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Network Working Group                                    J. Linn (BBNCC)Request for Comments: 1040                        IAB Privacy Task ForceObsoletes RFCs: 989                                         January 1988           Privacy Enhancement for Internet Electronic Mail:       Part I: Message Encipherment and Authentication ProceduresSTATUS OF THIS MEMO   This RFC suggests a proposed protocol for the Internet community, and   requests discussion and suggestions for improvements.  Distribution   of this memo is unlimited.ACKNOWLEDGMENT   This RFC is the outgrowth of a series of IAB Privacy Task Force   meetings and of internal working papers distributed for those   meetings.  I would like to thank the following Privacy Task Force   members and meeting guests for their comments and contributions at   the meetings which led to the preparation of this RFC:  David   Balenson, Curt Barker, Matt Bishop, Danny Cohen, Tom Daniel, Charles   Fox, Morrie Gasser, Steve Kent (chairman), John Laws, Steve Lipner,   Dan Nessett, Mike Padlipsky, Rob Shirey, Miles Smid, Steve Walker,   and Steve Wilbur.1.  Executive Summary   This RFC defines message encipherment and authentication procedures,   as the initial phase of an effort to provide privacy enhancement   services for electronic mail transfer in the Internet.  Detailed key   management mechanisms to support these procedures will be defined in   a subsequent RFC.  As a goal of this initial phase, it is intended   that the procedures defined here be compatible with a wide range of   key management approaches, including both conventional (symmetric)   and public-key (asymmetric) approaches for encryption of data   encrypting keys.  Use of conventional cryptography for message text   encryption and/or integrity check computation is anticipated.   Privacy enhancement services (confidentiality, authentication, and   message integrity assurance) are offered through the use of   end-to-end cryptography between originator and recipient User Agent   processes, with no special processing requirements imposed on the   Message Transfer System at endpoints or at intermediate relay   sites.  This approach allows privacy enhancement facilities to be   incorporated on a site-by-site or user-by-user basis without impact   on other Internet entities.  Interoperability among heterogeneousLinn                                                            [Page 1]RFC 1040        Privacy Enhancement for Electronic Mail     January 1988   components and mail transport facilities is supported.2.  Terminology   For descriptive purposes, this RFC uses some terms defined in the OSI   X.400 Message Handling System Model per the 1984 CCITT   Recommendations.  This section replicates a portion of X.400's   Section 2.2.1, "Description of the MHS Model: Overview" in order to   make the terminology clear to readers who may not be familiar with   the OSI MHS Model.   In the [MHS] model, a user is a person or a computer application.  A   user is referred to as either an originator (when sending a message)   or a recipient (when receiving one).  MH Service elements define the   set of message types and the capabilities that enable an originator   to transfer messages of those types to one or more recipients.   An originator prepares messages with the assistance of his User   Agent.  A User Agent (UA) is an application process that interacts   with the Message Transfer System (MTS) to submit messages.  The MTS   delivers to one or more recipient UAs the messages submitted to it.   Functions performed solely by the UA and not standardized as part of   the MH Service elements are called local UA functions.   The MTS is composed of a number of Message Transfer Agents (MTAs).   Operating together, the MTAs relay messages and deliver them to the   intended recipient UAs, which then make the messages available to the   intended recipients.   The collection of UAs and MTAs is called the Message Handling System   (MHS).  The MHS and all of its users are collectively referred to as   the Message Handling Environment.3.  Services, Constraints, and Implications   This RFC defines mechanisms to enhance privacy for electronic mail   transferred in the Internet.  The facilities discussed in this RFC   provide privacy enhancement services on an end-to-end basis between   sender and recipient UAs.  No privacy enhancements are offered for   message fields which are added or transformed by intermediate relay   points.   Authentication and integrity facilities are always applied to the   entirety of a message's text.  No facility for confidentiality   service without authentication is provided.  Encryption facilities   may be applied selectively to portions of a message's contents; this   allows less sensitive portions of messages (e.g., descriptive fields)   to be processed by a recipient's delegate in the absence of theLinn                                                            [Page 2]RFC 1040        Privacy Enhancement for Electronic Mail     January 1988   recipient's personal cryptographic keys.  In the limiting case, where   the entirety of message text is excluded from encryption, this   feature can be used to yield the effective combination of   authentication and integrity services without confidentiality.   In keeping with the Internet's heterogeneous constituencies and usage   modes, the measures defined here are applicable to a broad range of   Internet hosts and usage paradigms.  In particular, it is worth   noting the following attributes:       1.  The mechanisms defined in this RFC are not restricted to a           particular host or operating system, but rather allow           interoperability among a broad range of systems.  All           privacy enhancements are implemented at the application           layer, and are not dependent on any privacy features at           lower protocol layers.       2.  The defined mechanisms are compatible with non-enhanced           Internet components.  Privacy enhancements are implemented           in an end-to-end fashion which does not impact mail           processing by intermediate relay hosts which do not           incorporate privacy enhancement facilities.  