[146] —a man of sense, who
had studied the evidences of Priestley and Paley with Warburton's
Divine Legation, but who should be a perfect stranger to the
Writings of St. Paul: and that I put this question to him:—"What do
you think, will St. Paul's answer be?" "Nothing," he would reply, "can
be more obvious. It is in vain, the Apostle will urge, that you bring
your notions of probability and inferences from the arbitrary
interpretation of a word in an absolute rather than a relative sense,
to invalidate a known fact. It is a fact, that your Religion is (in your
sense of the word) not perfect: for it is deficient in one of the two
essential constituents of all true religion, the belief of a future state
on solid and sufficient grounds. Had the doctrine indeed been
revealed, the stupendous miracles, which you most truly affirm to
have accompanied and attested the first promulgation of your
religion, would have supplied the requisite proof. But the doctrine
was not revealed; and your belief of a future state rests on no solid
grounds. You believe it (as far as you believe it, and as many of you
as profess this belief) without revelation, and without the only
proper and sufficient evidence of its truth. Your religion, therefore,
though of divine Origin is, (if taken in disjunction from the new
revelation, which I am commissioned to proclaim) but a religio
dimidiata; and the main purpose, the proper character, and the
paramount object of Christ's mission and miracles, is to supply the
missing half by a clear discovery of a future state;—and (since "he
alone discovers who proves") by proving the truth of the doctrine,
now for the first time declared with the requisite authority, by the
requisite, appropriate, and alone satisfactory evidences."
But is this the Apostle's answer to the Jewish oppugners, and the
Judaizing false brethren, of the Church of Christ?—It is not the
answer, it does not resemble the answer returned by the Apostle. It
is neither parallel nor corradial with the line of argument in either of
the two Epistles, or with any one line; but it is a chord that traverses
them all, and only touches where it cuts across. In the Epistle to the
Hebrews the directly contrary position is repeatedly asserted: and in
the Epistle to the Romans it is every where supposed. The death to
which the Law sentenced all sinners (and which even the Gentiles
without the revealed Law had announced to them by their
consciences, the judgment of God having been made known even to
them) must be the same death, from which they were saved by the
faith of the Son of God; or the Apostle's reasoning would be
senseless, his antithesis a mere equivoque, a play on a word, quod
idem sonat, aliud vult. Christ redeemed mankind from the curse of
the Law: and we all know, that it was not from temporal death, or
the penalties and afflictions of the present life, that believers have
been redeemed. The Law, of which the inspired sage of Tarsus is
speaking, from which no man can plead excuse; the Law
miraculously delivered in thunders from Mount Sinai, which was
inscribed on tables of stone for the Jews, and written in the hearts
of all men (Rom. ii. 15.)—the Law holy and spiritual! what was the
great point, of which this Law, in its own name, offered no solution?
the mystery, which it left behind the veil, or in the cloudy tabernacle
of types and figurative sacrifices? Whether there was a judgment to
come, and souls to suffer the dread sentence? Or was it not far
rather—what are the means of escape; where may grace be found,
and redemption? St. Paul says, the latter. The Law brings
condemnation: but the conscience-sentenced transgressor's
question, "What shall I do to be saved? Who will intercede for me?"
she dismisses as beyond the jurisdiction of her court, and takes no
cognizance thereof, save in prophetic murmurs or mute
outshadowings of mystic ordinances and sacrificial types.—Not,
therefore, that there is a Life to come, and a future state; but what
each individual Soul may hope for itself therein; and on what
grounds; and that this state has been rendered an object of
aspiration and fervent desire, and a source of thanksgiving and
exceeding great joy; and by whom, and through whom, and for
whom, and by what means and under what conditions—these are
the peculiar and distinguishing fundamentals of the Christian Faith!
These are the revealed Lights and obtained Privileges of the
Christian Dispensation! Not alone the knowledge of the boon, but
the precious inestimable Boon itself, is the Grace and Truth that
came by Jesus Christ! I believe Moses, I believe Paul; but I believe
in Christ.
