Include <com_err.h>

[heimdal.git] / doc / standardisation / draft-ietf-cat-kerberos-pk-init-02.txt

INTERNET-DRAFT                                         Clifford Neuman
draft-ietf-cat-kerberos-pk-init-02.txt                      Brian Tung
Updates: RFC 1510                                                  ISI
expires April 19, 1997                                       John Wray
                                         Digital Equipment Corporation
                                                      Jonathan Trostle
                                                 CyberSafe Corporation


    Public Key Cryptography for Initial Authentication in Kerberos


0. Status Of this Memo

   This document is an Internet-Draft.   Internet-Drafts  are  working
   documents of the Internet Engineering Task Force (IETF), its areas,
   and its working groups.  Note that other groups may also distribute
   working documents as Internet-Drafts.

   Internet-Drafts are draft documents valid  for  a  maximum  of  six
   months  and  may  be updated, replaced, or obsoleted by other docu-
   ments at any time.  It is inappropriate to use  Internet-Drafts  as
   reference  material  or  to  cite them other than as ``work in pro-
   gress.''

   To learn the current status of any Internet-Draft, please check the
   ``1id-abstracts.txt'' listing contained in the Internet-Drafts Sha-
   dow Directories on ds.internic.net (US East  Coast),  nic.nordu.net
   (Europe),  ftp.isi.edu  (US  West Coast), or munnari.oz.au (Pacific
   Rim).

   The distribution of  this  memo  is  unlimited.   It  is  filed  as
   draft-ietf-cat-kerberos-pk-init-02.txt, and expires April 19, 1997.
   Please send comments to the authors.


1. Abstract

   This document defines extensions to the Kerberos protocol
   specification (RFC 1510, "The Kerberos Network Authentication
   Service (V5)", September 1993) to provide a method for using public
   key cryptography during initial authentication.  The method defined
   specifies the way in which preauthentication data fields and error
   data fields in Kerberos messages are to be used to transport public
   key data. 

2. Motivation

   Public key cryptography presents a means by which a principal may
   demonstrate possession of a key, without ever having divulged this
   key to anyone else.  In conventional cryptography, the encryption
   key and decryption key are either identical or can easily be
   derived from one another. In public key cryptography, however,
   neither the public key nor the private key can be derived from the
   other (although the private key RECORD may include the information
   required to generate BOTH keys). Hence, a message encrypted with a
   public key is private, since only the person possessing the private
   key can decrypt it; similarly, someone possessing the private key
   can also encrypt a message, thus providing a digital signature.

   Furthermore, conventional keys are often derived from passwords, so
   messages encrypted with these keys are susceptible to dictionary
   attacks, whereas public key pairs are generated from a
   pseudo-random number sequence.  While it is true that messages
   encrypted using public key cryptography are actually encrypted with
   a conventional secret key, which is in turn encrypted using the
   public key pair, the secret key is also randomly generated and is
   hence not vulnerable to a dictionary attack.

   The advantages provided by public key cryptography have produced a
   demand for its integration into the Kerberos authentication
   protocol. The public key integration into Kerberos described in
   this document has three goals. 

   First, by allowing users to register public keys with the KDC, the
   KDC can be recovered much more easily in the event it is
   compromised. With Kerberos as it currently stands, compromise of
   the KDC is disastrous. All keys become known by the attacker and
   all keys must be changed. Second, we allow users that have public
   key certificates signed by outside authorities to obtain Kerberos
   credentials for access to Kerberized services. Third, we obtain the
   above benefits while maintaining the performance advantages of
   Kerberos over protocols that use only public key authentication. 

   If users register public keys, compromise of the KDC does not
   divulge their private key.  Compromise of security on the KDC is
   still a problem, since an attacker can impersonate any user by
   creating a ticket granting ticket for the user. When the compromise
   is detected, the KDC can be cleaned up and restored from backup
   media and loaded with a backup private/public key pair. Keys for
   application servers are conventional symmetric keys and must be
   changed.

   Note: If a user stores his private key, in an encrypted form, on
   the KDC, then it may be desirable to change the key pair, since the
   private key is encrypted using a symmetric key derived from a
   password (as described below), and can therefore be vulnerable to
   dictionary attack if a good password policy is not used. 
   Alternatively, if the encrypting symmetric key has 56 bits, then it
   may also be desirable to change the key pair after a short period
   due to the short key length. The KDC does not have access to the
   user's unencrypted private key.

   There are two important areas where public key cryptography will
   have immediate use: in the initial authentication of users
   registered with the KDC or using public key certificates from
   outside authorities, and to establish inter-realm keys for
   cross-realm authentication. This memo describes a method by which
   the first of these can be done. The second case will be the topic
   for a separate proposal.

   Some of the ideas on which this proposal is based arose during
   discussions over several years between members of the SAAG, the
   IETF-CAT working group, and the PSRG, regarding integration of
   Kerberos and SPX.  Some ideas are drawn from the DASS system, and
   similar extensions have been discussed for use in DCE.  These
   changes are by no means endorsed by these groups.  This is an
   attempt to revive some of the goals of that group, and the
   proposal approaches those goals primarily from the Kerberos
   perspective.

3. Initial authentication of users with public keys

   This section describes the extensions to Version 5 of the Kerberos
   protocol that will support the use of public key cryptography by
   users in the initial request for a ticket granting ticket.  

   Roughly speaking, the following changes to RFC 1510 are proposed:
   Users can initially authenticate using public key or conventional
   (symmetric key) cryptography. After a KDC compromise, the KDC
   replies with an error message that informs the client of the new
   KDC public backup key. Users must authenticate using public key 
   cryptography in response to the error message. If applicable, the 
   client generates the new user secret key at this point as well. 

