INTERNET-DRAFT                                                 Joe Touch
draft-touch-ipsec-vpn-05.txt                                 Lars Eggert
                                                            Yu-Shun Wang
                                      USC Information Sciences Institute
Expires: October 14, 2003                                 April 14, 2003



            Use of IPsec Transport Mode for Dynamic Routing



Status of this Memo

   This document is an Internet-Draft and is in full conformance with
   all provisions of Section 10 of RFC 2026 except for the right to
   produce derivative works.

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Abstract

   This document addresses the use of IPsec to secure the links of a
   virtual (private) network (VN/VPN). It describes how virtual links
   established by IPsec tunnel mode conflict with routing and forwarding
   inside the VN, due to the IP routing dependence on references to
   interfaces and next-hop IP addresses.

   This document proposes a solution, called IIPtran, in which IPIP
   encapsulation separate from IPsec is used together with transport-
   mode IPsec. IPIP tunnel encapsulation occurs as a separate initial
   step, based on a forwarding lookup of the VN packet. After the
   forwarding lookup, IPsec transport mode processes the resulting



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   (tunneled) IP packet with an SA determined through a security
   association database (SAD) match on the tunnel header.

   IIPtran supports dynamic routing inside the VN without changes to the
   current IPsec architecture, by establishing a complete virtual
   topology with IPIP tunnels that supports static and dynamic routing,
   and then securing it with IPsec transport mode.

   The document also discusses how IIPtran compares to several
   alternative mechanisms for VN routing, and their respective impact on
   IPsec, routing, policy enforcement and interactions with the Internet
   Key Exchange (IKE), among other issues.

   This document is a product of the X-Bone and DynaBone projects at
   USC/ISI [N5][N8]. Comments are solicited and should be addressed to
   the authors.



1. Introduction

   The IP security architecture (IPsec) consists of two modes, transport
   mode and tunnel mode [N1]. Transport mode is allowed between two end
   hosts only; tunnel mode is required when at least one of the
   endpoints is a "security gateway" (intermediate system that
   implements IPsec functionality, e.g. a router.)

   A common use for IPsec is to secure the links of a virtual network
   (VN), creating a virtual private network (VPN). Using tunnel mode
   IPsec to secure VN links interferes with the use of dynamic routing
   inside a VN, by how it interacts with security association (SA)
   processing with tunnel encapsulation. It can also interfere with
   source address selection on virtual hosts.

   This document discusses these deficiencies, and proposes a solution
   called IIPtran that separates the step of IP tunnel encapsulation
   from IPsec processing. The solution combines a subset of the current
   IPsec architecture with other Internet standards to arrive at an
   interoperable equivalent that is both simpler and has a modular
   specification.

   Later sections of this document compare IIPtran to other proposals
   for dynamic routing inside VPNs, focusing on the impact the different
   proposals have on the overall IPsec architecture, routing protocols,
   security policy enforcement, and the Internet Key Exchange (IKE). An
   appendix addresses IP tunnel processing issues in IPsec related to
   IPIP encapsulation and decapsulation.




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   This document assumes familiarity with other Internet standards
   [N1][N4], notably with terminology and numerous acronyms therein.



2. Problem Description

   Virtual networks connect subsets of resources of an underlying base
   network, and present the result as a virtual network layer to upper-
   layer protocols. Similar to a real network, virtual networks consist
   of virtual hosts (packet sources and sinks) and virtual routers
   (packet transits), both of which can have a number of network
   interfaces, and links, which connect multiple network interfaces
   together. Virtual links (also called tunnels, esp. when point-to-
   point) are one-hop links in the VN topology, but are either direct
   links or paths (sequences of connected links) in the underlying base
   network.

   Base network hosts and routers can be part of multiple virtual
   networks at the same time, and their role in the base network does
   not need to coincide with their role in a virtual network (i.e. base
   network hosts may act as VN routers or hosts, as may base network
   routers).

   It is important to note that this definition of a VN is more general
   than some other definitions, where the VN participation of end
   systems is limited. Some proposals only allow end systems to be part
   of a single VN, or even only allow them to be part of the VN and not
   the base network, substituting the VN for the Internet. The
   definition above explicitly allows hosts and routers to participate
   in multiple, parallel VNs, and allows layered VNs (VN inside VN).

   It can be useful for a VN to secure its virtual links [N5][N8],
   resulting in a VPN. This is not equivalent to end-to-end security,
   but can be useful when end hosts do not support secure communication
   themselves. It can also provide an additional level of hop-by-hop
   network security to secure routing in the VPN and isolate the traffic
   of different VPNs.

   The topology of an IPsec VPN commonly consists of IPsec tunnel mode
   virtual links, as required by the IPsec architecture when the
   communicating peers are gateway pairs, or a host and a gateway [N1].
   However, this current required use of IPsec tunnel mode is
   incompatible with dynamic routing [N5].

   The next section provides a short overview on IPsec transport and
   tunnel mode processing, as far as it is relevant for the
   understanding of the problem scenarios that follow. The following



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   sections discuss routing problems in detail, based on a common
   example.


