Network Working Group                                          B. Korver
Request for Comments: 4945                       Network Resonance, Inc.
Category: Standards Track                                    August 2007


The Internet IP Security PKI Profile of IKEv1/ISAKMP, IKEv2, and PKIX

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 IETF Trust (2007).

Abstract

  The Internet Key Exchange (IKE) and Public Key Infrastructure for
  X.509 (PKIX) certificate profile both provide frameworks that must be
  profiled for use in a given application.  This document provides a
  profile of IKE and PKIX that defines the requirements for using PKI
  technology in the context of IKE/IPsec.  The document complements
  protocol specifications such as IKEv1 and IKEv2, which assume the
  existence of public key certificates and related keying materials,
  but which do not address PKI issues explicitly.  This document
  addresses those issues.  The intended audience is implementers of PKI
  for IPsec.




















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Table of Contents

  1. Introduction ....................................................4
  2. Terms and Definitions ...........................................4
  3. Use of Certificates in RFC 2401 and IKEv1/ISAKMP ................5
     3.1. Identification Payload .....................................5
          3.1.1. ID_IPV4_ADDR and ID_IPV6_ADDR .......................7
          3.1.2. ID_FQDN .............................................9
          3.1.3. ID_USER_FQDN .......................................10
          3.1.4. ID_IPV4_ADDR_SUBNET, ID_IPV6_ADDR_SUBNET,
                 ID_IPV4_ADDR_RANGE, ID_IPV6_ADDR_RANGE .............11
          3.1.5. ID_DER_ASN1_DN .....................................11
          3.1.6. ID_DER_ASN1_GN .....................................12
          3.1.7. ID_KEY_ID ..........................................12
          3.1.8. Selecting an Identity from a Certificate ...........12
          3.1.9. Subject for DN Only ................................12
          3.1.10. Binding Identity to Policy ........................13
     3.2. Certificate Request Payload ...............................13
          3.2.1. Certificate Type ...................................14
          3.2.2. X.509 Certificate - Signature ......................14
          3.2.3. Revocation Lists (CRL and ARL) .....................14
          3.2.4. PKCS #7 wrapped X.509 certificate ..................15
          3.2.5. Location of Certificate Request Payloads ...........15
          3.2.6. Presence or Absence of Certificate Request
                 Payloads ...........................................15
          3.2.7. Certificate Requests ...............................15
          3.2.8. Robustness .........................................18
          3.2.9. Optimizations ......................................18
     3.3. Certificate Payload .......................................19
          3.3.1. Certificate Type ...................................20
          3.3.2. X.509 Certificate - Signature ......................20
          3.3.3. Revocation Lists (CRL and ARL) .....................20
          3.3.4. PKCS #7 Wrapped X.509 Certificate ..................20
          3.3.5. Location of Certificate Payloads ...................21
          3.3.6. Certificate Payloads Not Mandatory .................21
          3.3.7. Response to Multiple Certification
                 Authority Proposals ................................21
          3.3.8. Using Local Keying Materials .......................21
          3.3.9. Multiple End-Entity Certificates ...................22
          3.3.10. Robustness ........................................22
          3.3.11. Optimizations .....................................23
  4. Use of Certificates in RFC 4301 and IKEv2 ......................24
     4.1. Identification Payload ....................................24
     4.2. Certificate Request Payload ...............................24
          4.2.1. Revocation Lists (CRL and ARL) .....................24
     4.3. Certificate Payload .......................................25
          4.3.1. IKEv2's Hash and URL of X.509 Certificate ..........25
          4.3.2. Location of Certificate Payloads ...................25



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          4.3.3. Ordering of Certificate Payloads ...................25
  5. Certificate Profile for IKEv1/ISAKMP and IKEv2 .................26
     5.1. X.509 Certificates ........................................26
          5.1.1. Versions ...........................................26
          5.1.2. Subject ............................................26
          5.1.3. X.509 Certificate Extensions .......................27
     5.2. X.509 Certificate Revocation Lists ........................33
          5.2.1. Multiple Sources of Certificate Revocation
                 Information ........................................34
          5.2.2. X.509 Certificate Revocation List Extensions .......34
     5.3. Strength of Signature Hashing Algorithms ..................35
  6. Configuration Data Exchange Conventions ........................36
     6.1. Certificates ..............................................36
     6.2. CRLs and ARLs .............................................37
     6.3. Public Keys ...............................................37
     6.4. PKCS#10 Certificate Signing Requests ......................37
  7. Security Considerations ........................................37
     7.1. Certificate Request Payload ...............................37
     7.2. IKEv1 Main Mode ...........................................37
     7.3. Disabling Certificate Checks ..............................38
  8. Acknowledgements ...............................................38
  9. References .....................................................38
     9.1. Normative References ......................................38
     9.2. Informative References ....................................39
  Appendix A. The Possible Dangers of Delta CRLs ....................40
  Appendix B. More on Empty CERTREQs ................................40

























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1.  Introduction

  IKE [1], ISAKMP [2], and IKEv2 [3] provide a secure key exchange
  mechanism for use with IPsec [4] [14].  In many cases, the peers
  authenticate using digital certificates as specified in PKIX [5].
  Unfortunately, the combination of these standards leads to an
  underspecified set of requirements for the use of certificates in the
  context of IPsec.

  ISAKMP references the PKIX certificate profile but, in many cases,
  merely specifies the contents of various messages without specifying
  their syntax or semantics.  Meanwhile, the PKIX certificate profile
  provides a large set of certificate mechanisms that are generally
  applicable for Internet protocols, but little specific guidance for
  IPsec.  Given the numerous underspecified choices, interoperability
  is hampered if all implementers do not make similar choices, or at
  least fail to account for implementations that have chosen
  differently.

  This profile of the IKE and PKIX frameworks is intended to provide an
  agreed-upon standard for using PKI technology in the context of IPsec
  by profiling the PKIX framework for use with IKE and IPsec, and by
  documenting the contents of the relevant IKE payloads and further
  specifying their semantics.

  In addition to providing a profile of IKE and PKIX, this document
  attempts to incorporate lessons learned from recent experience with
  both implementation and deployment, as well as the current state of
  related protocols and technologies.

  Material from ISAKMP, IKEv1, IKEv2, or PKIX is not repeated here, and
  readers of this document are assumed to have read and understood
  those documents.  The requirements and security aspects of those
  documents are fully relevant to this document as well.

  This document is organized as follows.  Section 2 defines special
  terminology used in the rest of this document, Section 3 provides the
  profile of IKEv1/ISAKMP, Section 4 provides a profile of IKEv2, and
  Section 5 provides the profile of PKIX.  Section 6 covers conventions
  for the out-of-band exchange of keying materials for configuration
  purposes.

2.  Terms and Definitions

  Except for those terms that are defined immediately below, all terms
  used in this document are defined in either the PKIX [5], ISAKMP [2],
  IKEv1 [1], IKEv2 [3], or Domain of Interpretation (DOI) [6]
  documents.



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  o  Peer source address: The source address in packets from a peer.
     This address may be different from any addresses asserted as the
     "identity" of the peer.

  o  FQDN: Fully qualified domain name.

  o  ID_USER_FQDN: IKEv2 renamed ID_USER_FQDN to ID_RFC822_ADDR.  Both
     are referred to as ID_USER_FQDN in this document.

  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 in RFC 2119 [7].

3.  Use of Certificates in RFC 2401 and IKEv1/ISAKMP

3.1.  Identification Payload

  The Identification (ID) Payload indicates the identity claimed by the
  sender.  The recipient can then use the ID as a lookup key for policy
  and for certificate lookup in whatever certificate store or directory
  that it has available.  Our primary concern in this section is to
  profile the ID payload so that it can be safely used to generate or
  lookup policy.  IKE mandates the use of the ID payload in Phase 1.

  The DOI [6] defines the 11 types of Identification Data that can be
  used and specifies the syntax for these types.  These are discussed
  below in detail.

  The ID payload requirements in this document cover only the portion
  of the explicit policy checks that deal with the Identification
  Payload specifically.  For instance, in the case where ID does not
  contain an IP address, checks such as verifying that the peer source
  address is permitted by the relevant policy are not addressed here,
  as they are out of the scope of this document.

  Implementations SHOULD populate ID with identity information that is
  contained within the end-entity certificate.  Populating ID with
  identity information from the end-entity certificate enables
  recipients to use ID as a lookup key to find the peer end-entity
  certificate.  The only case where implementations may populate ID
  with information that is not contained in the end-entity certificate
  is when ID contains the peer source address (a single address, not a
  subnet or range).

  Because implementations may use ID as a lookup key to determine which
  policy to use, all implementations MUST be especially careful to
  verify the truthfulness of the contents by verifying that they
  correspond to some keying material demonstrably held by the peer.



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  Failure to do so may result in the use of an inappropriate or
  insecure policy.  The following sections describe the methods for
  performing this binding.

  The following table summarizes the binding of the Identification
  Payload to the contents of end-entity certificates and of identity
  information to policy.  Each ID type is covered more thoroughly in
  the following sections.

  ID type  | Support  | Correspond  | Cert     | SPD lookup
           | for send | PKIX Attrib | matching | rules
  -------------------------------------------------------------------
           |          |             |          |
  IP*_ADDR | MUST [a] | SubjAltName | MUST [b] | [c], [d]
           |          | iPAddress   |          |
           |          |             |          |
  FQDN     | MUST [a] | SubjAltName | MUST [b] | [c], [d]
           |          | dNSName     |          |
           |          |             |          |
  USER_FQDN| MUST [a] | SubjAltName | MUST [b] | [c], [d]
           |          | rfc822Name  |          |
           |          |             |          |
  IP range | MUST NOT | n/a         | n/a      | n/a
           |          |             |          |
  DN       | MUST [a] | Entire      | MUST [b] | MUST support lookup
           |          | Subject,    |          | on any combination
           |          | bitwise     |          | of C, CN, O, or OU
           |          | compare     |          |
           |          |             |          |
  GN       | MUST NOT | n/a         | n/a      | n/a
           |          |             |          |
  KEY_ID   | MUST NOT | n/a         | n/a      | n/a
           |          |             |          |

  [a] = Implementation MUST have the configuration option to send this
        ID type in the ID payload.  Whether or not the ID type is used
        is a matter of local configuration.

