This page contains information and links on the basics of creating and embedding schematron rules into an ODD customization of the TEI. See my ODD Customization page for an introductory tutorial on writing ODD.

Table of Contents:

Introduction

Grammar and Rules

A TEI ODD generates a RelaxNG file that articulates a customized grammar for the TEI document it is used to constrain. This ‘grammar-based’ approach produces a generalized set of constraints that govern how elements and the attributes they take function at the level of the document. Beyond such general constraints, most projects need a more ‘rule-based’ approach that can accommodate constraints that only apply in specific contexts. Schematron allows us to write rules that function only in specific contexts. You can associate your TEI file(s) with both a RelaxNG file and with a separate Schematron file. Here we will write and test our Schematron rules in a Schematron file but then embed them in our ODD before generating our RelaxNG.

Getting Started

It is easy to make mistakes writing Schematron rules directly in an ODD file. It is best to write and test your rules in a Schematron file and then cut-and-paste the rule into your ODD. You want to start by simply opening a new file in oXygen and selecting a Schematron file. When you do, you should see the following (with some additional material inside the root element):

<?xml version="1.0" encoding="UTF-8"?>
<sch:schema xmlns:sch="http://purl.oclc.org/dsdl/schematron" queryBinding="xslt2"
    xmlns:sqf="http://www.schematron-quickfix.com/validator/process">
        
        ...
        
</sch:schema>

Namespaces

Schematron rules can be embedded in a TEI ODD file but we have to be careful about namespaces. The first thing we want to do is modify the default namespace declarations in our Schematron file. Adding <sch:ns uri="http://www.tei-c.org/ns/1.0" prefix="tei"/> as the first child element of the root will help us avoid namespace errors. It will require that the rules we write have the “sch:” namespace before Schematron elements and the “tei:” namespace before the TEI elements we use is writing our rules. See the discussions below for examples of namespaces in practice.

<?xml version="1.0" encoding="UTF-8"?>
<sch:schema xmlns:sch="http://purl.oclc.org/dsdl/schematron" queryBinding="xslt2"
    xmlns:sqf="http://www.schematron-quickfix.com/validator/process">
    <sch:ns uri="http://www.tei-c.org/ns/1.0" prefix="tei"/>
        ...
        
</sch:schema>

Writing Schematron Rules

<pattern> and <rule> Elements

Rules appear in a <rule> element that appear in a <pattern> element.

<sch:pattern>
    <sch:rule context="">
    
    </sch:rule>
</sch:pattern>

Setting the Context

The value that Schematron brings to our ODD is the ability to write context-specific rules. We can write general customizations for how a <p> element can function in the whole TEI document using pure ODD. However, if some of the behaviors of the <p> element need to differ based on whether, for example, it appears in the header or the body of the document then we use Schematron.

<sch:pattern>
    <sch:rule context="tei:teiHeader//tei:p">
        
    </sch:rule>
</sch:pattern>

Any rule that we write inside of this <sch:rule> element will apply only when the <p> element appears inside <teiHeader>.

Note as well the use of namespaces on all elements, both Schematron and TEI!

<report> and <assert> Elements

The two main child elements of <rule> are <report> and <assert>. It can be a bit tricky to keep these ideas separate in your mind. The following should help:

  • <report> = “send a message if the following is true”
    • The rule you write will be for something that should be excluded from your data.
  • <assert> = “send a message if the following is not true”
    • The rule you write should be for something that has to be true in your data.

The following rule sends up an error message if a <p> element inside <teiHeader> contains a <note> element. A <note> element inside a <p> element would still be allowed in the <body> but it cannot appear in the header.

<sch:rule context="tei:teiHeader//tei:p">
    <sch:report test="tei:note">
        ...
    </sch:report>
</sch:rule>

In this example, the rule indicates that the only acceptable values for the @resp attribute on a <note> element inside the <body> are “#dls”, “#ewb”, and “#medComp”. Note that the “.” in the @test attribute indicates the current context, in this case the @resp attribute designated above.

<sch:rule context="tei:body/tei:note/@resp">
    <sch:assert test=". = '#dls' or . = '#ewb' or . = '#medComp'">
        ...
    </sch:assert>
</sch:rule>

The Difference between ODD and Schematron

The following example helps make the difference between ODD and Schematron more clear. Here we see the pure ODD customization indicating that in the TEI document associated with this schema only the four listed elements may appear as children of <p>. This means that in the TEI for this project, these four elements may in one place or another appear as children of <p>. In some contexts, however, all four are not allowed so Schematron can be used to set that context-specific rule.

