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PROPOSED STANDARD
Network Working Group                                   A. Melnikov, Ed.Request for Comments: 4422                                 Isode LimitedObsoletes:2222                                         K. Zeilenga, Ed.Category: Standards Track                            OpenLDAP Foundation                                                               June 2006Simple Authentication and Security Layer (SASL)Status of This Memo   This document specifies an Internet standards track protocol for the   Internet community, and requests discussion and suggestions for   improvements.  Please refer to the current edition of the "Internet   Official Protocol Standards" (STD 1) for the standardization state   and status of this protocol.  Distribution of this memo is unlimited.Copyright Notice   Copyright (C) The Internet Society (2006).Abstract   The Simple Authentication and Security Layer (SASL) is a framework   for providing authentication and data security services in   connection-oriented protocols via replaceable mechanisms.  It   provides a structured interface between protocols and mechanisms.   The resulting framework allows new protocols to reuse existing   mechanisms and allows old protocols to make use of new mechanisms.   The framework also provides a protocol for securing subsequent   protocol exchanges within a data security layer.   This document describes how a SASL mechanism is structured, describes   how protocols include support for SASL, and defines the protocol for   carrying a data security layer over a connection.  In addition, this   document defines one SASL mechanism, the EXTERNAL mechanism.   This document obsoletesRFC 2222.Melnikov & Zeilenga         Standards Track                     [Page 1]

RFC 4422                          SASL                         June 2006Table of Contents1. Introduction ....................................................31.1. Document Audiences .........................................41.2. Relationship to Other Documents ............................41.3. Conventions ................................................52. Identity Concepts ...............................................53. The Authentication Exchange .....................................63.1. Mechanism Naming ...........................................83.2. Mechanism Negotiation ......................................93.3. Request Authentication Exchange ............................93.4. Challenges and Responses ...................................93.4.1. Authorization Identity String ......................103.5. Aborting Authentication Exchanges .........................103.6. Authentication Outcome ....................................113.7. Security Layers ...........................................123.8. Multiple Authentications ..................................124. Protocol Requirements ..........................................135. Mechanism Requirements .........................................166. Security Considerations ........................................186.1. Active Attacks ............................................196.1.1. Hijack Attacks .....................................196.1.2. Downgrade Attacks ..................................196.1.3. Replay Attacks .....................................206.1.4. Truncation Attacks .................................206.1.5. Other Active Attacks ...............................206.2. Passive Attacks ...........................................206.3. Re-keying .................................................216.4. Other Considerations ......................................217. IANA Considerations ............................................227.1. SASL Mechanism Registry ...................................227.2. Registration Changes ......................................268. References .....................................................268.1. Normative References ......................................268.2. Informative References ....................................279. Acknowledgements ...............................................28Appendix A.  The SASL EXTERNAL Mechanism ..........................29A.1. EXTERNAL Technical Specification ..........................29A.2. SASL EXTERNAL Examples ....................................30A.3. Security Considerations ...................................31Appendix B.  Changes sinceRFC 2222 ...............................31Melnikov & Zeilenga         Standards Track                     [Page 2]

RFC 4422                          SASL                         June 20061.  Introduction   The Simple Authentication and Security Layer (SASL) is a framework   for providing authentication and data security services in   connection-oriented protocols via replaceable mechanisms.  SASL   provides a structured interface between protocols and mechanisms.   SASL also provides a protocol for securing subsequent protocol   exchanges within a data security layer.  The data security layer can   provide data integrity, data confidentiality, and other services.   SASL's design is intended to allow new protocols to reuse existing   mechanisms without requiring redesign of the mechanisms and allows   existing protocols to make use of new mechanisms without redesign of   protocols.   SASL is conceptually a framework that provides an abstraction layer   between protocols and mechanisms as illustrated in the following   diagram.                  SMTP    LDAP    XMPP   Other protocols ...                     \       |    |      /                      \      |    |     /                     SASL abstraction layer                      /      |    |     \                     /       |    |      \              EXTERNAL   GSSAPI  PLAIN   Other mechanisms ...   It is through the interfaces of this abstraction layer that the   framework allows any protocol to utilize any mechanism.  While this   layer does generally hide the particulars of protocols from   mechanisms and the particulars of mechanisms from protocols, this   layer does not generally hide the particulars of mechanisms from   protocol implementations.  For example, different mechanisms require   different information to operate, some of them use password-based   authentication, some of then require realm information, others make   use of Kerberos tickets, certificates, etc.  Also, in order to   perform authorization, server implementations generally have to   implement identity mapping between authentication identities, whose   form is mechanism specific, and authorization identities, whose form   is application protocol specific.Section 2 discusses identity   concepts.   It is possible to design and implement this framework in ways that do   abstract away particulars of similar mechanisms.  Such a framework   implementation, as well as mechanisms implementations, could be   designed not only to be shared by multiple implementations of a   particular protocol but to be shared by implementations of multiple   protocols.Melnikov & Zeilenga         Standards Track                     [Page 3]

RFC 4422                          SASL                         June 2006   The framework incorporates interfaces with both protocols and   mechanisms in which authentication exchanges are carried out.Section 3 discusses SASL authentication exchanges.   To use SASL, each protocol (amongst other items) provides a method   for identifying which mechanism is to be used, a method for exchange   of mechanism-specific server-challenges and client-responses, and a   method for communicating the outcome of the authentication exchange.Section 4 discusses SASL protocol requirements.   Each SASL mechanism defines (amongst other items) a series of   server-challenges and client-responses that provide authentication   services and negotiate data security services.Section 5 discusses   SASL mechanism requirements.Section 6 discusses security considerations.Section 7 discusses   IANA considerations.Appendix A defines the SASL EXTERNAL mechanism.1.1.  Document Audiences   This document is written to serve several different audiences:      -  protocol designers using this specification to support         authentication in their protocol,      -  mechanism designers that define new SASL mechanisms, and      -  implementors of clients or servers for those protocols that         support SASL.   While the document organization is intended to allow readers to focus   on details relevant to their engineering, readers are encouraged to   read and understand all aspects of this document.1.2.  Relationship to Other Documents   This document obsoletesRFC 2222.  It replaces all portions ofRFC2222 excepting sections7.1 (the KERBEROS_IV mechanism), 7.2 (the   GSSAPI mechanism), 7.3 (the SKEY mechanism).  The KERBEROS_IV and   SKEY mechanisms are now viewed as obsolete and their specifications   provided inRFC 2222 are Historic.  The GSSAPI mechanism is now   separately specified [SASL-GSSAPI].Appendix B provides a summary of changes sinceRFC 2222.Melnikov & Zeilenga         Standards Track                     [Page 4]

