Internet Systems Design:
Technologies for Modern Information Systems

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XML

A guided tour from HTML to processing XML with Java

Summary
In just a few short years, the World Wide Web and HTML have taken the world by storm. But HTML's limitations and the ever-increasing demand for more flexibility in Internet systems has XML, the Extensible Markup Language, brewing on the horizon. Further, Java applications that move data around need a data representation format as portable as Java itself. Developers who learn XML now will find it a powerful tool for data representation, storage, modelling, and interoperation.

Mark Johnson steps away from his popular JavaBeans column this month to introduce you to the world of XML: where it came from, why it's necessary, how it interoperates with existing Internet technology, and how to use it in your designs. You'll learn about Cascading Style Sheets and XSL, then follow up with a look at the XML and Java technology base at a promising Internet startup, with comments from that company's CEO and technical lead. By the time you've finished reading Mark's article, you'll understand why so many people are paying so much attention to this new data representation standard. (11,000 words)

By Mark Johnson

TML and the World Wide Web are everywhere. As an example of their ubiquity, I'm going to Central America for Easter this year, and if I want to, I'll be able to surf the Web, read my e-mail, and even do online banking from Internet cafés in Antigua Guatemala and Belize City. (I don't intend to, however, since doing so would take time away from a date I have with a palm tree and a rum-filled coconut.)

And yet, despite the omnipresence and popularity of HTML, it is severely limited in what it can do. It's fine for disseminating informal documents, but HTML now is being used to do things it was never designed for. Trying to design heavy-duty, flexible, interoperable data systems from HTML is like trying to build an aircraft carrier with hacksaws and soldering irons: the tools (HTML and HTTP) just aren't up to the job.

The good news is that many of the limitations of HTML have been overcome in XML, the Extensible Markup Language. XML is easily comprehensible to anyone who understands HTML, but it is much more powerful. More than just a markup language, XML is a metalanguage -- a language used to define new markup languages. With XML, you can create a language crafted specifically for your application or domain.

XML will complement, rather than replace, HTML. Whereas HTML is used for formatting and displaying data, XML represents the contextual meaning of the data.

This article will present the history of markup languages and how XML came to be. We'll look at sample data in HTML and move gradually into XML, demonstrating why it provides a superior way to represent data. We'll explore the reasons you might need to invent a custom markup language, and I'll teach you how to do it. We'll cover the basics of XML notation, and how to display XML with two different sorts of style languages. Then, we'll dive into the Document Object Model, a powerful tool for manipulating documents as objects (or manipulating object structures as documents, depending upon how you look at it). We'll go over how to write Java programs that extract information from XML documents, with a pointer to a free program useful for experimenting with these new concepts. Finally, we'll take a look at an Internet company that's basing its core technology strategy on XML and Java.

Is XML for you?
Though this article is written for anyone interested in XML, it has a special relationship to the JavaWorld series on XML JavaBeans. (See Resources for links to related articles.) If you've been reading that series and aren't quite "getting it," this article should clarify how to use XML with beans. If you are getting it, this article serves as the perfect companion piece to the XML JavaBeans series, since it covers topics untouched therein. And, if you're one of the lucky few who still have the XML JavaBeans articles to look forward to, I recommend that you read the present article first as introductory material.

A note about Java
There's so much recent XML activity in the computer world that even an article of this length can only skim the surface. Still, the whole point of this article is to give you the context you need to use XML in your Java program designs. This article also covers how XML operates with existing Web technology, since many Java programmers work in such an environment.

XML opens the Internet and Java programming to portable, nonbrowser functionality. XML frees Internet content from the browser in much the same way Java frees program behavior from the platform. XML makes Internet content available to real applications.

Java is an excellent platform for using XML, and XML is an outstanding data representation for Java applications. I'll point out some of Java's strengths with XML as we go along.

Let's begin with a history lesson.

The origins of markup languages
The HTML we all know and love (well, that we know, anyway) was originally designed by Tim Berners-Lee at CERN (le Conseil Européen pour la Recherche Nucléaire, or the European Laboratory for Particle Physics) in Geneva to allow physics nerds (and even non-nerds) to communicate with each other. HTML was released in December 1990 within CERN, and became publicly available in the summer of 1991 for the rest of us. CERN and Berners-Lee gave away the specifications for HTML, HTTP, and URLs, in the fine old tradition of Internet share-and-enjoy.

Berners-Lee defined HTML in SGML, the Standard Generalized Markup Language. SGML, like XML, is a metalanguage -- a language used for defining other languages. Each so-defined language is called an application of SGML. HTML is an application of SGML.

SGML emerged from research done primarily at IBM on text document representation in the late '60s. IBM created GML ("General Markup Language"), a predecessor language to SGML, and in 1978 the American National Standards Institute (ANSI) created its first version of SGML. The first standard was released in 1983, with the draft standard released in 1985, and the first standard was published in 1986. Interestingly enough, the first SGML standard was published using an SGML system developed by Anders Berglund at CERN, the organization that, as we have seen, gave us HTML and the Web.

SGML is widely used in large industries and governments such as in large aerospace, automotive, and telecommunications companies. SGML is used as a document standard at the United States Department of Defense and the Internal Revenue Service. (For readers outside of the US, the IRS are the tax guys.)

Albert Einstein said everything should be made as simple as possible, and no simpler. The reason SGML isn't found in more places is that it's extremely sophisticated and complex. And HTML, which you can find everywhere, is very simple; for a lot of applications, it's too simple.

HTML: All form and no substance
HTML is a language designed to "talk about" documents: headings, titles, captions, fonts, and so on. It's heavily document structure- and presentation-oriented.

