1 NETWORK WORKING GROUP L. Zhu
2 Internet-Draft K. Jaganathan
3 Obsoletes: 2478 (if approved) R. Ward
4 Expires: April 18, 2005 Microsoft Corporation
9 The Simple and Protected GSS-API Negotiation Mechanism
10 draft-zhu-spnego-2478bis-00
16 This document is an Internet-Draft and is subject to all provisions
17 of section 3 of RFC 3667. By submitting this Internet-Draft, each
18 author represents that any applicable patent or other IPR claims of
19 which he or she is aware have been or will be disclosed, and any of
20 which he or she become aware will be disclosed, in accordance with
24 Internet-Drafts are working documents of the Internet Engineering
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30 Internet-Drafts are draft documents valid for a maximum of six months
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33 material or to cite them other than as "work in progress."
36 The list of current Internet-Drafts can be accessed at
37 http://www.ietf.org/ietf/1id-abstracts.txt.
40 The list of Internet-Draft Shadow Directories can be accessed at
41 http://www.ietf.org/shadow.html.
44 This Internet-Draft will expire on April 18, 2005.
50 Copyright (C) The Internet Society (2004).
56 This document specifies a security negotiation mechanism for the
57 Generic Security Service Application Program Interface (GSS-API)
58 which is described in RFC 2743.
61 This mechanism allows negotiating and choosing one security mechanism
62 from a common set of security mechanisms shared by GSS-API peers.
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68 Internet-Draft GSS-API Negotiation Mechanism October 2004
72 Once the common security mechanism is identified, the security
73 mechanism MAY also negotiate mechanism-specific options during its
74 context establishment, but that will be inside the mechanism tokens,
75 and invisible to this protocol.
81 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . 3
82 2. Conventions Used in This Document . . . . . . . . . . . . . . 4
83 3. Negotiation Model . . . . . . . . . . . . . . . . . . . . . . 5
84 3.1 Negotiation Description . . . . . . . . . . . . . . . . . 5
85 3.2 Negotiation Procedure . . . . . . . . . . . . . . . . . . 6
86 4. Data Elements . . . . . . . . . . . . . . . . . . . . . . . . 11
87 4.1 Mechanism Type . . . . . . . . . . . . . . . . . . . . . . 11
88 4.2 Negotiation Tokens . . . . . . . . . . . . . . . . . . . . 11
89 4.2.1 negTokenInit . . . . . . . . . . . . . . . . . . . . . 12
90 4.2.2 negTokenResp . . . . . . . . . . . . . . . . . . . . . 13
91 5. Security Considerations . . . . . . . . . . . . . . . . . . . 15
92 6. Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . 16
93 7. References . . . . . . . . . . . . . . . . . . . . . . . . . . 16
94 Authors' Addresses . . . . . . . . . . . . . . . . . . . . . . 16
95 A. Changes since RFC2478 . . . . . . . . . . . . . . . . . . . . 17
96 Intellectual Property and Copyright Statements . . . . . . . . 18
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134 The GSS-API [RFC2743] provides a generic interface which can be
135 layered atop different security mechanisms such that if communicating
136 peers acquire GSS-API credentials for the same security mechanism,
137 then a security context MAY be established between them (subject to
138 policy). However, GSS-API doesn't prescribe the method by which
139 GSS-API peers can establish whether they have a common security
143 The Simple and Protected GSS-API Negotiation (SPNEGO) mechanism
144 defined here is a pseudo-security mechanism, represented by the
145 object identifier iso.org.dod.internet.security.mechanism.snego
146 (1.3.6.1.5.5.2) which enables GSS-API peers to determine in-band
147 whether their credentials share common GSS-API security mechanism(s),
148 and if so, to invoke normal security context establishment for a
149 selected common security mechanism. This is most useful for
150 applications that are based on GSS-API implementations which support
151 multiple security mechanisms.
154 The simple and protected GSS-API mechanism negotiation is based on
155 the following negotiation model: the initiator proposes one security
156 mechanism or a list of security mechanisms in its preference order
157 (favorite choice first), the acceptor (the target) either accepts the
158 proposed security mechanism, or chooses one from the offered list, or
159 rejects the proposed value(s). The target then informs the initiator
163 In order to avoid an extra round trip, the initial security token of
164 the preferred mechanism for the initiator SHOULD be embedded in the
165 initial negotiation token (as defined in Section 4.2). If the target
166 preferred mechanism matches the initiator's preferred mechanism, no
167 additional round trips may be incurred by using the negotiation
171 The negotiation is protected and all the underlying mechanisms
172 offered by the initiator MUST be capable of integrity protection.
