[Docs] [txt|pdf] [Tracker] [WG] [Email] [Diff1] [Diff2] [Nits]

Versions: 00 01 02 03 04 05 06 07 08 09 10 RFC 5275

SMIME Working Group                                          S. Turner
Internet Draft                                                    IECA
Document: draft-ietf-smime-symkeydist-09.txt              January 2003
Expires:  July 2003


             CMS Symmetric Key Management and Distribution


Status of this Memo

   This document is an Internet-Draft and is in full conformance with
   all provisions of Section 10 of RFC2026.

   This document is an Internet-Draft. Internet-Drafts are working
   documents of the Internet Engineering Task Force (IETF), its areas,
   and its working groups. Note that other groups may also distribute
   working documents as Internet-Drafts.

   Internet-Drafts are draft documents valid for a maximum of six
   months and may be updated, replaced, or obsoleted by other documents
   at any time. It is inappropriate to use Internet-Drafts as reference
   material or to cite them other than as "work in progress."

   The list of current Internet-Drafts can be accessed at
   http://www.ietf.org/ietf/1id-abstracts.txt

   The list of Internet-Draft Shadow Directories can be accessed at
   http://www.ietf.org/shadow.html.

   This draft is being discussed on the 'ietf-smime' mailing list. To
   subscribe, send a message to ietf-smime-request@imc.org with the
   single word subscribe in the body of the message. There is a Web
   site for the mailing list at <http://www.imc.org/ietf-smime/>.


Abstract

   This document describes a mechanism to manage (i.e., setup,
   distribute, and rekey) keys used with symmetric cryptographic
   algorithms. Also defined herein is a mechanism to organize users
   into groups to support distribution of encrypted content using
   symmetric cryptographic algorithms. The mechanism uses the
   Cryptographic Message Syntax (CMS) protocol [CMS] and Certificate
   Management Message over CMS (CMC) protocol [CMC] to manage the
   symmetric keys. Any member of the group can then later use this
   distributed shared key to decrypt other CMS encrypted objects with
   the symmetric key. This mechanism has been developed to support
   S/MIME Mail List Agents (MLAs).






Turner                                                              1
Internet-Draft       CMS Symmetric Key Management      Janruary 2003
                            And Distribution

Conventions used in this document

   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 [STDWORDS].

   1 INTRODUCTION.....................................................3
   1.1 APPLICABILITY TO E-MAIL........................................4
   1.2 APPLICABILITY TO REPOSITORIES..................................4
   1.3 USING THE GROUP KEY............................................4
   2 ARCHITECTURE.....................................................5
   3 PROTOCOL INTERACTIONS............................................6
   3.1 CONTROL ATTRIBUTES.............................................8
   3.1.1 GL USE KEK...................................................9
   3.1.2 DELETE GL...................................................13
   3.1.3 ADD GL MEMBER...............................................13
   3.1.4 DELETE GL MEMBER............................................14
   3.1.5 REKEY GL....................................................15
   3.1.6 ADD GL OWNER................................................15
   3.1.7 REMOVE GL OWNER.............................................16
   3.1.8 GL KEY COMPROMISE...........................................16
   3.1.9 GL KEY REFRESH..............................................16
   3.1.10 GLA QUERY REQUEST AND RESPONSE.............................17
   3.1.10.1 GLA QUERY REQUEST........................................17
   3.1.10.2 GLA QUERY RESPONSE.......................................17
   3.1.10.3 REQUEST AND RESPONSE TYPES...............................18
   3.1.12 PROVIDE CERT...............................................18
   3.1.13 UPDATE CERT................................................19
   3.1.14 GL KEY.....................................................20
   3.2 USE OF CMC, CMS, AND PKIX.....................................21
   3.2.1 PROTECTION LAYERS...........................................22
   3.2.1.1 MINIMUM PROTECTION........................................22
   3.2.1.2 ADDITIONAL PROTECTION.....................................22
   3.2.2 COMBINING REQUESTS AND RESPONSES............................23
   3.2.3 GLA GENERATED MESSAGES......................................24
   3.2.4 CMC CONTROL ATTRIBUTES AND CMS SIGNED ATTRIBUTES............25
   3.2.4.1 USING CMCSTATUSINFOEXT....................................25
   3.2.4.2 USING TRANSACTIONID.......................................28
   3.2.4.3 USING NONCES AND SIGNINGTIME..............................28
   3.2.4.4 CMC AND CMS ATTRIBUTE SUPPORT REQUIREMENTS................29
   3.2.5 RESUBMITTED GL MEMBER MESSAGES..............................29
   3.2.6 PKIX CERTIFICATE AND CRL PROFILE............................29
   4 ADMINISTRATIVE MESSAGES.........................................30
   4.1 ASSIGN KEK TO GL..............................................30
   4.2 DELETE GL FROM GLA............................................33
   4.3 ADD MEMBERS TO GL.............................................36
   4.3.1 GLO INITIATED ADDITIONS.....................................37
   4.3.2 PROSPECTIVE MEMBER INITIATED ADDITIONS......................43
   4.4 DELETE MEMBERS FROM GL........................................45
   4.4.1 GLO INITIATED DELETIONS.....................................46
   4.4.2 MEMBER INITIATED DELETIONS..................................51
   4.5 REQUEST REKEY OF GL...........................................53


Turner                   Expires July 2003                         2
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   4.5.1 GLO INITIATED REKEY REQUESTS................................54
   4.5.2 GLA INITIATED REKEY REQUESTS................................56
   4.6 CHANGE GLO....................................................57
   4.7 INDICATE KEK COMPROMISE.......................................60
   4.7.1 GL MEMBER INITIATED KEK COMPROMISE MESSAGE..................60
   4.7.2 GLO INITIATED KEK COMPROMISE MESSAGE........................61
   4.8 REQUEST KEK REFRESH...........................................63
   4.9 GLA QUERY REQUEST AND RESPONSE................................64
   4.10 UPDATE MEMBER CERTIFICATE....................................66
   4.10.1 GLO AND GLA INITIATED UPDATE MEMBER CERTIFICATE............67
   4.10.2 GL MEMBER INITIATED UPDATE MEMBER CERTIFICATE..............69
   5 DISTRIBUTION MESSAGE............................................70
   5.1 DISTRIBUTION PROCESS..........................................71
   6 ALGORITHMS......................................................72
   6.1 KEK GENERATION ALGORITHM......................................72
   6.2 SHARED KEK WRAP ALGORITHM.....................................72
   6.3 SHARED KEK ALGORITHM..........................................72
   7 MESSAGE TRANSPORT...............................................73
   8 SECURITY CONSIDERATIONS.........................................73
   9 REFERENCES......................................................74
   9.1 INFORMATIVE...................................................74
   9.1 NORMATIVE.....................................................74
   10 ACKNOWLEDGEMENTS...............................................75
   11 AUTHOR'S ADDRESSES.............................................75
   ANNEX A: ASN.1 MODULE.............................................76


1 Introduction

   With the ever-expanding use of secure electronic communications
   (e.g., S/MIME [MSG]), users require a mechanism to distribute
   encrypted data to multiple recipients (i.e., a group of users).
   There are essentially two ways to encrypt the data for recipients:
   using asymmetric algorithms with public key certificates (PKCs) or
   symmetric algorithms with symmetric keys.

   With asymmetric algorithms, the originator forms an originator-
   determined content-encryption key (CEK) and encrypts the content,
   using a symmetric algorithm. Then, using an asymmetric algorithm and
   the recipient's PKCs, the originator generates per-recipient
   information that either (a) encrypts the CEK for a particular
   recipient (ktri RecipientInfo CHOICE), or (b) transfers sufficient
   parameters to enable a particular recipient to independently
   generate the same KEK (kari RecipientInfo CHOICE). If the group is
   large, processing of the per-recipient information may take quite
   some time, not to mention the time required to collect and validate
   the PKCs for each of the recipients. Each recipient identifies its
   per-recipient information and uses the private key associated with
   the public key of its PKC to decrypt the CEK and hence gain access
   to the encrypted content.




Turner                   Expires July 2003                         3
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   With symmetric algorithms, the origination process is slightly
   different. Instead of using PKCs, the originator uses a previously
   distributed secret key-encryption key (KEK) to encrypt the CEK
   (kekri RecipientInfo CHOICE). Only one copy of the encrypted CEK is
   required because all the recipients already have the shared KEK
   needed to decrypt the CEK and hence gain access to the encrypted
   content.

   The techniques to protect the shared KEK are beyond the scope of
   this document. Only the members of the list and the key manager
   should have the KEK in order to maintain confidentiality. Access
   control to the information protected by the KEK is determined by the
   entity that encrypts the information, as all members of the group
   have access. If the entity that is performing the encryption wants
   to ensure some subset of the group does not gain access to the
   information either a different KEK should be used (shared only with
   this smaller group) or asymmetric algorithms should be used.


1.1 Applicability to E-mail

   One primary audience for this distribution mechanism is e-mail.
   Distribution lists, sometimes referred to as mail lists, support the
   distribution of messages to recipients subscribed to the mail list.
   There are two models for how the mail list can be used. If the
   originator is a member of the mail list, the originator sends
   messages encrypted with the shared KEK to the mail list (e.g.,
   listserv or majordomo) and the message is distributed to the mail
   list members. If the originator is not a member of the mail list
   (does not have the shared KEK), the originator sends the message
   (encrypted for the MLA) to the mail list agent (MLA), and then the
   MLA uses the shared KEK to encrypt the message for the members. In
   either case the recipients of the mail list use the previously
   distributed-shared KEK to decrypt the message.


1.2 Applicability to Repositories

   Objects can also be distributed via a repository (e.g., Lightweight
   Directory Protocol (LDAP) servers, X.500 Directory System Agents
   (DSAs), Web-based servers). If an object is stored in a repository
   encrypted with a symmetric key algorithm, anyone with the shared KEK
   and access to that object can then decrypt that object. The
   encrypted object and the encrypted, shared KEK can be stored in the
   repository.


1.3 Using the Group Key

   This document was written with three specific scenarios in mind: two
   supporting mail list agents and one for general message
   distribution. Scenario 1 depicts the originator sending a public key


Turner                   Expires July 2003                         4
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   (PK) protected message to a MLA who then uses the shared KEK(s) to
   redistribute the message to the members of the list. Scenario 2
   depicts the originator sending a shared KEK protected message to a
   MLA who then redistributes the message to the members of the list
   (the MLA only adds additional recipients). The key used by the
   originator could either be a key shared amongst all recipients or
   just between the member and the MLA. Note that if the originator use
   a key shared only with the MLA, then the MLA will need to decrypt
   the message and rencrypt the message for the list recipients.
   Scenario 3 shows an originator sending a shared KEK protected
   message to a group of recipients without an intermediate MLA.

                     +---->                   +---->       +---->
      PK   +-----+ S |         S    +-----+ S |         S  |
     ----> | MLA | --+---->   ----> | MLA | --+---->   ----+---->
           +-----+   |              +-----+   |            |
                     +---->                   +---->       +---->

         Scenario 1               Scenario 2           Scenario 3


2 Architecture

   Figure 1 depicts the architecture to support symmetric key
   distribution. The Group List Agent (GLA) supports two distinct
   functions with two different agents:

     - The Key Management Agent (KMA) which is responsible for
       generating the shared KEKs.

     - The Group Management Agent (GMA) which is responsible for
       managing the Group List (GL) to which the shared KEKs are
       distributed.

     +----------------------------------------------+
     |              Group List Agent                |    +-------+
     | +------------+    + -----------------------+ |    | Group |
     | |    Key     |    | Group Management Agent | |<-->| List  |
     | | Management |<-->|     +------------+     | |    | Owner |
     | |   Agent    |    |     | Group List |     | |    +-------+
     | +------------+    |     +------------+     | |
     |                   |       /  |  \          | |
     |                   +------------------------+ |
     +----------------------------------------------+
                              /     |      \
                             /      |       \
                 +----------+ +---------+ +----------+
                 | Member 1 | |   ...   | | Member n |
                 +----------+ +---------+ +----------+

          Figure 1 - Key Distribution Architecture



Turner                   Expires July 2003                         5
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


   A GLA may support multiple KMAs. A GLA in general supports only one
   GMA, but the GMA may support multiple GLs. Multiple KMAs may support
   a GMA in the same fashion as GLAs support multiple KMAs. Assigning a
   particular KMA to a GL is beyond the scope of this document.

   Modeling real world GL implementations shows that there are very
   restrictive GLs, where a human determines GL membership, and very
   open GLs, where there are no restrictions on GL membership. To
   support this spectrum, the mechanism described herein supports both
   managed (i.e., where access control is applied) and unmanaged (i.e.,
   where no access control is applied) GLs. The access control
   mechanism for managed lists is beyond the scope of this document.
   Note: If the distribution for the list is performed by an entity
   other than the originator (e.g., an MLA distributing a mail
   message), this entity can also enforce access control rules.

   In either case, the GL must initially be constructed by an entity
   hereafter called the Group List Owner (GLO). There may be multiple
   entities who 'own' the GL and who are allowed to make changes to the
   GL's properties or membership. The GLO determines if the GL will be
   managed or unmanaged and is the only entity that may delete the GL.
   GLO(s) may or may not be GL members. GLO(s) may also set up lists
   that are closed, where the GLO solely determines GL membership.

   Though Figure 1 depicts the GLA as encompassing both the KMA and GMA
   functions, the two functions could be supported by the same entity
   or they could be supported by two different entities. If two
   entities are used, they could be located on one or two platforms.
   There is however a close relationship between the KMA and GMA
   functions. If the GMA stores all information pertaining to the GLs
   and the KMA merely generates keys, a corrupted GMA could cause
   havoc. To protect against a corrupted GMA, the KMA would be forced
   to double check the requests it receives to ensure the GMA did not
   tamper with them. These duplicative checks blur the functionality of
   the two components together. For this reason, the interactions
   between the KMA and GMA are beyond the scope of this document.
   Proprietary mechanisms may be used to separate the functions by
   strengthening the trust relationship between the two entities.
   Henceforth, the distinction between the two agents is not discussed
   further; the term GLA will be used to address both functions. It
   should be noted that corrupt GLA can always cause havoc.


3 Protocol Interactions

   There are existing mechanisms (e.g., listserv and majordomo) to
   manage GLs; however, this document does not address securing these
   mechanisms, as they are not standardized. Instead, it defines
   protocol interactions, as depicted in Figure 2, used by the GL
   members, GLA, and GLO(s) to manage GLs and distribute shared KEKs.
   The interactions have been divided into administration messages and


Turner                   Expires July 2003                         6
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   distribution messages. The administrative messages are the request
   and response messages needed to setup the GL, delete the GL, add
   members to the GL, delete members of the GL, request a group rekey,
   add owners to the GL, remove owners of the GL, indicate a group key
   compromise, refresh a group key, interrogate the GLA, and update
   member's and owner's public key certificates. The distribution
   messages are the messages that distribute the shared KEKs. The
   following sections describe the ASN.1 for both the administration
   and distribution messages. Section 4 describes how to use the
   administration messages, and section 5 describes how to use the
   distribution messages.

                    +-----+                   +----------+
                    | GLO | <---+      +----> | Member 1 |
                    +-----+     |      |      +----------+
                                |      |
                 +-----+ <------+      |      +----------+
                 | GLA | <-------------+----> |   ...    |
                 +-----+               |      +----------+
                                       |
                                       |      +----------+
                                       +----> | Member n |
                                              +----------+

                      Figure 2 - Protocol Interactions





























Turner                   Expires July 2003                         7
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

3.1 Control Attributes

   To avoid creating an entirely new protocol, the Certificate
   Management Messages over CMS (CMC) protocol was chosen as the
   foundation of this protocol. The main reason for the choice was the
   layering aspect provided by CMC where one or more control attributes
   are included in message, protected with CMS, to request or respond
   to a desired action. The CMC PKIData structure is used for requests,
   and the CMC ResponseBody structure is used for responses. The
   content-types PKIData and PKIResponse are then encapsulated in CMS's
   SignedData or EnvelopedData, or a combination of the two (see
   section 3.2). The following are the control attributes defined in
   this document:

         Control
        Attribute          OID          Syntax
   -------------------  ----------- -----------------
    glUseKEK            id-skd 1    GLUseKEK
    glDelete            id-skd 2    GeneralName
    glAddMember         id-skd 3    GLAddMember
    glDeleteMember      id-skd 4    GLDeleteMember
    glRekey             id-skd 5    GLRekey
    glAddOwner          id-skd 6    GLOwnerAdministration
    glRemoveOwner       id-skd 7    GLOwnerAdministration
    glkCompromise       id-skd 8    GeneralName
    glkRefresh          id-skd 9    GLKRefresh
    glaQueryRequest     id-skd 11   GLAQueryRequest
    glaQueryResponse    id-skd 12   GLAQueryResponse
    glProvideCert       id-skd 13   GLManageCert
    glUpdateCert        id-skd 14   GLManageCert
    glKey               id-skd 15   GLKey

   In the following conformance tables, the column headings have the
   following meanings: O for originate, R for receive, and F for
   forward. There are three types of implementations: GLOs, GLAs, and
   GL members. The GLO is an optional component hence all GLO O and GLO
   R messages are optional, and GLA F messages are optional. The first
   table includes messages that conformant implementions MUST support.
   The second table includes messages that MAY be implemented. The
   second table should be interpreted as follows: if the control
   attribute is implemented by a component then it must be implemented
   as indicated. For example, if a GLA is implemented that supports the
   glAddMember control attribute, then it MUST support receiving the
   glAddMember message. Note that "-" means not applicable.










Turner                   Expires July 2003                         8
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


                             Required
          Implementation Requirement       |  Control
     GLO   |        GLA        | GL Member | Attribute
    O  R   |  O      R      F  |  O    R   |
   ------- | ----------------- | --------- | ----------
   MAY  -  | MUST    -     MAY |  -   MUST | glProvideCert
   MAY MAY |  -     MUST   MAY | MUST  -   | glUpdateCert
    -   -  | MUST    -      -  |  -   MUST | glKey

                             Optional
           Implementation Requirement      |  Control
     GLO   |        GLA        | GL Member | Attribute
    O   R  |  O      R      F  |  O    R   |
   ------- | ----------------- | --------- | ----------
   MAY  -  |  -     MAY     -  |  -    -   | glUseKEK
   MAY  -  |  -     MAY     -  |  -    -   | glDelete
   MAY MAY |  -     MUST   MAY | MUST  -   | glAddMember
   MAY MAY |  -     MUST   MAY | MUST  -   | glDeleteMember
   MAY  -  |  -     MAY     -  |  -    -   | glRekey
   MAY  -  |  -     MAY     -  |  -    -   | glAddOwner
   MAY  -  |  -     MAY     -  |  -    -   | glRemoveOwner
   MAY MAY |  -     MUST   MAY | MUST  -   | glkCompromise
   MAY  -  |  -     MUST    -  | MUST  -   | glkRefresh
   MAY  -  |  -     SHOULD  -  | MAY   -   | glaQueryRequest
    -  MAY | SHOULD  -      -  |  -   MAY  | glaQueryResponse

   glaQueryResponse and gloResponse are carried in the CMC PKIResponse
   content-type, all other control attributes are carried in the CMC
   PKIData content-type. The exception is glUpdateCert which can be
   carried in either PKIData or PKIResponse.