   Public key initial authentication is performed using either the 
   RSA encryption or Diffie Hellman public key algorithms. There is 
   also an option to allow the user to store his/her private key 
   encrypted in the user password in the KDC database; this option 
   solves the problem of transporting the user private key to
   different workstations. The combination of this option and the
   provision for conventional symmetric key authentication allows
   organizations to smoothly migrate to public key cryptography.

   This proposal will allow users either to use keys registered
   directly with the KDC, or to use keys already registered for use
   with X.509, PEM, or PGP, to obtain Kerberos credentials.  These
   credentials can then be used, as before, with application servers
   supporting Kerberos. Use of public key cryptography will not be a
   requirement for Kerberos, but if one's organization runs a KDC
   supporting public key, then users may choose to be registered with
   a public key pair, instead of or in addition to the current secret
   key.

   The application request and response between Kerberos clients and
   application servers will continue to be based on conventional
   cryptography, or will be converted to use user-to-user
   authentication.  There are performance issues and other reasons
   that servers may be better off using conventional cryptography.
   For this proposal, we feel that 80 percent of the benefits of
   integrating public key with Kerberos can be attained for 20 percent
   of the effort, by addressing only initial authentication. This
   proposal does not preclude separate extensions.

   With these changes, users will be able to register public keys,
   only in realms that support public key, but they will still be able
   to perform initial authentication from a client that does not
   support public key. They will be able to use services registered in
   any realm. Furthermore, users registered with conventional keys
   will be able to use any client.

   This proposal addresses three ways in which users may use public
   key cryptography for initial authentication with Kerberos, with
   minimal change to the existing protocol.  Users may register keys
   directly with the KDC, or they may present certificates by outside
   certification authorities (or certifications by other users)
   attesting to the association of the public key with the named user.
   In both cases, the end result is that the user obtains a
   conventional ticket granting ticket or conventional server ticket
   that may be used for subsequent authentication, with such
   subsequent authentication using only conventional cryptography.

   Additionally, users may also register a digital signature
   verification key with the KDC.  We provide this option for the
   licensing benefits, as well as a simpler variant of the initial
   authentication exchange. However, this option relies on the client
   to generate random keys.

   We first consider the case where the user's key is registered with
   the KDC.

3.1 Definitions

   Before we proceed, we will lay some groundwork definitions for
   encryption and signatures.  We propose the following definitions
   of signature and encryption modes (and their corresponding values
   on the wire):

       #define ENCTYPE_SIGN_MD5_RSA      0x0011

       #define ENCTYPE_ENCRYPT_RSA_PRIV  0x0021
       #define ENCTYPE_ENCRYPT_RSA_PUB   0x0022

   allowing further modes to be defined accordingly.

   In the exposition below, we will use the notation E (T, K) to
   denote the encryption of data T, with key (or parameters) K.

   If E is ENCTYPE_SIGN_MD5_RSA, then

       E (T, K) = {T, RSAEncryptPrivate (MD5Hash (T), K)}

   If E is ENCTYPE_ENCRYPT_RSA_PRIV, then

       E (T, K) = RSAEncryptPrivate (T, K)

   Correspondingly, if E is ENCTYPE_ENCRYPT_RSA_PUB, then

       E (T, K) = RSAEncryptPublic (T, K)


3.2 Initial request for user registered with public key on KDC 

   In this scenario it is assumed that the user is registered with a
   public key on the KDC.  The user's private key may be held by the
   user, or it may be stored on the KDC, encrypted so that it cannot
   be used by the KDC.

3.2.1 User's private key is stored locally

   Implementation of the changes in this section is REQUIRED.

   In this section, we present the basic Kerberos V5 pk-init protocol
   that all conforming implementations must support. The key features 
   of the protocol are: (1) easy, automatic (for the clients) recovery 
   after a KDC compromise, (2) the ability for a realm to support a
   mix of old and new Kerberos V5 clients with the new clients being a
   mix of both public key and symmetric key configured clients, and
   (3) support for Diffie-Hellman (DH) key exchange as well as RSA
   public key encryption. The benefit of having new clients being able
   to use either symmetric key or public key initial authentication is
   that it allows an organization to roll out the new clients as
   rapidly as possible without having to be concerned about the need
   to purchase additional hardware to support the CPU intensive public
   key cryptographic operations. 

   In order to give a brief overview of the four protocols in this
   section, we now give diagrams of the protocols. We denote
   encryption of message M with key K by {M}K and the signature of
   message M with key K by [M]K. All messages from the KDC to the
   client are AS_REP messages unless denoted otherwise; similarly, all
   messages from the client to the KDC are AS_REQ messages unless
   denoted otherwise. Since only the padata fields are affected by
   this specification in the AS_REQ and AS_REP messages, we do not
   show the other fields. We first show the RSA encryption option in
   normal mode:
       
      certifier list, [cksum, time, nonce, kdcRealm, 
      kdcName]User PrivateKey
   C ------------------------------------------------------> KDC

      list of cert's, {[encReplyKey, nonce]KDC privkey}
      EncReplyTmpKey, {EncReplyTmpKey}Userpubkey
   C <------------------------------------------------------ KDC


   We now show RSA encryption in recovery mode:

      certifier list, [cksum, time, nonce, kdcRealm, 
      kdcName]User PrivateKey
   C ------------------------------------------------------> KDC


