Network Working Group                                      S. Hollenbeck
Internet-Draft                                            VeriSign, Inc.
Expires: December 3, 2002                                        M. Rose
                                            Dover Beach Consulting, Inc.
                                                             L. Masinter
                                              Adobe Systems Incorporated
                                                            June 4, 2002


          Guidelines for the Use of XML within IETF Protocols
              draft-hollenbeck-ietf-xml-guidelines-04.txt

Status of this Memo

   This document is an Internet-Draft and is in full conformance with
   all provisions of Section 10 of RFC2026.

   Internet-Drafts are working documents of the Internet Engineering
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   http://www.ietf.org/shadow.html.

   This Internet-Draft will expire on December 3, 2002.

Copyright Notice

   Copyright (C) The Internet Society (2002).  All Rights Reserved.

Abstract

   The Extensible Markup Language (XML) is a framework for structuring
   data.  While it evolved from SGML -- a markup language primarily
   focused on structuring documents -- XML has evolved to be a widely-
   used mechanism for representing structured data.

   There are a wide variety of Internet protocols being developed; many
   have need for a representation for structured data relevant to their
   application.  There has been much interest in the use of XML as a



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   representation method.  This document describes basic XML concepts,
   analyzes various alternatives in the use of XML, and provides
   guidelines for the use of XML within IETF standards-track protocols.

Intended Publication Status

   It is the goal of the authors that this draft (when completed and
   then approved by the IESG) be published as a Best Current Practice
   (BCP).

Conventions Used In This Document

   This document recommends, as policy, what specifications for Internet
   protocols -- and, in particular, IETF standards track protocol
   documents -- should include as normative language within them.  The
   capitalized keywords "SHOULD", "MUST", "REQUIRED", etc.  are used in
   the sense of how they would be used within other documents with the
   meanings as specified in RFC 2119 [1].

Discussion Venue

   The authors welcome discussion and comments relating to the topics
   presented in this document.  Though direct comments to the authors
   are welcome, public discussion is taking place on the "ietf-xml-
   use@imc.org" mailing list.  To join the list, send a message to
   "ietf-xml-use-request@imc.org" with the word "subscribe" in the body
   of the message.  List archives [49] are available on the World Wide
   Web.























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Table of Contents

   1.    Introduction and Overview  . . . . . . . . . . . . . . . . .  4
   1.1   Intended Audience  . . . . . . . . . . . . . . . . . . . . .  4
   1.2   Scope  . . . . . . . . . . . . . . . . . . . . . . . . . . .  4
   1.3   XML Evolution  . . . . . . . . . . . . . . . . . . . . . . .  4
   1.4   XML Users, Support Groups, and Additional Information  . . .  5
   2.    XML Selection Considerations . . . . . . . . . . . . . . . .  6
   3.    XML Alternatives . . . . . . . . . . . . . . . . . . . . . .  8
   4.    XML Use Considerations and Recommendations . . . . . . . . . 10
   4.1   XML Declarations . . . . . . . . . . . . . . . . . . . . . . 10
   4.2   XML Processing Instructions  . . . . . . . . . . . . . . . . 10
   4.3   XML Comments . . . . . . . . . . . . . . . . . . . . . . . . 11
   4.4   XML Syntax, Information Set, and Alternative Syntaxes  . . . 11
   4.5   Well-Formedness  . . . . . . . . . . . . . . . . . . . . . . 11
   4.6   Validity and Extensibility . . . . . . . . . . . . . . . . . 12
   4.7   Namespaces . . . . . . . . . . . . . . . . . . . . . . . . . 13
   4.7.1 Namespaces and Attributes  . . . . . . . . . . . . . . . . . 14
   4.8   Element and Attribute Design Considerations  . . . . . . . . 15
   4.9   Binary Data and Text with Control Characters . . . . . . . . 17
   4.10  Incremental Processing . . . . . . . . . . . . . . . . . . . 17
   4.11  Entity Declarations  . . . . . . . . . . . . . . . . . . . . 17
   4.12  URI Processing in XML  . . . . . . . . . . . . . . . . . . . 18
   4.13  Interaction with the IANA  . . . . . . . . . . . . . . . . . 18
   5.    Internationalization Considerations  . . . . . . . . . . . . 20
   5.1   Character Sets and Encodings . . . . . . . . . . . . . . . . 20
   5.2   Language Declaration . . . . . . . . . . . . . . . . . . . . 20
   5.3   Other Internationalization Considerations  . . . . . . . . . 21
   6.    IANA Considerations  . . . . . . . . . . . . . . . . . . . . 22
   7.    Security Considerations  . . . . . . . . . . . . . . . . . . 23
   8.    Acknowledgements . . . . . . . . . . . . . . . . . . . . . . 24
         Normative References . . . . . . . . . . . . . . . . . . . . 25
         Informative References . . . . . . . . . . . . . . . . . . . 26
         Authors' Addresses . . . . . . . . . . . . . . . . . . . . . 29
   A.    Appendix A: Change History . . . . . . . . . . . . . . . . . 30
         Full Copyright Statement . . . . . . . . . . . . . . . . . . 33















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1. Introduction and Overview

   The Extensible Markup Language (XML, [8]) is a framework for
   structuring data.  While it evolved from the Standard Generalized
   Markup Language (SGML, [32]) -- a markup language primarily focused
   on structuring documents -- XML has evolved to be a widely-used
   mechanism for representing structured data in protocol exchanges.
   See "XML in 10 points" [46] for an introduction to XML.

1.1 Intended Audience

   Many Internet protocol designers are considering using XML and XML
   fragments within the context of existing and new Internet protocols.
   This document is intended as a guide to XML usage and as IETF policy
   for standards track documents.  Experienced XML practitioners will
   likely already be familiar with the background material here, but the
   guidelines are intended to be appropriate for those readers as well.

1.2 Scope

   This document is intended to give guidelines for the use of XML
   content within a larger protocol.  The goal is not to suggest that
   XML is the "best" or "preferred" way to represent data; rather, the
   goal is to lay out the context for the use of XML within a protocol
   once other factors point to XML as a possible data representation
   solution.  The Common Name Resolution Protocol (CNRP, [13]) is an
   example of a protocol that would be addressed by these guidelines if
   it were being newly defined.  This document does not address sending
   XML as a document over MIME and MIME-like protocols such as SMTP or
   HTTP.

