ChengsongTanPhdThesis/Chapters/Introduction.tex
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% Chapter 1
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\chapter{Introduction} % Main chapter title
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\label{Introduction} % For referencing the chapter elsewhere, use \ref{Chapter1} 
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%----------------------------------------------------------------------------------------
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% Define some commands to keep the formatting separated from the content 
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\newcommand{\keyword}[1]{\textbf{#1}}
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\newcommand{\tabhead}[1]{\textbf{#1}}
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\newcommand{\code}[1]{\texttt{#1}}
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\newcommand{\file}[1]{\texttt{\bfseries#1}}
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\newcommand{\option}[1]{\texttt{\itshape#1}}
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%boxes
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\newcommand*{\mybox}[1]{\framebox{\strut #1}}
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%\newcommand{\sflataux}[1]{\textit{sflat}\_\textit{aux} \, #1}
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\newcommand\sflat[1]{\llparenthesis #1 \rrparenthesis }
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\newcommand{\ASEQ}[3]{\textit{ASEQ}_{#1} \, #2 \, #3}
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\newcommand{\bderssimp}[2]{#1 \backslash_{bsimps} #2}
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\newcommand{\rderssimp}[2]{#1 \backslash_{rsimps} #2}
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\def\derssimp{\textit{ders}\_\textit{simp}}
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\newcommand{\bsimp}[1]{\textit{bsimp}(#1)}
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\def\bsimps{\textit{bsimp}}
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\newcommand{\rsimp}[1]{\textit{rsimp}\; #1}
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\newcommand{\ONE}{\mbox{\bf 1}}
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\newcommand{\AALTS}[2]{\oplus {\scriptstyle #1}\, #2}
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\def\hpa{\textit{highestPowerAux}}
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\def\hpower{\textit{highestPower}}
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\def\ntset{\textit{ntset}}
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\def\optermsimp{\textit{optermsimp}}
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\def\optermOsimp{\textit{optermOsimp}}
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\def\optermosimp{\textit{optermosimp}}
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\def\opterm{\textit{opterm}}
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\def\nString{\textit{nonemptyString}}
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\newcommand\myequiv{\mathrel{\stackrel{\makebox[0pt]{\mbox{\normalfont\tiny equiv}}}{=}}}
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\def\SEQ{\textit{SEQ}}
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\def\SEQs{\textit{SEQs}}
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\def\sequal{\stackrel{\mbox{\scriptsize rsimp}}{=}}
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\def\bfalse{\textit{false}}
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\def\Some{\textit{Some}}
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\def\decode{\textit{decode}}
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\def\internalise{\textit{internalise}}
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\def\lexer{\mathit{lexer}}
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\def\mkeps{\textit{mkeps}}
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\def\rerases{\textit{rerase}}
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\def\nonnested{\textit{nonnested}}
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\def\ACHAR{\textit{ACHAR}}
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\def\simpsulz{\textit{simp}_{Sulz}}
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\def\scfrewrites{\stackrel{*}{\rightsquigarrow_{scf}}}
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\def\fuse{\textit{fuse}}
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\def\POSIX{\textit{POSIX}}
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\def\ALTS{\textit{ALTS}}
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\def\ASTAR{\textit{ASTAR}}
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\def\retrieve{\textit{retrieve}}
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\def\Right{\textit{Right}}
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\def\Char{\textit{Char}}
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\def\rup{r^\uparrow}
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%\def\bderssimp{\mathit{bders}\_\mathit{simp}}
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\def\suffix{\textit{Suffix}}
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\def\size{\mathit{size}}
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\def\simpALTs{\mathit{simp}\_\mathit{ALTs}}
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\def\blexersimp{\mathit{blexer}\_\mathit{simp}}
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\def\blexerStrong{\textit{blexerStrong}}
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\def\bsimpStrong{\textit{bsimpStrong}}
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\def\bdersStrongs{\textit{bdersStrong}}
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\newcommand{\bdersStrong}[2]{#1 \backslash_{bsimpStrongs} #2}
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\newcommand\ChristianComment[1]{\textcolor{blue}{#1}\\}
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\def\rflts{\textit{rflts}}
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\def\rrewrite{\textit{rrewrite}}
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\def\bsimpalts{\textit{bsimp}_{ALTS}}
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\def\bsimpaseq{\textit{bsimp}_{ASEQ}}
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\def\rsimpseq{\textit{rsimp}_{SEQ}}
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\def\erase{\textit{erase}}
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\def\RZERO{\mathbf{0}_r }
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\def\RONE{\mathbf{1}_r}
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\newcommand\RCHAR[1]{\mathbf{#1}_r}
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\newcommand\RALTS[1]{\sum #1}
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\newcommand\RSTAR[1]{#1^*}
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\lstdefinestyle{myScalastyle}{
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  frame=tb,
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  language=scala,
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  aboveskip=3mm,
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  belowskip=3mm,
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  showstringspaces=false,
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  columns=flexible,
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  basicstyle={\small\ttfamily},
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  numbers=none,
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  numberstyle=\tiny\color{gray},
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  keywordstyle=\color{blue},
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  commentstyle=\color{dkgreen},
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  stringstyle=\color{mauve},
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  frame=single,
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  breaklines=true,
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  breakatwhitespace=true,
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  tabsize=3,
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}
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%----------------------------------------------------------------------------------------
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%This part is about regular expressions, Brzozowski derivatives,
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%and a bit-coded lexing algorithm with proven correctness and time bounds.
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%TODO: look up snort rules to use here--give readers idea of what regexes look like
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Regular expressions are widely used in computer science: 
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be it in text-editors \parencite{atomEditor} with syntax highlighting and auto-completion;
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command-line tools like $\mathit{grep}$ that facilitate easy 
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text-processing \cite{grep}; network intrusion
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detection systems that inspect suspicious traffic; or compiler
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front ends.
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Given their usefulness and ubiquity, one would assume that
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modern regular expression matching implementations
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are mature and fully studied.
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Indeed, in a popular programming language's regular expression engine, 
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supplying it with regular expressions and strings,
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in most cases one can
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get the matching information in a very short time.
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Those engines can be blindingly fast--some 
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network intrusion detection systems
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use regular expression engines that are able to process 
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hundreds of megabytes or even gigabytes of data per second \parencite{Turo_ov__2020}.
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However, those engines can sometimes exhibit a surprising security vulnerability
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under a certain class of inputs.
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%However, , this is not the case for $\mathbf{all}$ inputs.
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%TODO: get source for SNORT/BRO's regex matching engine/speed
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Consider for example $(a^*)^*\,b$ and 
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strings of the form $aa..a$, these strings cannot be matched by this regular
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expression: Obviously the expected $b$ in the last
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position is missing. One would assume that modern regular expression
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matching engines can find this out very quickly. Surprisingly, if one tries
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this example in JavaScript, Python or Java 8, even with small strings, 
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say of lenght of around 30 $a$'s,
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the decision takes an absurd amount of time to finish (see graphs in figure \ref{fig:aStarStarb}).
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This is clearly exponential behaviour, and as can be seen
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is triggered by some relatively simple regular expressions.
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Java 9 and newer
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versions improve this behaviour somewhat, but are still slow compared 
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with the approach we are going to use in this thesis.
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This superlinear blowup in regular expression engines
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has caused grief in ``real life'' in the past where it is 
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given the name ``catastrophic backtracking'' or ``evil'' regular expressions.
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For example, on 20 July 2016 one evil
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regular expression brought the webpage
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\href{http://stackexchange.com}{Stack Exchange} to its
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knees.\footnote{\url{https://stackstatus.net/post/147710624694/outage-postmortem-july-20-2016}(Last accessed in 2019)}
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In this instance, a regular expression intended to just trim white
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spaces from the beginning and the end of a line actually consumed
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massive amounts of CPU resources---causing the web servers to grind to a
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halt. In this example, the time needed to process
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the string was 
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$O(n^2)$ with respect to the string length $n$. This
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quadratic overhead was enough for the homepage of Stack Exchange to
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respond so slowly that the load balancer assumed a $\mathit{DoS}$ 
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attack and therefore stopped the servers from responding to any
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requests. This made the whole site become unavailable. 
