1. XML Fundamentals
Cheng-Chia Chen

2. Well-formed XML XML Data Model Namespaces
Contents
Well-formed XML
concrete textual representation of XML
XML Data Model
Conceptual tree model
Namespaces
How does XML avoid name conflicts?

3. Well-formed XML Document
An XML document is a sequence of characters:
Each character is an atomic unit of text as specified by ISO/IEC [unicode].
usually given a .xml extension file name
MIME media type: application/xml or text/xml
Ex:
<?xml version=“1.0” encoding=“UTF-8”>
<student> 張得功 </student>

4. [2] Char ::= #x9 | #xA | #xD | [#x20-#xD7FF]
Characters used in XML
A character is an atomic unit of text as specified by ISO/IEC [ISO/IEC 10646].
Legal characters are tab, carriage return, line feed, and the legal graphic characters of Unicode and ISO/IEC
Character Range
[2] Char ::= #x9 | #xA | #xD | [#x20-#xD7FF]
| [#xE000-#xFFFD] | [#x10000-#x10FFFF]
/* any Unicode character, excluding the surrogate blocks(#xD800~#xDFFF, FFFE, and FFFF. */
character encoding may vary from entity to entity.
All XML processors must accept the UTF-8 and UTF-16 encodings.

5. ASCII – Needs 7-bits of storage Codes 0 – 127 used
ASCII code
ASCII – Needs 7-bits of storage
Codes 0 – 127 used

6. [3] S ::= (#x20 | #x9 | #xD | #xA)+
Whitespace
White Space:
[3] S ::= (#x20 | #x9 | #xD | #xA)+
S (white space) consists of one or more space (#x20) characters, tabs, carriage returns or line feeds.
Whitespace can used to separate otherwise indistinguishable parts of an XML Document.
<student age=“15”>…</student>
<studentage=“15”>…</student>

7. the document, expressed
XML Declaration
<?xml version=“1.0” encoding=“Big5” standalone=“no” ?>
Besides using file extension name, an xml document may use an XML declaration to identify itself as an XML document.
If used, it should occur first (no proceding whitespace allowed) in the document.
Version of the
XML specification
1.0 or 1.1
character encoding of
the document, expressed
in Latin characters, e.g.,
UTF-8, UTF-16,
iso ,
no: parsing affected
by external
DTD subset
yes: not affected .

8. Elements, tags and character data
The example :
<?xml version=“1.0” encoding=“UTF-8” ?>
<student> 張得功 </student>
is composed of a single element named student
Start-tag: <student>
End-tag: </student>
Everything between start-tag and end-tag is called content
Content encompasses real information
Whitespace is part of the content, though many applications will choose to ignore it
<student> and </student> are markups
張得功 and its surrounding whitespace are character data

9. Structure of an element
Each XML document contains one or more elements, the boundaries of which are either delimited by start-tags and end-tags, or, for empty elements, by an empty-element tag.
Each element has a type, identified by name, and may have a set of attribute specifications.
The name used in start-tag and end-tag must be identical.
Note: xml is case sensitive, so <student> != <Student>
Each attribute specification has a name and a value.
Element
[39] element ::= EmptyElemTag | STag content ETag

10. [14] CharData ::= [^<&]* - ([^<&]* ']]>' [^<&]*)
Element (cont’d)
Content of Elements : those between the start-tag and end-tag are called the element's content:
[43] content ::= CharData? ((element | Reference | CDSect | PI | Comment) CharData?)*
[14] CharData ::= [^<&]* - ([^<&]* ']]>' [^<&]*)
i.e., Any string containing none of <, & and ]]>.
If an element has empty content, it is represented either by a start-tag immediately followed by an end-tag or by an empty-element tag.
Tags for Empty Elements
[44] EmptyElemTag ::= '<' Name (S Attribute)* S? '/>‘

11. Examples of empty elements
<IMG align="left”
src="
/>
></IMG>
1. <br></br>
2. <br/>
<br> </br>
Note: 1 = 2 != 3.

12. Start tag with attribute ( in document) and end tag
<tag attributeName = “ attrbute-value “ … >
</tag>
name of the
attribute
value or values
of the attribute
Each element
may contain zero
or more attributes
name(or type)
of the element
single or double
quotes,
‘ or “ must match
start tag and end
tag name must match

13. Attach additional information to elements
Attributes
Attach additional information to elements
An attribute is a name-value pair attached to an element’s start-tag
One element can have more than one attribute
Name and value are separated by = and optional whitespace
Attribute value is enclosed in double or single quotation marks
<tel type=“office”> </tel>
Attribute order is not significant
<student age=“20” gender=“male”>
趙得勝
</student>

