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authorThomas Voss <mail@thomasvoss.com> 2024-11-27 20:54:24 +0100
committerThomas Voss <mail@thomasvoss.com> 2024-11-27 20:54:24 +0100
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+Network Working Group M. Stecher
+Request for Comments: 4902 Secure Computing
+Category: Informational May 2007
+
+
+ Integrity, Privacy, and Security
+ in Open Pluggable Edge Services (OPES) for SMTP
+
+Status of This Memo
+
+ This memo provides information for the Internet community. It does
+ not specify an Internet standard of any kind. Distribution of this
+ memo is unlimited.
+
+Copyright Notice
+
+ Copyright (C) The IETF Trust (2007).
+
+Abstract
+
+ The Open Pluggable Edge Services (OPES) framework is application
+ agnostic. Application-specific adaptations extend that framework.
+ Previous work has focused on HTTP and work for SMTP is in progress.
+ These protocols differ fundamentally in the way data flows, and it
+ turns out that existing OPES requirements and IAB considerations for
+ OPES need to be reviewed with regards to how well they fit for SMTP
+ adaptation. This document analyzes aspects about the integrity of
+ SMTP and mail message adaptation by OPES systems and about privacy
+ and security issues when the OPES framework is adapted to SMTP. It
+ also lists requirements that must be considered when creating the
+ "SMTP adaptation with OPES" document.
+
+ The intent of this document is to capture this information before the
+ current OPES working group shuts down. This is to provide input for
+ subsequent working groups or individual contributors that may pick up
+ the OPES/SMTP work at a later date.
+
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+Stecher Informational [Page 1]
+
+RFC 4902 OPES/SMTP Security May 2007
+
+
+Table of Contents
+
+ 1. Introduction ....................................................3
+ 1.1. Differences between Unidirectional and
+ Bidirectional Application Protocols ........................3
+ 1.2. Non-Standardized SMTP Adaptations at SMTP Gateways .........3
+ 1.3. Non-OPES Issues of SMTP ....................................4
+ 1.4. Opportunities of OPES/SMTP to Address Some Issues ..........4
+ 1.5. Limitations of OPES in Regards to Fixing SMTP Issues .......4
+ 2. Terminology .....................................................5
+ 3. Integrity, Privacy, and Security Considerations .................5
+ 3.1. Tracing Information in OPES/SMTP ...........................5
+ 3.2. Bypass in OPES/SMTP ........................................6
+ 3.3. Compatibility with Cryptographic Protection Mechanisms .....7
+ 4. Protocol Requirements for OPES/SMTP .............................8
+ 5. IAB Considerations for OPES/SMTP ................................9
+ 5.1. IAB Consideration (2.1) One-Party Consent ..................9
+ 5.2. IAB Consideration (2.2) IP-Layer Communications ............9
+ 5.3. IAB Consideration (3.1) Notification .......................9
+ 5.4. IAB Consideration (3.2) Notification ......................10
+ 5.5. IAB Consideration (3.3) Non-Blocking ......................10
+ 5.6. IAB Consideration Application Layer Addresses (4.x) .......10
+ 5.7. IAB Consideration (5.1) Privacy ...........................10
+ 5.8. IAB Consideration Encryption ..............................11
+ 6. Security Considerations ........................................11
+ 7. References .....................................................11
+ 7.1. Normative References ......................................11
+ 7.2. Informative References ....................................11
+ Appendix A. Acknowledgements ......................................13
+
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+Stecher Informational [Page 2]
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+RFC 4902 OPES/SMTP Security May 2007
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+1. Introduction
+
+ Because OPES is a protocol that is built over application layer
+ transports, its security may depend on the specifics of the
+ transport. OPES designs are guided by the IAB considerations for
+ OPES document [2], and those considerations are revisited here in the
+ context of the SMTP protocol.
+
+ Section 3 of the OPES SMTP use cases document [6] maps some email and
+ SMTP elements to OPES names that are used in this document.