   There are a number of protocol frameworks already in use or under
   development which focus entirely on "XML protocol" -- the exclusive
   use of XML as the data representation in the protocol.  For example,
   the World Wide Web Consortium (W3C) is developing an XML Protocol
   framework based on SOAP ([43] and [44]).  The applicability of such
   protocols is not part of the scope of this document.

   In addition, there are higher-level representation frameworks, based
   on XML, that have been designed as carriers of certain classes of
   information; for example, the Resource Description Framework (RDF,
   [37]) is an XML-based representation for logical assertions.  This
   document does not provide guidelines for the use of such frameworks.

1.3 XML Evolution

   XML 1.0 was originally published as a W3C recommendation in February
   1998 [36], and was revised in a 2nd edition [8] in October 2000.



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   Several additional facilities have also been defined that layer on
   the base specification.  Although these additions are designed to be
   consistent with XML 1.0, they have varying levels of stability,
   consensus, and implementation.  Accordingly, this document identifies
   the major evolutionary features of XML and makes suggestions as to
   the circumstances in which each feature should be used.

1.4 XML Users, Support Groups, and Additional Information

   There are many XML support groups, with some devoted to the entire
   XML industry [50], some devoted to developers [51], some devoted to
   the business applications of XML [52], and many, many groups devoted
   to the use of XML in a particular context.

   It is beyond the scope of this document to provide a comprehensive
   list of referrals.  Interested readers are directed to the three
   references above as starting points, as well as their favorite
   Internet search engine.

































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2. XML Selection Considerations

   XML is a tool that provides a means towards an end.  Choosing the
   right tool for a given task is an essential part of ensuring that the
   task can be completed in a satisfactory manner.  This section
   describes factors to be aware of when considering XML as a tool for
   use in IETF protocols:

   o  XML is a meta-markup language that can be used to define markup
      languages for specific domains and problem spaces.

   o  XML provides both logical structure and physical structure to
      describe data.  Data framing is built-in.

   o  XML instances can be validated against the formal definition of a
      protocol specification.

   o  XML supports internationalization.

   o  XML is extensible.  Unlike some other markup languages (such as
      HTML), new tags (and thus new protocol elements) can be defined
      without requiring changes to XML itself.

   o  XML is still evolving.  The formal specifications are still being
      influenced and updated as use experience is gained and applied.

   o  XML does not provide native mechanisms to support detailed data
      typing.  Additional mechanisms are required to specify abstract
      protocol data types.

   o  XML is text-based, so XML fragments are easily created, edited,
      and managed using common utilities.  Further, being text-based
      means it more readily supports incremental development, debugging,
      and logging.  A simple "canned" XML fragment can be embedded
      within a program as a string constant, rather than having to be
      constructed.

   o  Binary data has to be encoded into a text-based form to be
      represented in XML.

   o  XML is verbose when compared with many other structured data
      representation languages.  A representation with element
      extensibility and human readability typically requires more bits
      when compared to one optimized for efficient machine processing.

   o  XML implementations are still relatively new.  As designers and
      implementers gain experience, it is not uncommon to find defects
      in early and current products.



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   o  XML support is available in a large number of software development
      utilities, available in both open source and proprietary products.

   o  XML processing speed can be an issue in some environments.  XML
      processing can be slower because XML data streams may be larger
      than other representations, and the use of general purpose XML
      parsers will add a software layer with its own performance costs
      (though these costs can be reduced through consistent use of an
      optimized parser).  In some situations, processing XML requires
      examining every byte of the entire XML data stream, with higher
      overhead than with representations where uninteresting segments
      can be skipped.







































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3. XML Alternatives

   This document focuses on guidelines for the use of XML.  It is useful
   to consider why one might use XML as opposed to some other mechanism.
   This section considers some other commonly used representation
   mechanisms and compares XML to those alternatives.

   For many fundamental protocols, the extensibility requirements are
   modest, and the performance requirements are high enough that fixed
   binary data blocks are the appropriate representation; mechanisms
   such as XML merely add bloat.  RFC 3252 [26] describes a humorous
   example of XML as protocol bloat.

   In addition, there are other representation and extensibility
   frameworks that have been used successfully within communication
   protocols.  For example, Abstract Syntax Notation 1 (ASN.1) [30]
   along with the corresponding Basic Encoding Rules (BER, [31]) are
   part of the OSI communication protocol suite, and have been used in
   many subsequent communications standards (e.g., the ANSI Information
   Retrieval protocol [29] and the Simple Network Management Protocol
   (SNMP, [16]).  The External Data Representation (XDR, [17]) and
   variations of it have been used in many other distributed network
   applications (e.g., the Network File System (NFS) protocol [25]).
   With ASN.1, data types are explicit in the representation, while with
   XDR, the data types of components are described externally as part of
   an interface specification.

   Many other protocols use data structures directly (without data
   encapsulation) by describing the data structure with Backus Normal
   Form (BNF, [27]); many IETF protocols use an Augmented Backus-Naur
   Form (ABNF, [19]).  The Simple Mail Transfer Protocol (SMTP, [24]) is
   an example of a protocol specified using ABNF.

   ASN.1, XDR, and BNF are described here as examples of alternatives to
   XML for use in IETF protocols.  There are other alternatives, but a
   complete enumeration of all possible alternatives is beyond the scope
   of this document.

   Representation methods differ from XML in several important ways:

   Specification encoding: XML schemas (defined in [11] and [12]) are
   themselves represented in XML.  The specification of representations
   in other systems (ASN.1, XDR, ABNF) is generally in ASCII [28] text.

   Text Encoding and character sets: the character encoding used to
   represent a formal specification.  XML defines a consistent character
   model based on ISO 10646 [33], and requires that XML parsers accept
   at least UTF-8 [4] and UTF-16 [23], and allows for other encodings.