Admittedly, artists and hackers have been able to work miracles with the relatively dull tool called HTML. But HTML has serious drawbacks that make it a poor fit for designing flexible, powerful, evolutionary information systems. Here a few of the major complaints:

SGML has none of these weaknesses, but in order to be general, it's hair-tearingly complex (at least in its complete form). The language used to format SGML (its "style language"), called DSSSL (Document Style Semantics and Specification Language), is extremely powerful but difficult to use. How do we get a language that's roughly as easy to use as HTML but has most of the power of SGML?

Origins of XML
As the Web exploded in popularity and people all over the world began learning about HTML, they fairly quickly started running into the limitations outlined above. Heavy-metal SGML wonks, who had been working with SGML for years in relative obscurity, suddenly found that everyday people had some understanding of the concept of markup (that is, HTML). SGML experts began to consider the possibility of using SGML on the Web directly, instead of using just one application of it (again, HTML). At the same time, they knew that SGML, while powerful, was simply too complex for most people to use.

In the summer of 1996, Jon Bosak (currently online information technology architect at Sun Microsystems) convinced the W3C to let him form a committee on using SGML on the Web. He created a high-powered team of muckety-mucks from the SGML world. By November of that year, these folks had created the beginnings of a simplified form of SGML that incorporated tried-and-true features of SGML but with reduced complexity. This was, and is, XML.

In March 1997, Bosak released his landmark paper, "XML, Java and the Future of the Web" (see Resources). Now, two years later (a very long time in the life of the Web), Bosak's short paper is still a good, if dated, introduction to why using XML is such an excellent idea.

SGML was created for general document structuring, and HTML was created as an application of SGML for Web documents. XML is a simplification of SGML for general Web use.

An XML conceptual example
All this talk of "inventing your own tags" is pretty foggy: What kind of tags would a developer want to invent and how would the resulting XML be used? In this section, we'll go over an example that compares and contrasts information representation in HTML and XML. In a later section ("XSL: I like your style") we'll go over XML display.

First, we'll take an example of a recipe, and display it as one possible HTML document. Then, we'll redo the example in XML and discuss what that buys us.

HTML example
Take a look at the little chunk of HTML in Listing 1:

<!-- The original html recipe -->
<HTML>
<HEAD>
<TITLE>Lime Jello Marshmallow Cottage Cheese Surprise</TITLE>
</HEAD>
<BODY>
<H3>Lime Jello Marshmallow Cottage Cheese Surprise</H3>
My grandma's favorite (may she rest in peace).
<H4>Ingredients</H4>
<TABLE BORDER="1">
<TR BGCOLOR="#308030"><TH>Qty</TH><TH>Units</TH><TH>Item</TH></TR>
<TR><TD>1</TD><TD>box</TD><TD>lime gelatin</TD></TR>
<TR><TD>500</TD><TD>g</TD><TD>multicolored tiny marshmallows</TD></TR>
<TR><TD>500</TD><TD>ml</TD><TD>cottage cheese</TD></TR>
<TR><TD></TD><TD>dash</TD><TD>Tabasco sauce (optional)</TD></TR>
</TABLE>
<P>
<H4>Instructions</H4>
<OL>
<LI>Prepare lime gelatin according to package instructions...</LI>
<!-- and so on -->
</BODY>
</HTML>


Listing 1. Some HTML

(A printable version of this listing can be found at example.html.)

Looking at the HTML code in Listing 1, it's probably clear to just about anyone that this is a recipe for something (something awful, but a recipe nonetheless). In a browser, our HTML produces something like this:

Listing 2. What the HTML in Listing 1 looks like in a browser

Now, there are a number of advantages to representing this recipe in HTML, as follows:

There's one major problem with HTML as a data format, however. The meaning of the various pieces of data in the document is lost. It's really hard to take general HTML and figure out what the data in the HTML mean. The fact that there's an <Ingredient> of this recipe with a <Qty> (quantity) of 500 ml (<Units>) of <Item> cottage cheese would be very hard to extract from this document in a way that's generally meaningful.

Now, the idea of data in an HTML document meaning something may be a bit hard to grasp. Web pages are fine for the human reader, but if a program is going to process a document, it requires unambiguous definitions of what the tags mean. For instance, the <TITLE> tag in an HTML document encloses the title of the document. That's what the tag means, and it doesn't mean anything else. Similarly, an HTML <TR> tag means "table row," but that's of little use if your program is trying to read recipes in order to, say, create a shopping list. How could a program find a list of ingredients from a Web page formatted in HTML?

Sure, you could write a program that grabs the headers out of the document, reads the table column headers, figures out the quantities and units of each ingredient, and so on. The problem is, everyone formats recipes differently. What if you're trying to get this information from, say, the Julia Childs Web site, and she keeps messing around with the formatting? If Julia changes the order of the columns or stops using tables, she'll break your program! (Though it has to be said: If Julia starts publishing recipes like this, she may want to think about changing careers.)

Now, imagine that this recipe page came from data in a database and you'd like to be able to ship this data around. Maybe you'd like to add it to your huge recipe database at home, where you can search and use it however you like. Unfortunately, your input is HTML, so you'll need a program that can read this HTML, figure out what all the "Ingredients," "Instructions," "Units," and so forth are, and then import them to your database. That's a lot of work. Especially since all of that semantic information -- again, the meaning of the data -- existed in that original database but were obscured in the process of being transformed into HTML.

Now, imagine you could invent your own custom language for describing recipes. Instead of describing how the recipe was to be displayed, you'd describe the information structure in the recipe: how each piece of information would relate to the other pieces.

XML example
Let's just make up a markup language for describing recipes, and rewrite our recipe in that language, as in Listing 3.