RFC 4422                          SASL                         June 20061.3.  Conventions   The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",   "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this   document are to be interpreted as described inBCP 14 [RFC2119].   Character names in this document use the notation for code points and   names from the Unicode Standard [Unicode].  For example, the letter   "a" may be represented as either <U+0061> or <LATIN SMALL LETTER A>.   Note: a glossary of terms used in Unicode can be found in [Glossary].   Information on the Unicode character encoding model can be found in   [CharModel].   In examples, "C:" and "S:" indicate lines of data to be sent by the   client and server, respectively.  Lines have been wrapped for   improved readability.2.  Identity Concepts   In practice, authentication and authorization may involve multiple   identities, possibly in different forms (simple username, Kerberos   principal, X.500 Distinguished Name, etc.), possibly with different   representations (e.g., ABNF-described UTF-8 encoded Unicode character   string, BER-encoded Distinguished Name).  While technical   specifications often prescribe both the identity form and   representation used on the network, different identity forms and/or   representations may be (and often are) used within implementations.   How identities of different forms relate to each other is, generally,   a local matter.  In addition, the forms and representations used   within an implementation are a local matter.   However, conceptually, the SASL framework involves two identities:      1) an identity associated with the authentication credentials         (termed the authentication identity), and      2) an identity to act as (termed the authorization identity).   SASL mechanism specifications describe the credential form(s) (e.g.,   X.509 certificates, Kerberos tickets, simple username/password) used   to authenticate the client, including (where appropriate) the syntax   and semantics of authentication identities carried in the   credentials.  SASL protocol specifications describe the identity   form(s) used in authorization and, in particular, prescribe the   syntax and semantics of the authorization identity character string   to be transferred by mechanisms.Melnikov & Zeilenga         Standards Track                     [Page 5]

RFC 4422                          SASL                         June 2006   The client provides its credentials (which include or imply an   authentication identity) and, optionally, a character string   representing the requested authorization identity as part of the SASL   exchange.  When this character string is omitted or empty, the client   is requesting to act as the identity associated with the credentials   (e.g., the user is requesting to act as the authentication identity).   The server is responsible for verifying the client's credentials and   verifying that the identity it associates with the client's   credentials (e.g., the authentication identity) is allowed to act as   the authorization identity.  A SASL exchange fails if either (or   both) of these verifications fails.  (The SASL exchange may fail for   other reasons, such as service authorization failure.)   However, the precise form(s) of the authentication identities (used   within the server in its verifications, or otherwise) and the precise   form(s) of the authorization identities (used in making authorization   decisions, or otherwise) are beyond the scope of SASL and this   specification.  In some circumstances, the precise identity forms   used in some context outside of the SASL exchange may be dictated by   other specifications.  For instance, an identity assumption   authorization (proxy authorization) policy specification may dictate   how authentication and authorization identities are represented in   policy statements.3.  The Authentication Exchange   Each authentication exchange consists of a message from the client to   the server requesting authentication via a particular mechanism,   followed by one or more pairs of challenges from the server and   responses from the client, followed by a message from the server   indicating the outcome of the authentication exchange.  (Note:   exchanges may also be aborted as discussed inSection 3.5.)   The following illustration provides a high-level overview of an   authentication exchange.      C: Request authentication exchange      S: Initial challenge      C: Initial response      <additional challenge/response messages>      S: Outcome of authentication exchange   If the outcome is successful and a security layer was negotiated,   this layer is then installed (seeSection 3.7).  This also applies to   the following illustrations.Melnikov & Zeilenga         Standards Track                     [Page 6]

RFC 4422                          SASL                         June 2006   Some mechanisms specify that the first data sent in the   authentication exchange is from the client to the server.  Protocols   may provide an optional initial response field in the request message   to carry this data.  Where the mechanism specifies that the first   data sent in the exchange is from the client to the server, the   protocol provides an optional initial response field, and the client   uses this field, the exchange is shortened by one round-trip:      C: Request authentication exchange + Initial response      <additional challenge/response messages>      S: Outcome of authentication exchange   Where the mechanism specifies that the first data sent in the   exchange is from the client to the server and this field is   unavailable or unused, the client request is followed by an empty   challenge.      C: Request authentication exchange      S: Empty Challenge      C: Initial Response      <additional challenge/response messages>      S: Outcome of authentication exchange   Should a client include an initial response in its request where the   mechanism does not allow the client to send data first, the   authentication exchange fails.   Some mechanisms specify that the server is to send additional data to   the client when indicating a successful outcome.  Protocols may   provide an optional additional data field in the outcome message to   carry this data.  Where the mechanism specifies that the server is to   return additional data with the successful outcome, the protocol   provides an optional additional data field in the outcome message,   and the server uses this field, the exchange is shortened by one   round-trip:      C: Request authentication exchange      S: Initial challenge      C: Initial response      <additional challenge/response messages>      S: Outcome of authentication exchange with         additional data with success   Where the mechanism specifies that the server is to return additional   data to the client with a successful outcome and this field is   unavailable or unused, the additional data is sent as a challenge   whose response is empty.  After receiving this response, the server   then indicates the successful outcome.Melnikov & Zeilenga         Standards Track                     [Page 7]

RFC 4422                          SASL                         June 2006      C: Request authentication exchange      S: Initial challenge      C: Initial response      <additional challenge/response messages>      S: Additional data challenge      C: Empty Response      S: Outcome of authentication exchange   Where mechanisms specify that the first data sent in the exchange is   from the client to the server and additional data is sent to the   client along with indicating a successful outcome, and the protocol   provides fields supporting both, then the exchange takes two fewer   round-trips:      C: Request authentication exchange + Initial response      <additional challenge/response messages>      S: Outcome of authentication exchange         with additional data with success   instead of:      C: Request authentication exchange      S: Empty Challenge      C: Initial Response      <additional challenge/response messages>      S: Additional data challenge      C: Empty Response      S: Outcome of authentication exchange3.1.  Mechanism Naming   SASL mechanisms are named by character strings, from 1 to 20   characters in length, consisting of ASCII [ASCII] uppercase letters,   digits, hyphens, and/or underscores.  In the following Augmented   Backus-Naur Form (ABNF) [RFC4234] grammar, the <sasl-mech> production   defines the syntax of a SASL mechanism name.      sasl-mech    = 1*20mech-char      mech-char    = UPPER-ALPHA / DIGIT / HYPHEN / UNDERSCORE      ; mech-char is restricted to A-Z (uppercase only), 0-9, -, and _      ; from ASCII character set.      UPPER-ALPHA  = %x41-5A  ; A-Z (uppercase only)      DIGIT        = %x30-39  ; 0-9      HYPHEN       = %x2D ; hyphen (-)      UNDERSCORE   = %x5F ; underscore (_)   SASL mechanism names are registered as discussed inSection 7.1.Melnikov & Zeilenga         Standards Track                     [Page 8]