   Success and failure messages use CMC (see section 3.2.4).


3.1.1 GL USE KEK

   The GLO uses glUseKEK to request that a shared KEK be assigned to a
   GL. glUseKEK messages MUST be signed by the GLO. The glUseKEK
   control attribute has the syntax GLUseKEK:

   GLUseKEK ::= SEQUENCE {
     glInfo                GLInfo,
     glOwnerInfo           SEQUENCE SIZE (1..MAX) OF GLOwnerInfo,
     glAdministration      GLAdministration DEFAULT 1,
     glKeyAttributes       GLKeyAttributes OPTIONAL }








Turner                   Expires July 2003                         9
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   GLInfo ::= SEQUENCE {
     glName     GeneralName,
     glAddress  GeneralName }

   GLOwnerInfo ::= SEQUENCE {
     glOwnerName     GeneralName,
     glOwnerAddress  GeneralName,
     certificate     Certificates OPTIONAL }

   Certificates ::= SEQUENCE {
      pKC                [0] Certificate OPTIONAL,
                                  -- See [PROFILE]
      aC                 [1] SEQUENCE SIZE (1.. MAX) OF
                             AttributeCertificate OPTIONAL,
                                  -- See [ACPROF]
      certPath           [2] CertificateSet OPTIONAL }
                                  -- From [CMS]

   -- CertificateSet and CertificateChoices are included only
   -- for illustrative purposes as they are imported from [CMS].

   CertificateSet ::= SET SIZE (1..MAX) OF CertificateChoices

   -- CertificateChoices supports X.509 public key certificates in
   -- certificates and v2 attribute certificates in v2AttrCert.

   GLAdministration ::= INTEGER {
     unmanaged  (0),
     managed    (1),
     closed     (2) }

   GLKeyAttributes ::= SEQUENCE {
     rekeyControlledByGLO       [0] BOOLEAN DEFAULT FALSE,
     recipientsNotMutuallyAware [1] BOOLEAN DEFAULT TRUE,
     duration                   [2] INTEGER DEFAULT 0,
     generationCounter          [3] INTEGER DEFAULT 2,
     requestedAlgorithm         [4] AlgorithmIdentifier
                                 DEFAULT id-alg-CMS3DESwrap }


   The fields in GLUseKEK have the following meaning:

     - glInfo indicates the name of the GL in glName and the address of
       the GL in glAddress. The glName and glAddress can be the same,
       but this is not always the case. Both the name and address MUST
       be unique for a given GLA.

     - glOwnerInfo indicates:

       - glOwnerName indicates the name of the owner of the GL. One of
         the names in glOwnerName MUST match one of the names in the
         certificate (either the subject distinguished name or one of


Turner                   Expires July 2003                        10
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

         the subject alternative names) used to sign this
         SignedData.PKIData creating the GL (i.e., the immediate
         signer).

       - glOwnerAddress indicates the address of the owner of the GL.

       - certificates MAY be included. It contains the following three
         fields:

         - certificates.pKC includes the encryption certificate for the
           GLO. It will be used to encrypt responses for the GLO.

         - certificates.aC MAY be included to convey any attribute
           certificate (see [ACPROF]) associated with the encryption
           certificate of the GLO included in certificates.pKC.

         - certificates.certPath MAY also be included to convey
           certificates that might aid the recipient in constructing
           valid certification paths for the certificate provided in
           certificates.pKC and the attribute certificates provided in
           certificates.aC. Theses certificates are optional because
           they might already be included elsewhere in the message
           (e.g., in the outer CMS layer).

     - glAdministration indicates how the GL ought to be administered.
       The default is for the list to be managed. Three values are
       supported for glAdministration:

       - Unmanaged - When the GLO sets glAdministration to unmanaged,
         it is allowing prospective members to request addition and
         deletion from the GL without GLO intervention.

       - Managed - When the GLO sets glAdministration to managed, it is
         allowing prospective members to request addition and deletion
         from the GL, but the request is redirected by the GLA to GLO
         for review. The GLO makes the determination as to whether to
         honor the request.

       - Closed - When the GLO sets glAdministration to closed, it is
         not allowing prospective members to request addition or
         deletion from the GL. The GLA will only accept glAddMember and
         glDeleteMember requests from the GLO.

     - glKeyAttributes indicates the attributes the GLO wants the GLA
       to assign to the shared KEK. If this field is omitted, GL rekeys
       will be controlled by the GLA, the recipients are allowed to
       know about one another, the algorithm will be Triple-DES (see
       paragrpah 7), the shared KEK will be valid for a calendar month
       (i.e., first of the month until the last day of the month), and
       two shared KEKs will be distributed initially. The fields in
       glKeyAttributes have the following meaning:



Turner                   Expires July 2003                        11
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

       - rekeyControlledByGLO indicates whether the GL rekey messages
         will be generated by the GLO or by the GLA. The default is for
         the GLA to control rekeys. If GL rekey is controlled by the
         GLA, the GL will continue to be rekeyed until the GLO deletes
         the GL or changes the GL rekey to be GLO controlled.

       - recipientsNotMutuallyAware indicates that the GLO wants the
         GLA to distribute the shared KEK individually for each of the
         GL members (i.e., a separate glKey message is sent to each
         recipient). The default is for separate glKey message not to
         be required.

         NOTE: This supports lists where one member does not know the
         identities of the other members. For example, a list is
         configured granting submit permissions to only one member. All
         other members are 'listening.' The security policy of the list
         does not allow the members to know who else is on the list. If
         a glKey is constructed for all of the GL members, information
         about each of the members may be derived from the information
         in RecipientInfos. To make sure the glkey message does not
         divulge information about the other recipients, a separate
         glKey message would be sent to each GL member.

       - duration indicates the length of time (in days) during which
         the shared KEK is considered valid. The value zero (0)
         indicates that the shared KEK is valid for a calendar month in
         the UTC Zulu time zone. For example if the duration is zero
         (0), if the GL shared KEK is requested on July 24, the first
         key will be valid until the end of July and the next key will
         be valid for the entire month of August. If the value is not
         zero (0), the shared KEK will be valid for the number of days
         indicated by the value. For example, if the value of duration
         is seven (7) and the shared KEK is requested on Monday but not
         generated until Tuesday (2359); the shared KEKs will be valid
         from Tuesday (2359) to Tuesday (2359). The exact time of the
         day is determined when the key is generated.

       - generationCounter indicates the number of keys the GLO wants
         the GLA to distribute. To ensure uninterrupted function of the
         GL two (2) shared KEKs at a minimum MUST be initially
         distributed. The second shared KEK is distributed with the
         first shared KEK, so that when the first shared KEK is no
         longer valid the second key can be used. If the GLA controls
         rekey then it also indicates the number of shared KEKs the GLO
         wants outstanding at any one time. See sections 4.5 and 5 for
         more on rekey.

       - requestedAlgorithm indicates the algorithm and any parameters
         the GLO wants the GLA to use with the shared KEK. The
         parameters are conveyed via the SMIMECapabilities attribute
         (see [MSG]). See section 6 for more on algorithms.



Turner                   Expires July 2003                        12
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


3.1.2 Delete GL

   GLOs use glDelete to request that a GL be deleted from the GLA. The
   glDelete control attribute has the syntax GeneralName. The glDelete
   message MUST be signed by the GLO. The name of the GL to be deleted
   is included in GeneralName:

   DeleteGL ::= GeneralName


3.1.3 Add GL Member

   GLOs use the glAddMember to request addition of new members, and
   prospective GL members use the glAddMember to request their own
   addition to the GL. The glAddMember message MUST be signed by either
   the GLO or the prospective GL member. The glAddMember control
   attribute has the syntax GLAddMember:

   GLAddMember ::= SEQUENCE {
     glName    GeneralName,
     glMember  GLMember }

   GLMember ::= SEQUENCE {
     glMemberName     GeneralName,
     glMemberAddress  GeneralName OPTIONAL,
     certificates     Certificates OPTIONAL }

   Certificates ::= SEQUENCE {
      pKC                [0] Certificate OPTIONAL,
                                  -- See [PROFILE]
      aC                 [1] SEQUENCE SIZE (1.. MAX) OF
                             AttributeCertificate OPTIONAL,
                                  -- See [ACPROF]
      certPath           [2] CertificateSet OPTIONAL }
                                  -- From [CMS]

   -- CertificateSet and CertificateChoices are included only
   -- for illustrative purposes as they are imported from [CMS].

   CertificateSet ::= SET SIZE (1..MAX) OF CertificateChoices

   -- CertificateChoices supports X.509 public key certificates in
   -- certificates and v2 attribute certificates in v2AttrCert.

   The fields in GLAddMembers have the following meaning:

     - glName indicates the name of the GL to which the member should
       be added.

     - glMember indicates the particulars for the GL member. Both of
       the following fields must be unique for a given GL:


Turner                   Expires July 2003                        13
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


       - glMemberName indicates the name of the GL member.

       - glMemberAddress indicates the GL member's address. It MUST be
          included.

         Note: In some instances the glMemberName and glMemberAddress
         may be the same, but this is not always the case.

       - certificates MUST be included. It contains the following three
          fields:

         - certificates.pKC includes the member's encryption
           certificate. It will be used, at least initially, to encrypt
           the shared KEK for that member. If the message is generated
           by a prospective GL member, the pKC MUST be included. If the
           message is generated by a GLO, the pKC SHOULD be included.

         - certificates.aC MAY be included to convey any attribute
           certificate (see [ACPROF]) associated with the member's
           encryption certificate.

         - certificates.certPath MAY also be included to convey
           certificates that might aid the recipient in constructing
           valid certification paths for the certificate provided in
           certificates.pKC and the attribute certificates provided in
           certificates.aC. These certificates are optional because
           they might already be included elsewhere in the message
           (e.g., in the outer CMS layer).


3.1.4 Delete GL Member

   GLOs use the glDeleteMember to request deletion of GL members, and
   GL members use the glDeleteMember to request their own removal from
   the GL. The glDeleteMember message MUST be signed by either the GLO
   or the GL member. The glDeleteMember control attribute has the
   syntax GLDeleteMember:

   GLDeleteMember ::= SEQUENCE {
     glName            GeneralName,
     glMemberToDelete  GeneralName }


   The fields in GLDeleteMembers have the following meaning:

     - glName indicates the name of the GL from which the member should
       be removed.

     - glMemberToDelete indicates the name or address of the member to
       be deleted.



Turner                   Expires July 2003                        14
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


3.1.5 Rekey GL

   GLOs use the glRekey to request a GL rekey. The glRekey message MUST
   be signed by the GLO. The glRekey control attribute has the syntax
   GLRekey:

   GLRekey ::= SEQUENCE {
     glName              GeneralName,
     glAdministration    GLAdministration OPTIONAL,
     glNewKeyAttributes  GLNewKeyAttributes OPTIONAL,
     glRekeyAllGLKeys    BOOLEAN OPTIONAL }

   GLNewKeyAttributes ::= SEQUENCE {
     rekeyControlledByGLO       [0] BOOLEAN OPTIONAL,
     recipientsNotMutuallyAware [1] BOOLEAN OPTIONAL,
     duration                   [2] INTEGER OPTIONAL,
     generationCounter          [3] INTEGER OPTIONAL,
     requestedAlgorithm         [4] AlgorithmIdentifier OPTIONAL }


   The fields in GLRekey have the following meaning:

     - glName indicates the name of the GL to be rekeyed.

     - glAdministration indicates if there is any change to how the GL
       should be administered. See section 3.1.1 for the three options.
       This field is only included if there is a change from the
       previously registered administered.

     - glNewKeyAttributes indicates whether the rekey of the GLO is
       controlled by the GLA or GL, what algorithm and parameters the
       GLO wishes to use, the duration of the key, and how many keys
       will be issued. The field is only included if there is a change
       from the previously registered glKeyAttributes.

     - glRekeyAllGLKeys indicates whether the GLO wants all of the
       outstanding GL's shared KEKs rekeyed. If it is set to TRUE then
       all outstanding KEKs MUST be issued. If it is set to FALSE then
       all outstanding KEKs need not be resissued.


3.1.6 Add GL Owner

   GLOs use the glAddOwner to request that a new GLO be allowed to
   administer the GL. The glAddOwner message MUST be signed by a
   registered GLO. The glAddOwner control attribute has the syntax
   GLOwnerAdministration:

   GLOwnerAdministration ::= SEQUENCE {
     glName       GeneralName,
     glOwnerInfo  GLOwnerInfo }


Turner                   Expires July 2003                        15
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


   The fields in GLAddOwners have the following meaning:

     - glName indicates the name of the GL to which the new GLO should
       be associated.

     - glOwnerInfo indicates the name, address, and certificates of the
       new GLO. As this message includes names of new GLOs, the
       certificates.pKC MUST be included, and it MUST include the
       encryption certificate of the new GLO.


3.1.7 Remove GL Owner

   GLOs use the glRemoveOwner to request that a GLO be disassociated
   with the GL. The glRemoveOwner message MUST be signed by a
   registered GLO. The glRemoveOwner control attribute has the syntax
   GLOwnerAdministration:

   GLOwnerAdministration ::= SEQUENCE {
     glName       GeneralName,
     glOwnerInfo  GLOwnerInfo }

   The fields in GLRemoveOwners have the following meaning:

     - glName indicates the name of the GL to which the GLO should be
       disassociated.

     - glOwnerInfo indicates the name and address of the GLO to be
       removed. The certificates field SHOULD be omitted, as it will be
       ignored.


3.1.8 GL Key Compromise

   GL members and GLOs use glkCompromise to indicate that the shared
   KEK possessed has been compromised. The glKeyCompromise control
   attribute has the syntax GeneralName. This message is always
   redirected by the GLA to the GLO for further action. The
   glkCompromise MAY be included in an EnvelopedData generated with the
   compromised shared KEK. The name of the GL to which the compromised
   key is associated with is placed in GeneralName:

   GLKCompromise ::= GeneralName


3.1.9 GL Key Refresh

   GL members use the glkRefresh to request that the shared KEK be
   redistributed to them. The glkRefresh control attribute has the
   syntax GLKRefresh.



Turner                   Expires July 2003                        16
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   GLKRefresh ::= SEQUENCE {
     glName  GeneralName,
     dates   SEQUENCE SIZE (1..MAX) OF Date }

   Date ::= SEQUENCE {
     start GeneralizedTime,
     end   GeneralizedTime OPTIONAL }

   The fields in GLKRefresh have the following meaning:

     - glName indicates the name of the GL for which the GL member
       wants shared KEKs.

     - dates indicates a date range for keys the GL member wants. The
       start field indicates the first date the GL member wants and the
       end field indicates the last date. The end date MAY be omitted
       to indicate the GL member wants all keys from the specified
       start date to the current date. Note that a procedural mechanism
       is needed to restrict users from accessing messages that they
       are not allowed to access.


3.1.10 GLA Query Request and Response

   There are situations where GLOs and GL members may need to determine
   some information from the GLA about the GL. GLOs and GL members use
   the glaQueryRequest, defined in section 3.1.10.1, to request
   information and GLAs use the glaQueryResponse, defined in section
   3.1.10.2, to return the requested information. Section 3.1.10.3
   includes one request and response type and value; others may be
   defined in additional documents.


3.1.10.1 GLA Query Request

   GLOs and GL members use the glaQueryRequest to ascertain information
   about the GLA. The glaQueryRequest control attribute has the syntax
   GLAQueryRequest:

   GLAQueryRequest ::= SEQUENCE {
     glaRequestType   OBJECT IDENTIFIER,
     glaRequestValue  ANY DEFINED BY glaRequestType }


3.1.10.2 GLA Query Response

   GLAs return the glaQueryResponse after receiving a GLAQueryRequest.
   The glaQueryResponse MUST be signed by a GLA. The glaQueryResponse
   control attribute has the syntax GLAQueryResponse:





Turner                   Expires July 2003                        17
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   GLAQueryResponse ::= SEQUENCE {
     glaResponseType   OBJECT IDENTIFIER,
     glaResponseValue  ANY DEFINED BY glaResponseType }


3.1.10.3 Request and Response Types

   Request and Responses are registered as a pair under the following
   object identifier arc:

   id-cmc-glaRR OBJECT IDENTIFIER ::= { id-cmc 99 }

   This document defines one request/response pair for GL members and
   GLOs to query the GLA for the list of algorithm it supports.  The
   following object identifier (OID) is included in the glaQueryType
   field:

   id-cmc-gla-skdAlgRequest OBJECT IDENTIFIER ::={ id-cmc-glaRR 1 }

   SKDAlgRequest ::= NULL

   If the GLA supports GLAQueryRequest and GLAQueryResponse messages,
   the GLA may return the following OID in the glaQueryType field:

   id-cmc-gla-skdAlgResponse OBJECT IDENTIFIER ::= { id-cmc-glaRR 2 }

   The glaQueryValue has the form of the smimeCapabilities attributes
   as defined in [MSG].


3.1.12 Provide Cert

   GLAs and GLOs use the glProvideCert to request that a GL member
   provide an updated or new encryption certificate. The glProvideCert
   message MUST be signed by either GLA or GLO. If the GL member's PKC
   has been revoked, the GLO or GLA MUST NOT use it to generate the
   EnvelopedData that encapsulates the glProvideCert request. The
   glProvideCert control attribute has the syntax GLManageCert:

   GLManageCert ::= SEQUENCE {
     glName    GeneralName,
     glMember  GLMember }

   The fields in GLManageCert have the following meaning:

     - glName indicates the name of the GL to which the GL member's new
       certificate is to be associated.

     - glMember indicates particulars for the GL member:

       - glMemberName indicates the GL member's name.



Turner                   Expires July 2003                        18
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

       - glMemberAddress indicates the GL member's address. It MAY be
         omitted.

       - certificates SHOULD be omitted.


3.1.13 Update Cert

   GL members and GLOs use the glUpdateCert to provide a new
   certificate for the GL. GL members can generate an unsolicited
   glUpdateCert or generate a response glUpdateCert as a result of
   receiveing a glProvideCert message. GL members MUST sign the
   glUpdateCert. If the GL member's encryption certificate has been
   revoked, the GL member MUST NOT use it to generate the EnvelopedData
   that encapsulates the glUpdateCert request or response. The
   glUpdateCert control attribute has the syntax GLManageCert:

   GLManageCert ::= SEQUENCE {
     glName    GeneralName,
     glMember  GLMember }


   The fields in GLManageCert have the following meaning:

     - glName indicates the name of the GL to which the GL member's new
       certificate should be associated.

     - glMember indicates the particulars for the GL member:

       - glMemberName indicates the GL member's name.

       - glMemberAddress indicates the GL member's address. It MAY be
         omitted.

       - certificates MAY be omitted if the GLManageCert message is
         sent to request the GL member's certificate; otherwise, it
         MUST be included. It includes the following three fields:

         - certificates.pKC includes the member's encryption
           certificate that will be used to encrypt the shared KEK for
           that member.

         - certificates.aC MAY be included to convey one or more
           attribute certificate associated with the member's
           encryption certificate.

