RFC 2829 PROPOSED STANDARD SECURITY · LDAP · AUTHENTICATION

LDAP authentication: Authentication Methods for LDAP

Which ways of proving who you are an LDAP server must accept.

On rfc-editor.org ↗
PUBLISHED
May 2000
AUTHORS
M. Wahl, H. Alvestrand, J. Hodges, R. Morgan
STREAM
IETF
OBSOLETED BY
RFC 4510 — LDAP road map, RFC 4513 — LDAP authentication
UPDATED BY
RFC 3377 — LDAPv3 specification
ANONYMOUS AUTHENTICATION
Must be supported
PASSWORD MECHANISM
DIGEST-MD5 must be supported
SIMPLE PASSWORD MECHANISM
Should be supported, over TLS
CERTIFICATE AUTHENTICATION
Should be supported
MINIMUM TLS CIPHER SUITE
TLS_DHE_DSS_WITH_3DES_EDE_CBC_SHA
SASL SERVICE NAME FOR LDAP
ldap
DOI
10.17487/RFC2829

RFC text

Contents
Original text · RFC Editor View on rfc-editor.org ↗
Network Working Group                                            M. Wahl
Request for Comments: 2829                        Sun Microsystems, Inc.
Category: Standards Track                                  H. Alvestrand
                                                             EDB Maxware
                                                               J. Hodges
                                                             Oblix, Inc.
                                                               R. Morgan
                                                University of Washington
                                                                May 2000


                    Authentication Methods for LDAP

Status of this Memo

   This document specifies an Internet standards track protocol for the
   Internet community, and requests discussion and suggestions for
   improvements.  Please refer to the current edition of the "Internet
   Official Protocol Standards" (STD 1) for the standardization state
   and status of this protocol.  Distribution of this memo is unlimited.

Copyright Notice

   Copyright (C) The Internet Society (2000).  All Rights Reserved.

Abstract

   This document specifies particular combinations of security
   mechanisms which are required and recommended in LDAP [1]
   implementations.

1. Introduction

   LDAP version 3 is a powerful access protocol for directories.

   It offers means of searching, fetching and manipulating directory
   content, and ways to access a rich set of security functions.

   In order to function for the best of the Internet, it is vital that
   these security functions be interoperable; therefore there has to be
   a minimum subset of security functions that is common to all
   implementations that claim LDAPv3 conformance.

   Basic threats to an LDAP directory service include:

      (1)   Unauthorized access to data via data-fetching operations,
      (2)   Unauthorized access to reusable client authentication
            information by monitoring others' access,

      (3)   Unauthorized access to data by monitoring others' access,

      (4)   Unauthorized modification of data,

      (5)   Unauthorized modification of configuration,

      (6)   Unauthorized or excessive use of resources (denial of
            service), and

      (7)   Spoofing of directory: Tricking a client into believing that
            information came from the directory when in fact it did not,
            either by modifying data in transit or misdirecting the
            client's connection.

   Threats (1), (4), (5) and (6) are due to hostile clients.  Threats
   (2), (3) and (7) are due to hostile agents on the path between client
   and server, or posing as a server.

   The LDAP protocol suite can be protected with the following security
   mechanisms:

      (1)   Client authentication by means of the SASL [2] mechanism
            set, possibly backed by the TLS credentials exchange
            mechanism,

      (2)   Client authorization by means of access control based on the
            requestor's authenticated identity,

      (3)   Data integrity protection by means of the TLS protocol or
            data-integrity SASL mechanisms,

      (4)   Protection against snooping by means of the TLS protocol or
            data-encrypting SASL mechanisms,

      (5)   Resource limitation by means of administrative limits on
            service controls, and

      (6)   Server authentication by means of the TLS protocol or SASL
            mechanism.

   At the moment, imposition of access controls is done by means outside
   the scope of the LDAP protocol.

   In this document, the term "user" represents any application which is
   an LDAP client using the directory to retrieve or store information.

   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 [3].

2.  Example deployment scenarios

   The following scenarios are typical for LDAP directories on the
   Internet, and have different security requirements. (In the
   following, "sensitive" means data that will cause real damage to the
   owner if revealed; there may be data that is protected but not
   sensitive).  This is not intended to be a comprehensive list, other
   scenarios are possible, especially on physically protected networks.

      (1)   A read-only directory, containing no sensitive data,
            accessible to "anyone", and TCP connection hijacking or IP
            spoofing is not a problem.  This directory requires no
            security functions except administrative service limits.