 2.1 IPsec Overview

   There are two modes of IPsec, transport mode and tunnel mode [N1].
   Transport mode secures portions of the existing IP header and the
   payload data of the packet, and inserts an IPsec header between the
   IP header and the payload; tunnel mode adds an additional IP header
   before performing similar operations. This section gives a short
   overview of the relevant processing steps for both modes.

   In transport mode, IPsec inserts a security protocol header into
   outgoing IP packets between the original IP header and the packet
   payload (Figure 1) [N2][N3]. The contents of the IPsec header are
   based on the result of a "security association" (SA) lookup that uses
   the contents of the original packet header (Figure 1, arrow) as well
   as its payload (esp. transport layer headers) to locate an SA in the
   security association database (SAD).

   When receiving packets secured with IPsec transport mode, a similar
   SA lookup occurs based on the IP and IPsec headers, followed by a
   verification step after IPsec processing that checks the contents of
   the packet and its payload against the respective SA. The
   verification step is similar to firewall processing.


   Original Outbound Packet       Outbound Packet (IPsec Transport Mode)
   +-----------+---------+        +-----------+==============+---------+
   | IP Header | Payload |        | IP Header | IPsec Header | Payload |
   +-----------+---------+        +-----------+==============+---------+
                                        |             ^
                                        |             |
                                        +-------------+
                                           SA Lookup

     Figure 1: Outbound Packet Construction under IPsec Transport Mode


   When using tunnel mode, IPsec prepends an IPsec header and an
   additional IP header to the outgoing IP packet (Figure 2). In
   essence, the original packet becomes the payload of another IP
   packet, which IPsec then secures. This has been described [N1] as "a
   tunnel mode SA is essentially a [transport mode] SA applied to an IP
   tunnel."  However, there are significant differences between the two,
   as described in the remainder of this section.




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                    Outbound Packet (IPsec Tunnel Mode)
      +==================+==============+-----------------+---------+
      | Tunnel IP Header | IPsec Header | Orig. IP Header | Payload |
      +==================+==============+-----------------+---------+
               ^                ^              | |
               |                |              | |
               |                +--------------+ |
               |                    SA Lookup    |
               |                                 |
               +---------------------------------+
                        IP Encapsulation

       Figure 2: Outbound Packet Construction under IPsec Tunnel Mode


   In IPsec tunnel mode, the IP header of the outbound original packet
   together with its payload (esp. transport headers) determines the
   IPsec SA, as for transport mode. However, a tunnel mode SA also
   contains encapsulation information, including the source and
   destination IP addresses for the outer tunnel IP header, which is
   also based on the original outbound packet header and its payload
   (Figure 2, arrows).

   When receiving packets secured with tunnel mode IPsec, an SA lookup
   occurs based on the contents of the IPsec header and the outer IP
   header. Next, the packet is decrypted or authenticated based on its
   IPsec header and the SA, followed by a verification step that checks
   the contents of the original packet and its payload (esp. the inner
   IP header and transport headers) against the respective SA.


 2.2 Forwarding Example

   Consider a VPN topology with virtual links established by IPsec
   tunnel mode SAs, as would be required for compliance with [N1]. Such
   hop-by-hop security can be useful, for example, to secure VN routing,
   and when legacy end systems do not support end-to-end IPsec
   themselves.

   Virtual routers in a VN need to forward packets the same way regular
   Internet routers do: based on the destination IP address and the
   forwarding table. These two determine the next hop IP address the
   packet should be forwarded to (additional header fields and inner
   headers can be used, e.g. in policy routing.)

   In Figure 3, traffic arrives at gateway A on virtual link 1, having
   come from any of the virtual hosts upstream of that virtual link.
   There are two outgoing virtual links for this incoming traffic: out



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   link 2 going to the VPN next-hop gateway B, and out link 3 going to
   the VPN next-hop gateway C.

   For this example, assume the incoming traffic is from a single VPN
   source X, going to a single VPN destination Y. Ellipses (...)
   represent multiple virtual links in Figure 3.


                                B ---...---
                               /           \
                              / 3           \
                             /               \
                X ---...--- A                 D ---...--- Y
                   1     2   \               /
                              \ 4           /
                               \           /
                                C ---...---

                   Figure 3: Virtual network topology

   Two problems arise; one is forwarding of VN traffic over IPsec tunnel
   mode links, the other is source address selection on VN end systems.


 2.3 Problem 1: Forwarding Issues

   Assume a packet from source X to destination Y arrives on link 2 at
   gateway A. Gateway A now needs to both forward and encrypt the packet
   to make progress to the next hop gateway inside the VPN.

   Dynamically routed gateways forward packets based on a forwarding
   table managed by a routing daemon that exchanges connectivity
   information with directly connected peers by communicating on its
   local interfaces. Entries in the forwarding table map destination IP
   addresses to the IP address of a next-hop gateway and an associated
   outbound interface.