RFC 4422                          SASL                         June 20063.2.  Mechanism Negotiation   Mechanism negotiation is protocol specific.   Commonly, a protocol will specify that the server advertises   supported and available mechanisms to the client via some facility   provided by the protocol, and the client will then select the "best"   mechanism from this list that it supports and finds suitable.   Note that the mechanism negotiation is not protected by the   subsequent authentication exchange and hence is subject to downgrade   attacks if not protected by other means.   To detect downgrade attacks, a protocol can allow the client to   discover available mechanisms subsequent to the authentication   exchange and installation of data security layers with at least data   integrity protection.  This allows the client to detect changes to   the list of mechanisms supported by the server.3.3.  Request Authentication Exchange   The authentication exchange is initiated by the client by requesting   authentication via a mechanism it specifies.  The client sends a   message that contains the name of the mechanism to the server.  The   particulars of the message are protocol specific.   Note that the name of the mechanism is not protected by the   mechanism, and hence is subject to alteration by an attacker if not   integrity protected by other means.   Where the mechanism is defined to allow the client to send data   first, and the protocol's request message includes an optional   initial response field, the client may include the response to the   initial challenge in the authentication request message.3.4.  Challenges and Responses   The authentication exchange involves one or more pairs of server-   challenges and client-responses, the particulars of which are   mechanism specific.  These challenges and responses are enclosed in   protocol messages, the particulars of which are protocol specific.   Through these challenges and responses, the mechanism may:      -  authenticate the client to the server,      -  authenticate the server to the client,Melnikov & Zeilenga         Standards Track                     [Page 9]

RFC 4422                          SASL                         June 2006      -  transfer an authorization identity string,      -  negotiate a security layer, and      -  provide other services.   The negotiation of the security layer may involve negotiation of the   security services to be provided in the layer, how these services   will be provided, and negotiation of a maximum cipher-text buffer   size each side is able to receive in the layer (seeSection 3.6).   After receiving an authentication request or any client response, the   server may issue a challenge, abort the exchange, or indicate the   outcome of an exchange.  After receiving a challenge, a client   mechanism may issue a response or abort the exchange.3.4.1.  Authorization Identity String   The authorization identity string is a sequence of zero or more   Unicode [Unicode] characters, excluding the NUL (U+0000) character,   representing the identity to act as.   If the authorization identity string is absent, the client is   requesting to act as the identity the server associates with the   client's credentials.  An empty string is equivalent to an absent   authorization identity.   A non-empty authorization identity string indicates that the client   wishes to act as the identity represented by the string.  In this   case, the form of identity represented by the string, as well as the   precise syntax and semantics of the string, is protocol specific.   While the character encoding schema used to transfer the   authorization identity string in the authentication exchange is   mechanism specific, mechanisms are expected to be capable of carrying   the entire Unicode repertoire (with the exception of the NUL   character).3.5.  Aborting Authentication Exchanges   A client or server may desire to abort an authentication exchange if   it is unwilling or unable to continue (or enter into).   A client may abort the authentication exchange by sending a message,   the particulars of which are protocol specific, to the server,   indicating that the exchange is aborted.  The server may be required   by the protocol to return a message in response to the client's abort   message.Melnikov & Zeilenga         Standards Track                    [Page 10]

RFC 4422                          SASL                         June 2006   Likewise, a server may abort the authentication exchange by sending a   message, the particulars of which are protocol specific, to the   client, indicating that the exchange is aborted.3.6.  Authentication Outcome   At the conclusion of the authentication exchange, the server sends a   message, the particulars of which are protocol specific, to the   client indicating the outcome of the exchange.   The outcome is not successful if      -  the authentication exchange failed for any reason,      -  the client's credentials could not be verified,      -  the server cannot associate an identity with the client's         credentials,      -  the client-provided authorization identity string is malformed,      -  the identity associated with the client's credentials is not         authorized to act as the requested authorization identity,      -  the negotiated security layer (or lack thereof) is not         suitable, or      -  the server is not willing to provide service to the client for         any reason.   The protocol may include an optional additional data field in this   outcome message.  This field can only include additional data when   the outcome is successful.   If the outcome is successful and a security layer was negotiated,   this layer is then installed.  If the outcome is unsuccessful, or a   security layer was not negotiated, any existing security is left in   place.   The outcome message provided by the server can provide a way for the   client to distinguish between errors that are best dealt with by re-   prompting the user for her credentials, errors that are best dealt   with by telling the user to try again later, and errors where the   user must contact a system administrator for resolution (see the SYS   and AUTH POP Response Codes [RFC3206] specification for an example).   This distinction is particularly useful during scheduled server   maintenance periods as it reduces support costs.  It is also   important that the server can be configured such that the outcomeMelnikov & Zeilenga         Standards Track                    [Page 11]

RFC 4422                          SASL                         June 2006   message will not distinguish between a valid user with invalid   credentials and an invalid user.3.7.  Security Layers   SASL mechanisms may offer a wide range of services in security   layers.  Typical services include data integrity and data   confidentiality.  SASL mechanisms that do not provide a security   layer are treated as negotiating no security layer.   If use of a security layer is negotiated in the authentication   protocol exchange, the layer is installed by the server after   indicating the outcome of the authentication exchange and installed   by the client upon receipt of the outcome indication.  In both cases,   the layer is installed before transfer of further protocol data.  The   precise position upon which the layer takes effect in the protocol   data stream is protocol specific.   Once the security layer is in effect in the protocol data stream, it   remains in effect until either a subsequently negotiated security   layer is installed or the underlying transport connection is closed.   When in effect, the security layer processes protocol data into   buffers of protected data.  If at any time the security layer is   unable or unwilling to continue producing buffers protecting protocol   data, the underlying transport connection MUST be closed.  If the   security layer is not able to decode a received buffer, the   underlying connection MUST be closed.  In both cases, the underlying   transport connection SHOULD be closed gracefully.   Each buffer of protected data is transferred over the underlying   transport connection as a sequence of octets prepended with a four-   octet field in network byte order that represents the length of the   buffer.  The length of the protected data buffer MUST be no larger   than the maximum size that the other side expects.  Upon the receipt   of a length field whose value is greater than the maximum size, the   receiver SHOULD close the connection, as this might be a sign of an   attack.   The maximum size that each side expects is fixed by the mechanism,   either through negotiation or by its specification.3.8.  Multiple Authentications   Unless explicitly permitted in the protocol (as stated in the   protocol's technical specification), only one successful SASL   authentication exchange may occur in a protocol session.  In thisMelnikov & Zeilenga         Standards Track                    [Page 12]