      (2)   A read-only directory containing no sensitive data; read
            access is granted based on identity.  TCP connection
            hijacking is not currently a problem. This scenario requires
            a secure authentication function.

      (3)   A read-only directory containing no sensitive data; and the
            client needs to ensure that the directory data is
            authenticated by the server and not modified while being
            returned from the server.

      (4)   A read-write directory, containing no sensitive data; read
            access is available to "anyone", update access to properly
            authorized persons.  TCP connection hijacking is not
            currently a problem.  This scenario requires a secure
            authentication function.

      (5)   A directory containing sensitive data.  This scenario
            requires session confidentiality protection AND secure
            authentication.

3.  Authentication and Authorization:  Definitions and Concepts

   This section defines basic terms, concepts, and interrelationships
   regarding authentication, authorization, credentials, and identity.
   These concepts are used in describing how various security approaches
   are utilized in client authentication and authorization.

3.1.  Access Control Policy

   An access control policy is a set of rules defining the protection of
   resources, generally in terms of the capabilities of persons or other
   entities accessing those resources.  A common expression of an access
   control policy is an access control list.  Security objects and
   mechanisms, such as those described here, enable the expression of
   access control policies and their enforcement.  Access control
   policies are typically expressed in terms of access control
   attributes as described below.

3.2.  Access Control Factors

   A request, when it is being processed by a server, may be associated
   with a wide variety of security-related factors (section 4.2 of [1]).
   The server uses these factors to determine whether and how to process
   the request.  These are called access control factors (ACFs).  They
   might include source IP address, encryption strength, the type of
   operation being requested, time of day, etc.  Some factors may be
   specific to the request itself, others may be associated with the
   connection via which the request is transmitted, others (e.g. time of
   day) may be "environmental".

   Access control policies are expressed in terms of access control
   factors.  E.g., a request having ACFs i,j,k can perform operation Y
   on resource Z. The set of ACFs that a server makes available for such
   expressions is implementation-specific.

3.3.  Authentication, Credentials, Identity

   Authentication credentials are the evidence supplied by one party to
   another, asserting the identity of the supplying party (e.g. a user)
   who is attempting to establish an association with the other party
   (typically a server).  Authentication is the process of generating,
   transmitting, and verifying these credentials and thus the identity
   they assert.  An authentication identity is the name presented in a
   credential.

   There are many forms of authentication credentials -- the form used
   depends upon the particular authentication mechanism negotiated by
   the parties.  For example: X.509 certificates, Kerberos tickets,
   simple identity and password pairs.  Note that an authentication
   mechanism may constrain the form of authentication identities used
   with it.

3.4.  Authorization Identity

   An authorization identity is one kind of access control factor.  It
   is the name of the user or other entity that requests that operations
   be performed.  Access control policies are often expressed in terms
   of authorization identities; e.g., entity X can perform operation Y
   on resource Z.

   The authorization identity bound to an association is often exactly
   the same as the authentication identity presented by the client, but
   it may be different.  SASL allows clients to specify an authorization
   identity distinct from the authentication identity asserted by the
   client's credentials.  This permits agents such as proxy servers to
   authenticate using their own credentials, yet request the access
   privileges of the identity for which they are proxying [2].  Also,
   the form of authentication identity supplied by a service like TLS
   may not correspond to the authorization identities used to express a
   server's access control  policy, requiring a server-specific mapping
   to be done.  The method by which a server composes and validates an
   authorization identity from the authentication credentials supplied
   by a client is implementation-specific.

4. Required security mechanisms

   It is clear that allowing any implementation, faced with the above
   requirements, to pick and choose among the possible alternatives is
   not a strategy that is likely to lead to interoperability. In the
   absence of mandates, clients will be written that do not support any
   security function supported by the server, or worse, support only
   mechanisms like cleartext passwords that provide clearly inadequate
   security.

   Active intermediary attacks are the most difficult for an attacker to
   perform, and for an implementation to protect against.  Methods that
   protect only against hostile client and passive eavesdropping attacks
   are useful in situations where the cost of protection against active
   intermediary attacks is not justified based on the perceived risk of
   active intermediary attacks.

   Given the presence of the Directory, there is a strong desire to see
   mechanisms where identities take the form of a Distinguished Name and
   authentication data can be stored in the directory; this means that
   either this data is useless for faking authentication (like the Unix
   "/etc/passwd" file format used to be), or its content is never passed
   across the wire unprotected - that is, it's either updated outside
   the protocol or it is only updated in sessions well protected against
   snooping.  It is also desirable to allow authentication methods to
   carry authorization identities based on existing forms of user
   identities for backwards compatibility with non-LDAP-based
   authentication services.

