RFC2803 - Digest Values for DOM (DOMHASH)

Network Working Group H. Maruyama

Request for Comments: 2803 K. Tamura

Category: Informational N. Uramoto

IBM

April 2000

Digest Values for DOM (DOMHASH)

Status of this Memo

This memo provides information for the Internet community. It does

not specify an Internet standard of any kind. Distribution of this

memo is unlimited.

Abstract

This memo defines a clear and unambiguous definition of digest (hash)

values of the XML objects regardless of the surface string variation

of XML. This definition can be used for XML digital signature as well

efficient replication of XML objects.

Table of Contents

1. IntrodUCtion............................................2

2. Digest Calculation......................................3

2.1. Overview..............................................3

2.2. Namespace Considerations..............................4

2.3. Definition with Code Fragments........................5

2.3.1. Text Nodes..........................................5

2.3.2. Processing Instruction Nodes........................6

2.3.3. Attr Nodes..........................................6

2.3.4. Element Nodes.......................................7

2.3.5. Document Nodes......................................9

3. Discussion..............................................9

4. Security Considerations.................................9

References................................................10

Authors' Addresses........................................10

Full Copyright Statement..................................11

1. Introduction

The purpose of this document is to give a clear and unambiguous

definition of digest (hash) values of the XML objects [XML]. Two

suBTrees are considered identical if their hash values are the same,

and different if their hash values are different.

There are at least two usage scenarios of DOMHASH. One is as a basis

for digital signatures for XML. Digital signature algorithms normally

require hashing a signed content before signing. DOMHASH provides a

concrete definition of the hash value calculation.

The other is to use DOMHASH when synchronizing two DOM structures

[DOM]. Suppose that a server program generates a DOM structure which

is to be rendered by clients. If the server makes frequent small

changes on a large DOM tree, it is desirable that only the modified

parts are sent over to the client. A client can initiate a request by

sending the root hash value of the structure in the cache memory. If

it matches with the root hash value of the current server structure,

nothing needs be sent. If not, then the server compares the client

hash with the older versions in the server's cache. If it finds one

that matches the client's version of the structure, then it locates

differences with the current version by recursively comparing the

hash values of each node. This way, the client can receive only an

updated portion of a large structure without requesting the whole

thing.

One way of defining digest values is to take a surface string as the

input for a digest algorithm. However, this approach has several

drawbacks. The same internal DOM structure may be represented in may

different ways as surface strings even if they strictly conform to

the XML specification. Treatment of white spaces, selection of

character encodings, entity references (i.e., use of ampersands), and

so on have impact on the generation of a surface string. If the

implementations of surface string generation are different, the hash

values would be different, resulting in unvalidatable digital

signatures and unsuccessful detection of identical DOM structures.

Therefore, it is desirable that digest of DOM is defined in the DOM

terms -- that is, as an unambiguous algorithm operating on a DOM

tree. This is the approach we take in this specification.

Introduction of namespace is another source of variation of surface

string because different namespace prefixes can be used for

representing the same namespace URI [URI]. In the following example,

the namespace prefix "edi" is bound to the URI

"http://ecommerce.org/schema" but this prefix can be arbitrary chosen

without changing the logical contents as shown in the second example.

<?xml version="1.0"?>

<edi:order>

</edi:order>

</root>

<?xml version="1.0"?>

<ec:order>

</ec:order>

</root>

The DOMHASH defined in this document is designed so that the choice

of the namespace prefix does not affect the digest value. In the

above example, both the "root" elements will get the same digest

value.

2. Digest Calculation

2.1. Overview

Hash values are defined on the DOM type Node. We consider the

following five node types that are used for representing a DOM

document structure:

- Text

- ProcessingInstruction

- Attr

- Element

- Document

Comment nodes and Document Type Definitions (DTDs) do not participate

in the digest value calculation. This is because DOM does not

require a conformant processor to create data structures for these.

DOMHASH is designed so that it can be computed with any XML processor

conformant to the DOM or SAX [SAX] specification.

