| Internet-Draft | IoT initial security setup | March 2023 |
| Sethi, et al. | Expires 1 October 2023 | [Page] |
This document provides an overview of terms that are commonly used when discussing the initial security setup of Internet of Things (IoT) devices. This document also presents a brief but illustrative survey of protocols and standards available for initial security setup of IoT devices. For each protocol, we identify the terminology used, the entities involved, the initial assumptions, the processes necessary for completion, and the knowledge imparted to the IoT devices after the setup is complete.¶
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Initial security setup for a device refers to any process that takes place before a device can become operational. The phrase "initial security setup" intentionally includes the term "security" as setup of devices without adequate security or with insecure processes is no longer acceptable. The initial security setup process, among other things, involves network discovery and selection, access authentication, configuration of necessary credentials and parameters.¶
Initial security setup for IoT devices is challenging because the size of an IoT network varies from a couple of devices to tens of thousands, depending on the application. Moreover, devices in IoT networks are produced by a variety of vendors and are typically heterogeneous in terms of the constraints on their power supply, communication capability, computation capacity, and user interfaces available. This challenge of initial security setup in IoT was identified by Sethi et al. [Sethi14] while developing a solution for smart displays.¶
Initial security setup of devices typically also involves providing them with some sort of network connectivity. The functionality of a disconnected device is rather limited. Initial security setup of devices often assumes that some network has been setup a-priori. Setting up and maintaining a network itself is challenging. For example, users may need to configure the network name (called as Service Set Identifier (SSID) in Wi-Fi networks) and passphrase before new devices can be setup. Specifications such as the Wi-Fi Alliance Simple Configuration [simpleconn] help users setup networks. However, this document is only focused on terminology and processes associated with initial security setup of devices and excludes any discussion on setting up networks.¶
There are several terms that are used in the context of initial security setup of devices:¶
In addition to using a variety of different terms, initial security setup mechanisms can rely on a number of entities. For example, a companion smartphone device maybe necessary for some initial security setup mechanisms. Moreover, security setup procedures have diverse initial assumptions about the device being setup. As an example, an initial security setup mechanism may assume that the device is provisioned with a pre-shared key and a list of trusted network identifiers. Finally, initial security setup mechanisms impart different information to the device after completion. For example, some mechanisms may only provide a key for use with an authorization server, while others may configure elaborate access control lists directly.¶
The next section provides an overview of some standards and protocols for initial security setup of IoT devices. For each mechanism, the following are explicitly identified:¶
The Wi-Fi Alliance Device provisioning protocol (DPP) [dpp] describes itself as a standardized protocol for providing user friendly Wi-Fi setup while maintaining or increasing the security. DPP relies on a configurator, e.g. a smartphone application, for setting up all other devices, called enrollees, in the network. DPP has the following three phases/sub-protocols:¶
DPP has the following characteristics:¶
The OMA, (recently succeeded by OMA SpecWorks) LwM2M specification (which includes NB-IoT) [oma] defines an architecture where a new device (LwM2M client) contacts a bootstrap server which is responsible for provisioning essential information such as credentials. After receiving this essential information, the LwM2M client device registers itself with one or more LwM2M Servers which will manage the device during its lifecycle. The current standard defines the following four bootstrapping modes:¶
OMA has the following characteristics:¶
The Open Connectivity Foundation (OCF) [ocf] defines the process before a device is operational as onboarding. The first step of this onboarding process is configuring the ownership, i.e., establishing a legitimate user that owns the device. For this, the user is supposed to use an Onboarding tool (OBT) and an Owner Transfer Method (OTM).¶
The OBT is described as a logical entity that may be implemented on a single or multiple entities such as a home gateway, a device management tool, etc. OCF lists several optional OTMs. At the end of the execution of an OTM, the onboarding tool must have provisioned an Owner Credential onto the device. The following owner transfer methods are specified:¶