   Therefore, the following implementation conformance requirements are
   in place:

      (1)   For a read-only, public directory, anonymous authentication,
            described in section 5, can be used.

      (2)   Implementations providing password-based authenticated
            access MUST support authentication using the DIGEST-MD5 SASL
            mechanism [4], as described in section 6.1.  This provides
            client authentication with protection against passive
            eavesdropping attacks, but does not provide protection
            against active intermediary attacks.

      (3)   For a directory needing session protection and
            authentication, the Start TLS extended operation [5], and
            either the simple authentication choice or the SASL EXTERNAL
            mechanism, are to be used together.  Implementations SHOULD
            support authentication with a password as described in
            section 6.2, and SHOULD support authentication with a
            certificate as described in section 7.1.  Together, these
            can provide integrity and disclosure protection of
            transmitted data, and authentication of client and server,
            including protection against active intermediary attacks.

   If TLS is negotiated, the client MUST discard all information about
   the server fetched prior to the TLS negotiation.  In particular, the
   value of supportedSASLMechanisms MAY be different after TLS has been
   negotiated (specifically, the EXTERNAL mechanism or the proposed
   PLAIN mechanism are likely to only be listed after a TLS negotiation
   has been performed).

   If a SASL security layer is negotiated, the client MUST discard all
   information about the server fetched prior to SASL.  In particular,
   if the client is configured to support multiple SASL mechanisms, it
   SHOULD fetch supportedSASLMechanisms both before and after the SASL
   security layer is negotiated and verify that the value has not
   changed after the SASL security layer was negotiated.  This detects
   active attacks which remove supported SASL mechanisms from the
   supportedSASLMechanisms list, and allows the client to ensure that it
   is using the best mechanism supported by both client and server
   (additionally, this is a SHOULD to allow for environments where the
   supported SASL mechanisms list is provided to the client through a
   different trusted source, e.g. as part of a digitally signed object).

5. Anonymous authentication

   Directory operations which modify entries or access protected
   attributes or entries generally require client authentication.
   Clients which do not intend to perform any of these operations
   typically use anonymous authentication.

   LDAP implementations MUST support anonymous authentication, as
   defined in section 5.1.

   LDAP implementations MAY support anonymous authentication with TLS,
   as defined in section 5.2.

   While there MAY be access control restrictions to prevent access to
   directory entries, an LDAP server SHOULD allow an anonymously-bound
   client to retrieve the supportedSASLMechanisms attribute of the root
   DSE.

   An LDAP server MAY use other information about the client provided by
   the lower layers or external means to grant or deny access even to
   anonymously authenticated clients.

5.1. Anonymous authentication procedure

   An LDAP client which has not successfully completed a bind operation
   on a connection is anonymously authenticated.

   An LDAP client MAY also specify anonymous authentication in a bind
   request by using a zero-length OCTET STRING with the simple
   authentication choice.

5.2. Anonymous authentication and TLS

   An LDAP client MAY use the Start TLS operation [5] to negotiate the
   use of TLS security [6].  If the client has not bound beforehand,
   then until the client uses the EXTERNAL SASL mechanism to negotiate
   the recognition of the client's certificate, the client is
   anonymously authenticated.

   Recommendations on TLS ciphersuites are given in section 10.

   An LDAP server which requests that clients provide their certificate
   during TLS negotiation MAY use a local security policy to determine
   whether to successfully complete TLS negotiation if the client did
   not present a certificate which could be validated.

6. Password-based authentication

   LDAP implementations MUST support authentication with a password
   using the DIGEST-MD5 SASL mechanism for password protection, as
   defined in section 6.1.

   LDAP implementations SHOULD support authentication with the "simple"
   password choice when the connection is protected against
   eavesdropping using TLS, as defined in section 6.2.

6.1. Digest authentication

   An LDAP client MAY determine whether the server supports this
   mechanism by performing a search request on the root DSE, requesting
   the supportedSASLMechanisms attribute, and checking whether the
   string "DIGEST-MD5" is present as a value of this attribute.

   In the first stage of authentication, when the client is performing
   an "initial authentication" as defined in section 2.1 of [4], the
   client sends a bind request in which the version number is 3, the
   authentication choice is sasl, the sasl mechanism name is "DIGEST-
   MD5", and the credentials are absent.  The client then waits for a
   response from the server to this request.

   The server will respond with a bind response in which the resultCode
   is saslBindInProgress, and the serverSaslCreds field is present.  The
   contents of this field is a string defined by "digest-challenge" in
   section 2.1.1 of [4].  The server SHOULD include a realm indication
   and MUST indicate support for UTF-8.

