Internet Draft                                          Paul Hoffman
draft-hoffman-stringprep-00.txt                           IMC & VPNC
September 27, 2001                                     Marc Blanchet
Expires in six months                                       ViaGenie

        Preparation of Internationalized Strings ("stringprep")

Status of this memo

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This document describes a framework for preparing text strings in order
to increase the likelihood that string input and string comparison work
in ways that make sense for typical users throughout the world. The
stringprep protocol is useful for protocol identifier values, company
and personal names, internationalized domain names, and other text

This document does not specify how protocols should prepare text
strings. Protocols must create profiles of stringprep in order to fully
specify the processing options.

1. Introduction

Application programs can display text in many different ways. Similarly,
a user can enter text into an application program in a myriad of
fashions. Internationalized text (that is, text that is not restricted
to the narrow set of US-ASCII characters) has many input and display
behaviors that make it difficult to compare text in a consistent

This document specifies a framework of text processing rules. Other
protocols can create profiles of these rules; these profiles will
allow users to enter internationalized text strings in applications and
have the highest chance of getting the content of the strings correct.
In this case, "correct" means that if two different people enter what
they think is the same string into two different input mechanisms, the
strings should match on a character-by-character basis.

In addition to helping string matching, profiles of stringprep can also
exclude characters that should not normally appear in text that is used
in the protocol. The profile can prevent such characters by changing the
characters to be excluded to other characters, by removing those
characters, or by causing an error if the characters would appear in the
output. For example, because the backspace character can cause
unpredictable display results, a profile can specify that a string that
would have a backspace character in it cause an error.

A profile of stringprep converts a single string of input characters to
a string of output characters, or returns an error if the output string
would contain a prohibited character. Stringprep profiles cannot both
emit a string and return an error. Inputs to stringprep are always
specified in network byte order (big-endian).

Stringprep profiles cannot account for all of the variations that may
occur or that a user might expect. In particular, a profile will not be
able to account for choice of spellings in all languages for all scripts
because the number of alternative spellings of words and phrases is
immense. Users would probably expect all spelling equivalents to be made
equivalent, or none of them to be. Examples of spelling equivalents
include "theater" vs. "theatre", and "hemoglobin" vs.
"h<U+00E6>moglobin" in American vs. British English. Other examples are
simplified Chinese spellings of names (for example,
"<U+7EDF><U+4E00><U+7801>") vs. the equivalent traditional Chinese
spelling (for example, "<U+7D71><U+4E00><U+78BC>"). Language-specific
equivalences such as "aepfel" vs. "<U+00E4>", considered
equivalent in German, may not be considered equivalent in other

1.2 Terminology

The key words "MUST", "SHALL", "REQUIRED", "SHOULD", "RECOMMENDED", and
"MAY" in this document are to be interpreted as described in RFC 2119

Note: A glossary of terms used in Unicode and ISO/IEC 10646 can be found
in [Glossary]. Information on the 10646/Unicode character encoding model
can be found in [CharModel].

1.3 Using stringprep in protocols

The stringprep protocol does not stand on its own; it must be used by
other protocols at precisely-defined places in those other protocols.
For example, a protocol that has names that come from the entire ISO/IEC
10646 [ISO10646] character repertoire might specify that only names that
have been processed with a particular profile of stringprep are legal.
Another example would be a protocol that does string comparison as a
step in the protocol; that protocol might specify that such comparison
is done only after processing the strings with a specific profile of

When developing a stringprep profile, the protocol developer should,
where possible, cause stringprep to convert characters from the input
string to a canonical form instead of prohibiting them. This allows
users as wide of a range of characters as possible in input text

Although it would be easy to use the stringprep process to "correct"
perceived mis-features or bugs in the current character standards,
stringprep profiles SHOULD NOT do so.

A profile of stringprep MUST include all of the following:

- The intended applicability of the profile

- The character repertoire that is the input and output to stringprep

- The list of unassigned code points for the repertoire

- The mappings used (as described in Section 3)

- The Unicode normalization used, if any (as described in Section 4)

- The characters that are prohibited as output (as described in Section 5)

Each profile MUST state the character repertoire on which the profile
will operate. The repertoire SHOULD be either the Unicode repertoire or
the ISO/IEC 10646 repertoire that is current at the time that the
profile is created. Neither of these repertoires are complete, and it is
expected that characters will be added to them for the foreseeable
future. Section 6 of this document describes how to handle characters
that are assigned in later versions of either standard.

Each profile of stringprep MUST be registered with IANA. The
registration procedure is described in the IANA Considerations appendix;
basically it says that each profile must be an RFC. This provides the
IESG with a mechanism for reviewing all profiles to stringprep. Protocol
developers are strongly encouraged to look through the IANA profile
registry when creating new profiles for stringprep, and to re-use logic
from earlier profiles where possible in new profiles. In some cases, an
existing profile can be reused by a different protocol.

1.4 Mailing list

The stringprep protocol (but not profiles of the protocol) is discussed
on the ietf-stringprep mailing list. Information on subscribing to the
mailing list and the mailing list's archive can be found at

2. Preparation Overview

The steps for preparing strings are:

1) Map -- For each character in the input, check if it has a mapping
and, if so, replace it with its mapping. This is described in Section 4.

2) Normalize -- Possibly normalize the result of step 1 using Unicode
normalization. This is described in Section 5.

3) Look for prohibited output -- Check for any characters that are not
allowed in the output. If any are found, return an error. This is
described in Section 6.

The above steps MUST be performed in the order given to comply with this

The mappings described in Section 3, and the optional Unicode
normalization described in Section 4, can be one-to-none, one-to-one, or
one-to-many. That is, some characters may be eliminated or replaced by
more than one character, and the output of this step might be shorter or
longer than the input. Because of this, the system using stringprep MUST
be prepared to receive a longer or shorter string than the one input in
the stringprep algorithm.

3. Mapping

Each character in the input stream MUST be checked against a mapping
table that is specified in the profile. For any individual character,
the mapping table in the profile MAY specify that a character be mapped
to nothing, or mapped to one other character, or mapped to a string of
other characters.

If a profile is going to map characters for case-insensitive comparison,
that profile SHOULD create mapping tables based on [UTR21], and SHOULD
map from uppercase characters to lowercase. In addition, the
"CaseFolding.txt" file from the Unicode database should used to prepare
the mapping table. Note that this could have been "change all lowercase
characters into uppercase characters". However, the upper-to-lower
folding was chosen because there is a tradition of using lowercase in
current Internet applications and protocols.

If the profile is using Unicode normalization form KC (as described in
Section 4 of this document), it is important to note that there are some
characters that do not have mappings in [UTR21] but still need
processing. These characters include a few Greek characters and many
symbols that contain Latin characters. The list of characters to add to
the mapping table can determined by the following algorithm:

b = NormalizeWithKC(Fold(a));
c = NormalizeWithKC(Fold(b));
if c is not the same as b, add a mapping for "a to c".

Because NormalizeWithKC(Fold(c)) always equals c, the table is stable
from that point on.

If the profile is using Unicode normalization form C with lowercasing,
the above step is not needed.

4. Normalization

The output of the mapping step is optionally normalized using one of the
Unicode normalization forms, as described in [UAX15]. A profile can
specify one of three options for Unicode normalization:

- no normalization

- Unicode normalization with form C

- Unicode normalization with form KC

A profile MAY choose to do no normalization. However, such a profile can
easily yield results that will be surprising to typical users, depending
on the input mechanism they use. For example, some input mechanisms
enter compatibility characters that look exactly like the underlying
characters, but have different code points. Another example of where
Unicode normalization helps create predictable results is with
characters that have multiple combining diacritics: normalization orders
those diacritics in a predictable fashion. Using form KC instead of form
C causes many characters that are identical or near-identical to be
converted into a single character.

On the other hand, Unicode normalization requires fairly large tables
and somewhat complicated character reordering logic. The size and
complexity should not be considered daunting except in the most
restricted of environments, and needs to be weighed against the problems
of user surprise from comparing unnormalized strings.

If a profile is going to use a Unicode normalization, it SHOULD use
Unicode normalization for KC. For KC maps many "compatibility
characters" to their equivalents. Many user interface systems enter
compatibility characters instead of the base equivalents. Thus, using
form KC instead of form C will cause more strings that users would
expect to match to actually match.

A profile MUST refer to a specific version of [UAX15]. If a later
version of [UAX15] changes the algorithm used for normalization, that
later version MUST NOT be used with the same version of the profile.

[[[[[ Patrik asks: Is not addition of unassigned codepoints regarded an
update of UAX15? This is relevant here. ]]]]]

5. Prohibited Output

Before the text can be emitted, it must be checked for prohibited code
points. There is a variety of prohibited code points, as described in
this section.

The stringprep process never emits both an error and a string. If an
error is detected during the checking for prohibited code points, only
an error is returned.

Profiles of stringprep SHOULD allow the widest possible set of
characters in a string as long as those characters do not cause other
problems, such as the display problems that formatting characters
would cause or the matching problems that invisible characters would

6. Unassigned Code Points in Stringprep Profiles

This section describes two different types of strings in typical
protocols where internationalized strings are used: "stored strings" and
"queries". Of course, different Internet protocols use strings very
differently, so these terms cannot be used exactly in every protocol
that needs to use stringprep. In general, "stored strings" are strings
that are used in protocol identifiers and named entities, such as names
in digital certificates, DNS domain name parts, and names of SNMP objects.
"Queries" are strings that are used to match against strings that are
stored identifiers, such as user-entered names for digital certificate
authorities, DNS lookups, and SNMP requests.

All code points not assigned in the character repertoire named in the
stringprep profile are called "unassigned code points". Stored strings
using the profile MUST NOT contain any unassigned code points. Queries
for matching strings MAY contain unassigned code points. Note that this
is the only part of this document where the requirements for queries
differs from the requirements for stored strings.

Using two different policies for where unassigned code points can appear
prevents the need for versioning in protocols that use stringprep
profiles. This is very useful since it makes the overall processing
simpler and does not impose a "protocol" to handle versioning. It is
expected that the ISO/IEC 10646 and Unicode repertoires will be updated
fairly frequently; at the time that this document is being written, it
has happened approximately once a year. Each time a new version of a
repertoire appears, a new version of a profile MAY be created. Some end
users will want to use the new code points as soon as they are defined.

The list of unassigned code points MUST be given in a profile, and that
list MUST be used by implementations of the profile.

Due to the way that versioning is handled in this section, stored
strings that are embedded in structures that cannot be changed (such as
the signed parts of digital certificates) MUST NOT contain any
unassigned code points.

6.1 Categories of code points

Each code point in a repertoire named by a profile of stringprep can be
categorized by how it acts in the process described in earlier sections
of this document:

AO      Code points that may be in the output

MN      Code points that cannot be in the output because they are
         never appear as output from mapping or normalization

D       Code points that cannot be in the output because they are
         disallowed in the prohibition step

U       Unassigned code points

A subsequent version of a profile that references a newer version of a
repertoire with new code points will inherently have some code points
move from category U to either D, MN, or AO. For backwards
compatibility, a subsequent version of a profile MUST NOT move code
points from any other category. That is, current AO, MN, or D code
points MUST NOT ever change to a different category.

Stored strings MUST NOT contain any code points outside of
AO for the latest version of a profile. That is, they are forbidden to
contain code points from the MN, D, or U categories.

Applications creating queries MUST treat U code points as if they were
AO when preparing the query to be entered in the process described by a
profile of stringprep. Those applications MAY optionally have a
preprocessor that provide stricter checks: treating unassigned code
points in the input as errors, or warning the user about the fact that
the code point is unassigned in the version of a profile that the
software is based on; such a choice is a local matter for the software.

6.2 Reasons for difference between stored strings and requests

Different software using different versions of a stringprep profile need
to interoperate with maximal compatibility. The scheme described in this
section (stored strings MUST NOT contain unassigned code points,
requests MAY include unassigned code points) allows that compatibility
without introducing any known security or interoperability issues.

The list below shows what happens if a request contains a code point
from category U that is allowed in a newer version of a profile. The
request either matches the string that was intended, or matches no
string at all. In this list, the request comes from an application using
version "oldVersion" of a profile, the stored string was created using
version "newVersion" of the same profile, and the code point X was in
category U in oldVersion, and has changed category to AO, MN, or D.
There are 3 possible scenarios:

1. X is assigned to AO -- In newVersion, X is in category AO. Because
the application passed X through, it gets back a correct match with the
stored string. There is one exceptional case, where X is a combining

The order of combining marks is normalized, so if another combining mark
Y has a lower combining class than X then XY will be put in the
canonical order YX. (Unassigned code points are never reordered, so this
doesn't happen in oldVersion). If the request contains YX, the request
will get correct match with the stored string. However, no string can be
stored with XY, so a request with XY will correctly get a negative
answer to the test for matching.