Once the onboarding tool and the new device have authenticated and established secure communication, the onboarding tool provisions/configures the device with Owner credentials. Owner credentials may consist of certificates, shared keys, or Kerberos tickets for example.¶
The OBT additionally configures/provisions information about the Access Management Service (AMS), the Credential Management Service (CMS), and the credentials for interacting with them. The AMS is responsible for provisioning access control entries, while the CMS provisions security credentials necessary for device operation.¶
OCF has the following characteristics:¶
Bluetooth mesh specifies a provisioning protocol. The goal of the provisioning phase is to securely incorporate a new Bluetooth mesh node, by completing two critical tasks. First, to authenticate the unprovisioned device and second, to create a secure link with said device to share information.¶
The provisioning process is divided into five distinct stages summarize next:¶
Bluetooth mesh has the following characteristics:¶
The Fast IDentity Online Alliance (FIDO) is currently specifying an automatic onboarding protocol for IoT devices [fidospec]. The goal of this protocol is to provide a new IoT device with information for interacting securely with an online IoT platform. This protocol allows owners to choose the IoT platform for their devices at a late stage in the device lifecycle. The draft specification refers to this feature as "late binding".¶
The FIDO IoT protocol itself is composed of one Device Initialization (DI) protocol and 3 Transfer of Ownership (TO) protocols TO0, TO1, TO2. Protocol messages are encoded in Concise Binary Object Representation (CBOR) [RFC8949] and can be transported over application layer protocols such as Constrained Application Protocol (CoAP) [RFC7252] or directly over TCP, Bluetooth etc. FIDO IoT however assumes that the device already has IP connectivity to a rendezvous server. Establishing this initial IP connectivity is explicitly stated as "out-of-scope" but the draft specification hints at the usage of Hypertext Transfer Protocol (HTTP) [RFC7230] proxies for IP networks and other forms of tunnelling for non-IP networks.¶
The specification only provides a non-normative example of the DI protocol which must be executed in the factory during device manufacture. This protocol embeds initial ownership and manufacturing credentials into Restricted Operation Environment (ROE) on the device. The initial information embedded also includes a unique device identifier (called as GUID in the specification). After DI is executed, the manufacturer has an ownership voucher which is passed along the supply chain to the device owner.¶
When a device is unboxed and powered on by the new owner, the device discovers a network-local or an Internet-based rendezvous server. Protocols (TO0, TO1, and TO2) between the device, the rendezvous server, and the new owner (as the owner onboarding service) ensure that the device and the new owner are able to authenticate each other. Thereafter, the new owner establishes cryptographic control of the device and provides it with credentials of the IoT platform which the device should used.¶
FIDO has the following characteristics:¶
Enrollment over Secure Transport (EST) [RFC7030] defines a profile of Certificate Management over CMS (CMC) [RFC5272]. EST relies on Hypertext Transfer Protocol (HTTP) and Transport Layer Security (TLS) for exchanging CMC messages and allows client devices to obtain client certificates and associated Certification Authority (CA) certificates. A companion specification for using EST over secure CoAP has also been standardized [RFC9148]. EST assumes that some initial information is already distributed so that EST client and servers can perform mutual authentication before continuing with protocol. [RFC7030] further defines "Bootstrap Distribution of CA Certificates" which allows minimally configured EST clients to obtain initial trust anchors. It relies on human users to verify information such as the CA certificate "fingerprint" received over the unauthenticated TLS connection setup. After successful completion of this bootstrapping step, clients can proceed to the enrollment step during which they obtain client certificates and associated CA certificates.¶
EST has the following characteristics:¶
The ANIMA working group is working on a bootstrapping solution for devices that relies on 802.1AR vendor certificates called Bootstrapping Remote Secure Key Infrastructures (BRSKI) [RFC8995]. In addition to vendor installed IEEE 802.1AR certificates, a vendor based service on the Internet is required. Before being authenticated, a new device only needs link-local connectivity, and does not require a routable address. When a vendor provides an Internet based service, devices can be forced to join only specific domains. The document highlights that the described solution is aimed in general at non-constrained (i.e. class 2+ defined in [RFC7228]) devices operating in a non-challenged network. It claims to scale to thousands of devices located in hostile environments, such as ISP provided CPE devices which are drop-shipped to the end user.¶