   The client will send a bind request with a distinct message id, in
   which the version number is 3, the authentication choice is sasl, the
   sasl mechanism name is "DIGEST-MD5", and the credentials contain the
   string defined by "digest-response" in section 2.1.2 of [4].  The
   serv-type is "ldap".

   The server will respond with a bind response in which the resultCode
   is either success, or an error indication.  If the authentication is
   successful and the server does not support subsequent authentication,
   then the credentials field is absent.  If the authentication is
   successful and the server supports subsequent authentication, then
   the credentials field contains the string defined by "response-auth"
   in section 2.1.3 of [4].   Support for subsequent authentication is
   OPTIONAL in clients and servers.

6.2. "simple" authentication choice under TLS encryption

   A user who has a directory entry containing a userPassword attribute
   MAY authenticate to the directory by performing a simple password
   bind sequence following the negotiation of a TLS ciphersuite
   providing connection confidentiality [6].

   The client will use the Start TLS operation [5] to negotiate the use
   of TLS security [6] on the connection to the LDAP server.  The client
   need not have bound to the directory beforehand.

   For this authentication procedure to be successful, the client and
   server MUST negotiate a ciphersuite which contains a bulk encryption
   algorithm of appropriate strength.  Recommendations on cipher suites
   are given in section 10.

   Following the successful completion of TLS negotiation, the client
   MUST send an LDAP bind request with the version number of 3, the name
   field containing the name of the user's entry, and the "simple"
   authentication choice, containing a password.

   The server will, for each value of the userPassword attribute in the
   named user's entry, compare these for case-sensitive equality with
   the client's presented password.  If there is a match, then the
   server will respond with resultCode success, otherwise the server
   will respond with resultCode invalidCredentials.

6.3. Other authentication choices with TLS

   It is also possible, following the negotiation of TLS, to perform a
   SASL authentication which does not involve the exchange of plaintext
   reusable passwords.  In this case the client and server need not
   negotiate a ciphersuite which provides confidentiality if the only
   service required is data integrity.

7. Certificate-based authentication

   LDAP implementations SHOULD support authentication via a client
   certificate in TLS, as defined in section 7.1.

7.1. Certificate-based authentication with TLS

   A user who has a public/private key pair in which the public key has
   been signed by a Certification Authority may use this key pair to
   authenticate to the directory server if the user's certificate is
   requested by the server.  The user's certificate subject field SHOULD
   be the name of the user's directory entry, and the Certification
   Authority must be sufficiently trusted by the directory server to
   have issued the certificate in order that the server can process the
   certificate.  The means by which servers validate certificate paths
   is outside the scope of this document.

   A server MAY support mappings for certificates in which the subject
   field name is different from the name of the user's directory entry.
   A server which supports mappings of names MUST be capable of being
   configured to support certificates for which no mapping is required.

   The client will use the Start TLS operation [5] to negotiate the use
   of TLS security [6] on the connection to the LDAP server.  The client
   need not have bound to the directory beforehand.

   In the TLS negotiation, the server MUST request a certificate.  The
   client will provide its certificate to the server, and MUST perform a
   private key-based encryption, proving it has the private key
   associated with the certificate.

   As deployments will require protection of sensitive data in transit,
   the client and server MUST negotiate a ciphersuite which contains a
   bulk encryption algorithm of appropriate strength.  Recommendations
   of cipher suites are given in section 10.

   The server MUST verify that the client's certificate is valid. The
   server will normally check that the certificate is issued by a known
   CA, and that none of the certificates on the client's certificate
   chain are invalid or revoked.  There are several procedures by which
   the server can perform these checks.

   Following the successful completion of TLS negotiation, the client
   will send an LDAP bind request with the SASL "EXTERNAL" mechanism.

8. Other mechanisms

   The LDAP "simple" authentication choice is not suitable for
   authentication on the Internet where there is no network or transport
   layer confidentiality.

   As LDAP includes native anonymous and plaintext authentication
   methods, the "ANONYMOUS" and "PLAIN" SASL mechanisms are not used
   with LDAP.  If an authorization identity of a form different from a
   DN is requested by the client, a mechanism that protects the password
   in transit SHOULD be used.

   The following SASL-based mechanisms are not considered in this
   document: KERBEROS_V4, GSSAPI and SKEY.