Nodes with the node type EntityReference must be eXPanded prior to

digest calculation.

The digest values are defined recursively on each level of the DOM

tree so that only a relevant part needs to be recalculated when a

small portion of the tree is changed.

Below, we give the precise definitions of digest for these types. We

describe the format of the data to be supplied to a hash algorithm

using a figure and a simple description, followed by a Java code

fragment using the DOM API and the JDK 1.1 Platform Core API only.

Therefore, the semantics should be unambiguous.

As the rule of thumb, all strings are to be in UTF-16BE [UTF16]. If

there is a sequence of text nodes without any element nodes in

between, these text nodes are merged into one by concatenating them.

A zero-length text node is always ignored.

Note that validating and non-validating XML processors may generate

different DOM trees from the same XML document, due to attribute

normalization and default attributes. If DOMHASH is to be used for

testing logical equivalence between two XML documents (as opposed to

DOM trees), it may be necessary to normalize attributes and supply

default attributes prior to DOMHASH calculation.

Some legacy character encodings (such as ISO-2022-JP) have certain

ambiguity in translating into Unicode. This is again dependent on

XML processors. Treatment of such processor dependencies is out of

scope of this document.

2.2. Namespace Considerations

To avoid the dependence on the namespace prefix, we use "expanded

names" to do digest calculation. If an element name or an attribute

name is qualified either by a explicit namespace prefix or by a

default namespace, the name's LocalPart is prepended by the URI of

the namespace (the namespace name as defined in the Namespace

specification [NAM]) and a colon before digest calculation. In the

following example, the default qualified name "order" is expanded

into "http://ecommerce.org/schema:order" while the explicit qualified

name "book:title" is expanded into "urn:loc.gov:books:title" before

digest calculation.

<?xml version="1.0"?>

<root xmlns='http://ecommerce.org/schema'

xmlns:book='urn:loc.gov:books'>

<order>

<book:title> ... </book:title>

</order>

</root>

We define an expanded name (either for element or attribute) as

follows:

If a name is not qualified, the expanded name is the name itself.

If a name is qualified with the prefix "xmlns", the expanded name

is undefined.

If a name is qualified either by default or by an explicit

namespace prefix, the expanded name is URI bound to the namespace

+ ":" + LocalPart

In the following example code, we assume that the getExpandedName()

method (which returns the expanded name as defined above) is defined

in both Element and Attr interfaces of DOM.

Note that the digest values are not defined on namespace

declarations. In other Words, the digest value is not defined for an

attribute when

- the attribute name is "xmlns", or

- the namespace prefix is "xmlns".

In the above example, the two attributes which are namespace

declarations do not have digest values and therefore will not

participate in the calculation of the digest value of the "root"

element.

2.3. Definition with Code Fragments

The code fragments in the definitions below assume that they are in

implementation classes of Node. Therefore, a methods call without an

explicit object reference is for the Node itself. For example,

getData() returns the text data of the current node if it is a Text

node. The parameter digestAlgorithm is to be replaced by an

identifier of the digest algorithm, such as "MD5" [MD5] and "SHA-1"

[SHA].

The computation should begin with a four byte integer that represents

the type of the node, such as TEXT_NODE or ELEMENT_NODE.

2.3.1. Text Nodes

The hash value of a Text node is computed on the four byte header

followed by the UTF-16BE encoded text string.

- TEXT_NODE (3) in 32 bit network-byte-ordered integer

- Text data in UTF-16BE stream (variable length)

public byte[] getDigest(String digestAlgorithm) {

MessageDigest md = MessageDigest.getInstance(digestAlgorithm);

md.update((byte)0);

md.update((byte)3);

md.update(getData().getBytes("UnicodeBigUnmarked"));

return md.digest();

}

Here, MessageDigest is in the package java.security.*, one of the

built-in packages of JDK 1.1.

