Internet Draft                              Paul Hoffman
draft-hoffman-smtp-ssl-10.txt               Internet Mail Consortium
November 6, 1998
Expires in six months

         SMTP Service Extension for Secure SMTP over TLS

Status of this memo

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1. Abstract

This document describes an extension to the SMTP service that allows an
SMTP server and client to use transport-layer security to provide private,
authenticated communication over the Internet. This gives SMTP agents the
ability to protect some or all of their communications from eavesdroppers
and attackers.

2. Introduction

SMTP [RFC-821] servers and clients normally communicate in the clear over
the Internet. In many cases, this communication goes through one or more
router that is not controlled or trusted by either entity. Such an
untrusted router might allow a third party to monitor or alter the
communications between the server and client.

Further, there is often a desire for two SMTP agents to be able to
authenticate each others' identities. For example, a secure SMTP server
might only allow communications from other SMTP agents it knows, or it
might act differently for messages received from an agent it knows than
from one it doesn't know.

TLS [TLS], more commonly known as SSL, is a popular mechanism for enhancing
TCP communications with privacy and authentication. TLS is in wide use with
the HTTP protocol, and is also being used for adding security to many other
common protocols that run over TCP.

2.1 Terminology

The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
document are to be interpreted as described in [RFC-2119].

3. STARTTLS Extension

The STARTTLS extension to SMTP is laid out as follows:

(1) the name of the SMTP service defined here is STARTTLS;

(2) the EHLO keyword value associated with the extension is STARTTLS;

(3) the STARTTLS keyword has no parameters;

(4) a new SMTP verb, "STARTTLS", is defined;

(5) no additional parameters are added to any SMTP command.

4. The STARTTLS Keyword

The STARTTLS keyword is used to tell the SMTP client that the SMTP server
allows use of TLS. It takes no parameters.

5. The STARTTLS Command

The format for the STARTTLS command is:


with no parameters.

After the client gives the STARTTLS command, the server responds with one
of the following reply codes:

220 Ready to start TLS
501 Syntax error (no parameters allowed)
454 TLS not available due to temporary reason

A publicly-referenced SMTP server MUST NOT require use of the STARTTLS
extension in order to deliver mail locally. This rule prevents the STARTTLS
extension from damaging the interoperability of the Internet's SMTP
infrastructure. A publicly-referenced SMTP server is an SMTP server which
runs on port 25 of an Internet host listed in the MX record (or A record if
an MX record is not present) for the domain name on the right hand side of
an Internet mail address.

Any SMTP server may refuse to accept messages for relay based on
authentication supplied during the TLS negotiation. An SMTP server that is
not publicly referenced may refuse to accept any messages for relay or
local delivery based on authentication supplied during the TLS negotiation.

A SMTP server that is not publicly referenced may choose to require that
the client perform a TLS negotiation before accepting any commands. In this
case, the server SHOULD return the reply code:

530 Must issue a STARTTLS command first

to every command other than NOOP, EHLO, STARTTLS, or QUIT. If the client
and server are using the ENHANCEDSTATUSCODES ESMTP extension [RFC-2034],
the status code to be returned SHOULD be 5.7.0.

After receiving a 220 response to a STARTTLS command, the client SHOULD
start the TLS negotiation before giving any other SMTP commands.

If the SMTP client is using pipelining as defined in RFC 1854, the STARTTLS
command must be the last command in a group.

5.1 Processing After the STARTTLS Command

After the TLS handshake has been completed, both parties MUST immediately
decide whether or not to continue based on the authentication and privacy
achieved. The SMTP client and server may decide to move ahead even if the
TLS negotiation ended with no authentication and/or no privacy because most
SMTP services are performed with no authentication and no privacy, but some
SMTP clients or servers may want to continue only if a particular level of
authentication and/or privacy was achieved.

If the SMTP client decides that the level of authentication or privacy is
not high enough for it to continue, it SHOULD issue an SMTP QUIT command
immediately after the TLS negotiation is complete. If the SMTP server
decides that the level of authentication or privacy is not high enough for
it to continue, it SHOULD reply to every SMTP command from the client
(other than a QUIT command) with the 554 reply code (with a possible text
string such as "Command refused due to lack of security").

The decision of whether or not to believe the authenticity of the other
party in a TLS negotiation is a local matter. However, some general rules
for the decisions are:
 - A SMTP client would probably only want to authenticate an SMTP
   server whose server certificate has a domain name that is the
   domain name that the client thought it was connecting to.
 - A publicly-referenced  SMTP server would probably want to accept
   any certificate from an SMTP client, and would possibly want to
   put distinguishing information about the certificate in the
   Received header of messages that were relayed or submitted from
   the client.