RFC 4422                          SASL                         June 2006   case, once an authentication exchange has successfully completed,   further attempts to initiate an authentication exchange fail.   Where multiple successful SASL authentication exchanges are permitted   in the protocol, then in no case may multiple SASL security layers be   simultaneously in effect.  If a security layer is in effect and a   subsequent SASL negotiation selects a second security layer, then the   second security layer replaces the first.  If a security layer is in   effect and a subsequent SASL negotiation selects no security layer,   the original security layer remains in effect.   Where multiple successful SASL negotiations are permitted in the   protocol, the effect of a failed SASL authentication exchange upon   the previously established authentication and authorization state is   protocol specific.  The protocol's technical specification should be   consulted to determine whether the previous authentication and   authorization state remains in force, or changed to an anonymous   state, or otherwise was affected.  Regardless of the protocol-   specific effect upon previously established authentication and   authorization state, the previously negotiated security layer remains   in effect.4.  Protocol Requirements   In order for a protocol to offer SASL services, its specification   MUST supply the following information:   1) A service name, to be selected from registry of "service" elements      for the Generic Security Service Application Program Interface      (GSSAPI) host-based service name form, as described inSection 4.1      of [RFC2743].  Note that this registry is shared by all GSSAPI and      SASL mechanisms.   2) Detail any mechanism negotiation facility that the protocol      provides (seeSection 3.2).      A protocol SHOULD specify a facility through which the client may      discover, both before initiation of the SASL exchange and after      installing security layers negotiated by the exchange, the names      of the SASL mechanisms that the server makes available to the      client.  The latter is important to allow the client to detect      downgrade attacks.  This facility is typically provided through      the protocol's extensions or capabilities discovery facility.   3) Definition of the messages necessary for authentication exchange,      including the following:Melnikov & Zeilenga         Standards Track                    [Page 13]

RFC 4422                          SASL                         June 2006      a) A message to initiate the authentication exchange (seeSection3.3).         This message MUST contain a field for carrying the name of the         mechanism selected by the client.         This message SHOULD contain an optional field for carrying an         initial response.  If the message is defined with this field,         the specification MUST describe how messages with an empty         initial response are distinguished from messages with no         initial response.  This field MUST be capable of carrying         arbitrary sequences of octets (including zero-length sequences         and sequences containing zero-valued octets).      b) Messages to transfer server challenges and client responses         (seeSection 3.4).         Each of these messages MUST be capable of carrying arbitrary         sequences of octets (including zero-length sequences and         sequences containing zero-valued octets).      c) A message to indicate the outcome of the authentication         exchange (seeSection 3.6).         This message SHOULD contain an optional field for carrying         additional data with a successful outcome.  If the message is         defined with this field, the specification MUST describe how         messages with an empty additional data are distinguished from         messages with no additional data.  This field MUST be capable         of carrying arbitrary sequences of octets (including zero-         length sequences and sequences containing zero-valued octets).   4) Prescribe the syntax and semantics of non-empty authorization      identity strings (seeSection 3.4.1).      In order to avoid interoperability problems due to differing      normalizations, the protocol specification MUST detail precisely      how and where (client or server) non-empty authorization identity      strings are prepared, including all normalizations, for comparison      and other applicable functions to ensure proper function.      Specifications are encouraged to prescribe use of existing      authorization identity forms as well as existing string      representations, such as simple user names [RFC4013].      Where the specification does not precisely prescribe how      identities in SASL relate to identities used elsewhere in the      protocol, for instance, in access control policy statements, itMelnikov & Zeilenga         Standards Track                    [Page 14]

RFC 4422                          SASL                         June 2006      may be appropriate for the protocol to provide a facility by which      the client can discover information (such as the representation of      the identity used in making access control decisions) about      established identities for these uses.   5) Detail any facility the protocol provides that allows the client      and/or server to abort authentication exchange (seeSection 3.5).      Protocols that support multiple authentications typically allow a      client to abort an ongoing authentication exchange by initiating a      new authentication exchange.  Protocols that do not support      multiple authentications may require the client to close the      connection and start over to abort an ongoing authentication      exchange.      Protocols typically allow the server to abort ongoing      authentication exchanges by returning a non-successful outcome      message.   6) Identify precisely where newly negotiated security layers start to      take effect, in both directions (seeSection 3.7).      Typically, specifications require security layers to start taking      effect on the first octet following the outcome message in data      being sent by the server and on the first octet sent after receipt      of the outcome message in data being sent by the client.   7) If the protocol supports other layered security services, such as      Transport Layer Security (TLS) [RFC4346], the specification MUST      prescribe the order in which security layers are applied to      protocol data.      For instance, where a protocol supports both TLS and SASL security      layers, the specification could prescribe any of the following:      a) SASL security layer is always applied first to data being sent         and, hence, applied last to received data,      b) SASL security layer is always applied last to data being sent         and, hence, applied first to received data,      c) Layers are applied in the order in which they were installed,      d) Layers are applied in the reverse order in which they were         installed, or      e) Both TLS and SASL security layers cannot be installed.Melnikov & Zeilenga         Standards Track                    [Page 15]

RFC 4422                          SASL                         June 2006   8) Indicate whether the protocol supports multiple authentications      (seeSection 3.8).  If so, the protocol MUST detail the effect a      failed SASL authentication exchange will have upon a previously      established authentication and authorization state.   Protocol specifications SHOULD avoid stating implementation   requirements that would hinder replacement of applicable mechanisms.   In general, protocol specifications SHOULD be mechanism neutral.   There are a number of reasonable exceptions to this recommendation,   including      -  detailing how credentials (which are mechanism specific) are         managed in the protocol,      -  detailing how authentication identities (which are mechanism         specific) and authorization identities (which are protocol         specific) relate to each other, and      -  detailing which mechanisms are applicable to the protocol.5.  Mechanism Requirements   SASL mechanism specifications MUST supply the following information:   1) The name of the mechanism (seeSection 3.1).  This name MUST be      registered as discussed inSection 7.1.   2) A definition of the server-challenges and client-responses of the      authentication exchange, as well as the following:      a) An indication of whether the mechanism is client-first,         variable, or server-first.  If a SASL mechanism is defined as         client-first and the client does not send an initial response         in the authentication request, then the first server challenge         MUST be empty (the EXTERNAL mechanism is an example of this         case).  If a SASL mechanism is defined as variable, then the         specification needs to state how the server behaves when the         initial client response in the authentication request is         omitted (the DIGEST-MD5 mechanism [DIGEST-MD5] is an example of         this case).  If a SASL mechanism is defined as server-first,         then the client MUST NOT send an initial client response in the         authentication request (the CRAM-MD5 mechanism [CRAM-MD5] is an         example of this case).      b) An indication of whether the server is expected to provide         additional data when indicating a successful outcome.  If so,         if the server sends the additional data as a challenge, theMelnikov & Zeilenga         Standards Track                    [Page 16]