<?xml version="1.0"?>
<Recipe>
   <Name>Lime Jello Marshmallow Cottage Cheese Surprise</Name>
   <Description>
     My grandma's favorite (may she rest in peace).
   </Description>
   <Ingredients>
      <Ingredient>
         <Qty unit="box">1</Qty>
         <Item>lime gelatin</Item>
      </Ingredient>
      <Ingredient>
         <Qty unit="g">500</Qty>
         <Item>multicolored tiny marshmallows</Item>
      </Ingredient>
      <Ingredient>
         <Qty unit="ml">500</Qty>
         <Item>Cottage cheese</Item>
      </Ingredient>
      <Ingredient>
         <Qty unit="dash"/>
         <Item optional="1">Tabasco sauce</Item>
      </Ingredient>
   </Ingredients>
   <Instructions>
      <Step>
Prepare lime gelatin according to package instructions
      </Step>
      <!-- And so on... -->
   </Instructions>
</Recipe>


Listing 3. A custom markup language for recipes

It will come as little surprise to you, being the astute reader you are, that this recipe in its new format is actually an XML document. Maybe the fact that the file started with the odd header

<?xml version="1.0"?>


gave it away; in fact, every XML file should begin with this header. We've simply invented markup tags that have a particular meaning; for example, "An <Ingredient> is a <Qty> (quantity in specified units) of a single <Item>, which is possibly optional." Our XML document describes the information in the recipe in terms of recipes, instead of in terms of how to display the recipe (as in HTML). The semantics, or meaning of the information, is maintained in XML because that's what the tag set was designed to do.

Notes on notation
It's important to get some nomenclature straight. In Figure 1, you see a start tag, which begins an enclosed area of text, known as an Item, according to the tag name. As in HTML, XML tags may include a list of attributes (consisting of an attribute name and an attribute value.) The Item defined by the tag ends with the end tag.

Not every tag encloses text. In HTML, the <BR> tag means "line break" and contains no text. In XML, such elements aren't allowed. Instead, XML has empty tags, denoted by a slash before the final right-angle bracket in the tag. Figure 2 shows an empty tag from our XML recipe. Note that empty tags may have attributes. This empty tag example is standard XML shorthand for <Qty units="g"></Qty>.

In addition to these notational differences from HTML, the structural rules of XML are more strict. Every XML document must be well-formed. What does that mean? Read on!

Ooh-la-la! Well-formed XML
The concept of well-formedness comes from mathematics: It's possible to write mathematical expressions that don't mean anything. For example, the expression

2 ( + + 5 (=) 9 > 7

looks (sort of) like math, but it isn't math because it doesn't follow the notational and structural rules for a mathematical expression (not on this planet, at least). In other words, the "expression" above isn't well-formed. Mathematical expressions must be well-formed before you can do anything useful with them, because expressions that aren't well-formed are meaningless.

A well-formed XML document is simply one that follows all of the notational and structural rules for XML. Programs that intend to process XML should reject any input XML that doesn't follow the rules for being well-formed. The most important of these rules are as follows:

'Well-formed' means 'parsable'
A generic XML parser is a program or class that can read any well-formed XML at its input. Many vendors now offer XML parsers in Java for free; (you'll find links to these packages in Resources at the bottom of this article). XML parsers recognize well-formed documents and produce error messages (much like a compiler would) when they receive input that isn't well-formed. As we'll see, this functionality is very handy for the programmer: You simply call the parser you've selected and it takes care of the error detection and so on. While all XML parsers check the well-formedness of documents (meaning, as we've seen, that all the tags make sense, are nested properly, and so on), validating XML parsers go one step further. Validating parsers also confirm whether the document is valid; that is, that the structure and number of tags make sense.

For example, most browsers will display a document that (nonsensically) has two <TITLE> elements, but how can this be? Only one title or no title makes sense.

For another example, imagine that in Listing 3 the "cottage cheese" ingredient looked like this:

      <Ingredient>
         <Qty unit="ml">500</Qty>
         <Qty unit="g">9</Qty>
         <Item>Cottage cheese</Item>
      </Ingredient>


This XML document is certainly well-formed, but it doesn't make sense. It isn't structurally valid. It is nonsense for a <Qty> to contain a <Qty>. What's the <Qty> of this <Ingredient>?

The problem is, we have a document that's well-formed, but it isn't very useful because the XML doesn't make sense. We need a way to specify what makes an XML document valid. For example, how can we specify that a <Qty> tag may contain only text (and not any other elements) and report as errors any other case?

The answer to this question lies in something called the document type definition, which we'll look at next.

Make up a markup
While a well-formed document is well-formed because it follows rules defined by the XML spec, a valid document is valid because it matches its document type definition (DTD). The DTD is the grammar for a markup language, defined by the designer of the markup language. For my little XML recipe in Listing 3, for example, that designer would be me. The DTD specifies what elements may exist, what attributes the elements may have, what elements may or must be found inside other elements, and in what order.

Nonvalidating parsers read the XML and, if it's well-formed, give you back the document structure as a tree of objects. We'll discuss the document structure you get from a parser in the section below entitled "The Document Object Model." If the document is well-formed but the elements are nonsensical (as was the case with the two <Qty> elements in the <Ingredient> above), that's your problem.

This is, in fact, how HTML browsers work. Generally, HTML parsers are nonvalidating. The various "HTML checking" parsers, which report sytax errors in HTML, are essentially validating HTML parsers (with additional functionality, like link checking).

Validating parsers read XML, verify that it's well-formed (just as nonvalidating parsers do), and then go on to determine whether the document's element tags are legal, whether the attribute names make sense, whether every element nested inside another element belongs there, and so on.

The DTD defines the document type. It accounts for the Extensible in XML. The DTD is how you actually define a new markup language -- what I often call a dialect of XML. DTDs currently are being written for an enormous number of different problem domains, and each DTD defines a new markup language. New markup languages now exist, or are being designed, to mark up the plays of Shakespeare; to define general data resources (RDF); to model information in the health care industry (HL7 SGML/XML); to typeset, display, and actively use mathematical equations (MathML); and to perform electronic data interchange (XML/EDI). There's even a proposal for a markup language for business data in the footwear industry (FDX). (No, I'm not joking.)