+
+1.1. Differences between Unidirectional and Bidirectional Application
+ Protocols
+
+ The IAB listed considerations for Open Pluggable Edge Services (OPES)
+ in [2] and OPES treatment of those considerations has been discussed
+ in [3]. Both documents make use of HTTP as an example for the
+ underlying protocol in OPES flows, and focus on web protocols that
+ have requests and responses in the classic form (client sends a
+ request to a server that replies with a response of the same protocol
+ within a single protocol transaction).
+
+ RFC 3914 [3] already indicates that other protocols may not fit in
+ this context, for example in Section 5.3, "Moreover, some application
+ protocols may not have explicit responses...".
+
+ When using SMTP there are still client and server applications, and
+ requests and responses handled within SMTP, but email messages are
+ sent by the data provider to the recipients (data consumers) without
+ a previous request. At that abstraction layer, email delivery via
+ SMTP is a unidirectional process and different from the previously
+ handled web protocols such as HTTP. For example, bypass has been
+ defined for OPES, so far, by the data consumer requesting an OPES
+ bypass by adding information to the application protocol request; the
+ OPES system can then react on the bypass request in both the
+ application request and response. For SMTP, the data consumer (email
+ recipient) cannot request in-band that the OPES bypass handling of
+ his/her messages.
+
+ The IAB considerations need to be revisited and special requirements
+ may be needed for OPES handling of SMTP.
+
+1.2. Non-Standardized SMTP Adaptations at SMTP Gateways
+
+ A large number of email filters are deployed at SMTP gateways today.
+ In fact, all use cases listed in "OPES SMTP Use Cases" [6] are
+ already deployed, often in non-standardized ways. This opens a
+ number of integrity, privacy, and security concerns that are not
+
+
+
+Stecher Informational [Page 3]
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+RFC 4902 OPES/SMTP Security May 2007
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+ addressed, and SMTP itself does not provide effective measures to
+ detect and defend against compromised implementations.
+
+ OPES will most likely not be able to solve these issues completely,
+ but at least should be able to improve the situation to some extent.
+
+1.3. Non-OPES Issues of SMTP
+
+ The SMTP specifications [4] require that NDRs (Non-Delivery Reports)
+ be sent to the originator of an undeliverable mail that has been
+ accepted by an SMTP server. But it has become common practice for
+ some sorts of mail (spam, worms) to be silently dropped without
+ sending an NDR, a violation of the MUST statement of SMTP (see
+ Section 3.7 of [4]). While the user of a web protocol notices if a
+ resource cannot be fetched, neither the email sender nor email
+ recipient may notice that an email was not delivered. These kind of
+ issues already exist and are not introduced by OPES.
+
+1.4. Opportunities of OPES/SMTP to Address Some Issues
+
+ Adding SMTP adaptations with OPES allows us to define a standardized
+ way for SMTP gateway filtering, to offload filtering services to
+ callout servers and address a number of the integrity, privacy, and
+ security issues. OPES offers methods to add OPES tracing information
+ and to request a bypass of filtering, and by that can make email
+ gateway filtering a more reliable and standardized function. But
+ OPES won't make email delivery via SMTP a reliable communication.
+
+1.5. Limitations of OPES in Regards to Fixing SMTP Issues
+
+ The biggest concerns when adding OPES services to a network flow are
+ that compromised, misconfigured, or faulty OPES systems may change
+ messages in a way that the consumer can no longer read them or that
+ messages are no longer delivered at all.
+
+ Defining a standard way to mark mails that have been handled by OPES
+ systems is fairly simple and does not require new techniques by SMTP
+ gateways; they already today MUST leave tracing information by adding
+ "Received" headers to mails. Therefore, recipients receiving broken
+ mail have a fair chance of finding the compromised OPES system by
+ using the trace information. There is still no guarantee, as the
+ email may have been broken in a way that makes even the tracing
+ information unreadable. But the chance will be even better than with
+ other protocols such as HTTP, because most email clients allow the
+ user to display mail headers, while many browsers have no mechanism
+ to show the HTTP headers that might include tracing info.