         - certificates.certPath MAY also be included to convey
           certificates that might aid the recipient in constructing
           valid certification paths for the certificate provided in
           certificates.pKC and the attribute certificates provided in
           certificates.aC. These certificates is optional because they



Turner                   Expires July 2003                        19
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

           might already be included elsewhere in the message (e.g., in
           the outer CMS layer).


3.1.14 GL Key

   The GLA uses the glKey to distribute the shared KEK. The glKey
   message MUST be signed by the GLA. The glKey control attribute has
   the syntax GLKey:

   GLKey ::= SEQUENCE {
     glName        GeneralName,
     glIdentifier  KEKIdentifier,      -- See [CMS]
     glkWrapped    RecipientInfos,     -- See [CMS]
     glkAlgorithm  AlgorithmIdentifier,
     glkNotBefore  GeneralizedTime,
     glkNotAfter   GeneralizedTime }

   -- KEKIdentifier is included only for illustrative purposes as
   -- it is imported from [CMS].

   KEKIdentifier ::= SEQUENCE {
     keyIdentifier OCTET STRING,
     date GeneralizedTime OPTIONAL,
     other OtherKeyAttribute OPTIONAL }


   The fields in GLKey have the following meaning:

     - glName is the name of the GL.

     - glIdentifier is the key identifier of the shared KEK. See
       paragraph 6.2.3 of [CMS] for a description of the subfields.

     - glkWrapped is the wrapped shared KEK for the GL for a particular
       duration. The RecipientInfos MUST be generated as specified in
       section 6.2 of [CMS]. The ktri RecipientInfo choice MUST be
       supported. The key in the EncryptedKey field (i.e., the
       distributed shared KEK) MUST be generated according to the
       section concerning random number generation in the security
       considerations of [CMS].

     - glkAlgorithm identifies the algorithm the shared KEK is used
       with. Since no encrypted data content is being conveyed at this
       point, the parameters encoded with the algorithm should be the
       structure defined for smimeCapabilities rather than encrypted
       content.

     - glkNotBefore indicates the date at which the shared KEK is
       considered valid. GeneralizedTime values MUST be expressed in
       UTC (Zulu) and MUST include seconds (i.e., times are



Turner                   Expires July 2003                        20
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

       YYYYMMDDHHMMSSZ), even where the number of seconds is zero.
       GeneralizedTime values MUST NOT include fractional seconds.

     - glkNotAfter indicates the date after which the shared KEK is
       considered invalid. GeneralizedTime values MUST be expressed in
       UTC (Zulu) and MUST include seconds (i.e., times are
       YYYYMMDDHHMMSSZ), even where the number of seconds is zero.
       GeneralizedTime values MUST NOT include fractional seconds.

   If the glKey message is in response to a glUseKEK message:

     - The GLA MUST generate separate glKey messages for each recipient
       if glUseKEK.glKeyAttributes.recipientsNotMutuallyAware is set to
       TRUE. For each recipient, you want to generate a message that
       contains that recipient's key (i.e., one message with one
       attribute).

     - The GLA MUST generate the requested number of glKey messages.
       The value in glUseKEK.glKeyAttributes.generationCounter
       indicates the number of glKey messages requested.

   If the glKey message is in response to a glRekey message:

     - The GLA MUST generate separate glKey messages for each recipient
       if glRekey.glNewKeyAttributes.recipientsNotMutuallyAware is set
       to TRUE.

     - The GLA MUST generate the requested number of glKey messages.
       The value in glUseKEK.glKeyAttributes.generationCounter
       indicates the number of glKey messages requested.

     - The GLA MUST generate one glKey messagefor each outstanding
       shared KEKs for the GL when glRekeyAllGLKeys is set to TRUE.

   If the glKey message was not in response to a glRekey or glUseKEK
   (e.g., where the GLA controls rekey):

     - The GLA MUST generate separate glKey messages for each recipient
       when glUseKEK.glNewKeyAttributes.recipientsNotMutuallyAware that
       set up the GL was set to TRUE.

     - The GLA MAY generate glKey messages prior to the duration on the
       last outstanding shared KEK expiring, where the number of glKey
       messages generated is generationCounter minus one (1). Other
       distribution mechanisms can also be supported to support this
       functionality.


3.2 Use of CMC, CMS, and PKIX

   The following sections outline the use of CMC, CMS, and the PKIX
   certificate and CRL profile.


Turner                   Expires July 2003                        21
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution



3.2.1 Protection Layers

   The following sections outline the protection required for the
   control attributes defined in this document.

   Note: There are multiple ways to encapsulate SignedData and
   EnvelopedData. The first is to use a MIME wrapper around each
   ContentInfo, as specified in [MSG]. The second is to not use a MIME
   wrapper around each ContentInfo, as specified in Transporting S/MIME
   Objects in X.400 [X400TRANS].


3.2.1.1 Minimum Protection

   At a minimum, a SignedData MUST protect each request and response
   encapsulated in PKIData and PKIResponse. The following is a
   depiction of the minimum wrappings:

     Minimum Protection
     ------------------
     SignedData
      PKIData or PKIResponse
       controlSequence


   Prior to taking any action on any request or response SignedData(s)
   MUST be processed according to [CMS].


3.2.1.2 Additional Protection

   An additional EnvelopedData MAY also be used to provide
   confidentiality of the request and response. An additional
   SignedData MAY also be added to provide authentication and integrity
   of the encapsulated EnvelopedData. The following is a depiction of
   the optional additional wrappings:

                                    Authentication and Integrity
     Confidentiality Protection     of Confidentiality Protection
     --------------------------     -----------------------------
     EnvelopedData                  SignedData
      SignedData                     EnvelopedData
       PKIData or PKIResponse         SignedData
        controlSequence                PKIData or PKIResponse
                                        controlSequence


   If an incoming message is encrypted, the confidentiality of the
   message MUST be preserved. All EnvelopedData objects MUST be
   processed as specified in [CMS]. If a SignedData is added over an


Turner                   Expires July 2003                        22
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   EnvelopedData, a ContentHints attribute SHOULD be added. See
   paragraph 2.9 of Extended Security Services for S/MIME [ESS].

   If the GLO or GL member applies confidentiality to a request, the
   EnvelopedData MUST include the GLA as a recipient. If the GLA
   forwards the GL member request to the GLO, then the GLA MUST decrypt
   the EnvelopedData content, strip the confidentiality layer, and
   apply its own confidentiality layer as an EnvelopedData with the GLO
   as a recipient.


3.2.2 Combining Requests and Responses

   Multiple requests and response corresponding to a GL MAY be included
   in one PKIData.controlSequence or PKIResponse.controlSequence.
   Requests and responses for multiple GLs MAY be combined in one
   PKIData or PKIResponse by using PKIData.cmsSequence and
   PKIResponse.cmsSequence. A separate cmsSequence MUST be used for
   different GLs. That is, requests corresponding to two different GLs
   are included in different cmsSequences. The following is a diagram
   depicting multiple requests and responses combined in one PKIData
   and PKIResponse:

         Multiple Request and Response
     Request                        Response
     -------                        --------
     SignedData                      SignedData
      PKIData                         PKIResponse
       cmsSequence                     cmsSequence
        SignedData                      SignedData
         PKIData                         PKIResponse
          controlSequence                 controlSequence
           One or more requests          One or more responses
           corresponding to one GL         corresponding to one GL
        SignedData                      SignedData
         PKIData                         PKIResponse
          controlSequence                 controlSequence
           One or more requests          One or more responses
           corresponding to another GL    corresponding to another GL















Turner                   Expires July 2003                        23
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   When applying confidentiality to multiple requests and responses,
   all of the requests/response MAY be included in one EnvelopedData.
   The following is a depiction:

     Confidentiality of Multiple Requests and Responses
     Wrapped Together
     ----------------
     EnvelopedData
      SignedData
       PKIData
        cmsSequence
         SignedData
          PKIResponse
           controlSequence
            One or more requests
            corresponding to one GL
         SignedData
          PKIData
           controlSequence
            One or more requests
            corresponding to one GL


   Certain combinations of requests in one PKIData.controlSequence and
   one PKIResponse.controlSequence are not allowed. The invalid
   combinations listed here MUST NOT be generated:

        Invalid Combinations
     ---------------------------
     glUseKEK   & glDeleteMember
     glUseKEK   & glRekey
     glUseKEK   & glDelete
     glDelete   & glAddMember
     glDelete   & glDeleteMember
     glDelete   & glRekey
     glDelete   & glAddOwner
     glDelete   & glRemoveOwner


   To avoid unnecessary errors, certain requests and responses SHOULD
   be processed prior to others. The following is the priority of
   message processing, if not listed it is an implementation decision
   as to which to process first: glUseKEK before glAddMember, glRekey
   before glAddMember, and glDeleteMember before glRekey. Note that
   there is a processing priority but it does not imply an ordering
   within the content.


3.2.3 GLA Generated Messages

   When the GLA generates a success or fail message, it generates one
   for each request. SKDFailInfo values of unsupportedDuration,


Turner                   Expires July 2003                        24
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   unsupportedDeliveryMethod, unsupportedAlgorithm, noGLONameMatch,
   nameAlreadyInUse, alreadyAnOwner, notAnOwner are not returned to GL
   members.

   If GLKeyAttributes.recipientsNotMutuallyAware is set to TRUE, a
   separate PKIResponse.cMCStatusInfoExt and PKIData.glKey MUST be
   generated for each recipient. However, it is valid to send one
   message with multiple attributes to the same recipient.

   If the GL has multiple GLOs, the GLA MUST send cMCStatusInfoExt
   messages to the requesting GLO. The mechanism to determine which GLO
   made the request is beyond the scope of this document.

   If a GL is managed and the GLA receives a glAddMember,
   glDeleteMember, or glkCompromise message, the GLA redirects the
   request to the GLO for review. An additional, SignedData MUST be
   applied to the redirected request as follows:

     GLA Forwarded Requests
     ----------------------
     SignedData
      PKIData
        cmsSequence
          SignedData
           PKIData
            controlSequence


3.2.4 CMC Control Attributes and CMS Signed Attributes

   CMC carries control attributes as CMS signed attributes. These
   attributes are defined in [CMC] and [CMS]. Some of these attributes
   are REQUIRED; others are OPTIONAL. The required attributes are as
   follows: cMCStatusInfoExt transactionId, senderNonce,
   recipientNonce, queryPending, and signingTime. Other attributes can
   also be used; however, their use is beyond the scope of this
   document. The following sections specify requirements in addition to
   those already specified in [CMC] and [CMS].


3.2.4.1 Using cMCStatusInfoExt

   cMCStatusInfoExt is used by GLAs to indicate to GLOs and GL members
   that a request was unsuccessful. Two classes of failure codes are
   used within this document. Errors from the CMCFailInfo list, found
   in section 5.1.4 of CMC, are encoded as defined in CMC. Error codes
   defined in this document are encoded using the ExtendedFailInfo
   field of the cmcStatusInfoExt structure. If the same failure code
   applies to multiple commands, a single cmcStatusInfoExt structure
   can be used with multiple items in cMCStatusInfoExt.bodyList. The
   GLA MAY also return other pertinent information in statusString. The
   SKDFailInfo object identifier and value are:


Turner                   Expires July 2003                        25
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


   id-cet-skdFailInfo OBJECT IDENTIFIER ::= { iso(1)
     identified-organization(3) dod(6) internet(1) security(5)
     mechanisms(5) pkix(7) cet(15) skdFailInfo(1) }

   SKDFailInfo ::= INTEGER {
     unspecified           (0),
     closedGL              (1),
     unsupportedDuration   (2),
     noGLACertificate      (3),
     invalidCert           (4),
     unsupportedAlgorithm  (5),
     noGLONameMatch        (6),
     invalidGLName         (7),
     nameAlreadyInUse      (8),
     noSpam                (9),
     deniedAccess          (10),
     alreadyAMember        (11),
     notAMember            (12),
     alreadyAnOwner        (13),
     notAnOwner            (14) }

   The values have the following meaning:

     - unspecified indicates that the GLA is unable or unwilling to
       perform the requested action and does not want to indicate the
       reason.

     - closedGL indicates that members can only be added or deleted by
       the GLO.

     - unsupportedDuration indicates the GLA does not support
       generating keys that are valid for the requested duration.

     - noGLACertificate indicates that the GLA does not have a valid
       certificate.

     - invalidCert indicates the member's encryption certificate was
       not verifiable (i.e., signature did not validate, certificate's
       serial number present on a CRL, expired, etc.).

     - unsupportedAlgorithm indicates the GLA does not support the
       requested algorithm.

     - noGLONameMatch indicates that one of the names in the
       certificate used to sign a request does not match the name of a
       registered GLO.

     - invalidGLName indicates the GLA does not support the glName
       present in the request.




Turner                   Expires July 2003                        26
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     - nameAlreadyInUse indicates the glName is already assigned on the
       GLA.

     - noSpam indicates the prospective GL member did not sign the
       request (i.e., if the name in glMember.glMemberName does not
       match one of the names (either the subject distinguished name or
       one of the subject alternative names) in the certificate used to
       sign the request).

     - alreadyAMember indicates the prospective GL member is already a
       GL member.

     - notAMember indicates the prospective GL member to be deleted is
       not presently a GL member.

     - alreadyAnOwner indicates the prospective GLO is already a GLO.

     - notAnOwner indicates the prospective GLO to be deleted is not
       presently a GLO.

   cMCStatusInfoExt is used by GLAs to indicate to GLOs and GL members
   that a request was successfully completed. If the request was
   successful, the GLA returns a cMCStatusInfoExt response with
   cMCStatus.success and optionally other pertinent information in
   statusString.

   When the GL is managed and the GLO has reviewed GL member initiated
   glAddMember, glDeleteMember, and glkComrpomise requests, the GLO
   uses cMCStatusInfoExt to indicate the success or failure of the
   request. If the request is allowed, cMCStatus.success is returned
   and statusString is optionally returned to convey additional
   information. If the request is denied, cMCStatus.failed is returned
   and statusString is optionally returned to convey additional
   information. Additionally, the appropriate SKDFailInfo can be
   included in cMCStatusInfoExt.extendedFailInfo.

   cMCStatusInfoExt is used by GLOs, GLAs, and GL members to indicate
   that signature verification failed. If the signature failed to
   verify over any control attibute except a cMCStatusInfoExt, a
   cMCStatusInfoExt control attribute MUST be returned indicating
   cMCStatus.failed and otherInfo.failInfo.badMessageCheck. If the
   signature over the outermost PKIData failed, the bodyList value is
   zero (0). If the signature over any other PKIData failed the
   bodyList value is the bodyPartId value from the request or response.
   GLOs and GL members who receive cMCStatusInfoExt messages whose
   signatures are invalid SHOULD generate a new request to avoid
   badMessageCheck message loops.

   cMCStatusInfoExt is also used by GLOs and GLAs to indicate that a
   request could not be performed immediately. If the request could not
   be processed immediately by the GLA or GLO, the cMCStatusInfoExt
   control attribute MUST be returned indicating cMCStatus.pending and


Turner                   Expires July 2003                        27
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   otherInfo.pendInfo. When requests are redirected to the GLO for
   approval (for managed lists), the GLA MUST NOT return a
   cMCStatusInfoExt indicating query pending.

   cMCStatusInfoExt is also used by GLAs to indicate that a
   glaQueryRequest is not supported. If the glaQueryRequest is not
   supported, the cMCStatusInfoExt control attribute MUST be returned
   indicating cMCStatus.noSupport and statusString is optionally
   returned to convey additional information.

   cMCStatusInfoExt is also used by GL members, GLOs, and GLAs to
   indicate that the signingTime (see section 3.2.4.3) is not close
   enough to the locally specified time. If the local time is not close
   enough to the time specified in signingTime, a cMCStatus.failed and
   otherInfo.failInfo.badTime MAY be returned.


3.2.4.2 Using transactionId

   transactionId MAY be included by GLOs, GLAs, or GL members to
   identify a given transaction. All subsequent requests and responses
   related to the original request MUST include the same transactionId
   control attribute. If GL members include a transactionId and the
   request is redirected to the GLO, the GLA MAY include an additional
   transactionId in the outer PKIData. If the GLA included an
   additional transactionId in the outer PKIData, when the GLO
   generates a cMCStatusInfoExt response it generates one for the GLA
   with the GLA's transactionId and one for the GL member with the GL
   member's transactionId.


3.2.4.3 Using nonces and signingTime

   The use of nonces (see section 5.6 of [CMC]) and an indication of
   when the message was signed (see section 11.3 of [CMS]) can be used
   to provide application-level replay prevention.

   To protect the GL, all messages MUST include the signingTime
   attribute. Message originators and recipients can then use the time
   provided in this attribute to determine whether they have previously
   received the message.

   If the originating message includes a senderNonce, the response to
   the message MUST include the received senderNonce value as the
   recipientNonce and a new value as the senderNonce value in the
   response.

   If a GLA aggragates multiple messages together or forwards a message
   to a GLO, the GLA MAY optionally generate a new nonce value and
   include that in the wrapping message. When the response comes back
   from the GLO, the GLA builds a response to the originator(s) of the



Turner                   Expires July 2003                        28
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   message(s) and deals with each of the nonce values from the
   originating messages.

   For these attributes it is necessary to maintain state information
   on exchanges to compare one result to another. The time period for
   which this information is maintained in a local policy.


3.2.4.4 CMC and CMS Attribute Support Requirements

   The following are the implementation requirements for CMC control
   attributes  and CMS signed attributes for an implementation be
   considered conformant to this specification:

          Implementation Requirement     |
      GLO    |      GLA      | GL Member | Attribute
    O    R   |  O    R    F  |  O    R   |
   --------- | ------------- | --------- | ----------
   MUST MUST | MUST MUST  -  | MUST MUST | cMCStatusInfoExt
   MAY  MAY  | MUST MUST  -  | MAY  MAY  | transactionId
   MAY  MAY  | MUST MUST  -  | MAY  MAY  | senderNonce
   MAY  MAY  | MUST MUST  -  | MAY  MAY  | recepientNonce
   MUST MUST | MUST MUST  -  | MUST MUST | SKDFailInfo
   MUST MUST | MUST MUST  -  | MUST MUST | signingTime


3.2.5 Resubmitted GL Member Messages

   When the GL is managed, the GLA forwards the GL member requests to
   the GLO for GLO approval by creating a new request message
   containing the GL member request(s) as a cmsSequence item.  If the
   GLO approves the request it can either add a new layer of wrapping
   and send it back to the GLA or create a new message and send it to
   the GLA. (Note in this case there are now 3 layers of PKIData
   messages with appropriate signing layers.)


3.2.6 PKIX Certificate and CRL Profile

   Signatures, certificates, and CRLs are verified according to the
   PKIX profile [PROFILE].

   Name matching is performed according to the PKIX profile [PROFILE].

   All distinguished name forms must follow the UTF8String convention
   noted in the PKIX profile [PROFILE].

   A certificate per-GL would be issued to the GLA.

   GL policy may mandate that the GL member's address be included in
   the GL member's certificate.



Turner                   Expires July 2003                        29
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


4 Administrative Messages

   There are a number of administrative messages that must be performed
   to manage a GL. The following sections describe each request and
   response message combination in detail. The procedures defined in
   this section are not prescriptive.