   The problem is that an intermediate router needs to pick a next hop
   gateway for a transit packet based on its destination IP address and
   the contents of the forwarding table. However, the IPsec architecture
   does not define if and how tunnel mode SAs are represented in the
   forwarding table.

   The problem occurs when A tries to decide how to forward the packet
   X->Y. In a regular IP network, this decision depends on a forwarding
   lookup on destination address Y, which indicates the IP address of
   the next-hop gateway and an associated outbound interface. In the
   case of a VN, forwarding lookups occur on virtual destination



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   addresses. For the forwarding lookup on such a virtual destination
   address to succeed, routes through virtual interfaces (tunnels) must
   exist in the forwarding table.

   There are two common implementation scenarios for tunnel mode SAs:
   One is based on firewall-like packet matching operations where tunnel
   mode SAs are not virtual interfaces, another is tunnel-based, and
   treats a tunnel mode SA as a virtual interface. The current IPsec
   architecture does not mandate one or the other.

   Under the first approach, the presence of IPsec tunnel mode SAs is
   invisible to the IP forwarding mechanism. The SA lookup determines
   which virtual link the packet will be forwarded over, because the
   tunnel mode SA includes encapsulation information. Tunnel mode
   processing ignores the contents of the forwarding table, whether
   static or dynamic routing are used. This type of tunnel mode
   processing is incompatible with dynamically routed VPNs.

   The second approach - requiring tunnel mode SAs to be interfaces -
   can be compatible with dynamically routed VPNs (see section 4);
   however, IIPtran (see section 3) has the additional benefit of
   greatly simplifying the IPsec architecture and related
   specifications.


 2.4 Problem 2: Source Address Selection

   A second issue is source address selection at the source host. When
   an application sends traffic to another host, the host must choose an
   IP source address for the IP packets before transmission.

   When an end system is connected to multiple networks, it must set the
   source address properly to receive return traffic over the correct
   network. When a node participates in a virtual network, it is always
   connected to two networks, the base network and the VN (more if it
   connects to at least two VNs.) The IPsec specification currently does
   not define how tunnel mode SAs integrate with source address
   selection.

   For example, when communication occurs over a virtual network, the
   source address must lie inside the VN. When X sends to Y (Figure 3),
   the source address must be the IP address of X's local end of tunnel
   1. If host A, which has multiple interfaces inside the VN, sends to
   Y, the source address must be the IP address of the local end of
   either tunnel 3 or 4.

   Most applications do not bind to a specific source IP address, and
   instead let the host pick one for their traffic [N6]. Rules for



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   source address selection that depend heavily on the notions of
   interfaces and routes.

   According to [N6], the IP source address of an outbound packet
   should: (1) for directly connected networks derive from the
   corresponding interface, or (2) derive from existing dynamic or
   static route entries to the destination, or finally (3) derive from
   the interface attached to a default gateway.

   Because IPsec tunnel mode SAs are not required to be interfaces,
   rules (1) and (2) may not return a usable source address for a given
   packet. Consequently, VN packets will use the IP address of the local
   interface connecting to a default gateway as their source address.
   Often, a default gateway for a host provides connectivity in the base
   network underlying the VN. The outgoing packet will thus have a
   source address in the base network, and a destination address in the
   VN.

   This can result in numerous problems due to firewalls and admission
   control failures, and may even lead to compromised security, when the
   receiver uses the source address of the original packet when replying
   to a message. (Because the source address can lie in the base
   network, the replies may be transmitted in the clear.)



3. IIPtran: IPIP Tunnel Devices + IPsec Transport Mode

   This section introduces a solution - called IIPtran - for the two
   issues identified above. IIPtran replaces IPsec tunnel mode with a
   combination of IPIP tunnel interfaces that support forwarding and
   source address selection (as per RFC 2003), followed by IPsec
   transport mode on the encapsulated packet [N4].

   The IPsec architecture [N1] defines the appropriate use of IPsec
   transport mode and IPsec tunnel mode (host-to-host communication for
   the former, and all transit communication for the latter). IIPtran
   appears to violate this requirement, because it uses IPsec transport
   mode for transit communication.

   However, for an IPIP tunnel between security gateways, the gateways
   themselves source or sink base network traffic when tunneling - they
   act as hosts in the base network. Thus, IPsec transport mode is also
   appropriate, if not required, for encapsulated traffic, according to
   [N1].

   As a result, replacing IPsec tunnel mode with IPIP tunnel devices and
   IPsec transport mode is consistent with the existing architecture.



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   Furthermore, this does not compromise the end-to-end use of IPsec,
   either inside a VPN or in the base network; it only adds IPsec
   protection to secure virtual links.

   The next sections will give a short overview of IPIP encapsulation,
   and show it combines with IPsec transport mode processing. These
   section will then discuss how IIPtran addresses each of the problems
   identified above.


 3.1 IIPtran Details

   IIPtran uses IPIP tunnels (as defined in RFC 2003), followed by IPsec
   transport mode on the encapsulated packet.