+
+
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+Stecher Informational [Page 4]
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+RFC 4902 OPES/SMTP Security May 2007
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+ Email that cannot be delivered, because a compromised OPES system
+ prevented the delivery of legitimate mail, MUST result in a an NDR to
+ be sent to the originator of the mail according to the SMTP
+ specifications [4]. OPES should not be forced to fix the issue that
+ NDRs are not reliable over SMTP.
+
+2. Terminology
+
+ The keywords "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
+ "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this
+ document are to be interpreted as described in [1]. When used with
+ the normative meanings, these keywords will be all uppercase.
+ Occurrences of these words in lowercase comprise normal prose usage,
+ with no normative implications.
+
+3. Integrity, Privacy, and Security Considerations
+
+3.1. Tracing Information in OPES/SMTP
+
+ Tracing OPES operations is an important requirement for OPES systems.
+ Tracing information added to email should follow a similar syntax and
+ structure to that defined for OPES/HTTP in HTTP Adaptation with Open
+ Pluggable Edge Services [5], and with the same guidelines as the SMTP
+ specifications [4] defined for the "Received" headers. (We do not
+ specify here whether "Received" headers would be used to carry the
+ OPES information, or new trace headers should be defined, such as
+ OPES-System and OPES-Via.)
+
+ OPES/SMTP specifications defining tracing requirements MUST be
+ compliant with the general OPES tracing requirements defined in OPES
+ Entities & End Points Communication [12], but MAY further restrict
+ those. For example, they might require the following: that the OPES
+ processor must add tracing information for the OPES system before
+ calling the first callout server; that it has to augment the tracing
+ information with additional data if necessary after the message
+ returns from each service it is calling; and that it must ensure that
+ the tracing information has not been deleted by an OPES service
+ before it forwards the SMTP message.
+
+ Trace information can then be seen by mail recipients when the mail
+ message reaches the recipient.
+
+ Mail that cannot be delivered or that is blocked by the OPES service
+ will either be rejected or cannot be delivered after it has been
+ accepted by an SMTP server. In the latter case, SMTP specifications
+ [4] require that an NDR MUST be sent to the originator; OPES further
+ requires that an NDR generated due to OPES processing MUST also
+ contain information about the OPES system so that the sender gets
+
+
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+Stecher Informational [Page 5]
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+RFC 4902 OPES/SMTP Security May 2007
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+ informed. If an email is rejected at the SMTP protocol level due to
+ OPES processing, an OPES system MUST also include trace data in the
+ SMTP response so that the originator can find out why and where the
+ mail was rejected.
+
+3.2. Bypass in OPES/SMTP
+
+ If a mail message was rejected or could not be delivered (and an NDR
+ was sent), the originator of the message may want to bypass the OPES
+ system that blocked the message.
+
+ If the recipient of a message receives a mail with OPES trace
+ information, he may want to receive a non-OPES version of the
+ message. Although there is no direct in-band request from the
+ recipient back to the OPES system, the recipient can contact the
+ sender and ask her to send the message again and to add a bypass
+ request for the OPES system. Not all OPES systems will be allowed to
+ fulfill a bypass request according to their policy. For example,
+ malware scanners should not be bypassed. But other OPES services are
+ good candidates for bypass requests, such as language translation of
+ the email message. Translation could be bypassed after the recipient
+ has noticed that the translated result does not meet his/her
+ expectations and that the original message would be preferred.
+
+ An OPES system MAY also define out-of-band methods to request a
+ bypass, for example, a web interface or an email message sent to the
+ server that results in the creation of a white list entry for the
+ sender/recipient pair. Examples for these out-of-band methods are
+ email systems that keep a copy of the original email in a quarantine
+ queue and only send the recipient a block notification, plus either a
+ direct link or a digest notification, with the ability to retrieve
+ the original message from quarantine. These out-of-band methods are
+ typically offered by spam filters today.
+
+ OPES MUST implement methods to request a bypass, but there cannot be
+ a guarantee that the bypass request will be approved. The security
+ needs of the receiver or the receiver's network may demand that
+ certain filters must not be bypassed (such as virus scanners). In
+ general, the receiver should be able to configure a client centric
+ OPES system, i.e. the receiver should be able to indicate if he/she
+ wants to receive a non-OPES version if it is available.