4.1 Assign KEK To GL

   Prior to generating a group key, a GL needs to be setup and a shared
   KEK assigned to the GL. Figure 3 depicts the protocol interactions
   to setup and assign a shared KEK. Note that error messages are not
   depicted in Figure 3. Additionally, behavior for the optional
   transactionId, senderNonce, and recipientNonce CMC control
   attributes is not addressed in these procedures.

                 +-----+   1    2  +-----+
                 | GLA | <-------> | GLO |
                 +-----+           +-----+

                Figure 3 - Create Group List


   The process is as follows:

     1 - The GLO is the entity responsible for requesting the creation
         of the GL. The GLO sends a
         SignedData.PKIData.controlSequence.glUseKEK request to the GLA
         (1 in Figure 3). The GLO MUST include: glName, glAddress,
         glOwnerName, glOwnerAddress, and glAdministration. The GLO MAY
         also include their preferences for the shared KEK in
         glKeyAttributes by indicating whether the GLO controls the
         rekey in rekeyControlledByGLO, whether separate glKey messages
         should be sent to each recipient in
         recipientsNotMutuallyAware, the requested algorithm to be used
         with the shared KEK in requestedAlgorithm, the duration of the
         shared KEK, and how many shared KEKs should be initially
         distributed in generationCounter. The GLO MUST also include
         the signingTime attribute with this request.

     1.a - If the GLO knows of members to be added to the GL, the
           glAddMember request(s) MAY be included in the same
           controlSequence as the glUseKEK request (see section 3.2.2).
           The GLO indicates the same glName in the glAddMember request
           as in glUseKEK.glInfo.glName. Further glAddMember procedures
           are covered in section 4.3.

     1.b - The GLO can apply confidentiality to the request by
           encapsulating the SignedData.PKIData in an EnvelopedData
           (see section 3.2.1.2).


Turner                   Expires July 2003                        30
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


     1.c - The GLO can also optionally apply another SignedData over
           the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the request, the GLA checks the signingTime
         and verifies the signature on the inner most
         SignedData.PKIData. If an additional SignedData and/or
         EnvelopedData encapsulates the request (see sections 3.2.1.2
         and 3.2.2), the GLA verifies the outer signature(s) and/or
         decrypt the outer layer(s) prior to verifying the signature on
         the inner most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           do not verify, the GLA returns a cMCStatusInfoExt response
           indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c û Else if the signatures do verify but the GLA does not have a
           valid certificate, the GLA returns a cMCStatusInfoExt with
           cMCStatus.failed and otherInfo.extendedFailInfo.SKDFailInfo
           value of noValidGLACertificate. Additionally, a signingTime
           attribute is included with the response. Instead of
           immediately returning the error code, the GLA attempts to
           get a certificate, possibly using [CMC].

     2.d - Else the signatures are valid and the GLA does have a valid
           certificate, the GLA checks that one of the names in the
           certificate used to sign the request matches one of the
           names in glUseKEK.glOwnerInfo.glOwnerName.

     2.d.1 - If the names do not match, the GLA returns a response
             indicating cMCStatusInfoExt with cMCStatus.failed and
             otherInfo.extendedFailInfo.SKDFailInfo value of
             noGLONameMatch. Additionally, a signingTime attribute is
             included with the response.

     2.d.2 - Else if the names all match, the GLA checks that the
             glName and glAddress is not already in use. The GLA also
             checks any glAddMember included within the controlSequence
             with this glUseKEK. Further processing of the glAddMember
             is covered in section 4.3.

     2.d.2.a - If the glName is already in use the GLA returns a
               response indicating cMCStatusInfoExt with
               cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of


Turner                   Expires July 2003                        31
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

               nameAlreadyInUse. Additionally, a signingTime attribute
               is included with the response.

     2.d.2.b - Else if the requestedAlgorithm is not supported, the GLA
               returns a response indicating cMCStatusInfoExt with
               cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               unsupportedAlgorithm. Additionally, a signingTime
               attribute is included with the response.

     2.d.2.c - Else if the duration cannot be supported, determining
               this is beyond the scope of this document, the GLA
               returns a response indicating cMCStatusInfoExt with
               cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               unsupportedDuration. Additionally, a signingTime
               attribute is included with the response.

     2.d.2.d - Else if the GL cannot be supported for other reasons,
               which the GLA does not wish to disclose, the GLA returns
               a response indicating cMCStatusInfoExt with
               cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               unspecified. Additionally, a signingTime attribute is
               included with the response.

     2.d.2.e - Else if the glName is not already in use, the duration
               can be supported, and the requestedAlgorithm is
               supported, the GLA MUST return a cMCStatusInfoExt
               indicating cMCStatus.success and a signingTime
               attribute. (2 in Figure 3). The GLA also takes
               administrative actions, which are beyond the scope of
               this document, to store the glName, glAddress,
               glKeyAttributes, glOwnerName, and glOwnerAddress. The
               GLA also sends a glKey message as described in section
               5.

     2.d.2.e.1 - The GLA can apply confidentiality to the response by
                 encapsulating the SignedData.PKIResponse in an
                 EnvelopedData if the request was encapsulated in an
                 EnvelopedData (see section 3.2.1.2).

     2.d.2.e.2 - The GLA can also optionally apply another SignedData
                 over the EnvelopedData (see section 3.2.1.2).

     3 - Upon receipt of the cMCStatusInfoExt responses, the GLO checks
         the signingTime and verifies the GLA signature(s). If an
         additional SignedData and/or EnvelopedData encapsulates the
         response (see section 3.2.1.2 or 3.2.2), the GLO verifies the
         outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.



Turner                   Expires July 2003                        32
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     3.b - Else if signature processing continues and if the signatures
           do verify, the GLO MUST check that one of the names in the
           certificate used to sign the response matches the name of
           the GL.

     3.b.1 - If the name of the GL does not match the name present in
             the certificate used to sign the message, the GLO should
             not believe the response.

     3.b.2 - Else if the name of the GL does match the name present in
             the certificate and:

     3.b.2.a - If the signatures do verify and the response was
               cMCStatusInfoExt indicating cMCStatus.success, the GLO
               has successfully created the GL.

     3.b.2.b - Else if the signatures are valid and the response is
               cMCStatusInfoExt.cMCStatus.failed with any reason, the
               GLO can reattempt to create the GL using the information
               provided in the response. The GLO can also use the
               glaQueryRequest to determine the algorithms and other
               characteristics supported by the GLA (see section 4.9).


4.2 Delete GL From GLA

   From time to time, there are instances when a GL is no longer
   needed. In this case, the GLO deletes the GL. Figure 4 depicts that
   protocol interactions to delete a GL. Note that behavior for the
   optional transactionId, senderNonce, and recipientNonce CMC control
   attributes is not addressed in these procedures.

                  +-----+   1    2  +-----+
                  | GLA | <-------> | GLO |
                  +-----+           +-----+

                 Figure 4 - Delete Group List


   The process is as follows:

     1 - The GLO is responsible for requesting the deletion of the GL.
         The GLO sends a SignedData.PKIData.controlSequence.glDelete
         request to the GLA (1 in Figure 4). The name of the GL to be
         deleted is included in GeneralName. The GLO MUST also include
         the signingTime attribute and can also include a transactionId
         and senderNonce attributes.


Turner                   Expires July 2003                        33
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


     1.a - The GLO can optionally apply confidentiality to the request
           by encapsulating the SignedData.PKIData in an EnvelopedData
           (see section 3.2.1.2).

     1.b - The GLO MAY optionally apply another SignedData over the
           EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the request the GLA checks the signingTime and
         verifies the signature on the inner most SignedData.PKIData.
         If an additional SignedData and/or EnvelopedData encapsulates
         the request (see section 3.2.1.2 or 3.2.2), the GLA verifies
         the outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannot be verified, the GLA returns a cMCStatusInfoExt
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c - Else if the signatures verify, the GLA makes sure the GL is
           supported by checking the name of the GL matches a glName
           stored on the GLA.

     2.c.1 - If the glName is not supported by the GLA, the GLA returns
             a response indicating cMCStatusInfoExt with
             cMCStatus.failed and
             otherInfo.extendedFailInfo.SKDFailInfo value of
             invalidGLName. Additionally, a signingTime attribute is
             included with the response.

     2.c.2 - Else if the glName is supported by the GLA, the GLA
             ensures a registered GLO signed the glDelete request by
             checking if one of the names present in the digital
             signature certificate used to sign the glDelete request
             matches a registered GLO.

     2.c.2.a - If the names do not match, the GLA returns a response
               indicating cMCStatusInfoExt with cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               noGLONameMatch. Additionally, a signingTime attribute is
               included with the response.

     2.c.2.b - Else if the names do match, but the GL cannot be deleted
               for other reasons, which the GLA does not wish to
               disclose, the GLA returns a response indicating


Turner                   Expires July 2003                        34
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

               cMCStatusInfoExt with cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               unspecified. Additionally, a signingTime attribute is
               included with the response. Actions beyond the scope of
               this document must then be taken to delete the GL from
               the GLA.

     2.c.2.c - Else if the names do match, the GLA returns a
               cMCStatusInfoExt indicating cMCStatus.success and a
               signingTime attribute (2 in Figure 4). The GLA ought not
               accept further requests for member additions, member
               deletions, or group rekeys for this GL.

     2.c.2.c.1 - The GLA can apply confidentiality to the response by
                 encapsulating the SignedData.PKIResponse in an
                 EnvelopedData if the request was encapsulated in an
                 EnvelopedData (see section 3.2.1.2).

     2.c.2.c.2 - The GLA MAY optionally apply another SignedData over
                 the EnvelopedData (see section 3.2.1.2).

     3 - Upon receipt of the cMCStatusInfoExt response, the GLO checks
         the signingTime and verifies the GLA signature(s). If an
         additional SignedData and/or EnvelopedData encapsulates the
         response (see section 3.2.1.2 or 3.2.2), the GLO verifies the
         outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     3.b - Else if signature processing continues and if the signatures
           verify, the GLO checks that one of the names in the
           certificate used to sign the response matches the name of
           the GL.

     3.b.1 û If the name of the GL does not match the name present in
             the certificate used to sign the message, the GLO should
             not believe the response.

     3.b.2 û Else if the name of the GL does match the name present in
             the certificate and:

     3.b.2.a - If the signatures verify and the response was
               cMCStatusInfoExt indicating cMCStatus.success, the GLO
               has successfully deleted the GL.

     3.b.2.b - Else if the signatures do verify and the response was
               cMCStatusInfoExt.cMCStatus.failed with any reason, the



Turner                   Expires July 2003                        35
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

               GLO can reattempt to delete the GL using the information
               provided in the response.


4.3 Add Members To GL

   To add members to GLs, either the GLO or prospective members use the
   glAddMember request. The GLA processes GLO and prospective GL member
   requests differently though. GLOs can submit the request at any time
   to add members to the GL, and the GLA, once it has verified the
   request came from a registered GLO, should process it. If a
   prospective member sends the request, the GLA needs to determine how
   the GL is administered. When the GLO initially configured the GL,
   they set the GL to be unmanaged, managed, or closed (see section
   3.1.1). In the unmanaged case, the GLA merely processes the member's
   request. For the managed case, the GLA forwards the requests from
   the prospective members to the GLO for review. Where there are
   multiple GLOs for a GL, which GLO the request is forwarded to is
   beyond the scope of this document. The GLO reviews the request and
   either rejects it or submits a reformed request to the GLA. In the
   closed case, the GLA will not accept requests from prospective
   members. The following sections describe the processing for the
   GLO(s), GLA, and prospective GL members depending on where the
   glAddMeber request originated, either from a GLO or from prospective
   members. Figure 5 depicts the protocol interactions for the three
   options. Note that the error messages are not depicted.
   Additionally, note that behavior for the optional transactionId,
   senderNonce, and recipientNonce CMC control attributes is not
   addressed in these procedures.

                +-----+  2,B{A}              3  +----------+
                | GLO | <--------+    +-------> | Member 1 |
                +-----+          |    |         +----------+
                         1       |    |
                +-----+ <--------+    |      3  +----------+
                | GLA |  A            +-------> |   ...    |
                +-----+ <-------------+         +----------+
                                      |
                                      |      3  +----------+
                                      +-------> | Member n |
                                                +----------+

                   Figure 5 - Member Addition

   An important decision that needs to be made on a group by group
   basis is whether to rekey the group every time a new member is
   added. Typically, unmanaged GLs should not be rekeyed when a new
   member is added, as the overhead associated with rekeying the group
   becomes prohibitive, as the group becomes large. However, managed
   and closed GLs can be rekeyed to maintain the confidentiality of the
   traffic sent by group members. An option to rekeying managed or
   closed GLs when a member is added is to generate a new GL with a


Turner                   Expires July 2003                        36
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   different group key. Group rekeying is discussed in sections 4.5 and
   5.


4.3.1 GLO Initiated Additions

   The process for GLO initiated glAddMember requests is as follows:

     1 - The GLO collects the pertinent information for the member(s)
         to be added (this may be done through an out of bands means).
         The GLO then sends a SignedData.PKIData.controlSequence with a
         separate glAddMember request for each member to the GLA (1 in
         Figure 5). The GLO includes: the GL name in glName, the
         member's name in glMember.glMemberName, the member's address
         in glMember.glMemberAddress, and the member's encryption
         certificate in glMember.certificates.pKC. The GLO can also
         include any attribute certificates associated with the
         member's encryption certificate in glMember.certificates.aC,
         and the certification path associated with the member's
         encryption and attribute certificates in
         glMember.certificates.certPath. The GLO MUST also include the
         signingTime attribute with this request.

     1.a - The GLO can optionally apply confidentiality to the request
           by encapsulating the SignedData.PKIData in an EnvelopedData
           (see section 3.2.1.2).

     1.b - The GLO can also optionally apply another SignedData over
           the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the request, the GLA checks the signingTime
         and verifies the signature on the inner most
         SignedData.PKIData. If an additional SignedData and/or
         EnvelopedData encapsulates the request (see section 3.2.1.2 or
         3.2.2), the GLA verifies the outer signature and/or decrypt
         the outer layer prior to verifying the signature on the inner
         most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannot be verified, the GLA returns a cMCStatusInfoExt
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c - Else if the signatures verify, the glAddMember request is
           included in a controlSequence with the glUseKEK request, and
           the processing in section 4.1 item 2.e is successfully


Turner                   Expires July 2003                        37
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

           completed the GLA returns a cMCStatusInfoExt indicating
           cMCStatus.success and a signingTime attribute (2 in Figure
           5).

     2.c.1 - The GLA can apply confidentiality to the response by
             encapsulating the SignedData.PKIData in an EnvelopedData
             if the request was encapsulated in an EnvelopedData (see
             section 3.2.1.2).

     2.c.2 - The GLA can also optionally apply another SignedData over
             the EnvelopedData (see section 3.2.1.2).

     2.d - Else if the signatures verify and the GLAddMember request is
           not included in a controlSequence with the GLCreate request,
           the GLA makes sure the GL is supported by checking that the
           glName matches a glName stored on the GLA.

     2.d.1 - If the glName is not supported by the GLA, the GLA returns
             a response indicating cMCStatusInfoExt with
             cMCStatus.failed and
             otherInfo.extendedFailInfo.SKDFailInfo value of
             invalidGLName. Additionally, a signingTime attribute is
             included with the response.

     2.d.2 - Else if the glName is supported by the GLA, the GLA checks
             to see if the glMemberName is present on the GL.

     2.d.2.a - If the glMemberName is present on the GL, the GLA
               returns a response indicating cMCStatusInfoExt with
               cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               alreadyAMember. Additionally, a signingTime attribute is
               included with the response.

     2.d.2.b - Else if the glMemberName is not present on the GL, the
               GLA checks how the GL is administered.

     2.d.2.b.1 - If the GL is closed, the GLA checks that a registered
                 GLO signed the request by checking that one of the
                 names in the digital signature certificate used to
                 sign the request matches a registered GLO.

     2.d.2.b.1.a - If the names do not match, the GLA returns a
                   response indicating cMCStatusInfoExt with
                   cMCStatus.failed and
                   otherInfo.extendedFailInfo.SKDFailInfo value of
                   noGLONameMatch. Additionally, a signingTime
                   attribute is included with the response.

     2.d.2.b.1.b - Else if the names match, the GLA verifies the
                   member's encryption certificate.



Turner                   Expires July 2003                        38
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     2.d.2.b.1.b.1 - If the member's encryption certificate cannot be
                     verified, the GLA can return a response indicating
                     cMCStatusInfoExt with cMCStatus.failed and
                     otherInfo.extendedFailInfo.SKDFailInfo value of
                     invalidCert to the GLO. Additionally, a
                     signingTime attribute is included with the
                     response. If the GLA does not return a
                     cMCStatusInfoExt.cMCStatus.failed response, the
                     GLA issues a glProvideCert request (see section
                     4.10).

     2.d.2.b.1.b.2 - Else if the member's certificate verifies, the GLA
                     returns a cMCStatusInfoExt indicating
                     cMCStatus.success and a signingTime attribute (2
                     in Figure 5). The GLA also takes administrative
                     actions, which are beyond the scope of this
                     document, to add the member to the GL stored on
                     the GLA. The GLA also distributes the shared KEK
                     to the member via the mechanism described in
                     section 5.

     2.d.2.b.1.b.2.a - The GLA applies confidentiality to the response
                       by encapsulating the SignedData.PKIData in an
                       EnvelopedData if the request was encapsulated in
                       an EnvelopedData (see section 3.2.1.2).

     2.d.2.b.1.b.2.b - The GLA can also optionally apply another
                       SignedData over the EnvelopedData (see section
                       3.2.1.2).

     2.d.2.b.2 - Else if the GL is managed, the GLA checks that either
                 a registered GLO or the prospective member signed the
                 request. For GLOs, one of the names in the certificate
                 used to sign the request needs to match a registered
                 GLO. For the prospective member, the name in
                 glMember.glMemberName needs to match one of the names
                 in the certificate used to sign the request.

     2.d.2.b.2.a - If the signer is neither a registered GLO nor the
                   prospective GL member, the GLA returns a response
                   indicating cMCStatusInfoExt with cMCStatus.failed
                   and otherInfo.extendedFailInfo.SKDFailInfo value of
                   noSpam. Additionally, a signingTime attribute is
                   included with the response.

     2.d.2.b.2.b - Else if the signer is a registered GLO, the GLA
                   verifies the member's encryption certificate.

     2.d.2.b.2.b.1 - If the member's certificate cannot be verified,
                     the GLA can return a response indicating
                     cMCStatusInfoExt with cMCStatus.failed and
                     otherInfo.extendedFailInfo.SKDFailInfo value of


Turner                   Expires July 2003                        39
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

                     invalidCert. Additionally, a signingTime attribute
                     is included with the response. If the GLA does not
                     return a cMCStatus.failed response, the GLA MUST
                     issue a glProvideCert request (see section 4.10).

     2.d.2.b.2.b.2 - Else if the member's certificate verifies, the GLA
                     MUST return a cMCStatusInfoExt indicating
                     cMCStatus.success and a signingTime attribute to
                     the GLO (2 in Figure 5). The GLA also takes
                     administrative actions, which are beyond the scope
                     of this document, to add the member to the GL
                     stored on the GLA. The GLA also distributes the
                     shared KEK to the member via the mechanism
                     described in section 5. The GL policy may mandate
                     that the GL member's address be included in the GL
                     member's certificate.