175 The Simple and Protected GSS-API Negotiation Mechanism uses the
176 concepts developed in the GSS-API specification [RFC2743]. The
177 negotiation data is encapsulated in context-level tokens. Therefore,
178 callers of the GSS-API do not need to be aware of the existence of
179 the negotiation tokens but only of the new pseudo-security mechanism.
180 A failure in the negotiation phase causes a major status code to be
181 returned: GSS_S_BAD_MECH.
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194 2. Conventions Used in This Document
197 The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
198 "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this
199 document are to be interpreted as described in [RFC2119].
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255 3.1 Negotiation Description
258 Each OID represents one GSS-API mechanism or one variant of it.
261 The first negotiation token sent by the initiator contains an ordered
262 list of mechanisms (in preference order, favorite choice first), and
263 OPTIONALLY the initial security token for the preferred mechanism of
264 the initiator (i.e. the first of the list).
267 The target then processes the token from the initiator. This will
268 result in one of three possible states (as defined in Section 4.2.2):
269 accept_completed, accept_incomplete, or reject. A reject state will
270 terminate the negotiation. An accept_completed state indicates that
271 not only was the initiator-selected mechanism acceptable to the
272 target, but that the initial token was sufficient to complete the
273 authentication. An accept_incomplete state indicates that the target
274 has selected a different mechanism or the preferred mechanism is
275 acceptable, but this mechanism requires at least one additional
276 message to complete the authentication. The target MAY produce a
277 context level token for a reject state.
280 The first negotiation token sent by the acceptor contains the result
281 of the negotiation (accept_completed, accept_incomplete or reject)
282 and, in case of accept, the agreed security mechanism. It MUST also
283 include the response mechanism token to the initial mechanism token
284 from the initiator, when the first proposed mechanism of the
285 initiator has been selected and an initial mechanism token was
286 provided by the initiator. However, if the initiator's preferred
287 mechanism is not possible, the target will not emit a response
288 mechanism token in the first reply.
291 The policy by which the target chooses a mechanism is an
292 implementation-specific local matter. In the absence of other
293 policy, the target MUST choose the first mechanism in the list for
294 which valid credentials are available.
297 The first negotiation token is the negTokenInit message and all
298 subsequent negotiation tokens are the negTokenResp message, as
299 defined in Section 4.2.
302 The use of partially-established contexts (as indicated by the
303 prot_ready_state in [RFC2743]), either for this mechanism or
304 mechanisms negotiated using this mechanism, is prohibited.
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317 3.2 Negotiation Procedure
320 The negotiation procedure is summarized as follows:
323 (a) The GSS-API initiator invokes GSS_Init_sec_context() as normal,
324 but requests (either explicitly, with the negotiation mechanism,
325 or through accepting a default, when the default is the
326 negotiation mechanism) that the Simple and Protected GSS-API
327 Negotiation Mechanism is used;
330 (b) The initiator GSS-API implementation emits a negotiation token
331 containing a list of supported security mechanisms for the
332 credentials used for this context establishment, and OPTIONALLY an
333 initial security token for the first mechanism from that list
334 (i.e. the preferred mechanism), and indicates
335 GSS_S_CONTINUE_NEEDED status;
338 (c) The GSS-API initiator application sends the token to the target
342 (d) The GSS-API target application deposits the token through
343 invoking GSS_Accept_sec_context. The target GSS-API application
344 will do one of the following:
347 (I) If the initiator's preferred mechanism is accepted by the
348 target, an initial token is included in the first token from
349 the initiator, no further mechanism token from the initiator is
350 needed for the chosen mechanism to establish the security
351 context, (e.g. when the authentication mechanism is unilateral
352 or mutual authentication has been performed and involves a
353 single token in either direction), and the initiator has not
354 sent a MIC token (the output token of the GSS_GetMIC() call
355 [RFC2743], the input to GSS_GetMIC() is the OTCET STRING field
356 representing the MechTypes in the initial NegTokenInit token),
357 of the mechanism list, the acceptor will do one of the
361 1) If the initiator's preferred mechanism is accepted and there
362 is no policy on the target such that a different mechanism
363 other than the initiator's preferred mechanism could have
364 been selected given a different list of mechanisms,
365 GSS_Accept_sec_context() MUST indicate GSS_S_COMPLETE and it
366 MUST produce a negotiation token with the accept_completed
367 state, and with no MIC of the mechanism list. This is
368 referred in this document as the Safe to Omit MIC (SOMIC)
369 rule number 1. The resulting negotiation token MUST include
370 the security token if one is returned by the selected
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379 2) If the initiator's preferred mechanism is accepted and there
380 is policy exists on the target such that a different
381 mechanism other than the initiator's preferred mechanism
382 could have been selected given a different list of
383 mechanisms, GSS_Accept_sec_context() MUST indicate
384 GSS_S_CONTINUE_NEEDED with the accept_incomplete state, and
385 a MIC MUST be generated by the target. This MIC is to be
386 verified by the initiator and the result will be sent back
387 to the acceptor. This is referred in this document as the
388 Safe to Omit MIC (SOMIC) rule number 2. The resulting
389 negotiation token MUST include the security token if one is
390 returned by the selected mechanism.
