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Having both core access and XML-only access

From: Joe Lapp <jlapp@acm.org>
Date: Thu, 04 Dec 1997 10:31:12 -0500
Message-Id: <>
To: www-dom@w3.org
I'm wondering if there might be a way to have the best of both worlds.
Some applications would use DOM to work with possibly invalid XML
documents but still treat the documents as XML.  Other applications
might use DOM in a manner such that DOM ensures that the document is
always valid.  In this latter case the implementor of the DOM
interface(s) might walk the document through a series of invalid states,
but externally the document will only be seen in its valid form.  In
this posting I suggest why we might want to do this, how it might be
done, and what in part it might look like.

The application that can work with an invalid XML document might be able
to use DOM facilities to test the validity of the document, but the
application would be responsible for leaving the document in a valid
state.  These kinds of applications might be editors that can take human
coded documents.  I'm guessing that this class of application will
always require human interaction in order to make a document valid.  If
the document is invalid, there may not be enough information in the
document to correct the problem by automatic means.

The application that works only with valid XML documents would rely on
the DOM facilities to enforce validity.  Through these facilities DOM
could only load valid documents and the application can only create or
change documents in ways that leave them valid.  Such a DOM facility
would centralize knowledge of what it means to be valid XML and of how
to validate against a DTD.  It would not be possible for an application
using these facilities to pass off an XML document to another application
unless that document were valid.  This reduces the intelligence required
of receiving applications and improves the robustness of the system.
Robustness would be centralized in the component of one vendor instead of
being distributed across the components of many vendors.

The challenge is in creating DOM interfaces that enable us to satisfy
both needs.  It seems to me that one way to accomplish this is to ensure
that the DOM XML interfaces are complete and independent of the DOM core
interfaces.  Two kinds of servers could be created: one kind would expose
both the DOM core and the DOM XML interfaces, and the other kind would
only expose the DOM XML interfaces.

In the first server, the implementation of the DOM XML interfaces would
not be able to keep state information for the document element outside
of the DOM core.  This way, whenever a client changes the document
through the core, the XML interfaces will operate on the document
containing those changes.  The client would be required to bring the
document into a valid state before using the XML interfaces, since the
XML interfaces would have to throw exceptions upon encountering an
invalid underlying document.  The one exception might be a DOM XML
operation that tests the validity of the underlying document and that
may provide the client with information about how the document is
invalid.  Once the client brings the document into a valid state, the
client might simplify many of its manipulation chores by working directly
through the XML interfaces.  The client might only use the core when it
first loads a raw document and when it imports documents into the
current document.

In the second server, the client interacts with the document only through
interfaces that ensure the document's validity.  The core interfaces
would not be available.  The XML interfaces would throw exceptions upon
detecting an invalid underlying document.  It becomes impossible for a
client to create an invalid document through these interfaces.  As an
extra benefit, we completely free the server from constraints on
implementation.  The server could retain the document using DOM core, or
the server could do something completely different.  The implementation
may be a relational database or some hyperlinked data structure.  This
frees the server to create especially efficient document access.

Gavin mentioned a performance issue involved with interfaces that always
ensure the validity of the underlying document.  He said that it would
probably be too big a hit to always require that every operation check
the document's validity.  There are two points I'd like to make along
this line.  The first is that to perform the check on every operation
may not be as big a hit as we might expect.  The server knows that the
document is valid prior to the operation, and it has control over the
operation itself, so the server need only focus on creating a valid
change to the document.  There is no need for the server to "check"
anything other than the client's new contribution.

The second point about the performance problem is that we may not need
to perform any kind of validity "check" on a per-operation basis.  Even
assuming that the document is not constrained by multi-user concurrency
issues, transaction notation could be used to solve the problem.  The
server would only validate on transaction boundaries.  Moreover, the
server could cache knowledge of all operations performed during the
transaction and upon reaching a transaction boundary validate only the
deltas applied to the document.  By validating deltas we retain the
efficiency of the minimal checking we could have done on a per-operation
basis.  Where validation is necessarily resource-intensive, with
transactions we reduce the frequency of using these resources.

However, I'd like to make another point: I think an XML interface that
always leaves the document in a valid state will require that changes
be made through transactions.  I could only find one feature of the
current XML standard that would require this: #REQUIRED IDREFs.  It
seems to me that the only way to create a cyclic chain of required
IDREFs and end up with a valid document is to create all of the IDREFs
all in one transaction.  If the first element you wish to add requires
a reference to another element, and that other element cannot exist
without an IDREF to the first element (possibly indirectly through a
series of other elements), then the only single operation that yields
a valid document is an operation that creates all of the elements that
exist in the cyclic chain all at once.  Having transactions in these
interfaces will also future-proof us against unanticipated extensions
to the XML standard, where such extensions affect our ability to
transform one valid document into another valid document using only
primitive operations.

(Note: There is a way to get around the #REQUIRED IDREF chain problem
without transactions, but it requires that we produce a document that
is *semantically* invalid, although it would be valid by the XML
definition of validity.  We could point the IDREF to the incorrect
element momentarily and then later change it to point to the correct
element.  This introduces the possibility for client error and would
be entirely unacceptable in a multi-user system or even a multi-thread
system, since different users or threads may end up working with false

So, it seems to me that we can have our cake and eat it too.  We can
have DOM interfaces that will function on well-formed but invalid XML
documents (for example), and we can have DOM interfaces that only
operate on valid XML documents.  The first use of DOM will allow us
to create editor-like applications, and the second use of DOM will
allow us to create robust distributed applications, where responsibility
for ensuring the integrity of documents can be centrally maintained.
Moreover, by introducing transactions into the DOM XML interfaces, we
minimize the penalties of validity checking and ensure that DOM can
evolve gracefully in step with changes in the XML specification.
Joe Lapp (Java Apps Developer/Consultant)
Unite for Java! - http://www.javalobby.org
Received on Thursday, 4 December 1997 10:29:59 UTC

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