     2.d.2.b.2.b.2.a - The GLA applies confidentiality to the response
                       by encapsulating the SignedData.PKIData in an
                       EnvelopedData if the request was encapsulated in
                       an EnvelopedData (see section 3.2.1.2).

     2.d.2.b.2.b.2.b - The GLA can also optionally apply another
                       SignedData over the EnvelopedData (see section
                       3.2.1.2).

     2.d.2.b.2.c - Else if the signer is the prospective member, the
                   GLA forwards the glAddMember request (see section
                   3.2.3) to a registered GLO (B{A} in Figure 5). If
                   there is more than one registered GLO, the GLO to
                   which the request is forwarded to is beyond the
                   scope of this document. Further processing of the
                   forwarded request by GLOs is addressed in 3 of
                   section 4.3.2.

     2.d.2.b.2.c.1 - The GLA applies confidentiality to the forwarded
                     request by encapsulating the SignedData.PKIData in
                     an EnvelopedData if the original request was
                     encapsulated in an EnvelopedData (see section
                     3.2.1.2).

     2.d.2.b.2.c.2 - The GLA can also optionally apply another
                     SignedData over the EnvelopedData (see section
                     3.2.1.2).

     2.d.2.b.3 - Else if the GL is unmanaged, the GLA checks that
                 either a registered GLO or the prospective member
                 signed the request. For GLOs, one of the names in the
                 certificate used to sign the request needs tp match
                 the name of a registered GLO. For the prospective
                 member, the name in glMember.glMemberName needs to



Turner                   Expires July 2003                        40
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

                 match one of the names in the certificate used to sign
                 the request.

     2.d.2.b.3.a - If the signer is neither a registered GLO nor the
                   prospective member, the GLA returns a response
                   indicating cMCStatusInfoExt with cMCStatus.failed
                   and otherInfo.extendedFailInfo.SKDFailInfo value of
                   noSpam. Additionally, a signingTime attribute is
                   included with the response.

     2.d.2.b.3.b - Else if the signer is either a registered GLO or the
                   prospective member, the GLA verifies the member's
                   encryption certificate.

     2.d.2.b.3.b.1 - If the member's certificate cannot be verified,
                     the GLA can return a response indicating
                     cMCStatusInfoExt with cMCStatus.failed and
                     otherInfo.extendedFailInfo.SKDFailInfo value of
                     invalidCert and a signingTime attribute to either
                     the GLO or the prospective member depending on
                     where the request originated. If the GLA does not
                     return a cMCStatus.failed response, the GLA issues
                     a glProvideCert request (see section 4.10) to
                     either the GLO or prospective member depending on
                     where the request originated.

     2.d.2.b.3.b.2 - Else if the member's certificate verifies, the GLA
                     returns a cMCStatusInfoExt indicating
                     cMCStatus.success and a signingTime attribute to
                     the GLO (2 in Figure 5) if the GLO signed the
                     request and to the GL member (3 in Figure 5) if
                     the GL member signed the request. The GLA also
                     takes administrative actions, which are beyond the
                     scope of this document, to add the member to the
                     GL stored on the GLA. The GLA also distributes the
                     shared KEK to the member via the mechanism
                     described in section 5.

     2.d.2.b.3.b.2.a - The GLA applies confidentiality to the response
                       by encapsulating the SignedData.PKIData in an
                       EnvelopedData if the request was encapsulated in
                       an EnvelopedData (see section 3.2.1.2).

     2.d.2.b.3.b.2.b - The GLA can also optionally apply another
                       SignedData over the EnvelopedData (see section
                       3.2.1.2).

     3 - Upon receipt of the cMCStatusInfoExt response, the GLO checks
         the signingTime and verifies the GLA signature(s). If an
         additional SignedData and/or EnvelopedData encapsulates the
         response (see section 3.2.1.2 or 3.2.2), the GLO verifies the



Turner                   Expires July 2003                        41
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

         outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     3.b - Else if signature processing continues and if the signatures
           verify, the GLO checks that one of the names in the
           certificate used to sign the response matches the name of
           the GL.

     3.b.1 û If the name of the GL does not match the name present in
             the certificate used to sign the message, the GLO should
             not believe the response.

     3.b.2 û Else if the name of the GL matches the name present in the
             certificate and:

     3.b.2.a - If the signatures verify and the response is
               cMCStatusInfoExt indicating cMCStatus.success, the GLA
               has added the member to the GL. If member was added to a
               managed list and the original request was signed by the
               member, the GLO sends a
               cMCStatusInfoExt.cMCStatus.success and a signingTime
               attribute to the GL member.

     3.b.2.b - Else if the GLO received a
               cMCStatusInfoExt.cMCStatus.failed with any reason, the
               GLO can reattempt to add the member to the GL using the
               information provided in the response.

     4 - Upon receipt of the cMCStatusInfoExt response, the prospective
         member checks the signingTime and verifies the GLA signatures
         or GLO signatures. If an additional SignedData and/or
         EnvelopedData encapsulates the response (see section 3.2.1.2
         or 3.2.2), the GLO verifies the outer signature and/or decrypt
         the outer layer prior to verifying the signature on the inner
         most SignedData.

     4.a - If the signingTime attribute value is not within the locally
           accepted time window, the prospective member MAY return a
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badTime and a signingTime attribute.

     4.b - Else if signature processing continues and if the signatures
           verify, the GL member checks that one of the names in the
           certificate used to sign the response matches the name of
           the GL.




Turner                   Expires July 2003                        42
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     4.b.1 - If the name of the GL does not match the name present in
             the certificate used to sign the message, the GL member
             should not believe the response.

     4.b.2 û Else if the name of the GL matches the name present in the
             certificate and:

     4.b.2.a - If the signatures verify, the prospective member has
               been added to the GL.

     4.b.2.b - Else if the prospective member received a
               cMCStatusInfoExt.cMCStatus.failed, for any reason, the
               prospective member MAY reattempt to add themselves to
               the GL using the information provided in the response.


4.3.2 Prospective Member Initiated Additions

   The process for prospective member initiated glAddMember requests is
   as follows:

     1 - The prospective GL member sends a
         SignedData.PKIData.controlSequence.glAddMember request to the
         GLA (A in Figure 5). The prospective GL member includes: the
         GL name in glName, their name in glMember.glMemberName, their
         address in glMember.glMemberAddress, and their encryption
         certificate in glMember.certificates.pKC. The prospective GL
         member can also include any attribute certificates associated
         with their encryption certificate in glMember.certificates.aC,
         and the certification path associated with their encryption
         and attribute certificates in glMember.certificates.certPath.
         The prosepective member MUST also include the signingTime
         attribute with this request.

     1.a - The prospective GL member can optionally apply
           confidentiality to the request by encapsulating the
           SignedData.PKIData in an EnvelopedData (see section
           3.2.1.2).

     1.b - The prospective GL member MAY optionally apply another
           SignedData over the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the request, the GLA verifies the request as
         per 2 in section 4.3.1.

     3 - Upon receipt of the forwarded request, the GLO checks the
         signingTime and verifies the prospective GL member signature
         on the inner most SignedData.PKIData and the GLA signature on
         the outer layer. If an EnvelopedData encapsulates the inner
         most layer (see section 3.2.1.2 or 3.2.2), the GLO decrypts
         the outer layer prior to verifying the signature on the inner
         most SignedData.


Turner                   Expires July 2003                        43
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


         Note: For cases where the GL is closed and either a) a
         prospective member sends directly to the GLO or b) the GLA has
         mistakenly forwarded the request to the GLO, the GLO should
         first determine whether to honor the request.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime.

     3.b - Else if signature processing continues and if the signatures
           verify, the GLO checks to make sure one of the names in the
           certificate used to sign the request matches the name in
           glMember.glMemberName.

     3.b.1 - If the names do not match, the GLO sends a
             SignedData.PKIResponse.controlSequence message back to the
             prospective member with cMCStatusInfoExt.cMCStatus.failed
             indicating why the prospective member was denied in
             cMCStausInfo.statusString. This stops people from adding
             people to GLs without their permission. Additionally, a
             signingTime attribute is included with the response.

     3.b.2 - Else if the names match, the GLO determines whether the
             prospective member is allowed to be added. The mechanism
             is beyond the scope of this document; however, the GLO
             should check to see that the glMember.glMemberName is not
             already on the GL.

     3.b.2.a - If the GLO determines the prospective member is not
               allowed to join the GL, the GLO can return a
               SignedData.PKIResponse.controlSequence message back to
               the prospective member with
               cMCStatusInfoExt.cMCtatus.failed indicating why the
               prospective member was denied in cMCStatus.statusString.
               Additionally, a signingTime attribute is included with
               the response.

     3.b.2.b - Else if GLO determines the prospective member is allowed
               to join the GL, the GLO verifies the member's encryption
               certificate.

     3.b.2.b.1 - If the member's certificate cannot be verified, the
                 GLO returns a SignedData.PKIResponse.controlSequence
                 back to the prospective member with
                 cMCStatusInfoExt.cMCtatus.failed indicating that the
                 member's encryption certificate did not verify in
                 cMCStatus.statusString. Additionally, a signingTime
                 attribute is included with the response. If the GLO
                 does not return a cMCStatusInfoExt response, the GLO
                 sends a
                 SignedData.PKIData.controlSequence.glProvideCert


Turner                   Expires July 2003                        44
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

                 message to the prospective member requesting a new
                 encryption certificate (see section 4.10).

     3.b.2.b.2 - Else if the member's certificate verifies, the GLO
                 resubmits the glAddMember request (see section 3.2.5)
                 to the GLA (1 in Figure 5).

     3.b.2.b.2.a - The GLO applies confidentiality to the new
                   GLAddMember request by encapsulating the
                   SignedData.PKIData in an EnvelopedData if the
                   initial request was encapsulated in an EnvelopedData
                   (see section 3.2.1.2).

     3.b.2.b.2.b - The GLO can also optionally apply another SignedData
                   over the EnvelopedData (see section 3.2.1.2).

     4 - Processing continues as in 2 of section 4.3.1.


4.4 Delete Members From GL

   To delete members from GLs, either the GLO or members to be removed
   use the glDeleteMember request. The GLA processes GLO and members
   requesting their own removal make requests differently. The GLO can
   submit the request at any time to delete members from the GL, and
   the GLA, once it has verified the request came from a registered
   GLO, should delete the member. If a member sends the request, the
   GLA needs to determine how the GL is administered. When the GLO
   initially configured the GL, they set the GL to be unmanaged,
   managed, or closed (see section 3.1.1). In the unmanaged case, the
   GLA merely processes the member's request. For the managed case, the
   GLA forwards the requests from the member to the GLO for review.
   Where there are multiple GLOs for a GL, which GLO the request is
   forwarded to is beyond the scope of this document. The GLO reviews
   the request and either rejects it or submits a reformed request to
   the GLA. In the closed case, the GLA will not accept requests from
   members. The following sections describe the processing for the
   GLO(s), GLA, and GL members depending on where the request
   originated, either from a GLO or from members wanting to be removed.
   Figure 6 depicts the protocol interactions for the three options.
   Note that the error messages are not depicted. Additionally,
   behavior for the optional transactionId, senderNonce, and
   recipientNonce CMC control attributes is not addressed in these
   procedures.










Turner                   Expires July 2003                        45
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

                +-----+  2,B{A}              3  +----------+
                | GLO | <--------+    +-------> | Member 1 |
                +-----+          |    |         +----------+
                         1       |    |
                +-----+ <--------+    |      3  +----------+
                | GLA |  A            +-------> |   ...    |
                +-----+ <-------------+         +----------+
                                      |
                                      |      3  +----------+
                                      +-------> | Member n |
                                                +----------+

                   Figure 6 - Member Deletion

   If the member is not removed from the GL, they will continue to
   receive and be able to decrypt data protected with the shared KEK
   and will continue to receive rekeys. For unmanaged lists, there is
   no point to a group rekey because there is no guarantee that the
   member requesting to be removed has not already added themselves
   back on the GL under a different name. For managed and closed GLs,
   the GLO needs to take steps to ensure the member being deleted is
   not on the GL twice. After ensuring this, managed and closed GLs can
   be rekeyed to maintain the confidentiality of the traffic sent by
   group members. If the GLO is sure the member has been deleted the
   group rekey mechanism can be used to distribute the new key (see
   sections 4.5 and 5).


4.4.1 GLO Initiated Deletions

   The process for GLO initiated glDeleteMember requests is as follows:

     1 - The GLO collects the pertinent information for the member(s)
         to be deleted (this can be done through an out of bands
         means). The GLO then sends a
         SignedData.PKIData.controlSequence with a separate
         glDeleteMember request for each member to the GLA (1 in Figure
         6). The GLO MUST include: the GL name in glName and the
         member's name in glMemberToDelete. If the GL from which the
         member is being deleted in a closed or managed GL, the GLO
         MUST also generate a glRekey request and include it with the
         glDeletemember request (see section 4.5). The GLO MUST also
         include the signingTime attribute with this request.

     1.a - The GLO can optionally apply confidentiality to the request
           by encapsulating the SignedData.PKIData in an EnvelopedData
           (see section 3.2.1.2).

     1.b - The GLO can also optionally apply another SignedData over
           the EnvelopedData (see section 3.2.1.2).




Turner                   Expires July 2003                        46
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     2 - Upon receipt of the request, the GLA checks the signingTime
         attribute and verifies the signature on the inner most
         SignedData.PKIData. If an additional SignedData and/or
         EnvelopedData encapsulates the request (see section 3.2.1.2 or
         3.2.2), the GLA verifies the outer signature and/or decrypt
         the outer layer prior to verifying the signature on the inner
         most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannot be verified, the GLA returns a cMCStatusInfoExt
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c - Else if the signatures verify, the GLA makes sure the GL is
           supported by the GLA by checking that the glName matches a
           glName stored on the GLA.

     2.c.1 - If the glName is not supported by the GLA, the GLA returns
             a response indicating cMCStatusInfoExt with
             cMCStatus.failed and
             otherInfo.extendedFailInfo.SKDFailInfo value of
             invalidGLName. Additionally, a signingTime attribute is
             included with the response.

     2.c.2 - Else if the glName is supported by the GLA, the GLA checks
             to see if the glMemberName is present on the GL.

     2.c.2.a - If the glMemberName is not present on the GL, the GLA
               returns a response indicating cMCStatusInfoExt with
               cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               notAMember. Additionally, a signingTime attribute is
               included with the response.

     2.c.2.b - Else if the glMemberName is already on the GL, the GLA
               checks how the GL is administered.

     2.c.2.b.1 - If the GL is closed, the GLA checks that the
                 registered GLO signed the request by checking that one
                 of the names in the digital signature certificate used
                 to sign the request matches the registered GLO.

     2.c.2.b.1.a - If the names do not match, the GLA returns a
                   response indicating cMCStatusInfoExt with
                   cMCStatus.failed and
                   otherInfo.extendedFailInfo.SKDFailInfo value of


Turner                   Expires July 2003                        47
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

                   closedGL. Additionally, a signingTime attribute is
                   included with the response.

     2.c.2.b.1.b - Else if the names do match, the GLA returns a
                   cMCStatusInfoExt.cMCStatus.success and a signingTime
                   attribute (2 in Figure 5). The GLA also takes
                   administrative actions, which are beyond the scope
                   of this document, to delete the member with the GL
                   stored on the GLA. Note that he GL also needs to be
                   rekeyed as described in section 5.

     2.c.2.b.1.b.1 - The GLA applies confidentiality to the response by
                     encapsulating the SignedData.PKIData in an
                     EnvelopedData if the request was encapsulated in
                     an EnvelopedData (see section 3.2.1.2).

     2.c.2.b.1.b.2 - The GLA can also optionally apply another
                     SignedData over the EnvelopedData (see section
                     3.2.1.2).

     2.c.2.b.2 - Else if the GL is managed, the GLA checks that either
                 a registered GLO or the prospective member signed the
                 request. For GLOs, one of the names in the certificate
                 used to sign the request needs to match a registered
                 GLO. For the prospective member, the name in
                 glMember.glMemberName needs to match one of the names
                 in the certificate used to sign the request.

     2.c.2.b.2.a - If the signer is neither a registered GLO nor the
                   prospective GL member, the GLA returns a response
                   indicating cMCStatusInfoExt with cMCStatus.failed
                   and otherInfo.extendedFailInfo.SKDFailInfo value of
                   noSpam. Additionally, a signingTime attribute is
                   included with the response.

     2.c.2.b.2.b - Else if the signer is a registered GLO, the GLA
                   returns a cMCStatusInfoExt.cMCStatus.success and a
                   signingTime attribute(2 in Figure 6). The GLA also
                   takes administrative actions, which are beyond the
                   scope of this document, to delete the member with
                   the GL stored on the GLA. Note that the GL will also
                   be rekeyed as described in section 5.

     2.c.2.b.2.b.1 - The GLA applies confidentiality to the response by
                     encapsulating the SignedData.PKIData in an
                     EnvelopedData if the request was encapsulated in
                     an EnvelopedData (see section 3.2.1.2).

     2.c.2.b.2.b.2 - The GLA can also optionally apply another
                     SignedData over the EnvelopedData (see section
                     3.2.1.2).



Turner                   Expires July 2003                        48
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     2.c.2.b.2.c - Else if the signer is the prospective member, the
                   GLA forwards the glDeleteMember request (see section
                   3.2.3) to the GLO (B{A} in Figure 6). If there is
                   more than one registered GLO, the GLO to which the
                   request is forwarded to is beyond the scope of this
                   document. Further processing of the forwarded
                   request by GLOs is addressed in 3 of section 4.4.2.

     2.c.2.b.2.c.1 - The GLA applies confidentiality to the forwarded
                     request by encapsulating the SignedData.PKIData in
                     an EnvelopedData if the request was encapsulated
                     in an EnvelopedData (see section 3.2.1.2).

     2.c.2.b.2.c.2 - The GLA can also optionally apply another
                     SignedData over the EnvelopedData (see section
                     3.2.1.2).

     2.c.2.b.3 - Else if the GL is unmanaged, the GLA checks that
                 either a registered GLO or the prospective member
                 signed the request. For GLOs, one of the names in the
                 certificate used to sign the request needs to match
                 the name of a registered GLO. For the prospective
                 member, the name in glMember.glMemberName needs to
                 match one of the names in the certificate used to sign
                 the request.

     2.c.2.b.3.a - If the signer is neither the GLO nor the prospective
                   member, the GLA returns a response indicating
                   cMCStatusInfoExt with cMCStatus.failed and
                   otherInfo.extendedFailInfo.SKDFailInfo value of
                   noSpam. Additionally, a signingTime attribute is
                   included with the response.

     2.c.2.b.3.b - Else if the signer is either a registered GLO or the
                   member, the GLA returns a
                   cMCStatusInfoExt.cMCStatus.success and a signingTime
                   attribute to the GLO (2 in Figure 6) if the GLO
                   signed the request and to the GL member (3 in Figure
                   6) if the GL member signed the request. The GLA also
                   takes administrative actions, which are beyond the
                   scope of this document, to delete the member with
                   the GL stored on the GLA.

     2.c.2.b.3.b.1 - The GLA applies confidentiality to the response by
                     encapsulating the SignedData.PKIData in an
                     EnvelopedData if the request was encapsulated in
                     an EnvelopedData (see section 3.2.1.2).