393 3) If there is a MIC token and it is correct,
394 GSS_Accept_sec_context() MUST indicate GSS_S_COMPLETE with
395 no output token; If there is an incorrect MIC token,
396 GSS_Accept_sec_context() must indicate GSS_S_BAD_MIC status,
397 OPTIONALLY returning a negotiation token with the reject
401 (II) If the initiator's preferred mechanism is accepted, and an
402 initial token from this mechanism is sent by the initiator, but
403 a failure is returned by the chosen mechanism,
404 GSS_Accept_sec_context() MUST report the failure and the
405 mech_type output parameter indicates the selected mechanism.
406 The target MUST produce a negotiation token with the reject
407 state if the selected mechanism returns a response token (e.g.
408 a KRB_ERROR when the Kerberos Version 5 GSS-API mechanism is
412 (III) If the initiator's preferred mechanism is accepted, and an
413 initial token from this mechanism is sent by the initiator, but
414 at last one more initiator token need to be transferred to
415 establish the context, GSS_Accept_sec_context() MUST indicate
416 GSS_S_CONTINUE_NEEDED status, returning a negotiation token
417 with the accept_incomplete state, the response mechanism token,
421 (IV) If the initiator's preferred mechanism is accepted, but no
422 initial token from this mechanism is sent by the initiator,
423 GSS_Accept_sec_context() MUST indicate GSS_S_CONTINUE_NEEDED
424 status, returning a negotiation token with the
425 accept_incomplete state, the selected mechanism, no response
426 mechanism token or MIC token.
429 (V) If a proposed mechanism is accepted, and it is not the
430 initiator's preferred mechanism, GSS_Accept_sec_context() MUST
431 indicate GSS_S_CONTINUE_NEEDED status, returning a negotiation
432 token with the accept_incomplete state, the selected mechanism,
433 no response mechanism token or MIC token. The negotiation will
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443 be the agreed security mechanism if the negotiation is
447 (e) The GSS-API target application returns the negotiation token to
448 the initiator application;
451 (f) The GSS-API initiator application deposits the token through
452 invoking GSS_Init_sec_context(). The initiator will do one of the
456 (I) When the negotiation token carries an accept_completed result,
457 the initiator MUST do one of the following:
460 1) If the selected mechanism is the initiator's preferred
461 mechanism, the initiator SHALL NOT reject the negotiation if
462 no MIC token is present. This is referred in this document
463 as the Safe to Omit MIC ("SOMIC") rule number 3. The
464 initiator MUST deposit the security token if one is
465 included, GSS_Init_sec_context() MUST indicate
466 GSS_S_BAD_MECH status if the context is not established
467 after this GSS_Init_sec_context() call. If a MIC token is
468 present, the initiator MUST verify it and a GSS_S_BAD_MIC
469 must be returned if the MIC is incorrect;
472 2) If the selected mechanism is not the initiator's preferred
473 mechanism, and there is no or an incorrect MIC token,
474 GSS_Init_sec_context() MUST indicate GSS_S_BAD_MIC status.
475 This is referred in this document as the Safe to Omit MIC
476 ("SOMIC") rule number 4.
479 (II) When the negotiation token carries a reject result without a
480 response security token, GSS_Init_sec_context() MUST indicate
481 GSS_S_BAD_MECH status;
484 (III) When the negotiation token carries a reject result with a
485 response security token, the initiator MUST deposit the
486 security token, and GSS_Init_sec_context() MUST indicate a
487 failure status reported by the underlying mechanism, and the
488 output mech_type indicates the selected mechanism;
491 (IV) When the negotiation token carries an accept_incomplete
492 result and further mechanism tokens from the acceptor must be
493 transferred in order to complete context establishment,
494 GSS_Init_sec_context() MUST indicate GSS_S_CONTINUE_NEEDED
495 status, returning an output token with the accept_incomplete,
496 and the selected mechanism's context level token;
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508 (V) When the negotiation token carries an accept_incomplete
509 result, no further mechanism token need to be transferred from
510 the acceptor to complete the context establishment, the
511 initiator MUST do one of the following:
514 1) If a MIC token was included, the initiator MUST verify it
515 and GSS_Init_sec_context() MUST indicate GSS_S_BAD_MIC if
516 the MIC is incorrect; GSS_Init_sec_context() MUST indicate
517 GSS_S_COMPLETE and produce a negotiation with the
518 accept_completed state if the MIC is correct. This is
519 referred in this document as the Safe to Omit MIC ("SOMIC")
523 2) If no MIC token was present, GSS_Init_sec_context() MUST
524 indicate GSS_S_BAD_MIC statue, This is referred in this
525 document as the Safe to Omit MIC ("SOMIC") rule number 6.