      KRB_ERROR (error code KDC_RECOVERY_NEEDED) 
                 error data: [nonce, algID (RSA), 
                 KDC PublicKey Kvno and PublicKey, KDC Salt]
                 Signed with KDC PrivateKey
   C <------------------------------------------------------ KDC


      certifier list, [cksum, time, nonce, kdcRealm, kdcName, 
      {newUserSymmKey, nonce}KDC public key]User PrivateKey
   C ------------------------------------------------------> KDC


      list of cert's, {[encReplyKey, nonce]KDC privkey}
      EncReplyTmpKey, {EncReplyTmpKey}Userpubkey
   C <------------------------------------------------------ KDC

   Next, we show Diffie Hellman in normal mode:

      certifier list, [cksum, time, nonce, kdcRealm, kdcName, 
      User DH public parameter]User PrivateKey
   C ------------------------------------------------------> KDC


      list of cert's, {encReplyKey, nonce}DH shared symmetric 
      key, [KDC DH public parameter]KDC Private Key
   C <------------------------------------------------------ KDC


   Finally, we show Diffie Hellman in recovery mode:

      certifier list, [cksum, time, nonce, kdcRealm, kdcName, 
      User DH public parameter]User PrivateKey
   C ------------------------------------------------------> KDC


      KRB_ERROR (error code KDC_RECOVERY_NEEDED)
                error data: [nonce, algID (DH), KDC DH public 
                             parameter, KDC DH ID, KDC PublicKey 
                             Kvno and PublicKey, KDC Salt]
                             Signed with KDC PrivateKey
   C <------------------------------------------------------ KDC


      certifier list, [cksum, time, nonce, kdcRealm, 
      kdcName, User DH public parameter, {newUserSymmKey, 
      nonce}DH shared key, KDC DH ID]User PrivateKey
   C ------------------------------------------------------> KDC


      list of cert's, {encReplyKey, nonce}DH shared 
      symmetric key
   C <------------------------------------------------------ KDC



   If the user stores his private key locally, the initial request 
   to the KDC for a ticket granting ticket proceeds according to 
   RFC 1510, except that a preauthentication field containing a 
   nonce signed by the user's private key is included.  The 
   preauthentication field may also include a list of the root 
   certifiers trusted by the user.

   PA-PK-AS-ROOT ::= SEQUENCE {
           rootCert[0]         SEQUENCE OF OCTET STRING,
           signedAuth[1]       SignedPKAuthenticator
   }

   SignedPKAuthenticator ::= SEQUENCE {
           authent[0]          PKAuthenticator,
           authentSig[1]       Signature
   }

   PKAuthenticator ::= SEQUENCE {
           cksum[0]            Checksum OPTIONAL,
           cusec[1]            INTEGER,
           ctime[2]            KerberosTime,
           nonce[3]            INTEGER,
           kdcRealm[4]         Realm,
           kdcName[5]          PrincipalName,
           clientPubValue[6]   SubjectPublicKeyInfo OPTIONAL, 
                                  -- DH algorithm
           recoveryData[7]     RecoveryData OPTIONAL          
                                  -- Recovery Alg.
   }

   RecoveryData ::= SEQUENCE {
           clientRecovData[0]  ClientRecovData, 
           kdcPubValueId[1]    INTEGER OPTIONAL 
                                   -- DH algorithm, copied
                                   -- from KDC response     
   }

   ClientRecovData ::= CHOICE {
           newPrincKey[0]      EncryptedData, -- EncPaPkAsRoot
                                              -- encrypted with 
                                              -- either KDC 
                                              -- public key or 
                                              -- DH shared key   
           recovDoneFlag[1]    INTEGER        -- let KDC know that
                                              -- recovery is done
                                              -- when user uses a
                                              -- mix of clients or
                                              -- does not want to
                                              -- keep a symmetric
                                              -- key in the database
   }

   EncPaPkAsRoot ::= SEQUENCE {
           newSymmKey[0]       EncryptionKey  -- the principal's new 
                                              -- symmetric key
           nonce[1]            INTEGER        -- the same nonce as
                                              -- the one in the 
                                              -- PKAuthenticator  
   }

   Signature ::= SEQUENCE {
           sigType[0]          INTEGER,
           kvno[1]             INTEGER OPTIONAL,
           sigHash[2]          OCTET STRING
   }

   Notationally, sigHash is then

       sigType (authent, userPrivateKey)

   where userPrivateKey is the user's private key (corresponding to the
   public key held in the user's database record). Valid sigTypes are
   thus far limited to the above-listed ENCTYPE_SIGN_MD5_RSA; we expect
   that other types may be listed (and given on-the-wire values between
   0x0011 and 0x001f).

   The format of each certificate depends on the particular service
   used.  (Alternatively, the KDC could send, with its reply, a
   sequence of certifications (see below), but since the KDC is likely
   to have more certifications than users have trusted root certifiers,
   we have chosen the first method.)  In the event that the client
   believes it already possesses the current public key of the KDC, a
   zero-length root-cert field is sent.

   The fields in the signed authenticator are the same as those in the
   Kerberos authenticator; in addition, we include a client-generated
   nonce, and the name of the KDC.  The structure is itself signed
   using the user's private key corresponding to the public key 
   registered with the KDC. We include the newSymmKey field so clients
   can generate a new symmetric key (for users, this key is based on
   a password and a salt value generated by the KDC) and
   confidentially send this key to the KDC during the recovery phase. 

   We now describe the recovery phase of the protocol. There is a bit
   associated with each principal in the database indicating whether
   recovery for that principal is necessary. After a KDC compromise,
   the KDC software is reloaded from backup media and a new backup
   KDC public/private pair is generated. The public half of this pair
   is then either made available to the KDC, or given to the
   appropriate certification authorities for certification. The private
   half is not made available to the KDC until after the next
   compromise clean-up. If clients are maintaining a copy of the KDC
   public key, they also have a copy of the backup public key.