     2.c.2.b.3.b.2 - The GLA can also optionally apply another
                     SignedData over the EnvelopedData (see section
                     3.2.1.2).



Turner                   Expires July 2003                        49
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     3 - Upon receipt of the cMCStatusInfoExt response, the GLO checks
         the signingTime and verifies the GLA signatures. If an
         additional SignedData and/or EnvelopedData encapsulates the
         response (see section 3.2.1.2 or 3.2.2), the GLO verifies the
         outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     3.b - Else if signature processing continues and if the signatures
           do verify, the GLO checks that one of the names in the
           certificate used to sign the response matches the name of
           the GL.

     3.b.1 û If the name of the GL does not match the name present in
             the certificate used to sign the message, the GLO should
             not believe the response.

     3.b.2 û Else if the name of the GL matches the name present in the
             certificate and:

     3.b.2.a - If the signatures verify and the response is
               cMCStatusInfoExt.cMCStatus.success, the GLO has deleted
               the member from the GL. If member was deleted from a
               managed list and the original request was signed by the
               member, the GLO sends a
               cMCStatusInfoExt.cMCStatus.success and a signingTime
               attribute to the GL member.

     3.b.2.b - Else if the GLO received a
               cMCStatusInfoExt.cMCStatus.failed with any reason, the
               GLO may reattempt to delete the member from the GL using
               the information provided in the response.

     4 - Upon receipt of the cMCStatusInfoExt response, the member
         checks the signingTime and verifies the GLA signature(s) or
         GLO signature(s). If an additional SignedData and/or
         EnvelopedData encapsulates the response (see section 3.2.1.2
         or 3.2.2), the GLO verifies the outer signature and/or decrypt
         the outer layer prior to verifying the signature on the inner
         most SignedData.

     4.b - If the signingTime attribute value is not within the locally
           accepted time window, the prospective member MAY return a
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badTime and a signingTime attribute.

     4.b - Else if signature processing continues and if the signatures
           verify, the GL member checks that one of the names in the


Turner                   Expires July 2003                        50
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

           certificate used to sign the response matches the name of
           the GL.

     4.b.1 û If the name of the GL does not match the name present in
             the certificate used to sign the message, the GL member
             should not believe the response.

     4.b.2 û Else if the name of the GL matches the name present in the
             certificate and:

     4.b.2.a - If the signature(s) verify, the member has been deleted
               from the GL.

     4.b.2.b - Else if the member received a
               cMCStatusInfoExt.cMCStatus.failed with any reason, the
               member can reattempt to delete themselves from the GL
               using the information provided in the response.


4.4.2 Member Initiated Deletions

   The process for member initiated deletion of their own membership
   using the glDeleteMember requests is as follows:

     1 - The member sends a
         SignedData.PKIData.controlSequence.glDeleteMember request to
         the GLA (A in Figure 6). The member includes: the name of the
         GL in glName and their own name in glMemberToDelete. The GL
         member MUST also include the signingTime attribute with this
         request.

     1.a - The member can optionally apply confidentiality to the
           request by encapsulating the SignedData.PKIData in an
           EnvelopedData (see section 3.2.1.2).

     1.b - The member can also optionally apply another SignedData over
           the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the request, the GLA verifies the request as
         per 2 in section 4.4.1.

     3 - Upon receipt of the forwarded request, the GLO checks the
         signingTime and verifies the member signature on the inner
         most SignedData.PKIData and the GLA signature on the outer
         layer. If an EnvelopedData encapsulates the inner most layer
         (see section 3.2.1.2 or 3.2.2), the GLO decrypts the outer
         layer prior to verifying the signature on the inner most
         SignedData.

         Note: For cases where the GL is closed and either (a) a
         prospective member sends directly to the GLO or (b) the GLA



Turner                   Expires July 2003                        51
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

         has mistakenly forwarded the request to the GLO, the GLO
         should first determine whether to honor the request.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     3.b - Else if signature processing continues if the signatures
           cannot be verified, the GLO returns a cMCStatusInfoExt
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck and a signingTime
           attribute.

     3.c - Else if the signatures verify, the GLO checks to make sure
           one of the names in the certificates used to sign the
           request matches the name in glMemberToDelete.

     3.c.1 - If the names match, the GLO sends a
             SignedData.PKIResponse.controlSequence message back to the
             prospective member with cMCStatusInfoExt.cMCtatus.failed
             indicating why the prospective member was denied in
             cMCStatusInfoExt.statusString. This stops people from
             adding people to GLs without their permission.
             Additionally, a signingTime attribute is included with the
             response.

     3.c.2 - Else if the names match, the GLO resubmits the
             glDeleteMember request (see section 3.2.5) to the GLA (1
             in Figure 6). The GLO makes sure the glMemberName is
             already on the GL. The GLO also generates a glRekey
             request and include it with the GLDeleteMember request
             (see section 4.5).

     3.c.2.a - The GLO applies confidentiality to the new
               GLDeleteMember request by encapsulating the
               SignedData.PKIData in an EnvelopedData if the initial
               request was encapsulated in an EnvelopedData (see
               section 3.2.1.2).

     3.c.2.b - The GLO can also optionally apply another SignedData
               over the EnvelopedData (see section 3.2.1.2).

     4 - Further processing is as in 2 of section 4.4.1.










Turner                   Expires July 2003                        52
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

4.5 Request Rekey Of GL

   From time to time, the GL will need to be rekeyed. Some situations
   follow:

     - When a member is removed from a closed or managed GL. In this
       case, the PKIData.controlSequence containing the glDeleteMember
       ought to contain a glRekey request.

     - Depending on policy, when a member is removed from an unmanaged
       GL. If the policy is to rekey the GL, the
       PKIData.controlSequence containing the glDeleteMember could also
       contain a glRekey request or an out of bands means could be used
       to tell the GLA to rekey the GL. Rekeying of unmanaged GLs when
       members are deleted is not advised.

     - When the current shared KEK has been compromised.

     - When the current shared KEK is about to expire. Consider two
       cases:

       - If the GLO controls the GL rekey, the GLA should not assume
         that a new shared KEK should be distributed, but instead wait
         for the glRekey message.

       - If the GLA controls the GL rekey, the GLA should initiate a
         glKey message as specified in section 5.

   If the generationCounter (see section 3.1.1) is set to a value
   greater than one (1) and the GLO controls the GL rekey, the GLO may
   generate a glRekey any time before the last shared KEK has expired.
   To be on the safe side, the GLO ought to request a rekey one (1)
   duration before the last shared KEK expires.

   The GLA and GLO are the only entities allowed to initiate a GL
   rekey. The GLO indicated whether they are going to control rekeys or
   whether the GLA is going to control rekeys when they assigned the
   shared KEK to GL (see section 3.1.1). The GLO initiates a GL rekey
   at any time. The GLA can be configured to automatically rekey the GL
   prior to the expiration of the shared KEK (the length of time before
   the expiration is an implementation decision). The GLA can also
   automatically rekey GLs that have been compromised, but this is
   covered in section 5. Figure 7 depicts the protocol interactions to
   request a GL rekey. Note that error messages are not depicted.
   Additionally, behavior for the optional transactionId, senderNonce,
   and recipientNonce CMC control attributes is not addressed in these
   procedures.

                  +-----+  1   2,A  +-----+
                  | GLA | <-------> | GLO |
                  +-----+           +-----+



Turner                   Expires July 2003                        53
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

                     Figure 7 - GL Rekey Request


4.5.1 GLO Initiated Rekey Requests

   The process for GLO initiated glRekey requests is as follows:

     1 - The GLO sends a SignedData.PKIData.controlSequence.glRekey
         request to the GLA (1 in Figure 7). The GLO includes the
         glName. If glAdministration and glKeyNewAttributes are omitted
         then there is no change from the previously registered GL
         values for these fields. If the GLO wants to force a rekey for
         all outstanding shared KEKs it includes the glRekeyAllGLKeys
         set to TRUE. The GLO MUST also include a signingTime attribute
         is included with this request.

     1.a - The GLO can optionally apply confidentiality to the request
           by encapsulating the SignedData.PKIData in an EnvelopedData
           (see section 3.2.1.2).

     1.b - The GLO can also optionally apply another SignedData over
           the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the request, the GLA checks the signingTime
         and verifies the signature on the inner most
         SignedData.PKIData. If an additional SignedData and/or
         EnvelopedData encapsulates the request (see section 3.2.1.2 or
         3.2.2), the GLA verifies the outer signature and/or decrypt
         the outer layer prior to verifying the signature on the inner
         most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.c - Else if signature processing continues and if the signatures
           do not verify, the GLA returns a cMCStatusInfoExt response
           indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c - Else if the signatures do verify, the GLA makes sure the GL
           is supported by the GLA by checking that the glName matches
           a glName stored on the GLA.

     2.c.1 - If the glName present does not match a GL stored on the
             GLA, the GLA returns a response indicating
             cMCStatusInfoExt with cMCStatus.failed and
             otherInfo.extendedFailInfo.SKDFailInfo value of
             invalidGLName. Additionally, a signingTime attribute is
             included with the response.


Turner                   Expires July 2003                        54
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


     2.c.2 - Else if the glName present matches a GL stored on the GLA,
             the GLA checks that a registered GLO signed the request by
             checking that one of the names in the certificate used to
             sign the request is a registered GLO.

     2.c.2.a - If the names do not match, the GLA returns a response
               indicating cMCStatusInfoExt with cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               noGLONameMatch. Additionally, a signingTime attribute is
               included with the response.

     2.c.2.b - Else if the names match, the GLA checks the
               glNewKeyAttribute values.

     2.c.2.b.1 - If the new value for requestedAlgorithm is not
                 supported, the GLA returns a response indicating
                 cMCStatusInfoExt with cMCStatus.failed and
                 otherInfo.extendedFailInfo.SKDFailInfo value of
                 unsupportedAlgorithm. Additionally, a signingTime
                 attribute is included with the response.

     2.c.2.b.2 - Else if the new value duration is not supportable,
                 determining this is beyond the scope this document,
                 the GLA returns a response indicating cMCStatusInfoExt
                 with cMCStatus.failed and
                 otherInfo.extendedFailInfo.SKDFailInfo value of
                 unsupportedDuration. Additionally, a signingTime
                 attribute is included with the response.

     2.c.2.b.3 - Else if the GL is not supportable for other reasons,
                 which the GLA does not wish to disclose, the GLA
                 returns a response indicating cMCStatusInfoExt with
                 cMCStatus.failed and
                 otherInfo.extendedFailInfo.SKDFailInfo value of
                 unspecified. Additionally, a signingTime attribute is
                 included with the response.

     2.c.2.b.4 - Else if the new requestedAlgorithm and duration are
                 supportable or the glNewKeyAttributes was omitted, the
                 GLA returns a cMCStatusInfoExt.cMCStatus.success and a
                 sigingTime attribute (2 in Figure 7). The GLA also
                 uses the glKey message to distribute the rekey shared
                 KEK (see section 5).

     2.c.2.b.4.a - The GLA applies confidentiality to response by
                   encapsulating the SignedData.PKIData in an
                   EnvelopedData if the request was encapsulated in an
                   EnvelopedData (see section 3.2.1.2).

     2.c.2.b.4.b - The GLA can also optionally apply another SignedData
                   over the EnvelopedData (see section 3.2.1.2).


Turner                   Expires July 2003                        55
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


     3 - Upon receipt of the cMCStatusInfoExt response, the GLO checks
         the signingTime and verifies the GLA signature(s). If an
         additional SignedData and/or EnvelopedData encapsulates the
         forwarded response (see section 3.2.1.2 or 3.2.2), the GLO
         verifies the outer signature and/or decrypt the forwarded
         response prior to verifying the signature on the inner most
         SignedData.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     3.b - Else if signature processing continues and if the signatures
           verify, the GLO checks that one of the names in the
           certificate used to sign the response matches the name of
           the GL.

     3.b.1 - If the name of the GL does not match the name present in
             the certificate used to sign the message, the GLO should
             not believe the response.

     3.b.2 - Else if the name of the GL matches the name present in the
             certificate and:

     3.b.2.a - If the signatures verify and the response is
               cMCStatusInfoExt.cMCStatus.success, the GLO has
               successfully rekeyed the GL.

     3.b.2.b - Else if the GLO received a
               cMCStatusInfoExt.cMCStatus.failed with any reason, the
               GLO can reattempt to rekey the GL using the information
               provided in the response.


4.5.2 GLA Initiated Rekey Requests

   If the GLA is in charge of rekeying the GL the GLA will
   automatically issue a glKey message (see section 5). In addition the
   GLA will generate a cMCStatusInfoExt to indicate to the GL that a
   successful rekey has occurred. The process for GLA initiated rekey
   is as follows:

     1 - The GLA generates for all GLOs a
         SignedData.PKIData.controlSequence.cMCStatusInfoExt.cMCStatus.
         success and includes a signingTime attribute (A in Figure 7).

     1.a - The GLA can optionally apply confidentiality to the request
           by encapsulating the SignedData.PKIData in an EnvelopedData
           (see section 3.2.1.2).



Turner                   Expires July 2003                        56
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     1.b - The GLA can also optionally apply another SignedData over
           the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the cMCStatusInfoExt.cMCStatus.success
         response, the GLO checks the signingTime and verifies the GLA
         signature(s). If an additional SignedData and/or EnvelopedData
         encapsulates the forwarded response (see section 3.2.1.2 or
         3.2.2), the GLO MUST verify the outer signature and/or decrypt
         the outer layer prior to verifying the signature on the inner
         most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           verify, the GLO checks that one of the names in the
           certificate used to sign the response matches the name of
           the GL.

     2.b.1 - If the name of the GL does not match the name present in
             the certificate used to sign the message, the GLO ought
             not believe the response.

     2.b.2 - Else if the name of the GL does match the name present in
             the certificate and and the response is
             cMCStatusInfoExt.cMCStatus.success, the GLO knows the GLA
             has successfully rekeyed the GL.


4.6 Change GLO

   Management of managed and closed GLs can become difficult for one
   GLO if the GL membership grows large. To support distributing the
   workload, GLAs support having GLs be managed by multiple GLOs. The
   glAddOwner and glRemoveOwner messages are designed to support adding
   and removing registered GLOs. Figure 8 depicts the protocol
   interactions to send glAddOwner and glRemoveOwner messages and the
   resulting response messages. Note that error messages are not shown.
   Additionally, behavior for the optional transactionId, senderNonce,
   and recipientNonce CMC control attributes is not addressed in these
   procedures.


                      +-----+   1    2  +-----+
                      | GLA | <-------> | GLO |
                      +-----+           +-----+

                 Figure 8 - GLO Add & Delete Owners




Turner                   Expires July 2003                        57
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   The process for glAddOwner and glDeleteOwner is as follows:

     1 - The GLO sends a SignedData.PKIData.controlSequence.glAddOwner
         or glRemoveOwner request to the GLA (1 in Figure 8). The GLO
         includes: the GL name in glName, the name and address of the
         GLO in glOwnerName and glOwnerAddress, respectively. The GLO
         MUST also include the signingTime attribute with this request.

     1.a - The GLO can optionally apply confidentiality to the request
           by encapsulating the SignedData.PKIData in an EnvelopedData
           (see section 3.2.1.2).

     1.b - The GLO can also optionally apply another SignedData over
           the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the glAddOwner or glRemoveOwner request, the
         GLA checks the signingTime and verifies the GLO signature(s).
         If an additional SignedData and/or EnvelopedData encapsulates
         the request (see section 3.2.1.2 or 3.2.2), the GLA verifies
         the outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannot verified, the GLA returns a cMCStatusInfoExt response
           indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c - Else if the signatures verify, the GLA makes sure the GL is
           supported by checking that the glName matches a glName
           stored on the GLA.

     2.c.1 - If the glName is not supported by the GLA, the GLA returns
             a response indicating cMCStatusInfoExt with
             cMCStatus.failed and
             otherInfo.extendedFailInfo.SKDFailInfo value of
             invalidGLName. Additionally, a signingTime attribute is
             included with the response.

     2.c.2 - Else if the glName is supported by the GLA, the GLA
             ensures a registered GLO signed the glAddOwner or
             glRemoveOwner request by checking that one of the names
             present in the digital signature certificate used to sign
             the glAddOwner or glDeleteOwner request matches the name
             of a registered GLO.




Turner                   Expires July 2003                        58
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     2.c.2.a - If the names do not match, the GLA returns a response
               indicating cMCStatusInfoExt with cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of
               noGLONameMatch. Additionally, a signingTime attribute is
               included with the response.

     2.c.2.b - Else if the names match, the GLA returns a
               cMCStatusInfoExt.cMCStatus.success and a signingTime
               attribute (2 in Figure 4). The GLA also takes
               administrative actions to associate the new glOwnerName
               with the GL in the case of glAddOwner or to disassociate
               the old glOwnerName with the GL in the cased of
               glRemoveOwner.

     2.c.2.b.1 - The GLA applies confidentiality to the response by
                 encapsulating the SignedData.PKIResponse in an
                 EnvelopedData if the request was encapsulated in an
                 EnvelopedData (see section 3.2.1.2).

     2.c.2.b.2 - The GLA can also optionally apply another SignedData
                 over the EnvelopedData (see section 3.2.1.2).

     3 - Upon receipt of the cMCStatusInfoExt response, the GLO checks
         the signingTime and verifies the GLA's signature(s). If an
         additional SignedData and/or EnvelopedData encapsulates the
         response (see section 3.2.1.2 or 3.2.2), the GLO verifies the
         outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     3.b - Else if signature processing continues and if the signatures
           verify, the GLO checks that one of the names in the
           certificate used to sign the response matches the name of
           the GL.

     3.b.1 û If the name of GL does not match the name present in the
             certificate used to sign the message, the GLO should not
             believe the response.

     3.b.2 û Else if the name of the GL does match the name present in
             the certificate and:

     3.b.2.a - If the signatures verify and the response was
               cMCStatusInfoExt.cMCStatus.success, the GLO has
               successfully added or removed the GLO.

     3.b.2.b - Else if the signatures verify and the response was
               cMCStatusInfoExt.cMCStatus.failed with any reason, the


Turner                   Expires July 2003                        59
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

               GLO can reattempt to add or delete the GLO using the
               information provided in the response.


4.7 Indicate KEK Compromise

   There will be times when the shared KEK is compromised. GL members
   and GLOs use glkCompromise to tell the GLA that the shared KEK has
   been compromised. Figure 9 depicts the protocol interactions for GL
   Key Compromise. Note that error messages are not shown.
   Additionally, behavior for the optional transactionId, senderNonce,
   and recipientNonce CMC control attributes is not addressed in these
   procedures.

                +-----+  2{1}                  4  +----------+
                | GLO | <----------+    +-------> | Member 1 |
                +-----+  5,3{1}    |    |         +----------+
                +-----+ <----------+    |      4  +----------+
                | GLA |  1              +-------> |   ...    |
                +-----+ <---------------+         +----------+
                                        |      4  +----------+
                                        +-------> | Member n |
                                                  +----------+

                   Figure 9 - GL Key Compromise

4.7.1 GL Member Initiated KEK Compromise Message

   The process for GL member initiated glkCompromise messages is as
   follows:

     1 - The GL member sends a
         SignedData.PKIData.controlSequence.glkCompromise request to
         the GLA (1 in Figure 9). The GL member includes the name of
         the GL in GeneralName. The GL member MUST also include the
         signingTime attribute with this request.