5.2 Result of the STARTTLS Command

Upon completion of the TLS handshake, the SMTP protocol is reset to the
initial state (the state in SMTP after a server issues a 220 service ready
greeting). The server MUST discard any knowledge obtained from the client,
such as the argument to the EHLO command, which was not obtained from the
TLS negotiation itself. The client MUST discard any knowledge obtained from
the server, such as the list of SMTP service extensions, which was not
obtained from the TLS negotiation itself. The client SHOULD send an EHLO
command as the first command after a successful TLS negotiation.

The list of SMTP service extensions returned in response to an EHLO command
received after the TLS handshake MAY be different than the list returned
before the TLS handshake. For example, an SMTP server might not want to
advertise support for a particular SASL mechanism [SASL] unless a client
has sent an appropriate client certificate during a TLS handshake.

Both the client and the server MUST know if there is a TLS session active.
A client MUST NOT attempt to start a TLS session if a TLS session is
already active. A server MUST NOT return the TLS extension in response to
an EHLO command received after a TLS handshake has completed.

6. Usage Example

The following dialog illustrates how a client and server can start a TLS

S: <waits for connection on TCP port 25>
C: <opens connection>
S: 220 SMTP service ready
S: offers a warm hug of welcome
S: 220 Go ahead
C: <starts TLS negotiation>
C & S: <negotiate a TLS session>
C & S: <check result of negotiation>
C: <continues by sending an SMTP command>
. . .

7. Security Considerations

It should be noted that SMTP is not an end-to-end mechanism. Thus, if an
SMTP client/server pair decide to add TLS privacy, they are not securing
the transport from the originating mail user agent to the recipient.
Further, because delivery of a single piece of mail may go between more
than two SMTP servers, adding TLS privacy to one pair of servers does not
mean that the entire SMTP chain has been made private. Further, just
because an SMTP server can authenticate an SMTP client, it does not mean
that the mail from the SMTP client was authenticated by the SMTP client
when the client received it.

Both the STMP client and server must check the result of the TLS
negotiation to see whether acceptable authentication or privacy was
achieved. Ignoring this step completely invalidates using TLS for security.
The decision about whether acceptable authentication or privacy was
achieved is made locally, is implementation-dependant, and is beyond the
scope of this document.

The SMTP client and server should note carefully the result of the TLS
negotiation. If the negotiation results in no privacy, or if it results in
privacy using algorithms or key lengths that are deemed not strong
enough, or if the authentication is not good enough for either party, the
client may choose to end the SMTP session with an immediate QUIT command,
or the server may choose to not accept any more SMTP commands.

A server announcing in an EHLO response that it uses a particular TLS
protocol should not pose any security issues, since any use of TLS will be
at least as secure as no use of TLS.

A man-in-the-middle attack can be launched by deleting the "250 STARTTLS"
response from the server. This would cause the client not to try to start a
TLS session. An SMTP client can protect against this attack by recording
the fact that a particular SMTP server offers TLS during one session and
generating an alarm if it does not appear in the EHLO response for a later
session. The lack of TLS during a session SHOULD NOT result in the bouncing
of email, although it could result in delayed processing.

Before the TLS handshake has begun, any protocol interactions are performed
in the clear and may be modified by an active attacker. For this reason,
clients and servers MUST discard any knowledge obtained prior to the start
of the TLS handshake upon completion of the TLS handshake.

The STARTTLS extension is not suitable for authenticating the author of an
email message unless every hop in the delivery chain, including the
submission to the first SMTP server, is authenticated. Another proposal
[SMTP-AUTH] can be used to authenticate delivery and MIME security
multiparts [MIME-SEC] can be used to authenticate the author of an email
message. In addition, the [SMTP-AUTH] proposal offers simpler and more
flexible options to authenticate an SMTP client and the SASL EXTERNAL
mechanism [SASL] MAY be used in conjunction with the STARTTLS command to
provide an authorization identity.

A. References

[RFC-821] "Simple Mail Transfer Protocol", RFC 821

[RFC-1869] "SMTP Service Extensions", RFC 1869

[RFC-2034] "SMTP Service Extension for Returning Enhanced Error Codes", RFC

[RFC-2119] "Key words for use in RFCs to Indicate Requirement Levels",
BCP 14, RFC 2119

[SASL] "Simple Authentication and Security Layer (SASL)", RFC 2222

[SMTP-AUTH] "SMTP Service Extension for Authentication",
Internet Draft draft-myers-smtp-auth-xx.txt

[TLS] "The TLS Protocol Version 1.0", draft-ietf-tls-protocol-xx.txt

B. Author's Address

Paul Hoffman
Internet Mail Consortium
127 Segre Place
Santa Cruz, CA  95060
(408) 426-9827