528 (g) The initiator application then sends the output_token to the
529 target if one is returned. The security context initialization is
530 then continued according to the standard GSS-API conventions for
531 the selected mechanism, where the tokens of the selected mechanism
532 are encapsulated until the GSS_S_COMPLETE is returned for both the
533 initiator and the target. When no further mechanism token is
534 needed to be transferred and the context for the chosen mechanism
535 is established, the initiator and the acceptor will need to either
536 apply the "SOMIC" rules above and skip MIC generation and
537 verification, or generate and verify the MIC token to protect the
541 (h) When GSS_S_CONTINUE_NEEDED is returned, the mech_type output
542 parameter is not yet valid. When GSS_S_COMPLETE is returned, the
543 mech_type output parameter indicates the selected mechanism.
546 Note that the *_req_flag input parameters for context establishment
547 are relative to the selected mechanism, as are the *_state output
548 parameters. i.e., these parameters are not applicable to the
549 negotiation process per se.
552 On receipt of a negotiation token on the target side, a GSS-API
553 implementation that does not support negotiation would indicate the
554 GSS_S_BAD_MECH status as if a particular basic security mechanism had
555 been requested but was not supported.
558 When GSS_Acquire_cred is invoked with the negotiation mechanism as
559 desired_mechs, an implementation-specific default credential is used
560 to carry on the negotiation. A set of mechanisms as specified
561 locally by the system administrator is then available for
562 negotiation. If there is a desire for the caller to make its own
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572 choice, then an additional API has to be used as defined in [PRTSTK].
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632 The type definitions in this section assume an ASN.1 module
633 definition of the following form:
637 iso(1) identified-organization(3) dod(6) internet(1)
638 security(5) mechanism(5) snego (2)
639 } DEFINITIONS EXPLICIT TAGS ::= BEGIN
642 -- rest of definitions here
648 This specifies that the tagging context for the module will be
649 explicit and non-automatic.
652 The encoding of SPNEGO protocol messages shall obey the Distinguished
653 Encoding Rules (DER) of ASN.1 as described in [X690].
659 MechType ::= OBJECT IDENTIFIER
660 -- OID represents each security mechanism as suggested by
665 4.2 Negotiation Tokens
668 The syntax of the initial negotiation tokens follows the
669 InitialContextToken syntax defined in [RFC2743]. The security
670 mechanism of the initial negotiation token is identified by the
671 Object Identifier in Section 1. All subsequent tokens are not
672 encapsulated in the above generic token framing.
675 This section specifies the syntax of initial and subsequent context
679 NegotiationToken ::= CHOICE {
680 negTokenInit [0] NegTokenInit,
681 negTokenResp [1] negTokenResp
685 MechTypeList ::= SEQUENCE OF MechType
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702 NegTokenInit ::= SEQUENCE {
703 mechTypes [0] MechTypeList,
704 reqFlags [1] ContextFlags OPTIONAL,
705 mechToken [2] OCTET STRING OPTIONAL,
706 mechListMIC [3] OCTET STRING OPTIONAL,
711 ContextFlags ::= BIT STRING {
722 This is the message for the initial negotiation token.
728 This field contains one or more security mechanisms in the
729 preference order (favorite choice first) supported by the
730 initiator (as indicated in the field mechTypes).
736 This field, if present, contains the service options that are
737 requested to establish the context. The context flags SHOULD
738 be filled in from the req_flags parameter of
739 GSS_Init_sec_context(). This field SHALL NOT influence the
740 outcome of the negotiation.
746 This field, is present, contains an optimistic negotiation
753 This field, if present, contains the result of a GSS_GetMIC()
754 [RFC2743] of the MechTypes field in the initial NegTokenInit
755 token. It allows verifying that the list initially sent by the
756 initiator has been received unmodified by the target.