     1.a - The GL member can optionally apply confidentiality to the
           request by encapsulating the SignedData.PKIData in an
           EnvelopedData (see section 3.2.1.2). The glkCompromise can
           be included in an EnvelopedData generated with the
           compromised shared KEK.

     1.b - The GL member can also optionally apply another SignedData
           over the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the glkCompromise request, the GLA checks the
         signingTime and verifies the GL member signature(s). If an
         additional SignedData and/or EnvelopedData encapsulates the
         request (see section 3.2.1.2 or 3.2.2), the GLA verifies the
         outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.


Turner                   Expires July 2003                        60
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannotbe verified, the GLA returns a cMCStatusInfoExt
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c - Else if the signatures verify, the GLA makes sure the GL is
           supported by checking that the indicated GL name matches a
           glName stored on the GLA.

     2.c.1 - If the glName is not supported by the GLA, the GLA returns
             a response indicating cMCStatusInfoExt with
             cMCStatus.failed and
             otherInfo.extendedFailInfo.SKDFailInfo value of
             invalidGLName. Additionally, a signingTime attribute is
             included with the response.

     2.c.2 - Else if the glName is supported by the GLA, the GLA checks
             who signed the request. For GLOs, one of the names in the
             certificate used to sign the request needs to match a
             registered GLO. For the member, the name in
             glMember.glMemberName needs to match one of the names in
             the certificate used to sign the request.

     2.c.2.a - If the GLO signed the request, the GLA generates a glKey
               message as described in section 5 to rekey the GL (4 in
               Figure 9).

     2.c.2.b - Else if someone other than the GLO signed the request,
               the GLA forwards the glkCompromise message (see section
               3.2.3) to the GLO (2{1} in Figure 9). If there is more
               than one GLO, to which GLO the request is forwarded is
               beyond the scope of this document. Further processing by
               the GLO is discussed in section 4.7.2.


4.7.2 GLO Initiated KEK Compromise Message

   The process for GLO initiated glkCompromise messages is as follows:

     1 - The GLO either:

     1.a - Generates the glkCompromise message itself by sending a
           SignedData.PKIData.controlSequence.glkCompromise request to
           the GLA (5 in Figure 9). The GLO includes the name of the GL



Turner                   Expires July 2003                        61
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

           in GeneralName. The GLO MUST also include a signingTime
           attribute with this request.

     1.a.1 - The GLO can optionally apply confidentiality to the
             request by encapsulating the SignedData.PKIData in an
             EnvelopedData (see section 3.2.1.2). The glkCompromise can
             be included in an EnvelopedData generated with the
             compromised shared KEK.

     1.a.2 - The GLO can also optionally apply another SignedData over
             the EnvelopedData (see section 3.2.1.2).

     1.b û Otherwise, checks the signingTime and verifies the GLA and
           GL member signatures on the forwarded glkCompromise message.
           If an additional SignedData and/or EnvelopedData
           encapsulates the request (see section 3.2.1.2 or 3.2.2), the
           GLO verifies the outer signature and/or decrypt the outer
           layer prior to verifying the signature on the inner most
           SignedData.

     1.b.1 - If the signingTime attribute value is not within the
             locally accepted time window, the GLO MAY return a
             response indicating cMCStatus.failed and
             otherInfo.failInfo.badTime and a signingTime attribute.

     1.b.2 - Else if signature processing continues and if the
             signatures cannot be verified, the GLO returns a
             cMCStatusInfoExt response indicating cMCStatus.failed and
             otherInfo.failInfo.badMessageCheck. Additionally, a
             signingTime attribute is included with the response.

     1.b.2.a - If the signatures verify, the GLO checks the names in
               the certificate match the name of the signer (i.e., the
               name in the certificate used to sign the GL member's
               request is the GL member).

     1.b.2.a.1 û If either name does not match, the GLO ought not trust
                 the signer and it ought not forward the message to the
                 GLA.

     1.b.2.a.2 û Else if the names match and the signatures verify, the
                 GLO determines whether to forward the glkCompromise
                 message back to the GLA (3{1} in Figure 9). Further
                 processing by the GLA is in 2 of section 4.7.1. The
                 GLO can also return a response to the prospective
                 member with cMCStatusInfoExt.cMCtatus.success
                 indicating that the glkCompromise message was
                 successfully received.






Turner                   Expires July 2003                        62
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

4.8 Request KEK Refresh

   There will be times when GL members have unrecoverably lost their
   shared KEK. The shared KEK is not compromised and a rekey of the
   entire GL is not necessary. GL members use the glkRefresh message to
   request that the shared KEK(s) be redistributed to them. Figure 10
   depicts the protocol interactions for GL Key Refresh. Note that
   error messages are not shown. Additionally, behavior for the
   optional transactionId, senderNonce, and recipientNonce CMC control
   attributes is not addressed in these procedures.

                      +-----+   1       2   +----------+
                      | GLA | <-----------> |  Member  |
                      +-----+               +----------+

                         Figure 10 - GL KEK Refresh


   The process for glkRefresh is as follows:

     1 - The GL member sends a
         SignedData.PKIData.controlSequence.glkRefresh request to the
         GLA (1 in Figure 10). The GL member includes name of the GL in
         GeneralName. The GL member MUST also include a signingTime
         attribute with this request.

     1.a - The GL member can optionally apply confidentiality to the
           request by encapsulating the SignedData.PKIData in an
           EnvelopedData (see section 3.2.1.2).

     1.b - The GL member can also optionally apply another SignedData
           over the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the glkRefresh request, the GLA checks the
         signingTime and verifies the GL member signature(s). If an
         additional SignedData and/or EnvelopedData encapsulates the
         request (see section 3.2.1.2 or 3.2.2), the GLA verifies the
         outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannot be verified, the GLA returns a cMCStatusInfoExt
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.




Turner                   Expires July 2003                        63
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     2.c - Else if the signatures verify, the GLA makes sure the GL is
           supported by checking that the GLGeneralName matches a
           glName stored on the GLA.

     2.c.1 - If the name of the GL is not supported by the GLA, the GLA
             returns a response indicating cMCStatusInfoExt with
             cMCStatus.failed and
             otherInfo.extendedFailInfo.SKDFailInfo value of
             invalidGLName. Additionally, a signingTime attribute is
             included with the response.

     2.c.2 - Else if the glName is supported by the GLA, the GLA
             ensures the GL member is on the GL.

     2.c.2.a - If the glMemberName is not present on the GL, the GLA
               returns a response indicating cMCStatusInfoExt with
               cMCStatus.failed and
               otherInfo.extendedFailInfo.SKDFailInfo value of noSpam.
               Additionally, a signingTime attribute is included with
               the response.

     2.c.2.b - Else if the glMemberName is present on the GL, the GLA
               returns a cMCStatusInfoExt.cMCStatus.success, a
               signingTime attribute, and a glKey message (2 in Figure
               10) as described in section 5.


4.9 GLA Query Request and Response

   There will be certain times when a GLO is having trouble setting up
   a GL because they do not know the algorithm(s) or some other
   characteristic that the GLA supports. There can also be times when
   prospective GL members or GL members need to know something about
   the GLA (these requests are not defined in the document). The
   glaQueryRequest and glaQueryResponse message have been defined to
   support determining this information. Figure 11 depicts the protocol
   interactions for glaQueryRequest and glaQueryResponse. Note error
   messages are not shown. Additionally, behavior for the optional
   transactionId, senderNonce, and recipientNonce CMC control
   attributes is not addressed in these procedures.

                      +-----+   1    2  +------------------+
                      | GLA | <-------> | GLO or GL Member |
                      +-----+           +------------------+

                Figure 11 - GLA Query Request & Response


   The process for glaQueryRequest and glaQueryResponse is as follows:

     1 - The GLO, GL member, or prospective GL member sends a
         SignedData.PKIData.controlSequence.glaQueryRequest request to


Turner                   Expires July 2003                        64
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

         the GLA (1 in Figure 11). The GLO, GL member, or prospective
         GL member indicates the information they are interested in
         receiving from the GLA. Additionally, a signingTime attribute
         is included with this request.

     1.a - The GLO, GL member, or prospective GL member can optionally
           apply confidentiality to the request by encapsulating the
           SignedData.PKIData in an EnvelopedData (see section
           3.2.1.2).

     1.b - The GLO, GL member, or prospective GL member can also
           optionally apply another SignedData over the EnvelopedData
           (see section 3.2.1.2).

     2 - Upon receipt of the glaQueryRequest, the GLA determines if it
         accepts glaQueryRequest messages.

     2.a - If the GLA does not accept glaQueryRequest messages, the GLA
           returns a cMCStatusInfoExt response indicating
           cMCStatus.noSupport and any other information in
           statusString.

     2.b - Else if the GLA does accept GLAQueryRequests, the GLA checks
           the signingTime and verifies the GLO, GL member, or
           prospective GL member signature(s). If an additional
           SignedData and/or EnvelopedData encapsulates the request
           (see section 3.2.1.2 or 3.2.2), the GLA verifies the outer
           signature and/or decrypt the outer layer prior to verifying
           the signature on the inner most SignedData.

     2.b.1 - If the signingTime attribute value is not within the
             locally accepted time window, the GLA MAY return a
             response indicating cMCStatus.failed and
             otherInfo.failInfo.badTime and a signingTime attribute.

     2.b.2 - Else if the signature processing continues and if the
             signatures cannot be verified, the GLA returns a
             cMCStatusInfoExt response indicating cMCStatus.failed and
             otherInfo.failInfo.badMessageCheck. Additionally, a
             signingTime attribute is included with the response.

     2.b.3 - Else if the signatures verify, the GLA returns a
             glaQueryResponse (2 in Figure 11) with the correct
             response if the glaRequestType is supported or return a
             cMCStatusInfoExt response indicating cMCStatus.noSupport
             if the glaRequestType is not supported. Additionally, a
             signingTime attribute is included with the response.

     2.b.3.a - The GLA applies confidentiality to the response by
               encapsulating the SignedData.PKIResponse in an
               EnvelopedData if the request was encapsulated in an
               EnvelopedData (see section 3.2.1.2).


Turner                   Expires July 2003                        65
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


     2.b.3.b - The GLA can also optionally apply another SignedData
               over the EnvelopedData (see section 3.2.1.2).

     3 - Upon receipt of the glaQueryResponse, the GLO, GL member, or
         prospective GL member checks the signingTime and verifies the
         GLA signature(s). If an additional SignedData and/or
         EnvelopedData encapsulates the response (see section 3.2.1.2
         or 3.2.2), the GLO, GL member, or prospective GL member
         verifies the outer signature and/or decrypt the outer layer
         prior to verifying the signature on the inner most SignedData.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO, GL member, or prospective GL
           member MAY return a response indicating cMCStatus.failed and
           otherInfo.failInfo.badTime and a signingTime attribute.

     3.b - Else if signature processing continues and if the signatures
           do not verify, the GLO, GL member, or prospective GL member
           returns a cMCStatusInfoExt response indicating
           cMCStatus.failed and otherInfo.failInfo.badMessageCheck.
           Additionally, a signingTime attribute is included with the
           response.

     3.c - Else if the signatures verify, then the GLO, GL member, or
           prospective GL member checks that one of the names in the
           certificate used to sign the response matches the name of
           the GL.

     3.c.1 û If the name of the GL does not match the name present in
             the certificate used to sign the message, the GLO ought
             not believe the response.

     3.c.2 - Else if the name of the GL matches the name present in the
             certificate and the response was glaQueryResponse, then
             the GLO, GL member, or prospective GL member may use the
             information contained therein.


4.10 Update Member Certificate

   When the GLO generates a glAddMember request, when the GLA generates
   a glKey message, or when the GLA processes a glAddMember there can
   be instances when GL member's certificate has expired or is invalid.
   In these instances the GLO or GLA may request that the GL member
   provide a new certificate to avoid the GLA from being unable to
   generate a glKey message for the GL member. There might also be
   times when the GL member knows their certificate is about to expire
   or has been revoked and they will not be able to receive GL rekeys.
   Behavior for the optional transactionId, senderNonce, and
   recipientNonce CMC control attributes is not addressed in these
   procedures.


Turner                   Expires July 2003                        66
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


4.10.1 GLO and GLA Initiated Update Member Certificate

   The process for GLO initiated glUpdateCert is as follows:

     1 - The GLO or GLA sends a
         SignedData.PKIData.controlSequence.glProvideCert request to
         the GL member. The GLO or GLA indicates the GL name in glName
         and the GL member name in glMemberName. Additionally, a
         signingTime attribute is included with this request.

     1.a - The GLO or GLA can optionally apply confidentiality to the
           request by encapsulating the SignedData.PKIData in an
           EnvelopedData (see section 3.2.1.2). If the GL member's PKC
           has been revoked, the GLO or GLA ought not use it to
           generate the EnvelopedData that encapsulates the
           glProvideCert request.

     1.b - The GLO or GLA can also optionally apply another SignedData
           over the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the glProvideCert message, the GL member
         checks the signingTime and verifies the GLO or GLA
         signature(s). If an additional SignedData and/or EnvelopedData
         encapsulates the response (see section 3.2.1.2 or 3.2.2), the
         GL member verifies the outer signature and/or decrypt the
         outer layer prior to verifying the signature on the inner most
         SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GL member MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannot be verified, the GL member returns a cMCStatusInfoExt
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c - Else if the signatures verify, the GL member generates a
           Signed.PKIResponse.controlSequence.glUpdateCert that
           includes the GL name in glName, the member name in
           glMember.glMemberName, their encryption certificate in
           glMember.certificates.pKC. The GL member can also include
           any attribute certificates associated with their encryption
           certificate in glMember.certificates.aC, and the
           certification path associated with their encryption and
           attribute certificates in glMember.certificates.certPath.
           Additionally, a signingTime attribute is included with the
           response.



Turner                   Expires July 2003                        67
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     2.c.1 - The GL member can optionally apply confidentiality to the
             request by encapsulating the SignedData.PKIResponse in an
             EnvelopedData (see section 3.2.1.2). If the GL member's
             PKC has been revoked, the GL member ought not use it to
             generate the EnvelopedData that encapsulates the
             glProvideCert request.

     2.c.2 - The GL member can also optionally apply another SignedData
             over the EnvelopedData (see section 3.2.1.2).

     3 - Upon receipt of the glUpdateCert message, the GLO or GLA
         checks the signingTime and verifies the GL member
         signature(s). If an additional SignedData and/or EnvelopedData
         encapsulates the response (see section 3.2.1.2 or 3.2.2), the
         GL member verifies the outer signature and/or decrypt the
         outer layer prior to verifying the signature on the inner most
         SignedData.

     3.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLO or GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     3.b - Else if signature processing continues and if the signatures
           cannot be verified, the GLO or GLA returns a
           cMCStatusInfoExt response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     3.c - Else if the signatures verify, the GLO or GLA verifies the
           member's encryption certificate.

     3.c.1 - If the member's encryption certificate cannot be verified,
             the GLO returns either another glProvideCert request or a
             cMCStatusInfoExt with cMCStatus.failed and the reason why
             in cMCStatus.statusString. glProvideCert should be
             returned only a certain number of times because if the GL
             member does not have a valid certificate they will never
             be able to return one. Additionally, a signingTime
             attribute is included with either response.

     3.c.2 - Else if the member's encryption certificate cannot be
             verified, the GLA returns another glProvideCert request to
             the GL member or a cMCStatusInfoExt with cMCStatus.failed
             and the reason why in cMCStatus.statusString to the GLO.
             glProvideCert should be returned only a certain number of
             times because if the GL member does not have a valid
             certificate they will never be able to return one.
             Additionally, a signingTime attribute is included with the
             response.




Turner                   Expires July 2003                        68
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

     3.c.3 - Else if the member's encryption certificate verifies, the
             GLO or GLA will use it in subsequent glAddMember requests
             and glKey messages associated with the GL member.


4.10.2 GL Member Initiated Update Member Certificate

   The process for an unsolicited GL member glUpdateCert is as follows:

     1 - The GL member sends a
         Signed.PKIData.controlSequence.glUpdateCert that includes the
         GL name in glName, the member name in glMember.glMemberName,
         their encryption certificate in glMember.certificates.pKC. The
         GL member can also include any attribute certificates
         associated with their encryption certificate in
         glMember.certificates.aC, and the certification path
         associated with their encryption and attribute certificates in
         glMember.certificates.certPath. The GL member MUST also
         include a signingTime attribute with this request.

     1.a - The GL member can optionally apply confidentiality to the
           request by encapsulating the SignedData.PKIData in an
           EnvelopedData (see section 3.2.1.2). If the GL member's PKC
           has been revoked, the GLO or GLA ought not use it to
           generate the EnvelopedData that encapsulates the
           glProvideCert request.

     1.b - The GL member can also optionally apply another SignedData
           over the EnvelopedData (see section 3.2.1.2).

     2 - Upon receipt of the glUpdateCert message, the GLA checks the
         signingTime and verifies the GL member signature(s). If an
         additional SignedData and/or EnvelopedData encapsulates the
         response (see section 3.2.1.2 or 3.2.2), the GLA verifies the
         outer signature and/or decrypt the outer layer prior to
         verifying the signature on the inner most SignedData.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannot be verified, the GLA returns a cMCStatusInfoExt
           response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck.

     2.c - Else if the signatures verify, the GLA verifies the member's
           encryption certificate.

     2.c.1 - If the member's encryption certificate cannot be verified,
             the GLA returns another glProvideCert request to the GL


Turner                   Expires July 2003                        69
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

             member or a cMCStatusInfoExt with cMCStatus.failed and the
             reason why in cMCStatus.statusString to the GLO.
             glProvideCert ought not be returned indefinitely;  if the
             GL member does not have a valid certificate they will
             never be able to return one. Additionally, a signingTime
             attribute is included with the response.

     2.c.2 - Else if the member's encryption certificate verifies, the
             GLA will use it in subsequent glAddMember requests and
             glKey messages associated with the GL member. The GLA also
             forwards the glUpdateCert message to the GLO.


5 Distribution Message

   The GLA uses the glKey message to distribute new, shared KEK(s)
   after receiving glAddMember, glDeleteMember (for closed and managed
   GLs), glRekey, glkCompromise, or glkRefresh requests and returning a
   cMCStatusInfoExt response for the respective request. Figure 12
   depicts the protocol interactions to send out glKey messages. Unlike
   the procedures defined for the administrative messages, the
   procedures defined in this section MUST be implemented by GLAs for
   origination and by GL members on reception. Note that error messages
   are not shown. Additionally, behavior for the optional
   transactionId, senderNonce, and recipientNonce CMC control
   attributes is not addressed in these procedures.

                                     1   +----------+
                               +-------> | Member 1 |
                               |         +----------+
                   +-----+     |     1   +----------+
                   | GLA | ----+-------> |   ...    |
                   +-----+     |         +----------+
                               |     1   +----------+
                               +-------> | Member n |
                                         +----------+

                   Figure 12 - GL Key Distribution


   If the GL was setup with GLKeyAttributes.recipientsNotMutuallyAware
   set to TRUE, a separate glKey message MUST be sent to each GL member
   so as to not divulge information about the other GL members.