   RFC 2003 [N4] uniquely specifies IPIP encapsulation (placing an IP
   packet as payload inside another IP packet.) Originally developed for
   MobileIP, it has since often been adopted when virtual topologies
   were required. Examples include virtual (overlay) networks to support
   emerging protocols such as IP Multicast, IPv6, and Mobile IP itself,
   as well as systems that provide private networks over the Internet
   (X-Bone [N5] and PPVPN).

   IPIP outbound packet processing, as specified by RFC 2003, tunnels an
   existing IP packet by prepending it with another IP header (Figure
   4.)



                       Outbound Packet (IPIP Tunnel)
              +==================+-----------------+---------+
              | Tunnel IP Header | Orig. IP Header | Payload |
              +==================+-----------------+---------+
                       ^                  |
                       |                  |
                       +------------------+
                        IPIP Encapsulation

           Figure 4: Outbound Packet Construction for IPIP Tunnel



   IIPtran performs this IPIP processing as a first step, followed by
   IPsec transport mode processing on the resulting IPIP packet (Figure
   5.)






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            Outbound Packet (IPIP Tunnel + IPsec Transport Mode)
      +==================+==============+-----------------+---------+
      | Tunnel IP Header | IPsec Header | Orig. IP Header | Payload |
      +==================+==============+-----------------+---------+
              ^  |               ^               |
              |  |               |               |
              |  +---------------+               |
              |      SA Lookup                   |
              |                                  |
              +----------------------------------+
                       IPIP Encapsulation

           Figure 5: Outbound Packet Construction for IPIP Tunnel
                     with IPsec Transport Mode


   A key difference between Figures 2 and 5 is that in the proposed
   solution, the IPsec header is based on the outer IP header, whereas
   under IPsec tunnel mode processing, the IPsec header depends on the
   contents of the inner IP header and payload (see section 2.1).

   However, the resulting VPN packet (Figure 5) on the wire cannot be
   distinguished from a VPN packet generated by IPsec tunnel mode
   processing (Figure 2); and the two methods inter-operate, given
   appropriate configurations on both ends [N5].

   A detailed discussion of the differences between IIPtran, IPsec
   tunnel mode, and other proposed mechanisms follows in section 4. The
   remainder of this section will describe how IIPtran combines IPIP
   tunnel devices with IPsec transport mode to solve the problems
   identified in section 2.


 3.2 Solving Problem 1: Forwarding Issues

   Section 2.3 described how IP forwarding over IPsec tunnel mode SAs
   breaks, because tunnel mode SAs are not required to be network
   interfaces. IIPtran uses RFC 2003 IPIP tunnels to establish the
   topology of the virtual network.  RFC 2003 requires that IPIP tunnels
   can be routed to, and have configurable addresses [N4]. Thus, they
   can be references in node's routing table (supporting static
   routing), as well as used by dynamic routing daemons for local
   communication of reachability information.

   RFC 2003 addressed the issue of inserting an IPsec header between the
   two IP headers that are a result of IPIP encapsulation. IIPtran
   provides further details on this configuration, and demonstrates how
   it enables dynamic routing in a virtual network.



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   It is important to note that the RFC 2003 IPIP tunnels already
   provide a complete virtual network that can support static or dynamic
   routing. The proposed solution of using IPIP tunnel with IPsec
   transport mode decouples IPsec processing from routing and
   forwarding. IIPtran's use of IPsec is limited to securing the links
   of the VN (creating a VPN), because IPsec (rightly) lacks internal
   support for routing and forwarding.


 3.3 Solving Problem 2: Source Address Selection

   Section 2.4 gave an overview of IP source address selection and its
   dependence on interfaces and routes.

   Using RFC 2003 IPIP tunnel devices for VN links, instead of IPsec
   tunnel mode SAs, solves this issue directly. The IPIP tunnels are
   full-fledged interfaces with associated routes, so that routes [N4]
   and address selection as described in [N6] can operate as specified.



4. Discussion

   The previous sections described problems when IPsec tunnel mode
   provides VPN links, and proposed a solution. This section introduces
   a number of proposed alternatives, and compares their effect on the
   IPsec architecture, routing, and policy enforcement, among others, to
   IIPtran.


 4.1 Other Proposed Solutions

   This section gives a brief overview of a number of alternative
   proposals that aim at establishing support for dynamic routing for
   IPsec-secured VNs. The following section then compares these
   proposals in detail.

   Although some of the alternatives also address the issues identified
   above, IIPtran alone also significantly simplifies and modularizes
   the IPsec architecture.

  4.1.1 Alternative 1: IPsec with Interface SAs

   In the first alternative, each IPsec tunnel mode SA is required to
   act as a full-fledged network interface. This SA interface acts as
   the outbound interface of the virtual destination's forwarding table
   entry. IPsec dynamically updates the SA interface configuration in
   response to SAD changes, e.g. caused by IKE negotiation.



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   This approach supports dynamic routing and existing source address
   selection rules, but requires extensions to the IPsec architecture
   that define tunnel mode SA interfaces and their associated management
   procedures.

   It would necessitate recapitulating the definition of the entirety of
   RFC 2003 IPIP encapsulation, including the association of tunnels
   with interfaces, inside IPsec. This defeats the modular architecture
   of the Internet, and violates the specification of type 4 IP in IP
   packets as being uniquely defined by a single Internet standard (it
   is already standardized by [N4]).

  4.1.2 Alternative 2: IPsec with Initial Forwarding Lookup

   A second alternative is the addition of an extra forwarding lookup
   before IPsec tunnel mode processing. This forwarding lookup will
   return a "virtual interface" identifier that which indicates how to
   route the packet [I4]. Due to a lack of concrete documentation of
   this alternative at this time, proposed for an update pending to RFC
   2401, two variants are presumed possible:

   In the first scenario, the extra forwarding lookup indicates the
   outbound interface of the final encapsulated tunnel mode packet, i.e.
   usually a physical interface in the base network. The tunnel mode SA
   lookup following the forwarding lookup will occur in the per-
   interface SAD associated with the respective virtual interface.

   In the second scenario, the extra forwarding lookup returns an
   outbound tunnel SA interface. This solution seems to be equivalent to
   the one described above (section 4.1.1), i.e. all tunnel mode SAs
   must be interfaces, and is not discussed separately below.

  4.1.3 Alternative 3: IPsec with Integrated Forwarding

   In the third alternative, the routing protocols and forwarding
   mechanisms are modified to consult both the routing tables and SADs
   to make forwarding decision. To prevent IPsec processing from
   interfering with routing, forwarding table lookup must precede SAD
   lookup.

   This approach supports dynamic routing, but requires changes to
   routing mechanisms such that SAD contents are included in the route
   exchanges. It is unclear how transport-layer selectors would affect
   this approach.


 4.2 Discussion




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   This section compares the three different alternatives and IIPtran
   according to a number of evaluation criteria, such as support for VN
   forwarding, or impact on the IPsec architecture.

  4.2.1 VN Routing Support and Complexity

   This section investigates whether the three alternatives and IIPtran
   support VN routing, esp. dynamic routing based on existing IP routing
   protocols.

   Both IIPtran (IPIP tunnels + transport mode) and alternative 1 (per-
   SA interfaces) establish VN links as full-fledged devices that can be
   referred to in the routing table, as well as used for local
   communication by dynamic routing protocols. They both support static
   and dynamic VN routing.

   However, because the current IPsec architecture does not require
   tunnel mode SAs to behave similarly to interfaces (some implementers
   chose alternative 1, but it is not mandated by the specification),
   alternative 1 requires extensions to the current IPsec architecture
   that define the exact behavior of tunnel mode SAs. The proposed
   solution does not require any such changes to IPsec, and for tunnels
   RFC 2003 already specifies those requirements. Furthermore, addition
   of those requirements would be redundant and potentially conflict
   with RFC 2003.

   Alternative 3 supports dynamic VN routing, but requires modifying
   routing protocols and forwarding lookup mechanisms to act or
   synchronize based on SAD entries. This requires substantial changes
   to routing software and forwarding mechanisms in all participating
   nodes to interface to the internals of IPsec; this would require
   revising a large number of current Internet standards. It is also not
   clear how tunnel mode SAs that specify port selectors would operate
   under this scheme, since IP routing has no dependence on transport-
   layer fields.

   Alternative 2 does not support dynamic VN routing. The additional
   forwarding lookup before IPsec processing is irrelevant, because
   IPsec tunnel mode SAs are not represented as interfaces, and thus
   invisible to IP routing protocols.

   Additionally, the forwarding lookup suggested for alternative 2 is
   not compatible with a weak ES model described in [N6], which requires
   both an outbound interface indicator as well as the IP address of the
   next-hop gateway. For example, multiple tunnels can use the same
   outgoing interface and thus same SAD. The forwarding lookup would
   return only the interface; lacking the next-hop gateway, the correct
   SAD entry cannot be determined. Given the next-hop gateway would not



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   help, because the SAD is not indexed by tunnel mode SA encapsulation
   destination IP address.

   Because alternative 2 fails to support VN routing, it will not be
   discussed in the remainder of this section.

  4.2.2 Impact on the IPsec Architecture

   IIPtran recognizes that encapsulation is already a property of
   interface processing, and thus relies on IPIP tunnel devices to
   handle the IPIP encapsulation for VN links. Tunnel mode IPsec thus
   becomes unnecessary and can potentially be removed from the IPsec
   architecture, greatly simplifying the specification.

   Alternative 1 requires SAs to be represented as full-fledged
   interfaces, for the purpose of routing. SAD changes must furthermore
   dynamically update the configuration of these SA interfaces. The
   IPsec architecture thus needs extensions that define the operation of
   interfaces and their interactions with the forwarding table and
   routes.

   Additionally, RFC 2401 describes per-interface SADs as a component of
   IPsec. When tunnel mode SAs themselves act as interfaces, the
   function of per-interface SADs needs clarification as follows:

   First, each tunnel interface SAD must contain exactly one IPsec
   tunnel mode SA.  Transport mode SAs are prohibited, because they
   would not result in IP encapsulation (the encapsulation header is
   part of the tunnel mode SA, a transport mode SA would not cause
   encapsulation), and thus lead to processing loops. Multiple tunnel
   mode SAs are prohibited, because dynamic routing algorithms construct
   topology information based on per-interface communication. Merging
   different virtual links (tunnels) into a single SA interface can
   cause routing events on one virtual link to apply incorrectly to
   other links sharing an SA interface.

   Second, only the SAD of physical interfaces may contain IPsec
   transport mode SAs; otherwise, the current issues with VN routing
   remain unsolved.

   In summary, these restrictions result in only SADs of SA interfaces
   containing tunnel mode SAs, and only SADs of regular interfaces
   containing transport mode SAs. Thus, tunnel encapsulation essentially
   becomes a unique property of the interface, and not IPsec.

   IIPtran already recognizes this property. Consequently, it uses IPIP
   tunnels directly, and combines them with transport mode processing.
   By eliminating the use of tunnel mode, it removes the need for



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   additional constraints on the contents of per-interface SAs.

  4.2.3 Policy Enforcement and Selectors

   On receiving a packet, both IPsec tunnel mode and IIPtran decrypt
   and/or authenticate the packet with the same techniques. IPsec tunnel
   mode decapsulates and decrypts the packet in a single step, followed
   by a policy check of the inner packet and its payload against the
   respective IPsec tunnel mode SA. IIPtran uses IPsec transport mode to
   decrypt and verify the incoming packet, then passes the decrypted
   IPIP packet on to RFC 2003 IPIP processing. At that point, IIPtran
   can support selector checks on both the header and its payload using
   firewall mechanisms, similar to IPsec tunnel mode processing.

   The primary difference between the two is that IPsec tunnel mode does
   not require a separate processing step for validating packets; once
   IPsec accepts them during the policy check during decapsulation, they
   are accepted. IIPtran requires additional processing on the
   decapsulated packets, to validate whether they conform to their
   respective IPsec policy.

   As noted in section 5.2 of the IPsec architecture document [N1],
   IPsec processing should retain information about what SAs matched a
   given packet, for subsequent IPsec or firewall processing. To allow
   for complex accept policies, it should be possible to reconstruct the
   format of the original packet at the time it first entered a machine
   based on saved processing context at any time during inbound
   processing. IIPtran accepts incoming VN packets only if they have
   arrived over a specific IPIP tunnel that was secured with IPsec
   transport mode, but as a separate step following IPIP decapsulation.

   Note that IPsec tunnel mode and IIPtran are interoperable [N5].
   Experiments have verified this interoperability, notably because
   there are no differences in the resulting packets on the wire, given
   appropriate keys.

   4.2.3.1 Selector Expressiveness

   When looking up an SA for a given packet, IPsec allows selectors to
   match on the contents of the IP header and transport headers. IIPtran
   using existing IPsec cannot support transport header matches, because
   SA lookup occurs before decapsulation. A small extension to IPsec can
   address this issue in a modular way.

   RFC 2401 explicitly recognizes that the transport layer header may be
   nested several headers deep inside the packet, and allows a system to
   (quote) "chain through the packet headers checking the 'Protocol' or
   'Next Header' field until it encounters either one it recognizes as a



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   transport protocol, or until it reaches one that isn't on its list of
   extension headers, or until it encounters an ESP header that renders
   the transport protocol opaque."

   With IIPtran, the SA lookup starts on the outer (tunnel) header, and
   selectors including port number information must thus traverse the
   inner IP header (and possibly other headers) before they can match on
   the transport headers. IIPtran thus requires that IP be a known IPsec
   "extension header." This recognizes that with IPIP encapsulation, IP
   VNs use the base IP network as a link layer. Although this small
   extension to IPsec is not explicitly required, it is already implied.

   Recognizing IP as a valid transport layer over IP also allows
   selectors to match on the contents of the inner ("transport") IP
   header. Thus, IPsec selectors under IIPtran can express the same set
   of policies as conventional IPsec tunnel mode.

   Note that in both cases, these policy enforcement rules violate
   layering by looking at information other than the outermost header.
   This is consistent with IPsec's current use of port-based selectors.
   The next section discusses that selectors may not be useful for
   virtual networks.

   4.2.3.2 Role of Selectors for VPNs

   For secure VN links established via IPsec tunnel mode SAs, the
   selectors for the inner (VN) source and destination IP addresses
   often need to be wildcarded to support dynamic routing in a VN. Thus,
   the limitation described in 4.2.3.1 (without the proposed extension)
   may not be important in a VN scenario.

   Consider a four-node VN with nodes A, B, C and N (Figure 6). Consider
   the case where N is either a new node joining an existing VPN, or an
   existing node that had been disconnected and was just rediscovered
   via dynamic routing.


