TLS 1.3 Extension for Certificate-based Authentication with an External Pre-Shared Key

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Table of Contents

1. Introduction

The TLS 1.3 [RFC8446] handshake protocol provides two mutually exclusive forms of server authentication. First, the server can be authenticated by providing a signature certificate and creating a valid digital signature to demonstrate that it possesses the corresponding private key. Second, the server can be authenticated by demonstrating that it possesses a pre-shared key (PSK) that was established by a previous handshake. A PSK that is established in this fashion is called a resumption PSK. A PSK that is established by any other means is called an external PSK. This document specifies a TLS 1.3 extension permitting certificate-based server authentication to be combined with an external PSK as an input to the TLS 1.3 key schedule.¶

Please see Appendix A for a list of changes since the publication of RFC 8773.¶

2. Terminology

The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "NOT RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in BCP 14 [RFC2119] [RFC8174] when, and only when, they appear in all capitals, as shown here.¶

3. Motivation and Design Rationale

The motivation for using a certificate with an external PSK is different than the motivation for using a certificate with a resumption PSK.¶

4. Extension Overview

This section provides a brief overview of the "tls_cert_with_extern_psk" extension.¶

The client includes the "tls_cert_with_extern_psk" extension in the ClientHello message. The "tls_cert_with_extern_psk" extension MUST be accompanied by the "key_share", "psk_key_exchange_modes", and "pre_shared_key" extensions. The client MAY also find it useful to include the "supported_groups" extension. Since the "tls_cert_with_extern_psk" extension is intended to be used only with initial handshakes, it MUST NOT be sent alongside the "early_data" extension. These extensions are all described in Section 4.2 of [RFC8446], which also requires the "pre_shared_key" extension to be the last extension in the ClientHello message.¶

If the client includes both the "tls_cert_with_extern_psk" extension and the "early_data" extension, then the server MUST terminate the connection with an "illegal_parameter" alert.¶

If the server is willing to use one of the external PSKs listed in the "pre_shared_key" extension and perform certificate-based authentication, then the server includes the "tls_cert_with_extern_psk" extension in the ServerHello message. The "tls_cert_with_extern_psk" extension MUST be accompanied by the "key_share" and "pre_shared_key" extensions. If none of the external PSKs in the list provided by the client is acceptable to the server, then the "tls_cert_with_extern_psk" extension is omitted from the ServerHello message.¶

When the "tls_cert_with_extern_psk" extension is successfully negotiated, the TLS 1.3 key schedule processing includes both the selected external PSK and the (EC)DHE shared secret value. (EC)DHE refers to Diffie-Hellman over either finite fields or elliptic curves. As a result, the Early Secret, Handshake Secret, and Master Secret values all depend upon the value of the selected external PSK. Of course, the Early Secret does not depend upon the (EC)DHE shared secret.¶

The authentication of the server and optional authentication of the client depend upon the ability to generate a signature that can be validated with the public key in their certificates. The authentication processing is not changed in any way by the selected external PSK.¶

Each external PSK is associated with a single hash algorithm, which is required by Section 4.2.11 of [RFC8446]. The hash algorithm MUST be set when the PSK is established, with a default of SHA-256.¶

5. Certificate with External PSK Extension

This section specifies the "tls_cert_with_extern_psk" extension, which MAY appear in the ClientHello message and ServerHello message. It MUST NOT appear in any other messages. The "tls_cert_with_extern_psk" extension MUST NOT appear in the ServerHello message unless the "tls_cert_with_extern_psk" extension appeared in the preceding ClientHello message. If an implementation recognizes the "tls_cert_with_extern_psk" extension and receives it in any other message, then the implementation MUST abort the handshake with an "illegal_parameter" alert.¶

The general extension mechanisms enable clients and servers to negotiate the use of specific extensions. Clients request extended functionality from servers with the extensions field in the ClientHello message. If the server responds with a HelloRetryRequest message, then the client sends another ClientHello message as described in Section 4.1.2 of [RFC8446], including the same "tls_cert_with_extern_psk" extension as the original ClientHello message, or aborts the handshake.¶