14. [40] STag ::= '<' Name (S Attribute)* S? '>'
Start Tag
Start-tag
[40] STag ::= '<' Name (S Attribute)* S? '>'
[ WFC: Unique Att Spec ]
[41] Attribute ::= Name Eq AttValue
Example:
<termdef id=“dt-dog” term=“dog”>
End-tag
[42] ETag ::= '</' Name S? '>’
</termdef> </termdef > vs </ termdef> < /termdef>

15. Rules for naming elements, attributes… Names and Tokens
XML Names
Rules for naming elements, attributes…
Names and Tokens
[4] NameChar ::= Letter | Digit | '.' | '-' | '_' | ':' |
CombiningChar | Extender
[5] Name ::= (Letter | '_' | ':') (NameChar)*
[6] Names ::= Name ( #x20 Name)*
[7] Nmtoken ::= (NameChar)+
[8] Nmtokens ::= Nmtoken (#x20 Nmtoken)*
Names beginning with (x|M)(m|M)(l|L) are reserved.
Name is used for naming elements, attributes, entities etc.
Nmtoken (Nmtokens) is used for values of special attributes(ID,IDREFS,NMTOKEN,NMTOKENS).

16. AttValues (attribute value literal)
are those that can occur as an attribute value.
[10] AttValue ::= '"' ([^<&"] | Reference)* '"'
| "'" ([^<&'] | Reference)* "'"
Enclosed by double or single quotes.
Can contain
entity/char references (see later slide)or
any char data but excluding < and & and ( ’ or ”).

17. Comments may appear Comments
1. anywhere in a document outside other markup;
2. within the document type declaration at places allowed by the grammar.
They are not part of the document's character data.
The string "--" (double-hyphen) must not occur within comments.
Comments
[15] Comment ::= '<!--' ( (Char - '-') | ('-' (Char - '-')) )* '-->'
Example:
<!-- declarations for <head> & <body> -->
<error <!-- comments cannot appear here! --> a=“aa”> ..

18. Processing Instructions (PIs)
Processing instructions (PIs) allow documents to contain instructions for applications.
Processing Instructions:
[16] PI ::= '<?' PITarget (S (Char* - (Char* '?>' Char*)))? '?>'
[17] PITarget ::= Name - (('X' | 'x') ('M' | 'm') ('L' | 'l'))
The PI begins with a target (PITarget) used to identify the application.
The remaing part is called PIData, which should not contain substring “?>”.
The target names "XML", "xml", and so on are reserved for standardization.
Ex: <?xml-stylesheet type=“text/css” href=“style.css” ?>
xml-stylesheet is reserved for XSLT stylesheet.

19. Processing Instruction and comment
<?PItarget ***other staff*** ?>
<!-- 這是說明或註解 -->
may contain any characters
except the substring “?>”
may contain any characters
except the string “--”

20. [1]document ::= prolog element Misc*
XML Document
[1]document ::= prolog element Misc*
elemet is called the root or document element of the document
[22] prolog ::= XMLDecl? Misc* (doctypedecl Misc*)?
[23] XMLDecl ::= '<?xml' VersionInfo EncodingDecl?
SDDecl? S? '?>'
[27] Misc ::= Comment | PI | S

21. What if the character data inside an element contains < or & ?
Character references
What if the character data inside an element contains < or & ?
<expr> x+1 < z </expr>
Instead of using ‘<‘, we can use its character code (60) reference:
< decimal #60
< hexadecimal #X3c or #x3C
Rule: if C is a char with code point dddd (decimal) or yyyy (hexideciaml), then we can represent C using
& #dddd; or &#xyyyy;
Cf: in C or Java, we use
\t or \011 to represent HT (#09).
\\ or \x5c to represent back slash \ (#x5c)

22. Numeric code is hard to remember.
Entity reference
Numeric code is hard to remember.
Can use a name to denote a char or a string
Such name is called an entity.
Entity reference –
If xxx is an entity => &xxx; is its entity reference
While parsing an XML document, xml processor would replace every encountered entity reference with its actual character.
XML predefines 5 entity references – you can define your own.
< – the less-than sign (<)
& – the ampersand (&)
> – the greater-than sign(>) -- not needed in general
" – the straight, double quotation marks (")
&apos; – the straight single quote (')

23. What if my element content has a lot of special characters ?
CDATA Section
What if my element content has a lot of special characters ?
Ex: <expr> x < y && z < 1 </expr>
Solution 1:
<expr> x < y &amps;&amps; z < 1 </expr>
Hard to read/comprehend
Solution 2:
<expr><![CDATA[ x < y && z < 1 ]]></expr>