[139] Coleridge quotes this passage in his Conclusion.—Ed.
[140] J. Taylor's 'Worthy Communicant.'—H.N.C.
[141] Isaiah xxxiv. compared with Matt. x. 34, and Luke xii. 49.
—H.N.C.
[142] Conclusion, Part III. ch. 8.—H.N.C.
[143] Sermon at the Funeral of Sir George Dalston.—H.N.C.
[144] I say, all: for the accounts of one or two travelling French
philosophers, professed atheists and partizans of infidelity,
respecting one or two African hordes, Caffres, and poor outlawed
Boschmen, hunted out of their humanity, ought not to be
regarded as exceptions. And as to Hearne's assertion respecting
the non-existence and rejection of the belief among the Copper-
Indians, it is not only hazarded on very weak and insufficient
grounds, but he himself, in another part of his work,
unconsciously supplies data, from whence the contrary may
safely be concluded. Hearne, perhaps, put down his friend
Motannabbi's Fort-philosophy for the opinion of his tribe; and
from his high appreciation of the moral character of this
murderous gymnosophist, it might, I fear, be inferred, that
Hearne himself was not the very person one would, of all others,
have chosen for the purpose of instituting the inquiry.
[145] See Baron Field's Letters from New South Wales. The
poor natives, the lowest in the scale of humanity, evince no
symptom of any religion, or the belief of any superior power as
the maker of the world; but yet have no doubt that the spirits of
their ancestors survive in the form of porpoises, and mindful of
their descendants with imperishable affection, drive the whales
ashore for them to feast on.
[146] The case here supposed actually occurred in my own
experience in the person of a Spanish refugee, of English
parents, but from his tenth year resident in Spain, and bred in a
family of wealthy, but ignorant and bigoted, Roman Catholics. In
mature manhood he returned to England, disgusted with the
conduct of the priests and monks, which had indeed for some
years produced on his mind its so common effect among the
better-informed natives of the South of Europe—a tendency to
Deism. The results, however, of the infidel system in France, with
his opportunities of observing the effects of irreligion on the
French officers in Spain, on the one hand; and the undeniable
moral and intellectual superiority of Protestant Britain on the
other; had not been lost on him: and here he began to think for
himself and resolved to study the subject. He had gone through
Bishop Warburton's Divine Legation, and Paley's Evidences; but
had never read the New Testament consecutively, and the
Epistles not at all.
 APHORISM.
ON BAPTISM.

Leighton.

In those days came John the Baptist, preaching.—It will suffice for
our present purpose, if by these[147] words we direct the attention
to the origin, or at least first Scriptural record, of Baptism, and to the
combinement of Preaching therewith; their aspect each to the other,
and their concurrence to one excellent end: the Word unfolding the
Sacrament, and the Sacrament sealing the Word; the Word as a
Light, informing and clearing the sense of the Seal; and this again,
as a Seal, confirming and ratifying the truth of the Word; as you see
some significant seals, or engraven signets, have a word about them
expressing their sense.
But truly the word is a light and the sacraments have in them of
the same light illuminating them. This sacrament of Baptism, the
ancients do particularly express by light. Yet are they both nothing
but darkness to us, till the same light shine in our hearts; for till then
we are nothing but darkness ourselves, and therefore the most
luminous things are so to us. Noonday is as midnight to a blind man.
And we see these ordinances, the word and the sacrament, without
profit or comfort for the most part, because we have not of that
Divine Light within us. And we have it not, because we ask it not.

Comment.
Or an Aid to Reflection in the forming of a sound Judgment
respecting the purport and purpose of the Baptismal Rite, and a just
appreciation of its value and importance.