It is           necessary, however, for a message's sender to be cognizant           of whether a message's intended recipient implements privacy           enhancements, in order that encoding and possible           encipherment will not be performed on a message whose           destination is not equipped to perform corresponding inverse           transformations.       3.  The defined mechanisms are compatible with a range of mail           transport facilities (MTAs).  Within the Internet,           electronic mail transport is effected by a variety of SMTP           implementations.  Certain sites, accessible via SMTP,           forward mail into other mail processing environments (e.g.,           USENET, CSNET, BITNET).  The privacy enhancements must be           able to operate across the SMTP realm; it is desirable that           they also be compatible with protection of electronic mail           sent between the SMTP environment and other connected           environments.       4.  The defined mechanisms offer compatibility with a broad           range of electronic mail user agents (UAs).  A large variety           of electronic mail user agent programs, with a corresponding           broad range of user interface paradigms, is used in the           Internet.  In order that an electronic mail privacy           enhancement be available to the broadest possible user           community, the selected mechanism should be usable with the           widest possible variety of existing UA programs.  ForLinn                                                            [Page 3]RFC 1040        Privacy Enhancement for Electronic Mail     January 1988           purposes of pilot implementation, it is desirable that           privacy enhancement processing be incorporable into a           separate program, applicable to a range of UAs, rather than           requiring internal modifications to each UA with which           enhanced privacy services are to be provided.       5.  The defined mechanisms allow electronic mail privacy           enhancement processing to be performed on personal computers           (PCs) separate from the systems on which UA functions are           implemented.  Given the expanding use of PCs and the limited           degree of trust which can be placed in UA implementations on           many multi-user systems, this attribute can allow many users           to process privacy-enhanced mail with a higher assurance           level than a strictly UA-based approach would allow.       6.  The defined mechanisms support privacy protection of           electronic mail addressed to mailing lists.   In order to achieve applicability to the broadest possible range of   Internet hosts and mail systems, and to facilitate pilot   implementation and testing without the need for prior modifications   throughout the Internet, three basic restrictions are imposed on the   set of measures to be considered in this RFC:       1.  Measures will be restricted to implementation at endpoints           and will be amenable to integration at the user agent (UA)           level or above, rather than necessitating integration into           the message transport system (e.g., SMTP servers).       2.  The set of supported measures enhances rather than restricts           user capabilities.  Trusted implementations, incorporating           integrity features protecting software from subversion by           local users, cannot be assumed in general.  In the absence           of such features, it appears more feasible to provide           facilities which enhance user services (e.g., by protecting           and authenticating inter-user traffic) than to enforce           restrictions (e.g., inter-user access control) on user           actions.       3.  The set of supported measures focuses on a set of functional           capabilities selected to provide significant and tangible           benefits to a broad user community.  By concentrating on the           most critical set of services, we aim to maximize the added           privacy value that can be provided with a modest level of           implementation effort.Linn                                                            [Page 4]RFC 1040        Privacy Enhancement for Electronic Mail     January 1988   As a result of these restrictions, the following facilities can be   provided:           1.  disclosure protection,           2.  sender authenticity, and           3.  message integrity measures,   but the following privacy-relevant concerns are not addressed:           1.  access control,           2.  traffic flow confidentiality,           3.  address list accuracy,           4.  routing control,           5.  issues relating to the serial reuse of PCs by multiple               users,           6.  assurance of message receipt and non-deniability of               receipt,           7.  automatic association of acknowledgments with the               messages to which they refer, and           8.  message duplicate detection, replay prevention, or other               stream-oriented services.   An important goal is that privacy enhancement mechanisms impose a   minimum of burden on the users they serve.  In particular, this goal   suggests eventual automation of the key management mechanisms   supporting message encryption and authentication.  In order to   facilitate deployment and testing of pilot privacy enhancement   implementations in the near term, however, compatibility with   out-of-band (e.g., manual) key distribution must also be supported.   A message's sender will determine whether privacy enhancements are to   be performed on a particular message.  Therefore, a sender must be   able to determine whether particular recipients are equipped to   process privacy-enhanced mail.  In a general architecture, these   mechanisms will be based on server queries; thus, the query function   could be integrated into a UA to avoid imposing burdens or   inconvenience on electronic mail users.Linn                                                            [Page 5]RFC 1040        Privacy Enhancement for Electronic Mail     January 1988

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