24. [18] CDSect ::= CDStart CData CDEnd [19] CDStart ::= '<![CDATA['
CDATA Sections
CDATA sections
may occur as part of the content of an element;
used to escape blocks of text containing many special characters.
begin with the string "<![CDATA[" and end with the string "]]>":
CDATA Sections
[18] CDSect ::= CDStart CData CDEnd
[19] CDStart ::= '<![CDATA['
[20] CData ::= (Char* - (Char* ']]>' Char*))
[21] CDEnd ::= ']]>'
What cannot occur inside a CDATA section?
Ans: ']]>'
Every character inside CDATA section is recognized as a literal character, so ‘<‘ and ‘&’ may and must occur in their literal form.
Example: <![CDATA[<greeting>Hello, world!</greeting>]]>

25. Character Data and Markup
XML Document consists of intermingled character data and markup.
Markup takes the form of
start-tags, end-tags, empty-element tags,
entity references, character references,
comments, CDATA section delimiters,
document type declarations,
processing instructions,
XML declarations, text declarations and
white space outside root element
All text that is not markup constitutes the character data of the document. I.e., it may occur
in the content of an element or
In the content of an CDATA Section.

26. Character Data and Markup (cont’d)
In the content of elements, character data is any string of characters, which does not contain the start-delimiter (< and & ) of any markup.
In a CDATA section, character data is any string of characters not including the CDATA-section-close delimiter, "]]>".
To allow attribute values to contain both single and double quotes, the apostrophe or single-quote character (') may be represented as "&apos;", and the double-quote character (") as """.
Character Data :
[14] CharData ::= [^<&]* - ([^<&]* ']]>' [^<&]*)
i.e., Any string containing none of <, & and ]]>.

27. Possible contents of an element
[39] element ::= EmptyElemTag | STag content ETag
Content of Elements
[43] content ::= CharData? ((element | Reference | CDSect | PI | Comment) CharData?)*
In addition to char data and child elements, an element may contain as children also
references,
PIs,
comments or
CDATA sections.

28. General rules for well-formed XML Documents
1: balanced start and end tags
The set of tags is unlimited but all start tags must have matching end tags
Example of legal XML
<student> <name> DeTsi Wang</name> < > <age> 20 </age> </student>
2: There must be exactly one root element

29. Rules for well-formed XML Documents
Rule 3: Proper element nesting
All tags must be nested correctly. Like HTML, XML can intermix tags and text, but tags may not overlap each other.
Legal XML
<student> <name> DeTsi Wang</name> < > <age> 20 </age>
</student>
Illegal XML
<b><i>This text is bold and italic</b> and italic</i>

30. Rules for well-formed XML Documents
Rule 4: Attribute values must be single or double quoted
Legal
<tag attribute=“value”>
<tag attribute=‘value’>
Illegal
<font size=6> <font size=“60’>
Rule 5: An element may not have two attributes with the same name
<font size=“6” size = “10”/>
Rule 6: Comments and processing instructions may not appear inside tags
<font <!– error comment --> size = “6” />
Rule 7: No unescaped < or & signs may occur in the character data of an element or attributes
<font zise=“<20”> 20&3 </font>

31. An example XML document : Recipes in XML
Define our own “Recipe Markup Language”
Choose markup tags that correspond to concepts in this application domain
recipe, ingredient, amount, ...
No canonical choices
granularity of markup?
simply <date>14 Jun 95</date> or
<date><y>95</y><m>6</m><d>14</d></date>
structuring?
elements or attributes?
...

32. Example (1/2) <collection>
<description>Recipes suggested by Jane Dow</description>
<recipe id="r117">
<title>Rhubarb Cobbler</title>
<date>Wed, 14 Jun 95</date>
<ingredient name="diced rhubarb" amount="2.5" unit="cup"/>
<ingredient name="sugar" amount="2" unit="tablespoon"/>
<ingredient name="fairly ripe banana" amount="2"/>
<ingredient name="cinnamon" amount="0.25" unit="teaspoon"/>
<ingredient name="nutmeg" amount="1" unit="dash"/>
<preparation>
<step>
Combine all and use as cobbler, pie, or crisp.
</step>
</preparation>

33. Example (2/2) <comment>
Rhubarb Cobbler made with bananas as the main sweetener.
It was delicious.
</comment>
<nutrition calories="170" fat="28%"
carbohydrates="58%" protein="14%"/>
<related ref="42">Garden Quiche is also yummy</related>
</recipe>
</collection>

34. Building on the XML Notation
Defining the syntax of our recipe language
DTD, XML Schema, ...
Showing recipe documents in browsers
XPath, XSLT
Recipe collections as databases
XQuery
Building a Web-based recipe editor
HTTP, Servlets, JSP, ...
...