   After the reload of KDC software, the bits associated with
   recovery of each principal are all set. The KDC clears the bit
   for each principal that undergoes the recovery phase. In addition,
   there is a bit associated with each principal to indicate whether
   there is a valid symmetric key in the database for the principal.
   These bits are all cleared after the reload of the KDC software
   (the old symmetric keys are no longer valid). Finally, there is a
   bit associated with each principal indicating whether that
   principal still uses non-public key capable clients. If a user
   principal falls into this category, a public key capable client
   cannot transparently re-establish a symmetric key for that user,
   since the older clients would not be able to compute the new
   symmetric key that includes hashing the password with a KDC
   supplied salt value. The re-establishment of the symmetric key 
   in this case is outside the scope of this protocol. 

   One method of re-establishing a symmetric key for public key
   capable clients is to generate a hash of the user password and a
   KDC supplied salt value. The KDC salt is changed after every
   compromise of the KDC. In the recovery protocol, if the principal
   does not still use old clients, the KDC supplied salt is sent to
   the client principal in a KRB_ERROR message with error code
   KDC_RECOVERY_NEEDED. The error data field of the message contains
   the following structure which is encoded into an octet string.

   PA-PK-KDC-ERR ::= CHOICE {
           recoveryDhErr      SignedDHError,   -- Used during recovery   
                                               -- when algorithm is DH 
                                               -- based
           recoveryPKEncErr   SignedPKEncError -- Used during recovery
                                               -- for PK encryption 
                                               -- (RSA,...)
   }

   SignedDHError ::= SEQUENCE {
           dhErr              DHError,
           dhErrSig           Signature
   }

   SignedPKEncError ::= SEQUENCE {
           pkEncErr           PKEncryptError,
           pkEncErrSig        Signature
   }

   DHError ::= SEQUENCE {
           nonce              INTEGER,               -- From AS_REQ
           algorithmId        INTEGER,               -- DH algorithm
           kdcPubValue        SubjectPublicKeyInfo,  -- DH algorithm
           kdcPubValueId      INTEGER,               -- DH algorithm
           kdcPublicKeyKvno   INTEGER OPTIONAL,      -- New KDC public
                                                     -- key kvno
           kdcPublicKey       OCTET STRING OPTIONAL, -- New KDC pubkey
           kdcSalt            OCTET STRING OPTIONAL  -- If user uses 
                                                     -- only new
                                                     -- clients
   }

   PKEncryptError ::= SEQUENCE {
           nonce              INTEGER,               -- From AS_REQ
           algorithmId        INTEGER,               -- Public Key
                                                     -- encryption alg
           kdcPublicKeyKvno   INTEGER OPTIONAL,      -- New KDC public 
                                                     -- key kvno
           kdcPublicKey       OCTET STRING OPTIONAL, -- New KDC public
                                                     -- key
           kdcSalt            OCTET STRING OPTIONAL  -- If user uses 
                                                     -- only new
                                                     -- clients
   }

   The KDC_RECOVERY_NEEDED error message is sent in response to a 
   client AS_REQ message if the client principal needs to be 
   recovered, unless the client AS_REQ contains the PKAuthenticator
   with a nonempty RecoveryData field (in this case the client has
   already received the KDC_RECOVERY_NEEDED error message. We will
   also see in section 3.2.2 that a different error response is
   sent by the KDC if the encrypted user private key is stored in
   the KDC database.) If the client principal uses only new clients, 
   then the kdcSalt field is returned; otherwise, the kdcSalt field
   is absent. 

   If the client uses the Diffie Hellman algorithm during the recovery
   phase then the DHError field contains the public Diffie Hellman 
   parameter (kdcPubValue) for the KDC along with an identifier 
   (kdcPubValueID). The client will then send this identifier to 
   the KDC in an AS_REQ message; the identifier allows the KDC to 
   look up the Diffie Hellman private value corresponding to the
   identifier. Depending on how often the KDC updates its private
   Diffie Hellman parameters, it will have to store anywhere between a
   handful and several dozen of these identifiers and their parameters.
   The KDC must send its Diffie Hellman public value to the client
   first so the client can encrypt its new symmetric key.

   In the case where the user principal does not need to be recovered
   and the user still uses old clients as well as new clients, the 
   KDC_ERR_NULL_KEY error is sent in response to symmetric AS_REQ 
   messages when there is no valid symmetric key in the KDC database. 
   This situation can occur if the user principal has been recovered 
   but no new symmetric key has been established in the database.
 
   In addition, the two error messages with error codes 
   KDC_ERR_PREAUTH_FAILED and KDC_ERR_PREAUTH_REQUIRED are modified 
   so the error data contains the kdcSalt encoded as an OCTET STRING. 
   The reason for the modification is to allow principals that use 
   new clients only to have their symmetric key transparently updated
   by the client software during the recovery phase. The kdcSalt is
   used to create the new symmetric key. As a performance optimization,
   the kdcSalt is stored in the /krb5/salt file along with the realm.
   Thus the /krb5/salt file consists of realm-salt pairs. If the file
   is missing, or the salt is not correct, the above error messages
   allow the client to find out the correct salt. New clients which 
   are configured for symmetric key authentication attempt to 
   preauthenticate with the salt from the /krb5/salt file as an 
   input into their key, and if the file is not present, the new client
   does not use preauthentication. The error messages above return
   either the correct salt to use, or no salt at all which indicates
   that the principal is still using old clients (the client software
   should use the existing mapping from the user password to the
   symmetric key).