<elementSpec ident="p" module="core" mode="change">
    <content>
        <sequence preserveOrder="false">
            <elementRef key="note"/>
            <elementRef key="pb"/>
            <elementRef key="persName"/>
            <elementRef key="placeName"/>
        </sequence>
    </content>
</elementSpec>

<sch:rule context="tei:teiHeader//tei:p">
    <sch:report test="tei:note">
        ...
    </sch:report>
</sch:rule>

Messages and Documentation

The writer of the Schematron rule must write the message that encoders get when they violate the rule. They can violate a rule by encoding something forbidden by a <report> rule or by encoding something that fails to meet the requirements of an <assert> rule. The message is the text node of the <report> or <assert> element. It should make clear to the encoder what the error is. These messages also serve to document your project as they state what cannot be encoded in particular contexts and what must be encoded in particular contexts.

<sch:rule context="tei:teiHeader//tei:p">
    <sch:report test="tei:note">
        A &lt;p&gt; element in the &lt;teiHeader&gt; may not 
        contain a &lt;note&gt; element.
    </sch:report>
</sch:rule>

Note that &lt; and &gt; are required instead of “<” and “>” because these symbols would be understood as code not allowed in this text node. When the encoder sees an error message in oXygen these will be rendered as the expected bracket symbols.

Errors and Warnings

Not every violation of a rule has to result in an error. For example, if your project prefers certain values for an attribute but does not require only those values you can indicate this with a @role attribute.

<sch:rule context="tei:body//tei:note/@resp" role="warning">
    <sch:assert test=". = '#dls' or . = '#ewb' or . = '#medComp'">
        Preferred values: #dls, #ewb, #medComp
    </sch:assert>
</sch:rule>

If encoders use a value other than one of these three, they would see a yellow warning message appear in oXygen rather than a red error message. This can help encoders use the preferred options and if they persist in their decision to deviate from the preference, the yellow warning message assists with the editing process.

XPath

The XPath examples in the code snippets above are all pretty straightforward. As you use Schematron you should remember that all of the XPath axes and functions can be used to set the context of your rules. As your customization develops you will want to think about how you can use these features of XPath to set contexts that will strengthen the ability of your rules to constrain the encoding where you need to do so.

Embedding Rules in Your ODD

Configuring your ODD

We have written our Schematron rules so that they are ready to be embedded into our TEI ODD customization. Before we can do this, however, we must add the Schematron namespace to our TEI ODD file. The namespace attributes required on the <TEI> root element for this purpose are as follows (n.b. your customization may require additional namespaces).

<TEI xmlns:sch="http://purl.oclc.org/dsdl/schematron" xmlns="http://www.tei-c.org/ns/1.0">

Inserting Rules

Schematron rules go inside a <constraint> element inside a <constraintSpec> element. The @ident attribute provides a name for the rule in the resulting RelaxNG. The @scheme attribute requires the value “schematron” since we are writing Schematron rules.

<elementSpec ident="p" module="core" mode="change">
    <content>
        <sequence preserveOrder="false">
            <elementRef key="note"/>
            <elementRef key="pb"/>
            <elementRef key="persName"/>
            <elementRef key="placeName"/>
        </sequence>
    </content>
    <constraintSpec ident="pInHeader" scheme="schematron">
        <constraint>
            <sch:rule context="tei:teiHeader//p">
                <sch:report test="tei:note">
                    A &lt;p&gt; element in the &lt;teiHeader&gt; may not contain a &lt;note&gt; element.
                </sch:report>
            </sch:rule>
        </constraint>
    </constraintSpec>
</elementSpec>

Recall that in this example the <content> element articulates all the possible elements that <p> can contain in the whole document and our Schematron rule addresses only the use of <p> in the header in order to constrain that element differently in that context.

More Advanced Uses of Schematron

There is a great deal more you can do with Schematron than what we will discuss here. However, the following uses go a bit beyond the very basics and show some powerful ways to validate your TEI using Schematron.

The <let> Element

The <let> element allows you to declare a variable. It takes a @name attribute which you will use when you want to call the variable later. It also takes a @value attribute with the path that points to the variable you want to declare.