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\begin{figure}[p]
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\begin{center}
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\begin{tabular}{@{}c@{\hspace{0mm}}c@{}}
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\begin{tikzpicture}
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\begin{axis}[
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    xlabel={$n$},
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    x label style={at={(1.05,-0.05)}},
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    ylabel={time in secs},
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    enlargelimits=false,
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    xtick={0,5,...,30},
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    xmax=33,
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    ymax=35,
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    ytick={0,5,...,30},
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    scaled ticks=false,
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    axis lines=left,
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    width=5cm,
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    height=4cm, 
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    legend entries={JavaScript},  
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    legend pos=north west,
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    legend cell align=left]
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\addplot[red,mark=*, mark options={fill=white}] table {re-js.data};
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\end{axis}
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\end{tikzpicture}
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  &
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\begin{tikzpicture}
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\begin{axis}[
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    xlabel={$n$},
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    x label style={at={(1.05,-0.05)}},
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    %ylabel={time in secs},
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    enlargelimits=false,
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    xtick={0,5,...,30},
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    xmax=33,
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    ymax=35,
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    ytick={0,5,...,30},
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    scaled ticks=false,
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    axis lines=left,
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    width=5cm,
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    height=4cm, 
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    legend entries={Python},  
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    legend pos=north west,
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    legend cell align=left]
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\addplot[blue,mark=*, mark options={fill=white}] table {re-python2.data};
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\end{axis}
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\end{tikzpicture}\\ 
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\begin{tikzpicture}
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\begin{axis}[
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    xlabel={$n$},
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    x label style={at={(1.05,-0.05)}},
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    ylabel={time in secs},
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    enlargelimits=false,
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    xtick={0,5,...,30},
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    xmax=33,
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    ymax=35,
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    ytick={0,5,...,30},
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    scaled ticks=false,
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    axis lines=left,
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    width=5cm,
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    height=4cm, 
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    legend entries={Java 8},  
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    legend pos=north west,
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    legend cell align=left]
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\addplot[cyan,mark=*, mark options={fill=white}] table {re-java.data};
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\end{axis}
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\end{tikzpicture}
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  &
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\begin{tikzpicture}
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\begin{axis}[
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    xlabel={$n$},
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    x label style={at={(1.05,-0.05)}},
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    %ylabel={time in secs},
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    enlargelimits=false,
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    xtick={0,5,...,30},
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    xmax=33,
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    ymax=35,
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    ytick={0,5,...,30},
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    scaled ticks=false,
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    axis lines=left,
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    width=5cm,
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    height=4cm, 
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    legend entries={Dart},  
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    legend pos=north west,
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    legend cell align=left]
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\addplot[green,mark=*, mark options={fill=white}] table {re-dart.data};
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\end{axis}
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\end{tikzpicture}\\ 
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\begin{tikzpicture}
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\begin{axis}[
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    xlabel={$n$},
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    x label style={at={(1.05,-0.05)}},
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    ylabel={time in secs},
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    enlargelimits=false,
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    xtick={0,5,...,30},
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    xmax=33,
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    ymax=35,
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    ytick={0,5,...,30},
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    scaled ticks=false,
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    axis lines=left,
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    width=5cm,
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    height=4cm, 
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    legend entries={Swift},  
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    legend pos=north west,
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    legend cell align=left]
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\addplot[purple,mark=*, mark options={fill=white}] table {re-swift.data};
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\end{axis}
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\end{tikzpicture}
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  & 
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\begin{tikzpicture}
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\begin{axis}[
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    xlabel={$n$},
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    x label style={at={(1.05,-0.05)}},
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    %ylabel={time in secs},
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    enlargelimits=true,
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    %xtick={0,5000,...,40000},
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    %xmax=40000,
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    %ymax=35,
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    restrict x to domain*=0:40000,
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    restrict y to domain*=0:35,
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    %ytick={0,5,...,30},
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    %scaled ticks=false,
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    axis lines=left,
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    width=5cm,
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    height=4cm, 
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    legend entries={Java9+},  
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    legend pos=north west,
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    legend cell align=left]
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\addplot[orange,mark=*, mark options={fill=white}] table {re-java9.data};
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\end{axis}
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\end{tikzpicture}\\ 
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\multicolumn{2}{c}{Graphs}
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\end{tabular}    
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\end{center}
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\caption{Graphs showing runtime for matching $(a^*)^*\,b$ with strings 
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           of the form $\protect\underbrace{aa..a}_{n}$ in various existing regular expression libraries.
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   The reason for their superlinear behaviour is that they do a depth-first-search
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   using NFAs.
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   If the string does not match, the regular expression matching
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   engine starts to explore all possibilities. 
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}\label{fig:aStarStarb}
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\end{figure}\afterpage{\clearpage}
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A more recent example is a global outage of all Cloudflare servers on 2 July
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2019. A poorly written regular expression exhibited catastrophic backtracking
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and exhausted CPUs that serve HTTP traffic. Although the outage
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had several causes, at the heart was a regular expression that
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was used to monitor network
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traffic.\footnote{\url{https://blog.cloudflare.com/details-of-the-cloudflare-outage-on-july-2-2019/}(Last accessed in 2022)}
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These problems with regular expressions 
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are not isolated events that happen
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very rarely, 
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%but actually widespread.
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%They occur so often that they have a 
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but they occur actually often enough that they have a
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name: Regular-Expression-Denial-Of-Service (ReDoS)
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attacks.
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Davis et al. \cite{Davis18} detected more
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than 1000 evil regular expressions
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in Node.js, Python core libraries, npm and pypi. 
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   425
They therefore concluded that evil regular expressions
634
Chengsong
parents: 633
diff changeset
   426
are real problems rather than just "a parlour trick".
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   427
603
370fe1dde7c7 more restructuring chap1
Chengsong
parents: 602
diff changeset
   428
This work aims to address this issue
370fe1dde7c7 more restructuring chap1
Chengsong
parents: 602
diff changeset
   429
with the help of formal proofs.
612
Chengsong
parents: 609
diff changeset
   430
We describe a lexing algorithm based
635
Chengsong
parents: 634
diff changeset
   431
on Brzozowski derivatives with verified correctness 
Chengsong
parents: 634
diff changeset
   432
and a finiteness property for the size of derivatives
Chengsong
parents: 634
diff changeset
   433
(which are all done in Isabelle/HOL).
612
Chengsong
parents: 609
diff changeset
   434
Such properties %guarantee the absence of 
Chengsong
parents: 609
diff changeset
   435
are an important step in preventing
Chengsong
parents: 609
diff changeset
   436
catastrophic backtracking once and for all.
604
Chengsong
parents: 603
diff changeset
   437
We will give more details in the next sections
Chengsong
parents: 603
diff changeset
   438
on (i) why the slow cases in graph \ref{fig:aStarStarb}
612
Chengsong
parents: 609
diff changeset
   439
can occur in traditional regular expression engines
604
Chengsong
parents: 603
diff changeset
   440
and (ii) why we choose our 
612
Chengsong
parents: 609
diff changeset
   441
approach based on Brzozowski derivatives and formal proofs.
602
Chengsong
parents: 601
diff changeset
   442
603
370fe1dde7c7 more restructuring chap1
Chengsong
parents: 602
diff changeset
   443
612
Chengsong
parents: 609
diff changeset
   444
\section{Preliminaries}%Regex, and the Problems with Regex Matchers}
601
Chengsong
parents: 600
diff changeset
   445
Regular expressions and regular expression matchers 
635
Chengsong
parents: 634
diff changeset
   446
have clearly been studied for many, many years.
612
Chengsong
parents: 609
diff changeset
   447
Theoretical results in automata theory state 
604
Chengsong
parents: 603
diff changeset
   448
that basic regular expression matching should be linear
605
Chengsong
parents: 604
diff changeset
   449
w.r.t the input.
Chengsong
parents: 604
diff changeset
   450
This assumes that the regular expression
Chengsong
parents: 604
diff changeset
   451
$r$ was pre-processed and turned into a
635
Chengsong
parents: 634
diff changeset
   452
deterministic finite automaton (DFA) before matching \cite{Sakarovitch2009}.
604
Chengsong
parents: 603
diff changeset
   453
By basic we mean textbook definitions such as the one
612
Chengsong
parents: 609
diff changeset
   454
below, involving only regular expressions for characters, alternatives,
604
Chengsong
parents: 603
diff changeset
   455
sequences, and Kleene stars:
Chengsong
parents: 603
diff changeset
   456
\[
612
Chengsong
parents: 609
diff changeset
   457
	r ::= c | r_1 + r_2 | r_1 \cdot r_2 | r^*
604
Chengsong
parents: 603
diff changeset
   458
\]
Chengsong
parents: 603
diff changeset
   459
Modern regular expression matchers used by programmers,
Chengsong
parents: 603
diff changeset
   460
however,
635
Chengsong
parents: 634
diff changeset
   461
support much richer constructs, such as bounded repetitions,
Chengsong
parents: 634
diff changeset
   462
negations,
604
Chengsong
parents: 603
diff changeset
   463
and back-references.
612
Chengsong
parents: 609
diff changeset
   464
To differentiate, we use the word \emph{regex} to refer
605
Chengsong
parents: 604
diff changeset
   465
to those expressions with richer constructs while reserving the
Chengsong
parents: 604
diff changeset
   466
term \emph{regular expression}
Chengsong
parents: 604
diff changeset
   467
for the more traditional meaning in formal languages theory.
Chengsong
parents: 604
diff changeset
   468
We follow this convention 
Chengsong
parents: 604
diff changeset
   469
in this thesis.
Chengsong
parents: 604
diff changeset
   470
In the future, we aim to support all the popular features of regexes, 
612
Chengsong
parents: 609
diff changeset
   471
but for this work we mainly look at basic regular expressions
Chengsong
parents: 609
diff changeset
   472
and bounded repetitions.
604
Chengsong
parents: 603
diff changeset
   473
605
Chengsong
parents: 604
diff changeset
   474
Chengsong
parents: 604
diff changeset
   475
Chengsong
parents: 604
diff changeset
   476
%Most modern regex libraries
Chengsong
parents: 604
diff changeset
   477
%the so-called PCRE standard (Peral Compatible Regular Expressions)
Chengsong
parents: 604
diff changeset
   478
%has the back-references
612
Chengsong
parents: 609
diff changeset
   479
Regexes come with a number of constructs
605
Chengsong
parents: 604
diff changeset
   480
that make it more convenient for 
604
Chengsong
parents: 603
diff changeset
   481
programmers to write regular expressions.
612
Chengsong
parents: 609
diff changeset
   482
Depending on the types of constructs
605
Chengsong
parents: 604
diff changeset
   483
the task of matching and lexing with them
612
Chengsong
parents: 609
diff changeset
   484
will have different levels of complexity.
635
Chengsong
parents: 634
diff changeset
   485
Some of those constructs are syntactic sugars that are
604
Chengsong
parents: 603
diff changeset
   486
simply short hand notations
605
Chengsong
parents: 604
diff changeset
   487
that save the programmers a few keystrokes.
612
Chengsong
parents: 609
diff changeset
   488
These will not cause problems for regex libraries.