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   While ASN.1 and XDR may carry strings in any encoding, there is no
   common mechanism for defining character encodings within them.
   Typically, ABNF definitions tend to be defined in terms of octets or
   characters in ASCII.

   Data Encoding: XML is defined as a sequence of characters, rather
   than a sequence bytes.  XML Schema [12] includes mechanisms for
   representing some data types (integer, date, array, etc.) but many
   binary data types are encoded in Base64 [18] or hexadecimal.  ASN.1
   and XDR have rich mechanisms for encoding a wide variety of data
   types.

   Extensibility: XML has a rich extensibility model such that XML
   specifications can frequently be versioned independently.
   Specifications can be extended by adding new element names and
   attributes (if done compatibly); other extensions can be added by
   defining new XML namespaces [9], though there is no standard
   mechanism in XML to indicating whether or not new extensions are
   mandatory to recognize.  ASN.1 is similarly extensible through the
   use of Object Identifiers (OIDs).  XDR specifications tend to not be
   independently extensible by different parties because the framing and
   data types are implicit and not self-describing.  The extensibility
   of BNF-based protocol elements needs to be explicitly planned.

   Legibility of protocol elements: As noted above, XML is text-based,
   and thus carries the advantages (and disadvantages) of text-based
   protocol elements.  Typically this is shared with (A)BNF-defined
   protocol elements.  ASN.1 and XDR use binary encodings which are not
   visible.






















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4. XML Use Considerations and Recommendations

   This section notes several aspects of XML and makes recommendations
   for use.  Since the 1998 publication of XML version 1 [36], an
   editorial second edition [8] was published in 2000; this section
   refers to the second edition.

4.1 XML Declarations

   An XML declaration (defined in section 2.8 of [8]) is a small header
   at the beginning of an XML data stream that indicates the XML version
   and the character encoding used.  For example,

   <?xml version="1.0" encoding="UTF-8"?>

   specifies the use of XML version 1 and UTF-8 character encoding.

   In some uses of XML as an embedded protocol element, the XML used is
   a small fragment in a larger context, where the XML version is fixed
   at "1.0" and the character encoding is known to be "UTF-8".  In those
   cases, an XML declaration might add extra overhead.  In cases where
   the XML is a larger component which may find its way alone as an
   external entity body (transported as a MIME message, for example),
   the XML declaration is an important marker and is useful for
   reliability and extensibility.  The XML declaration is also an
   important marker for character set/encoding (see Section 5.1), if any
   encoding other than UTF-8 is allowed.

   Protocol specifications must be clear about use of XML declarations.
   XML [8] notes that "XML documents should begin with an XML
   declaration which specifies the version of XML being used."  In
   general, an XML declaration should be encouraged ("SHOULD be
   present") and must always be allowed ("MAY be sent").  An XML
   declaration should be required in cases where, if allowed, the
   character encoding is anything other than UTF-8.

4.2 XML Processing Instructions

   An XML processing instruction (defined in section 2.6 of [8]) is a
   component of an XML document that signals extra "out of band"
   information to the receiver; a common use of XML processing
   instructions are for document applications.  For example, the XML2RFC
   application used to generate this document and described in RFC 2629
   [22] supports a "table of contents" processing instruction:

   <?rfc toc="yes"?>

   Processing instructions can be ignored by processors because they are



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   not part of a document's character data.  As a consequence, it is
   recommended that processing instructions be ignored when encountered
   in normal protocol processing.  It is thus also recommended that
   processing instructions not be used to define normative protocol data
   structures or extensions.

4.3 XML Comments

   An XML comment (defined in section 2.5 of [8]) is a component of an
   XML document that provides descriptive information that is not part
   of the document's character data.  XML comments, like comments used
   in programming languages, are often used to provide explanatory
   information in human-understandable terms.  An example:

   <!-- This is a example comment.  -->

   XML comments are ignored by conformant processors.  As a consequence,
   it is strongly recommended that comments not be used to define
   normative protocol data structures or extensions.  It is thus also
   strongly recommended that comments be ignored if encountered in
   normal protocol processing.

4.4 XML Syntax, Information Set, and Alternative Syntaxes

   XML [8] is defined in terms of a concrete syntax: a sequence of
   characters, using the characters "<", "=", "&", etc.  as delimiters.
   However, there is also a specification for the abstract specification
   for the "Information Set" [40] of a well-formed XML document that
   conforms to the XML namespace [9] recommendation.  One might think of
   an XML parser as consuming the concrete syntax and producing an XML
   Information Set for further processing.

   In some cases, higher-level protocols have been defined using the XML
   Information Set of the XML items transferred, rather than in terms of
   the current XML concrete syntax.  Other concrete syntax
   representations can be defined for the XML Information Set, but this
   is not common.  Since the context of XML embedded within other
   Internet protocols requires an unambiguous definition of the concrete
   syntax, defining a protocol element in terms of its XML Information
   Set, or allowing other concrete syntax representations, is out of
   scope for this document.

4.5 Well-Formedness

   An instance is XML if and only if it is well-formed, i.e.  all
   character and markup data conforms to a specific set of structural
   rules defined in section 2.1 of [8].




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   Character and markup data that is not well-formed is not XML; well-
   formedness is the basis for syntactic compatibility with XML.
   Without well-formedness, all of the advantages of using XML
   disappear.  For this reason, it is recommended that protocol
   specifications explicitly require XML well-formedness ("MUST be well-
   formed").

   The IETF has a long-standing tradition of "be liberal in what you
   accept" that might seem to be at odds with this recommendation.
   Given that XML requires well-formedness, conformant XML parsers are
   intolerant of well-formedness errors.  When specifying the handing of
   erroneous XML protocol elements, a protocol design must never
   recommend attempting to partially interpret non-well-formed instances
   of an element which is required to be XML.  Reasonable behaviors in
   such a scenario could include attempting retransmission or aborting
   an in-progress session.

