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Confidentiality of XML Documents by Pool Encryption UNIVERSITÄT SIEGEN Institut für Digitale Kommunikationssysteme Forschungsberichte Band 9 Herausgeber: Univ.-Prof. Dr. Christoph Ruland Christian Geuer-Pollmann Confidentiality of XML documents by Pool Encryption 2004 Confidentiality of XML documents by Pool Encryption Vom Fachbereich Elektrotechnik und Informatik der Universität Siegen zur Erlangung des akademischen Grades Doktor der Ingenieurwissenschaften (Dr.-Ing.) genehmigte Dissertation von Dipl.-Ing. Christian Geuer-Pollmann 1. Gutachter: Univ.-Prof. Dr. Christoph Ruland, Universität Siegen 2. Gutachter: Univ.-Prof. Dr. Rüdiger Grimm, TU Ilmenau Vorsitzender: Univ.-Prof. Dr. Wolfgang Merzenich, Universität Siegen Tag der mündlichen Prüfung: 29. Juli 2003 urn:nbn:de:hbz:467-647 urn:isbn:3-8322-2846-2 UNIVERSITÄT SIEGEN Institut für Digitale Kommunikationssysteme Forschungsberichte Herausgeber: Univ.-Prof. Dr. Christoph Ruland Band 9 Christian Geuer-Pollmann Confidentiality of XML documents by Pool Encryption 2004 Bibliografische Information der Deutschen Bibliothek Die Deutsche Bibliothek verzeichnet diese Publikation in der Deutschen Nationalbibliografie; detaillierte bibliografische Daten sind im Internet über http://dnb.ddb.de/ abrufbar. Zugl.: Siegen, Univ., Diss., 2003 Copyright Shaker Verlag 2004 Alle Rechte, auch das des auszugsweisen Nachdrucks, der auszugsweisen oder vollständigen Wiedergabe, der Speicherung in Datenverarbeitungs- anlagen und der Übersetzung, vorbehalten. Printed in Germany. ISBN 3-8322-2846-2 ISSN 1614-0508 Shaker Verlag GmbH • Postfach 101818 • 52018 Aachen Telefon: 02407 / 9596 - 0 • Telefax: 02407 / 9596 - 9 Internet: www.shaker.de • eMail: [email protected] Für Gabriele, Georgia und Philipp Acknowledgements This work was written while I was research assistant at the ‘Institute for Data Communication Systems’ at University of Siegen between November 1998 and May 2003. This is the place to dedicate a sincere “thank you” to the people I have been surrounded with. First, I want to express my gratitude to Prof. Dr. Christoph Ruland for being my scientific mentor, for his valuable suggestions and amicable discussions as well as the excellent working conditions at the Institute for Data Communica- tion Systems in Siegen. My thanks further go to Prof. Dr. Rüdiger Grimm from TU Ilmenau for his interest in my work and for being my second promoter and to Prof. Dr. Wolf- gang Merzenich for chairing the board of examiners. It was a great pleasure to work together with Christoph Stepping, Oliver Jung, Luigi Lo Iacono, Tobias Lohmann, Seung Wook Jung, Sven Kuhn and espe- cially Kai Wollenweber and Niko Schweitzer. Thanks also to Matthias Schneider the Institute’s good soul, Christine Haßler, for continuous support during the adversities of everyday life at the University. Besides these direct contacts at the Institute, I would also like to thank the members of the W3C XML Signature Working Group (most notably Ed Simon, John Boyer, Gregor Karlinger and Merlin Hughes) for deep insights into the XML internals. To my friend Christian Lemburg a “thank you” for the invalu- able reference to Joe Celko’s Adjacency List Mode. Special thanks go to my parents Maria and Heinrich Geuer, my siblings Franz, Klaus and especially Hildegard, my parents-in-law Marlies and Eberhard Poll- mann as well as my brother-in-law Andreas for their motivation, their moral backing and perpetual support and uncounted hours of baby sitting. I would like to thank my beloved children Georgia and Philipp for the love which they gave me, inadvertently of how many hours I disappeared at my computer. My deepest thanks go to my wife Gabriele for her love and patience, her encouragement and her faith in me during the years. This work would not have been written without this nearest counselor and friend of mine. Düsseldorf, July 2003 Christian Geuer-Pollmann i Danksagung Die vorliegende Arbeit entstand während meiner Tätigkeit als wissenschaftli- cher Mitarbeiter des Institutes für Digitale Kommunikationssysteme an der Universität Siegen im Zeitraum zwischen November 1998 und Mai 2003. Nun ist der Zeitpunkt gekommen, den Menschen ein herzliches Dankeschön zu widmen, die mich während dieser Zeit mit Rat und Tat unterstützt haben. Zunächst danke ich Prof. Dr. Christoph Ruland für die wissenschaftliche Betreuung meiner Arbeit, für die wertvollen Anregungen und freundschaftli- chen Diskussionen sowie für die exzellenten Arbeitsbedingungen am Institut für Digitale Kommunikationssysteme in Siegen. Mein Dank gebührt weiterhin Prof. Dr. Rüdiger Grimm von der TU Ilmenau für das der Arbeit entgegengebrachte Interesse und die Übernahme des Korre- ferats sowie Prof. Dr. Wolfgang Merzenich für die Bereitschaft, den Vorsitz der Prüfungskommission zu übernehmen. Meinen