605
Chengsong
parents: 604
diff changeset
   489
For example the
612
Chengsong
parents: 609
diff changeset
   490
non-binary alternative involving three or more choices just means:
604
Chengsong
parents: 603
diff changeset
   491
\[
605
Chengsong
parents: 604
diff changeset
   492
	(a | b | c) \stackrel{means}{=} ((a + b)+ c)
604
Chengsong
parents: 603
diff changeset
   493
\]
635
Chengsong
parents: 634
diff changeset
   494
Similarly, the range operator
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parents: 634
diff changeset
   495
%used to express the alternative
Chengsong
parents: 634
diff changeset
   496
%of all characters between its operands, 
Chengsong
parents: 634
diff changeset
   497
is just a concise way
Chengsong
parents: 634
diff changeset
   498
of expressing an alternative of consecutive characters:
604
Chengsong
parents: 603
diff changeset
   499
\[
635
Chengsong
parents: 634
diff changeset
   500
	[0~-9]\stackrel{means}{=} (0 | 1 | \ldots | 9 )  
604
Chengsong
parents: 603
diff changeset
   501
\]
612
Chengsong
parents: 609
diff changeset
   502
for an alternative. The
635
Chengsong
parents: 634
diff changeset
   503
wildcard character '$.$' is used to refer to any single character,
605
Chengsong
parents: 604
diff changeset
   504
\[
Chengsong
parents: 604
diff changeset
   505
	. \stackrel{means}{=} [0-9a-zA-Z+-()*\&\ldots]
Chengsong
parents: 604
diff changeset
   506
\]
612
Chengsong
parents: 609
diff changeset
   507
except the newline.
604
Chengsong
parents: 603
diff changeset
   508
605
Chengsong
parents: 604
diff changeset
   509
\subsection{Bounded Repetitions}
612
Chengsong
parents: 609
diff changeset
   510
More interesting are bounded repetitions, which can 
Chengsong
parents: 609
diff changeset
   511
make the regular expressions much
605
Chengsong
parents: 604
diff changeset
   512
more compact.
635
Chengsong
parents: 634
diff changeset
   513
Normally there are four kinds of bounded repetitions:
612
Chengsong
parents: 609
diff changeset
   514
$r^{\{n\}}$, $r^{\{\ldots m\}}$, $r^{\{n\ldots \}}$ and $r^{\{n\ldots m\}}$
Chengsong
parents: 609
diff changeset
   515
(where $n$ and $m$ are constant natural numbers).
Chengsong
parents: 609
diff changeset
   516
Like the star regular expressions, the set of strings or language
Chengsong
parents: 609
diff changeset
   517
a bounded regular expression can match
Chengsong
parents: 609
diff changeset
   518
is defined using the power operation on sets:
605
Chengsong
parents: 604
diff changeset
   519
\begin{center}
Chengsong
parents: 604
diff changeset
   520
	\begin{tabular}{lcl}
Chengsong
parents: 604
diff changeset
   521
		$L \; r^{\{n\}}$ & $\dn$ & $(L \; r)^n$\\
Chengsong
parents: 604
diff changeset
   522
		$L \; r^{\{\ldots m\}}$ & $\dn$ & $\bigcup_{0 \leq i \leq m}. (L \; r)^i$\\
Chengsong
parents: 604
diff changeset
   523
		$L \; r^{\{n\ldots \}}$ & $\dn$ & $\bigcup_{n \leq i}. (L \; r)^i$\\
Chengsong
parents: 604
diff changeset
   524
		$L \; r^{\{n \ldots m\}}$ & $\dn$ & $\bigcup_{n \leq i \leq m}. (L \; r)^i$
Chengsong
parents: 604
diff changeset
   525
	\end{tabular}
Chengsong
parents: 604
diff changeset
   526
\end{center}
612
Chengsong
parents: 609
diff changeset
   527
The attraction of bounded repetitions is that they can be
635
Chengsong
parents: 634
diff changeset
   528
used to avoid a size blow up: for example $r^{\{n\}}$
612
Chengsong
parents: 609
diff changeset
   529
is a shorthand for
635
Chengsong
parents: 634
diff changeset
   530
the much longer regular expression:
605
Chengsong
parents: 604
diff changeset
   531
\[
Chengsong
parents: 604
diff changeset
   532
	\underbrace{r\ldots r}_\text{n copies of r}.
Chengsong
parents: 604
diff changeset
   533
\]
Chengsong
parents: 604
diff changeset
   534
%Therefore, a naive algorithm that simply unfolds
Chengsong
parents: 604
diff changeset
   535
%them into their desugared forms
Chengsong
parents: 604
diff changeset
   536
%will suffer from at least an exponential runtime increase.
603
370fe1dde7c7 more restructuring chap1
Chengsong
parents: 602
diff changeset
   537
612
Chengsong
parents: 609
diff changeset
   538
Chengsong
parents: 609
diff changeset
   539
The problem with matching 
635
Chengsong
parents: 634
diff changeset
   540
such bounded repetitions
612
Chengsong
parents: 609
diff changeset
   541
is that tools based on the classic notion of
Chengsong
parents: 609
diff changeset
   542
automata need to expand $r^{\{n\}}$ into $n$ connected 
603
370fe1dde7c7 more restructuring chap1
Chengsong
parents: 602
diff changeset
   543
copies of the automaton for $r$. This leads to very inefficient matching
370fe1dde7c7 more restructuring chap1
Chengsong
parents: 602
diff changeset
   544
algorithms  or algorithms that consume large amounts of memory.
605
Chengsong
parents: 604
diff changeset
   545
Implementations using $\DFA$s will
635
Chengsong
parents: 634
diff changeset
   546
in such situations
605
Chengsong
parents: 604
diff changeset
   547
either become excruciatingly slow 
635
Chengsong
parents: 634
diff changeset
   548
(for example Verbatim++ \cite{Verbatimpp}) or run
Chengsong
parents: 634
diff changeset
   549
out of memory (for example $\mathit{LEX}$ and 
Chengsong
parents: 634
diff changeset
   550
$\mathit{JFLEX}$\footnote{LEX and JFLEX are lexer generators
605
Chengsong
parents: 604
diff changeset
   551
in C and JAVA that generate $\mathit{DFA}$-based
Chengsong
parents: 604
diff changeset
   552
lexers. The user provides a set of regular expressions
635
Chengsong
parents: 634
diff changeset
   553
and configurations, and then 
605
Chengsong
parents: 604
diff changeset
   554
gets an output program encoding a minimized $\mathit{DFA}$
Chengsong
parents: 604
diff changeset
   555
that can be compiled and run. 
Chengsong
parents: 604
diff changeset
   556
When given the above countdown regular expression,
635
Chengsong
parents: 634
diff changeset
   557
a small $n$ (say 20) would result in a program representing a
Chengsong
parents: 634
diff changeset
   558
DFA
612
Chengsong
parents: 609
diff changeset
   559
with millions of states.}) for large counters.
Chengsong
parents: 609
diff changeset
   560
A classic example for this phenomenon is the regular expression $(a+b)^*  a (a+b)^{n}$
605
Chengsong
parents: 604
diff changeset
   561
where the minimal DFA requires at least $2^{n+1}$ states.
Chengsong
parents: 604
diff changeset
   562
For example, when $n$ is equal to 2,
635
Chengsong
parents: 634
diff changeset
   563
the corresponding $\mathit{NFA}$ looks like:
Chengsong
parents: 634
diff changeset
   564
\vspace{6mm}
604
Chengsong
parents: 603
diff changeset
   565
\begin{center}
Chengsong
parents: 603
diff changeset
   566
\begin{tikzpicture}[shorten >=1pt,node distance=2cm,on grid,auto] 
Chengsong
parents: 603
diff changeset
   567
   \node[state,initial] (q_0)   {$q_0$}; 
Chengsong
parents: 603
diff changeset
   568
   \node[state, red] (q_1) [right=of q_0] {$q_1$}; 
Chengsong
parents: 603
diff changeset
   569
   \node[state, red] (q_2) [right=of q_1] {$q_2$}; 
Chengsong
parents: 603
diff changeset
   570
   \node[state, accepting, red](q_3) [right=of q_2] {$q_3$};
Chengsong
parents: 603
diff changeset
   571
    \path[->] 
Chengsong
parents: 603
diff changeset
   572
    (q_0) edge  node {a} (q_1)
Chengsong
parents: 603
diff changeset
   573
    	  edge [loop below] node {a,b} ()
Chengsong
parents: 603
diff changeset
   574
    (q_1) edge  node  {a,b} (q_2)
Chengsong
parents: 603
diff changeset
   575
    (q_2) edge  node  {a,b} (q_3);
Chengsong
parents: 603
diff changeset
   576
\end{tikzpicture}
Chengsong
parents: 603
diff changeset
   577
\end{center}
635
Chengsong
parents: 634
diff changeset
   578
and when turned into a DFA by the subset construction
612
Chengsong
parents: 609
diff changeset
   579
requires at least $2^3$ states.\footnote{The 
635
Chengsong
parents: 634
diff changeset
   580
red states are "countdown states" which count down 
604
Chengsong
parents: 603
diff changeset
   581
the number of characters needed in addition to the current
Chengsong
parents: 603
diff changeset
   582
string to make a successful match.
Chengsong
parents: 603
diff changeset
   583
For example, state $q_1$ indicates a match that has
Chengsong
parents: 603
diff changeset
   584
gone past the $(a|b)^*$ part of $(a|b)^*a(a|b)^{\{2\}}$,
Chengsong
parents: 603
diff changeset
   585
and just consumed the "delimiter" $a$ in the middle, and 
635
Chengsong
parents: 634
diff changeset
   586
needs to match 2 more iterations of $(a|b)$ to complete.
604
Chengsong
parents: 603
diff changeset
   587
State $q_2$ on the other hand, can be viewed as a state
Chengsong
parents: 603
diff changeset
   588
after $q_1$ has consumed 1 character, and just waits
Chengsong
parents: 603
diff changeset
   589
for 1 more character to complete.
635
Chengsong
parents: 634
diff changeset
   590
The state $q_3$ is the last (accepting) state, requiring 0 
Chengsong
parents: 634
diff changeset
   591
more characters.
604
Chengsong
parents: 603
diff changeset
   592
Depending on the suffix of the
Chengsong
parents: 603
diff changeset
   593
input string up to the current read location,
Chengsong
parents: 603
diff changeset
   594
the states $q_1$ and $q_2$, $q_3$
Chengsong
parents: 603
diff changeset
   595
may or may
635
Chengsong
parents: 634
diff changeset
   596
not be active.