 A born and bred Baptist, and paternally descended from the old
orthodox Non-conformists, and both in his own and in his father's
right a very dear friend of mine, had married a member of the
National Church. In consequence of an anxious wish expressed by
his lady for the baptism of their first child, he solicited me to put him
in possession of my Views respecting this controversy; though
principally as to the degree of importance which I attached to it. For
as to the point itself, his natural prepossession in favour of the
persuasion in which he was born, had been confirmed by a
conscientious examination of the arguments on both sides. As the
Comment on the preceding Aphorism, or rather as an expansion of
its subject matter, I will give the substance of the conversation: and
amply shall I have been remunerated, should it be read with the
interest and satisfaction with which it was heard. More particularly,
should any of my readers find themselves under the same or similar
circumstances.
Our discussion is rendered shorter and more easy by our perfect
agreement in certain preliminary points. We both disclaim alike every
attempt to explain any thing into Scripture, and every attempt to
explain any thing out of Scripture. Or if we regard either with a
livelier aversion, it is the latter, as being the more fashionable and
prevalent. I mean the practice of both high and low Grotian Divines
to explain away positive assertions of Scripture on the pretext, that
the literal sense is not agreeable to reason, that is, their particular
reason. And inasmuch as (in the only right sense of the word), there
is no such thing as a particular reason, they must, and in fact they
do, mean, that the literal sense is not accordant to their
understanding, that is, to the notions which their understandings
have been taught and accustomed to form in their school of
philosophy. Thus a Platonist who should become a Christian, would
at once, even in texts susceptible of a different interpretation,
recognize, because he would expect to find, several doctrines which
the disciple of the Epicurean or mechanic school will not receive on
the most positive declarations of the Divine Word. And as we agree
in the opinion, that the Minimi-fidian party[148] err grievously in the
latter point, so I must concede to you, that too many Pædo-baptists
(assertors of Infant Baptism) have erred, though less grossly, in the
former. I have, I confess, no eye for these smoke-like wreaths of
inference, this ever widening spiral ergo from the narrow aperture of
perhaps a single text; or rather an interpretation forced into it by
construing an idiomatic phrase in an artless narrative with the same
absoluteness, as if it had formed part of a mathematical problem. I
start back from these inverted Pyramids, where the apex is the base.
If I should inform any one that I had called at a friend's house, but
had found nobody at home, the family having all gone to the play;
and if he on the strength of this information, should take occasion to
asperse my friend's wife for unmotherly conduct in taking an infant,
six months old, to a crowded theatre; would you allow him to press
on the words "nobody" and "all" the family, in justification of the
slander? Would you not tell him, that the words were to be
interpreted by the nature of the subject, the purpose of the speaker,
and their ordinary acceptation; and that he must, or might have
known, that infants of that age would not be admitted into the
theatre? Exactly so, with regard to the words, he and all his
household. Had Baptism of infants at that early period of the Gospel
been a known practice, or had this been previously demonstrated,—
then indeed the argument, that in all probability there were one or
more infants or young children in so large a family, would be no
otherwise objectionable than as being superfluous, and a sort of
anticlimax in logic. But if the words are cited as the proof, it would
be a clear petitio principii, though there had been nothing else
against it. But when we turn back to the Scriptures preceding the
narrative, and find repentance and belief demanded as the terms
and indispensable conditions of Baptism—then the case above
imagined applies in its full force. Equally vain is the pretended
analogy from Circumcision, which was no Sacrament at all; but the
means and mark of national distinction. In the first instance it was,
doubtless, a privilege or mark of superior rank conferred on the
descendants of Abraham. In the Patriarchal times this rite was
confined (the first governments being Theocracies) to the
priesthood, who were set apart to that office from their birth. At a
later period this token of the premier class was extended to Kings.