RFC 4422                          SASL                         June 2006         specification MUST indicate that the response to this challenge         is an empty response.      SASL mechanisms SHOULD be designed to minimize the number of      challenges and responses necessary to complete the exchange.   3) An indication of whether the mechanism is capable of transferring      authorization identity strings (seeSection 3.4.1).  While some      legacy mechanisms are incapable of transmitting an authorization      identity (which means that for these mechanisms, the authorization      identity is always the empty string), newly defined mechanisms      SHOULD be capable of transferring authorization identity strings.      The mechanism SHOULD NOT be capable of transferring both no      authorization identity string and an empty authorization identity.      Mechanisms that are capable of transferring an authorization      identity string MUST be capable of transferring arbitrary non-      empty sequences of Unicode characters, excluding those that      contain the NUL (U+0000) character.  Mechanisms SHOULD use the      UTF-8 [RFC3629] transformation format.  The specification MUST      detail how any Unicode code points special to the mechanism that      might appear in the authorization identity string are escaped to      avoid ambiguity during decoding of the authorization identity      string.  Typically, mechanisms that have special characters      require these special characters to be escaped or encoded in the      character string (after encoding it in a particular Unicode      transformation format) using a data encoding scheme such as Base64      [RFC3548].   4) The specification MUST detail whether the mechanism offers a      security layer.  If the mechanism does, the specification MUST      detail the security and other services offered in the layer as      well as how these services are to be implemented.   5) If the underlying cryptographic technology used by a mechanism      supports data integrity, then the mechanism specification MUST      integrity protect the transmission of an authorization identity      and the negotiation of the security layer.   SASL mechanisms SHOULD be protocol neutral.   SASL mechanisms SHOULD reuse existing credential and identity forms,   as well as associated syntaxes and semantics.   SASL mechanisms SHOULD use the UTF-8 transformation format [RFC3629]   for encoding Unicode [Unicode] code points for transfer.Melnikov & Zeilenga         Standards Track                    [Page 17]

RFC 4422                          SASL                         June 2006   In order to avoid interoperability problems due to differing   normalizations, when a mechanism calls for character data (other than   the authorization identity string) to be used as input to a   cryptographic and/or comparison function, the specification MUST   detail precisely how and where (client or server) the character data   is to be prepared, including all normalizations, for input into the   function to ensure proper operation.   For simple user names and/or passwords in authentication credentials,   SASLprep [RFC4013] (a profile of the StringPrep [RFC3454] preparation   algorithm), SHOULD be specified as the preparation algorithm.   The mechanism SHOULD NOT use the authorization identity string in   generation of any long-term cryptographic keys or hashes as there is   no requirement that the authorization identity string be canonical.   Long-term, here, means a term longer than the duration of the   authentication exchange in which they were generated.  That is, as   different clients (of the same or different protocol) may provide   different authorization identity strings that are semantically   equivalent, use of authorization identity strings in generation of   cryptographic keys and hashes will likely lead to interoperability   and other problems.6.  Security Considerations   Security issues are discussed throughout this memo.   Many existing SASL mechanisms do not provide adequate protection   against passive attacks, let alone active attacks, in the   authentication exchange.  Many existing SASL mechanisms do not offer   security layers.  It is hoped that future SASL mechanisms will   provide strong protection against passive and active attacks in the   authentication exchange, as well as security layers with strong basic   data security features (e.g., data integrity and data   confidentiality) services.  It is also hoped that future mechanisms   will provide more advanced data security services like re-keying (seeSection 6.3).   Regardless, the SASL framework is susceptible to downgrade attacks.Section 6.1.2 offers a variety of approaches for preventing or   detecting these attacks.  In some cases, it is appropriate to use   data integrity protective services external to SASL (e.g., TLS) to   protect against downgrade attacks in SASL.  Use of external   protective security services is also important when the mechanisms   available do not themselves offer adequate integrity and/or   confidentiality protection of the authentication exchange and/or   protocol data.Melnikov & Zeilenga         Standards Track                    [Page 18]

RFC 4422                          SASL                         June 20066.1.  Active Attacks6.1.1.  Hijack Attacks   When the client selects a SASL security layer with at least integrity   protection, this protection serves as a counter-measure against an   active attacker hijacking the connection and modifying protocol data   sent after establishment of the security layer.  Implementations   SHOULD close the connection when the security services in a SASL   security layer report protocol data report lack of data integrity.6.1.2.  Downgrade Attacks   It is important that any security-sensitive protocol negotiations be   performed after installation of a security layer with data integrity   protection.  Protocols should be designed such that negotiations   performed prior to this installation should be revalidated after   installation is complete.  Negotiation of the SASL mechanism is   security sensitive.   When a client negotiates the authentication mechanism with the server   and/or other security features, it is possible for an active attacker   to cause a party to use the least secure security services available.   For instance, an attacker can modify the server-advertised mechanism   list or can modify the client-advertised security feature list within   a mechanism response.  To protect against this sort of attack,   implementations SHOULD NOT advertise mechanisms and/or features that   cannot meet their minimum security requirements, SHOULD NOT enter   into or continue authentication exchanges that cannot meet their   minimum security requirements, and SHOULD verify that completed   authentication exchanges result in security services that meet their   minimum security requirements.  Note that each endpoint needs to   independently verify that its security requirements are met.   In order to detect downgrade attacks to the least (or less) secure   mechanism supported, the client can discover the SASL mechanisms that   the server makes available both before the SASL authentication   exchange and after the negotiated SASL security layer (with at least   data integrity protection) has been installed through the protocol's   mechanism discovery facility.  If the client finds that the   integrity-protected list (the list obtained after the security layer   was installed) contains a stronger mechanism than those in the   previously obtained list, the client should assume that the   previously obtained list was modified by an attacker and SHOULD close   the underlying transport connection.   The client's initiation of the SASL exchange, including the selection   of a SASL mechanism, is done in the clear and may be modified by anMelnikov & Zeilenga         Standards Track                    [Page 19]

RFC 4422                          SASL                         June 2006   active attacker.  It is important for any new SASL mechanisms to be   designed such that an active attacker cannot obtain an authentication   with weaker security properties by modifying the SASL mechanism name   and/or the challenges and responses.   Multi-level negotiation of security features is prone to downgrade   attack.  Protocol designers should avoid offering higher-level   negotiation of security features in protocols (e.g., above SASL   mechanism negotiation) and mechanism designers should avoid lower-   level negotiation of security features in mechanisms (e.g., below   SASL mechanism negotiation).6.1.3.  Replay Attacks   Some mechanisms may be subject to replay attacks unless protected by   external data security services (e.g., TLS).6.1.4.  Truncation Attacks   Most existing SASL security layers do not themselves offer protection   against truncation attack.  In a truncation attack, the active   attacker causes the protocol session to be closed, causing a   truncation of the possibly integrity-protected data stream that leads   to behavior of one or both the protocol peers that inappropriately   benefits the attacker.  Truncation attacks are fairly easy to defend   against in connection-oriented application-level protocols.  A   protocol can defend against these attacks by ensuring that each   information exchange has a clear final result and that each protocol   session has a graceful closure mechanism, and that these are   integrity protected.6.1.5.  Other Active Attacks   When use of a security layer is negotiated by the authentication   protocol exchange, the receiver SHOULD handle gracefully any   protected data buffer larger than the defined/negotiated maximal   size.  In particular, it MUST NOT blindly allocate the amount of   memory specified in the buffer size field, as this might cause the   "out of memory" condition.  If the receiver detects a large block, it   SHOULD close the connection.6.2.  Passive Attacks   Many mechanisms are subject to various passive attacks, including   simple eavesdropping of unprotected credential information as well as   online and offline dictionary attacks of protected credential   information.Melnikov & Zeilenga         Standards Track                    [Page 20]