604
Chengsong
parents: 603
diff changeset
   597
A $\mathit{DFA}$ for such an $\mathit{NFA}$ would
Chengsong
parents: 603
diff changeset
   598
contain at least $2^3$ non-equivalent states that cannot be merged, 
Chengsong
parents: 603
diff changeset
   599
because the subset construction during determinisation will generate
Chengsong
parents: 603
diff changeset
   600
all the elements in the power set $\mathit{Pow}\{q_1, q_2, q_3\}$.
Chengsong
parents: 603
diff changeset
   601
Generalizing this to regular expressions with larger
Chengsong
parents: 603
diff changeset
   602
bounded repetitions number, we have that
Chengsong
parents: 603
diff changeset
   603
regexes shaped like $r^*ar^{\{n\}}$ when converted to $\mathit{DFA}$s
605
Chengsong
parents: 604
diff changeset
   604
would require at least $2^{n+1}$ states, if $r$ itself contains
604
Chengsong
parents: 603
diff changeset
   605
more than 1 string.
Chengsong
parents: 603
diff changeset
   606
This is to represent all different 
635
Chengsong
parents: 634
diff changeset
   607
scenarios in which "countdown" states are active.}
603
370fe1dde7c7 more restructuring chap1
Chengsong
parents: 602
diff changeset
   608
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
   609
635
Chengsong
parents: 634
diff changeset
   610
Bounded repetitions are important because they
Chengsong
parents: 634
diff changeset
   611
tend to occur frequently in practical use,
Chengsong
parents: 634
diff changeset
   612
for example in the regex library RegExLib, in
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   613
the rules library of Snort \cite{Snort1999}\footnote{
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   614
Snort is a network intrusion detection (NID) tool
608
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   615
for monitoring network traffic.
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   616
The network security community curates a list
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   617
of malicious patterns written as regexes,
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   618
which is used by Snort's detection engine
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   619
to match against network traffic for any hostile
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   620
activities such as buffer overflow attacks.}, 
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   621
as well as in XML Schema definitions (XSDs).
605
Chengsong
parents: 604
diff changeset
   622
According to Bj\"{o}rklund et al \cite{xml2015},
Chengsong
parents: 604
diff changeset
   623
more than half of the 
612
Chengsong
parents: 609
diff changeset
   624
XSDs they found on the Maven.org central repository
Chengsong
parents: 609
diff changeset
   625
have bounded regular expressions in them.
Chengsong
parents: 609
diff changeset
   626
Often the counters are quite large, with the largest being
635
Chengsong
parents: 634
diff changeset
   627
close to ten million. 
Chengsong
parents: 634
diff changeset
   628
A smaller sample XSD they gave
612
Chengsong
parents: 609
diff changeset
   629
is:
Chengsong
parents: 609
diff changeset
   630
\begin{verbatim}
Chengsong
parents: 609
diff changeset
   631
<sequence minOccurs="0" maxOccurs="65535">
Chengsong
parents: 609
diff changeset
   632
 <element name="TimeIncr" type="mpeg7:MediaIncrDurationType"/>
Chengsong
parents: 609
diff changeset
   633
 <element name="MotionParams" type="float" minOccurs="2" maxOccurs="12"/>
Chengsong
parents: 609
diff changeset
   634
</sequence>
Chengsong
parents: 609
diff changeset
   635
\end{verbatim}
635
Chengsong
parents: 634
diff changeset
   636
This can be seen as the regex
605
Chengsong
parents: 604
diff changeset
   637
$(ab^{2\ldots 12})^{0 \ldots 65535}$, where $a$ and $b$ are themselves
Chengsong
parents: 604
diff changeset
   638
regular expressions 
Chengsong
parents: 604
diff changeset
   639
satisfying certain constraints (such as 
Chengsong
parents: 604
diff changeset
   640
satisfying the floating point number format).
Chengsong
parents: 604
diff changeset
   641
It is therefore quite unsatisfying that 
Chengsong
parents: 604
diff changeset
   642
some regular expressions matching libraries
Chengsong
parents: 604
diff changeset
   643
impose adhoc limits
Chengsong
parents: 604
diff changeset
   644
for bounded regular expressions:
Chengsong
parents: 604
diff changeset
   645
For example, in the regular expression matching library in the Go
Chengsong
parents: 604
diff changeset
   646
language the regular expression $a^{1001}$ is not permitted, because no counter
Chengsong
parents: 604
diff changeset
   647
can be above 1000, and in the built-in Rust regular expression library
Chengsong
parents: 604
diff changeset
   648
expressions such as $a^{\{1000\}\{100\}\{5\}}$ give an error message
606
Chengsong
parents: 605
diff changeset
   649
for being too big. 
635
Chengsong
parents: 634
diff changeset
   650
As Becchi and Crawley \cite{Becchi08}  have pointed out,
606
Chengsong
parents: 605
diff changeset
   651
the reason for these restrictions
612
Chengsong
parents: 609
diff changeset
   652
is that they simulate a non-deterministic finite
606
Chengsong
parents: 605
diff changeset
   653
automata (NFA) with a breadth-first search.
Chengsong
parents: 605
diff changeset
   654
This way the number of active states could
Chengsong
parents: 605
diff changeset
   655
be equal to the counter number.
Chengsong
parents: 605
diff changeset
   656
When the counters are large, 
Chengsong
parents: 605
diff changeset
   657
the memory requirement could become
612
Chengsong
parents: 609
diff changeset
   658
infeasible, and a regex engine
635
Chengsong
parents: 634
diff changeset
   659
like in Go will reject this pattern straight away.
606
Chengsong
parents: 605
diff changeset
   660
\begin{figure}[H]
Chengsong
parents: 605
diff changeset
   661
\begin{center}
Chengsong
parents: 605
diff changeset
   662
\begin{tikzpicture} [node distance = 2cm, on grid, auto]
Chengsong
parents: 605
diff changeset
   663
 
Chengsong
parents: 605
diff changeset
   664
    	\node (q0) [state, initial] {$0$};
Chengsong
parents: 605
diff changeset
   665
	\node (q1) [state, right = of q0] {$1$};
612
Chengsong
parents: 609
diff changeset
   666
	%\node (q2) [state, right = of q1] {$2$};
Chengsong
parents: 609
diff changeset
   667
	\node (qdots) [right = of q1] {$\ldots$};
606
Chengsong
parents: 605
diff changeset
   668
	\node (qn) [state, right = of qdots] {$n$};
Chengsong
parents: 605
diff changeset
   669
	\node (qn1) [state, right = of qn] {$n+1$};
Chengsong
parents: 605
diff changeset
   670
	\node (qn2) [state, right = of qn1] {$n+2$};
Chengsong
parents: 605
diff changeset
   671
	\node (qn3) [state, accepting, right = of qn2] {$n+3$}; 
Chengsong
parents: 605
diff changeset
   672
 
Chengsong
parents: 605
diff changeset
   673
\path [-stealth, thick]
Chengsong
parents: 605
diff changeset
   674
	(q0) edge [loop above] node {a} ()
Chengsong
parents: 605
diff changeset
   675
    (q0) edge node {a}   (q1) 
612
Chengsong
parents: 609
diff changeset
   676
    %(q1) edge node {.}   (q2)
Chengsong
parents: 609
diff changeset
   677
    (q1) edge node {.}   (qdots)
606
Chengsong
parents: 605
diff changeset
   678
    (qdots) edge node {.} (qn)
Chengsong
parents: 605
diff changeset
   679
    (qn) edge node {.} (qn1)
Chengsong
parents: 605
diff changeset
   680
    (qn1) edge node {b} (qn2)
Chengsong
parents: 605
diff changeset
   681
    (qn2) edge node {$c$} (qn3);
Chengsong
parents: 605
diff changeset
   682
\end{tikzpicture}
Chengsong
parents: 605
diff changeset
   683
%\begin{tikzpicture}[shorten >=1pt,node distance=2cm,on grid,auto] 
Chengsong
parents: 605
diff changeset
   684
%   \node[state,initial] (q_0)   {$0$}; 
Chengsong
parents: 605
diff changeset
   685
%   \node[state, ] (q_1) [right=of q_0] {$1$}; 
Chengsong
parents: 605
diff changeset
   686
%   \node[state, ] (q_2) [right=of q_1] {$2$}; 
Chengsong
parents: 605
diff changeset
   687
%   \node[state,
Chengsong
parents: 605
diff changeset
   688
%   \node[state, accepting, ](q_3) [right=of q_2] {$3$};
Chengsong
parents: 605
diff changeset
   689
%    \path[->] 
Chengsong
parents: 605
diff changeset
   690
%    (q_0) edge  node {a} (q_1)
Chengsong
parents: 605
diff changeset
   691
%    	  edge [loop below] node {a,b} ()
Chengsong
parents: 605
diff changeset
   692
%    (q_1) edge  node  {a,b} (q_2)
Chengsong
parents: 605
diff changeset
   693
%    (q_2) edge  node  {a,b} (q_3);
Chengsong
parents: 605
diff changeset
   694
%\end{tikzpicture}
Chengsong
parents: 605
diff changeset
   695
\end{center}
Chengsong
parents: 605
diff changeset
   696
\caption{The example given by Becchi and Crawley
Chengsong
parents: 605
diff changeset
   697
	that NFA simulation can consume large
Chengsong
parents: 605
diff changeset
   698
	amounts of memory: $.^*a.^{\{n\}}bc$ matching
Chengsong
parents: 605
diff changeset
   699
	strings of the form $aaa\ldots aaaabc$.
Chengsong
parents: 605
diff changeset
   700
	When traversing in a breadth-first manner,
Chengsong
parents: 605
diff changeset
   701
all states from 0 till $n+1$ will become active.}
Chengsong
parents: 605
diff changeset
   702
\end{figure}
Chengsong
parents: 605
diff changeset
   703
%Languages like $\mathit{Go}$ and $\mathit{Rust}$ use this
Chengsong
parents: 605
diff changeset
   704
%type of $\mathit{NFA}$ simulation and guarantees a linear runtime
Chengsong
parents: 605
diff changeset
   705
%in terms of input string length.
Chengsong
parents: 605
diff changeset
   706
%TODO:try out these lexers
Chengsong
parents: 605
diff changeset
   707
These problems can of course be solved in matching algorithms where 
605
Chengsong
parents: 604
diff changeset
   708
automata go beyond the classic notion and for instance include explicit
Chengsong
parents: 604
diff changeset
   709
counters \cite{Turo_ov__2020}.
612
Chengsong
parents: 609
diff changeset
   710
These solutions can be quite efficient,
606
Chengsong
parents: 605
diff changeset
   711
with the ability to process
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   712
gigabits of strings input per second
606
Chengsong
parents: 605
diff changeset
   713
even with large counters \cite{Becchi08}.
635
Chengsong
parents: 634
diff changeset
   714
These practical solutions do not come with
Chengsong
parents: 634
diff changeset
   715
formal guarantees, and as pointed out by
Chengsong
parents: 634
diff changeset
   716
Kuklewicz \cite{KuklewiczHaskell}, can be error-prone.
Chengsong
parents: 634
diff changeset
   717
%But formal reasoning about these automata especially in Isabelle 
Chengsong
parents: 634
diff changeset
   718
%can be challenging
Chengsong
parents: 634
diff changeset
   719
%and un-intuitive. 
Chengsong
parents: 634
diff changeset
   720
%Therefore, we take correctness and runtime claims made about these solutions
Chengsong
parents: 634
diff changeset
   721
%with a grain of salt.
605
Chengsong
parents: 604
diff changeset
   722
628
7af4e2420a8c ready to submit~~
Chengsong
parents: 622
diff changeset
   723
In the work reported in \cite{FoSSaCS2023} and here, 
605
Chengsong
parents: 604
diff changeset
   724
we add better support using derivatives
635
Chengsong
parents: 634
diff changeset
   725
for bounded regular expression $r^{\{n\}}$.
Chengsong
parents: 634
diff changeset
   726
Our results
605
Chengsong
parents: 604
diff changeset
   727
extend straightforwardly to
635
Chengsong
parents: 634
diff changeset
   728
repetitions with intervals such as 
605
Chengsong
parents: 604
diff changeset
   729
$r^{\{n\ldots m\}}$.
608
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   730
The merit of Brzozowski derivatives (more on this later)
605
Chengsong
parents: 604
diff changeset
   731
on this problem is that
Chengsong
parents: 604
diff changeset
   732
it can be naturally extended to support bounded repetitions.
635
Chengsong
parents: 634
diff changeset
   733
Moreover these extensions are still made up of only small
605
Chengsong
parents: 604
diff changeset
   734
inductive datatypes and recursive functions,
633
f1edd5ee1a12 more, including link
Chengsong
parents: 631
diff changeset
   735
making it handy to deal with them in theorem provers.
605
Chengsong
parents: 604
diff changeset
   736
%The point here is that Brzozowski derivatives and the algorithms by Sulzmann and Lu can be
Chengsong
parents: 604
diff changeset
   737
%straightforwardly extended to deal with bounded regular expressions
Chengsong
parents: 604
diff changeset
   738
%and moreover the resulting code still consists of only simple
Chengsong
parents: 604
diff changeset
   739
%recursive functions and inductive datatypes.
Chengsong
parents: 604
diff changeset
   740
Finally, bounded regular expressions do not destroy our finite
Chengsong
parents: 604
diff changeset
   741
boundedness property, which we shall prove later on.
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
   742
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
   743
606
Chengsong
parents: 605
diff changeset
   744
Chengsong
parents: 605
diff changeset
   745
Chengsong
parents: 605
diff changeset
   746
605
Chengsong
parents: 604
diff changeset
   747
\subsection{Back-References}
606
Chengsong
parents: 605
diff changeset
   748
The other way to simulate an $\mathit{NFA}$ for matching is choosing  
Chengsong
parents: 605
diff changeset
   749
a single transition each time, keeping all the other options in 
Chengsong
parents: 605
diff changeset
   750
a queue or stack, and backtracking if that choice eventually 
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   751
fails. 
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   752
This method, often called a  "depth-first-search", 
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   753
is efficient in many cases, but could end up
606
Chengsong
parents: 605
diff changeset
   754
with exponential run time.
Chengsong
parents: 605
diff changeset
   755
The backtracking method is employed in regex libraries
Chengsong
parents: 605
diff changeset
   756
that support \emph{back-references}, for example
Chengsong
parents: 605
diff changeset
   757
in Java and Python.
605
Chengsong
parents: 604
diff changeset
   758
%\section{Back-references and The Terminology Regex}
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
   759
605
Chengsong
parents: 604
diff changeset
   760
%When one constructs an $\NFA$ out of a regular expression
Chengsong
parents: 604
diff changeset
   761
%there is often very little to be done in the first phase, one simply 
Chengsong
parents: 604
diff changeset
   762
%construct the $\NFA$ states based on the structure of the input regular expression.
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
   763
605
Chengsong
parents: 604
diff changeset
   764
%In the lexing phase, one can simulate the $\mathit{NFA}$ running in two ways:
Chengsong
parents: 604
diff changeset
   765
%one by keeping track of all active states after consuming 
Chengsong
parents: 604
diff changeset
   766
%a character, and update that set of states iteratively.
Chengsong
parents: 604
diff changeset
   767
%This can be viewed as a breadth-first-search of the $\mathit{NFA}$
Chengsong
parents: 604
diff changeset
   768
%for a path terminating
Chengsong
parents: 604
diff changeset
   769
%at an accepting state.
606
Chengsong
parents: 605
diff changeset
   770
Chengsong
parents: 605
diff changeset
   771
Chengsong
parents: 605
diff changeset
   772
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   773
Consider the following regular expression where the sequence
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   774
operator is omitted for brevity:
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   775
\begin{center}
606
Chengsong
parents: 605
diff changeset
   776
	$r_1r_2r_3r_4$
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   777
\end{center}
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   778
In this example,
606
Chengsong
parents: 605
diff changeset
   779
one could label sub-expressions of interest 
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   780
by parenthesizing them and giving 
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   781
them a number in the order in which their opening parentheses appear.
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   782
One possible way of parenthesizing and labelling is: 
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   783
\begin{center}
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   784
	$\underset{1}{(}r_1\underset{2}{(}r_2\underset{3}{(}r_3)\underset{4}{(}r_4)))$
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   785
\end{center}
606
Chengsong
parents: 605
diff changeset
   786
The sub-expressions
Chengsong
parents: 605
diff changeset
   787
$r_1r_2r_3r_4$, $r_1r_2r_3$, $r_3$ and $r_4$ are labelled
Chengsong
parents: 605
diff changeset
   788
by 1 to 4, and can be ``referred back'' by their respective numbers. 
Chengsong
parents: 605
diff changeset
   789
%These sub-expressions are called "capturing groups".
Chengsong
parents: 605
diff changeset
   790
To do so, we use the syntax $\backslash i$ 
Chengsong
parents: 605
diff changeset
   791
to denote that we want the sub-string 
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   792
of the input matched by the i-th
606
Chengsong
parents: 605
diff changeset
   793
sub-expression to appear again, 
Chengsong
parents: 605
diff changeset
   794
exactly the same as it first appeared: 
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   795
\begin{center}
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   796
$\ldots\underset{\text{i-th lparen}}{(}{r_i})\ldots 
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   797
\underset{s_i \text{ which just matched} \;r_i}{\backslash i} \ldots$
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   798
\end{center}
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   799
Once the sub-string $s_i$ for the sub-expression $r_i$
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   800
has been fixed, there is no variability on what the back-reference
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   801
label $\backslash i$ can be---it is tied to $s_i$.
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   802
The overall string will look like $\ldots s_i \ldots s_i \ldots $
606
Chengsong
parents: 605
diff changeset
   803
%The backslash and number $i$ are the
Chengsong
parents: 605
diff changeset
   804
%so-called "back-references".
Chengsong
parents: 605
diff changeset
   805
%Let $e$ be an expression made of regular expressions 
Chengsong
parents: 605
diff changeset
   806
%and back-references. $e$ contains the expression $e_i$
Chengsong
parents: 605
diff changeset
   807
%as its $i$-th capturing group.
Chengsong
parents: 605
diff changeset
   808
%The semantics of back-reference can be recursively
Chengsong
parents: 605
diff changeset
   809
%written as:
Chengsong
parents: 605
diff changeset
   810
%\begin{center}
Chengsong
parents: 605
diff changeset
   811
%	\begin{tabular}{c}
Chengsong
parents: 605
diff changeset
   812
%		$L ( e \cdot \backslash i) = \{s @ s_i \mid s \in L (e)\quad s_i \in L(r_i)$\\
Chengsong
parents: 605
diff changeset
   813
%		$s_i\; \text{match of ($e$, $s$)'s $i$-th capturing group string}\}$
Chengsong
parents: 605
diff changeset
   814
%	\end{tabular}
Chengsong
parents: 605
diff changeset
   815
%\end{center}
Chengsong
parents: 605
diff changeset
   816
A concrete example
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   817
for back-references is
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   818
\begin{center}
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   819
$(.^*)\backslash 1$,
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   820
\end{center}
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   821
which matches
606
Chengsong
parents: 605
diff changeset
   822
strings that can be split into two identical halves,
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   823
for example $\mathit{foofoo}$, $\mathit{ww}$ and so on.
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   824
Note that this is different from 
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   825
repeating the  sub-expression verbatim like
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   826
\begin{center}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   827
	$(.^*)(.^*)$,
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   828
\end{center}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   829
which does not impose any restrictions on what strings the second 
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   830
sub-expression $.^*$
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   831
might match.
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   832
Another example for back-references is
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   833
\begin{center}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   834
$(.)(.)\backslash 2\backslash 1$
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   835
\end{center}
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   836
which matches four-character palindromes
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   837
like $abba$, $x??x$ and so on.
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   838
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   839
Back-references is a regex construct 
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   840
that programmers find quite useful.
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   841
According to Becchi and Crawley \cite{Becchi08},
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   842
6\% of Snort rules (up until 2008) use them.
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   843
The most common use of back-references
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   844
is to express well-formed html files,
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   845
where back-references are convenient for matching
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   846
opening and closing tags like 
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   847
\begin{center}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   848
	$\langle html \rangle \ldots \langle / html \rangle$
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   849
\end{center}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   850
A regex describing such a format
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   851
is
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   852
\begin{center}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   853
	$\langle (.^+) \rangle \ldots \langle / \backslash 1 \rangle$
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   854
\end{center}
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   855
Despite being useful, the expressive power of regexes 
633
f1edd5ee1a12 more, including link
Chengsong
parents: 631
diff changeset
   856
go beyond regular languages 
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   857
once back-references are included.
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   858
In fact, they allow the regex construct to express 
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   859
languages that cannot be contained in context-free
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   860
languages either.
608
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   861
For example, the back-reference $(a^*)b\backslash1 b \backslash 1$
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   862
expresses the language $\{a^n b a^n b a^n\mid n \in \mathbb{N}\}$,
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   863
which cannot be expressed by 
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   864
context-free grammars \cite{campeanu2003formal}.
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   865
Such a language is contained in the context-sensitive hierarchy
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   866
of formal languages. 
618
233cf2b97d1a chapter 5 finished!!
Chengsong
parents: 612
diff changeset
   867
Also solving the matching problem involving back-references
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
   868
is known to be NP-complete \parencite{alfred2014algorithms}.
608
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   869
Regex libraries supporting back-references such as 
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   870
PCRE \cite{pcre} therefore have to
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   871
revert to a depth-first search algorithm including backtracking.
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
   872
What is unexpected is that even in the cases 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
   873
not involving back-references, there is still
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
   874
a (non-negligible) chance they might backtrack super-linearly,
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   875
as shown in the graphs in figure \ref{fig:aStarStarb}.
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
   876
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   877
Summing up, we can categorise existing 
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   878
practical regex libraries into two kinds:
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   879
(i) The ones  with  linear
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   880
time guarantees like Go and Rust. The downside with them is that
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   881
they impose restrictions
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   882
on the regular expressions (not allowing back-references, 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   883
bounded repetitions cannot exceed an ad hoc limit etc.).
633
f1edd5ee1a12 more, including link
Chengsong
parents: 631
diff changeset
   884
And (ii) those 
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   885
that allow large bounded regular expressions and back-references
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   886
at the expense of using backtracking algorithms.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   887
They can potentially ``grind to a halt''
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   888
on some very simple cases, resulting 
633
f1edd5ee1a12 more, including link
Chengsong
parents: 631
diff changeset
   889
ReDoS attacks if exposed to the internet.
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   890
633
f1edd5ee1a12 more, including link
Chengsong
parents: 631
diff changeset
   891
The problems with both approaches are the motivation for us 
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   892
to look again at the regular expression matching problem. 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   893
Another motivation is that regular expression matching algorithms
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   894
that follow the POSIX standard often contain errors and bugs 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   895
as we shall explain next.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   896
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   897
%We would like to have regex engines that can 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   898
%deal with the regular part (e.g.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   899
%bounded repetitions) of regexes more
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   900
%efficiently.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   901
%Also we want to make sure that they do it correctly.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   902
%It turns out that such aim is not so easy to achieve.
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   903
 %TODO: give examples such as RE2 GOLANG 1000 restriction, rust no repetitions 
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   904
% For example, the Rust regex engine claims to be linear, 
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   905
% but does not support lookarounds and back-references.
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   906
% The GoLang regex library does not support over 1000 repetitions.  
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   907
% Java and Python both support back-references, but shows
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   908
%catastrophic backtracking behaviours on inputs without back-references(
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   909
%when the language is still regular).
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   910
 %TODO: test performance of Rust on (((((a*a*)b*)b){20})*)c  baabaabababaabaaaaaaaaababaaaababababaaaabaaabaaaaaabaabaabababaababaaaaaaaaababaaaababababaaaaaaaaaaaaac
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   911
 %TODO: verify the fact Rust does not allow 1000+ reps
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   912
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
   913
605
Chengsong
parents: 604
diff changeset
   914
Chengsong
parents: 604
diff changeset
   915
Chengsong
parents: 604
diff changeset
   916
%The time cost of regex matching algorithms in general
Chengsong
parents: 604
diff changeset
   917
%involve two different phases, and different things can go differently wrong on 
Chengsong
parents: 604
diff changeset
   918
%these phases.
Chengsong
parents: 604
diff changeset
   919
%$\DFA$s usually have problems in the first (construction) phase
Chengsong
parents: 604
diff changeset
   920
%, whereas $\NFA$s usually run into trouble
Chengsong
parents: 604
diff changeset
   921
%on the second phase.
Chengsong
parents: 604
diff changeset
   922
Chengsong
parents: 604
diff changeset
   923
Chengsong
parents: 604
diff changeset
   924
\section{Error-prone POSIX Implementations}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   925
Very often there are multiple ways of matching a string
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   926
with a regular expression.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   927
In such cases the regular expressions matcher needs to
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   928
disambiguate.
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   929
The more widely used strategy is called POSIX,
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   930
which roughly speaking always chooses the longest initial match.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   931
The POSIX strategy is widely adopted in many regular expression matchers.
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   932
However, many implementations (including the C libraries
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   933
used by Linux and OS X distributions) contain bugs
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   934
or do not meet the specification they claim to adhere to.
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   935
Kuklewicz maintains a unit test repository which lists some
628
7af4e2420a8c ready to submit~~
Chengsong
parents: 622
diff changeset
   936
problems with existing regular expression engines \cite{KuklewiczHaskell}.
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   937
In some cases, they either fail to generate a
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   938
result when there exists a match,
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   939
or give results that are inconsistent with the POSIX standard.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   940
A concrete example is the regex:
605
Chengsong
parents: 604
diff changeset
   941
\begin{center}
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   942
	$(aba + ab + a)^* \text{and the string} \; ababa$
605
Chengsong
parents: 604
diff changeset
   943
\end{center}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   944
The correct POSIX match for the above
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   945
involves the entire string $ababa$, 
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   946
split into two Kleene star iterations, namely $[ab], [aba]$ at positions
605
Chengsong
parents: 604
diff changeset
   947
$[0, 2), [2, 5)$
Chengsong
parents: 604
diff changeset
   948
respectively.
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   949
But feeding this example to the different engines
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   950
in regex101 \parencite{regex101} \footnote{
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   951
	regex101 is an online regular expression matcher which
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   952
	provides API for trying out regular expression
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   953
	engines of multiple popular programming languages like
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   954
Java, Python, Go, etc.}
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   955
yields
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   956
only two incomplete matches: $[aba]$ at $[0, 3)$
605
Chengsong
parents: 604
diff changeset
   957
and $a$ at $[4, 5)$.
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   958
Fowler \cite{fowler2003} and Kuklewicz \cite{KuklewiczHaskell} 
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   959
commented that most regex libraries are not
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   960
correctly implementing the central POSIX
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   961
rule, called the maximum munch rule.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   962
Grathwohl \parencite{grathwohl2014crash} wrote,
605
Chengsong
parents: 604
diff changeset
   963
\begin{quote}
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   964
	``The POSIX strategy is more complicated than the 
605
Chengsong
parents: 604
diff changeset
   965
	greedy because of the dependence on information about 
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   966
	the length of matched strings in the various subexpressions.''
605
Chengsong
parents: 604
diff changeset
   967
\end{quote}
Chengsong
parents: 604
diff changeset
   968
%\noindent
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   969
We think the implementation complexity of POSIX rules also come from
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   970
the specification being not very precise.
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   971
The developers of the regexp package of GO 
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   972
\footnote{\url{https://pkg.go.dev/regexp\#pkg-overview}}
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   973
commented that
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   974
\begin{quote}\it
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   975
``
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   976
The POSIX rule is computationally prohibitive
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   977
and not even well-defined.
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   978
``
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
   979
\end{quote}
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   980
There are many informal summaries of this disambiguation
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   981
strategy, which are often quite long and delicate.
608
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
   982
For example Kuklewicz \cite{KuklewiczHaskell} 
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
   983
described the POSIX rule as (section 1, last paragraph):
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   984
\begin{quote}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   985
	\begin{itemize}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   986
		\item
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   987
regular expressions (REs) take the leftmost starting match, and the longest match starting there
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   988
earlier subpatterns have leftmost-longest priority over later subpatterns\\
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   989
\item
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   990
higher-level subpatterns have leftmost-longest priority over their component subpatterns\\
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   991
\item
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   992
REs have right associative concatenation which can be changed with parenthesis\\
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   993
\item
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   994
parenthesized subexpressions return the match from their last usage\\
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   995
\item
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   996
text of component subexpressions must be contained in the text of the 
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   997
higher-level subexpressions\\
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   998
\item
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
   999
if "p" and "q" can never match the same text then "p|q" and "q|p" are equivalent, up to trivial renumbering of captured subexpressions\\
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
  1000
\item
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1001
if "p" in "p*" is used to capture non-empty text then additional repetitions of "p" will not capture an empty string\\
607
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
  1002
\end{itemize}
e6fc9b72c0e3 chap1 almost done
Chengsong
parents: 606
diff changeset
  1003
\end{quote}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1004
%The text above 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1005
%is trying to capture something very precise,
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1006
%and is crying out for formalising.
608
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
  1007
Ausaf et al. \cite{AusafDyckhoffUrban2016}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1008
are the first to
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1009
give a quite simple formalised POSIX
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1010
specification in Isabelle/HOL, and also prove 
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1011
that their specification coincides with the 
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1012
POSIX specification given by Okui and Suzuki \cite{Okui10}.
608
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
  1013
They then formally proved the correctness of
37b6fd310a16 added related work chap
Chengsong
parents: 607
diff changeset
  1014
a lexing algorithm by Sulzmann and Lu \cite{Sulzmann2014}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1015
with regards to that specification.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1016
They also found that the informal POSIX
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
  1017
specification by Sulzmann and Lu needs to be revised for the correctness proof.
605
Chengsong
parents: 604
diff changeset
  1018
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
  1019
In the next section, we will briefly
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1020
introduce Brzozowski derivatives and Sulzmann
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1021
and Lu's algorithm, which the main point of this thesis builds on.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1022
%We give a taste of what they 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1023
%are like and why they are suitable for regular expression
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1024
%matching and lexing.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1025
\section{Formal Specification of POSIX Matching 
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1026
and Brzozowski Derivatives}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1027
%Now we start with the central topic of the thesis: Brzozowski derivatives.
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1028
Brzozowski \cite{Brzozowski1964} first introduced the 
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1029
concept of a \emph{derivative} of regular expression in 1964.
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1030
The derivative of a regular expression $r$
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1031
with respect to a character $c$, is written as $r \backslash c$.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1032
This operation tells us what $r$ transforms into
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1033
if we ``chop'' off the first character $c$ 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1034
from all strings in the language of $r$ (defined
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1035
later as $L \; r$).
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1036
%To give a flavour of Brzozowski derivatives, we present
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1037
%two straightforward clauses from it:
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1038
%\begin{center}
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1039
%	\begin{tabular}{lcl}
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1040
%		$d \backslash c$     & $\dn$ & 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1041
%		$\mathit{if} \;c = d\;\mathit{then}\;\ONE\;\mathit{else}\;\ZERO$\\
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1042
%$(r_1 + r_2)\backslash c$     & $\dn$ & $r_1 \backslash c \,+\, r_2 \backslash c$\\
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1043
%	\end{tabular}
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1044
%\end{center}
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1045
%\noindent
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1046
%The first clause says that for the regular expression
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
  1047
%denoting a singleton set consisting of a single-character string $\{ d \}$,
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1048
%we check the derivative character $c$ against $d$,
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1049
%returning a set containing only the empty string $\{ [] \}$
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1050
%if $c$ and $d$ are equal, and the empty set $\varnothing$ otherwise.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1051
%The second clause states that to obtain the regular expression
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1052
%representing all strings' head character $c$ being chopped off
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1053
%from $r_1 + r_2$, one simply needs to recursively take derivative
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1054
%of $r_1$ and $r_2$ and then put them together.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1055
Derivatives have the property
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1056
that $s \in L \; (r\backslash c)$ if and only if 
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1057
$c::s \in L \; r$ where $::$ stands for list prepending.
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1058
%This property can be used on regular expressions
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1059
%matching and lexing--to test whether a string $s$ is in $L \; r$,
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1060
%one simply takes derivatives of $r$ successively with
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1061
%respect to the characters (in the correct order) in $s$,
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1062
%and then test whether the empty string is in the last regular expression.
636
0bcb4a7cb40c chap 1 all incorporated
Chengsong
parents: 635
diff changeset
  1063
With this property, derivatives give a simple solution
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1064
to the problem of matching a string $s$ with a regular
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
  1065
expression $r$: if the derivative of $r$ w.r.t.\ (in
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
  1066
succession) all the characters of the string matches the empty string,
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
  1067
then $r$ matches $s$ (and {\em vice versa}).  
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1068
%This makes formally reasoning about these properties such
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1069
%as correctness and complexity smooth and intuitive.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1070
There had been several mechanised proofs about this property in various theorem
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1071
provers,
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1072
for example one by Owens and Slind \cite{Owens2008} in HOL4,
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1073
another one by Krauss and Nipkow \cite{Nipkow98} in Isabelle/HOL, and
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1074
yet another in Coq by Coquand and Siles \cite{Coquand2012}.
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1075
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1076
In addition, one can extend derivatives to bounded repetitions
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1077
relatively straightforwardly. For example, the derivative for 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1078
this can be defined as:
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1079
\begin{center}
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1080
	\begin{tabular}{lcl}
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1081
		$r^{\{n\}} \backslash c$     & $\dn$ & $r \backslash c \cdot
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1082
		r^{\{n-1\}}$\\
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1083
	\end{tabular}
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1084
\end{center}
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1085
\noindent
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1086
Experimental results suggest that  unlike DFA-based solutions
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1087
for bounded regular expressions,
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1088
derivatives can cope
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1089
large counters
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1090
quite well.
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1091
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1092
There has also been 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1093
extensions to other constructs.
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1094
For example, Owens et al include the derivatives
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1095
for the \emph{NOT} regular expression, which is
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1096
able to concisely express C-style comments of the form
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1097
$/* \ldots */$ (see \cite{Owens2008}).
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1098
Another extension for derivatives is
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1099
regular expressions with look-aheads, done
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1100
by Miyazaki and Minamide
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1101
\cite{Takayuki2019}.
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1102
%We therefore use Brzozowski derivatives on regular expressions 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1103
%lexing 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1104
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1105
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1106
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1107
Given the above definitions and properties of
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1108
Brzozowski derivatives, one quickly realises their potential
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1109
in generating a formally verified algorithm for lexing--the clauses and property
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1110
can be easily expressed in a functional programming language 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1111
or converted to theorem prover
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1112
code, with great extensibility.
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1113
Perhaps this is the reason why it has sparked quite a bit of interest
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1114
in the functional programming and theorem prover communities in the last
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1115
fifteen or so years (
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1116
\cite{Almeidaetal10}, \cite{Berglund14}, \cite{Berglund18},
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1117
\cite{Chen12} and \cite{Coquand2012}
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1118
to name a few), despite being buried in the ``sands of time'' \cite{Owens2008}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1119
after they were first published by Brzozowski.
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1120
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1121
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1122
However, there are two difficulties with derivative-based matchers:
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1123
First, Brzozowski's original matcher only generates a yes/no answer
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1124
for whether a regular expression matches a string or not.  This is too
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1125
little information in the context of lexing where separate tokens must
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1126
be identified and also classified (for example as keywords
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1127
or identifiers). 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1128
Second, derivative-based matchers need to be more efficient.
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1129
Elegant and beautiful
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1130
as many implementations are,
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1131
they can be excruciatingly slow. 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1132
For example, Sulzmann and Lu
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1133
claim a linear running time of their proposed algorithm,
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1134
but that was falsified by our experiments. The running time 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1135
is actually $\Omega(2^n)$ in the worst case.
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1136
A similar claim about a theoretical runtime of $O(n^2)$ 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1137
is made for the Verbatim \cite{Verbatim}
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1138
%TODO: give references
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1139
lexer, which calculates POSIX matches and is based on derivatives.
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1140
They formalized the correctness of the lexer, but not their complexity result.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1141
In the performance evaluation section, they analyzed the run time
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1142
of matching $a$ with the string 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1143
\begin{center}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1144
	$\underbrace{a \ldots a}_{\text{n a's}}$.
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1145
\end{center}
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1146
\noindent
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1147
They concluded that the algorithm is quadratic in terms of 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1148
the length of the input string.
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1149
When we tried out their extracted OCaml code with our example $(a+aa)^*$,
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1150
the time it took to match a string of 40 $a$'s was approximately 5 minutes.
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1151
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1152
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1153
\subsection{Sulzmann and Lu's Algorithm}
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1154
Sulzmann and Lu~\cite{Sulzmann2014} overcame the first 
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1155
problem with the yes/no answer 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1156
by cleverly extending Brzozowski's matching
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1157
algorithm. Their extended version generates additional information on
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1158
\emph{how} a regular expression matches a string following the POSIX
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1159
rules for regular expression matching. They achieve this by adding a
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1160
second ``phase'' to Brzozowski's algorithm involving an injection
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1161
function.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1162
In earlier work, Ausaf et al provided the formal
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1163
specification of what POSIX matching means and proved in Isabelle/HOL
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1164
the correctness
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1165
of this extended algorithm accordingly
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1166
\cite{AusafDyckhoffUrban2016}.
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1167
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1168
The version of the algorithm proven correct 
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1169
suffers heavily from a 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1170
second difficulty, where the internal derivatives can
609
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1171
grow to arbitrarily big sizes. 
61139fdddae0 chap1 totally done
Chengsong
parents: 608
diff changeset
  1172
For example if we start with the
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1173
regular expression $(a+aa)^*$ and take
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1174
successive derivatives according to the character $a$, we end up with
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1175
a sequence of ever-growing derivatives like 
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1176
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1177
\def\ll{\stackrel{\_\backslash{} a}{\longrightarrow}}
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1178
\begin{center}
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1179
\begin{tabular}{rll}
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1180
$(a + aa)^*$ & $\ll$ & $(\ONE + \ONE{}a) \cdot (a + aa)^*$\\
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1181
& $\ll$ & $(\ZERO + \ZERO{}a + \ONE) \cdot (a + aa)^* \;+\; (\ONE + \ONE{}a) \cdot (a + aa)^*$\\
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1182
& $\ll$ & $(\ZERO + \ZERO{}a + \ZERO) \cdot (a + aa)^* + (\ONE + \ONE{}a) \cdot (a + aa)^* \;+\; $\\
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1183
& & $\qquad(\ZERO + \ZERO{}a + \ONE) \cdot (a + aa)^* + (\ONE + \ONE{}a) \cdot (a + aa)^*$\\
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1184
& $\ll$ & \ldots \hspace{15mm}(regular expressions of sizes 98, 169, 283, 468, 767, \ldots)
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1185
\end{tabular}
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1186
\end{center}
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1187
 
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1188
\noindent where after around 35 steps we run out of memory on a
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1189
typical computer.  Clearly, the
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1190
notation involving $\ZERO$s and $\ONE$s already suggests
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1191
simplification rules that can be applied to regular regular
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1192
expressions, for example $\ZERO{}\,r \Rightarrow \ZERO$, $\ONE{}\,r
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1193
\Rightarrow r$, $\ZERO{} + r \Rightarrow r$ and $r + r \Rightarrow
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1194
r$. While such simple-minded simplifications have been proved in 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1195
the work by Ausaf et al. to preserve the correctness of Sulzmann and Lu's
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1196
algorithm \cite{AusafDyckhoffUrban2016}, they unfortunately do
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1197
\emph{not} help with limiting the growth of the derivatives shown
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1198
above: the growth is slowed, but the derivatives can still grow rather
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1199
quickly beyond any finite bound.
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1200
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1201
Therefore we want to look in this thesis at a second
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1202
algorithm by Sulzmann and Lu where they
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1203
overcame this ``growth problem'' \cite{Sulzmann2014}.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1204
In this version, POSIX values are 
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
  1205
represented as bit sequences and such sequences are incrementally generated
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1206
when derivatives are calculated. The compact representation
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
  1207
of bit sequences and regular expressions allows them to define a more
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1208
``aggressive'' simplification method that keeps the size of the
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1209
derivatives finite no matter what the length of the string is.
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1210
They make some informal claims about the correctness and linear behaviour
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1211
of this version, but do not provide any supporting proof arguments, not
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
  1212
even ``pencil-and-paper'' arguments. They write about their bit-coded
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1213
\emph{incremental parsing method} (that is the algorithm to be formalised
538
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
  1214
in this dissertation)
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1215
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1216
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1217
  
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1218
  \begin{quote}\it
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1219
  ``Correctness Claim: We further claim that the incremental parsing
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1220
  method [..] in combination with the simplification steps [..]
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1221
  yields POSIX parse trees. We have tested this claim
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1222
  extensively [..] but yet
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1223
  have to work out all proof details.'' \cite[Page 14]{Sulzmann2014}
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1224
\end{quote}  
622
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1225
Ausaf and Urban made some initial progress towards the 
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1226
full correctness proof but still had to leave out the optimisation
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1227
Sulzmann and Lu proposed.
4b1149fb5aec incorporated more comments, bib
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  1228
Ausaf  wrote \cite{Ausaf},
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  1229
  \begin{quote}\it
609
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``The next step would be to implement a more aggressive simplification procedure on annotated regular expressions and then prove the corresponding algorithm generates the same values as blexer. Alas due to time constraints we are unable to do so here.''
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cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1231
\end{quote}  
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1232
This thesis implements the aggressive simplifications envisioned
cc54ce075db5 restructured
Chengsong
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diff changeset
  1233
by Ausaf and Urban,
622
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  1234
together with a formal proof of the correctness of those simplifications.
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  1235
cc54ce075db5 restructured
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  1236
612
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diff changeset
  1237
One of the most recent work in the context of lexing
Chengsong
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diff changeset
  1238
%with this issue
630
d50a309a0645 with Christian
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parents: 628
diff changeset
  1239
is the Verbatim lexer by Egolf, Lasser and Fisher~\cite{Verbatim}.
612
Chengsong
parents: 609
diff changeset
  1240
This is relevant work for us and we will compare it later with 
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parents: 609
diff changeset
  1241
our derivative-based matcher we are going to present.
Chengsong
parents: 609
diff changeset
  1242
There is also some newer work called
630
d50a309a0645 with Christian
Chengsong
parents: 628
diff changeset
  1243
Verbatim++~\cite{Verbatimpp}, which does not use derivatives, 
612
Chengsong
parents: 609
diff changeset
  1244
but deterministic finite automaton instead.
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parents: 609
diff changeset
  1245
%An example that gives problem to automaton approaches would be
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parents: 609
diff changeset
  1246
%the regular expression $(a|b)^*a(a|b)^{\{n\}}$.
Chengsong
parents: 609
diff changeset
  1247
%It requires at least $2^{n+1}$ states to represent
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diff changeset
  1248
%as a DFA.
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parents: 609
diff changeset
  1249
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diff changeset
  1250
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%----------------------------------------------------------------------------------------
cc54ce075db5 restructured
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  1252
\section{Contribution}
cc54ce075db5 restructured
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diff changeset
  1253
609
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diff changeset
  1254
In this thesis,
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diff changeset
  1255
we propose a solution to catastrophic
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parents: 608
diff changeset
  1256
backtracking and error-prone matchers: a formally verified
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parents: 608
diff changeset
  1257
regular expression lexing algorithm
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parents: 608
diff changeset
  1258
that is both fast
61139fdddae0 chap1 totally done
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parents: 608
diff changeset
  1259
and correct by extending Ausaf et al.'s work.
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parents: 608
diff changeset
  1260
The end result is %a regular expression lexing algorithm that comes with 
538
8016a2480704 intro and chap2
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parents: 537
diff changeset
  1261
\begin{itemize}
8016a2480704 intro and chap2
Chengsong
parents: 537
diff changeset
  1262
\item
609
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diff changeset
  1263
an improved version of  Sulzmann and Lu's bit-coded algorithm using 
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parents: 608
diff changeset
  1264
derivatives with simplifications, 
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diff changeset
  1265
accompanied by
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diff changeset
  1266
a proven correctness theorem according to POSIX specification 
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parents: 608
diff changeset
  1267
given by Ausaf et al. \cite{AusafDyckhoffUrban2016}, 
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parents: 608
diff changeset
  1268
\item 
61139fdddae0 chap1 totally done
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diff changeset
  1269
a complexity-related property for that algorithm saying that the 
61139fdddae0 chap1 totally done
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parents: 608
diff changeset
  1270
internal data structure will
61139fdddae0 chap1 totally done
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diff changeset
  1271
remain finite,
538
8016a2480704 intro and chap2
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parents: 537
diff changeset
  1272
\item
609
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diff changeset
  1273
and extension to
61139fdddae0 chap1 totally done
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parents: 608
diff changeset
  1274
the bounded repetitions construct with the correctness and finiteness property
61139fdddae0 chap1 totally done
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parents: 608
diff changeset
  1275
maintained.
622
4b1149fb5aec incorporated more comments, bib
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  1276
\end{itemize}
4b1149fb5aec incorporated more comments, bib
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  1277
\noindent
609
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diff changeset
  1278
With a formal finiteness bound in place,
61139fdddae0 chap1 totally done
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diff changeset
  1279
we can greatly reduce the attack surface of servers in terms of ReDoS attacks.
631
Chengsong
parents: 630
diff changeset
  1280
The Isabelle/HOL code for our formalisation can be 
Chengsong
parents: 630
diff changeset
  1281
found at
Chengsong
parents: 630
diff changeset
  1282
\begin{center}
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parents: 630
diff changeset
  1283
\url{https://github.com/hellotommmy/posix}
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parents: 630
diff changeset
  1284
\end{center}
609
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  1285
Further improvements to the algorithm with an even stronger version of 
631
Chengsong
parents: 630
diff changeset
  1286
simplification can be made. We conjecture that the resulting size of derivatives
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parents: 630
diff changeset
  1287
can be bounded by a cubic bound w.r.t. the size of the regular expression.
Chengsong
parents: 630
diff changeset
  1288
609
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parents: 608
diff changeset
  1289
538
8016a2480704 intro and chap2
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parents: 537
diff changeset
  1290
8016a2480704 intro and chap2
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parents: 537
diff changeset
  1291
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diff changeset
  1292
cc54ce075db5 restructured
Chengsong
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  1293
cc54ce075db5 restructured
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parents:
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  1294
\section{Structure of the thesis}
622
4b1149fb5aec incorporated more comments, bib
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  1295
In chapter \ref{Inj} we will introduce the concepts
532
cc54ce075db5 restructured
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parents:
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  1296
and notations we 
622
4b1149fb5aec incorporated more comments, bib
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diff changeset
  1297
use for describing regular expressions and derivatives,
4b1149fb5aec incorporated more comments, bib
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parents: 620
diff changeset
  1298
and the first version of their lexing algorithm without bitcodes (including 
4b1149fb5aec incorporated more comments, bib
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parents: 620
diff changeset
  1299
its correctness proof).
4b1149fb5aec incorporated more comments, bib
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  1300
We will give their second lexing algorithm with bitcodes in \ref{Bitcoded1}
4b1149fb5aec incorporated more comments, bib
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parents: 620
diff changeset
  1301
together with the correctness proof by Ausaf and Urban.
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1302
Then we illustrate in chapter \ref{Bitcoded2}
4b1149fb5aec incorporated more comments, bib
Chengsong
parents: 620
diff changeset
  1303
how Sulzmann and Lu's
4b1149fb5aec incorporated more comments, bib
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parents: 620
diff changeset
  1304
simplifications fail to simplify. We therefore introduce our version of the
4b1149fb5aec incorporated more comments, bib
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parents: 620
diff changeset
  1305
algorithm with simplification and 
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1306
its correctness proof .  
622
4b1149fb5aec incorporated more comments, bib
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diff changeset
  1307
In chapter \ref{Finite} we give the second guarantee
532
cc54ce075db5 restructured
Chengsong
parents:
diff changeset
  1308
of our bitcoded algorithm, that is a finite bound on the size of any 
631
Chengsong
parents: 630
diff changeset
  1309
regular expression's derivatives. 
Chengsong
parents: 630
diff changeset
  1310
We also show how one can extend the
Chengsong
parents: 630
diff changeset
  1311
algorithm to include bounded repetitions. 
622
4b1149fb5aec incorporated more comments, bib
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parents: 620
diff changeset
  1312
In chapter \ref{Cubic} we discuss stronger simplification rules which 
631
Chengsong
parents: 630
diff changeset
  1313
improve the finite bound to a cubic bound.%and the NOT regular expression.
637
Chengsong
parents: 636
diff changeset
  1314
Chapter \ref{RelatedWork} introduces relevant work for this thesis.
Chengsong
parents: 636
diff changeset
  1315
Chapter \ref{Future} concludes with avenues of future research.
532
cc54ce075db5 restructured
Chengsong
parents:
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  1316
 
cc54ce075db5 restructured
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cc54ce075db5 restructured
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%----------------------------------------------------------------------------------------
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  1322
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  1323
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%----------------------------------------------------------------------------------------
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  1326
%----------------------------------------------------------------------------------------
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  1327
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  1328
%----------------------------------------------------------------------------------------
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  1329
cc54ce075db5 restructured
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parents:
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  1330