   The "EXTERNAL" SASL mechanism can be used to request the LDAP server
   make use of security credentials exchanged by a lower layer. If a TLS
   session has not been established between the client and server prior
   to making the SASL EXTERNAL Bind request and there is no other
   external source of authentication credentials (e.g.  IP-level
   security [8]), or if, during the process of establishing the TLS
   session, the server did not request the client's authentication
   credentials, the SASL EXTERNAL bind MUST fail with a result code of
   inappropriateAuthentication.  Any client authentication and
   authorization state of the LDAP association is lost, so the LDAP
   association is in an anonymous state after the failure.

9. Authorization Identity

   The authorization identity is carried as part of the SASL credentials
   field in the LDAP Bind request and response.

   When the "EXTERNAL" mechanism is being negotiated, if the credentials
   field is present, it contains an authorization identity of the
   authzId form described below.

   Other mechanisms define the location of the authorization identity in
   the credentials field.

   The authorization identity is a string in the UTF-8 character set,
   corresponding to the following ABNF [7]:

   ; Specific predefined authorization (authz) id schemes are
   ; defined below -- new schemes may be defined in the future.

   authzId    = dnAuthzId / uAuthzId

   ; distinguished-name-based authz id.
   dnAuthzId  = "dn:" dn
   dn         = utf8string    ; with syntax defined in RFC 2253

   ; unspecified userid, UTF-8 encoded.
   uAuthzId   = "u:" userid
   userid     = utf8string    ; syntax unspecified

   A utf8string is defined to be the UTF-8 encoding of one or more ISO
   10646 characters.

   All servers which support the storage of authentication credentials,
   such as passwords or certificates, in the directory MUST support the
   dnAuthzId choice.

   The uAuthzId choice allows for compatibility with client applications
   which wish to authenticate to a local directory but do not know their
   own Distinguished Name or have a directory entry.  The format of the
   string is defined as only a sequence of UTF-8 encoded ISO 10646
   characters, and further interpretation is subject to prior agreement
   between the client and server.

   For example, the userid could identify a user of a specific directory
   service, or be a login name or the local-part of an RFC 822 email
   address. In general a uAuthzId MUST NOT be assumed to be globally
   unique.

   Additional authorization identity schemes MAY be defined in future
   versions of this document.

10. TLS Ciphersuites

   The following ciphersuites defined in [6] MUST NOT be used for
   confidentiality protection of passwords or data:

         TLS_NULL_WITH_NULL_NULL
         TLS_RSA_WITH_NULL_MD5
         TLS_RSA_WITH_NULL_SHA

   The following ciphersuites defined in [6] can be cracked easily (less
   than a week of CPU time on a standard CPU in 1997).  The client and
   server SHOULD carefully consider the value of the password or data
   being protected before using these ciphersuites:

         TLS_RSA_EXPORT_WITH_RC4_40_MD5
         TLS_RSA_EXPORT_WITH_RC2_CBC_40_MD5
         TLS_RSA_EXPORT_WITH_DES40_CBC_SHA
         TLS_DH_DSS_EXPORT_WITH_DES40_CBC_SHA
         TLS_DH_RSA_EXPORT_WITH_DES40_CBC_SHA
         TLS_DHE_DSS_EXPORT_WITH_DES40_CBC_SHA
         TLS_DHE_RSA_EXPORT_WITH_DES40_CBC_SHA
         TLS_DH_anon_EXPORT_WITH_RC4_40_MD5
         TLS_DH_anon_EXPORT_WITH_DES40_CBC_SHA

   The following ciphersuites are vulnerable to man-in-the-middle
   attacks, and SHOULD NOT be used to protect passwords or sensitive
   data, unless the network configuration is such that the danger of a
   man-in-the-middle attack is tolerable:

         TLS_DH_anon_EXPORT_WITH_RC4_40_MD5
         TLS_DH_anon_WITH_RC4_128_MD5
         TLS_DH_anon_EXPORT_WITH_DES40_CBC_SHA
         TLS_DH_anon_WITH_DES_CBC_SHA
         TLS_DH_anon_WITH_3DES_EDE_CBC_SHA

   A client or server that supports TLS MUST support at least
   TLS_DHE_DSS_WITH_3DES_EDE_CBC_SHA.

11. SASL service name for LDAP

   For use with SASL [2], a protocol must specify a service name to be
   used with various SASL mechanisms, such as GSSAPI.  For LDAP, the
   service name is "ldap", which has been registered with the IANA as a
   GSSAPI service name.

12. Security Considerations

   Security issues are discussed throughout this memo; the
   (unsurprising) conclusion is that mandatory security is important,
   and that session encryption is required when snooping is a problem.