35. There are more than one XML data model.
XML data models
An XML document may contain lots of information which not all applications would need/like to use.
eg: <abc>abc <![CDATA[ def ]]> end</abc>
<abc>abc def end</abc>
need to be differentiated?
XML data models are abstracted views of XML documents so that unintended information of an XML document is ignored in the model.
There are more than one XML data model.
DOM (document object model)
XPath 1.0 ;
XPath 2.0;
XML information set …
All uses tree structure to model an XML document.
though we could also model XML documents as graphs.

36. Conceptually, an XML document is a tree structure
XML Trees
Conceptually, an XML document is a tree structure
node, edge
root, leaf
child, parent
sibling (ordered), ancestor, descendant

37. An Analogy: File Systems

38. Tree View of the XML Recipes

39. Text nodes: carry the actual contents, leaf nodes
Nodes in XML Trees
Root nodes: every XML tree has one root node that represents the entire tree
Element nodes: define hierarchical logical groupings of contents, each have a name
Text nodes: carry the actual contents, leaf nodes
Attribute nodes: unordered, each associated with an element node, has a name and a value
Namepace nodes: effective namespace associated with an element.
Comment nodes: ignorable meta-information
Processing instructions: instructions to specific processors, each have a target and a value

40. Types of node in an XML tree
The tree contains nodes.
Types of nodes and their possible children:
root nodes : element ( = 1), comment, PI
element nodes: element, text, PI, comment, [attribute, namespace]
text nodes: leaves
attribute nodes : leaves
namespace nodes: leaves
processing instruction nodes : leaves
comment nodes : leaves

41. Rough classification: Data-oriented languages
XML Applications
Rough classification:
Data-oriented languages
inventory, customer and employee records in a company
regular flat wide tree ; traditionally stored in db
Document-oriented languages
XHTML, DOCBook, WML, XML formats of word, openOffice
loosely structured, tags ignorable, mixed content
Protocols and programming languages
XML Schema, XSLT, WDSL
ebXML, XMI, BML
Hybrids
patient record : billing info; notes from doctor
article collection: isbn, name; abstract

42. end tag must not be omitted element/attribute names all in lower case
Example: XHTML
XMLification of HTML
end tag must not be omitted
element/attribute names all in lower case
attribute values must be present and quoted.
decomposed into modules reuseable by other applications
<?xml version="1.0" encoding="UTF-8"?>
<html xmlns="
<head><title>Hello world!</title></head>
<body>
<h1>This is a heading</h1>
This is some text.
</body>
</html>

43. Example: CML
CML : XML-based data-oriented language for representation of molecules and
chemical reaction.
<molecule id="METHANOL">
<atomArray>
<stringArray builtin="id">a1 a2 a3 a4 a5 a6</stringArray>
<stringArray builtin="elementType">C O H H H H</stringArray>
<floatArray builtin="x3" units="pm">
</floatArray>
<floatArray builtin="y3" units="pm">
<floatArray builtin="z3" units="pm">
</atomArray>
</molecule>
Methanol 甲醇

44. core data component, collaboration protocol agreements, messaging,
Example: ebXML
ebXML: a worldwide initiative aiming to utilize XML for exchange of electronic
business data. It has delivered many XML standards for business processes,
core data component, collaboration protocol agreements, messaging,
registries and repositories.
<MultiPartyCollaboration name="DropShip">
<BusinessPartnerRole name="Customer">
<Performs Order"]/
/>
</BusinessPartnerRole>
<BusinessPartnerRole name="Retailer">
<Performs Order"]/
/>
<Performs initiatingRole='//binaryCollaboration[...]/
<BusinessPartnerRole name="DropShip Vendor">
...
</MultiPartyCollaboration>

45. A XML-based markup language for theological texts.
Example: ThML
A XML-based markup language for theological texts.
<h3 class="s05" id="One.2.p0.2">Having a Humble Opinion of Self</h3>
<p class="First" id="One.2.p0.3">EVERY man naturally desires knowledge
<note place="foot" id="One.2.p0.4">
<p class="Footnote" id="One.2.p0.5"><added id="One.2.p0.6">
<name id="One.2.p0.7">Aristotle</name>, Metaphysics, i. 1.
</added></p>
</note>;
but what good is knowledge without fear of God? Indeed a humble
rustic who serves God is better than a proud intellectual who
neglects his soul to study the course of the stars.
<added id="One.2.p0.8"><note place="foot" id="One.2.p0.9">
<p class="Footnote" id="One.2.p0.10">
Augustine, Confessions V. 4.
</p>
</note></added>

46. XML Namespace

47. <widget type="gadget"> <head size="medium"/>
Motivation
name clashes.
Consider an XML language WidgetML which uses XHTML as a sublanguage for help
messages:
<widget type="gadget">
<head size="medium"/>
<body><subwidget ref="gizmo"/></body>
<info> <head><title>Description of gadget</title>
</head>
<body><h1>Gadget</h1>
A gadget contains a big gizmo
</body>
</info></widget>
Meanings of head and body depend on context!
complicates things for processors and might even cause ambiguities.
The solution: different namespaces for different use of the same name.