   When the glKey message is generated as a result of a:

     - glAddMember request,
     - glkComrpomise indication,
     - glkRefresh request,
     - glDeleteMember request with the GL's glAdministration set to
       managed or closed, and
     - glRekey request with generationCounter set to zero (0).


Turner                   Expires July 2003                        70
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution


   The GLA MUST use either the kari (see section 12.3.2 of [CMS]) or
   ktri (see section 12.3.1 of [CMS]) choice in
   glKey.glkWrapped.RecipientInfo to ensure only the intended
   recipients receive the shared KEK. The GLA MUST support the ktri
   choice.

   When the glKey message is generated as a result of a glRekey request
   with generationCounter greater than zero (0) or when the GLA
   controls rekeys, the GLA MAY use the kari, ktri, or kekri (see
   section 12.3.3 of [CMS]) in glKey.glkWrapped.RecipientInfo to ensure
   only the intended recipients receive the shared KEK. The GLA MUST
   support the RecipientInfo.ktri choice.


5.1 Distribution Process

   When a glKey message is generated the process is as follows:

     1 - The GLA MUST send a SignedData.PKIData.controlSequence.glKey
         to each member by including: glName, glIdentifier, glkWrapped,
         glkAlgorithm, glkNotBefore, and glkNotAfter. If the GLA can
         not generate a glKey message for the GL member because the GL
         member's PKC has expired or is otherwise invalid, the GLA MAY
         send a glUpdateCert to the GL member requesting a new
         certificate be provided (see section 4.10). The number of
         glKey messages generated for the GL is described in section
         3.1.16. Additionally, a signingTime attribute is included with
         the distribution message(s).

     1.a - The GLA MAY optionally apply another confidentiality layer
           to the message by encapsulating the SignedData.PKIData in
           another EnvelopedData (see section 3.2.1.2).

     1.b - The GLA MAY also optionally apply another SignedData over
           the EnvelopedData.SignedData.PKIData (see section 3.2.1.2).

     2 - Upon receipt of the glKey message, the GL members MUST check
         the signingTime and verify the signature over the inner most
         SignedData.PKIData. If an additional SignedData and/or
         EnvelopedData encapsulates the message (see section 3.2.1.2 or
         3.2.2), the GL Member MUST verify the outer signature and/or
         decrypt the outer layer prior to verifying the signature on
         the SignedData.PKIData.controlSequence.glKey.

     2.a - If the signingTime attribute value is not within the locally
           accepted time window, the GLA MAY return a response
           indicating cMCStatus.failed and otherInfo.failInfo.badTime
           and a signingTime attribute.

     2.b - Else if signature processing continues and if the signatures
           cannot be verified, the GL member MUST return a


Turner                   Expires July 2003                        71
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

           cMCStatusInfoExt response indicating cMCStatus.failed and
           otherInfo.failInfo.badMessageCheck. Additionally, a
           signingTime attribute is included with the response.

     2.c - Else if the signatures verify, the GL member process the
           RecipientInfos according to [CMS]. Once unwrapped the GL
           member should store the shared KEK in a safe place. When
           stored, the glName, glIdentifier, and shared KEK should be
           associated.  Additionally, the GL member MUST return a
           cMCStatusInfoExt indicating cMCStatus.success to tell the
           GLA the KEK was received.


6 Algorithms

   This section lists the algorithms that MUST be implemented.
   Additional algorithms that SHOULD be implemented are also included.
   Further algorithms MAY also be implemented.


6.1 KEK Generation Algorithm

   Implementations MUST randomly generate content-encryption keys,
   message-authentication keys, initialization vectors (IVs), and
   padding. Also, the generation of public/private key pairs relies on
   a random numbers. The use of inadequate pseudo-random number
   generators (PRNGs) to generate cryptographic keys can result in
   little or no security. An attacker may find it much easier to
   reproduce the PRNG environment that produced the keys, searching the
   resulting small set of possibilities, rather than brute force
   searching the whole key space.  The generation of quality random
   numbers is difficult.  RFC 1750 [RANDOM] offers important guidance
   in this area, and Appendix 3 of FIPS Pub 186 [FIPS] provides one
   quality PRNG technique.


6.2 Shared KEK Wrap Algorithm

   In the mechanisms described in sections 5, the shared KEK being
   distributed in glkWrapped MUST be protected by a key of equal or
   greater length (i.e., if a RC2 128-bit key is being distributed a
   key of 128-bits or greater must be used to protect the key).

   The algorithm object identifiers included in glkWrapped are as
   specified in AlgSpec [CMSALG].


6.3 Shared KEK Algorithm

   The shared KEK distributed and indicated in glkAlgorithm MUST
   support the symmetric key-encryption algorithms as specified in
   section AlgSpec [CMSALG].


Turner                   Expires July 2003                        72
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution



7 Message Transport

   SMTP [SMTP] MUST be supported. Other transport mechanisms MAY also
   be supported.


8 Security Considerations

   As GLOs control setting up and tearing down the GL, rekeying the GL,
   and can control member additions and deletions, GLOs play an
   important role in the management of the GL, and only "trusted" GLOs
   should be used.

   If a member is deleted or removed from a closed or a managed GL, the
   GL needs to be rekeyed. If the GL is not rekeyed after a member is
   removed or deleted, the member still posses the group key and will
   be able to continue to decrypt any messages that can be obtained.

   Members who store KEKs MUST associate the name of the GLA that
   distributed the key so that the members can make sure subsequent
   rekeys are originated from the same entity.

   When generating keys, care should be taken to ensure that the key
   size is not too small and duration too long because attackers will
   have more time to attack the key. Key size should be selected to
   adequately protect sensitive business communications.

   GLOs and GLAs need to make sure that the generationCounter and
   duration are not too large. For example, if the GLO indicates that
   the generationCounter is 14 and the duration is one year, then 14
   keys are generated each with a validity period of a year. An
   attacker will have at least 13 years to attack the final key.

   Assume that two or more parties have a shared KEK, and the shared
   KEK is used to encrypt a second KEK for confidential distribution to
   those parties.  The second KEK might be used to encrypt a third KEK;
   the third KEK might be used to encrypt a fourth KEK; and so on.  If
   any of the KEKs in such a chain is compromised, all of the
   subsequent KEKs in the chain MUST also be considered compromised.

   An attacker can attack the group's shared KEK by attacking one
   member's copy of the shared KEK or attacking multiple member's
   copies of the shared KEK. For the attacker it may be easier to
   either attack the group member with the weakest security protecting
   their copy of the shared KEK or by attacking multiple group members.
   An aggregation of the information gathered during the attack(s) may
   lead to the compromise of the group's shared KEK.  Mechanisms to
   protect the shared KEK should be commensurate with value of the data
   being protected.



Turner                   Expires July 2003                        73
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   The nonce and signingTime attributes are used to protect against
   replay attacks. However, these provisions are only helpful if
   entities maintain state information about the messages they have
   sent or received for comparison. If sufficient information is not
   maintained on each exchange, nonces and signingTime are not helpful.
   Local policy determines the amount and duration of state information
   that is maintained. Additionally, without a unified time source,
   there is the possibility of clocks drifting. Local policy determines
   the acceptable difference between the local time and signingTime,
   which must compensate for unsynchronized clock. Implementations MUST
   handle messages with siginingTime attributes that indicate they were
   created in the future.


9 References

9.1 Informative

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

   [X400TRANS] Hoffman, P., and C. Bonatti, "Transporting S/MIME
   Objects in X.400", draft-ietf-smime-x400transport-05.txt, November
   2002.

   [RANDOM] Eastlake, D., Crocker, S. and J. Schiller, "Randomness
   Recommendations for Security", RFC 1750, December 1994.

   [FIPS] National Institute of Standards and Technology. FIPS Pub 186:
   Digital Signature Standard.  19 May 1994.


9.1 Normative

   [CMS] Housley, R., "Cryptographic Message Syntax," RFC 3369, August
   2002.

   [CMC] Myers, M., Liu, X., Schaad, J., Weinsten, J., "Certificate
   Management Message over CMS," draft-ietf-pkix-2797-bis-00.txt, April
   2001.

   [PROFILE] Housley, R., Ford, W., Polk, W. and D. Solo, "Internet
   X.509 Public Key Infrastructure: Certificate and CRL Profile", RFC
   3280, April 2002.

   [ACPROF] Farrell, S., Housley, R., "An Internet Attribute
   Certificate Profile for Authorization", RFC 3281, April 2002.

   [MSG] Ramsdale, B., "S/MIME Version 3 Message Specification," RFC
   2633, June 1999.




Turner                   Expires July 2003                        74
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   [ESS] Hoffman, P., "Extended Security Services for S/MIME", RFC
   2634, June 1999.

   [CMSALG] 11  Housley, R., "Cryptographic Message Syntax (CMS)
   Algorithms", RFC 3370, August 2002.

   [SMTP] Postel, j., "Simple Mail Transport Protocol," RFC 821, August
   1982.


10 Acknowledgements

   Thanks to Russ Housley and Jim Schaad for providing much of the
   background and review required to write this document.


11 Author's Addresses

   Sean Turner
   IECA, Inc.
   Phone: +1.703.628.3180
   Email: turners@ieca.com
































Turner                   Expires July 2003                        75
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

Annex A: ASN.1 Module

   SMIMESymmetricKeyDistribution
     { iso(1) member-body(2) us(840) rsadsi(113549) pkcs(1) pkcs-9(9)
   smime(16) modules(0) symkeydist(12) }

   DEFINITIONS IMPLICIT TAGS ::=
   BEGIN

   -- EXPORTS All --
   -- The types and values defined in this module are exported for use
   -- in the other ASN.1 modules.  Other applications may use them for
   -- their own purposes.

   IMPORTS

   -- PKIX Part 1 - Implicit
      GeneralName
        FROM PKIX1Implicit88 {iso(1) identified-organization(3) dod(6)
             internet(1) security(5) mechanisms(5) pkix(7) id-mod(0)
             id-pkix1-implicit(19)}

   -- PKIX Part 1 - Explicit
      AlgorithmIdentifier, Certificate
        FROM PKIX1Explicit88 { iso(1) identified-organization(3) dod(6)
             internet(1) security(5) mechanisms(5) pkix(7) id-mod(0)
             id-pkix1-explicit(18) }

   -- Cryptographic Message Syntax
      RecipientInfos, id-alg-CMS3DESwrap, KEKIdentifier,
      CertificateSet
        FROM CryptographicMessageSyntax {iso(1) member-body(2) us(840)
          rsadsi(113549) pkcs(1) pkcs-9(9) smime(16) modules(0)
          cms-2001(14)}

   -- Attribute Certificate Profile
      AttributeCertificate FROM
         PKIXAttributeCertificate { iso(1) identified-organization(3)
         dod(6) internet(1) security(5) mechanisms(5) pkix(7)
         id-mod(0) id-mod-attribute-cert(12)};

   -- This defines the GL symmetric key distribution object identifier
   -- arc.

   id-skd OBJECT IDENTIFIER ::= { iso(1) member-body(2) us(840)
   rsadsi(113549) pkcs(1) pkcs-9(9) smime(16) skd(8) }

   -- This defines the GL Use KEK control attribute

   id-skd-glUseKEK OBJECT IDENTIFIER ::= { id-skd 1}




Turner                   Expires July 2003                        76
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   GLUseKEK ::= SEQUENCE {
     glInfo                GLInfo,
     glOwnerInfo           SEQUENCE SIZE (1..MAX) OF GLOwnerInfo,
     glAdministration      GLAdministration DEFAULT 1,
     glKeyAttributes       GLKeyAttributes OPTIONAL }

   GLInfo ::= SEQUENCE {
     glName     GeneralName,
     glAddress  GeneralName }

   GLOwnerInfo ::= SEQUENCE {
     glOwnerName     GeneralName,
     glOwnerAddress  GeneralName,
     certificates    Certificates OPTIONAL }

   GLAdministration ::= INTEGER {
     unmanaged  (0),
     managed    (1),
     closed     (2) }

   GLKeyAttributes ::= SEQUENCE {
     rekeyControlledByGLO       [0] BOOLEAN DEFAULT FALSE,
     recipientsNotMutuallyAware [1] BOOLEAN DEFAULT TRUE,
     duration                   [2] INTEGER DEFAULT 0,
     generationCounter          [3] INTEGER DEFAULT 2,
     requestedAlgorithm         [4] AlgorithmIdentifier
                                 DEFAULT id-alg-CMS3DESwrap }

   -- This defines the Delete GL control attribute.
   -- It has the simple type GeneralName.

   id-skd-glDelete OBJECT IDENTIFIER ::= { id-skd 2}

   DeleteGL ::= GeneralName

   -- This defines the Add GL Member control attribute

   id-skd-glAddMember OBJECT IDENTIFIER ::= { id-skd 3}

   GLAddMember ::= SEQUENCE {
     glName    GeneralName,
     glMember  GLMember }

   GLMember ::= SEQUENCE {
     glMemberName     GeneralName,
     glMemberAddress  GeneralName OPTIONAL,
     certificates     Certificates OPTIONAL }







Turner                   Expires July 2003                        77
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   Certificates ::= SEQUENCE {
      pKC                [0] Certificate OPTIONAL,
                                  -- See [PROFILE]
      aC                 [1] SEQUENCE SIZE (1.. MAX) OF
                             AttributeCertificate OPTIONAL,
                                  -- See [ACPROF]
      certPath           [2] CertificateSet OPTIONAL }
                                  -- From [CMS]

   -- This defines the Delete GL Member control attribute

   id-skd-glDeleteMember OBJECT IDENTIFIER ::= { id-skd 4}

   GLDeleteMember ::= SEQUENCE {
     glName            GeneralName,
     glMemberToDelete  GeneralName }

   -- This defines the Delete GL Member control attribute

   id-skd-glRekey OBJECT IDENTIFIER ::= { id-skd 5}

   GLRekey ::= SEQUENCE {
     glName              GeneralName,
     glAdministration    GLAdministration OPTIONAL,
     glNewKeyAttributes  GLNewKeyAttributes OPTIONAL,
     glRekeyAllGLKeys    BOOLEAN OPTIONAL }

   GLNewKeyAttributes ::= SEQUENCE {
     rekeyControlledByGLO       [0] BOOLEAN OPTIONAL,
     recipientsNotMutuallyAware [1] BOOLEAN OPTIONAL,
     duration                   [2] INTEGER OPTIONAL,
     generationCounter          [3] INTEGER OPTIONAL,
     requestedAlgorithm         [4] AlgorithmIdentifier OPTIONAL }

   -- This defines the Add and Delete GL Owner control attributes

   id-skd-glAddOwner OBJECT IDENTIFIER ::= { id-skd 6}
   id-skd-glRemoveOwner OBJECT IDENTIFIER ::= { id-skd 7}

   GLOwnerAdministration ::= SEQUENCE {
     glName       GeneralName,
     glOwnerInfo  GLOwnerInfo }

   -- This defines the GL Key Compromise control attribute.
   -- It has the simple type GeneralName.

   id-skd-glKeyCompromise OBJECT IDENTIFIER ::= { id-skd 8}

   GLKCompromise ::= GeneralName





Turner                   Expires July 2003                        78
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   -- This defines the GL Key Refresh control attribute.

   id-skd-glkRefresh OBJECT IDENTIFIER ::= { id-skd 9}

   GLKRefresh ::= SEQUENCE {
      glName  GeneralName,
      dates   SEQUENCE SIZE (1..MAX) OF Date }

   Date ::= SEQUENCE {
     start GeneralizedTime,
     end   GeneralizedTime OPTIONAL }

   -- This defines the GLA Query Request control attribute.

   id-skd-glaQueryRequest OBJECT IDENTIFIER ::= { id-skd 11}

   GLAQueryRequest ::= SEQUENCE {
     glaRequestType   OBJECT IDENTIFIER,
     glaRequestValue  ANY DEFINED BY glaRequestType }


   -- This defines the GLA Query Response control attribute.

   id-skd-glaQueryResponse OBJECT IDENTIFIER ::= { id-skd 12}

   GLAQueryResponse ::= SEQUENCE {
     glaResponseType   OBJECT IDENTIFIER,
     glaResponseValue  ANY DEFINED BY glaResponseType }

   -- This defines the GLA Request/Response (glaRR) arc for
   -- glaRequestType/glaResponseType.

   id-cmc-glaRR OBJECT IDENTIFIER ::= { iso(1) identified-
   organization(3) dod(6) internet(1) security(5) mechanisms(5) pkix(7)
   cmc(7) glaRR(99) }

   -- This defines the Algorithm Request

   id-cmc-gla-skdAlgRequest OBJECT IDENTIFIER ::= { id-cmc-glaRR 1 }

   SKDAlgRequest ::= NULL

   -- This defines the Algorithm Response

   id-cmc-gla-skdAlgResponse OBJECT IDENTIFIER ::= { id-cmc-glaRR 2 }

   -- Note that the response for algorithmSupported request is the
   -- smimeCapabilities attribute as defined in MsgSpec [MSG].






Turner                   Expires July 2003                        79
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   -- This defines the control attribute to request an updated
   -- certificate to the GLA.

   id-skd-glProvideCert OBJECT IDENTIFIER ::= { id-skd 13}

   GLManageCert ::= SEQUENCE {
     glName    GeneralName,
     glMember  GLMember }

   -- This defines the control attribute to return an updated
   -- certificate to the GLA. It has the type GLManageCert.

   id-skd-glManageCert OBJECT IDENTIFIER ::= { id-skd 14}

   -- This defines the control attribute to distribute the GL shared
   -- KEK.

   id-skd-glKey OBJECT IDENTIFIER ::= { id-skd 15}

   GLKey ::= SEQUENCE {
     glName        GeneralName,
     glIdentifier  KEKIdentifier,  -- See [CMS]
     glkWrapped    RecipientInfos,      -- See [CMS]
     glkAlgorithm  AlgorithmIdentifier,
     glkNotBefore  GeneralizedTime,
     glkNotAfter   GeneralizedTime }




























Turner                   Expires July 2003                        80
Internet-Draft       CMS Symmetric Key Management     Janruary 2003
                            And Distribution

   -- This defines the CMC error types

   id-cet-skdFailInfo  OBJECT IDENTIFIER ::= { iso(1)
     identified-organization(3) dod(6) internet(1) security(5)
     mechanisms(5) pkix(7) cet(15) skdFailInfo(1) }

   SKDFailInfo ::= INTEGER {
     unspecified           (0),
     closedGL              (1),
     unsupportedDuration   (2),
     noGLACertificate      (3),
     invalidCert           (4),
     unsupportedAlgorithm  (5),
     noGLONameMatch        (6),
     invalidGLName         (7),
     nameAlreadyInUse      (8),
     noSpam                (9),
     deniedAccess          (10),
     alreadyAMember        (11),
     notAMember            (12),
     alreadyAnOwner        (13),
     notAnOwner            (14) }


   END -- SMIMESymmetricKeyDistribution

   Expires July 2003



























Turner                   Expires July 2003                        81


Html markup produced by rfcmarkup 1.129b, available from https://tools.ietf.org/tools/rfcmarkup/