Central to each of these new languages is a DTD that describes what tags the markup language has, what those tags' attributes may be, and how they may be combined. A DTD specifies very clearly what information may or may not be included in a markup language. For instance, the DTD for HTML does not allow for markup tags to select paper size for printing.

Let's take a look at a DTD for the recipe XML in Listing 3. I'm going to call it JWSRML (JavaWorld Scary Recipe Markup Language). Apologies to anyone already using that acronym.

<!-- This is the example DTD for the example XML -->
<!ELEMENT Recipe (Name, Description?, Ingredients?, Instructions?)>
<!ELEMENT Name (#PCDATA)>
<!ELEMENT Description (#PCDATA)>
<!ELEMENT Ingredients (Ingredient)*>
<!ELEMENT Ingredient (Qty, Item)>
<!ELEMENT Qty (#PCDATA)>
<!ATTLIST Qty unit CDATA #REQUIRED>
<!ELEMENT Item (#PCDATA)>
<!ATTLIST Item optional CDATA "0"
                  isVegetarian CDATA "true">
<!ELEMENT Instructions (Step)+>


Listing 4. The DTD for JWSRML

The document type definition in Listing 4 defines a language for a validating parser to accept -- meaning, the parser will produce errors if the rules listed in the DTD aren't followed. To get a general idea of how a DTD works, let's look at what a few of the lines in this file mean.

A DTD is associated with an XML document by way of a document type declaration, which appears at the top the XML file (after the <?xml...?> line). The document type declaration may contain either an inline copy of the document type definition or contain a reference to that document as a system filename or URI (universal resource ID). For example,

<!DOCTYPE Recipe SYSTEM "example.dtd">


tells the parser to start looking for a <Recipe> tag as the top-level tag of the document. It also declares that the DTD is in the system file example.dtd.

There are other characters and notations in the DTD, but writing DTDs is a topic unto itself. If you're interested in learning more, check out the DTD-related links in Resources.

You now know a lot about how XML is structured and controlled, but you haven't heard what it's good for. Why are people so excited about this technology?

So, what good is made-up markup?
Here are some benefits of representing information in XML:

In fact, CSS (Cascading Style Sheets) and XSL (the Extensible Stylesheet Language) do precisely that: They're the style languages for XML. Let's take a quick look at these two technologies.

In Listing 3 above, you've seen what may be your first XML document. You've got a problem with that document, though: It's going to be pretty difficult to convince the browser manufacturers (not to mention the W3C) to add the <Ingredient> tag to their browsers. What if there were a way to turn this XML into a text file, a PostScript document, a photo-typesetting file, or input to a text-to-speech system for the hearing-impaired? Or what if the XML could somehow be transformed into HTML and displayed in a browser?

The members of the appropriate committees at the W3C have addressed these concerns with two specifications: CSS and XSL. While both are declarative languages (meaning that there are no instructions in the first-do-this, then-do-that sense), they serve different functions. CSS exists as a current recommendation from the W3C, usable with HTML or XML, is simpler to use and less powerful than XSL, and is supported by most current-generation browsers (to varying degrees). XSL is used exclusively to format XML or SGML and is more complex and powerful than CSS.

Great strides have been made with XSL in the past year. While XSL is still just a "working draft" (meaning its design isn't yet complete), you can experiment today with working implementations of the draft. Just this month (March 18, 1999), Microsoft released Internet Explorer 5.0, which includes support for part of the XSL specification. And Mozilla (the open source project based on the Netscape source code) can display XML using CSS. At the XTech '99 conference in San Jose, CA, in early March, Sun Microsystems "pre-announced" a request for proposals (for a grant) and a contest relating to the implementation of an XSL batch-processor and the addition of full XSL to Mozilla. (See Resources.)

Again, the purpose of creating these new standards is to make most things very simple for most people, just like HTML has made hypertext and structured documents attainable to your grandma (or your nine-year-old).

Cascading Style Sheets: not just for HTML anymore
You probably already know that HTML documents have a common tree-like structure wherein elements are nested inside other elements. Nonetheless, take a look at Listing 5 below.

<HTML><HEAD></HEAD>
<BODY>
<H1>A Theory About the Brontosaurus</H1>
My theory about the brontosaurus is...
</BODY>
</HTML>


Listing 5. <HTML> contains <BODY> contains <H1> contains text

As the caption says, the <H1> element is contained inside the <BODY> element, which itself is contained inside the <HTML> element. And, of course, the title itself is inside the <H1> element.

The whole idea of a style sheet is to use these structural relationships to indicate where changes in text style, spacing, and so on should occur. Then, a style sheet can be "applied" to a document, to change its overall look. For example, Listing 6 shows a tiny style sheet that sets the font size, color, and underlining for the <H1> heading in Listing 5.

<STYLE TYPE="text/css">
<!--
H1 { color: red; font-size: 16pt; text-decoration: underline }
-->
</STYLE>


Listing 6. A style sheet that sets the style for <H1> in Listing 5

If this style sheet were to appear at the top of the document, most HTML browsers these days would use the settings in the style sheet (or simply "style"), and change all <H1> headings to 16-point, red-underlined type. Styled with our style sheet, our little document would look something like this:

<SPAN STYLE="color: red; font-size: 16pt; text-decoration: underline"> A Theory About the Brontosaurus </SPAN>

My theory about the brontosaurus is...

(If this example doesn't show up properly, you either have styles turned off in your browser or you're using an old browser that doesn't support styles.) A document can reference its style sheet with a hyperlink, and some browsers allow you to switch style sheets for the document you're viewing, effectively changing how the document looks on the fly.