   In order to assure interoperability between clients from different
   vendors and organizations, a standard algorithm is needed for
   creating the symmetric key from the principal password and kdcSalt.
   The algorithm for creating the symmetric key is as follows: take the
   SHA-1 hash of the kdcSalt concatenated with the principal password
   and use the 20 byte output as the input into the existing key
   generation process (string to key function). After a compromise, the
   KDC changes the kdcSalt; thus, the recovery algorithm allows users
   to obtain a new symmetric key without actually changing their
   password.

   The response from the KDC would be identical to the response in RFC
   1510, except that instead of being encrypted in the secret key
   shared by the client and the KDC, it is encrypted in a random key
   freshly generated by the KDC (of type ENCTYPE_ENC_CBC_CRC). A 
   preauthentication field (specified below) accompanies the response, 
   optionally containing a certificate with the public key for the KDC 
   (since we do not assume that the client knows this public key), and
   a package containing the secret key in which the rest of the 
   response is encrypted, along with the same nonce used in the rest
   of the response, in order to prevent replays. This package is itself
   signed with the private key of the KDC, then encrypted with the
   symmetric key that is returned encrypted in the public key of the
   user (or for Diffie Hellman, encrypted in the shared secret Diffie
   Hellman symmetric key). 

   Pictorially, in the public key encryption case we have:

   kdcCert, {[encReplyKey, nonce] Sig w/KDC 
   privkey}EncReplyTmpKey, {EncReplyTmpKey}Userpubkey

   Pictorially, in the Diffie Hellman case we have:

   kdcCert, {encReplyKey, nonce}DH shared symmetric key,
   [DH public value]Sig w/KDC privkey

   PA-PK-AS-REP ::= SEQUENCE {
           kdcCert[0]          SEQUENCE OF Certificate,
           encryptShell[1]     EncryptedData, 
                                           -- EncPaPkAsRepPartShell
                                           -- encrypted by 
                                           -- encReplyTmpKey or DH 
                                           -- shared symmetric key
           pubKeyExchange[2]   PubKeyExchange OPTIONAL, 
                                           -- a choice between 
                                           -- a KDC signed DH 
                                           -- value and a public 
                                           -- key encrypted 
                                           -- symmetric key.
                                           -- Not needed after
                                           -- recovery when
                                           -- DH is used.
   }                                         

   PubKeyExchange ::= CHOICE {
           signedDHPubVal      SignedDHPublicValue, 
           encryptKey          EncryptedData  
                                           -- EncPaPkAsRepTmpKey
                                           -- encrypted by 
                                           -- userPublicKey
   }

   SignedDHPublicValue ::= SEQUENCE {
           dhPublic[0]         SubjectPublicKeyInfo,
           dhPublicSig[1]      Signature
   }

   EncPaPkAsRepPartShell ::= SEQUENCE {
           encReplyPart[0]     EncPaPkAsRepPart,
           encReplyPartSig[1]  Signature OPTIONAL 
                                    -- encReplyPart
                                    -- signed by kdcPrivateKey
                                    -- except not present in 
                                    -- DH case
   }

   EncPaPkAsRepPart ::= SEQUENCE {
           encReplyKey[0]      EncryptionKey,
           nonce[1]            INTEGER,
   }

   EncPaPkAsRepTmpKey ::= SEQUENCE {
           encReplyTmpKey[0]   EncryptionKey
   }

   The kdc-cert specification is lifted, with slight modifications,
   from v3 of the X.509 certificate specification:

   Certificate ::= SEQUENCE {
           version[0]          Version DEFAULT v1 (1),
           serialNumber[1]     CertificateSerialNumber,
           signature[2]        AlgorithmIdentifier,
           issuer[3]           PrincipalName,
           validity[4]         Validity,
           subjectRealm[5]     Realm,
           subject[6]          PrincipalName,
           subjectPublicKeyInfo[7] SubjectPublicKeyInfo,
           issuerUniqueID[8]   IMPLICIT UniqueIdentifier OPTIONAL,
           subjectUniqueID[9]  IMPLICIT UniqueIdentifier OPTIONAL,
           authentSig[10]      Signature
   }

   The kdc-cert must have as its root certification one of the
   certifiers sent to the KDC with the original request.  If the KDC
   has no such certification, then it will instead reply with a
   KRB_ERROR of type KDC_ERROR_PREAUTH_FAILED.  If a zero-length
   root-cert was sent by the client as part of the PA-PK-AS-ROOT, then
   a correspondingly zero-length kdc-cert may be absent, in which case
   the client uses its copy of the KDC's public key. In the case of
   recovery, the client uses its copy of the backup KDC public key. 

   Upon receipt of the response from the KDC, the client will verify 
   the public key for the KDC from PA-PK-AS-REP preauthentication data 
   field. The certificate must certify the key as belonging to a
   principal whose name can be derived from the realm name.  If the
   certificate checks out, the client then decrypts the EncPaPkAsRepPart
   and verifies the signature of the KDC.  It then uses the random key
   contained therein to decrypt the rest of the response, and continues
   as per RFC 1510. Because there is direct trust between the user and
   the KDC, the transited field of the ticket returned by the KDC should
   remain empty. (Cf. Section 3.3.)

   Examples

   We now give several examples illustrating the protocols in this 
   section. Encryption of message M with key K is denoted {M}K and
   the signature of message M with key K is denoted [M]K.