   Servers are encouraged to prevent modifications by anonymous users.
   Servers may also wish to minimize denial of service attacks by timing
   out idle connections, and returning the unwillingToPerform result
   code rather than performing computationally expensive operations
   requested by unauthorized clients.

   A connection on which the client has not performed the Start TLS
   operation or negotiated a suitable SASL mechanism for connection
   integrity and encryption services is subject to man-in-the-middle
   attacks to view and modify information in transit.

   Additional security considerations relating to the EXTERNAL mechanism
   to negotiate TLS can be found in [2], [5] and [6].

13. Acknowledgements

   This document is a product of the LDAPEXT Working Group of the IETF.
   The contributions of its members is greatly appreciated.

14. Bibliography

   [1] Wahl, M., Howes, T. and S. Kille, "Lightweight Directory Access
       Protocol (v3)", RFC 2251, December 1997.

   [2] Myers, J., "Simple Authentication and Security Layer (SASL)", RFC
       2222, October 1997.

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

   [4] Leach, P. and C. Newman, "Using Digest Authentication as a SASL
       Mechanism", RFC 2831, May 2000.

   [5] Hodges, J., Morgan, R. and M. Wahl, "Lightweight Directory Access
       Protocol (v3): Extension for Transport Layer Security", RFC 2830,
       May 2000.

   [6] Dierks, T. and C. Allen, "The TLS Protocol Version 1.0", RFC
       2246, January 1999.

   [7] Crocker, D., Ed. and P. Overell, "Augmented BNF for Syntax
       Specifications: ABNF", RFC 2234, November 1997.

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

15. Authors' Addresses

   Mark Wahl
   Sun Microsystems, Inc.
   8911 Capital of Texas Hwy #4140
   Austin TX 78759
   USA

   EMail: M.Wahl@innosoft.com


   Harald Tveit Alvestrand
   EDB Maxware
   Pirsenteret
   N-7462 Trondheim, Norway

   Phone: +47 73 54 57 97
   EMail: Harald@Alvestrand.no


   Jeff Hodges
   Oblix, Inc.
   18922 Forge Drive
   Cupertino, CA 95014
   USA

   Phone: +1-408-861-6656
   EMail: JHodges@oblix.com


   RL "Bob" Morgan
   Computing and Communications
   University of Washington
   Seattle, WA 98105
   USA

   Phone: +1-206-221-3307
   EMail: rlmorgan@washington.edu

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ISO Plain Language

On this page
PROBLEMLDAP version 3 offers searching, fetching and manipulating directory content, and the security functions that go with it. For those to work across the Internet they have to be interoperable, and each implementation choosing for itself would mean clients that cannot talk to any server.
MECHANISMThe RFC lists the threats to a directory service, then states which security mechanisms are required and which are recommended: anonymous access, password authentication with DIGEST-MD5, a simple password bind over TLS, and authentication with a client certificate.
STATUS TODAYRFC 2829 is a Proposed Standard from May 2000 and has been obsoleted by RFC 4510 and RFC 4513, which cover the protocol and its authentication.

§1The Threats to a Directory Service

LDAP version 3 is a powerful access protocol for directories. It offers ways of searching, fetching and manipulating directory content, and ways of reaching the rich set of security functions built into the protocol. For the Internet to work, those security functions have to be interoperable, so there has to be a minimum subset that every implementation claiming LDAPv3 conformance supports.

The RFC lists seven basic threats. Hostile clients account for unauthorized access to data through fetch operations, unauthorized modification of data, unauthorized modification of configuration, and unauthorized or excessive use of resources. Hostile agents on the path between client and server, or posing as the server, account for unauthorized access to reusable client authentication information by watching others' access, unauthorized access to data by watching others' access, and spoofing of the directory, where a client is tricked into believing information came from the directory when it did not.

The protocol suite can be protected with six kinds of mechanism: client authentication using the SASL mechanism set, possibly backed by the TLS credentials exchange; client authorization through access control based on the requester's authenticated identity; data integrity protection through TLS or data-integrity SASL mechanisms; protection against snooping through TLS or data-encrypting SASL mechanisms; resource limitation through administrative limits on service controls; and server authentication through TLS or a SASL mechanism. At the time of writing, access controls were imposed by means outside the scope of the LDAP protocol itself.

Two kinds of attacker are in scope: a client that tries too much, and someone on the network who watches or redirects. The RFC lists what can be used against each, then says which of those tools every implementation has to have.

§3Authentication, Credentials and Identity

An access control policy is a set of rules defining the protection of resources, generally in terms of the capabilities of the people or entities accessing them. A common expression of one is an access control list. The RFC notes that imposing access controls was still done by means outside the scope of the LDAP protocol.