These style sheets are called cascading style sheets, because styles (like fonts, colors, and so on) for one markup element "cascade" down, and apply to all of the element's contents. For example, if a paragraph tag (<P>) is set to show its text in red, all text and any other elements inside that paragraph will be displayed in red, unless one of the paragraph's sub elements specifies a color for its contents.

The example we just looked at was for HTML, but what about XML? CSS can be used to style XML, too, and in precisely the same way. You simply specify the style for, say, an <Ingredient>, and all the ingredients look the same. And, interestingly enough, if you change the style sheet, the formatting of all ingredients changes. It's really quite powerful.

Most browsers these days (Netscape 4 and above, Internet Explorer 3 and above, Opera 3.5 and above) implement CSS pretty consistently for HTML. You'll be reading a lot in the next few months about CSS and XML availability in browsers. Also, keep in mind that CSS could be used to apply style to documents on the server and serve "straight HTML" without the CSS markup.

As powerful as CSS is, it has one major limitation: It can't "transform" the data it's styling. CSS can make an HTML or XML document look different, and even hide elements, but it can't reshuffle, cross-reference, or restructure them. For example, say you wanted to transform the XML recipe in Listing 3 to the HTML in Listing 1. Notice that you want the title to appear both in the browser's title bar (in an HTML <TITLE> element), and as a heading on the page (in a <H3> element), as is shown in Listing 1. CSS can't do that; all it can do is apply style to an existing structure.

To take an existing XML structure and produce a new structure of something else (in this case, HTML), you need XSL: the Extended Style Language.

XSL: I like your style
People who work in SGML and need to format it generally use DSSSL (Document Style Semantics and Specification Language) to do the job. DSSSL is a dialect of Scheme, itself a venerable and popular form of LISP (which stands either for "List Processing" or lots of irritating, superfluous parentheses," depending on who you ask). Of course, if you're using DSSSL, you're already an SGML god and veteran LISP hacker, and therefore should not be reading in this article.

Fortunately, the W3C committees discussing style, HTML, and XML have included in their design the Extensible Style Language, or XSL. XSL is based on DSSSL (and DSSSL-O, the online version of DSSSL), and also uses some of the style elements of CSS. It's simpler than DSSSL, while retaining much of its power (much like the relationship between XML and SGML). XSL's notation, however, may be surprising: it's XML. The simplest way to say it is: XSL is an XML document that specifies how to transform another XML document. Say, what?

Why XSL is so useful
XSL is immensely powerful. It can be used to add structure to a document (as in CSS), and it can also completely rearrange the input elements for a particular purpose. For example, XSL can transform XML of one structure into HTML of a different structure. (We'll see an example of this below.) XSL can also restructure XML into other document formats: TeX, RTF, and PostScript.

XSL can even transform XML into a different dialect of XML! This may sound crazy, but it's actually a pretty cool idea. For example, multiple presentations of the same information could be produced by several different XSL files applied to the same XML input. Or, let's say two systems speak different "dialects" of XML but have similar information requirements. XSL could be used to translate the output of the first system into something compatible with the input of the second system.

These last few reasons are of special interest to Java programmers, since XSL can be used to translate between different languages in a distributed network of subsystems, as well as to format documents. Understanding how to use XSL in simple applications, like transforming XML to HTML, will help a Java developer understand XSL in general. Let's look at an example of how to transform XML to HTML with an XSL style sheet.

Formatting XML as HTML: An example
An XSL file is a series of rules, called templates, that are applied to an input XML file. Each time a template matches something in the input, the template produces a new structure in the output (often HTML, as in the example we're about to see). The new structure is the XML's content, with the appropriate style applied and arranged as the XSL specifies. The templates in the XSL file are written in XML, using specific tags with defined meanings.

The example below refers again to the XML recipe example in Listing 3. We're going to look at an XSL file that transforms the XML in Listing 3 into the HTML in Listing 1.

<?xml version="1.0"?>
<xsl:stylesheet xmlns:xsl="http://www.w3.org/TR/WD-xsl">
<xsl:template match="/Recipe">
 <HTML>
 <HEAD>
 <TITLE>
 <xsl:value-of select="Name"/>
 </TITLE>
 </HEAD>
 <BODY>
 <H3>
 <xsl:value-of select="Name"/>
 </H3>
 <STRONG>
 <xsl:value-of select="Description"/>
 </STRONG>
 <xsl:apply-templates/>
 </BODY>
 </HTML>
</xsl:template>

<!-- Format ingredients -->
<xsl:template match="Ingredients">
 <H4>Ingredients</H4>
 <TABLE BORDER="1">
 <TR BGCOLOR="#308030"><TH>Qty</TH><TH>Units</TH><TH>Item</TH></TR>
 <xsl:for-each select="Ingredient">
 <TR>

 <!-- handle empty Qty elements separately -->
 <xsl:if test='Qty[not(.="")]' >
  <TD><xsl:value-of select="Qty"/></TD>
 </xsl:if>

 <xsl:if test='Qty[.=""]' >
  <TD BGCOLOR="#404040"> </TD>
 </xsl:if>

 <TD><xsl:value-of select="Qty/@unit"/></TD>
 <TD><xsl:value-of select="Item"/>
 <xsl:if test='Item/@optional="1"'>
    <SPAN> -- <em><STRONG>optional</STRONG></em></SPAN>
 </xsl:if>
 </TD>
 </TR>
 </xsl:for-each>

 </TABLE>
</xsl:template>

<!-- Format instructions -->
<xsl:template match="Instructions">
 <H4>Instructions</H4>
 <OL>
 <xsl:apply-templates select="Step"/>
 </OL>
</xsl:template>

<xsl:template match="Step">
<LI><xsl:value-of select="."/></LI>
</xsl:template>

<!-- ignore all not matched -->
<xsl:template match="*" priority="-1"/>

</xsl:stylesheet>


Listing 7. XSL used as an XML language that transforms XML into something else

(A printable version of this file is in example.xsl).