   Example 1: The requesting user principal needs to be recovered and
   uses only new clients. The recovery algorithm is Diffie Hellman (DH).
   Then the exchange sequence between the user principal and the KDC is:

   
   Client  --------> AS_REQ (with or without preauth) --------> KDC

   Client  <--- KRB_ERROR (error code KDC_RECOVERY_NEEDED) <--- KDC
                error data: [nonce, algID (DH), KDC DH public parameter,
                            KDC DH ID, KDC PublicKey Kvno and PublicKey,
                            KDC Salt]Signed with KDC PrivateKey

   At this point, the client validates the KDC signature, checks to 
   see if the nonce is the same as the one in the AS_REQ, and stores
   the new KDC public key and public key version number. The client 
   then generates a Diffie Hellman private parameter and computes
   the corresponding Diffie Hellman public parameter; the client
   also computes the shared Diffie Hellman symmetric key using the
   KDC Diffie Hellman public parameter and its own Diffie Hellman 
   private parameter. Next, the client prompts the user for his/her
   password (if it does not already have the password). The password
   is concatenated with the KDC Salt and then SHA1 hashed; the 
   result is fed into the string to key function to obtain the new
   user DES key.

   The new user DES key will be encrypted (along with the AS_REQ
   nonce) using the Diffie Hellman symmetric key and sent to the 
   KDC in the new AS_REQ message:

   Client -> AS_REQ with preauth: rootCert, [PKAuthenticator with
             user DH public parameter, {newUser DES key, nonce}DH 
             symmetric key, KDC DH ID]Signed with User PrivateKey 
                                                        -> KDC

   The KDC DH ID is copied by the client from the KDC_ERROR message
   received above. Upon receipt and validation of this message, the
   KDC first uses the KDC DH ID as an index to locate its
   private Diffie Hellman parameter; it uses this parameter in 
   combination with the user public Diffie Hellman parameter
   to compute the symmetric Diffie Hellman key. The KDC checks
   if the encrypted nonce is the same as the one in the 
   PKAuthenticator and the AS_REQ part. The KDC then enters
   the new user DES key into the database, resets the recovery 
   needed bit, and sets the valid symmetric key in database
   bit. The KDC then creates the AS_REP message:

   Client <-- AS_REP with preauth: kdcCert, {encReplyKey,
              nonce}DH symmetric key <-------------------- KDC

   
   The AS_REP encrypted part is encrypted with the encReplyKey
   that is generated on the KDC. The nonces are copied from the
   client AS_REQ. The kdcCert is a sequence of certificates
   that have been certified by certifiers listed in the client
   rootCert field, unless a zero length rootCert field was sent.
   In the last case, the kdcCert will also have zero length.   

3.2.2. Private key held by KDC

   Implementation of the changes in this section is RECOMMENDED.

   When the user's private key is not carried with the user, the 
   user may encrypt the private key using conventional cryptography, 
   and register the encrypted private key with the KDC.  As
   described in the previous section, the SHA1 hash of the password
   concatenated with the kdcSalt is also stored in the KDC database
   if the user only uses new clients. We restrict users of this
   protocol to using new clients only. The reason for this restriction
   is that it is not secure to store both the user private key 
   encrypted in the user's password and the user password on the KDC 
   simultaneously.

   There are several options for storing private keys. If the 
   user stores their private key on a removable disk, it is 
   less convenient since they need to always carry the disk 
   around with them; in addition, the procedures for extracting 
   the key may vary between different operating systems. 
   Alternatively, the user can store a private key on the hard
   disks of systems that he/she uses; besides limiting the 
   systems that the user can login from there is also a 
   greater security risk to the private key. If smart card 
   readers or slots are deployed in an organization, then the 
   user can store his/her private key on a smart card. Finally, 
   the user can store his/her private key encrypted in a password 
   on the KDC. This last option is probably the most practical
   option currently; it is important that a good password policy 
   be used.

   When the user's private key is stored on the KDC, 
   preauthentication is required. There are two cases depending on 
   whether the requesting user principal needs to be recovered. 

   In order to obtain its private key, a user principal includes the
   padata type PA-PK-AS-REQ in the preauthentication data
   field of the AS_REQ message. The accompanying pa-data field is:

   PA-PK-AS-REQ ::= SEQUENCE {
           algorithmId[0]       INTEGER,      -- Public Key Alg.
           encClientPubVal[1]   EncryptedData -- EncPaPkAsReqDH
                                              -- (encrypted with key
                                              -- K1)
   }

   EncPaPkAsReqDH ::= SEQUENCE {
           clientPubValue[0]    SubjectPublicKeyInfo 
   }

   Pictorially, PA-PK-AS-REQ is algorithmID, {clientPubValue}K1.

   The user principal sends its Diffie-Hellman public value encrypted
   in the key K1. The key K1 is derived by performing string to key on
   the SHA1 hash of the user password concatenated with the kdcSalt 
   which is stored in the /krb5/salt file. If the file is absent, 
   the concatenation step is skipped in the above algorithm. The 
   Diffie Hellman parameters g and p are implied by the algorithmID
   field. By choosing g and p correctly, dictionary attacks against
   the key K1 can be made more difficult [Jaspan].

   If the requesting user principal needs recovery, the encrypted 
   user private key is stored in the KDC database, and the AS_REQ 
   RecoveryData field is not present in the PKAuthenticator, then 
   the KDC replies with a KRB_ERROR message, with msg-type set to 
   KDC_ERR_PREAUTH_REQUIRED, and e-data set to:

   PA-PK-AS-INFO ::= SEQUENCE {
           signedDHErr         SignedDHError,         -- signed by KDC
           encUserKey          OCTET STRING OPTIONAL  -- encrypted by
                                                      -- user password 
                                                      -- key; (recovery
                                                      -- response)

   }

   The user principal should then continue with the section 3.2.1.1
   protocol using the Diffie Hellman algorithm. 

   We now assume that the requesting user principal does not need
   recovery. 