+
+ Bypass requests could be added to the mail message or within the SMTP
+ dialog. Bypass request data added to the mail message cannot bypass
+ OPES services that operate on other SMTP dialog commands, which are
+ sent before the mail message has been received (such as RCPT
+ commands).
+
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+Stecher Informational [Page 6]
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+RFC 4902 OPES/SMTP Security May 2007
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+ Bypass request data sent using an ESMTP extension as part of the SMTP
+ dialog may not reach the OPES system if intermediate SMTP relays do
+ not support those bypass request commands and don't forward that
+ information.
+
+3.3. Compatibility with Cryptographic Protection Mechanisms
+
+ Cryptography can be used to assure message privacy, to authenticate
+ the originator of messages, and to detect message modification.
+ There are standard methods for achieving some or all these
+ protections for generic messages ([9], [10], [11]), and these can be
+ used to protect SMTP data without changing the SMTP protocol.
+
+ The content of encrypted mail messages cannot be inspected by OPES
+ systems because only the intended recipient has the information
+ necessary for decryption. The IAB and others have suggested that
+ users might want to share that information with OPES systems, thus
+ permitting decryption by intermediates. For most cryptographic
+ systems that are compatible with email, this would require end users
+ to share their most valuable keys, in essence their "identities",
+ with OPES machines. Some key management systems, particularly those
+ which have centralized administrative control of keys, might have
+ trust models in which such sharing would be sensible and secure.
+
+ After decrypting the message, an OPES box that modified the content
+ would be faced with the task of re-encrypting it in order to maintain
+ some semblance of "end-to-end" privacy.
+
+ If OPES/SMTP had a way to interact with end users on a per-message
+ basis, it might be possible to communicate cryptographic key
+ information from individual messages to end users, have them compute
+ the message encrypting key for particular message, and to send that
+ back to the OPES box. This would perhaps ameliorate the need to
+ share a user's "master" message decrypting key with the OPES box.
+ This kind of communication has not been defined for OPES.
+
+ Message protection systems generally include some message integrity
+ mechanisms by which a recipient can check for a message modification
+ that may have occurred after the sender released the message. This
+ protection can be applied to encrypted or plaintext messages and can
+ be accomplished through either symmetric or asymmetric cryptography.
+ In the case of symmetric cryptography, the key sharing problem is
+ exactly similar to the encryption case discussed previously. If the
+ OPES box modified the content, then the message integrity (or
+ authentication) code would have to be recalculated and included with
+ the modified message.
+
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+RFC 4902 OPES/SMTP Security May 2007
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+ For asymmetric cryptography the situation is more complicated. The
+ message integrity is tied to the sender's public key, and although
+ anyone who can get the sender's public key can also check for a
+ message modification, no one but the sender can compute the sender's
+ signature on a modified message. Thus, an OPES system could not
+ modify messages and have them appear to come from the purported
+ sender. The notion of sharing the sender's signing key with the OPES
+ system is unpalatable because few trust models would be compatible
+ with sharing digital identities across organization boundaries.
+ However, if the OPES system doing the modification were under the
+ control of the sender's local administration, the sharing might be
+ sensible (as discussed for decryption, above).
+
+ OPES/SMTP systems could present modified content showing the modified
+ regions in a form that permits the authentication of the original
+ message and authentication of the OPES modifications (assuming the
+ OPES box had a digital signature identity and key). One method for
+ doing this is outlined in [13], but to our knowledge this method is
+ not in any standard.
+
+ There are security risks associated with sharing cryptographic keys
+ that must be addressed by implementers. Because this is not a simple
+ task, it is not a requirement for OPES/SMTP.
+
+4. Protocol Requirements for OPES/SMTP
+
+ In addition to other documents listing requirements for OPES, the
+ discussion in this document implies specific requirements for
+ designing and implementing SMTP adaptations with OPES:
+
+ o OPES Systems MUST add tracing headers to mail messages
+
+ o If an email message that has been accepted by an OPES system
+ cannot be delivered, the non-delivery report MUST include trace
+ information of the OPES system.
+
+ o The OPES/SMTP specifications MUST define a bypass request option
+ that can be included in mail messages.
