Status of this Memo

By submitting this Internet-Draft, I certify that any applicable patent or other IPR claims of which I am aware have been disclosed, and any of which I become aware will be disclosed, in accordance with RFC 3668.

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

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

The list of current Internet-Drafts can be accessed at http://www.ietf.org/ietf/1id-abstracts.txt.

The list of Internet-Draft Shadow Directories can be accessed at http://www.ietf.org/shadow.html.

This Internet-Draft will expire on December 17, 2004.

Copyright Notice

Copyright (C) The Internet Society (2004). All Rights Reserved.

Abstract

Internet operation has typically required no public mechanism for announcing restriction or permission of particular hosts to operate clients or servers for particular services on behalf of particular domains. What is missing is an open, interoperable means by which a trusted agency can announce authorization for a host to operate a service. The current specification supports this capability for sending SMTP clients. Specifically, is a sending SMTP client permitted to act as a client MTA? Has a separate authority given it permission to perform this service? Client SMTP Authorization (CSA) specifies a DNS-based record that states whether an associated host has permission to operate as a client MTA.

Table of Contents

1.  Introduction
2.  Definitions
3.  Model
4.  Mechanism
5.  Client SMTP Authorization SRV Record
6.  Domain administrator advice
7.  Security Considerations
8.  IANA Considerations
9.  Working Group Evaluation
§.  References - Normative
§.  References - Informative
§  Authors' Addresses
§  Intellectual Property and Copyright Statements

1. Introduction

Internet mail suffers from the operation of hosts acting as mail transfer agents (MTA) without any meaningful cross-net accountability. This makes it impossible to vet MTAs or find recourse when their operations cause problems. Many of these hosts have been compromised and turned into unwilling participants in large networks of hostile MTAs that send spam and worms, and contribute to denial of service attacks. Enhancing the Internet mail transfer service to deal with these issues requires identification, authentication, authorization and accreditation capabilities about the sending SMTP client, as per [ID-Marid-CSV]Crocker, D., Leslie, J. and D. Otis, Client SMTP Validation (CSV), June 2004.. The current specification addresses the requirement for explicit authorization.

It is important to distinguish this security function from authentication. Authentication establishes that a name is being used legitimately. Authorization establishes that the name is permitted to perform a particular service. The relationship between these two functions is that once a client of an exchange is authenticated, then it is possible to query the permission of that client to perform specific services.

This specification defines a mechanism to permit session-time verification that a connecting SMTP client is authorized to request service as a mail transfer client. The mechanism uses a DNS SRVGulbrandsen, A., Vixie, P. and L. Esibov, A DNS RR for specifying the location of services (DNS SRV), February 2000.[RFC2782] record as a basis for verifying that the associated domain name is authorized to act as an SMTP client. The mechanism is small, simple and useful. Separate mechanisms provide the means of authenticating that the domain name is associated with the connecting host, and accrediting the agency that is authorizing the sending host's operation as an SMTP client.

Use of the mechanism specified here MAY also satisfy the authentication requirement. This can occur as a side-effect of the DNS server response optimization that returns IP Address mappings in the Additional Information portion of a response.

Terminology:

Terminology conforms to [ID-email-arch]Crocker, D., Internet Mail Architecture, May 2004..

2. Definitions

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 [RFC2119]Bradner, S., Key words for use in RFCs to Indicate Requirement Levels, March 1997..

3. Model

The SMTP [RFC2821]Klensin, J., Simple Mail Transfer Protocol, April 2001., [RFC0821]Postel, J., Simple Mail Transfer Protocol, August 1982. protocol permits a client to declare its affiliation, by asserting a domain name in the HELO or EHLO announcement.

The current proposal has a receiving SMTP server take the domain name associated with an SMTP client and do a forward query of the DNS. The returned DNS information indicates whether that domain name is authorized by the domain administrator to be an SMTP client.

For efficiency, the DNS response MAY also return authentication information, as per [ID-Marid-CSVHNA]Crocker, D., Otis, D. and J. Leslie, Host Name Authentication (HNA), June 2004.. However the authentication functionality is outside the scope of this specification.]