ehemaligen Kollegen Christoph Stepping, Oliver Jung, Luigi LoIacono, Tobias Lohmann, Seung Wook Jung, Sven Kuhn und insbesondere Kai Wollen- weber und Niko Schweitzer danke ich für die gute Zusammenarbeit und die schöne, gemeinsame Zeit am Institut. Matthias Schneider und der guten Seele des Instituts, Christine Haßler, gebührt mein besonderer Dank für die stetige Unterstützung bei den Widrigkeiten des Universitäts-Alltags und die freund- schaftliche Zusammenarbeit. Neben den direkten Kollegen am Institut möchte ich den Mitgliedern der W3C XML Signature Working Group (insbesondere Ed Simon, John Boyer, Gregor Karlinger und Merlin Hughes) für die tiefen Einblicke in die Interna von XML mit allen seinen Facetten danken. Meinem Freund Christian Lem- burg danke ich für den unbezahlbaren Hinweis auf Joe Celkos Beschreibung des Adjacency List Mode. Meinen Eltern Maria und Heinrich Geuer, meinen Geschwistern Franz, Klaus und insbesondere Hildegard, meinen Schwiegereltern Marlies und Eberhard Pollmann sowie meinem Schwager Andreas möchte ich meinen ganz besonde- ren Dank sagen für ihre Motivation, die moralische Unterstützung, den immer- währenden, verlässlichen Rückhalt sowie für die Betreuung der Kinder. Meinen geliebten Kindern Georgia und Philipp danke ich für die Liebe, mit der sie mir begegnet sind, wenn ich wieder einmal am Rechner verschwun- den war. Meiner Ehefrau Gabriele möchte ich größten Dank sagen für ihre Liebe und Geduld, ihren Zuspruch und ihr Vertrauen während der vergangenen Jahre. Ohne diese engste Beraterin, Freundin und größte Stütze wäre mir diese Arbeit nicht möglich gewesen. Düsseldorf, im Juli 2003 Christian Geuer-Pollmann ii Abstract The eXtensible Markup Language (XML) is a widely adopted format for docu- ments containing structured information. Structured information contains both the content (words, images etc.) and the ‘markup’ which indicates the role of the content, e.g. ‘section’ or ‘price’. XML is the foundation for a huge variety of existing and emerging applica- tions, including user applications like vector imaging formats, web pages, enterprise application integration, database interfaces or network protocols. Parallel to the increasing use of XML, the level of security provisions for these XML based systems rises. The World Wide Web Consortium (W3C) addressed these issues by creating the “XML Signature Syntax and Processing” and “XML Encryption Syntax and Processing” recommendations. These standards define authentication, integrity and confidentiality mechanisms for XML documents. The XML Signature recommendation defines a method for digitally signing arbitrary portions (nodes) of an XML document. XML Signature can sign both tree structures and arbitrary sets of nodes of an XML document. The XML Encryption recommendation specifies a method for encrypting tree structures in an XML document. The XML Encryption recommendation is con- strained to protect full tree structures, i.e. there is no mechanism to protect the confidentiality of a single node in a document without affecting the descendants of that node. The access control community transformed access control models originating in database systems to be available for XML based databases. These access control systems offer fine-grained access control enforcement on the node level, similar to the node level integrity protection of XML Signature. For example, XML Access Control systems can restrict the read access to a partic- ular node in an XML tree while allowing access to its child nodes. This thesis is focused on the development of a cryptography based system which can protect the confidentiality of arbitrary nodes in an XML tree. This goal is reached by combining a tree addressing scheme of databases with cryptographic mechanisms. This system is called “XML Pool Encryption”. To verify the results of this thesis, XML Pool Encryption has been imple- mented using the Java programming language. iii Zusammenfassung Die eXtensible Markup Language (XML) ist ein weit verbreitetes Format für Dokumente, die strukturierte Information enthalten. Strukturierte Informa- tion umfasst sowohl den eigentlichen Inhalt (z.B. Wörter, Bilder, etc.) sowie Auszeichnungsinformation, um die Rolle der Inhalte zu umschreiben, z.B. “Überschrift” oder “Preis”. XML bildet die Grundlage für eine große Anzahl existierender und im Entste- hen begriffener Anwendungen, wie z.B. Vektorgrafik-Formate, Web Seiten, Enterprise Application Integration Systeme, Datenbank Schnittstellen oder Netzwerkprotokolle. Parallel zur steigenden Verbreitung von XML werden immer mehr Vorkehrun- gen zum Schutz der auf XML basierenden Systeme notwendig. Das World Wide Web Consortium (W3C) hat sich dieser Notwendigkeit angenommen, indem die “XML Signature Syntax and Processing” und die “XML Encryption Syntax and
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