4.6 Validity and Extensibility

   One important value of XML is that there are formal mechanisms for
   defining structural and data content constraints; these constrain the
   identity of elements or attributes or the values contained within
   them.  There is more than one such formalism:

   o  A "Document Type Definition" (DTD) is defined in section 2.8 of
      [8]; the concept came from a similar mechanism for SGML.  There is
      significant experience with using DTDs, including in IETF
      protocols.

   o  XML Schema (defined in [11] and [12]) provides additional features
      to allow a tighter and more precise specification of allowable
      protocol syntax and data type specifications.

   o  There are also a number of other mechanisms for describing XML
      instance validity; these include, for example, Schematron [48],
      RELAX NG [47], and the Document Schema Definition Language [34].

   There is ongoing discussion (and controversy) within the XML
   community on the use and applicability of various validity constraint
   mechanisms.  The choice of tool depends on the needs for
   extensibility or for a formal language and mechanism for constraining
   permissible values and validating adherence to the constraints.

   There are cases where protocols have defined validity using one or
   another validity mechanism, but the protocol definitions have not
   insisted that all corresponding protocol elements be "valid".  The
   decision depends in part on the design for protocol extensibility.
   Each formalism has different ways of allowing for future extensions;



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   in addition, a protocol design may have its own versioning mechanism,
   way of updating the schema, or pointing to a new one.  The use of XML
   namespaces (Section 4.7) with XML Schema allows other kinds of
   extensibility without compromising schema validity.

   No matter what formalism is chosen, there are usually additional
   syntactic constraints, and inevitably additional semantic
   constraints, on the validity of XML elements that cannot be expressed
   in the formalism.

   This document makes the following recommendations for the definition
   of protocols using XML:

   o  Protocols should use an appropriate formalism for defining
      validity of XML protocol elements.  XML Schema should be used as
      the formalism in the absence of clearly stated reasons to choose
      another.

   o  Protocols may or may not insist that all corresponding protocol
      elements be valid, according to the validity mechanism chosen; in
      either case, the extensibility design should be clear.  What
      happens if the data is not valid?

   o  As described in Section 3 there is no standard mechanism in XML
      for indicating whether or not new extensions are mandatory to
      recognize.  XML-based protocol specifications should thus
      explicitly describe extension mechanisms and requirements to
      recognize or ignore extensions.

   An idealized model for XML processing might first check for well-
   formedness; if OK, apply the primary formalism and, if the instances
   "passes", apply the other constraints so that the entire set (or as
   much as is machine processable) can be checked at the same time.

   However, it is reasonable to allow conforming implementations to
   avoid doing validation at run-time and rely instead on ad-hoc code to
   avoid the higher expense, for example, of schema validation, coupled
   with the fact that there will likely be additional hand-crafted
   semantic validation.

4.7 Namespaces

   XML namespaces, defined in [9], provide a means of assigning markup
   to a specific vocabulary.  If two elements or attributes from
   different vocabularies have the same name, they can be distinguished
   unambiguously if they belong to different namespaces.  Additionally,
   namespaces provide significant support for protocol extensibility as
   they can be defined, reused, and processed dynamically.



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   Markup vocabulary collisions are very possible when namespaces are
   not used to separate and uniquely identify vocabularies.  Protocol
   definitions should use existing XML namespaces where appropriate.
   When a new namespace is needed, the "namespace name" is a URI that is
   used to identify the namespace; it's also useful for that URI to
   point to a description of the namespace.  Typically (and recommended
   practice in W3C) is to assign namespace names using persistent http
   URIs.

   In the case of namespaces in IETF standards-track documents, it would
   be useful if there were some permanent part of the IETF's own web
   space that could be used for this purpose.  In lieu of such, other
   permanent URIs can be used, e.g., URNs in the IETF URN namespace (see
   [14] and [15]).

4.7.1 Namespaces and Attributes

   There is a frequently misunderstood aspect of the relationship
   between unprefixed attributes and the default XML namespace - the
   natural assumption is that an unprefixed attribute is qualified by
   the default namespace, but this is not true.  Rather, the unprefixed
   attribute belongs to a set of attributes that are defined
   specifically for the element to which it is applied.  Thus, in the
   following:

      <ns1:fox a="xxx" n:b="qqq"/>
      <ns1:bay a="yyy" n:b="rrr"/>
      <ns2:baz a="zzz" n:b="sss"/>

   The meaning of attribute "a" is defined separately for each
   attribute.  By comparison, the prefixed attribute "n:b" is defined
   independently of the element to which it is applied.

   Note that an attribute used without a namespace prefix does not adopt
   the default namespace; rather, it is interpreted according to the
   semantics of the containing element.  For more details, see appendix
   A.2 of the W3C XML namespace recommendation [9].

   One way to deal with this is to use attributes that can be applied to
   any element from any namespace with a namespace prefix, even when
   that namespace is also the default namespace.  Consider the following
   example in which new elements can be added into existing elements.
   The default behavior is for a recipient to ignore any unrecognized
   element; however, a "mustUnderstand" attribute is defined such that
   recipients must recognize and understand any new element that has one
   with value "true".  An instance might look like this:





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      <?xml version="1.0" encoding="UTF-8"?>
      <tns:ex1
       xmlns:tns="urn:ietf:params:xml:ns:tns:"
       xmlns:local="http://id.example.tld/tns-local/">
        <tns:ex2>
          <tns:ex3>foo</tns:ex3>
          <local:ex1 tns:mustUnderstand="true">bar</local:ex1>
        </tns:ex2>
      </tns:ex1>

   In this example the <local:ex1> element is a local extension to the
   <tns:ex2> element that has to be understood (indicated by the
   attribute tns:mustUnderstand="true") by the recipient of this
   information to be used sensibly.

   Note that this attribute is defined in the "tns" namespace, rather
   than the namespace of the containing element.  In terms of XML
   namespaces [9], this means that it belongs to a global namespace and
   has the same meaning wherever it appears.  Further, that meaning is
   defined according to the semantics associated with the "tns"
   namespace.  If the attribute were defined without a namespace prefix,
   its meaning would be dependent on the containing element (in this
   case, an element from the "local" namespace), which would make it
   difficult to ensure that it would always be interpreted according to
   the intended semantics.