   Upon receipt of the authentication request with the PA-PK-AS-REQ, 
   the KDC generates the AS response as defined in RFC 1510, but 
   additionally includes a preauthentication field of type 
   PA-PK-USER-KEY. 

   PA-PK-USER-KEY ::= SEQUENCE {
           kdcCert            SEQUENCE OF Certificate,
           encUserKeyPart     EncryptedData, -- EncPaPkUserKeyPart           
           kdcPrivKey         KDCPrivKey,
           kdcPrivKeySig      Signature
   }

   The kdc-cert field is identical to that in the PA-PK-AS-REP
   preauthentication data field returned with the KDC response, and 
   must be validated as belonging to the KDC in the same manner.

   KDCPrivKey ::= SEQUENCE {
           nonce              INTEGER,               -- From AS_REQ
           algorithmId        INTEGER,               -- DH algorithm
           kdcPubValue        SubjectPublicKeyInfo,  -- DH algorithm
           kdcSalt            OCTET STRING           -- Since user
                                                     -- uses only new
                                                     -- clients
   }

   The KDCPrivKey field is signed using the KDC private key.
   The encrypted part of the AS_REP message is encrypted using the 
   Diffie Hellman derived symmetric key, as is the EncPaPkUserKeyPart.

   EncPaPkUserKeyPart ::= SEQUENCE {
           encUserKey         OCTET STRING,
           nonce              INTEGER                -- From AS_REQ
   }

   Notationally, if encryption algorithm A is used, then enc-key-part
   is

       A ({encUserKey, nonce}, Diffie-Hellman-symmetric-key).

   If the client has used an incorrect kdcSalt to compute the
   key K1, then the client needs to resubmit the above AS_REQ
   message using the correct kdcSalt field from the KDCPrivKey
   field. 

   This message contains the encrypted private key that has been
   registered with the KDC by the user, as encrypted by the user,
   super-encrypted with the Diffie Hellman derived symmetric key.
   Because there is direct trust between the user and the KDC, the 
   transited field of the ticket returned by the KDC should remain 
   empty.  (Cf. Section 3.3.)

   Examples

   We now give several examples illustrating the protocols in this 
   section.

   Example 1: The requesting user principal needs to be recovered
   and stores his/her encrypted private key on the KDC. Then the 
   exchange sequence between the user principal and the KDC is:

   Client  --------> AS_REQ (with or without preauth) -----> KDC

   Client  <--- KRB_ERROR (error code KDC_ERR_PREAUTH_REQUIRED)
                error data: [nonce, algID (DH), KDC DH public 
                            parameter, KDC DH ID, KDC PublicKey 
                            Kvno and PublicKey, KDC Salt]Signed 
                            with KDC PrivateKey, {user private 
                            key}user password <------------- KDC

   The protocol now continues with the second AS_REQ as in Example
   1 of section 3.2.1.1.
   
   Example 2: The requesting user principal does not need to be 
   recovered and stores his/her encrypted private key on the KDC. 
   Then the exchange sequence between the user principal and the KDC 
   when the user principal wants to obtain his/her private key is:

   Client  -> AS_REQ with preauth: algID, 
              {DH public parameter}K1 -> KDC

   The key K1 is generated by using the string to key function 
   on the SHA1 hash of the password concatenated with the kdcSalt
   from the /krb5/salt file. If the file is absent, then 
   the concatenation step is skipped, and the client will learn 
   the correct kdcSalt in the following AS_REP message from the
   KDC. The algID should indicate some type of Diffie Hellman
   algorithm.

   The KDC replies with the AS_REP message with a preauthentication
   data field:

   Client <-- AS_REP with preauth: kdcCert, {encUserKey, <-- KDC
              nonce}DH symmetric key, [nonce, algID, DH
              public parameter, kdcSalt]KDC privateKey

   The client validates the KDC's signature and checks that
   the nonce matches the nonce in its AS_REQ message.
   If the kdcSalt does not match what the client used, it
   starts the protocol over. The client then uses the KDC
   Diffie Hellman public parameter along with its own Diffie
   Hellman private parameter to compute the Diffie Hellman 
   symmetric key. This key is used to decrypt the encUserKey
   field; the client checks if the nonce matches its AS_REQ
   nonce. At this point, the initial authentication protocol
   is complete.  

   Example 3: The requesting user principal does not need to be 
   recovered and stores his/her encrypted private key on the KDC.
   In this example, the user principal uses the conventional
   symmetric key Kerberos V5 initial authentication protocol
   exchange. 

   We note that the conventional protocol exposes the user 
   password to dictionary attacks; therefore, the user password 
   must be changed more often. An example of when this protocol 
   would be used is when new clients have been installed but an 
   organization has not phased in public key authentication for 
   all clients due to performance concerns.

   Client ----> AS_REQ with preauthentication: {time}K1 --> KDC

   Client <--------------------  AS_REP <------------------ KDC

   The key K1 is derived as in the preceding two examples. 


3.3. Clients with a public key certified by an outside authority

   Implementation of the changes in this section is OPTIONAL.

   In the case where the client is not registered with the current
   KDC, the client is responsible for obtaining the private key on
   its own. The client will request initial tickets from the KDC
   using the TGS exchange, but instead of performing
   preauthentication using a Kerberos ticket granting ticket, or
   with the PA-PK-AS-REQ that is used when the public key is known
   to the KDC, the client performs preauthentication using the
   preauthentication data field of type PA-PK-AS-EXT-CERT:

   PA-PK-AS-EXT-CERT ::= SEQUENCE {
           userCert[0]         SEQUENCE OF OCTET STRING,
           signedAuth[1]       SignedPKAuthenticator
   }

   where the user-cert specification depends on the type of
   certificate that the user possesses.  In cases where the service
   has separate key pairs for digital signature and for encryption,
   we recommend that the signature keys be used for the purposes of
   sending the preauthentication (and deciphering the response).