                                        B
                                       /
                                      /
                                     /
                           N ====== A
                                     \
                                      \
                                       \
                                        C

                   Figure 6: Virtual network topology



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   In this example, A has IPsec tunnel mode SAs to B and C. If the
   selectors for the virtual source and destination IP addresses for
   those SAs are not wildcards, the SA needs to be dynamically modified
   to permit packets from N to pass over the tunnels to B and C. This
   becomes quickly impractical as VPN sizes grow.

   Thus, IPsec selectors appear much less useful in a VPN scenario than
   expected. A consequence might be that IIPtran - even without
   extensions to support the full expressiveness of tunnel mode SA
   selectors as described above - can still support the majority of VPN
   scenarios.

   One purpose of selectors matching on transport header content is
   policy routing. Different SAs can apply to different applications,
   resulting in different apparent virtual topologies. IIPtran supports
   policy routing in a more modular way, by having existing policy
   routing implementations forward traffic over multiple, parallel VNs.
   IIPtran supports arbitrary IP-based policy routing schemes, while
   policies are limited by the expressiveness of IPsec's selectors in
   the former case.


  4.2.4 IKE Impact

   The Internet Key Exchange (IKE) [I3] is a protocol to negotiate IPsec
   keys between end systems dynamically and securely. It is not a
   strictly required component of IPsec in the sense that two hosts can
   communicate using IPsec without having used IKE to negotiate keys
   (through manually keyed SAs, for example). Despite its name, IKE also
   acts as a tunnel management protocol (when IPsec tunnel mode SAs are
   configured), and negotiates security policies between the peers.

   Alternatives 1 and 3 use existing IKE without changes.

   One possible approach to use IKE with IIPtran is to negotiate a
   tunnel mode SA, and then treat it as a transport mode SA against an
   IPIP tunnel when communicating with conventional peers. For policies
   that do not specify selectors based on transport-layer information,
   this establishes interoperability.

   However, since IIPtran eliminates IPsec tunnel mode, it could also
   simplify IKE, by limiting it to its original purpose of key exchange.
   A new tunnel management protocol (e.g. ATMP [N7]) would set up IPIP
   tunnels, use an as of yet unspecified second protocol to negotiate
   security policy, and then use IKE to exchange keys for use with the
   policy.

   Current IKE operation would become a modular composition of separate



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   protocols, similar to how IIPtran modularizes IPsec by combining
   existing Internet standards. For example, a VPN link creation could
   follow these steps: (1) IKE negotiation in the base network to secure
   (2) a subsequent tunnel management exchange [N7] in the base network,
   followed by (3) IKE exchanges over the established tunnel to create a
   secure VPN link.



5. Security Considerations

   This document addresses security considerations throughout, as they
   are a primary concern of proposed uses of IPsec.

   The primary purpose of this document is to extend the use of IPsec to
   dynamically routed VPNs, which will extend the use of IPsec and, it
   is hoped, increase the security of VPN infrastructures using existing
   protocols.



6. Summary and Recommendations

   This document presents a mechanism consistent with the current use of
   IPsec which supports dynamic routing inside a virtual network that
   uses IPsec to secure its links. It illustrates how current use of
   IPsec tunnel mode does not support dynamic VN routing, and compares
   IIPtran with several different alternatives. It finds that IIPtran, a
   composite of a subset of IPsec (i.e. transport mode) together with
   existing standard IPIP encapsulation, results in an interoperable,
   standards-conforming equivalent that is both simpler and modular.



Appendix A: Encapsulation/Decapsulation Issues

   There are inconsistencies between the IPIP encapsulation rules
   specified by IPsec [N1] and those specified by MobileIP [N4]. The
   latter specification is standards track, and the IP protocol number
   of 4 (payload of an IP packet of type 4) is uniquely specified by RFC
   2003 according to IANA [N4]. The use of IPIP inside an IPsec
   transport packet can be confused with IPsec tunnel mode, because
   IPsec does not specify any limits on the types of IP packets that
   transport mode can secure,



 A.1: Encapsulation Issues



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   When an IP packet is encapsulated as payload inside another IP
   packet, some of the outer header fields can be newly written (and the
   inner header determines some others [N4].) Among these fields is the
   IP DF (do not fragment) flag. When the inner packet DF flag is clear,
   the outer packet may copy it or set it; however, when the inner DF
   flag is set, the outer header must copy it [N4]. IPsec defines
   conflicting rules, where that flag and other similar fields (TOS,
   etc.) may be copied, cleared, or set as specified by an SA.

   The IPsec specification indicates that such fields must be
   controlled, to achieve security. Otherwise, such fields could provide
   a covert channel between the inner packet header and outer packet
   header. However, RFC 2003 requires that the outer fields not be
   cleared when the inner ones are set, to prevent MTU discovery "black
   holes" [I1][I2].

   To avoid a conflict between these rules, and to avoid security
   weaknesses associated with solely copying the fields, it is
   recommended that IPsec IPIP encapsulation not permit the clearing of
   the outer DF flag. When the SA requires clearing the DF flag, and the
   inner packet DF is set, it is proposed that IPsec drop that packet,
   rather than violate RFC 2003 processing rules. Similar rules are
   being developed for TOS and other similar IP header fields, to be
   included in an update of RFC 2003.