Looking at this code you'll notice, first of all, that the file starts with the <?xml...?> tag, indicating that this file is XML (even though it's also XSL). Each template is bounded by the tags <xsl:template ...> and </xsl:template ...>. Every tag that begins with <xsl: is an XSL command.

While we won't go over all the templates in the XSL file (since this isn't an XSL tutorial), Listing 8 provides a quick look at the first template in the file, just to get the general idea.

<xsl:template match="/Recipe">
 <HTML>
 <HEAD>
 <TITLE>
 <xsl:value-of select="Name"/>
 </TITLE>
 </HEAD>
 <BODY>
 <H3>
 <xsl:value-of select="Name"/>
 </H3>
 <U>
 <xsl:value-of select="Description"/>
 </U>
 <xsl:apply-templates/>
 </BODY>
 </HTML>
</xsl:template>


Listing 8. The first template from the XSL style sheet in Listing 7

Notice the <xsl:template> tag: It has an attribute match="/Recipe". This indicates that this template is to be applied when a <Recipe> element is encountered at the input. Everything enclosed within this <xsl:template> element will be placed in the output.

The XSL processor sees a <Recipe> element, so it begins building its output by using the contents of the <xsl:template> element in the XSL file. It adds an <HTML> element, then a <HEAD> element inside of that, and then a <TITLE> element. It's actually building a new HTML document by creating HTML from the template, based on what it sees. The <xsl:value-of> tag instructs the XSL processor to go get the text contained in some other element -- in this case, the sub element <Name>. Moving a few lines down, you can see the same thing happening, as the XSL processor again fetches and uses the same string within the <H3> tag, and the <Description> tag after it. (Note that we're using the same text in more than one place in a document, something CSS simply can't do.) Finally, we come to the <xsl:apply-templates> command, which tells the XSL processor to apply all the other templates in the file to the input.

The resulting HTML is very similar to the HTML we saw in Listing 1. If you want to study the XML, XSL, and resulting HTML, and want to learn how to use XSL to format XML yourself, see the links on XSL in the Resources section of this article.

Additional XSL capabilities
XSL isn't limited to just producing HTML. XSL also has complete support for "native" formatting, which doesn't rely on translation to some other format. Nobody has yet implemented this part of XSL, though, primarily because page formatting and layout is a very tough to wrangle. (There is, however, a contest to implement all of XSL. See Resources.)

XSL's design also includes embedded scripting. Currently, IBM's LotusXSL package (written in Java) provides the functionality of almost all of the current draft specification of XSL, including the ability to call embedded ECMAScript (the European standard JavaScript) from XSL templates.

Of course, as always, with power comes complexity. Learning to write XSL isn't a piece of cake. But the power's there if you want it.

XML is more than just content management
XSL, like CSS, can be used on either the client or the server in a client/server system. This fact provides immense flexibility and organization to Web site designers and managers. So much so, in fact, that many people think of XML, CSS, and XSL as another set of technologies for "content management" for their Web sites. It makes styling Web documents easier and more consistent, facilitates version control of the site, simplifies multibrowser management (think of using a style sheet to overcome the many differences between browsers), and so forth. CSS is also useful for Dynamic HTML (which we'll discuss a bit below), where much of the user interaction occurs on the client side, where it belongs. From the point of view of people managing Web sites, XML, CSS, and XSL are indeed big wins. And yet, there's a whole world of applications that have nothing to do with browsers and Web pages. The map of that world is called the Document Object Model.

Modeling information structure in XML
So far, we've looked at XML as a way of representing data as human-readable documents, and we've spent some time discussing formatting. But XML's real power is in its ability to represent information structure -- how various pieces of information relate to one another -- in much the same way a database might.

Structured documents of the type we've been looking at have the property that all of their elements nest inside one another, as in Listing 5 above. Instead of looking at a document as a file, though, consider what happens if we look at the structure of the tags as a tree:

The figure above shows the recipe as a tree of document tags. The child nodes of a document nest within the parent node. What if there were a way to automagically convert an XML document into a tree of objects in a programming language -- like, oh, say, Java maybe? And what if these objects all had properties that could be set and retrieved -- such as the list of each element's children, the text each object contained, and so on. Wouldn't that be interesting?

The Document Object Model (DOM) Level 1 Recommendation (see Resources), created by a W3C committee, describes a set of language-neutral interfaces capable of representing any well-formed XML or HTML document.

With the DOM, HTML and XML documents can be manipulated as objects, instead of just as streams of text. In fact, from the DOM point of view, the document is the object tree, and the XML, HTML, or what have you is simply a persistent representation of that tree.

The availability of the DOM makes it much simpler to read and write structured document files, since standard HTML and XML parsers are written to produce DOM trees. If these objects have GUI representations, it's easy to see how to create an application that reads structured document files (XML or HTML), lets the user edit the structure visually, and then save it in its original format. Programs that interface with existing Web sites become much easier to write, because once the document is parsed, you're working with objects native to your programming language.

One of the earliest popular uses for the Document Object Model is Dynamic HTML, where client-side scripts manipulate and display (and redisplay) an HTML document in response to user actions. Dynamic HTML manipulates the client-side document in terms of the scripting language's binding to the DOM structure of the document being displayed. For instance, a <BUTTON> object might, when clicked, reorder a table on the same page by sorting the <TR> (table row) nodes on a particular column.