  [b] = The ID in the ID payload MUST match the contents of the
        corresponding field (listed) in the certificate exactly, with
        no other lookup.  The matched ID MAY be used for Security
        Policy Database (SPD) lookup, but is not required to be used
        for this.

  [c] = At a minimum, Implementation MUST be capable of being
        configured to perform exact matching of the ID payload contents
        to an entry in the local SPD.




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  [d] = In addition, the implementation MAY also be configurable to
        perform substring or wildcard matches of ID payload contents to
        entries in the local SPD.  (More on this in Section 3.1.5.)

  When sending an IPV4_ADDR, IPV6_ADDR, FQDN, or USER_FQDN,
  implementations MUST be able to be configured to send the same string
  as it appears in the corresponding SubjectAltName extension.  This
  document RECOMMENDS that deployers use this configuration option.
  All these ID types are treated the same: as strings that can be
  compared easily and quickly to a corresponding string in an explicit
  value in the certificate.  Of these types, FQDN and USER_FQDN are
  RECOMMENDED over IP addresses (see discussion in Section 3.1.1).

  When sending a Distinguished Name (DN) as ID, implementations MUST
  send the entire DN in ID.  Also, implementations MUST support at
  least the C, CN, O, and OU attributes for SPD matching.  See Section
  3.1.5 for more details about DN, including SPD matching.

  Recipients MUST be able to perform SPD matching on the exact contents
  of the ID, and this SHOULD be the default setting.  In addition,
  implementations MAY use substrings or wildcards in local policy
  configuration to do the SPD matching against the ID contents.  In
  other words, implementations MUST be able to do exact matches of ID
  to SPD, but MAY also be configurable to do substring or wildcard
  matches of ID to SPD.

3.1.1.  ID_IPV4_ADDR and ID_IPV6_ADDR

  Implementations MUST support at least the ID_IPV4_ADDR or
  ID_IPV6_ADDR ID type, depending on whether the implementation
  supports IPv4, IPv6, or both.  These addresses MUST be encoded in
  "network byte order", as specified in IP [8]: The least significant
  bit (LSB) of each octet is the LSB of the corresponding byte in the
  network address.  For the ID_IPV4_ADDR type, the payload MUST contain
  exactly four octets [8].  For the ID_IPV6_ADDR type, the payload MUST
  contain exactly sixteen octets [10].

  Implementations SHOULD NOT populate ID payload with IP addresses due
  to interoperability issues such as problems with Network Address
  Translator (NAT) traversal, and problems with IP verification
  behavior.

  Deployments may only want to consider using the IP address as ID if
  all of the following are true:

  o  the peer's IP address is static, not dynamically changing

  o  the peer is NOT behind a NAT'ing device



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  o  the administrator intends the implementation to verify that the
     peer source address matches the IP address in the ID received, and
     that in the iPAddress field in the peer certificate's
     SubjectAltName extension.

  Implementations MUST be capable of verifying that the IP address
  presented in ID matches via bitwise comparison the IP address present
  in the certificate's iPAddress field of the SubjectAltName extension.
  Implementations MUST perform this verification by default.  When
  comparing the contents of ID with the iPAddress field in the
  SubjectAltName extension for equality, binary comparison MUST be
  performed.  Note that certificates may contain multiple address
  identity types -- in which case, at least one must match the source
  IP.  If the default is enabled, then a mismatch between the two
  addresses MUST be treated as an error, and security association setup
  MUST be aborted.  This event SHOULD be auditable.  Implementations
  MAY provide a configuration option to (i.e., local policy
  configuration can enable) skip that verification step, but that
  option MUST be off by default.  We include the "option-to-skip-
  validation" in order to permit better interoperability as current
  implementations vary greatly in how they behave on this topic.

  In addition, implementations MUST be capable of verifying that the
  address contained in the ID is the same as the address contained in
  the IP header.  Implementations SHOULD be able to check the address
  in either the outermost or innermost IP header and MAY provide a
  configuration option for specifying which is to be checked.  If there
  is no configuration option provided, an implementation SHOULD check
  the peer source address contained in the outermost header (as is the
  practice of most of today's implementations).  If ID is one of the IP
  address types, then implementations MUST perform this verification by
  default.  If this default is enabled, then a mismatch MUST be treated
  as an error, and security association setup MUST be aborted.  This
  event SHOULD be auditable.  Implementations MAY provide a
  configuration option to (i.e. local policy configuration can enable)
  skip that verification step, but that option MUST be off by default.
  We include the "option-to-skip-validation" in order to permit better
  interoperability, as current implementations vary greatly in how they
  behave on the topic of verification of source IP.

  If the default for both the verifications above are enabled, then, by
  transitive property, the implementation will also be verifying that
  the peer source IP address matches via a bitwise comparison the
  contents of the iPAddress field in the SubjectAltName extension in
  the certificate.  In addition, implementations MAY allow
  administrators to configure a local policy that explicitly requires
  that the peer source IP address match via a bitwise comparison the
  contents of the iPAddress field in the SubjectAltName extension in



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  the certificate.  Implementations SHOULD allow administrators to
  configure a local policy that skips this validation check.

  Implementations MAY support substring, wildcard, or regular
  expression matching of the contents of ID to look up the policy in
  the SPD, and such would be a matter of local security policy
  configuration.

  Implementations MAY use the IP address found in the header of packets
  received from the peer to look up the policy, but such
  implementations MUST still perform verification of the ID payload.
  Although packet IP addresses are inherently untrustworthy and must
  therefore be independently verified, it is often useful to use the
  apparent IP address of the peer to locate a general class of policies
  that will be used until the mandatory identity-based policy lookup
  can be performed.

  For instance, if the IP address of the peer is unrecognized, a VPN
  gateway device might load a general "road warrior" policy that
  specifies a particular Certification Authority (CA) that is trusted
  to issue certificates that contain a valid rfc822Name, which can be
  used by that implementation to perform authorization based on access
  control lists (ACLs) after the peer's certificate has been validated.
  The rfc822Name can then be used to determine the policy that provides
  specific authorization to access resources (such as IP addresses,
  ports, and so forth).

  As another example, if the IP address of the peer is recognized to be
  a known peer VPN endpoint, policy may be determined using that
  address, but until the identity (address) is validated by validating
  the peer certificate, the policy MUST NOT be used to authorize any
  IPsec traffic.

3.1.2.  ID_FQDN

  Implementations MUST support the ID_FQDN ID type, generally to
  support host-based access control lists for hosts without fixed IP
  addresses.  However, implementations SHOULD NOT use the DNS to map
  the FQDN to IP addresses for input into any policy decisions, unless
  that mapping is known to be secure, for example, if DNSSEC [11] were
  employed for that FQDN.

  If ID contains an ID_FQDN, implementations MUST be capable of
  verifying that the identity contained in the ID payload matches
  identity information contained in the peer end-entity certificate, in
  the dNSName field in the SubjectAltName extension.  Implementations
  MUST perform this verification by default.  When comparing the
  contents of ID with the dNSName field in the SubjectAltName extension



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  for equality, case-insensitive string comparison MUST be performed.
  Note that case-insensitive string comparison works on
  internationalized domain names (IDNs) as well (See IDN [12]).
  Substring, wildcard, or regular expression matching MUST NOT be
  performed for this comparison.  If this default is enabled, then a
  mismatch MUST be treated as an error, and security association setup
  MUST be aborted.  This event SHOULD be auditable.  Implementations
  MAY provide a configuration option to (i.e., local policy
  configuration can enable) skip that verification step, but that
  option MUST be off by default.  We include the "option-to-skip-
  validation" in order to permit better interoperability, as current
  implementations vary greatly in how they behave on this topic.

  Implementations MAY support substring, wildcard, or regular
  expression matching of the contents of ID to look up the policy in
  the SPD, and such would be a matter of local security policy
  configuration.

3.1.3.  ID_USER_FQDN

  Implementations MUST support the ID_USER_FQDN ID type, generally to
  support user-based access control lists for users without fixed IP
  addresses.  However, implementations SHOULD NOT use the DNS to map
  the FQDN portion to IP addresses for input into any policy decisions,
  unless that mapping is known to be secure, for example, if DNSSEC
  [11] were employed for that FQDN.

  Implementations MUST be capable of verifying that the identity
  contained in the ID payload matches identity information contained in
  the peer end-entity certificate, in the rfc822Name field in the
  SubjectAltName extension.  Implementations MUST perform this
  verification by default.  When comparing the contents of ID with the
  rfc822Name field in the SubjectAltName extension for equality, case-
  insensitive string comparison MUST be performed.  Note that case-
  insensitive string comparison works on internationalized domain names
  (IDNs) as well (See IDN [12]).  Substring, wildcard, or regular
  expression matching MUST NOT be performed for this comparison.  If
  this default is enabled, then a mismatch MUST be treated as an error,
  and security association setup MUST be aborted.  This event SHOULD be
  auditable.  Implementations MAY provide a configuration option to
  (i.e., local policy configuration can enable) skip that verification
  step, but that option MUST be off by default.  We include the
  "option-to-skip-validation" in order to permit better
  interoperability, as current implementations vary greatly in how they
  behave on this topic.






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  Implementations MAY support substring, wildcard, or regular
  expression matching of the contents of ID to look up policy in the
  SPD, and such would be a matter of local security policy
  configuration.