4. Mechanism

The receiving SMTP server's authorization procedure is:

1. Obtain a domain name that is associated with the sending SMTP client.
2. Perform a DNS lookup of:
   QNAME = _client._smtp.<name>
   QCLASS = IN
   QTYPE = SRV
   where <name> is associated with the host attempting to obtain service as an SMTP client.
3. If there is no SRV RR matching this QNAME, the CSA information is Unknown; otherwise at least one CSA record exists.
4. If there is a matching QNAME:

   Target IP addresses MAY be returned in the Additional Data section, or a query for address records of the target name may be needed to determine the associated address(es). This MAY be used to satisfy the authentication function specified in Host Name AuthenticationCrocker, D., Otis, D. and J. Leslie, Host Name Authentication (HNA), June 2004.[ID-Marid-CSVHNA].

   Examine Priority, Weight, and Port, to assess whether the client address is authorized as an SMTP client.

The results of this mechanism will provide the following authorization levels about sending SMTP clients:

5. Client SMTP Authorization SRV Record

The SRV CSA Record has the following contents:

_Service._Proto.Name : TTL : Class : SRV : Priority : Weight : Port : Target

Service

_client

Protocol

_smtp

Name

Domain name asserted in SMTP EHLO announcements.

(These first three fields become the QNAME _client._smtp.Name.)

TTL

Standard DNS meaning [RFC1035]Mockapetris, P., Domain names - implementation and specification, November 1987..

Class

Standard DNS meaning [RFC1035]Mockapetris, P., Domain names - implementation and specification, November 1987.. SRV-CSA records are only defined for the IN Class.

Priority

The intended use of [RFC2782]Gulbrandsen, A., Vixie, P. and L. Esibov, A DNS RR for specifying the location of services (DNS SRV), February 2000. SRV records was to aid discovery and selection of servers by prospective clients. Implementing this client authentication mechanism for the server, the Priority, Weight, and Port fields are no longer used for either discovery or selection. Thus only one SRV-CSA record is needed and these three fields are assigned different meanings. Priority defines the revision level of this mechanism starting at 1.

Weight

Weight is a group of bit-fields, as follows:

The resulting unsigned integer values for weight are:

Port

The meaning of Port is reserved for future use. This field must be set to zero.

Target

A domain name (typically the same as the EHLO string) that resolves to the correct list of IP addresses. If this record is defined with the "Empty List" bit set, this field should be set to the Name portion of the QNAME, rather than the "." mentioned in RFC2782, as a means to prevent excessive traffic on root DNS servers by errant implementations.

6. Domain administrator advice

Although a conceptual framework might list the authorization step as logically following an authentication step, these steps MAY run in parallel. Thus, those responsible for maintaining CSV DNS records should make allowance for the fact that the response of the accreditation service (which depends only on the EHLO string or the client address) is likely to arrive at the receiving MTA before the response to the DNS SRV query detailed here. As a result, the receiving SMTP server may not follow-up partial or truncated UDP responses for expediency. Regardless of what is specified, this receiving SMTP server may decide to refuse the client if their chosen accreditation service returns "Unknown". The following recommendations explain how to ensure that the complete list of IP addresses reaches the receiving SMTP server in the response to its SRV query.

Currently UDP has a limit of 512 octets. Replies requiring more than 512 octets may create UDP fragmentation and, depending upon the connection and handling, in addition to a higher rate of packet loss, may also cause truncated or partial replies. Furthermore, delivery and resolver handling of truncated and partial responses varies, leading to additional delays and queries. Domain administrators are strongly advised to keep DNS replies below 512 octets for these reasons.

With a complete response to an SRV-CSA query, SMTP server is able to employ Right Hand Side Black List (RHSBL) services based upon the domain name rather than address alone and as well as the accreditation services detailed in [ID-Marid-CSVDNA]Leslie, J., Crocker, D. and D. Otis, Domain Name Accreditation (DNA), June 2004.. These domain-based services will not suffer from the same outdated-record problems as the IP-Address-based services widely used at the time of this writing. Also, of course, domain-based services will be able to accredit those domains which must periodically change their IP address. Reliance on the HELO/EHLO response allows isolation of domains which may share common address space as with virtual hosting or allow detection of domains for which there is insufficient history which may invoke a go-slow approach as example.