RFC 4422                          SASL                         June 20066.3.  Re-keying   The secure or administratively permitted lifetimes of SASL   mechanisms' security layers are finite.  Cryptographic keys weaken as   they are used and as time passes; the more time and/or cipher-text   that a cryptanalyst has after the first use of the a key, the easier   it is for the cryptanalyst to mount attacks on the key.   Administrative limits on a security layer's lifetime may take the   form of time limits expressed in X.509 certificates, in Kerberos V   tickets, or in directories, and are often desired.  In practice, one   likely effect of administrative lifetime limits is that applications   may find that security layers stop working in the middle of   application protocol operation, such as, perhaps, during large data   transfers.  As the result of this, the connection will be closed (seeSection 3.7), which will result in an unpleasant user experience.   Re-keying (key renegotiation process) is a way of addressing the   weakening of cryptographic keys.  The SASL framework does not itself   provide for re-keying; SASL mechanisms may.  Designers of future SASL   mechanisms should consider providing re-keying services.   Implementations that wish to re-key SASL security layers where the   mechanism does not provide for re-keying SHOULD reauthenticate the   same IDs and replace the expired or soon-to-expire security layers.   This approach requires support for reauthentication in the   application protocols (seeSection 3.8).6.4.  Other Considerations   Protocol designers and implementors should understand the security   considerations of mechanisms so they may select mechanisms that are   applicable to their needs.   Distributed server implementations need to be careful in how they   trust other parties.  In particular, authentication secrets should   only be disclosed to other parties that are trusted to manage and use   those secrets in a manner acceptable to the disclosing party.   Applications using SASL assume that SASL security layers providing   data confidentiality are secure even when an attacker chooses the   text to be protected by the security layer.  Similarly, applications   assume that the SASL security layer is secure even if the attacker   can manipulate the cipher-text output of the security layer.  New   SASL mechanisms are expected to meet these assumptions.Melnikov & Zeilenga         Standards Track                    [Page 21]

RFC 4422                          SASL                         June 2006   Unicode security considerations [UTR36] apply to authorization   identity strings, as well as UTF-8 [RFC3629] security considerations   where UTF-8 is used.  SASLprep [RFC4013] and StringPrep [RFC3454]   security considerations also apply where used.7.  IANA Considerations7.1.  SASL Mechanism Registry   The SASL mechanism registry is maintained by IANA.  The registry is   currently available at <http://www.iana.org/assignments/sasl-mechanisms>.   The purpose of this registry is not only to ensure uniqueness of   values used to name SASL mechanisms, but also to provide a definitive   reference to technical specifications detailing each SASL mechanism   available for use on the Internet.   There is no naming convention for SASL mechanisms; any name that   conforms to the syntax of a SASL mechanism name can be registered.   The procedure detailed inSection 7.1.1 is to be used for   registration of a value naming a specific individual mechanism.   The procedure detailed inSection 7.1.2 is to be used for   registration of a value naming a family of related mechanisms.   Comments may be included in the registry as discussed inSection7.1.3 and may be changed as discussed inSection 7.1.4.   The SASL mechanism registry has been updated to reflect that this   document provides the definitive technical specification for SASL and   that this section provides the registration procedures for this   registry.Melnikov & Zeilenga         Standards Track                    [Page 22]

RFC 4422                          SASL                         June 20067.1.1.  Mechanism Name Registration Procedure   IANA will register new SASL mechanism names on a First Come First   Served basis, as defined inBCP 26 [RFC2434].  IANA has the right to   reject obviously bogus registration requests, but will perform no   review of claims made in the registration form.   Registration of a SASL mechanism is requested by filling in the   following template:      Subject: Registration of SASL mechanism X      SASL mechanism name (or prefix for the family):      Security considerations:      Published specification (recommended):      Person & email address to contact for further information:      Intended usage: (One of COMMON, LIMITED USE, or OBSOLETE)      Owner/Change controller:      Note: (Any other information that the author deems relevant may be      added here.)   and sending it via electronic mail to IANA at <iana@iana.org>.   While this registration procedure does not require expert review,   authors of SASL mechanisms are encouraged to seek community review   and comment whenever that is feasible.  Authors may seek community   review by posting a specification of their proposed mechanism as an   Internet-Draft.  SASL mechanisms intended for widespread use should   be standardized through the normal IETF process, when appropriate.Melnikov & Zeilenga         Standards Track                    [Page 23]

RFC 4422                          SASL                         June 20067.1.2.  Family Name Registration Procedure   As noted above, there is no general naming convention for SASL   mechanisms.  However, specifications may reserve a portion of the   SASL mechanism namespace for a set of related SASL mechanisms, a   "family" of SASL mechanisms.  Each family of SASL mechanisms is   identified by a unique prefix, such as X-.  Registration of new SASL   mechanism family names requires expert review as defined inBCP 26   [RFC2434].   Registration of a SASL family name is requested by filling in the   following template:      Subject: Registration of SASL mechanism family X      SASL family name (or prefix for the family):      Security considerations:      Published specification (recommended):      Person & email address to contact for further information:      Intended usage: (One of COMMON, LIMITED USE, or OBSOLETE)      Owner/Change controller:      Note: (Any other information that the author deems relevant may be      added here.)   and sending it via electronic mail to the IETF SASL mailing list at   <ietf-sasl@imc.org> and carbon copying IANA at <iana@iana.org>.   After allowing two weeks for community input on the IETF SASL mailing   list, the expert will determine the appropriateness of the   registration request and either approve or disapprove the request   with notice to the requestor, the mailing list, and IANA.   The review should focus on the appropriateness of the requested   family name for the proposed use and the appropriateness of the   proposed naming and registration plan for existing and future   mechanism names in the family.  The scope of this request review may   entail consideration of relevant aspects of any provided technical   specification, such as their IANA Considerations section.  However,   this review is narrowly focused on the appropriateness of the   requested registration and not on the overall soundness of any   provided technical specification.Melnikov & Zeilenga         Standards Track                    [Page 24]