But aside from all this browers-document-Web technology, the DOM provides a common way of accessing general data structures from structured documents. Any language that has a binding (that is, a specific set of interfaces that implement the DOM in that language) can use XML as an interface for storing, retrieving, and processing generic hierarchical (and even nonhierarchical) object structures.

How DOM and XML work together
The DOM opens the door to using XML as the lingua franca of data interchange on the Internet, and even within applications. Tim Berners-Lee, discussed earlier and commonly known as the "inventor of the World Wide Web," says that, these days, it's important to understand that if a system you're designing survives, it will someday be used as a module in another system. So it's best to design it that way from the start. The DOM is completely described in IDL, the Interface Definition Language used in CORBA, so it's connected to existing software interoperation standards.

Let's think a moment about how DOM with XML would be useful in programming a database system. First, represent your database schema as a set of DOM objects. Want a document that describes that schema? No problem: write it out as XML. Use XSL to format the XML as HTML and you've got a complete, browseable schema reference that's always up to date. Want to automatically construct SQL for updating your relational database from a record set coming into your system? Just traverse your database's (DOM) schema tree, matching up the names of the columns from the record set with those of the schema, and build an SQL UPDATE statement as you go. What's that you say? The schema has changed, and the record set you've received doesn't match up with the new schema? You can write code to handle that, or present the user with error messages that state exactly what's wrong. You even might be able to use XSL to refactor the DOM tree of your record set into something matching the new schema.

Finally, it's time to start programming in Java! In the next section, we're going to examine the Java bindings of the DOM and see how to use the DOM in a Java program.

XML and Java
Up to this point I've been laying out general information about XML, without a lot of reference to Java. Now that you understand XML, it's time to look at how to process XML in Java. Java's a great language for XML, as you'll see. It provides a portable data format that nicely complements Java's portable code.

SAX appeal
The easiest way to process an XML file in Java is by using the Simple API for XML, or SAX. SAX is a simple Java interface that many Java parsers can use. A SAX parser is a class that implements the interface org.xml.sax.Parser. This parser "walks" the tree of document nodes in an XML file, calling the methods of user-defined handler classes.

To process an XML document, the programmer creates a class that implements interface org.xml.sax.DocumentHandler. The Parser object (that is, the object that implements org.xml.sax.Parser) reads the XML from its input source, calling the methods of the DocumentHandler when tags, input strings, and so on are recognized at the input.

The methods of the DocumentHandler interface are as shown in Listing 9.

public interface DocumentHandler {

  public abstract void setDocumentLocator (Locator locator);

  public abstract void startDocument () throws SAXException;

  public abstract void endDocument () throws SAXException;

  public abstract void startElement (String name, AttributeList atts)
    throws SAXException;

  public abstract void endElement (String name) throws SAXException;

  public abstract void characters (char ch[], int start, int length)
    throws SAXException;

  public abstract void ignorableWhitespace (char ch[], int start, int length)
    throws SAXException;

  public abstract void processingInstruction (String target, String data)
    throws SAXException;
}


Listing 9. interface org.xml.sax.DocumentHandler

Package org.xml.sax includes a utility class called HandlerBase, which implements the interface in Listing 9 (as well as some other interfaces in the SAX package) with methods that do nothing. Programmers can create a subclass of HandlerBase that overrides only the methods they want to use.

For example, say we want a class that counts the elements in an XML document. We could write a class as follows:

import org.xml.sax.*;
public class ElementCounter extends HandlerBase {
    protected int _iElements = 0;

    public ElementCounter() { }

    // Each time the SAX parser encounters an element, it
    // will call this method
    public void startElement (String name, AttributeList atts)
        throws SAXException {
 _iElements++;
    }

    public void endDocument() {
        System.out.println("Document contains " + _iElements +
     " elements.");
    }
};


Listing 10. A class that counts the elements in an XML document

To create a Java program that counts elements in an XML file, you'd simply create a SAX parser (how you do that depends on your particular parser package), then create an instance of your ElementCounter class. You then call the parser's setDocumentHandler method with the new ElementCounter as an argument. The parser keeps a reference to the DocumentHandler you passed to it. When you call the parser's parse() method, the parser reads its input source. Each time it encounters an element (that is, a tag) in the XML file, it calls the startElement() method of your ElementCounter object, passing the name of the tag and a list of attributes the tag may have had.

Experimenting with SAX
An example package, com.javaworld.JavaBeans.XMLApr99, can be downloaded for free (see Resources). The sample main() program lets you specify (in this order):

1. An XML file to parse
2. The fully specified class name of the parser (optional)
3. The fully specified class name of a document handler

The package includes two document handlers: the ElementCounter from Listing 10, and a handler called SimplePrinter, which (naturally) simply prints the XML with an easy-to-read indentation. You can try writing your own document handler and passing it to the main method (called com.javaworld.JavaBeans.XMLApr99.ParseDemo.main()).

You'll need the JAR file called "XMLApr99.jar," and you'll need to download the JAR file for IBM's excellent "XML for Java" package (version 2). Place both JAR files in your CLASSPATH, and type

java com.javaworld.JavaBeans.XMLApr99.ParseDemo


for instructions. The XML for Java package includes excellent documentation, a programmer's guide, and several example programs to get you started.

The source code is also available in zip and tar.gz formats. As an exercise, try downloading one of the other vendors' XML parsers from the Resources section, and then overriding the method ParseDemo.createParser() in the sample code to create a parser from the new package.

Become a tree surgeon!
One final, somewhat more advanced topic, before we close. The SAX interface allows you to parse an XML file and execute particular actions whenever certain structures (like tags) appear in the input. That's great for a lot of applications. There are times, though, when you want to be able to cut and paste whole sections of XML documents, restructure them, or maybe even build from scratch an object structure like the one in Figure 3, and then save the whole structure as an XML file. For that, you need access to the DOM API.