And thus, when it was re-ordained by Moses for the whole Jewish
nation, it was at the same time said—Ye are all Priests and Kings; ye
are a consecrated People. In addition to this, or rather in aid of this,
Circumcision was intended to distinguish the Jews by some indelible
sign: and it was no less necessary, that Jewish children should be
recognizable as Jews, than Jewish adults—not to mention the
greater safety of the rite in infancy. Nor was it ever pretended that
any Grace was conferred with it, or that the rite was significant of
any inward or spiritual operation. In short, an unprejudiced and
competent reader need only peruse the first thirty-three paragraphs
of the eighteenth section of Taylor's Liberty of Prophesying; and then
compare with these the remainder of the Section added by him after
the Restoration: those, namely, in which he attempts to overthrow
his own arguments. I had almost said, affects: for such is the
feebleness, and so palpable the sophistry of his answers, that I find
it difficult to imagine, that Taylor himself could have been satisfied
with them. The only plausible arguments apply with equal force to
Baptist and Pædo-baptist; and would prove, if they proved any
thing, that both were wrong, and the Quakers only in the right.
Now, in the first place, it is obvious, that nothing conclusive can
be drawn from the silence of the New Testament respecting a
practice, which, if we suppose it already in use, must yet, from the
character of the first converts, have been of comparatively rare
occurrence; and which from the predominant, and more concerning,
objects and functions of the Apostolic writers (1 Corinth. i. 17.) was
not likely to have been mentioned otherwise than incidentally, and
very probably therefore might not have occurred to them to mention
at all. But, secondly, admitting that the practice was introduced at a
later period than that in which the Acts of the Apostles and the
Epistles were composed: I should yet be fully satisfied, that the
Church exercised herein a sound[149] discretion. On either
supposition, therefore, it is never without regret that I see a divine
of our Church attempting to erect forts on a position so evidently
commanded by the strong-hold of his antagonists. I dread the use
which the Socinians may make of their example, and the Papists of
their failure. Let me not, however, deceive you. (The reader
understands, that I suppose myself conversing with a Baptist.) I am
of opinion, that the divines on your side are chargeable with a far
more grievous mistake, that of giving a carnal and Judaizing
interpretation to the various Gospel texts in which the terms,
baptism and baptize, occur, contrary to the express and earnest
admonitions of the Apostle Paul. And this I say, without in the least
retracting my former concession, that the texts appealed to, as
commanding or authorizing Infant Baptism, are all without exception
made to bear a sense neither contained nor deducible: and likewise
that (historically considered) there exists no sufficient positive
evidence, that the Baptism of infants was instituted by the Apostles
in the practice of the Apostolic age.[150]
Lastly, we both coincide in the full conviction, that it is neither the
outward ceremony of Baptism, under any form or circumstances, nor
any other ceremony, but such a faith in Christ as tends to produce a
conformity to his holy doctrines and example in heart and life, and
which faith is itself a declared mean and condition of our partaking
of his spiritual body, and of being clothed upon with his
righteousness,—that properly makes us Christians, and can alone be
enjoined as an Article of Faith necessary to Salvation, so that the
denial thereof may be denounced as a damnable heresy. In the
strictest sense of essential, this alone is the essential in Christianity,
that the same spirit should be growing in us which was in the
fulness of all perfection in Christ Jesus. Whatever else is named
essential is such because, and only as far as, it is instrumental to
this, or evidently implied herein. If the Baptists hold the visible rite
to be indispensable to salvation, with what terror must they not
regard every disease that befalls their children between youth and
infancy! But if they are saved by the faith of the parent, then the
outward rite is not essential to salvation, otherwise than as the
omission should arise from a spirit of disobedience: and in this case
it is the cause, not the effect, the wilful and unbaptized heart, not
the unbaptizing hand, that perils it. And surely it looks very like an
inconsistency to admit the vicarious faith of the parents and the
therein implied promise, that the child shall be Christianly bred up,
and as much as in them lies prepared for the communion of saints—
to admit this, as safe and sufficient in their own instance, and yet to
denounce the same belief and practice as hazardous and unavailing
in the Church—the same, I say, essentially, and only differing from
their own by the presence of two or three Christian friends as
additional securities, and by the promise being expressed!