48. html head widget body head h1 … body info …
The Idea
Assign a namespace to each set of elements/attributes (which forms an XML language)
Each namespace is identified and referenced by a URI
Qualify every element/attribute names with the URI of its namespace: {
=> name = namespace URI + local part
html
head
body
h1 …
widget
head
body
info …

49. Problems for qualifying names
URI as part of a name would use too much space since it is usually a long string.
Not all URIs are legal Attribute/element names.
(XML names do not allow/restrict the use of special characters:
(.:_- ok) (/,#,%,… no)
Solution: use namespace prefix as a proxy for namespace URI.
xmlns:aPfx = “aURI”
Notes:
URI = URL  URN (extended to IRI at 1.1).
URI here used only for identification - doesn't have to point at anything.

50. Namespace declarations
Namespaces are declared by special namespace attributes (xmlns: or xmlns) and associated prefixes.
Example:
<foo:e1 xmlns:foo="
...
<foo:head>...</foo:head>
</...>
xmlns:prefix1="URI1" declares a namespace with a prefix: prefix1 and a URI: URI1.
Scope rule: lexical
A namespace declaration has effect on the element containing the declaration as well as all its descendants unless it is overridden by other declaration in nested declarations.
Both element and attribute names can be qualified with namespaces.
Note: the prefix is just a proxy - applications should use only the URI for identification.

51. could be disabled by xmlns=""
The default namespace
for backward compatibility and simplicity.
declaration:
xmlns=“aURI"
Unprefixed element names are assigned the default namespace aURI.
could be disabled by xmlns=""
Default namespace declaration has no effect on attributes.

52. <ex xmlns=“http://test.com/” att1=“…”
Example
<ex xmlns=“ att1=“…”
xmlns:s=“ >
<ex att1=“abc” > … </ex>
<ex xmlns=“” s:att1=“abc”>…</ex> </ex>
Notes
1. the 1st and 2nd <ex> belong to the same namespace ( but the 3rd <ex> belongs to no namespace.
2. Global attribute s:att1 belongs to namespace:
3. Both <att1> attributes are local in the sense that they belong to the local namespace of ex and are different from s:att1.
4. Note the asymmetry of default namespace on elements and attributes

53. An example: WidgetML with namespaces
<widget xmlns="
xmlns:xhtml="
type="gadget">
<head size="medium"/>
<body><subwidget ref="gizmo"/></big>
<info><xhtml:head>
<xhtml:title>Description of gadget</xhtml:title>
</xhtml:head>
<xhtml:body> <xhtml:h1>Gadget</xhtml:h1>
A gadget contains a big gizmo
</xhtml:body> </info></widget>
The main part of WidgetML uses the default namespace which has the URI
XHTML uses the namespace prefix xhtml which is assigned the URI

54. Notes related to XML namespaces
Namespace awareness. XML languages and applications should consider Namespaces as an inherent part of XML.
Reserve colon (:) as a prefix/localpart separator and do not use it in your element/attribute names or any other names.
It is the namespace URI instead of namespace prefix that is used for identifying a namespace.
URI references which identify namespaces are considered identical only when they are exactly the same character-for-character.
E.g.
1. ,
3. , d (relative URI deprecated)
All 4 URIs are treated as equal in URI spec, but are seen as different namespace URIs in xml namespace.
Note: Relative URI should not be used.

55. Uniqueness of Attributes
Why are the <bad …> tags illegal ?
<x xmlns:n1="
xmlns:n2=" >
<bad a="1" a="2" />
<bad n1:a="1" n2:a="2" />
</x>

56. Uniqueness of Attributes (cont’d)
Both <good … /> elements are legal. Why ?
<x xmlns:n1="
xmlns=" >
<good a="1" b="2" />
<good a="1" n1:a="2" />
</x>

57. XML: a notation for hierarchically structured text
Summary
XML: a notation for hierarchically structured text
concrete textual representation and Well-formedness
Conceptual tree model
Namespaces

58. Essential Online Resources