While a request is being processed, the server may associate it with a range of security-related factors, which it calls access control factors. These might include the source IP address, the encryption strength, the type of operation requested, or the time of day. Some belong to the request, some to the connection it arrived on, and some are environmental. Access control policies are expressed in terms of these factors, and the set the server makes available is implementation-specific.

Authentication credentials are the evidence one party supplies to another, asserting the identity of the party supplying it. Authentication is the process of generating, transmitting and verifying those credentials and the identity they assert, and an authentication identity is the name presented in a credential. Credentials take many forms depending on the mechanism negotiated: X.509 certificates, Kerberos tickets, or a simple identity and password pair. A mechanism may constrain the form of identity used with it.

An authorization identity is the name of the user or entity asking for an operation to be performed, and it is one kind of access control factor. The authorization identity bound to an association is often exactly the authentication identity the client presented, but it may differ: SASL lets a client name an authorization identity distinct from the one its credentials assert, so that a proxy server can authenticate with its own credentials while requesting the privileges of the identity it proxies for. How a server composes and validates an authorization identity from the credentials a client supplies is implementation-specific.

Two names are in play for a client: the one its credentials prove, and the one it wants to be treated as. They are usually the same, but a proxy needs them to differ. The RFC also introduces the idea of access control factors, the things a server can take into account when deciding whether to allow an operation.

§4The Required Security Mechanisms

The RFC argues that letting each implementation pick and choose among the alternatives is not a strategy likely to lead to interoperability. Without mandates, clients get written that support no security function the server supports, or worse, support only cleartext passwords. It also notes that active intermediary attacks are the hardest for an attacker to perform and the hardest for an implementation to defend against, and that methods protecting only against hostile clients and passive eavesdropping are still useful where the perceived risk does not justify the cost.

Three implementation conformance requirements follow. For a read-only public directory, anonymous authentication can be used. Implementations offering password-based authenticated access must support authentication with the DIGEST-MD5 SASL mechanism, which gives client authentication with protection against passive eavesdropping but not against active intermediary attacks. For a directory needing session protection and authentication, the Start TLS extended operation together with either the simple authentication choice or the SASL EXTERNAL mechanism is to be used; implementations should support a password and should support a certificate, and together these give integrity and disclosure protection and authentication of both client and server, including against active intermediary attacks.

Two rules about discarding earlier information follow. If TLS is negotiated, the client must discard everything it learned about the server beforehand, because the list of supported SASL mechanisms may change once TLS is in place, with EXTERNAL and PLAIN likely to be listed only afterwards. If a SASL security layer is negotiated, the client must discard what it learned before SASL, and a client configured to support several SASL mechanisms should fetch the supported list both before and after, and check that it has not changed. That detects an active attack that removes mechanisms from the list, and it lets the client be sure it is using the best mechanism both ends support.

The RFC says plainly: pick one, or nothing will interoperate. Three things are required or recommended, and everything a client learned about the server before the connection was protected has to be thrown away, because an attacker could have planted it.

WHAT EACH DEPLOYMENT SCENARIO REQUIRES (RFC 2829)
ScenarioWhat it needs
Read-only directory, no sensitive data, open to anyone THIS RFCAdministrative service limits only
Read-only directory, read access granted by identity THIS RFCA secure authentication function
Client must know the data came from the server and was not altered THIS RFCServer authentication and integrity protection
Read-write directory, open reads, authorised updates THIS RFCA secure authentication function
Directory holding sensitive data THIS RFCSession confidentiality protection and secure authentication

§5Anonymous and Password-Based Authentication

A PASSWORD BIND OVER TLS (ILLUSTRATIVE, NOT FROM THE RFC)
LDAP clientLDAP server
  1. Start TLS extended request
  2. Extended response: success
  3. TLS handshakeThe client discards everything it learned about the server before this point.
  4. Bind with the simple choice and a password
  5. Bind response: success or invalidCredentialsThe password is compared with each value of the userPassword attribute, case-sensitively.

Directory operations that modify entries or reach protected attributes generally require client authentication. Clients that intend to do none of those typically use anonymous authentication, which every LDAP implementation must support. A client that has not completed a bind operation on a connection is anonymously authenticated, and a client may also ask for anonymous authentication explicitly by sending a zero-length string with the simple authentication choice. A server should let an anonymously bound client retrieve the supportedSASLMechanisms attribute of the root DSE, and may use other information about the client to grant or deny access even to anonymous ones.