3.1.4.  ID_IPV4_ADDR_SUBNET, ID_IPV6_ADDR_SUBNET, ID_IPV4_ADDR_RANGE,
       ID_IPV6_ADDR_RANGE

  Note that RFC 3779 [13] defines blocks of addresses using the
  certificate extension identified by:

           id-pe-ipAddrBlock OBJECT IDENTIFIER ::= { id-pe 7 }

  although use of this extension in IKE is considered experimental at
  this time.

3.1.5.  ID_DER_ASN1_DN

  Implementations MUST support receiving the ID_DER_ASN1_DN ID type.
  Implementations MUST be capable of generating this type, and the
  decision to do so will be a matter of local security policy
  configuration.  When generating this type, implementations MUST
  populate the contents of ID with the Subject field from the end-
  entity certificate, and MUST do so such that a binary comparison of
  the two will succeed.  If there is not a match, this MUST be treated
  as an error, and security association setup MUST be aborted.  This
  event SHOULD be auditable.

  Implementations MUST NOT populate ID with the Subject from the end-
  entity certificate if it is empty, even though an empty certificate
  Subject is explicitly allowed in the "Subject" section of the PKIX
  certificate profile.

  Regarding SPD matching, implementations MUST be able to perform
  matching based on a bitwise comparison of the entire DN in ID to its
  entry in the SPD.  However, operational experience has shown that
  using the entire DN in local configuration is difficult, especially
  in large-scale deployments.  Therefore, implementations also MUST be
  able to perform SPD matches of any combination of one or more of the
  C, CN, O, OU attributes within Subject DN in the ID to the same in
  the SPD.  Implementations MAY support matching using additional DN
  attributes in any combination, although interoperability is far from
  certain and is dubious.  Implementations MAY also support performing
  substring, wildcard, or regular expression matches for any of its
  supported DN attributes from ID, in any combination, to the SPD.
  Such flexibility allows deployers to create one SPD entry on the
  gateway for an entire department of a company (e.g., O=Foobar Inc.,
  OU=Engineering) while still allowing them to draw out other details



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  from the DN (e.g., CN=John Doe) for auditing purposes.  All the above
  is a matter of local implementation and local policy definition and
  enforcement capability, not bits on the wire, but will have a great
  impact on interoperability.

3.1.6.  ID_DER_ASN1_GN

  Implementations MUST NOT generate this type, because the recipient
  will be unlikely to know how to use it.

3.1.7.  ID_KEY_ID

  The ID_KEY_ID type used to specify pre-shared keys and thus is out of
  scope.

3.1.8.  Selecting an Identity from a Certificate

  Implementations MUST support certificates that contain more than a
  single identity, such as when the Subject field and the
  SubjectAltName extension are both populated, or the SubjectAltName
  extension contains multiple identities irrespective of whether or not
  the Subject is empty.  In many cases, a certificate will contain an
  identity, such as an IP address, in the SubjectAltName extension in
  addition to a non-empty Subject.

  Implementations should populate ID with whichever identity is likely
  to be named in the peer's policy.  In practice, this generally means
  FQDN, or USER_FQDN, but this information may also be available to the
  administrator through some out-of-band means.  In the absence of such
  out-of-band configuration information, the identity with which an
  implementation chooses to populate the ID payload is a local matter.

3.1.9.  Subject for DN Only

  If an FQDN is intended to be processed as an identity for the
  purposes of ID matching, it MUST be placed in the dNSName field of
  the SubjectAltName extension.  Implementations MUST NOT populate the
  Subject with an FQDN in place of populating the dNSName field of the
  SubjectAltName extension.

  While nothing prevents an FQDN, USER_FQDN, or IP address information
  from appearing somewhere in the Subject contents, such entries MUST
  NOT be interpreted as identity information for the purposes of
  matching with ID or for policy lookup.







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3.1.10.  Binding Identity to Policy

  In the presence of certificates that contain multiple identities,
  implementations should select the most appropriate identity from the
  certificate and populate the ID with that.  The recipient MUST use
  the identity sent as a first key when selecting the policy.  The
  recipient MUST also use the most specific policy from that database
  if there are overlapping policies caused by wildcards (or the
  implementation can de-correlate the policy database so there will not
  be overlapping entries, or it can also forbid creation of overlapping
  policies and leave the de-correlation process to the administrator,
  but, as this moves the problem to the administrator, it is NOT
  RECOMMENDED).

  For example, imagine that an implementation is configured with a
  certificate that contains both a non-empty Subject and a dNSName.
  The sender's policy may specify which of those to use, and it
  indicates the policy to the other end by sending that ID.  If the
  recipient has both a specific policy for the dNSName for this host
  and generic wildcard rule for some attributes present in the Subject
  field, it will match a different policy depending on which ID is
  sent.  As the sender knows why it wanted to connect the peer, it also
  knows what identity it should use to match the policy it needs to the
  operation it tries to perform; it is the only party who can select
  the ID adequately.

  In the event that the policy cannot be found in the recipient's SPD
  using the ID sent, then the recipient MAY use the other identities in
  the certificate when attempting to match a suitable policy.  For
  example, say the certificate contains a non-empty Subject field, a
  dNSName and an iPAddress.  If an iPAddress is sent in ID but no
  specific entry exists for the address in the policy database, the
  recipient MAY search in the policy database based on the Subject or
  the dNSName contained in the certificate.

3.2.  Certificate Request Payload

  The Certificate Request (CERTREQ) Payload allows an implementation to
  request that a peer provide some set of certificates or certificate
  revocation lists (CRLs).  It is not clear from ISAKMP exactly how
  that set should be specified or how the peer should respond.  We
  describe the semantics on both sides.









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3.2.1.  Certificate Type

  The Certificate Type field identifies to the peer the type of
  certificate keying materials that are desired.  ISAKMP defines 10
  types of Certificate Data that can be requested and specifies the
  syntax for these types.  For the purposes of this document, only the
  following types are relevant:

     o  X.509 Certificate - Signature
     o  Revocation Lists (CRL and ARL)
     o  PKCS #7 wrapped X.509 certificate

  The use of the other types are out of the scope of this document:

     o  X.509 Certificate - Key Exchange
     o  PGP (Pretty Good Privacy) Certificate
     o  DNS Signed Key
     o  Kerberos Tokens
     o  SPKI (Simple Public Key Infrastructure) Certificate
     o  X.509 Certificate Attribute

3.2.2.  X.509 Certificate - Signature

  This type requests that the end-entity certificate be a certificate
  used for signing.

3.2.3.  Revocation Lists (CRL and ARL)

  ISAKMP does not support Certificate Payload sizes over approximately
  64K, which is too small for many CRLs, and UDP fragmentation is
  likely to occur at sizes much smaller than that.  Therefore, the
  acquisition of revocation material is to be dealt with out-of-band of
  IKE.  For this and other reasons, implementations SHOULD NOT generate
  CERTREQs where the Certificate Type is "Certificate Revocation List
  (CRL)" or "Authority Revocation List (ARL)".  Implementations that do
  generate such CERTREQs MUST NOT require the recipient to respond with
  a CRL or ARL, and MUST NOT fail when not receiving any.  Upon receipt
  of such a CERTREQ, implementations MAY ignore the request.

  In lieu of exchanging revocation lists in-band, a pointer to
  revocation checking SHOULD be listed in either the
  CRLDistributionPoints (CDP) or the AuthorityInfoAccess (AIA)
  certificate extensions (see Section 5 for details).  Unless other
  methods for obtaining revocation information are available,
  implementations SHOULD be able to process these attributes, and from
  them be able to identify cached revocation material, or retrieve the
  relevant revocation material from a URL, for validation processing.
  In addition, implementations MUST have the ability to configure



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  validation checking information for each certification authority.
  Regardless of the method (CDP, AIA, or static configuration), the
  acquisition of revocation material SHOULD occur out-of-band of IKE.
  Note, however, that an inability to access revocation status data
  through out-of-band means provides a potential security vulnerability
  that could potentially be exploited by an attacker.

3.2.4.  PKCS #7 wrapped X.509 certificate

  This ID type defines a particular encoding (not a particular
  certificate type); some current implementations may ignore CERTREQs
  they receive that contain this ID type, and the editors are unaware
  of any implementations that generate such CERTREQ messages.
  Therefore, the use of this type is deprecated.  Implementations
  SHOULD NOT require CERTREQs that contain this Certificate Type.
  Implementations that receive CERTREQs that contain this ID type MAY
  treat such payloads as synonymous with "X.509 Certificate -
  Signature".

3.2.5.  Location of Certificate Request Payloads

  In IKEv1 Main Mode, the CERTREQ payload MUST be in messages 4 and 5.

3.2.6.  Presence or Absence of Certificate Request Payloads

  When in-band exchange of certificate keying materials is desired,
  implementations MUST inform the peer of this by sending at least one
  CERTREQ.  In other words, an implementation that does not send any
  CERTREQs during an exchange SHOULD NOT expect to receive any CERT
  payloads.

3.2.7.  Certificate Requests

3.2.7.1.  Specifying Certification Authorities

  When requesting in-band exchange of keying materials, implementations
  SHOULD generate CERTREQs for every peer trust anchor that local
  policy explicitly deems trusted during a given exchange.
  Implementations SHOULD populate the Certification Authority field
  with the Subject field of the trust anchor, populated such that
  binary comparison of the Subject and the Certification Authority will
  succeed.









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  Upon receipt of a CERTREQ, implementations MUST respond by sending at
  least the end-entity certificate corresponding to the Certification
  Authority listed in the CERTREQ unless local security policy
  configuration specifies that keying materials must be exchanged out-
  of-band.  Implementations MAY send certificates other than the end-
  entity certificate (see Section 3.3 for discussion).

  Note that, in the case where multiple end-entity certificates may be
  available that chain to different trust anchors, implementations
  SHOULD resort to local heuristics to determine which trust anchor is
  most appropriate to use for generating the CERTREQ.  Such heuristics
  are out of the scope of this document.

3.2.7.2.  Empty Certification Authority Field

  Implementations SHOULD generate CERTREQs where the Certificate Type
  is "X.509 Certificate - Signature" and where the Certification
  Authority field is not empty.  However, implementations MAY generate
  CERTREQs with an empty Certification Authority field under special
  conditions.  Although PKIX prohibits certificates with an empty
  Issuer field, there does exist a use case where doing so is
  appropriate, and carries special meaning in the IKE context.  This
  has become a convention within the IKE interoperability tests and
  usage space, and so its use is specified, explained here for the sake
  of interoperability.

  USE CASE: Consider the rare case where you have a gateway with
  multiple policies for a large number of IKE peers: some of these
  peers are business partners, some are remote-access employees, some
  are teleworkers, some are branch offices, and/or the gateway may be
  simultaneously serving many customers (e.g., Virtual Routers).  The
  total number of certificates, and corresponding trust anchors, is
  very high -- say, hundreds.  Each of these policies is configured
  with one or more acceptable trust anchors, so that in total, the
  gateway has one hundred (100) trust anchors that could possibly used
  to authenticate an incoming connection.  Assume that many of those
  connections originate from hosts/gateways with dynamically assigned
  IP addresses, so that the source IP of the IKE initiator is not known
  to the gateway, nor is the identity of the initiator (until it is
  revealed in Main Mode message 5).  In IKE main mode message 4, the
  responder gateway will need to send a CERTREQ to the initiator.
  Given this example, the gateway will have no idea which of the
  hundred possible Certification Authorities to send in the CERTREQ.
  Sending all possible Certification Authorities will cause significant
  processing delays, bandwidth consumption, and UDP fragmentation, so
  this tactic is ruled out.





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  In such a deployment, the responder gateway implementation should be
  able to do all it can to indicate a Certification Authority in the
  CERTREQ.  This means the responder SHOULD first check SPD to see if
  it can match the source IP, and find some indication of which CA is
  associated with that IP.  If this fails (because the source IP is not
  familiar, as in the case above), then the responder SHOULD have a
  configuration option specifying which CAs are the default CAs to
  indicate in CERTREQ during such ambiguous connections (e.g., send
  CERTREQ with these N CAs if there is an unknown source IP).  If such
  a fall-back is not configured or impractical in a certain deployment
  scenario, then the responder implementation SHOULD have both of the
  following configuration options:

  o  send a CERTREQ payload with an empty Certification Authority
     field, or

  o  terminate the negotiation with an appropriate error message and
     audit log entry.

  Receiving a CERTREQ payload with an empty Certification Authority
  field indicates that the recipient should send all/any end-entity
  certificates it has, regardless of the trust anchor.  The initiator
  should be aware of what policy and which identity it will use, as it
  initiated the connection on a matched policy to begin with, and can
  thus respond with the appropriate certificate.

  If, after sending an empty CERTREQ in Main Mode message 4, a
  responder receives a certificate in message 5 that chains to a trust
  anchor that the responder either (a) does NOT support, or (b) was not
  configured for the policy (that policy was now able to be matched due
  to having the initiator's certificate present), this MUST be treated
  as an error, and security association setup MUST be aborted.  This
  event SHOULD be auditable.

  Instead of sending an empty CERTREQ, the responder implementation MAY
  be configured to terminate the negotiation on the grounds of a
  conflict with locally configured security policy.

  The decision of which to configure is a matter of local security
  policy; this document RECOMMENDS that both options be presented to
  administrators.

  More examples and explanation of this issue are included in "More on
  Empty CERTREQs" (Appendix B).







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3.2.8.  Robustness

3.2.8.1.  Unrecognized or Unsupported Certificate Types

  Implementations MUST be able to deal with receiving CERTREQs with
  unsupported Certificate Types.  Absent any recognized and supported
  CERTREQ types, implementations MAY treat them as if they are of a
  supported type with the Certification Authority field left empty,
  depending on local policy.  ISAKMP [2] Section 5.10, "Certificate
  Request Payload Processing", specifies additional processing.

3.2.8.2.  Undecodable Certification Authority Fields

  Implementations MUST be able to deal with receiving CERTREQs with
  undecodable Certification Authority fields.  Implementations MAY
  ignore such payloads, depending on local policy.  ISAKMP specifies
  other actions which may be taken.

3.2.8.3.  Ordering of Certificate Request Payloads

  Implementations MUST NOT assume that CERTREQs are ordered in any way.

3.2.9.  Optimizations

3.2.9.1.  Duplicate Certificate Request Payloads

  Implementations SHOULD NOT send duplicate CERTREQs during an
  exchange.

3.2.9.2.  Name Lowest 'Common' Certification Authorities

  When a peer's certificate keying material has been cached, an
  implementation can send a hint to the peer to elide some of the
  certificates the peer would normally include in the response.  In
  addition to the normal set of CERTREQs that are sent specifying the
  trust anchors, an implementation MAY send CERTREQs specifying the
  relevant cached end-entity certificates.  When sending these hints,
  it is still necessary to send the normal set of trust anchor CERTREQs
  because the hints do not sufficiently convey all of the information
  required by the peer.  Specifically, either the peer may not support
  this optimization or there may be additional chains that could be
  used in this context but will not be if only the end-entity
  certificate is specified.

  No special processing is required on the part of the recipient of
  such a CERTREQ, and the end-entity certificates will still be sent.
  On the other hand, the recipient MAY elect to elide certificates
  based on receipt of such hints.



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  CERTREQs must contain information that identifies a Certification
  Authority certificate, which results in the peer always sending at
  least the end-entity certificate.  Always sending the end-entity
  certificate allows implementations to determine unambiguously when a
  new certificate is being used by a peer (perhaps because the previous
  certificate has just expired), which may result in a failure because
  a new intermediate CA certificate might not be available to validate
  the new end-entity certificate).  Implementations that implement this
  optimization MUST recognize when the end-entity certificate has
  changed and respond to it by not performing this optimization if the
  exchange must be retried so that any missing keying materials will be
  sent during retry.

3.2.9.3.  Example

  Imagine that an IKEv1 implementation has previously received and
  cached the peer certificate chain TA->CA1->CA2->EE.  If, during a
  subsequent exchange, this implementation sends a CERTREQ containing
  the Subject field in certificate TA, this implementation is
  requesting that the peer send at least three certificates: CA1, CA2,
  and EE.  On the other hand, if this implementation also sends a
  CERTREQ containing the Subject field of CA2, the implementation is
  providing a hint that only one certificate needs to be sent: EE.
  Note that in this example, the fact that TA is a trust anchor should
  not be construed to imply that TA is a self-signed certificate.

3.3.  Certificate Payload

  The Certificate (CERT) Payload allows the peer to transmit a single
  certificate or CRL.  Multiple certificates should be transmitted in
  multiple payloads.  For backwards-compatibility reasons,
  implementations MAY send intermediate CA certificates in addition to
  the appropriate end-entity certificate(s), but SHOULD NOT send any
  CRLs, ARLs, or trust anchors.  Exchanging trust anchors and
  especially CRLs and ARLs in IKE would increase the likelihood of UDP
  fragmentation, make the IKE exchange more complex, and consume
  additional network bandwidth.

  Note, however, that while the sender of the CERT payloads SHOULD NOT
  send any certificates it considers trust anchors, it's possible that
  the recipient may consider any given intermediate CA certificate to
  be a trust anchor.  For instance, imagine the sender has the
  certificate chain TA1->CA1->EE1 while the recipient has the
  certificate chain TA2->EE2 where TA2=CA1.  The sender is merely
  including an intermediate CA certificate, while the recipient
  receives a trust anchor.





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  However, not all certificate forms that are legal in the PKIX
  certificate profile make sense in the context of IPsec.  The issue of
  how to represent IKE-meaningful name-forms in a certificate is
  especially problematic.  This document provides a profile for a
  subset of the PKIX certificate profile that makes sense for IKEv1/
  ISAKMP.

3.3.1.  Certificate Type

  The Certificate Type field identifies to the peer the type of
  certificate keying materials that are included.  ISAKMP defines 10
  types of Certificate Data that can be sent and specifies the syntax
  for these types.  For the purposes of this document, only the
  following types are relevant:

     o  X.509 Certificate - Signature
     o  Revocation Lists (CRL and ARL)
     o  PKCS #7 wrapped X.509 certificate

  The use of the other types are out of the scope of this document:

     o  X.509 Certificate - Key Exchange
     o  PGP Certificate
     o  DNS Signed Key
     o  Kerberos Tokens
     o  SPKI Certificate
     o  X.509 Certificate Attribute

3.3.2.  X.509 Certificate - Signature

  This type specifies that Certificate Data contains a certificate used
  for signing.

3.3.3.  Revocation Lists (CRL and ARL)

  These types specify that Certificate Data contains an X.509 CRL or
  ARL.  These types SHOULD NOT be sent in IKE.  See Section 3.2.3 for
  discussion.

3.3.4.  PKCS #7 Wrapped X.509 Certificate

  This type defines a particular encoding, not a particular certificate
  type.  Implementations SHOULD NOT generate CERTs that contain this
  Certificate Type.  Implementations SHOULD accept CERTs that contain
  this Certificate Type because several implementations are known to
  generate them.  Note that those implementations sometimes include





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  entire certificate hierarchies inside a single CERT PKCS #7 payload,
  which violates the requirement specified in ISAKMP that this payload
  contain a single certificate.

3.3.5.  Location of Certificate Payloads

  In IKEv1 Main Mode, the CERT payload MUST be in messages 5 and 6.

3.3.6.  Certificate Payloads Not Mandatory

  An implementation that does not receive any CERTREQs during an
  exchange SHOULD NOT send any CERT payloads, except when explicitly
  configured to proactively send CERT payloads in order to interoperate
  with non-compliant implementations that fail to send CERTREQs even
  when certificates are desired.  In this case, an implementation MAY
  send the certificate chain (not including the trust anchor)
  associated with the end-entity certificate.  This MUST NOT be the
  default behavior of implementations.

  Implementations whose local security policy configuration expects
  that a peer must receive certificates through out-of-band means
  SHOULD ignore any CERTREQ messages that are received.  Such a
  condition has been known to occur due to non-compliant or buggy
  implementations.

  Implementations that receive CERTREQs from a peer that contain only
  unrecognized Certification Authorities MAY elect to terminate the
  exchange, in order to avoid unnecessary and potentially expensive
  cryptographic processing, denial-of-service (resource starvation)
  attacks.

3.3.7.  Response to Multiple Certification Authority Proposals

  In response to multiple CERTREQs that contain different Certification
  Authority identities, implementations MAY respond using an end-entity
  certificate which chains to a CA that matches any of the identities
  provided by the peer.

3.3.8.  Using Local Keying Materials

  Implementations MAY elect to skip parsing or otherwise decoding a
  given set of CERTs if those same keying materials are available via
  some preferable means, such as the case where certificates from a
  previous exchange have been cached.







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3.3.9.  Multiple End-Entity Certificates

  Implementations SHOULD NOT send multiple end-entity certificates and
  recipients SHOULD NOT be expected to iterate over multiple end-entity
  certificates.

  If multiple end-entity certificates are sent, they MUST have the same
  public key; otherwise, the responder does not know which key was used
  in the Main Mode message 5.

3.3.10.  Robustness

3.3.10.1.  Unrecognized or Unsupported Certificate Types

  Implementations MUST be able to deal with receiving CERTs with
  unrecognized or unsupported Certificate Types.  Implementations MAY
  discard such payloads, depending on local policy.  ISAKMP [2] Section
  5.10, "Certificate Request Payload Processing", specifies additional
  processing.

3.3.10.2.  Undecodable Certificate Data Fields

  Implementations MUST be able to deal with receiving CERTs with
  undecodable Certificate Data fields.  Implementations MAY discard
  such payloads, depending on local policy.  ISAKMP specifies other
  actions that may be taken.

3.3.10.3.  Ordering of Certificate Payloads

  Implementations MUST NOT assume that CERTs are ordered in any way.

3.3.10.4.  Duplicate Certificate Payloads

  Implementations MUST support receiving multiple identical CERTs
  during an exchange.

3.3.10.5.  Irrelevant Certificates

  Implementations MUST be prepared to receive certificates and CRLs
  that are not relevant to the current exchange.  Implementations MAY
  discard such extraneous certificates and CRLs.

  Implementations MAY send certificates that are irrelevant to an
  exchange.  One reason for including certificates that are irrelevant
  to an exchange is to minimize the threat of leaking identifying
  information in exchanges where CERT is not encrypted in IKEv1.  It
  should be noted, however, that this probably provides rather poor
  protection against leaking the identity.



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  Another reason for including certificates that seem irrelevant to an
  exchange is that there may be two chains from the Certification
  Authority to the end entity, each of which is only valid with certain
  validation parameters (such as acceptable policies).  Since the end-
  entity doesn't know which parameters the relying party is using, it
  should send the certificates needed for both chains (even if there's
  only one CERTREQ).

  Implementations SHOULD NOT send multiple end-entity certificates and
  recipients SHOULD NOT be expected to iterate over multiple end-entity
  certificates.

3.3.11.  Optimizations

3.3.11.1.  Duplicate Certificate Payloads

  Implementations SHOULD NOT send duplicate CERTs during an exchange.
  Such payloads should be suppressed.

3.3.11.2.  Send Lowest 'Common' Certificates

  When multiple CERTREQs are received that specify certification
  authorities within the end-entity certificate chain, implementations
  MAY send the shortest chain possible.  However, implementations
  SHOULD always send the end-entity certificate.  See Section 3.2.9.2
  for more discussion of this optimization.

3.3.11.3.  Ignore Duplicate Certificate Payloads

  Implementations MAY employ local means to recognize CERTs that have
  already been received and SHOULD discard these duplicate CERTs.

3.3.11.4.  Hash Payload

  IKEv1 specifies the optional use of the Hash Payload to carry a
  pointer to a certificate in either of the Phase 1 public key
  encryption modes.  This pointer is used by an implementation to
  locate the end-entity certificate that contains the public key that a
  peer should use for encrypting payloads during the exchange.

  Implementations SHOULD include this payload whenever the public
  portion of the keypair has been placed in a certificate.









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4.  Use of Certificates in RFC 4301 and IKEv2

4.1.  Identification Payload

  The Peer Authorization Database (PAD) as described in RFC 4301 [14]
  describes the use of the ID payload in IKEv2 and provides a formal
  model for the binding of identity to policy in addition to providing
  services that deal more specifically with the details of policy
  enforcement, which are generally out of scope of this document.  The
  PAD is intended to provide a link between the SPD and the security
  association management in protocols such as IKE.  See RFC 4301 [14],
  Section 4.4.3 for more details.

  Note that IKEv2 adds an optional IDr payload in the second exchange
  that the initiator may send to the responder in order to specify
  which of the responder's multiple identities should be used.  The
  responder MAY choose to send an IDr in the third exchange that
  differs in type or content from the initiator-generated IDr.  The
  initiator MUST be able to receive a responder-generated IDr that is a
  different type from the one the initiator generated.

4.2.  Certificate Request Payload

4.2.1.  Revocation Lists (CRL and ARL)

  IKEv2 does not support Certificate Payload sizes over approximately
  64K.  See Section 3.2.3 for the problems this can cause.

4.2.1.1.  IKEv2's Hash and URL of X.509 certificate

  This ID type defines a request for the peer to send a hash and URL of
  its X.509 certificate, instead of the actual certificate itself.
  This is a particularly useful mechanism when the peer is a device
  with little memory and lower bandwidth, e.g., a mobile handset or
  consumer electronics device.

  If the IKEv2 implementation supports URL lookups, and prefers such a
  URL to receiving actual certificates, then the implementation will
  want to send a notify of type HTTP_CERT_LOOKUP_SUPPORTED.  From IKEv2
  [3], Section 3.10.1, "This notification MAY be included in any
  message that can include a CERTREQ payload and indicates that the
  sender is capable of looking up certificates based on an HTTP-based
  URL (and hence presumably would prefer to receive certificate
  specifications in that format)".  If an HTTP_CERT_LOOKUP_SUPPORTED
  notification is sent, the sender MUST support the http scheme.  See
  Section 4.3.1 for more discussion of HTTP_CERT_LOOKUP_SUPPORTED.





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4.2.1.2.  Location of Certificate Request Payloads

  In IKEv2, the CERTREQ payload must be in messages 2 and 3.  Note that
  in IKEv2, it is possible to have one side authenticating with
  certificates while the other side authenticates with pre-shared keys.

4.3.  Certificate Payload

4.3.1.  IKEv2's Hash and URL of X.509 Certificate

  This type specifies that Certificate Data contains a hash and the URL
  to a repository where an X.509 certificate can be retrieved.

  An implementation that sends an HTTP_CERT_LOOKUP_SUPPORTED
  notification MUST support the http scheme and MAY support the ftp
  scheme, and MUST NOT require any specific form of the url-path, and
  it SHOULD support having user-name, password, and port parts in the
  URL.  The following are examples of mandatory forms:

  o  http://certs.example.com/certificate.cer
  o  http://certs.example.com/certs/cert.pl?u=foo;a=pw;valid-to=+86400
  o  http://certs.example.com/%0a/../foo/bar/zappa

  while the following is an example of a form that SHOULD be supported:

  o  http://user:[email protected]:8888/certificate.cer

  FTP MAY be supported, and if it is, the following is an example of
  the ftp scheme that MUST be supported:

  o  ftp://ftp.example.com/pub/certificate.cer

4.3.2.  Location of Certificate Payloads

  In IKEv2, the CERT payload MUST be in messages 3 and 4.  Note that in
  IKEv2, it is possible to have one side authenticating with
  certificates while the other side authenticates with pre-shared keys.

4.3.3.  Ordering of Certificate Payloads

  For IKEv2, implementations MUST NOT assume that any but the first
  CERT is ordered in any way.  IKEv2 specifies that the first CERT
  contain an end-entity certificate that can be used to authenticate
  the peer.







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5.  Certificate Profile for IKEv1/ISAKMP and IKEv2

  Except where specifically stated in this document, implementations
  MUST conform to the requirements of the PKIX [5] certificate profile.

5.1.  X.509 Certificates

  Users deploying IKE and IPsec with certificates have often had little
  control over the capabilities of CAs available to them.
  Implementations of this specification may include configuration knobs
  to disable checks required by this specification in order to permit
  use with inflexible and/or noncompliant CAs.  However, all checks on
  certificates exist for a specific reason involving the security of
  the entire system.  Therefore, all checks MUST be enabled by default.
  Administrators and users ought to understand the security purpose for
  the various checks, and be clear on what security will be lost by
  disabling the check.

5.1.1.  Versions

  Although PKIX states that "implementations SHOULD be prepared to
  accept any version certificate", in practice, this profile requires
  certain extensions that necessitate the use of Version 3 certificates
  for all but self-signed certificates used as trust anchors.
  Implementations that conform to this document MAY therefore reject
  Version 1 and Version 2 certificates in all other cases.

5.1.2.  Subject

  Certification Authority implementations MUST be able to create
  certificates with Subject fields with at least the following four
  attributes: CN, C, O, and OU.  Implementations MAY support other
  Subject attributes as well.  The contents of these attributes SHOULD
  be configurable on a certificate-by-certificate basis, as these
  fields will likely be used by IKE implementations to match SPD
  policy.

  See Section 3.1.5 for details on how IKE implementations need to be
  able to process Subject field attributes for SPD policy lookup.

5.1.2.1.  Empty Subject Name

  IKE Implementations MUST accept certificates that contain an empty
  Subject field, as specified in the PKIX certificate profile.
  Identity information in such certificates will be contained entirely
  in the SubjectAltName extension.