   Another approach to closing the covert channel is always to set the
   DF flag in the outer header (whether or not it is set in the inner
   header). Setting the DF flag allows PMTU discovery to operate
   normally. The details of this approach are discussed in [N4].


 A.2 Decapsulation Issues

   Given identical keys, a packet created by IPIP tunnel encapsulation
   combined with IPsec transport mode and an IPsec tunnel mode packet
   look identical on the wire. Thus, when an IPsec'ed packet arrives
   that contains an IPIP inner packet, it is not possible to distinguish
   whether the packet was created using IPsec tunnel mode or IPsec
   transport mode of an IPIP encapsulated packet. In both cases, the
   protocol field of the outer header is IPsec (AH or ESP), and the
   "next header" field for the inner data is 4 (IP). IPsec requires the
   SA matching a received packet to indicate whether to apply tunnel
   mode or transport mode.

   Incoming packet processing must check the SAD before determining
   whether to decapsulate IPsec packets with inner payload of protocol
   type 4. If the SAD indicates that a tunnel mode association applies,
   IPsec must decapsulate the packet. If the SAD indicates that a



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   transport mode association applies, IPsec must not decapsulate the
   packet. This requires that the SAD indicate one of these two options;
   wildcard SAD entries ("ANY", or "TUNNEL or TRANSPORT") cannot be
   supported.


 A.3 Appendix Summary

   IPsec's use of IPIP encapsulation conflicts with the IPIP standard
   [N4], This issue is already being resolved in an update to RFC 2003,
   instead of specifying a non-standard conforming variant of IPIP
   encapsulation inside IPsec.



Acknowledgments

   The authors would like to thank the members of the X-Bone and
   DynaBone projects at USC/ISI for their contributions to the ideas
   behind this draft, notably (current) Greg Finn and (past) Amy Hughes,
   Steve Hotz and Anindo Banerjea.

   The authors would also like to thank Jun-ichiro (itojun) Hagino and
   the KAME project for bringing IKE implications of this proposal to
   our attention, as well as implementing the mechanisms in this draft
   in the KAME IPv6/IPsec network stack. Members of several IETF WGs
   (especially IPsec: Stephen Kent, PPVPN: Eric Vyncke, Paul Knight,
   various members of MobileIP) provided valuable input on the details
   of IPsec processing in earlier revisions of this document.



Normative References

   [N1] Kent, S., Atkinson, R., "Security Architecture for the Internet
   Protocol," RFC 2401, November 1998.

   [N2] Kent, S., Atkinson, R., "IP Authentication Header," RFC 2402,
   November 1998.

   [N3] Kent, S., Atkinson, R., "IP Encapsulating Security Payload
   (ESP)," RFC 2406, November 1998.

   [N4] Perkins, C., "IP Encapsulation within IP," RFC 2003, October
   1996.

   [N5] Touch, J., "Dynamic Internet Overlay Deployment and Management
   Using the X-Bone," Computer Networks, July 2001, pp. 117-135. A



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   previous version appeared in Proc. ICNP 2000, Osaka, Japan, pp.
   59-68.  http://www.isi.edu/touch/pubs/comnet2001/

   [N6] Braden, R. (Editor), "Requirements for Internet Hosts --
   Communication Layers," RFC 1122, October 1989.

   [N7] Hamzeh, K., "Ascend Tunnel Management Protocol - ATMP," RFC
   2107, February 1997.

   [N8] Touch, J., Wang, Y., Eggert, L., "Virtual Internets," ISI
   Technical Report ISI-TR-558, July 1, 2002.



Informative References

   [I1] Mogul, J., Deering, S., "Path MTU Discovery," RFC 1191, November
   1990.

   [I2] Lahey, K., "TCP Problems with Path MTU Discovery," RFC 2923,
   September 2000.

   [I3] Harkins, D., Carrel, D., "The Internet Key Exchange (IKE)," RFC
   2409, November 1998.

   [I4] Kent, S. Personal Communication. November 2002.



Author Information

   Joe Touch
   Lars Eggert
   Yu-Shun Wang

   Information Sciences Institute
   University of Southern California
   4676 Admiralty Way
   Marina del Rey, CA 90292-6601, USA

   Phone: +1 (310) 448-9151
   Fax:   +1 (310) 448-9300

   URL:   http://www.isi.edu/~{touch,larse,yushunwa}/
   Email: {touch,larse,yushunwa}@isi.edu






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Attribution and Disclaimer

   Effort sponsored by the Defense Advanced Research Projects Agency
   (DARPA) and Air Force Research Laboratory, Air Force Materiel
   Command, USAF, under agreements number F30602-98-1-0200 entitled "X-
   Bone" and number F30602-01-2-0529 entitled "DynaBone".

   The views and conclusions contained herein are those of the authors
   and should not be interpreted as necessarily representing the
   official policies or endorsements, either expressed or implied, of
   the Defense Advanced Research Projects Agency (DARPA), the Air Force
   Research Laboratory, or the U.S. Government.







































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