In some cases, domains advertising SRV records will benefit by reassigning some EHLO strings so as to limit the number of IP addresses to be reported in SRV responses. Owing to the efficient nature of the SRV record, the mechanism discussed here calls for a single DNS query per SMTP session (not counting an out-of-band accreditation query), which is substantially less network traffic than per-message methods.

To help ensure complete answers are obtained from cached records, TTL values of the SRV-CSA and related address records should be the same. Beware some DNS server implementation consider the SOA TTL as a default rather than a minimum.

7. Security Considerations

This proposal pertains to security, namely authentication and authorization of peer MTAs.

The proposal also relies on security of the underlying IP network and on the integrity of DNS data. It performs a basic authentication of the peer MTA, based on domain name registration of the peer's IP Address. As such, the mechanism provides a basic building block to a larger repertoire of email security services.

There is no way a site can keep its hosts from being referenced as servers. This could lead to denial of service.

With SRV, DNS spoofers can supply false addresses. Because this vulnerability exists already with names and addresses, this is not a new vulnerability, merely a slightly extended one. However, as SRV-CSA records are used in an authorization context, the DNS servers can be protected by DNSSEC [RFC3008]Wellington, B., Domain Name System Security (DNSSEC) Signing Authority, November 2000. should this vulnerability become intractable.

8. IANA Considerations

The tokens "_client" as _Service and "_smtp" as _Proto labels needs to be registered as used with DNS SRV records [RFC2782]Gulbrandsen, A., Vixie, P. and L. Esibov, A DNS RR for specifying the location of services (DNS SRV), February 2000..

9. Working Group Evaluation

This section contains responses to the issues put forward by the MARID working group chairs.

1. Amount of change in software components
   DNS administration, servers and clients MUST support SRV queries.
   Client MTA's MUST put their registered domain name in EHLO announcements.
   Server MTA's MUST implement the validation procedure described in this specification.
2. Configuration complexity
   Requires registering each IP Addresses of an authorized Client MTA, whenever the set of Addresses changes. No other configuration is required.
3. Current use cases that will no longer be viable
   All current use cases will still be viable. This mechanism is only enabled by the explicit presence of the defined SRV record for the domain name in the EHLO announcement.
4. Needed infrastructure changes
   Explicit registration of Client MTAs.
   Considerations for use in both IPv4 and IPv6
   Validation mechanism is based on IP Addresses and requires the usual query and handling of address types that will be encountered from the IP module and the DNS.

10. References

10.1 References - Normative

10.2 References - Informative

Authors' Addresses

Intellectual Property Statement

The IETF takes no position regarding the validity or scope of any Intellectual Property Rights or other rights that might be claimed to pertain to the implementation or use of the technology described in this document or the extent to which any license under such rights might or might not be available; nor does it represent that it has made any independent effort to identify any such rights. Information on the procedures with respect to rights in RFC documents can be found in BCP 78 and BCP 79.

Copies of IPR disclosures made to the IETF Secretariat and any assurances of licenses to be made available, or the result of an attempt made to obtain a general license or permission for the use of such proprietary rights by implementers or users of this specification can be obtained from the IETF on-line IPR repository at http://www.ietf.org/ipr.

The IETF invites any interested party to bring to its attention any copyrights, patents or patent applications, or other proprietary rights that may cover technology that may be required to implement this standard. Please address the information to the IETF at ietf-ipr@ietf.org.

Disclaimer of Validity

This document and the information contained herein are provided on an "AS IS" basis and THE CONTRIBUTOR, THE ORGANIZATION HE/SHE REPRESENTS OR IS SPONSORED BY (IF ANY), THE INTERNET SOCIETY AND THE INTERNET ENGINEERING TASK FORCE DISCLAIM ALL WARRANTIES, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF THE INFORMATION HEREIN WILL NOT INFRINGE ANY RIGHTS OR ANY IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.

Copyright Statement

Copyright (C) The Internet Society (2004). This document is subject to the rights, licenses and restrictions contained in BCP 78, and except as set forth therein, the authors retain all their rights.

Acknowledgment

Funding for the RFC Editor function is currently provided by the Internet Society.