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5.1.2.2.  Specifying Hosts and not FQDN in the Subject Name

  Implementations that desire to place host names that are not intended
  to be processed by recipients as FQDNs (for instance "Gateway
  Router") in the Subject MUST use the commonName attribute.

5.1.2.3.  EmailAddress

  As specified in the PKIX certificate profile, implementations MUST
  NOT populate X.500 distinguished names with the emailAddress
  attribute.

5.1.3.  X.509 Certificate Extensions

  Conforming IKE implementations MUST recognize extensions that must or
  may be marked critical according to this specification.  These
  extensions are: KeyUsage, SubjectAltName, and BasicConstraints.

  Certification Authority implementations SHOULD generate certificates
  such that the extension criticality bits are set in accordance with
  the PKIX certificate profile and this document.  With respect to
  compliance with the PKIX certificate profile, IKE implementations
  processing certificates MAY ignore the value of the criticality bit
  for extensions that are supported by that implementation, but MUST
  support the criticality bit for extensions that are not supported by
  that implementation.  That is, a relying party SHOULD processes all
  the extensions it is aware of whether the bit is true or false -- the
  bit says what happens when a relying party cannot process an
  extension.

         implements    bit in cert     PKIX mandate    behavior
         ------------------------------------------------------
         yes           true            true            ok
         yes           true            false           ok or reject
         yes           false           true            ok or reject
         yes           false           false           ok
         no            true            true            reject
         no            true            false           reject
         no            false           true            reject
         no            false           false           ok

5.1.3.1.  AuthorityKeyIdentifier and SubjectKeyIdentifier

  Implementations SHOULD NOT assume support for the
  AuthorityKeyIdentifier or SubjectKeyIdentifier extensions.  Thus,
  Certification Authority implementations should not generate
  certificate hierarchies that are overly complex to process in the
  absence of these extensions, such as those that require possibly



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  verifying a signature against a large number of similarly named CA
  certificates in order to find the CA certificate that contains the
  key that was used to generate the signature.

5.1.3.2.  KeyUsage

  IKE uses an end-entity certificate in the authentication process.
  The end-entity certificate may be used for multiple applications.  As
  such, the CA can impose some constraints on the manner that a public
  key ought to be used.  The KeyUsage (KU) and ExtendedKeyUsage (EKU)
  extensions apply in this situation.

  Since we are talking about using the public key to validate a
  signature, if the KeyUsage extension is present, then at least one of
  the digitalSignature or the nonRepudiation bits in the KeyUsage
  extension MUST be set (both can be set as well).  It is also fine if
  other KeyUsage bits are set.

  A summary of the logic flow for peer cert validation follows:

  o  If no KU extension, continue.

  o  If KU present and doesn't mention digitalSignature or
     nonRepudiation (both, in addition to other KUs, is also fine),
     reject cert.

  o  If none of the above, continue.

5.1.3.3.  PrivateKeyUsagePeriod

  The PKIX certificate profile recommends against the use of this
  extension.  The PrivateKeyUsageExtension is intended to be used when
  signatures will need to be verified long past the time when
  signatures using the private keypair may be generated.  Since IKE
  security associations (SAs) are short-lived relative to the intended
  use of this extension in addition to the fact that each signature is
  validated only a single time, the usefulness of this extension in the
  context of IKE is unclear.  Therefore, Certification Authority
  implementations MUST NOT generate certificates that contain the
  PrivateKeyUsagePeriod extension.  If an IKE implementation receives a
  certificate with this set, it SHOULD ignore it.










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5.1.3.4.  CertificatePolicies

  Many IKE implementations do not currently provide support for the
  CertificatePolicies extension.  Therefore, Certification Authority
  implementations that generate certificates that contain this
  extension SHOULD NOT mark the extension as critical.  As is the case
  with all certificate extensions, a relying party receiving this
  extension but who can process the extension SHOULD NOT reject the
  certificate because it contains the extension.

5.1.3.5.  PolicyMappings

  Many IKE implementations do not support the PolicyMappings extension.
  Therefore, implementations that generate certificates that contain
  this extension SHOULD NOT mark the extension as critical.

5.1.3.6.  SubjectAltName

  Deployments that intend to use an ID of FQDN, USER_FQDN, IPV4_ADDR,
  or IPV6_ADDR MUST issue certificates with the corresponding
  SubjectAltName fields populated with the same data.  Implementations
  SHOULD generate only the following GeneralName choices in the
  SubjectAltName extension, as these choices map to legal IKEv1/ISAKMP/
  IKEv2 Identification Payload types: rfc822Name, dNSName, or
  iPAddress.  Although it is possible to specify any GeneralName choice
  in the Identification Payload by using the ID_DER_ASN1_GN ID type,
  implementations SHOULD NOT assume support for such functionality, and
  SHOULD NOT generate certificates that do so.

5.1.3.6.1.  dNSName

  If the IKE ID type is FQDN, then this field MUST contain a fully
  qualified domain name.  If the IKE ID type is FQDN, then the dNSName
  field MUST match its contents.  Implementations MUST NOT generate
  names that contain wildcards.  Implementations MAY treat certificates
  that contain wildcards in this field as syntactically invalid.

  Although this field is in the form of an FQDN, IKE implementations
  SHOULD NOT assume that this field contains an FQDN that will resolve
  via the DNS, unless this is known by way of some out-of-band
  mechanism.  Such a mechanism is out of the scope of this document.
  Implementations SHOULD NOT treat the failure to resolve as an error.









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5.1.3.6.2.  iPAddress

  If the IKE ID type is IPV4_ADDR or IPV6_ADDR, then the iPAddress
  field MUST match its contents.  Note that although PKIX permits CIDR
  [15] notation in the "Name Constraints" extension, the PKIX
  certificate profile explicitly prohibits using CIDR notation for
  conveying identity information.  In other words, the CIDR notation
  MUST NOT be used in the SubjectAltName extension.

5.1.3.6.3.  rfc822Name

  If the IKE ID type is USER_FQDN, then the rfc822Name field MUST match
  its contents.  Although this field is in the form of an Internet mail
  address, IKE implementations SHOULD NOT assume that this field
  contains a valid email address, unless this is known by way of some
  out-of-band mechanism.  Such a mechanism is out of the scope of this
  document.

5.1.3.7.  IssuerAltName

  Certification Authority implementations SHOULD NOT assume that other
  implementations support the IssuerAltName extension, and especially
  should not assume that information contained in this extension will
  be displayed to end users.

5.1.3.8.  SubjectDirectoryAttributes

  The SubjectDirectoryAttributes extension is intended to convey
  identification attributes of the subject.  IKE implementations MAY
  ignore this extension when it is marked non-critical, as the PKIX
  certificate profile mandates.

5.1.3.9.  BasicConstraints

  The PKIX certificate profile mandates that CA certificates contain
  this extension and that it be marked critical.  IKE implementations
  SHOULD reject CA certificates that do not contain this extension.
  For backwards compatibility, implementations may accept such
  certificates if explicitly configured to do so, but the default for
  this setting MUST be to reject such certificates.

5.1.3.10.  NameConstraints

  Many IKE implementations do not support the NameConstraints
  extension.  Since the PKIX certificate profile mandates that this
  extension be marked critical when present, Certification Authority
  implementations that are interested in maximal interoperability for
  IKE SHOULD NOT generate certificates that contain this extension.



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5.1.3.11.  PolicyConstraints

  Many IKE implementations do not support the PolicyConstraints
  extension.  Since the PKIX certificate profile mandates that this
  extension be marked critical when present, Certification Authority
  implementations that are interested in maximal interoperability for
  IKE SHOULD NOT generate certificates that contain this extension.

5.1.3.12.  ExtendedKeyUsage

  The CA SHOULD NOT include the ExtendedKeyUsage (EKU) extension in
  certificates for use with IKE.  Note that there were three IPsec-
  related object identifiers in EKU that were assigned in 1999.  The
  semantics of these values were never clearly defined.  The use of
  these three EKU values in IKE/IPsec is obsolete and explicitly
  deprecated by this specification.  CAs SHOULD NOT issue certificates
  for use in IKE with them.  (For historical reference only, those
  values were id-kp-ipsecEndSystem, id-kp-ipsecTunnel, and id-kp-
  ipsecUser.)

  The CA SHOULD NOT mark the EKU extension in certificates for use with
  IKE and one or more other applications.  Nevertheless, this document
  defines an ExtendedKeyUsage keyPurposeID that MAY be used to limit a
  certificate's use:

  id-kp-ipsecIKE OBJECT IDENTIFIER ::= { id-kp 17 }

  where id-kp is defined in RFC 3280 [5].  If a certificate is intended
  to be used with both IKE and other applications, and one of the other
  applications requires use of an EKU value, then such certificates
  MUST contain either the keyPurposeID id-kp-ipsecIKE or
  anyExtendedKeyUsage [5], as well as the keyPurposeID values
  associated with the other applications.  Similarly, if a CA issues
  multiple otherwise-similar certificates for multiple applications
  including IKE, and it is intended that the IKE certificate NOT be
  used with another application, the IKE certificate MAY contain an EKU
  extension listing a keyPurposeID of id-kp-ipsecIKE to discourage its
  use with the other application.  Recall, however, that EKU extensions
  in certificates meant for use in IKE are NOT RECOMMENDED.

  Conforming IKE implementations are not required to support EKU.  If a
  critical EKU extension appears in a certificate and EKU is not
  supported by the implementation, then RFC 3280 requires that the
  certificate be rejected.  Implementations that do support EKU MUST
  support the following logic for certificate validation:






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  o  If no EKU extension, continue.

  o  If EKU present AND contains either id-kp-ipsecIKE or
     anyExtendedKeyUsage, continue.

  o  Otherwise, reject cert.

5.1.3.13.  CRLDistributionPoints

  Because this document deprecates the sending of CRLs in-band, the use
  of CRLDistributionPoints (CDP) becomes very important if CRLs are
  used for revocation checking (as opposed to, say, Online Certificate
  Status Protocol - OCSP [16]).  The IPsec peer either needs to have a
  URL for a CRL written into its local configuration, or it needs to
  learn it from CDP.  Therefore, Certification Authority
  implementations SHOULD issue certificates with a populated CDP.

  Failure to validate the CRLDistributionPoints/
  IssuingDistributionPoint pair can result in CRL substitution where an
  entity knowingly substitutes a known good CRL from a different
  distribution point for the CRL that is supposed to be used, which
  would show the entity as revoked.  IKE implementations MUST support
  validating that the contents of CRLDistributionPoints match those of
  the IssuingDistributionPoint to prevent CRL substitution when the
  issuing CA is using them.  At least one CA is known to default to
  this type of CRL use.  See Section 5.2.2.5 for more information.

  CDPs SHOULD be "resolvable".  Several non-compliant Certification
  Authority implementations are well known for including unresolvable
  CDPs like http://localhost/path_to_CRL and http:///path_to_CRL that
  are equivalent to failing to include the CDP extension in the
  certificate.

  See the IETF IPR Web page for CRLDistributionPoints intellectual
  property rights (IPR) information.  Note that both the
  CRLDistributionPoints and IssuingDistributionPoint extensions are
  RECOMMENDED but not REQUIRED by the PKIX certificate profile, so
  there is no requirement to license any IPR.

5.1.3.14.  InhibitAnyPolicy

  Many IKE implementations do not support the InhibitAnyPolicy
  extension.  Since the PKIX certificate profile mandates that this
  extension be marked critical when present, Certification Authority
  implementations that are interested in maximal interoperability for
  IKE SHOULD NOT generate certificates that contain this extension.





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5.1.3.15.  FreshestCRL

  IKE implementations MUST NOT assume that the FreshestCRL extension
  will exist in peer certificates.  Note that most IKE implementations
  do not support delta CRLs.

5.1.3.16.  AuthorityInfoAccess

  The PKIX certificate profile defines the AuthorityInfoAccess
  extension, which is used to indicate "how to access CA information
  and services for the issuer of the certificate in which the extension
  appears".  Because this document deprecates the sending of CRLs in-
  band, the use of AuthorityInfoAccess (AIA) becomes very important if
  OCSP [16] is to be used for revocation checking (as opposed to CRLs).
  The IPsec peer either needs to have a URI for the OCSP query written
  into its local configuration, or it needs to learn it from AIA.
  Therefore, implementations SHOULD support this extension, especially
  if OCSP will be used.

5.1.3.17.  SubjectInfoAccess

  The PKIX certificate profile defines the SubjectInfoAccess
  certificate extension, which is used to indicate "how to access
  information and services for the subject of the certificate in which
  the extension appears".  This extension has no known use in the
  context of IPsec.  Conformant IKE implementations SHOULD ignore this
  extension when present.

5.2.  X.509 Certificate Revocation Lists

  When validating certificates, IKE implementations MUST make use of
  certificate revocation information, and SHOULD support such
  revocation information in the form of CRLs, unless non-CRL revocation
  information is known to be the only method for transmitting this
  information.  Deployments that intend to use CRLs for revocation
  SHOULD populate the CRLDistributionPoints extension.  Therefore,
  Certification Authority implementations MUST support issuing
  certificates with this field populated.  IKE implementations MAY
  provide a configuration option to disable use of certain types of
  revocation information, but that option MUST be off by default.  Such
  an option is often valuable in lab testing environments.










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5.2.1.  Multiple Sources of Certificate Revocation Information

  IKE implementations that support multiple sources of obtaining
  certificate revocation information MUST act conservatively when the
  information provided by these sources is inconsistent: when a
  certificate is reported as revoked by one trusted source, the
  certificate MUST be considered revoked.

5.2.2.  X.509 Certificate Revocation List Extensions

5.2.2.1.  AuthorityKeyIdentifier

  Certification Authority implementations SHOULD NOT assume that IKE
  implementations support the AuthorityKeyIdentifier extension, and
  thus should not generate certificate hierarchies which are overly
  complex to process in the absence of this extension, such as those
  that require possibly verifying a signature against a large number of
  similarly named CA certificates in order to find the CA certificate
  which contains the key that was used to generate the signature.

5.2.2.2.  IssuerAltName

  Certification Authority implementations SHOULD NOT assume that IKE
  implementations support the IssuerAltName extension, and especially
  should not assume that information contained in this extension will
  be displayed to end users.

5.2.2.3.  CRLNumber

  As stated in the PKIX certificate profile, all issuers MUST include
  this extension in all CRLs.

5.2.2.4.  DeltaCRLIndicator

5.2.2.4.1.  If Delta CRLs Are Unsupported

  IKE implementations that do not support delta CRLs MUST reject CRLs
  that contain the DeltaCRLIndicator (which MUST be marked critical
  according to the PKIX certificate profile) and MUST make use of a
  base CRL if it is available.  Such implementations MUST ensure that a
  delta CRL does not "overwrite" a base CRL, for instance, in the
  keying material database.









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5.2.2.4.2.  Delta CRL Recommendations

  Since some IKE implementations that do not support delta CRLs may
  behave incorrectly or insecurely when presented with delta CRLs,
  administrators and deployers should consider whether issuing delta
  CRLs increases security before issuing such CRLs.  And, if all the
  elements in the VPN and PKI systems do not adequately support Delta
  CRLs, then their use should be questioned.

  The editors are aware of several implementations that behave in an
  incorrect or insecure manner when presented with delta CRLs.  See
  Appendix A for a description of the issue.  Therefore, this
  specification RECOMMENDS NOT issuing delta CRLs at this time.  On the
  other hand, failure to issue delta CRLs may expose a larger window of
  vulnerability if a full CRL is not issued as often as delta CRLs
  would be.  See the Security Considerations section of the PKIX [5]
  certificate profile for additional discussion.  Implementers as well
  as administrators are encouraged to consider these issues.

5.2.2.5.  IssuingDistributionPoint

  A CA that is using CRLDistributionPoints may do so to provide many
  "small" CRLs, each only valid for a particular set of certificates
  issued by that CA.  To associate a CRL with a certificate, the CA
  places the CRLDistributionPoints extension in the certificate, and
  places the IssuingDistributionPoint in the CRL.  The
  distributionPointName field in the CRLDistributionPoints extension
  MUST be identical to the distributionPoint field in the
  IssuingDistributionPoint extension.  At least one CA is known to
  default to this type of CRL use.  See Section 5.1.3.13 for more
  information.

5.2.2.6.  FreshestCRL

  Given the recommendations against Certification Authority
  implementations generating delta CRLs, this specification RECOMMENDS
  that implementations do not populate CRLs with the FreshestCRL
  extension, which is used to obtain delta CRLs.

5.3.  Strength of Signature Hashing Algorithms

  At the time that this document is being written, popular
  certification authorities and CA software issue certificates using
  the RSA-with-SHA1 and RSA-with-MD5 signature algorithms.
  Implementations MUST be able to validate certificates with either of
  those algorithms.





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  As described in [17], both the MD5 and SHA-1 hash algorithms are
  weaker than originally expected with respect to hash collisions.
  Certificates that use these hash algorithms as part of their
  signature algorithms could conceivably be subject to an attack where
  a CA issues a certificate with a particular identity, and the
  recipient of that certificate can create a different valid
  certificate with a different identity.  So far, such an attack is
  only theoretical, even with the weaknesses found in the hash
  algorithms.

  Because of the recent attacks, there has been a heightened interest
  in having widespread deployment of additional signature algorithms.
  The algorithm that has been mentioned most often is RSA-with-SHA256,
  two types of which are described in detail in [18].  It is widely
  expected that this signature algorithm will be much more resilient to
  collision-based attacks than the current RSA-with-SHA1 and RSA-with-
  MD5, although no proof of that has been shown.  There is active
  discussion in the cryptographic community of better hash functions
  that could be used in signature algorithms.

  In order to interoperate, all implementations need to be able to
  validate signatures for all algorithms that the implementations will
  encounter.  Therefore, implementations SHOULD be able to use
  signatures that use the sha256WithRSAEncryption signature algorithm
  (PKCS#1 version 1.5) as soon as possible.  At the time that this
  document is being written, there is at least one CA that supports
  generating certificates with sha256WithRSAEncryption signature
  algorithm, and it is expected that there will be significant
  deployment of this algorithm by the end of 2007.

6.  Configuration Data Exchange Conventions

  Below, we present a common format for exchanging configuration data.
  Implementations MUST support these formats, MUST support receiving
  arbitrary whitespace at the beginning and end of any line, MUST
  support receiving arbitrary line lengths although they SHOULD
  generate lines less than 76 characters, and MUST support receiving
  the following three line-termination disciplines: LF (US-ASCII 10),
  CR (US-ASCII 13), and CRLF.

6.1.  Certificates

  Certificates MUST be Base64 [19] encoded and appear between the
  following delimiters:

           -----BEGIN CERTIFICATE-----
           -----END CERTIFICATE-----




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6.2.  CRLs and ARLs

  CRLs and ARLs MUST be Base64 encoded and appear between the following
  delimiters:

           -----BEGIN CRL-----
           -----END CRL-----

6.3.  Public Keys

  IKE implementations MUST support two forms of public keys:
  certificates and so-called "raw" keys.  Certificates should be
  transferred in the same form as Section 6.1.  A raw key is only the
  SubjectPublicKeyInfo portion of the certificate, and MUST be Base64
  encoded and appear between the following delimiters:

           -----BEGIN PUBLIC KEY-----
           -----END PUBLIC KEY-----

6.4.  PKCS#10 Certificate Signing Requests

  A PKCS#10 [9] Certificate Signing Request MUST be Base64 encoded and
  appear between the following delimiters:

           -----BEGIN CERTIFICATE REQUEST-----
           -----END CERTIFICATE REQUEST-----

7.  Security Considerations

7.1.  Certificate Request Payload

  The Contents of CERTREQ are not encrypted in IKE.  In some
  environments, this may leak private information.  Administrators in
  some environments may wish to use the empty Certification Authority
  option to prevent such information from leaking, at the cost of
  performance.