<sch:rule context="tei:body//tei:note/@resp">
    <sch:let name="editorIDs" value="//tei:teiHeader//tei:editor/@xml:id"/>
    
</sch:rule>

The <let> element goes inside the <rule> element. As we have come to expect the path in the @context attribute sets the context in which the rule will fire. The path in the @value attribute points to one or more values on the @xml:id attribute on any <editor> element in the header.

Creating a List of Values

A path often leads to multiple values. If you want to use those values to validate something else in your document, you will need to know several functions. In the example below, the result of the first <let> is a list of @xml:id attribute values. An @xml:id has a datatype of “ID”. The value of the @resp attribute in our TEI that we are trying to constrain with this rule requires a datatype of “teidata.pointer” and needs a “#” before the value. Variables and XPath functions come together to allow us to constrain our TEI.

<sch:rule context="tei:body//tei:note/@resp">
    <sch:let name="editorIDs" value="//tei:teiHeader//tei:editor/@xml:id"/>
    <sch:let name="IDValues" value="for $i in $editorIDs return concat('#', $i)"/>
    ...
</sch:rule>

A $ calls a variable. So $editorsIDs in the second <let> element calls the variable extablished in the first <let> element. The second <let> element builds pointer values for the @resp attribute out of @xml:id values on the <editor> element. Accomplishing this requires several steps in the @value attribute. This @value attribute says, ‘for each instance [$i] of a variable in the list $editorIDs, return for this variable a concatenation of the string “#” and each instance [$i] of the variable.’ Note that this will work whether there is one value returned by $editorIDs or many.

<sch:rule context="tei:body//tei:note/@resp">
    <sch:let name="editorIDs" value="//tei:teiHeader//tei:editor/@xml:id"/>
    <sch:let name="IDValues" value="for $i in $editorIDs return concat('#', $i)"/>
    <sch:assert test=". = $IDValues">
        ...
    </sch:assert>
</sch:rule>

Calling the variable $IDValues in the @test of the <assert> will require the @resp attribute on <note> in the <body> to contain a properly-formatted pointer to one of the editors in the header.

Compare this code snippet to the example we used above for <assert>:

<sch:rule context="tei:body//tei:note/@resp">
    <sch:assert test=". = '#dls' or . = '#ewb' or . = '#medComp'">
        Preferred values: #dls, #ewb, #medComp
    </sch:assert>
</sch:rule>

Writing this Schematron rule required looking at the header and finding all of the values of @xml:id on <editor> elements. This works, but using variables means that if an editor is added to the header, the Schematron rule has to be manually changed. Using variables means that Schematron does that work for us. On a large project this can save time and prevent errors.

Using Variables in Messages

Not only do variables help to keep validation up to date as a project evolves, they can also help communicate with encoders as they work. Using a <value-of> element with a @select attribute that calls a variable displays the acceptable values in an error message.

<sch:rule context="tei:body//tei:note/@resp">
    <sch:let name="editorIDs" value="//tei:teiHeader//tei:editor/@xml:id"/>
    <sch:let name="IDValues" value="for $i in $editorIDs return concat('#', $i)"/>
    <sch:assert test=". = $IDValues">
        Acceptable values: <sch:value-of select="string-join($IDValues, ', ')"/>.
    </sch:assert>
</sch:rule>

“String-join” is another XPath function that is used in this example to create a comma-separated list out of the list of variables called as the first argument of the function.

Linking to Your Standoff

Standoff TEI markup is used to organize information about things appearing in your encoding. Lists of persons and places with name(s), dates, etc. relevant to those entities can be collected there. Each entity is identified with an @xml:id. In the example above, we saw how a variable can be used to create pointers to a list of identifiers within a TEI document. Variables can also be used in the same way when the identifiers appear in a differnt document.

<sch:rule context="tei:body//tei:persName/@ref">
    <sch:let name="indexDoc" value="doc('https://raw.githubusercontent.com/dlschwartz/sandbox/master/SeverusAntiochLettersIndex.xml')"/>
    <sch:let name="personIDs" value="$indexDoc//tei:listPerson/tei:person/@xml:id"/>
    <sch:let name="personRefValues" value="for $i in $personIDs return concat('#', $i)"/>
    <sch:assert test=". = $personRefValues">
        Acceptable values: <sch:value-of select="string-join($personRefValues, ', ')"/>
    </sch:assert>
</sch:rule>

In this example, the first <let> points to a file on GitHub (note that you have to point to the “raw” file). The second <let> builds a list of @xml:id values and the third <let> builds a list of values that point to the entities identified with those @xml:id attributes.

Acknowledgements

This page draws upon the following sources: