# PDF Encryption

This chapter discusses PDF encryption in a general way with an angle toward how it works in qpdf. This chapter is not intended to replace the PDF specification. Please consult the spec for full details.

## PDF Encryption Concepts

Encryption

  Encryption is the replacement of clear text with encrypted text, also known as ciphertext. The clear text may be retrieved from the ciphertext if the encryption key is known.

  PDF files consist of an object structure. PDF objects may be of a variety of types including (among others) numbers, boolean values, names, arrays, dictionaries, strings, and streams. In a PDF file, only strings and streams are encrypted.

Security Handler

  Since the inception of PDF, there have been several modifications to the way files are encrypted. Encryption is handled by a security handler. The standard security handler is password-based. This is the only security handler implemented by qpdf, and this material is all focused on the standard security handler. There are various flags that control the specific details of encryption with the standard security handler. These are discussed below.

Encryption Key

  This refers to the actual key used by the encryption and decryption algorithms. It is distinct from the password. The main encryption key is generated at random and stored encrypted in the PDF file. The passwords used to protect a PDF file, if any, are used to protect the encryption key. This design makes it possible to use different passwords (e.g., user and owner passwords) to retrieve the encryption key or even to change the password on a file without changing the encryption key. qpdf can expose the encryption key when run with the `--show-encryption-key` option and can accept a hex-encoded encryption key in place of a password when run with the `--password-is-hex-key` option.

Password Protection

  Password protection is distinct from encryption. This point is often misunderstood. A PDF file can be encrypted without being password-protected. The intent of PDF encryption was that there would be two passwords: a user password and an owner password. Either password can be used to retrieve the encryption key. A conforming reader is supposed to obey the security restrictions if the file is opened using the user password but not if the file is opened with the owner password. qpdf makes no distinction between which password is used to open the file. The distinction made by conforming readers between the user and owner password is what makes it common to create encrypted files with no password protection. This is done by using the empty string as the user password and some secret string as the owner password. When a user opens the PDF file, the empty string is used to retrieve the encryption key, making the file usable, but a conforming reader restricts certain operations from the user.

What does all this mean? Here are a few things to realize.

- Since the user password and the owner password are both used to recover the single encryption key, there is fundamentally no way to prevent an application from disregarding the security restrictions on a file. Any software that can read the encrypted file at all has the encryption key. Therefore, the security of the restrictions placed on PDF files is solely enforced by the software. Any open source PDF reader could be trivially modified to ignore the security restrictions on a file. The PDF specification is clear about this point. This means that PDF restrictions on non-password-protected files only restrict users who don’t know how to circumvent them.

- If a file is password-protected, you have to know at least one of the user or owner password to retrieve the encryption key. However, in the case of 40-bit encryption, the actual encryption key is only 5 bytes long and can be easily brute-forced. As such, files encrypted with 40-bit encryption are not secure regardless of how strong the password is. With 128-bit encryption, the default security handler uses RC4 encryption, which is also known to be insecure. As such, the only way to securely encrypt a PDF file using the standard security handler (as of the last review of this chapter in 2022) is to use AES encryption. This is the only supported algorithm with 256-bit encryption, and it can be selected to be used with 128-bit encryption as well. However there is no reason to use 128-bit encryption with AES. If you are going to use AES, just use 256-bit encryption instead. The security of a 256-bit AES-encrypted PDF file with a strong password is comparable to using a general-purpose encryption tool like gpg or openssl to encrypt the PDF file with the same password, but the advantage of using PDF encryption is that no software is required beyond a regular PDF viewer.

## PDF Encryption Details

This section describes a few details about PDF encryption. It does not describe all the details. For that, read the PDF specification. The details presented here, however, should go a long way toward helping a casual user/developer understand what’s going on with encrypted PDF files.

Here are more concepts to understand.

Algorithm parameters `V` and `R`

  There are two parameters that control the details of encryption using the standard security handler: `V` and `R`.

  `V` is a code specifying the algorithms that are used for encrypting the file, handling keys, etc. It may have any of the following values:

  Encryption Algorithms: `V`
  V | Meaning
  --- | ---
  1 | The original algorithm, which encrypted files using 40-bit keys.
  2 | An extension of the original algorithm allowing longer keys. Introduced in PDF 1.4.
  3 | An unpublished algorithm that permits file encryption key lengths ranging from 40 to 128 bits. Introduced in PDF 1.4. qpdf is believed to be able to read files with `V` = 3 but does not write such files.
  4 | An extension of the algorithm that allows it to be parameterized by additional rules for handling strings and streams. Introduced in PDF 1.5.
  5 | An algorithm that allows specification of separate security handlers for strings and streams as well as embedded files, and which supports 256-bit keys. Introduced in PDF 1.7 extension level 3 and later extended in extension level 8. This is the encryption system in the PDF 2.0 specification, ISO-32000.

  `R` is a code specifying the revision of the standard handler. It is tightly coupled with the value of `V`. `R` may have any of the following values:

  Relationship between `R` and `V`
  R | Expected V
  --- | ---
  2 | `V` must be 1
  3 | `V` must be 2 or 3
  4 | `V` must be 4
  5 | `V` must be 5; this extension was never fully specified and existed for a short time in some versions of Acrobat. qpdf is able to read and write this format, but it should not be used for any purpose other than testing compatibility with the format.
  6 | `V` must be 5. This is the only value that is not deprecated in the PDF 2.0 specification, ISO-32000.