2.3.2. ProcessingInstruction Nodes

A ProcessingInstruction (PI) node has two components: the target and

the data. Accordingly, the hash is computed on the concatenation of

both, separated by 'x0000'. PI data is from the first non white

space character after the target to the character immediately

preceding the "?>".

- PROCESSING_INSTRUCTION_NODE (7) in 32 bit network-byte-ordered

integer

- PI target in UTF-16BE stream (variable length)

- 0x00 0x00

- PI data in UTF-16BE stream (variable length)

public byte[] getDigest(String digestAlgorithm) {

MessageDigest md = MessageDigest.getInstance(digestAlgorithm);

md.update((byte)0);

md.update((byte)7);

md.update(getName().getBytes("UnicodeBigUnmarked"));

md.update((byte)0);

md.update(getData().getBytes("UnicodeBigUnmarked"));

return md.digest();

}

2.3.3. Attr Nodes

The digest value of Attr nodes are defined similarly to PI nodes,

except that we need a separator between the expanded attribute name

and the attribute value. The '0x0000' value in UTF-16BE is allowed

nowhere in an XML document, so it can serve as an unambiguous

separator. The expanded name must be used as the attribute name

because it may be qualified. Note that if the attribute is a

namespace declaration (either the attribute name is "xmlns" or its

prefix is "xmlns"), the digest value is undefined and the getDigest()

method should return null.

- ATTRIBUTE_NODE (2) in 32 bit network-byte-ordered integer

- Expanded attribute name in UTF-16BE stream (variable length)

- 0x00 0x00

- Attribute value in UTF-16BE stream (variable length)

public byte[] getDigest(String digestAlgorithm) {

if (getNodeName().equals("xmlns")

getNodeName().startsWith("xmlns:"))

return null;

MessageDigest md = MessageDigest.getInstance(digestAlgorithm);

md.update((byte)0);

md.update((byte)2);

md.update(getExpandedName().getBytes("UnicodeBigUnmarked"));

md.update((byte)0);

md.update(getValue().getBytes("UnicodeBigUnmarked"));

return md.digest();

}

2.3.4. Element Nodes

Element nodes are the most complex because they consist of other

nodes recursively. Hash values of these component nodes are used to

calculate the node's digest so that we can save computation when the

structure is partially changed.

First, all the attributes except for namespace declarations must be

collected. This list is sorted lexicographically by the expanded

attribute names (based on Unicode character code points). When no

surrogate characters are involved, this is the same as sorting in

ascending order in terms of the UTF-16BE encoded expanded attribute

names, using the string comparison operator String.compareTo() in

Java.

- ELEMENT_NODE (1) in 32 bit network-byte-ordered integer

- Expanded element name in UTF-16BE stream (variable length)

- 0x00 0x00

- A number of non-namespace-declaration attributes in 32 bit

network-byte-ordered unsigned integer

- Sequence of digest values of non-namespace-declaration attributes,

sorted lexicographically by expanded attribute names

- A number of child nodes (except for Comment nodes) in 32bit

network-byte-ordered unsigned integer

- Sequence of digest values of each child node except for Comment

nodes (variable length) (A sequence of child texts is merged to one

text. A zero-length text and Comment nodes are not counted as

child)

public byte[] getDigest(String digestAlgorithm) {

MessageDigest md = MessageDigest.getInstance(digestAlgorithm);

ByteArrayOutputStream baos = new ByteArrayOutputStream();

DataOutputStream dos = new DataOutputStream(baos);

dos.writeInt(ELEMENT_NODE);//This is stored in network byte order

dos.write(getExpandedName().getBytes("UnicodeBigUnmarked"));

dos.write((byte)0);

// Collect all attributes except for namespace declarations

NamedNodeMap nnm = this.getAttributes();

int len = nnm.getLength()

// Find "xmlns" or "xmlns:foo" in nnm and omit it.

...

dos.writeInt(len); // This is sorted in the network byte order

// Sort attributes lexicographically by expanded attribute

// names.

...