The DOM API allows you to represent your XML document as a tree of nodes in your Java (or other language) program. While a SAX parser reads an XML file, doing callbacks to a user-defined class, a DOM parser reads an XML file and returns a representation of the file as a tree of objects, most of which are of type org.w3c.dom.Node This gives you immense power in manipulating structured documents. Figure 4 is an example of what I'm talking about.

The Document Object Model, in the package org.w3c.dom, defines interfaces for document elements (that is, tags), DTD elements, text nodes (where the actual text inside the tags is kept), and quite a few other things we haven't even discussed. Figure 4 is a schematic of a general system that can transform one XML document to some other form programmatically. Your program uses a DOM parser to parse an XML file, and the parser returns a tree that is an exact representation of the XML in the file. Note that, at this point, you've read an input file, checked it for formatting and semantic validity, and built a complex hierarchical object structure, all in just a few lines of code. You can then traverse the document tree in software, doing whatever you like to the tree structure. Add nodes, delete them, update their values, read or set their attributes -- basically anything you like. When your tree has the new structure you desire, tell the top node to print itself to another XML file, and the new document is created.

XML-Java synergy
One of the reasons Java and XML are so well-suited for one another is that Java and XML are both extensible: Java through its class loaders, XML through its DTD. Imagine a server, reading and writing XML, where the DTD for the system input can change. When a new element is added to the input language, a running server (written in Java) could automatically load new Java classes to handle the new tags. You would not only have an extensible application server -- you wouldn't even have to take the server down to add the extensions!

One small idea points to the possible implementations of XML and Java together. The next section is about a company whose combination of XML and Java is its core technology.

XML with Java in the real world
You now have a handle on XML technology, including how it's implemented in Java. You understand that a document can be viewed as a tree of objects and manipulated using SAX or DOM. Let's have a look at a real company that is using all of these technologies to provide solutions for its clients.

DOM interfaces exist not only for XML, but for HTML, as well. This means that the leftmost document in Figure 4 could be a Web page from which you wish to extract information for manipulation in Java.

In fact, Epicentric, an Internet startup in San Francisco, does just that. Epicentric uses Java and XML in its turnkey systems to allow creation of custom portal sites. Portal sites, like the front pages of Netscape Netcenter and Excite!, are integrated aggregations of information from various Internet sources. In a corporate Internet environment, a portal may contain information gleaned from external Web pages (for example, weather reports), alongside internal enterprise data. Portals are also often customizable by each user.

Epicentric's systems read HTML from the Internet as DOM documents, extract information from those documents, and store that information in a standard XML format. Other information sources are also converted into this same XML format and stored on Epicentric's server. The company then uses the XML with XSL and Java Server Pages to create custom portals for its clients.

"A lot of good work has been done on the basics ... like parsers and XSL processors," says Ed Anuff, CEO of Epicentric. One benefit of using XML is that it makes designers think through the system structure in a very structured way, Anuff says.

When asked about concerns with XML, Anuff states that many of the problems he runs into are architectural, such as which DTD to use, and designating the appropriate places in the system to use XML. Systems designers are still working out how to use this new technology most effectively in an enterprise environment.

Also, since the technology is so new, it's often hard to know what pieces of the system to build in-house. For example, quite a few companies built their own XML parsers but now have little return on investment because larger companies are developing superior XML technology and giving it away for free. "The biggest challenge today is figuring out when you're reinventing the wheel, and when you're adding value," says Anuff.

Despite these challenges, the future looks bright for Epicentric, which has several "pretty decent-sized customers" using the company's software in beta. With clients and advertisers that include the likes of Eastman Kodak Company, Sun Microsystems, Chase Bank, and LIFE Magazine, Epicentric is using XML to aggregate and redistribute information in novel ways.

Conclusion
XML is a powerful data representation technology for which Java is uniquely well-suited. You're going to be hearing a lot about XML in the coming months and years. Anyone working with information systems that communicate with other systems (and what systems don't, these days?) has a lot to gain by understanding XML technology and using it to its full advantage.

Using XML with XSL or CSS, you can manage your Web site's content and style, and change style in one place (the style sheet) instead of editing piles of HTML files or, worse, editing the scripts that produce HTML dynamically. Using SAX or DOM, you can treat Web documents as object structures and process them in a general and clean way. Or, you can leave browsers behind entirely and write pure-Java clients and servers that talk to each other -- and other systems -- in XML, the new lingua franca of the Internet. Sun Microsystems, the creator of Java, has perhaps best described the power of XML and Java together in its slogan: Portable Code -- Portable Data. Start experimenting with XML in Java, and you'll soon wonder how you ever lived without it.

Thanks to Dave Orchard for his comments on drafts of this article, and to the many helpful people I met in San Jose, CA.

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(c) Copyright 1999 ITworld.com, Inc., an IDG Communications company

Resources

There are so many XML resources on the Web, I've had to categorize. The first section here is the most useful, since the documents are either high-level summaries or excellent link sites. Apologies to anyone who was omitted.

XML and Java: General XML resources

XML and Java

Tutorials and training

Cascading Style Sheets

Extensible Style Language (XSL)

Upcoming XSL contest

Though the details aren't yet worked out, Sun Microsystems will soon announce a call for proposals for a $30,000 grant to develop a client-side processor for full XSL implementation in Mozilla. It will also announce, in conjunction with Adobe, a contest (first prize $40,000, second prize $20,000) to develop a pure-Java, server-side processor of the entire XSL language, to format XML to PDF (Adobe's document format). Keep watching the Java Developer Connection (requires free registration), and Mozilla sites for the eventual announcements.

Simple API for XML (SAX)

Document Object Model (DOM)

Dynamic HTML

Software

History

Miscellaneous links

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Last modified: Tuesday, April 18, 2000