But you, my filial friend! have studied Christ under a better
teacher—the Spirit of Adoption, even the spirit that was in Paul, and
which still speaks to us out of his writings. You remember and
admire the saying of an old divine, that a ceremony duly instituted
was a Chain of Gold round the Neck of Faith; but if in the wish to
make it co-essential and consubstantial, you draw it closer and
closer, it may strangle the Faith it was meant to deck and designate.
You are not so unretentive a scholar as to have forgotten the pateris
et auro of your Virgil: or if you were, you are not so inconsistent a
reasoner, as to translate the Hebraism, spirit and fire in one place by
spiritual fire, and yet to refuse to translate water and spirit by
spiritual water in another place: or if, as I myself think, the different
position marks a different sense, yet that the former must be
ejusdem generis with the latter—the Water of Repentance,
reformation in conduct; and the Spirit that which purifies the inmost
principle of action, as fire purges the metal substantially and not
cleansing the surface only!
But in this instance, it will be said, the ceremony, the outward and
visible sign, is a Scripture ordinance. I will not reply, that the Romish
priest says the same of the anointing of the sick with oil and the
imposition of hands. No, my answer is: that this is a very sufficient
reason for the continued observance of a ceremonial rite so derived
and sanctioned, even though its own beauty, simplicity, and natural
significancy had pleaded less strongly in its behalf. But it is no
reason why the Church should forget, that the perpetuation of a
thing does not alter the nature of the thing, and that a ceremony to
be perpetuated is to be perpetuated as a ceremony. It is no reason
why, knowing and experiencing even in the majority of her own
members the proneness of the human mind to[151] superstition, the
Church might not rightfully and piously adopt the measures best
calculated to check this tendency, and to correct the abuse, to which
it had led in any particular rite. But of superstitious notions
respecting the baptismal ceremony, and of abuse resulting, the
instances were flagrant and notorious. Such, for instance, was the
frequent deferring of the baptismal rite to a late period of life, and
even to the death-bed, in the belief that the mystic water would
cleanse the baptized person from all sin and (if he died immediately
after the performance of the ceremony) send him pure and spotless
into the other world.
Nor is this all. The preventive remedy applied by the Church is
legitimated as well as additionally recommended by the following
consideration. Where a ceremony answered and was intended to
answer several purposes, which purposes at its first institution were
blended in respect of the time, but which afterwards, by change of
circumstances (as when, for instance, a large and ever-increasing
proportion of the members of the Church, or those who at least bore
the Christian name, were of Christian parents), were necessarily dis-
united—then either the Church has no power or authority delegated
to her (which is shifting the ground of controversy)—or she must be
authorized to choose and determine, to which of the several
purposes the ceremony should be attached.—Now one of the
purposes of Baptism was—the making it publicly manifest, first, what
individuals were to be regarded by the world (Phil. ii. 15.) as
belonging to the visible communion of Christians: inasmuch as by
their demeanour and apparent condition, the general estimation of
the city set on a hill and not to be hid (Matth. v. 14.) could not but
be affected—the city that even in the midst of a crooked and
perverse nation was bound not only to give no cause, but by all
innocent means to prevent every occasion, of rebuke. Secondly, to
mark out, for the Church itself, those that were entitled to that
especial dearness, that watchful and disciplinary love and loving-
kindness, which over and above the affections and duties of
philanthropy and universal charity, Christ himself had enjoined, and
with an emphasis and in a form significant of its great and especial
importance,—A New Commandment I give unto you, that ye love
one another. By a charity wide as sunshine, and comprehending the
whole human race, the body of Christians was to be placed in
contrast with the proverbial misanthropy and bigotry of the Jewish
Church and people: while yet they were to be distinguished and
known to all men, by the peculiar love and affection displayed by
them towards the members of their own community; thus exhibiting
the intensity of sectarian attachment, yet by the no less notorious
and exemplary practice of the duties of universal benevolence,
secured from the charge so commonly brought against it, of being
narrow and exclusive. "How kind these Christians are to the poor
and afflicted, without distinction of religion or country; but how they
love each other!"