// Assume that `Attr[] aattr' has sorted Attribute instances.

for (int i = 0; i < len; i ++)

dos.write(aattr[i].getDigest(digestAlgorithm));

Node n = this.getFirstChild();

// Assume that adjoining Texts are merged,

// there is no 0-length Text, and

// comment nodes are removed.

len = this.getChildNodes().getLength();

dos.writeInt(len); // This is stored in the network byte order

while (n != null) {

dos.write(n.getDigest(digestAlgorithm));

n = n.getNextSibling();

}

dos.close();

md.update(baos.toByteArray());

return md.digest();

}

2.3.5. Document Nodes

A Document node may have PI nodes before and after the root Element

node. The digest value of a Document node is computed based on the

sequence of the digest values of the pre-root PI nodes, the root

Element node, and the post-root PI nodes in this order. Comment

nodes and DocumentType nodes, if any, are ignored.

- DOCUMENT_NODE (9) in 32 bit network-byte-ordered integer

- A number of child nodes (except for Comment and DocumentType nodes)

in 32bit network-byte-ordered unsigned integer

- Sequence of digest values of each child node except for Comment and

DocumentType nodes (variable length)

public byte[] getDigest(String digestAlgorithm) {

MessageDigest md = MessageDigest.getInstance(digestAlgorithm);

ByteArrayOutputStream baos = new ByteArrayOutputStream();

DataOutputStream dos = new DataOutputStream(baos);

dos.writeInt(DOCUMENT_NODE);//This is stored in network byte order

// Assume that Comment and DocumentType nodes are removed and this

// node has only an Element node and PI nodes.

len = this.getChildNodes().getLength();

dos.writeInt(len); // This is stored in the network byte order

Node n = this.getFirstChild();

while (n != null) {

dos.write(n.getDigest(digestAlgorithm));

n = n.getNextSibling();

}

dos.close();

md.update(baos.toByteArray());

return md.digest();

}

3. Discussion

The definition described above can be efficiently implemented with

any XML processor that is conformant to either DOM and SAX

specification. Reference implementations are available on request.

4. Security Considerations

DOMHASH is expected to be used as the basis for digital signatures

and other security and integrity uses. It's appropriateness for

such uses depends on the security of the hash algorithm used and

inclusion of the fundamental characteristics it is desired to check

in parts of the DOM model incorporated in the digest by DOMHASH.

References

[DOM] "Document Object Model (DOM), Level 1 Specification", October

1998, http://www.w3.org/TR/REC-DOM-Level-1/

[MD5] Rivest, R., "The MD5 Message-Digest Algorithm", RFC1321,

April 1992.

[NAM] Tim Bray, Dave Hollander, Andrew Layman, "Namespaces in XML",

http://www.w3.org/TR/1999/REC-xml-names-19990114.

[SAX] David Megginson, "SAX 1.0: The Simple API for XML",

http://www.megginson.com/SAX/, May 1998.

[SHA] (US) National Institute of Standards and Technology, "Federal

Information Processing Standards Publication 180-1: Secure Hash

Standard", 17 April 1995.

[URI] Berners-Lee, T., Fielding, R. and L. Masinter, "Uniform

Resource Identifiers (URI): Generic Syntax", RFC2396, August

1998.

[UTF16] Hoffman, P., Yergeau, F., "UTF-16, an encoding of ISO 10646",

RFC2781, February 2000.

[XML] Tim Bray, Jean Paoli, C. M. Sperber-McQueen, "Extensible

Markup Language (XML) 1.0", http://www.w3.org/TR/1998/REC-xml-

19980210

Authors' Addresses

Hiroshi Maruyama,

IBM Research, Tokyo Research Laboratory

EMail: maruyama@jp.ibm.com

Kent Tamura,

IBM Research, Tokyo Research Laboratory

EMail: kent@trl.ibm.co.jp

Naohiko Uramoto,

IBM Research, Tokyo Research Laboratory

EMail: uramoto@jp.ibm.com

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