4.8 Element and Attribute Design Considerations

   XML provides much flexibility in allowing a designer to use either
   elements, attributes, or element content to carry data.  This section
   gives a flavor of the design considerations; there is much written
   about this in the XML literature.  Consistent use of elements,
   attributes, and values is an important characteristic of a sound
   design.

   Attributes are generally intended to contain meta-data that describes
   the value of the element, and as such they are subject to the
   following restrictions:

   o  Attributes are unordered,

   o  There can be no more than one instance of a given attribute within
      a given element (although an attribute may contain several values,
      separated by [:space:]),

   o  Attribute values can have no internal XML markup for providing
      internal structure, and




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   o  Attribute values are normalized ([8], section 3.3) before
      processing

   Consider the following example that describes an IP address using an
   attribute to describe the address value:

      <address addrType="ipv4">10.1.2.3</address>

   One might encode the same information using an <addrType> element
   instead of an "addrType" attribute:

      <address>
        <addrType>ipv4</addrType>
        <value>10.1.2.3</value>
      </address>

   Another way of encoding the same information would be to use markup
   for the "addrType":

      <address>
        <addrType><ipv4/></addrType>
        <value>10.1.2.3</value>
      </address>

   Choosing between these designs involves tradeoffs concerning, among
   other considerations, the likely extensibility patterns and the
   ability of the formalism to constrain the values appropriately.  In
   the first example, the attribute can be thought of as meta-data to
   the element which it modifies, and provides for a kind of "element
   extensibility".  The third example allows for a different kind of
   extensibility: the "ipv4" space can be extended using other
   namespaces, and the <ipv4> element can include additional markup.

   Many protocols include parameters that are selected from an
   enumerated set of values.  Such enumerated values can be encoded as
   elements, attributes, or strings within element values.  Any protocol
   design should consider how the set of enumerated values is to be
   extended: by revising the protocol, by including different values in
   different XML namespaces, or by establishing an IANA registry (as per
   RFC 2434 [21]).  In addition, a common practice in XML is to use a
   URI as an XML attribute value or content.

   Languages that describe syntactic validity (including XML Schema and
   DTDs) often provide a mechanism for specifying "default" values for
   an attribute.  If an element does not specify a value for the
   attribute, then the "default" value is used.  The use of default
   values for attributes is discouraged by this document.  Although the
   use of this feature can reduce both the size and clutter of XML



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   documents, it has a negative impact on software which doesn't know
   the document's validity constraints (e.g., for packet tracing or
   digital signature).

4.9 Binary Data and Text with Control Characters

   XML is defined as a character stream rather than a stream of octets.
   There is no way to embed raw binary data directly within an XML data
   stream; all binary data must be encoded as characters.  There are a
   number of possible encodings; for example, XML Schema [12] defines
   encodings using decimal digits for integers, Base64 [18], or
   hexadecimal digits.  In addition, binary data might be transmitted
   using some other communication channel, and referenced within the XML
   data itself using a URI.

   Protocols that need a container that can hold both structural data
   and large quantities of binary data should consider carefully whether
   XML is appropriate, since the Base64 and hex encodings are
   inefficient.  Otherwise, protocols should use the mechanisms of XML
   Schema to represent binary data; the Base64 encoding is best for
   larger quantities of data.

   XML does not allow "control" characters (0x00-0x1F) except for TAB
   (0x09), CR (0x0A), and LF (0x0D).  They may not be specified even
   using character entity references.  There is currently no common way
   of encoding them within what is otherwise ordinary text.  This means
   that strings that might be considered "text" within an ABNF-defined
   protocol element may need to be treated as binary data within an XML
   representation, or some other encoding mechanism might need to be
   invented.

4.10 Incremental Processing

   In some situations, it is possible to incrementally process an XML
   document as each tag is received; this is analogous to the process by
   which browsers incrementally render HTML pages as they are received.
   Note that incremental processing is difficult to implement if
   interspersed across multiple interactions.  In other words, if a
   protocol requires incremental processing across both directions of a
   bidirectional stream, then it may place significant burden on
   protocol implementers.

4.11 Entity Declarations

   In addition to its role as a validity mechanism, an XML DTD provides
   a facility for "Entity Declarations" ([8], section 4.2).  An Entity
   Declaration defines, in the DTD, a kind of macro capability where an
   "entity reference" may be used to call up and include the content of



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   the entity declaration.

   This feature adds complexity to XML processing, and seems more
   appropriate for use of XML in document processing than in data
   representation.  As such, this document recommends avoiding entity
   declarations in protocol specifications.

4.12 URI Processing in XML

   The XML Base specification [41] defines an attribute "xml:base" in
   the XML namespace that is intended to affect the "base" to be used
   for relative URI processing described in RFC 2396 [20].  The
   facilities of xml:base for controlling URI processing may be useful
   to protocol designers, but if xml:base is allowed the interaction
   with any other protocol facilities for establishing URI context must
   be specified clearly.

   Note also that, in many cases, the term "URI" and the syntactic use
   of URIs within XML allows non-ASCII characters within URIs.  For
   example, the XML Schema "anyURI" datatype ([12] section 3.2.17)
   allows for direct encoding of characters outside of the US-ASCII
   range.  Most current IETF protocols and specifications do not allow
   this syntax.  Protocol specifications should be clear about the range
   of characters specified, e.g., by adding a restriction to the range
   of characters allowed in the anyURI schema datatype, or by specifying
   that characters outside the US-ASCII range should be escaped when
   passed to older protocols or APIs.

4.13 Interaction with the IANA

   When XML is used in an IETF protocol there are multiple factors that
   might require IANA action, including:

   o  XML media types.  A piece of XML in a protocol element is
      sometimes intrinsically bound to the protocol context in which it
      appears, and in particular might be directly derived from and/or
      input to protocol state-machine implementations.  In cases where
      the XML content has no relevant meaning outside it's original
      protocol context, there is no reason to register a MIME type.
      When it is possible that XML content can be interpreted outside of
      its original context (such as when that XML content is being
      stored in a file system or tunneled over another protocol), then a
      MIME type should be registered to specify the specific format for
      the data and to provide a hint as to how it might be processed.

      If MIME labeling is needed, then the advice of RFC 3023 [5]
      applies.  In particular, if the XML represents a new language or
      document type, a new MIME media type should be registered for the



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      reasons described in RFC 3023 sections 7 and A.1.  In situations
      where XML is used to encode generic structured data (e.g., a
      document-oriented application that involves combining XML with a
      stylesheet), "application/xml" might be appropriate ("MAY be
      used").  The "text/xml" media type is not recommended ("SHOULD NOT
      be used") because of issues involving display behavior and default
      charsets.

   o  URI registration.  There is an ongoing effort ([14], [15]) to
      create a URN namespace explicitly for defining URIs for namespace
      names and other URI-designated protocol elements for use within
      IETF standards track documents; it might also establish IETF
      policy for such use.






































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5. Internationalization Considerations

   This section describes internationalization considerations for the
   use of XML to represent data in IETF protocols.  In addition to the
   recommendations here, IETF policy on the use of character sets and
   languages described in RFC 2277 [3] also apply.

5.1 Character Sets and Encodings

   IETF protocols frequently speak of the "character set" or "charset"
   of a string, which is used to denote both the character repertoire
   and the encoding used to represent sequences of characters as
   sequences of bytes.

   XML performs all character processing in terms of the Universal
   Character Set (UCS, [33] and [35]).  XML requires all XML processors
   to support both the UTF-8 [4] and UTF-16 [23] encodings of UCS,
   although other encodings (charsets) compatible with UCS may be
   allowed.  External parsed entities encoded in UTF-16 are required to
   begin with a Byte Order Mark ([8] section 4.3.3).

   IETF policy [3] requires that the UTF-8 charset be allowed for all
   text.

   This document requires that IETF protocols using XML allow for the
   UTF-8 encoding of XML data, and recommends, for simplicity, that only
   UTF-8 be allowed.  In those situations where other charsets are
   allowed, the encoding must be specified using an "encoding" attribute
   in the XML declaration (see Section 4.1), even if there might be
   other protocol mechanisms for noting it.  If the UTF-16 encoding is
   allowed, XML requires that UTF-16 encoded external entities start
   with a byte order mark (BOM).

5.2 Language Declaration

   Text encapsulated in XML can be represented in many different human
   languages, and it is often useful to explicitly identify the language
   used to present the text.  XML defines a special attribute in the
   "xml" namespace, xml:lang, that can be used to specify the language
   used to represent data in an XML document.  The xml:lang attribute
   (which has to be explicitly declared for use within a DTD or XML
   Schema) and the values it can assume are defined in section 2.12 of
   [8].

   It is strongly recommended that protocols representing data in a
   human language mandate use of an xml:lang attribute if the XML
   instance might be interpreted in language-dependent contexts.




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5.3 Other Internationalization Considerations

   There are standard mechanisms in the typography of some human
   languages that can be difficult to represent using merely XML
   character string data types.  For example, pronunciation clues can be
   provided using Ruby annotation [38], and embedding controls (such as
   those described in section 3.4 of [45]) or an XHTML [39] "dir"
   attribute can be used to note the proper display direction for
   bidirectional text.

   There are a number of tricky issues that can arise when using
   extended character sets with XML document formats.  For example:

   o  There are different ways of representing characters consisting of
      combining characters, and

   o  There has been some debate about whether URIs should be
      represented using a restricted US-ASCII subset or arbitrary
      Unicode (e.g.  "URI character sequence" vs "original character
      sequence" in RFC 2396 [20]).

   Some of these issues are discussed, with recommendations, in the
   W3C's "Character Model for the World Wide Web" document [42].

   It is strongly recommended that protocols representing data in a
   human language reuse existing mechanisms as needed to ensure proper
   display of human-legible text.
























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6. IANA Considerations

   This memo, per se, has no impact on the IANA.
















































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7. Security Considerations

   Being text-based, protocols built with XML face significant threats,
   including unintended disclosure, modification, and replay.  Simple
   passive attacks, such as packet sniffing, allow an attacker to
   capture and view information intended for someone else.  Captured
   data can be modified and replayed to the original intended recipient,
   with the recipient having no way to know that the information has
   been compromised, detect modifications, be assured of the sender's
   identity, or to confirm which protocol instance is legitimate.

   Several security service options are available to mitigate these
   risks.  Though XML does not include any built-in security services,
   other protocols and protocol layers provide services that can be used
   to protect XML protocols.  XML encryption [10] provides privacy
   services to prevent unintended disclosure.  Canonical XML and [6] XML
   digital signatures [7] provide integrity services to detect
   modification and authentication services to confirm the identity of
   the data source.  Other IETF security protocols (e.g., the Transport
   Layer Security (TLS) protocol [2]) are also available to protect data
   and service endpoints as appropriate.  Given the lack of security
   services in XML, it is imperative that protocol specifications
   mandate additional security services to counter common threats and
   attacks; the specific required services will depend on the protocol's
   threat model.


























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8. Acknowledgements

   The authors would like to thank the following people who have
   provided significant contributions to the development of this
   document:

   Mark Baker, Tim Berners-Lee, Tim Bray, Josh Cohen, Alan Crouch,
   Martin Duerst, Jun Fujisawa, Yaron Goland, Graham Klyne, Dan Kohn,
   Chris Lilley, Murata Makoto, Michael Mealling, Jean-Jacques Moreau,
   Andrew Newton, Julian Reschke, Jonathan Rosenberg, Simon St Laurent,
   and Daniel Veillard.








































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Normative References

   [1]   Bradner, S., "Key words for use in RFCs to Indicate Requirement
         Levels", BCP 14, RFC 2119, March 1997.

   [2]   Dierks, T., Allen, C., Treese, W., Karlton, P., Freier, A. and
         P. Kocher, "The TLS Protocol Version 1.0", RFC 2246, January
         1999.

   [3]   Alvestrand, H., "IETF Policy on Character Sets and Languages",
         BCP 18, RFC 2277, January 1998.

   [4]   Yergeau, F., "UTF-8, a transformation format of ISO 10646", RFC
         2279, January 1998.

   [5]   Murata, M., St.Laurent, S. and D. Kohn, "XML Media Types", RFC
         3023, January 2001.

   [6]   Boyer, J., "Canonical XML Version 1.0", RFC 3076, March 2001.

   [7]   Eastlake, D., Reagle, J. and D. Solo, "(Extensible Markup
         Language) XML-Signature Syntax and Processing", RFC 3275, March
         2002.

   [8]   Bray, T., Paoli, J., Sperberg-McQueen, C. and E. Maler,
         "Extensible Markup Language (XML) 1.0 (2nd ed)", W3C REC-xml,
         October 2000, <http://www.w3.org/TR/REC-xml>.

   [9]   Bray, T., Hollander, D. and A. Layman, "Namespaces in XML", W3C
         REC-xml-names, January 1999, <http://www.w3.org/TR/REC-xml-
         names>.

   [10]  Imamura, T., Dillaway, B., Schaad, J. and E. Simon, "XML
         Encryption Syntax and Processing", W3C REC-xmlenc-core, October
         2001, <http://www.w3.org/TR/xmlenc-core/>.

   [11]  Thompson, H., Beech, D., Maloney, M. and N. Mendelsohn, "XML
         Schema Part 1: Structures", W3C REC-xmlschema-1, May 2001,
         <http://www.w3.org/TR/xmlschema-1/>.

   [12]  Biron, P. and A. Malhotra, "XML Schema Part 2: Datatypes", W3C
         REC-xmlschema-2, May 2001, <http://www.w3.org/TR/xmlschema-2/>.









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Informative References

   [13]  Mealling, M., Popp, N. and M. Moseley, "Common Name Resolution
         Protocol (CNRP)", draft-ietf-cnrp-12 (work in progress),
         February 2002.

   [14]  Masinter, L., Mealling, M., Klyne, G. and T. Hardie, "An IETF
         URN Sub-namespace for Registered Protocol Parameters", draft-
         mealling-iana-urn-03 (work in progress), May 2002.

   [15]  Mealling, M., "The IETF XML Registry", draft-mealling-iana-
         xmlns-registry-03 (work in progress), November 2001.

   [16]  Case, J., Fedor, M., Schoffstall, M. and J. Davin, "Simple
         Network Management Protocol (SNMP)", STD 15, RFC 1157, May
         1990.

   [17]  Srinivasan, R., "XDR: External Data Representation Standard",
         RFC 1832, August 1995.

   [18]  Freed, N. and N. Borenstein, "Multipurpose Internet Mail
         Extensions (MIME) Part One: Format of Internet Message Bodies",
         RFC 2045, November 1996.

   [19]  Crocker, D. and P. Overell, "Augmented BNF for Syntax
         Specifications: ABNF", RFC 2234, November 1997.

   [20]  Berners-Lee, T., Fielding, R. and L. Masinter, "Uniform
         Resource Identifiers (URI): Generic Syntax", RFC 2396, August
         1998.

   [21]  Narten, T. and H. Alvestrand, "Guidelines for Writing an IANA
         Considerations Section in RFCs", BCP 26, RFC 2434, October
         1998.

   [22]  Rose, M., "Writing I-Ds and RFCs using XML", RFC 2629, June
         1999.

   [23]  Hoffman, P. and F. Yergeau, "UTF-16, an encoding of ISO 10646",
         RFC 2781, February 2000.

   [24]  Klensin, J., "Simple Mail Transfer Protocol", RFC 2821, April
         2001.

   [25]  Shepler, S., Callaghan, B., Robinson, D., Thurlow, R., Beame,
         C., Eisler, M. and D. Noveck, "NFS version 4 Protocol", RFC
         3010, December 2000.




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   [26]  Kennedy, H., "Binary Lexical Octet Ad-hoc Transport", RFC 3252,
         1 April 2002.

   [27]  Backus, J., "The syntax and semantics of the proposed
         international algebraic language of the Zurich ACM-GAMM
         conference", June 1959.

   [28]  American National Standards Institute, "Code Extension
         Techniques for Use with the 7-bit Coded Character Set of
         American National Standard Code (ASCII) for Information
         Interchange", ANSI X3.41, FIPS PUB 35, 1974.

   [29]  American National Standards Institute, "Information Retrieval:
         Application Service Definition and Protocol Specification",
         ANSI Z39.50, ISO Standard 23950, 1995.

   [30]  International Organization for Standardization, "Information
         Processing Systems - Open Systems Interconnection -
         Specification of Abstract Syntax Notation One (ASN.1)", ISO
         Standard 8824, December 1990.

   [31]  International Organization for Standardization, "Information
         Processing Systems - Open Systems Interconnection -
         Specification of Basic Encoding Rules for Abstract Syntax
         Notation One (ASN.1)", ISO Standard 8825, December 1990.

   [32]  International Organization for Standardization, "Information
         processing - Text and office systems - Standard Generalized
         Markup Language (SGML)", ISO Standard 8879, 1988.

   [33]  International Organization for Standardization, "Information
         Technology - Universal Multiple-octet coded Character Set (UCS)
         - Part 1: Architecture and Basic Multilingual Plane", ISO
         Standard 10646-1, May 1993.

   [34]  International Organization for Standardization, "Document
         Description and Processing Languages", December 2001, <http://
         www.jtc1.org/FTP/Public/SC34/DOCREG/0275.htm/>.

   [35]  Unicode Consortium, "Unicode 3.2", UAX 28, March 2002, <http://
         www.unicode.org/unicode/reports/tr28/>.

   [36]  Bray, T., Paoli, J. and C. Sperberg-McQueen, "Extensible Markup
         Language (XML) 1.0", W3C REC-xml-1998, February 1998, <http://
         www.w3.org/TR/1998/REC-xml-19980210/>.

   [37]  Lassila, O. and R. Swick, "Resource Description Framework (RDF)
         Model and Syntax Specification", W3C REC-rdf-syntax, February



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         1999, <http://www.w3.org/TR/REC-rdf-syntax>.

   [38]  Suignard, M., Ishikawa, M., Duerst, M. and T. Texin, "Ruby
         Annotation", W3C REC-RUBY, May 2001, <http://www.w3.org/TR/
         ruby/>.

   [39]  Pemberton, S., "XHTML 1.0: The Extensible HyperText Markup
         Language", W3C REC-XHTML, January 2000, <http://www.w3.org/TR/
         xhtml1/>.

   [40]  Cowan, J. and R. Tobin, "XML Information Set", W3C REC-infoset,
         October 2001, <http://www.w3.org/TR/xml-infoset/>.

   [41]  Marsh, J., "XML Base", W3C REC-xmlbase, June 2001, <http://
         www.w3.org/TR/xmlbase/>.

   [42]  Duerst, M., Yergeau, F., Ishida, R., Wolf, M., Freytag, A. and
         T. Texin, "Character Model for the World Wide Web 1.0", April
         2002, <http://www.w3.org/TR/charmod/>.

   [43]  Gudgin, M., Hadley, M., Moreau, JJ. and H. Nielsen, "SOAP
         Version 1.2 Part 1: Messaging Framework", December 2001,
         <http://www.w3.org/TR/soap12-part1/>.

   [44]  Gudgin, M., Hadley, M., Moreau, JJ. and H. Nielsen, "SOAP
         Version 1.2 Part 2: Adjuncts", December 2001, <http://
         www.w3.org/TR/soap12-part2/>.

   [45]  Duerst, M. and A. Freytag, "Unicode in XML and other Markup
         Languages", February 2002, <http://www.w3.org/TR/unicode-xml/
         >.

   [46]  W3C Communications Team, "XML in 10 points", November 2001,
         <http://www.w3.org/XML/1999/XML-in-10-points>.

   [47]  OASIS Technical Committee: RELAX NG, "RELAX NG Specification",
         December 2001, <http://www.oasis-open.org/committees/relax-ng/
         spec-20011203.html/>.

   [48]  Jelliffe, R., "The Schematron", November 2001, <http://
         www.ascc.net/xml/schematron/>.










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URIs

   [49]  <http://www.imc.org/ietf-xml-use/>

   [50]  <http://xml.org/>

   [51]  <http://xmlhack.com/>

   [52]  <http://oasis-open.org/>


Authors' Addresses

   Scott Hollenbeck
   VeriSign, Inc.
   21345 Ridgetop Circle
   Dulles, VA  20166-6503
   US

   Phone: +1 703 948 3257
   EMail: shollenbeck@verisign.com


   Marshall T. Rose
   Dover Beach Consulting, Inc.
   POB 255268
   Sacramento, CA  95865-5268
   US

   Phone: +1 916 483 8878
   EMail: mrose@dbc.mtview.ca.us


   Larry Masinter
   Adobe Systems Incorporated
   Mail Stop W14
   345 Park Ave.
   San Jose, CA  95110
   US

   Phone: +1 408 536 3024
   EMail: LMM@acm.org
   URI:   http://larry.masinter.net








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Appendix A. Appendix A: Change History

   The following changes were made to produce version -04 from -03:

   o  More minor editorial changes in several places.

   o  Reworded Section 1.3.

   o  Modified the last point in Section 2.

   o  Added Section 4.4 to address XML Information Set.

   o  Updated the first and third paragraphs of Section 4.5.

   o  More rework in Section 4.7.1.

   o  Added new section Section 4.12 to address URI processing and
      xml:base.

   o  Updated Section 4.13.

   o  Added some more text to Section 5.1 to address byte order marks
      and UTF-16.

   The following changes were made to produce version -03 from -02:

   o  Minor editorial fixes throughout.

   o  Minor updates in Section 2.

   o  Updated Section 4.2.

   o  Added Section 4.3 to address XML comments.

   o  Updated Section 4.5.

   o  Moved the last paragraph of Section 4.7.1 to Section 4.6.

   o  Added an additional example to Section 4.7.1.

   o  Modified Section 4.6, Section 4.8, Section 4.9, and Section 5.1 to
      address received comments.

   o  Moved discussion of IANA interactions to Section 4 and noted that
      this document has no direct impact on IANA.

   o  Updated the Schematron reference.




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   o  Fixed the "XML-in-10-points" reference.

   The following changes were made to produce version -02 from -01:

   o  Changed the title slightly ("in IETF" to "within IETF") to help
      clarify the scope.

   o  Changed the abstract slightly (added "being developed") to the
      first sentence.

   o  Changed the "conventions" paragraph slightly.

   o  Added text to the introduction/scope to clarify that the document
      is not intended as an endorsement to use XML.

   o  Removed TBD from Section 1.

   o  Added an additional list element on binary data encoding in
      Section 2, added another sentence to the "text based" list
      element, and modified the "processing speed" list element.

   o  Rewrote the first paragraphs of Section 3, adding a reference to
      RFC 3252.

   o  Rewrote Section 4.1.

   o  Reworded and added text to Section 4.5.

   o  Changed "in lieu of" to "in the absence of" in old paragraph 7 of
      Section 4.6.

   o  Restructured Section 4.6 to acknowledge that there is still some
      controversy surrounding XML Schema.

   o  Added paragraph on default attributes to Section 4.8, added a new
      paragraph to address value enumeration, reworked the example, and
      changed the last paragraph slightly.

   o  Rewrote Section 4.9.

   o  Added Section 4.10 to address incremental processing.

   o  Rewrote portions of Section 5; adding references to Unicode 3.2
      and ISO 10646.

   The following changes were made to produce version -01 from -00:

   o  Changed "eXtensible" to "Extensible" throughout.



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   o  Fixed the discussion mailing list name in the front matter.

   o  Changed use of "data encapsulation" to "structured data
      representation" (or similar) throughout.

   o  Added namespace reference and text to discussion of extensibility
      in Section 3.

   o  Rewrote Section 4.6 and added needed references.

   o  Added text to address extension recognition and attributes in
      Section 4.7.

   o  Added another attribute restriction in Section 4.8.

   o  Added reference to the "An IETF URN Sub-namespace for Registered
      Protocol Parameters" I-D in Section 6.

   o  Added reference to RFC 2396 and W3C character model in Section 5.
































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