Now combine with this the consideration before urged—the duty, I
mean, and necessity of checking the superstitious abuse of the
baptismal rite: and I then ask, with confidence, in what way could
the Church have exercised a sound discretion more wisely, piously,
or effectively, than by fixing, from among the several ends and
purposes of Baptism, the outward ceremony to the purposes here
mentioned? How could the great body of Christians be more plainly
instructed as to the true nature of all outward ordinances? What can
be conceived better calculated to prevent the ceremony from being
regarded as other and more than a ceremony, if not the
administration of the same on an object, (yea, a dear and precious
object) of spiritual duties, though the conscious subject of spiritual
operations and graces only by anticipation and in hope;—a subject
unconscious as a flower of the dew falling on it, or the early rain,
and thus emblematic of the myriads who (as in our Indian empire,
and henceforward, I trust, in Africa) are temporally and even morally
benefited by the outward existence of Christianity, though as yet
ignorant of its saving truth! And yet, on the other hand, what more
reverential than the application of this, the common initiatory rite of
the East sanctioned and appropriated by Christ—its application, I
say, to the very subjects, whom he himself commanded to be
brought to him—the children in arms, respecting whom Jesus was
much displeased with his disciples, who had rebuked those that
brought them! What more expressive of the true character of that
originant yet generic stain, from which the Son of God, by his
mysterious incarnation and agony and death and resurrection, and
by the Baptism of the Spirit, came to cleanse the children of Adam,
than the exhibition of the outward element to infants free from and
incapable of crime, in whom the evil principle was present only as
potential being, and whose outward semblance represented the
kingdom of Heaven? And can it—to a man, who would hold himself
deserving of anathema maranatha (1 Cor. xvi. 22.) if he did not love
the Lord Jesus—can it be nothing to such a man, that the
introduction and commendation of a new inmate, a new spiritual
ward, to the assembled brethren in Christ (—and this, as I have
shown above, was one purpose of the baptismal ceremony) does in
the baptism of an infant recall our Lord's own presentation in the
Temple on the eighth day after his birth? Add to all these
considerations the known fact of the frequent exposure and the
general light regard of infants, at the time when Infant Baptism is by
the Baptists supposed to have been first ruled by the Catholic
Church, not overlooking the humane and charitable motives, that
influenced Cyprian's decision in its favour. And then make present to
your imagination, and meditatively contemplate the still continuing
tendency, the profitable, the beautiful effects, of this ordinance now
and for so many centuries back, on the great mass of the population
throughout Christendom—the softening, elevating exercise of faith
and the conquest over the senses, while in the form of a helpless
crying babe the presence, and the unutterable worth and value, of
an immortal being made capable of everlasting bliss are solemnly
proclaimed and carried home to the mind and heart of the hearers
and beholders! Nor will you forget the probable influence on the
future education of the child, the opportunity of instructing and
impressing the friends, relatives, and parents in their best and most
docile mood. These are, indeed, the mollia tempora fandi.
It is true, that by an unforeseen accident, and through the
propensity of all zealots to caricature partial truth into total
falsehood—it is too true, that a tree the very contrary in quality of
that shown to Moses (Exod. xv. 25.) was afterwards cast into the
sweet waters from this fountain, and made them like the waters of
Marah, too bitter to be drunk. I allude to the Pelagian controversy,
the perversion of the article of Original Sin by Augustine, and the
frightful conclusions which this durus pater infantum drew from the
article thus perverted. It is not, however, to the predecessors of this
African, whoever they were that authorized Pædo-baptism, and at
whatever period it first became general—it is not to the Church at
the time being, that these consequences are justly imputable. She
had done her best to preclude every superstition, by allowing in
urgent cases any and every adult, man and woman, to administer
the ceremonial part, the outward rite, of baptism: but reserving to
the highest functionary of the Church (even to the exclusion of the
co-presbyters) the more proper and spiritual purpose, namely, the
declaration of repentance and belief, the free Choice of Christ, as his
Lord, and the open profession of the Christian title by an individual
in his own name and by his own deliberate act. This office of
religion, the essentially moral and spiritual nature of which could not
be mistaken, this most solemn office the Bishop alone was to
perform.