+
+ o The OPES/SMTP specifications MUST define a bypass request option
+ as an extension for SMTP dialogs.
+
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+RFC 4902 OPES/SMTP Security May 2007
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+5. IAB Considerations for OPES/SMTP
+
+ This section lists the IAB considerations for OPES [2] and summarizes
+ how OPES/SMTP addresses them.
+
+5.1. IAB Consideration (2.1) One-Party Consent
+
+ The IAB recommends that all OPES services be explicitly authorized by
+ one of the application-layer end-hosts (that is, either the data
+ consumer application or the data provider application). For OPES/
+ SMTP, this means consent of either the email message sender or the
+ recipient.
+
+ The application agnostic architecture of OPES [7] requires that "OPES
+ processors MUST be consented to by either the data consumer or data
+ provider application" (OPES processor is the email gateway for OPES/
+ SMTP). This cannot prevent the consent-less introduction of OPES
+ processors by noncompliant OPES entities.
+
+5.2. IAB Consideration (2.2) IP-Layer Communications
+
+ The IAB recommends that OPES processors must be explicitly addressed
+ at the IP layer by the end user (data consumer application).
+
+ This requirement has been addressed by the architecture requirements
+ in Section 2.1 of [7] and has been further clarified in Section 2.2
+ of [3].
+
+5.3. IAB Consideration (3.1) Notification
+
+ "The overall OPES framework needs to assist content providers in
+ detecting and responding to client-centric actions by OPES
+ intermediaries that are deemed inappropriate by the content provider"
+ [2].
+
+ For OPES/SMTP this translates into assistance for the email message
+ sender to detect and respond to recipient-centric actions that are
+ deemed inappropriate by the sender.
+
+ This has been addressed in Section 3.1 and by the second tracing
+ requirements in Section 4. As discussed in Section 1.3, OPES/SMTP
+ cannot fix cases where NDRs are not sent or get blocked before
+ reaching the sender of the original message.
+
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+5.4. IAB Consideration (3.2) Notification
+
+ "The overall OPES framework should assist end users in detecting the
+ behavior of OPES intermediaries, potentially allowing them to
+ identify imperfect or compromised intermediaries" [2].
+
+ This is addressed in Section 3.1 and by the first tracing requirement
+ in Section 4. It must be noted that some email systems do not make
+ the email headers available to the end user, although the headers
+ belong to the payload that is transferred via SMTP. Building an OPES
+ architecture with those email systems should be avoided or requires
+ that the tracing information be made available to the end users in a
+ different way.
+
+5.5. IAB Consideration (3.3) Non-Blocking
+
+ "If there exists a "non-OPES" version of content available from the
+ content provider, the OPES architecture must not prevent users from
+ retrieving this "non-OPES" version from the content provider" [2].
+
+ For OPES/SMTP, this has been discussed in Section 3.2 and is
+ addressed by the two bypass requirements of Section 4.
+
+5.6. IAB Consideration Application Layer Addresses (4.x)
+
+ While "most application layer addressing revolves around URIs"
+ (section 8 of [2]), SMTP uses email addresses, for which the
+ considerations only apply to some degree.
+
+ The SMTP use cases document [6] includes a use case for Mail
+ Rerouting and Address Rewriting. Alias and email list address
+ resolution are standard functions of an email gateway described in
+ [4].
+
+ Translating the reference validity consideration regarding inter- and
+ intra-document reference validity to SMTP, OPES services mapping
+ internal to external email addresses MUST ensure the proper mapping
+ of addresses in all affected email headers.
+
+5.7. IAB Consideration (5.1) Privacy
+
+ This consideration recommends that the overall OPES framework must
+ provide for mechanisms for end users to determine the privacy
+ policies that were used by OPES intermediaries.
+
+ The application agnostic part for OPES has been discussed in Section
+ 10 of [3]. Email-specific trace information that will be added to
+ OPES/SMTP according to the requirements in Section 4 may raise
+
+
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+ additional privacy issues that MUST be added to the privacy policy
+ description of the OPES system.