   The authenticator is the one used from the exchange in section
   3.2.1, except that it is signed using the private key corresponding
   to the public key in the user-cert.

   The KDC will verify the preauthentication authenticator, and check the
   certification path against its own policy of legitimate certifiers.
   This may be based on a certification hierarchy, or simply a list of
   recognized certifiers in a system like PGP.

   If all checks out, the KDC will issue Kerberos credentials, as in 3.2,
   but with the names of all the certifiers in the certification path
   added to the transited field of the ticket, with a principal name
   taken from the certificate (this might be a long path for X.509, or a
   string like "John Q. Public <jqpublic@company.com>" if the certificate
   was a PGP certificate.  The realm will identify the kind of
   certificate and the final certifier as follows:

       cert_type/final_certifier

   as in PGP/<endorser@company.com>.


3.4. Digital Signature

   Implementation of the changes in this section is OPTIONAL.

   We offer this option with the warning that it requires the client
   process to generate a random DES key; this generation may not
   be able to guarantee the same level of randomness as the KDC.

   If a user registered a digital signature key pair with the KDC,
   a separate exchange may be used.  The client sends a KRB_AS_REQ 
   as described in section 3.2.2.  If the user's database record
   indicates that a digital signature key is to be used, then the
   KDC sends back a KRB_ERROR as in section 3.2.2.

   It is assumed here that the signature key is stored on local disk.
   The client generates a random key of enctype ENCTYPE_DES_CBC_CRC,
   signs it using the signature key (otherwise the signature is
   performed as described in section 3.2.1), then encrypts the whole
   with the public key of the KDC.  This is returned with a separate
   KRB_AS_REQ in a preauthentication of type

   PA-PK-AS-SIGNED ::= SEQUENCE {
           signedKey[0]        EncryptedData -- PaPkAsSignedData
   }

   PaPkAsSignedData ::= SEQUENCE {
           signedKeyPart[0]    SignedKeyPart,
           signedKeyAuth[1]    PKAuthenticator,
           sig[2]              Signature
   }

   SignedKeyPart ::= SEQUENCE {
           encSignedKey[0]     EncryptionKey,
           nonce[1]            INTEGER
   }

   where the nonce is the one from the request.  Upon receipt of the
   request, the KDC decrypts, then verifies the random key.  It then
   replies as per RFC 1510, except that instead of being encrypted
   with the password-derived DES key, the reply is encrypted using
   the randomKey sent by the client.  Since the client already knows
   this key, there is no need to accompany the reply with an extra
   preauthentication field.  Because there is direct trust between
   the user and the KDC, the transited field of the ticket returned
   by the KDC should remain empty.  (Cf. Section 3.3.)

   In the event that the KDC database indicates that the user 
   principal must be recovered, and the PKAuthenticator does not 
   contain the RecoveryData field, the KDC will reply with the
   KDC_RECOVERY_NEEDED error. The user principal then sends
   another AS_REQ message that includes the RecoveryData field
   in the PKAuthenticator. The AS_REP message is the same as
   in the basic Kerberos V5 protocol. 


4. Preauthentication Data Types

   We propose that the following preauthentication types be allocated
   for the preauthentication data packages described in this draft:

       #define KRB5_PADATA_ROOT_CERT     17  /* PA-PK-AS-ROOT */
       #define KRB5_PADATA_PUBLIC_REP    18  /* PA-PK-AS-REP */
       #define KRB5_PADATA_PUBLIC_REQ    19  /* PA-PK-AS-REQ */
       #define KRB5_PADATA_PRIVATE_REP   20  /* PA-PK-USER-KEY */
       #define KRB5_PADATA_PUBLIC_EXT    21  /* PA-PK-AS-EXT-CERT */
       #define KRB5_PADATA_PUBLIC_SIGN   22  /* PA-PK-AS-SIGNED */


5. Encryption Information

   For the public key cryptography used in direct registration, we
   used (in our implementation) the RSAREF library supplied with the
   PGP 2.6.2 release.  Encryption and decryption functions were
   implemented directly on top of the primitives made available
   therein, rather than the fully sealing operations in the API.


6. Compatibility with One-Time Passcodes

   We solicit discussion on how the use of public key cryptography
   for initial authentication will interact with the proposed use of
   one time passwords discussed in Internet Draft
   <draft-ietf-cat-kerberos-passwords-00.txt>.

7. Strength of Encryption and Signature Mechanisms

   In light of recent findings on the strengths of MD5 and various DES
   modes, we solicit discussion on which modes to incorporate into the
   protocol changes.


8. Expiration

   This Internet-Draft expires on April 19, 1997.


9. Authors' Addresses

   B. Clifford Neuman
   USC/Information Sciences Institute
   4676 Admiralty Way Suite 1001
   Marina del Rey, CA 90292-6695

   Phone: 310-822-1511
   EMail: bcn@isi.edu

   Brian Tung
   USC/Information Sciences Institute
   4676 Admiralty Way Suite 1001
   Marina del Rey, CA 90292-6695

   Phone: 310-822-1511
   EMail: brian@isi.edu

   John Wray
   Digital Equipment Corporation
   550 King Street, LKG2-2/Z7
   Littleton, MA 01460

   Phone: 508-486-5210
   EMail: wray@tuxedo.enet.dec.com

   Jonathan Trostle
   CyberSafe Corporation
   1605 NW Sammamish Rd., Suite 310
   Issaquah, WA 98027-5378

   Phone: 206-391-6000
   EMail: jonathan.trostle@cybersafe.com