 Thus—as soon as the purposes of the ceremonial rite were by
change of circumstances divided, that is, took place at different
periods of the believer's life—to the outward purposes, where the
effect was to be produced on the consciousness of others, the
Church continued to affix the outward rite; while to the substantial
and spiritual purpose, where the effect was to be produced on the
individual's own mind, she gave its beseeming dignity by an
ordinance not figurative, but standing in the direct cause and
relation of means to the end.
In fine, there are two great purposes to be answered, each having
its own subordinate purposes, and desirable consequences. The
Church answers both, the Baptists one only. If, nevertheless, you
would still prefer the union of the Baptismal rite with the
Confirmation, and that the Presentation of Infants to the assembled
Church had formed a separate institution, avowedly prospective—I
answer: first, that such for a long time and to a late period was my
own judgment. But even then it seemed to me a point, as to which
an indifference would be less inconsistent in a lover of truth, than a
zeal to separation in a professed lover of peace. And secondly, I
would revert to the history of the Reformation, and the calamitous
accident of the Peasants' War: when the poor ignorant multitude,
driven frantic by the intolerable oppressions of their feudal lords,
rehearsed all the outrages that were acted in our own times by the
Parisian populace headed by Danton, Marat, and Robespierre; and
on the same outrageous principles, and in assertion of the same
Rights of Brutes to the subversion of all the Duties of Men. In our
times, most fortunately for the interest of religion and morality, or of
their prudential substitutes at least, the name of Jacobin was every
where associated with that of Atheist and Infidel. Or rather,
Jacobinism and Infidelity were the two heads of the Revolutionary
Geryon—connatural misgrowths of the same monster-trunk. In the
German Convulsion, on the contrary, by a mere but most
unfortunate accident, the same code of Caliban jurisprudence, the
same sensual and murderous excesses, were connected with the
name of Anabaptist. The abolition of magistracy, community of
goods, the right of plunder, polygamy, and whatever else was
fanatical were comprised in the word, Anabaptism. It is not to be
imagined, that the Fathers of the Reformation could, without a
miraculous influence, have taken up the question of Infant Baptism
with the requisite calmness and freedom of spirit. It is not to be
wished, that they should have entered on the discussion. Nay, I will
go farther. Unless the abolition of Infant Baptism can be shown to be
involved in some fundamental article of faith, unless the practice
could be proved fatal or imminently perilous to salvation, the
Reformers would not have been justified in exposing the yet tender
and struggling cause of Protestantism to such certain and violent
prejudices as this innovation would have excited. Nothing less than
the whole substance and efficacy of the Gospel faith was the prize,
which they had wrestled for and won; but won from enemies still in
the field, and on the watch to retake, at all costs, the sacred
treasure, and consign it once again to darkness and oblivion. If there
be a time for all things, this was not the time for an innovation, that
would and must have been followed by the triumph of the enemies
of Scriptural Christianity, and the alienation of the governments, that
had espoused and protected it.
Remember, I say this on the supposition of the question's not
being what you do not pretend it to be, an essential of the Faith, by
which we are saved. But should it likewise be conceded, that it is a
disputable point—and that in point of fact it is and has been
disputed by divines, whom no pious Christian of any denomination
will deny to have been faithful and eminent servants of Christ;
should it, I say, be likewise conceded that the question of Infant
Baptism is a point, on which two Christians, who perhaps differ on
this point only, may differ without giving just ground for impeaching
the piety or competence of either—in this case I am obliged to infer,
that the person who at any time can regard this difference as singly
warranting a separation from a religious Community, must think of
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