RFC 4422                          SASL                         June 2006   Authors are encouraged to pursue community review by posting the   technical specification as an Internet-Draft and soliciting comment   by posting to appropriate IETF mailing lists.7.1.3.  Comments on SASL Mechanism Registrations   Comments on a registered SASL mechanism/family should first be sent   to the "owner" of the mechanism/family and/or to the <ietf-   sasl@imc.org> mailing list.   Submitters of comments may, after a reasonable attempt to contact the   owner, request IANA to attach their comment to the SASL mechanism   registration itself by sending mail to <iana@iana.org>.  At IANA's   sole discretion, IANA may attach the comment to the SASL mechanism's   registration.7.1.4.  Change Control   Once a SASL mechanism registration has been published by IANA, the   author may request a change to its definition.  The change request   follows the same procedure as the registration request.   The owner of a SASL mechanism may pass responsibility for the SASL   mechanism to another person or agency by informing IANA; this can be   done without discussion or review.   The IESG may reassign responsibility for a SASL mechanism.  The most   common case of this will be to enable changes to be made to   mechanisms where the author of the registration has died, has moved   out of contact, or is otherwise unable to make changes that are   important to the community.   SASL mechanism registrations may not be deleted; mechanisms that are   no longer believed appropriate for use can be declared OBSOLETE by a   change to their "intended usage" field; such SASL mechanisms will be   clearly marked in the lists published by IANA.   The IESG is considered to be the owner of all SASL mechanisms that   are on the IETF standards track.Melnikov & Zeilenga         Standards Track                    [Page 25]

RFC 4422                          SASL                         June 20067.2.  Registration Changes   The IANA has updated the SASL mechanisms registry as follows:   1) Changed the "Intended usage" of the KERBEROS_V4 and SKEY mechanism      registrations to OBSOLETE.   2) Changed the "Published specification" of the EXTERNAL mechanism to      this document as indicated below:      Subject: Updated Registration of SASL mechanism EXTERNAL      Family of SASL mechanisms: NO      SASL mechanism name: EXTERNAL      Security considerations: See A.3 ofRFC 4422      Published specification (optional, recommended):RFC 4422      Person & email address to contact for further information:          Alexey Melnikov <Alexey.Melnikov@isode.com>      Intended usage: COMMON      Owner/Change controller: IESG <iesg@ietf.org>      Note: Updates existing entry for EXTERNAL8.  References8.1.  Normative References   [RFC2119]     Bradner, S., "Key words for use in RFCs to Indicate                 Requirement Levels",BCP 14,RFC 2119, March 1997.   [RFC2244]     Newman, C. and J. G. Myers, "ACAP -- Application                 Configuration Access Protocol",RFC 2244, November                 1997.   [RFC2434]     Narten, T. and H. Alvestrand, "Guidelines for Writing                 an IANA Considerations Section in RFCs",BCP 26,RFC2434, October 1998.   [RFC2743]     Linn, J., "Generic Security Service Application Program                 Interface Version 2, Update 1",RFC 2743, January 2000.   [RFC3454]     Hoffman, P. and M. Blanchet, "Preparation of                 Internationalized Strings ("stringprep")",RFC 3454,                 December 2002.   [RFC3629]     Yergeau, F., "UTF-8, a transformation format of ISO                 10646", STD 63,RFC 3629, November 2003.   [RFC4013]     Zeilenga, K., "SASLprep: Stringprep Profile for User                 Names and Passwords",RFC 4013, February 2005.Melnikov & Zeilenga         Standards Track                    [Page 26]

RFC 4422                          SASL                         June 2006   [RFC4234]     Crocker, D. and P. Overell, "Augmented BNF for Syntax                 Specifications: ABNF",RFC 4234, October 2005.   [ASCII]       Coded Character Set--7-bit American Standard Code for                 Information Interchange, ANSI X3.4-1986.   [Unicode]     The Unicode Consortium, "The Unicode Standard, Version                 3.2.0" is defined by "The Unicode Standard, Version                 3.0" (Reading, MA, Addison-Wesley, 2000. ISBN 0-201-                 61633-5), as amended by the "Unicode Standard Annex                 #27: Unicode 3.1"                 (http://www.unicode.org/reports/tr27/) and by the                 "Unicode Standard Annex #28: Unicode 3.2"                 (http://www.unicode.org/reports/tr28/).   [CharModel]   Whistler, K. and M. Davis, "Unicode Technical Report                 #17, Character Encoding Model", UTR17,                 <http://www.unicode.org/unicode/reports/tr17/>, August                 2000.   [Glossary]    The Unicode Consortium, "Unicode Glossary",                 <http://www.unicode.org/glossary/>.8.2.  Informative References   [RFC3206]     Gellens, R., "The SYS and AUTH POP Response Codes",RFC3206, February 2002.   [RFC3548]     Josefsson, S., "The Base16, Base32, and Base64 Data                 Encodings",RFC 3548, July 2003.   [RFC4301]     Kent, S. and K. Seo, "Security Architecture for the                 Internet Protocol",RFC 4301, December 2005.   [RFC4346]     Dierks, T. and E. Rescorla, "The Transport Layer                 Security (TLS) Protocol Version 1.1",RFC 4346, April                 2006.   [SASL-GSSAPI] Melnikov, A. (Editor), "The Kerberos V5 ("GSSAPI") SASL                 Mechanism", Work in Progress, May 2006.   [UTR36]       Davis, M., "(Draft) Unicode Technical Report #36,                 Character Encoding Model", UTR17,                 <http://www.unicode.org/unicode/reports/tr36/>,                 February 2005.   [CRAM-MD5]    Nerenberg, L.,"The CRAM-MD5 SASL Mechanism", Work in                 Progress.Melnikov & Zeilenga         Standards Track                    [Page 27]

RFC 4422                          SASL                         June 2006   [DIGEST-MD5]  Leach, P., C. Newman, and A. Melnikov, "Using Digest                 Authentication as a SASL Mechanism", Work in Progress,                 March 2006.9.  Acknowledgements   This document is a revision ofRFC 2222 written by John Myers.   This revision is a product of the IETF Simple Authentication and   Security Layer (SASL) Working Group.   The following individuals contributed significantly to this revision:   Abhijit Menon-Sen, Hallvard Furuseth, Jeffrey Hutzelman, John Myers,   Luke Howard, Magnus Nystrom, Nicolas Williams, Peter Saint-Andre, RL   'Bob' Morgan, Rob Siemborski, Sam Hartman, Simon Josefsson, Tim   Alsop, and Tony Hansen.Melnikov & Zeilenga         Standards Track                    [Page 28]