Many server extensions are carried in the EncryptedExtensions message; however, the "tls_cert_with_extern_psk" extension is carried in the ServerHello message. Successful negotiation of the "tls_cert_with_extern_psk" extension affects the key used for encryption. The "tls_cert_with_extern_psk" extension is only present in the ServerHello message if the server recognizes the "tls_cert_with_extern_psk" extension and the server possesses one of the external PSKs offered by the client in the "pre_shared_key" extension in the ClientHello message.¶

The Extension structure is defined in [RFC8446]; it is repeated here for convenience.¶

  struct {
      ExtensionType extension_type;
      opaque extension_data<0..2^16-1>;
  } Extension;

The "extension_type" identifies the particular extension type, and the "extension_data" contains information specific to the particular extension type.¶

This document specifies the "tls_cert_with_extern_psk" extension, adding one new type to ExtensionType:¶

  enum {
      tls_cert_with_extern_psk(33), (65535)
  } ExtensionType;

The "tls_cert_with_extern_psk" extension is relevant when the client and server possess an external PSK in common that can be used as an input to the TLS 1.3 key schedule. The "tls_cert_with_extern_psk" extension is essentially a flag to use the external PSK in the key schedule, and it has the following syntax:¶

  struct {
      select (Handshake.msg_type) {
          case client_hello: Empty;
          case server_hello: Empty;
      };
  } CertWithExternPSK;

  struct {
      opaque identity<1..2^16-1>;
      uint32 obfuscated_ticket_age;
  } PskIdentity;

  opaque PskBinderEntry<32..255>;

  struct {
      PskIdentity identities<7..2^16-1>;
      PskBinderEntry binders<33..2^16-1>;
  } OfferedPsks;

  struct {
      select (Handshake.msg_type) {
          case client_hello: OfferedPsks;
          case server_hello: uint16 selected_identity;
      };
  } PreSharedKeyExtension;

6. IANA Considerations

Once this document is approved, IANA is asked to update the "TLS ExtensionType Values" registry [IANA] entry for the "tls_cert_with_extern_psk" extension to reference this document.¶

7. Security Considerations

The Security Considerations in [RFC8446] remain relevant.¶

TLS 1.3 [RFC8446] does not permit the server to send a CertificateRequest message when a PSK is being used. This restriction is removed when the "tls_cert_with_extern_psk" extension is offered by the client and accepted by the server. However, TLS 1.3 does not permit an external PSK to be used in the same fashion as a resumption PSK, and this extension does not alter those restrictions. Thus, a certificate MUST NOT be used with a resumption PSK.¶

Implementations must protect the external pre-shared key (PSK). Compromise of the external PSK will make the encrypted session content vulnerable to the future development of a Cryptographically Relevant Quantum Computer (CRQC). However, the generation, distribution, and management of the external PSKs is out of scope for this specification.¶

Implementers should not transmit the same content on a connection that is protected with an external PSK and a connection that is not. Doing so may allow an eavesdropper to correlate the connections, making the content vulnerable to the future invention of a CRQC.¶

Implementations must generate external PSKs with a secure key-management technique, such as pseudorandom generation of the key or derivation of the key from one or more other secure keys. The use of inadequate pseudorandom number generators (PRNGs) to generate external PSKs can result in little or no security. An attacker may find it much easier to reproduce the PRNG environment that produced the external PSKs and search the resulting small set of possibilities, rather than brute-force searching the whole key space. The generation of quality random numbers is difficult. [RFC4086] offers important guidance in this area.¶

If the external PSK is known to any party other than the client and the server, then the external PSK MUST NOT be the sole basis for authentication. The reasoning is explained in Section 4.2 of [K2016]. When this extension is used, authentication is based on certificates, not the external PSK.¶