7.2.  IKEv1 Main Mode

  Certificates may be included in any message, and therefore
  implementations may wish to respond with CERTs in a message that
  offers privacy protection in Main Mode messages 5 and 6.

  Implementations may not wish to respond with CERTs in the second
  message, thereby violating the identity protection feature of Main
  Mode in IKEv1.





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7.3.  Disabling Certificate Checks

  It is important to note that anywhere this document suggests
  implementers provide users with the configuration option to simplify,
  modify, or disable a feature or verification step, there may be
  security consequences for doing so.  Deployment experience has shown
  that such flexibility may be required in some environments, but
  making use of such flexibility can be inappropriate in others.  Such
  configuration options MUST default to "enabled" and it is appropriate
  to provide warnings to users when disabling such features.

8.  Acknowledgements

  The authors would like to acknowledge the expired document "A PKIX
  Profile for IKE" (July 2000) for providing valuable materials for
  this document.

  The authors would like to especially thank Eric Rescorla, one of its
  original authors, in addition to Greg Carter, Steve Hanna, Russ
  Housley, Charlie Kaufman, Tero Kivinen, Pekka Savola, Paul Hoffman,
  and Gregory Lebovitz for their valuable comments, some of which have
  been incorporated verbatim into this document.  Paul Knight performed
  the arduous task of converting the text to XML format.

9.  References

9.1.  Normative References

  [1]   Harkins, D. and D. Carrel, "The Internet Key Exchange (IKE)",
        RFC 2409, November 1998.

  [2]   Maughan, D., Schneider, M., and M. Schertler, "Internet
        Security Association and Key Management Protocol (ISAKMP)", RFC
        2408, November 1998.

  [3]   Kaufman, C., "Internet Key Exchange (IKEv2) Protocol", RFC
        4306, December 2005.

  [4]   Kent, S. and R. Atkinson, "Security Architecture for the
        Internet Protocol", RFC 2401, November 1998.

  [5]   Housley, R., Polk, W., Ford, W., and D. Solo, "Internet X.509
        Public Key Infrastructure Certificate and Certificate
        Revocation List (CRL) Profile", RFC 3280, April 2002.

  [6]   Piper, D., "The Internet IP Security Domain of Interpretation
        for ISAKMP", RFC 2407, November 1998.




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  [7]   Bradner, S., "Key words for use in RFCs to Indicate Requirement
        Levels", BCP 14, RFC 2119, March 1997.

  [8]   Postel, J., "Internet Protocol", STD 5, RFC 791, September
        1981.

  [9]   Nystrom, M. and B. Kaliski, "PKCS #10: Certification Request
        Syntax Specification Version 1.7", RFC 2986, November 2000.

9.2.  Informative References

  [10]  Deering, S. and R. Hinden, "Internet Protocol, Version 6 (IPv6)
        Specification", RFC 2460, December 1998.

  [11]  Arends, R., Austein, R., Larson, M., Massey, D., and S. Rose,
        "DNS Security Introduction and Requirements", RFC 4033, March
        2005.

  [12]  Faltstrom, P., Hoffman, P., and A. Costello,
        "Internationalizing Domain Names in Applications (IDNA)", RFC
        3490, March 2003.

  [13]  Lynn, C., Kent, S., and K. Seo, "X.509 Extensions for IP
        Addresses and AS Identifiers", RFC 3779, June 2004.

  [14]  Kent, S. and K. Seo, "Security Architecture for the Internet
        Protocol", RFC 4301, December 2005.

  [15]  Fuller, V. and T. Li, "Classless Inter-domain Routing (CIDR):
        The Internet Address Assignment and Aggregation Plan", BCP 122,
        RFC 4632, August 2006.

  [16]  Myers, M., Ankney, R., Malpani, A., Galperin, S., and C. Adams,
        "X.509 Internet Public Key Infrastructure Online Certificate
        Status Protocol - OCSP", RFC 2560, June 1999.

  [17]  Hoffman, P. and B. Schneier, "Attacks on Cryptographic Hashes
        in Internet Protocols", RFC 4270, November 2005.

  [18]  Schaad, J., Kaliski, B., and R. Housley, "Additional Algorithms
        and Identifiers for RSA Cryptography for use in the Internet
        X.509 Public Key Infrastructure Certificate and Certificate
        Revocation List (CRL) Profile", RFC 4055, June 2005.

  [19]  Josefsson, S., "The Base16, Base32, and Base64 Data Encodings",
        RFC 4648, October 2006.





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Appendix A.  The Possible Dangers of Delta CRLs

  The problem is that the CRL processing algorithm is sometimes written
  incorrectly with the assumption that all CRLs are base CRLs and it is
  assumed that CRLs will pass content validity tests.  Specifically,
  such implementations fail to check the certificate against all
  possible CRLs: if the first CRL that is obtained from the keying
  material database fails to decode, no further revocation checks are
  performed for the relevant certificate.  This problem is compounded
  by the fact that implementations that do not understand delta CRLs
  may fail to decode such CRLs due to the critical DeltaCRLIndicator
  extension.  The algorithm that is implemented in this case is
  approximately:

  o  fetch newest CRL

  o  check validity of CRL signature

  o  if CRL signature is valid, then

  o  if CRL does not contain unrecognized critical extensions and
     certificate is on CRL, then set certificate status to revoked

  The authors note that a number of PKI toolkits do not even provide a
  method for obtaining anything but the newest CRL, which in the
  presence of delta CRLs may in fact be a delta CRL, not a base CRL.

  Note that the above algorithm is dangerous in many ways.  See the
  PKIX [5] certificate profile for the correct algorithm.

Appendix B.  More on Empty CERTREQs

  Sending empty certificate requests is commonly used in
  implementations, and in the IPsec interop meetings, vendors have
  generally agreed that it means that send all/any end-entity
  certificates you have (if multiple end-entity certificates are sent,
  they must have same public key, as otherwise, the other end does not
  know which key was used).  For 99% of cases, the client has exactly
  one certificate and public key, so it really doesn't matter, but the
  server might have multiple; thus, it simply needs to say to the
  client, use any certificate you have.  If we are talking about
  corporate VPNs, etc., even if the client has multiple certificates or
  keys, all of them would be usable when authenticating to the server,
  so the client can simply pick one.

  If there is some real difference on which certificate to use (like
  ones giving different permissions), then the client must be
  configured anyway, or it might even ask the user which one to use



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  (the user is the only one who knows whether he needs admin
  privileges, thus needs to use admin cert, or if the normal email
  privileges are ok, thus uses email only cert).

  In 99% of the cases, the client has exactly one certificate, so it
  will send it.  In 90% of the rest of the cases, any of the
  certificates is ok, as they are simply different certificates from
  the same CA, or from different CAs for the same corporate VPN, thus
  any of them is ok.

  Sending empty certificate requests has been agreed there to mean
  "give me your cert, any cert".

  Justification:

  o  Responder first does all it can to send a CERTREQ with a CA, check
     for IP match in SPD, have a default set of CAs to use in ambiguous
     cases, etc.

  o  Sending empty CERTREQs is fairly common in implementations today,
     and is generally accepted to mean "send me a certificate, any
     certificate that works for you".

  o  Saves responder sending potentially hundreds of certs, the
     fragmentation problems that follow, etc.

  o  In +90% of use cases, Initiators have exactly one certificate.

  o  In +90% of the remaining use cases, the multiple certificates it
     has are issued by the same CA.

  o  In the remaining use case(s) -- if not all the others above -- the
     Initiator will be configured explicitly with which certificate to
     send, so responding to an empty CERTREQ is easy.

  The following example shows why initiators need to have sufficient
  policy definition to know which certificate to use for a given
  connection it initiates.

  EXAMPLE: Your client (initiator) is configured with VPN policies for
  gateways A and B (representing perhaps corporate partners).










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  The policies for the two gateways look something like:

        Acme Company policy (gateway A)
           Engineering can access 10.1.1.0
                  Trusted CA: CA-A, Trusted Users: OU=Engineering
           Partners can access 20.1.1.0
                  Trusted CA: CA-B, Trusted Users: OU=AcmePartners

        Bizco Company policy (gateway B)
          Sales can access 30.1.1.0
                  Trusted CA: CA-C, Trusted Users: OU=Sales
          Partners can access 40.1.1.0
                  Trusted CA: CA-B, Trusted Users: OU=BizcoPartners

  You are an employee of Acme and you are issued the following
  certificates:

  o  From CA-A: CN=JoeUser,OU=Engineering
  o  From CA-B: CN=JoePartner,OU=BizcoPartners

  The client MUST be configured locally to know which CA to use when
  connecting to either gateway.  If your client is not configured to
  know the local credential to use for the remote gateway, this
  scenario will not work either.  If you attempt to connect to Bizco,
  everything will work... as you are presented with responding with a
  certificate signed by CA-B or CA-C... as you only have a certificate
  from CA-B you are OK.  If you attempt to connect to Acme, you have an
  issue because you are presented with an ambiguous policy selection.
  As the initiator, you will be presented with certificate requests
  from both CA-A and CA-B.  You have certificates issued by both CAs,
  but only one of the certificates will be usable.  How does the client
  know which certificate it should present?  It must have sufficiently
  clear local policy specifying which one credential to present for the
  connection it initiates.

Author's Address

  Brian Korver
  Network Resonance, Inc.
  2483 E. Bayshore Rd.
  Palo Alto, CA  94303
  US

  Phone: +1 650 812 7705
  EMail: [email protected]






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Full Copyright Statement

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Acknowledgement

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  Internet Society.







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