For passwords, implementations must support the DIGEST-MD5 SASL mechanism. The client can find out whether the server supports it by searching the root DSE for the supportedSASLMechanisms attribute and looking for the string DIGEST-MD5. The first stage is a bind request with the mechanism named and no credentials; the server replies with a bind response whose result code is saslBindInProgress and whose server credentials carry a digest challenge, which should include a realm and must indicate support for UTF-8. The client then sends a second bind request with a distinct message id carrying the digest response, whose service type is ldap. The server answers with success or an error.

Implementations should also support the simple authentication choice when the connection is protected against eavesdropping using TLS. The client uses the Start TLS operation to negotiate TLS, which need not come before a bind. For the procedure to succeed, both sides must negotiate a cipher suite with a bulk encryption algorithm of appropriate strength. After the TLS negotiation the client sends a bind request with the name of the user's entry and the simple authentication choice containing a password, and the server compares it, case-sensitively, with each value of the userPassword attribute in the named entry, answering with success or invalidCredentials.

Anonymous access means proving nothing at all. For a password there are two routes: one where the password never crosses the wire in the clear, and one where it crosses inside an encrypted connection. The RFC requires the first and recommends the second.

THE AUTHENTICATION CHOICES AND THEIR STATUS (RFC 2829)
  • AnonymousMust support — Every implementation must support anonymous authentication. A client that has not bound is anonymously authenticated.
  • DIGEST-MD5Must support — Implementations offering password-based authenticated access must support it. It protects against passive eavesdropping but not against active intermediary attacks.
  • simpleShould support — A password sent inside a TLS-protected connection. It is not suitable where there is no network or transport layer confidentiality.
  • EXTERNALShould support — Used with the Start TLS operation. Without an established TLS session or another external source of credentials, the bind must fail with inappropriateAuthentication.
  • ANONYMOUSNot used — Not used with LDAP, because LDAP already has a native anonymous authentication method.
  • PLAINNot used — Not used with LDAP, because LDAP already has a native plaintext authentication method.

§7Certificate-Based Authentication

Implementations should support authentication with a client certificate carried in TLS. A user whose public key has been signed by a certification authority may authenticate with that key pair if the server requests the user's certificate. The certificate's subject field should be the name of the user's directory entry, and the certification authority must be trusted enough by the directory server for the server to process the certificate. How servers validate certificate paths is outside the scope of the document.

A server may support mappings for certificates whose subject field differs from the user's directory entry, but a server that supports such mappings must also be configurable to handle certificates that need no mapping. The client uses the Start TLS operation to negotiate TLS. In the negotiation the server must request a certificate, the client provides it, and the client must perform a private-key operation to prove it holds the matching private key.

Because deployments will need to protect sensitive data in transit, the client and server must negotiate a cipher suite with a bulk encryption algorithm of appropriate strength. The server must verify that the client's certificate is valid, normally by checking that it was issued by a known authority and that no certificate on the client's chain is invalid or revoked. After the TLS negotiation the client sends a bind request using the SASL EXTERNAL mechanism.

A client that holds a certificate signed by a trusted authority can prove who it is by completing the TLS handshake with that certificate. The server then checks the certificate and the client binds with the EXTERNAL mechanism to say which identity it wants to use.

§12Security Considerations

The RFC says security issues are discussed throughout, and that the unsurprising conclusion is that mandatory security is important and that session encryption is required when snooping is a problem.

Servers are encouraged to prevent modifications by anonymous users, and may wish to reduce denial of service attacks by timing out idle connections and returning the unwillingToPerform result code rather than performing computationally expensive operations requested by unauthorized clients. A connection on which the client has neither performed the Start TLS operation nor negotiated a suitable SASL mechanism for integrity and encryption is open to man-in-the-middle attacks on the traffic in transit.

The RFC also lists cipher suite guidance. Three suites must not be used for confidentiality protection of passwords or data: TLS_NULL_WITH_NULL_NULL, TLS_RSA_WITH_NULL_MD5 and TLS_RSA_WITH_NULL_SHA. Nine suites can be cracked in less than a week of CPU time on a standard CPU in 1997, so both ends should consider the value of what they are protecting before using them. Five suites are vulnerable to man-in-the-middle attacks and should not be used to protect passwords or sensitive data unless the network configuration makes the danger tolerable. A client or server that supports TLS must support at least TLS_DHE_DSS_WITH_3DES_EDE_CBC_SHA.

The advice is that a connection with no protection at all is open to interception, and that anonymous clients should not be allowed to change things. The RFC also names the cipher suites that must not be used, those that are breakable, and the weakest one that is still acceptable.

§7References