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770 NegTokenResp ::= SEQUENCE {
771 negResult [0] ENUMERATED {
772 accept_completed (0),
773 accept_incomplete (1),
776 supportedMech [1] MechType OPTIONAL,
777 responseToken [2] OCTET STRING OPTIONAL,
778 mechListMIC [3] OCTET STRING OPTIONAL,
779 -- used only by the acceptor
784 This is the message for all the subsequent tokens.
790 Result of the negotiation exchange, specified by the target.
795 A security mechanism is selected, and the context is
796 established for the sender;
800 Further exchanges are necessary;
804 The sender reject the proposed security mechanism(s).
807 accept_completed indicates that a context has been successfully
808 established, while the result accept_incomplete indicates that
809 additional token exchanges are needed.
812 For those targets that support piggybacking the initial
813 mechToken, an optimistic negotiation response is possible and
814 includes in that case a responseToken which MAY continue the
815 authentication exchange (e.g. when mutual authentication has
816 been requested or when unilateral authentication requires
817 several round trips). Otherwise the responseToken is used to
818 carry the tokens specific to the mechanism selected.
821 The mechListMIC, when present, is a MIC computed over the
822 MechTypes using the mechanism list field in the initial token
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837 This field is present and only present in the first
838 negTokenResp token. It is a choice from the mechanisms offered
845 This field, if present, contains the security token of the
852 This field, if present, contains the result of a GSS_GetMIC()
853 [RFC2743] of the MechTypes field in the initial NegTokenInit
854 token. It allows verifying that the list initially sent by the
855 initiator has been received unmodified by the target.
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896 5. Security Considerations
899 In order to produce the MIC for the mechanism list, the mechanism
900 MUST provide integirty protection. When one of the mechanisms
901 proposed by the initiator does not support integrity protection, then
902 the negotiation is exposed to all threats a non secured service is
903 exposed. In particular, an active attacker can force to use a
904 security mechanism which is not the common preferred one (when
905 multiple security mechanisms are shared between peers) but which is
906 acceptable anyway to the target, thus this mechanism does not support
907 selecting a mechanism that does not support integrity protection.
910 In any case, the communicating peers MAY be exposed to the denial of
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958 The authors wish to thank Paul Leach and Todd Stecher for theirs
959 comments and suggestions on earlier versions of this document.
962 Eric Baize and Denis Pinkas wrote the original SPNEGO specification
963 [RFC2478], of which some of the text has been retained in this
970 [RFC2119] Bradner, S., "Key words for use in RFCs to Indicate
971 Requirement Levels", BCP 14, RFC 2119, March 1997.
974 [RFC2478] Baize, E. and D. Pinkas, "The Simple and Protected GSS-API
975 Negotiation Mechanism", RFC 2478, December 1998.
978 [RFC2743] Linn, J., "Generic Security Service Application Program
979 Interface Version 2, Update 1", RFC 2743, January 2000.
982 [PRTSTK] RFC-Editor: To be replaced by RFC number for draft-williams
983 -gssapi-stackable-pseudo-mechs. Work in progress.
985 [X690] ASN.1 encoding rules: Specification of Basic Encoding Rules
986 (BER), Canonical Encoding Rules (CER) and Distinguished
987 Encoding Rules (DER), ITU-T Recommendation X.690 (1997) |
988 ISO/IEC International Standard 8825-1:1998.
995 Microsoft Corporation
1001 EMail: lzhu@microsoft.com
1006 Microsoft Corporation
1012 EMail: karthikj@microsoft.com
1017 Microsoft Corporation
1023 EMail: richardw@microsoft.com
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1033 Appendix A. Changes since RFC2478
1036 The following changes are designed to be compatible with an
1037 incorrect implementation of RFC 2478 shipped in Windows 2000. A
1038 correct implementation of this protocol that negotiates the 2 leg
1039 Kerberos GSS-API mechanism as the only available security
1040 mechanism should be ale to interoperate with the implementation of
1041 Windows 2000 when the mangled OID (1.2.840.48018.1.2.2) can be
1042 used to identify Kerberos.
1045 * The negTokenTarg is changed to negTokenResp and it is now the
1046 format for all subsequent negotiation messages.
1047 * negTokenInit is the message for the initial token and that
1049 * mechTypes in negTokenInit is no longer optional.
1050 * negResult is no longer optional in the negTokenResp token.
1051 * The initiator does not send the MIC token.
1052 * Add rules when it is safe to omit the MIC token. Search for
1056 The following changes are to address the problems in RFC 2478.
1059 * reqFlags is not protected therefore it should not impact the
1061 * BER encoding is required.
1062 * GSS_GetMIC() input is clarified.
1063 * Nico's stackable pseudo mechanism draft is used to replace the
1065 * We no longer support negotiating mechanisms that do not provide
1066 for integrity. That support does not add security values but
1067 blows up the interoperability test matrix.
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