Encryption Dictionary

  Encrypted PDF files have an encryption dictionary. There are several fields, but these are the important ones for our purposes:

  - `V` and `R` as described above

  - `O`, `U`, `OE`, `UE`: values used by the algorithms that recover the encryption key from the user and owner password. Which of these are defined and how they are used vary based on the value of `R`.

  - `P`: a bit field that describes which restrictions are in place. This is discussed below in PDF Security Restrictions

Encryption Algorithms

  PDF files may be encrypted with the obsolete, insecure RC4 algorithm or the more secure AES algorithm. See also Weak Cryptography for a discussion. 40-bit encryption always uses RC4. 128-bit can use either RC4 (the default for compatibility reasons) or, starting with PDF 1.6, AES. 256-bit encryption always uses AES.

## PDF Security Restrictions

PDF security restrictions are described by a bit field whose value is stored in the `P` field in the encryption dictionary. The value of `P` is used by the algorithms to recover the encryption key given the password, which makes the value of `P` tamper-resistant.

`P` is a 32-bit integer, treated as a signed twos-complement number. A 1 in any bit position means the permission is granted. The PDF specification numbers the bits from 1 (least significant bit) to 32 (most significant bit) rather than the more customary 0 to 31. For consistency with the spec, the remainder of this section uses the 1-based numbering.

Only bits 3, 4, 5, 6, 9, 10, 11, and 12 are used. All other bits are set to 1. Since bit 32 is always set to 1, the value of `P` is always a negative number. (qpdf recognizes a positive number on behalf of buggy writers that treat `P` as unsigned. Such files have been seen in the wild.)

Here are the meanings of the bit positions. All bits not listed must have the value 1 except bits 1 and 2, which must have the value 0. However, the values of bits other than those in the table are ignored, so having incorrect values probably doesn’t break anything in most cases. A value of 1 indicates that the permission is granted.

`P` Bit Values
Bit | Meaning
--- | ---
3 | for `R` = 2 printing; for `R` ≥ 3, printing at low resolution
4 | modifying the document except as controlled by bits 6, 9, and 11
5 | extracting text and graphics for purposes other than accessibility to visually impaired users
6 | add or modify annotations, fill in interactive form fields; if bit 4 is also set, create or modify interactive form fields
9 | for `R` ≥ 3, fill in interactive form fields even if bit 6 is clear
10 | not used; formerly granted permission to extract material for accessibility, but the specification now disallows restriction of accessibility, and conforming readers are to treat this bit as if it is set regardless of its value
11 | for `R` ≥ 3, assemble document including inserting, rotating, or deleting pages or creating document outlines or thumbnail images
12 | for `R` ≥ 3, allow printing at full resolution

## How qpdf handles security restrictions

The section describes exactly what the qpdf library does with regard to `P` based on the various settings of different security options.

- Start with all bits set except bits 1 and 2, which are cleared

- Clear bits and described in the table below:

  Command-line Arguments and `P` Bit Values
  R | Argument | Bits Cleared
  --- | --- | ---
  R = 2 | `--print=n` | 3
  R = 2 | `--modify=n` | 4
  R = 2 | `--extract=n` | 5
  R = 2 | `--annotate=n` | 6
  R = 3 | `--accessibility=n` | 10
  R ≥ 4 | `--accessibility=n` | ignored
  R ≥ 3 | `--extract=n` | 5
  R ≥ 3 | `--print=none` | 3, 12
  R ≥ 3 | `--print=low` | 12
  R ≥ 3 | `--modify=none` | 4, 6, 9, 11
  R ≥ 3 | `--modify=assembly` | 4, 6, 9
  R ≥ 3 | `--modify=form` | 4, 6
  R ≥ 3 | `--modify=annotate` | 4
  R ≥ 3 | `--assemble=n` | 11
  R ≥ 3 | `--annotate=n` | 6
  R ≥ 3 | `--form=n` | 9
  R ≥ 3 | `--modify-other=n` | 4

Options to qpdf, both at the CLI and library level, allow more granular clearing of permission bits than do most tools, including Adobe Acrobat. As such, PDF viewers may respond in surprising ways based on options passed to qpdf. If you observe this, it is probably not because of a bug in qpdf.

## User and Owner Passwords

When you use qpdf to show encryption parameters and you open a file with the owner password, sometimes qpdf reveals the user password, and sometimes it doesn’t. Here’s why.

For `V` < 5, the user password is actually stored in the PDF file encrypted with a key that is derived from the owner password, and the main encryption key is encrypted using a key derived from the user password. When you open a PDF file, the reader first tries to treat the given password as the user password, using it to recover the encryption key. If that works, you’re in with restrictions (assuming the reader chooses to enforce them). If it doesn’t work, then the reader treats the password as the owner password, using it to recover the user password, and then uses the user password to retrieve the encryption key. This is why creating a file with the same user password and owner password with `V` < 5 results in a file that some readers will never allow you to open as the owner. When an empty owner password is given at file creation, the user password is used as both the user and owner password. Typically when a reader encounters a file with `V` < 5, it will first attempt to treat the empty string as a user password. If that works, the file is encrypted but not password-protected. If it doesn’t work, then a password prompt is given.

For `V` ≥ 5, the main encryption key is independently encrypted using the user password and the owner password. There is no way to recover the user password from the owner password. Restrictions are imposed or not depending on which password was used. In this case, the password supplied, if any, is tried both as the user password and the owner password, and whichever works is used. Typically the password is tried as the owner password first. (This is what the PDF specification says to do.) As such, specifying a user password and leaving the owner password blank results in a file that is opened as owner with no password, effectively rendering the security restrictions useless. This is why qpdf requires you to pass `--allow-insecure` to create a file with an empty owner password when 256-bit encryption is in use.