In this extension, the external PSK preserves confidentiality if the (EC)DH key agreement is ever broken by cryptanalysis or the future invention of a CRQC. As long as the attacker does not know the PSK and the key derivation algorithm remains unbroken, the attacker cannot derive the session secrets, even if they are able to compute the (EC)DH shared secret. Should the attacker be able compute the (EC)DH shared secret, the forward-secrecy advantages traditionally associated with ephemeral (EC)DH keys will no longer be relevant. Although the ephemeral private keys used during a given TLS session are destroyed at the end of a session, preventing the attacker from later accessing them, these private keys would nevertheless be recoverable due to the break in the algorithm. However, a more general notion of "secrecy after key material is destroyed" would still be achievable using external PSKs, if they are managed in a way that ensures their destruction when they are no longer needed, and with the assumption that the algorithms that use the external PSKs remain quantum-safe.¶

TLS 1.3 key derivation makes use of the HMAC-based Key Derivation Function (HKDF) algorithm, which depends upon the HMAC [RFC2104] construction and a hash function. This extension provides the desired protection for the session secrets, as long as HMAC with the selected hash function is a pseudorandom function (PRF) [GGM1986].¶

This specification does not require that the external PSK is known only by the client and server. The external PSK may be known to a group. Since authentication depends on the public key in a certificate, knowledge of the external PSK by other parties does not enable impersonation. Since confidentiality depends on the shared secret from (EC)DH, knowledge of the external PSK by other parties does not enable eavesdropping. However, group members can record the traffic of other members and then decrypt it if they ever gain access to a CRQC. Also, when many parties know the external PSK, there are many opportunities for theft of the external PSK by an attacker. Once an attacker has the external PSK, they can decrypt stored traffic if they ever gain access to a CRQC, in the same manner as a legitimate group member.¶

TLS 1.3 [RFC8446] takes a conservative approach to PSKs; they are bound to a specific hash function and KDF. By contrast, TLS 1.2 [RFC5246] allows PSKs to be used with any hash function and the TLS 1.2 PRF. Thus, the safest approach is to use a PSK exclusively with TLS 1.2 or exclusively with TLS 1.3. Given one PSK, one can derive a PSK for exclusive use with TLS 1.2 and derive another PSK for exclusive use with TLS 1.3 using the mechanism specified in [RFC9258].¶

TLS 1.3 [RFC8446] has received careful security analysis, and the following informal reasoning shows that the addition of this extension does not introduce any security defects. This extension requires the use of certificates for authentication, but the processing of certificates is unchanged by this extension. This extension places an external PSK in the key schedule as part of the computation of the Early Secret. In the initial handshake without this extension, the Early Secret is computed as:¶

   Early Secret = HKDF-Extract(0, 0)

With this extension, the Early Secret is computed as:¶

   Early Secret = HKDF-Extract(External PSK, 0)

Any entropy contributed by the external PSK can only make the Early Secret better; the External PSK cannot make it worse. For these two reasons, TLS 1.3 continues to meet its security goals when this extension is used.¶

8. Privacy Considerations

Appendix E.6 of [RFC8446] discusses identity-exposure attacks on PSKs. The guidance in this section remains relevant.¶

This extension makes use of external PSKs to improve resilience against attackers that gain access to a CRQC in the future and provides authentication for initial enrollment of devices in an enterprise network. This extension is always accompanied by the "pre_shared_key" extension to provide the PSK identities in plaintext in the ClientHello message. Passive observation of the these PSK identities will aid an attacker in tracking users or devices that make use of this extension.¶

Appendix A. Changes Since RFC 8773

The status elevation from Experimental RFC to Standards Track RFC is the most significant change in this document.¶

In addition to minor editorial updates, the following changes were made:¶

• Expand the motivation discussion to talk about protection against the future development of a cryptographically-relevant quantum computer and enrollment in enterprise networks.¶
• Expand the motivation discussion to talk about the situations where an external PSK is used and the situations where a resumption PSK is used.¶
• Correct RFC Errata 7598 [Err7598].¶
• Adopt terminology that has become widely accepted, such as Cryptographically Relevant Quantum Computer (CRQC).¶

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