RFC 4422                          SASL                         June 2006Appendix A.  The SASL EXTERNAL Mechanism   This appendix is normative.   The EXTERNAL mechanism allows a client to request the server to use   credentials established by means external to the mechanism to   authenticate the client.  The external means may be, for instance, IP   Security [RFC4301] or TLS [RFC4346] services.  In absence of some a   priori agreement between the client and the server, the client cannot   make any assumption as to what external means the server has used to   obtain the client's credentials, nor make an assumption as to the   form of credentials.  For example, the client cannot assume that the   server will use the credentials the client has established via TLS.A.1.  EXTERNAL Technical Specification   The name of this mechanism is "EXTERNAL".   The mechanism does not provide a security layer.   The mechanism is capable of transferring an authorization identity   string.  If empty, the client is requesting to act as the identity   the server has associated with the client's credentials.  If non-   empty, the client is requesting to act as the identity represented by   the string.   The client is expected to send data first in the authentication   exchange.  Where the client does not provide an initial response data   in its request to initiate the authentication exchange, the server is   to respond to the request with an empty initial challenge and then   the client is to provide its initial response.   The client sends the initial response containing the UTF-8 [RFC3629]   encoding of the requested authorization identity string.  This   response is non-empty when the client is requesting to act as the   identity represented by the (non-empty) string.  This response is   empty when the client is requesting to act as the identity the server   associated with its authentication credentials.   The syntax of the initial response is specified as a value of the   <extern-initial-resp> production detailed below using the Augmented   Backus-Naur Form (ABNF) [RFC4234] notation.      external-initial-resp = authz-id-string      authz-id-string       = *( UTF8-char-no-nul )      UTF8-char-no-nul      = UTF8-1-no-nul / UTF8-2 / UTF8-3 / UTF8-4      UTF8-1-no-nul         = %x01-7FMelnikov & Zeilenga         Standards Track                    [Page 29]

RFC 4422                          SASL                         June 2006   where the <UTF8-2>, <UTF8-3>, and <UTF8-4> productions are as defined   in [RFC3629].   There are no additional challenges and responses.   Hence, the server is to return the outcome of the authentication   exchange.   The exchange fails if   -  the client has not established its credentials via external means,   -  the client's credentials are inadequate,   -  the client provided an empty authorization identity string and the      server is unwilling or unable to associate an authorization      identity with the client's credentials,   -  the client provided a non-empty authorization identity string that      is invalid per the syntax requirements of the applicable      application protocol specification,   -  the client provided a non-empty authorization identity string      representing an identity that the client is not allowed to act as,      or   -  the server is unwilling or unable to provide service to the client      for any other reason.   Otherwise the exchange is successful.  When indicating a successful   outcome, additional data is not provided.A.2.  SASL EXTERNAL Examples   This section provides examples of EXTERNAL authentication exchanges.   The examples are intended to help the readers understand the above   text.  The examples are not definitive.  The Application   Configuration Access Protocol (ACAP) [RFC2244] is used in the   examples.   The first example shows use of EXTERNAL with an empty authorization   identity.  In this example, the initial response is not sent in the   client's request to initiate the authentication exchange.      S: * ACAP (SASL "DIGEST-MD5")      C: a001 STARTTLS      S: a001 OK "Begin TLS negotiation now"      <TLS negotiation, further commands are under TLS layer>Melnikov & Zeilenga         Standards Track                    [Page 30]

RFC 4422                          SASL                         June 2006      S: * ACAP (SASL "DIGEST-MD5" "EXTERNAL")      C: a002 AUTHENTICATE "EXTERNAL"      S: + ""      C: + ""      S: a002 OK "Authenticated"   The second example shows use of EXTERNAL with an authorization   identity of "fred@example.com".  In this example, the initial   response is sent with the client's request to initiate the   authentication exchange.  This saves a round-trip.      S: * ACAP (SASL "DIGEST-MD5")      C: a001 STARTTLS      S: a001 OK "Begin TLS negotiation now"      <TLS negotiation, further commands are under TLS layer>      S: * ACAP (SASL "DIGEST-MD5" "EXTERNAL")      C: a002 AUTHENTICATE "EXTERNAL" {16+}      C: fred@example.com      S: a002 NO "Cannot assume requested authorization identity"A.3.  Security Considerations   The EXTERNAL mechanism provides no security protection; it is   vulnerable to spoofing by either client or server, active attack, and   eavesdropping.  It should only be used when adequate security   services have been established.Appendix B.  Changes sinceRFC 2222   This appendix is non-normative.   The material inRFC 2222 was significantly rewritten in the   production of this document.RFC 2222, by not stating that the authorization identity string was a   string of Unicode characters, let alone character data, implied that   the authorization identity string was a string of octets.   -  The authorization identity string is now defined as a string of      Unicode characters.  The NUL (U+0000) character is prohibited.      While protocol specifications are responsible for defining the      authorization identity form, as well as the Unicode string syntax      and related semantics, mechanism specifications are responsible      for defining how the Unicode string is carried in the      authentication exchange.   -  Deleted "If so, when the client does not send data first, the      initial challenge MUST be specified as being an empty challenge."Melnikov & Zeilenga         Standards Track                    [Page 31]

RFC 4422                          SASL                         June 2006   The following technical change was made to the EXTERNAL mechanism:      - The authorization identity string is to be UTF-8 encoded.      Note that protocol and mechanism specification requirements have      been significantly tightened.  Existing protocol and mechanism      specifications will need to be updated to meet these requirements.Editors' Addresses   Alexey Melnikov   Isode Limited   5 Castle Business Village   36 Station Road   Hampton, Middlesex,   TW12 2BX, United Kingdom   EMail: Alexey.Melnikov@isode.com   URI:http://www.melnikov.ca/   Kurt D. Zeilenga   OpenLDAP Foundation   EMail: Kurt@OpenLDAP.orgMelnikov & Zeilenga         Standards Track                    [Page 32]

RFC 4422                          SASL                         June 2006Full Copyright Statement   Copyright (C) The Internet Society (2006).   This document is subject to the rights, licenses and restrictions   contained inBCP 78, and except as set forth therein, the authors   retain all their rights.   This document and the information contained herein are provided on an   "AS IS" basis and THE CONTRIBUTOR, THE ORGANIZATION HE/SHE REPRESENTS   OR IS SPONSORED BY (IF ANY), THE INTERNET SOCIETY AND THE INTERNET   ENGINEERING TASK FORCE DISCLAIM ALL WARRANTIES, EXPRESS OR IMPLIED,   INCLUDING BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF THE   INFORMATION HEREIN WILL NOT INFRINGE ANY RIGHTS OR ANY IMPLIED   WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.Intellectual Property   The IETF takes no position regarding the validity or scope of any   Intellectual Property Rights or other rights that might be claimed to   pertain to the implementation or use of the technology described in   this document or the extent to which any license under such rights   might or might not be available; nor does it represent that it has   made any independent effort to identify any such rights.  Information   on the procedures with respect to rights in RFC documents can be   found inBCP 78 andBCP 79.   Copies of IPR disclosures made to the IETF Secretariat and any   assurances of licenses to be made available, or the result of an   attempt made to obtain a general license or permission for the use of   such proprietary rights by implementers or users of this   specification can be obtained from the IETF on-line IPR repository athttp://www.ietf.org/ipr.   The IETF invites any interested party to bring to its attention any   copyrights, patents or patent applications, or other proprietary   rights that may cover technology that may be required to implement   this standard.  Please address the information to the IETF at   ietf-ipr@ietf.org.Acknowledgement   Funding for the RFC Editor function is provided by the IETF   Administrative Support Activity (IASA).Melnikov & Zeilenga         Standards Track                    [Page 33]

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