2. X is assigned to MN -- In newVersion, X is normalized to code point
"nX" and therefore X is now put in category MN. This cannot exist in any
stored string, so any request containing X will correctly get a negative
answer to the test for matching. Note, however, if the request had
contained the letter nX, it would have correctly matched.

3. X is assigned to D -- In newVersion, X is in category D. This cannot
exist in any stored string, so any request containing X will correctly
get a negative answer to the test for matching.

In none of the cases does the request get data for a stored string other
than the one it actually tried to match against.

The processing in this document is always stable. If a string S is the
result of processing on newVersion, then it will remain the same when
processed on oldVersion.

6.3 Versions of applications and stored strings

Another way to see that this versioning system works is to compare what
happens when an application uses a newer or older version of this

Newer query application -- Suppose that a requesting application is
using version newVersion and the stored string was created using version
oldVersion. This case is simple: there will be no characters in the
stored string that cannot be requested by the application because the
new profile uses a superset of the code points used for making the
stored string.

Newer stored string -- Suppose that an requesting application is using
oldVersion and the stored string was created using a profile that uses
newVersion. Because the requesting application passed through any
unassigned code points, the user can query on stored strings that use
code points in newVersion. No stored strings can have code points that
are unassigned in newVersion, since that is illegal. In this case, the
querying application has to enter the unassigned code points in the
correct order, and has to use unassigned code points that would make it
through both the mapping and the normalization steps.

7. Security Considerations

The Unicode and ISO/IEC 10646 repertoires have many characters that look
similar. In many cases, users of security protocols might do visual
matching, such as when comparing the names of trusted third parties.
Stringprep does nothing to map similar-looking characters together.

8. References

[CharModel] Unicode Technical Report;17, Character Encoding Model.

[Glossary] Unicode Glossary, <>.

[Normalize] Character Normalization in IETF Protocols,

[RFC2119] Scott Bradner, "Key words for use in RFCs to Indicate
Requirement Levels", March 1997, RFC 2119.

[UAX15] Mark Davis and Martin Duerst. Unicode Standard Annex #15:
Unicode Normalization Forms, Version 3.1.0.

[UTR21] Mark Davis. Case Mappings. Unicode Technical Report;21.

A. Acknowledgements

Many people from the IETF IDN Working Group and the Unicode Technical
Committee contributed ideas that went into the first draft of this
document. Mark Davis and Patrik Faltstrom were particularly helpful in
some of the ideas, such as the versioning description.

The IDN namprep design team made many useful changes to the first
draft. That team and its advisors include:

Asmus Freytag
Cathy Wissink
Francois Yergeau
James Seng
Marc Blanchet
Mark Davis
Martin Duerst
Patrik Faltstrom
Paul Hoffman

Additional significant improvements were proposed by:

Jonathan Rosenne
Kent Karlsson
Scott Hollenbeck
Dave Crocker

B. IANA Considerations

[[ More is obviously needed here. The next version will be done after
talking to the folks at IANA. ]]

Stringprep profiles MUST be RFCs. This ensures that the IESG will have
an opportunity to review and possibly change a profile before it is

IANA will start a registry of stringprep profiles. The registry will be
a single text file that lists the known profiles. Each entry in the
registry will have three fields:

- Profile name

- RFC in which the profile is defined

- Indicator whether or not this is the most current version of the

Each version of a profile will remain listed in the registry forever.
That is, if a new version of a profile supersedes an earlier version,
both versions will continue to be listed in the registry, but the
current version indicator will be turned off for the earlier version and
turned on for the newer version.

C. Author Contact Information

Paul Hoffman
Internet Mail Consortium and VPN Consortium
127 Segre Place
Santa Cruz, CA  95060 USA and

Marc Blanchet
Viagenie inc.
2875 boul. Laurier, bur. 300
Ste-Foy, Quebec, Canada, G1V 2M2