+
+5.8. IAB Consideration Encryption
+
+ "If OPES was compatible with end-to-end encryption, this would
+ effectively ensure that OPES boxes would be restricted to ones that
+ are known, trusted, explicitly addressed at the IP layer, and
+ authorized (by the provision of decryption keys) by at least one of
+ the ends" [2].
+
+ This has been discussed in Section 3.3.
+
+6. Security Considerations
+
+ The document itself discusses security considerations of OPES/SMTP.
+ General security threats of OPES are described in Security Threats
+ for OPES [8]
+
+ Section 3.3 ("Compatibility with Cryptographic Protection
+ Mechanisms") mentions that an OPES system could eventually deal with
+ cryptographic keys. This raises security issues (such as
+ availability and storage of cryptographic keys) that must be
+ addressed by the implementer.
+
+7. References
+
+7.1. Normative References
+
+ [1] Bradner, S., "Key words for use in RFCs to Indicate Requirement
+ Levels", BCP 14, RFC 2119, March 1997.
+
+ [2] Floyd, S. and L. Daigle, "IAB Architectural and Policy
+ Considerations for Open Pluggable Edge Services", RFC 3238,
+ January 2002.
+
+ [3] Barbir, A. and A. Rousskov, "Open Pluggable Edge Services
+ (OPES) Treatment of IAB Considerations", RFC 3914, October
+ 2004.
+
+7.2. Informative References
+
+ [4] Klensin, J., "Simple Mail Transfer Protocol", RFC 2821, April
+ 2001.
+
+ [5] Rousskov, A. and M. Stecher, "HTTP Adaptation with Open
+ Pluggable Edge Services (OPES)", RFC 4236, November 2005.
+
+
+
+
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+ [6] Stecher, M. and A. Barbir, "Open Pluggable Edge Services (OPES)
+ SMTP Use Cases", RFC 4496, May 2006.
+
+ [7] Barbir, A., Penno, R., Chen, R., Hofmann, M., and H. Orman, "An
+ Architecture for Open Pluggable Edge Services (OPES)", RFC
+ 3835, August 2004.
+
+ [8] Barbir, A., Batuner, O., Srinivas, B., Hofmann, M., and H.
+ Orman, "Security Threats and Risks for Open Pluggable Edge
+ Services (OPES)", RFC 3837, August 2004.
+
+ [9] Elkins, M., Del Torto, D., Levien, R., and T. Roessler, "MIME
+ Security with OpenPGP", RFC 3156, August 2001.
+
+ [10] Housley, R., "Cryptographic Message Syntax (CMS)", RFC 3852,
+ July 2004.
+
+ [11] Eastlake, D., Reagle, J., and D. Solo, "(Extensible Markup
+ Language) XML-Signature Syntax and Processing", RFC 3275, March
+ 2002.
+
+ [12] Barbir, A., "Open Pluggable Edge Services (OPES) Entities and
+ End Points Communication", RFC 3897, September 2004.
+
+ [13] Orman, H., "Data Integrity for Mildly Active Content",
+ Proceedings of the Third Annual International Workshop on
+ Active Middleware Services, p.73, August 2001.
+
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+Appendix A. Acknowledgements
+
+ Many thanks to everybody who provided input and feedback for this
+ document. Very special thanks to Hilarie Orman for her input and
+ suggestions, especially for the content of Section 3.3
+ ("Compatibility with Cryptographic Protection Mechanisms").
+
+Author's Address
+
+ Martin Stecher
+ Secure Computing Corporation
+ Vattmannstr. 3
+ 33100 Paderborn
+ Germany
+
+ EMail: martin.stecher@webwasher.com
+ URI: http://www.securecomputing.com/
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+Full Copyright Statement
+
+ Copyright (C) The IETF Trust (2007).
+
+ This document is subject to the rights, licenses and restrictions
+ contained in BCP 78, and except as set forth therein, the authors
+ retain all their rights.
+
+ This document and the information contained herein are provided on an
+ "AS IS" basis and THE CONTRIBUTOR, THE ORGANIZATION HE/SHE REPRESENTS
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+Acknowledgement
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+
+Stecher Informational [Page 14]
+