BRSKI has the following characteristics:¶
[RFC8572] defines a bootstrapping strategy for enabling devices to securely obtain all the configuration information with no installer input, beyond the actual physical placement and connection of cables. Their goal is to enable a secure NETCONF [RFC6241] or RESTCONF [RFC8040] connection to the deployment specific network management system (NMS). This bootstrapping method requires the devices to be configured with trust anchors in the form of X.509 certificates. [RFC8572] is similar to BRSKI based on [RFC8366].¶
SZTP has the following characteristics:¶
EAP-NOOB [RFC9140] defines an EAP method where the authentication is based on a user-assisted out-of-band (OOB) channel between the server and peer. It is intended as a generic bootstrapping solution for IoT devices which have no pre-configured authentication credentials and which are not yet registered on the authentication server. This method claims to be more generic than most ad-hoc bootstrapping solutions in that it supports many types of OOB channels. The exact in-band messages and OOB message contents are specified and not the OOB channel details. EAP-NOOB also supports IoT devices with only output (e.g. display) or only input (e.g. camera). It makes combined use of both secrecy and integrity of the OOB channel for more robust security than the ad-hoc solutions.¶
EAP-NOOB has the following characteristics:¶
Low Power Wide Area Network (LPWAN) encompasses a wide variety of technologies whose link-layer characteristics are severely constrained in comparison to other typical IoT link-layer technologies such as Bluetooth or IEEE 802.15.4. While some LPWAN technologies rely on proprietary bootstrapping solutions which are not publicly accessible, others simply ignore the challenge of bootstrapping and key distribution. In this section, we discuss the bootstrapping methods used by LPWAN technologies covered in [RFC8376].¶
From the above, it is clear that all LPWAN technologies rely on pre-provisioned credentials for authentication between a new device and the network.¶
LPWAN has the following characteristics:¶
Thread Group commissioning [threadcommissioning] introduces a two phased process i.e. Petitioning and Joining. Entities involved are leader, joiner, commissioner, joiner router, and border router. Leader is the first device in Thread network that must be commissioned using out-of-band process and is used to inject correct user generated Commissioning Credentials (can be changed later) into Thread Network. Joiner is the node that intends to get authenticated and authorized on Thread Network. Commissioner is either within the Thread Network (Native) or connected with Thread Network via a WLAN (External).¶
Under some topologies, Joiner Router and Border Router facilitate the Joiner node to reach Native and External Commissioner, respectively. Petitioning begins before Joining process and is used to grant sole commissioning authority to a Commissioner. After an authorized Commissioner is designated, eligible thread devices can join network. Pair-wise key is shared between Commissioner and Joiner, network parameters (such as network name, security policy, etc.,) are sent out securely (using pair-wise key) by Joiner Router to Joiner for letting Joiner to join the Thread Network. Entities involved in Joining process depends on system topology i.e. location of Commissioner and Joiner. Thread networks only operate using IPv6. Thread devices can devise GUAs (Global Unicast Addresses) [RFC4291]. Provision also exist via Border Router, for Thread device to acquire individual global address by means of DHCPv6 or using SLAAC (Stateless Address Autoconfiguration) address derived with advertised network prefix.¶
Thread has the following characteristics:¶
There are several stages before a device becomes fully operational. There is typically a stage where some sort of credential is installed. The nature or purpose of this credential can be varied, form being part of the IoT device authentication, to a credential from a 3rd trusted party, be it the manufacturer or the owner. Solution differ on this initial process, and in some cases this can even be done in an out-of-band fashion.¶
After some initial credential is installed, there is a process that typically involves authentication establishing initial trust, after which credentials and/or parameters are configured or installed into the device.¶
Finally, when the entities involved in the process are authenticated and the configuration and key material established, the normal operation of the IoT device can take place.¶
The specifics of every term varies depending on the technology, but we enumerate here the basic terminology and what it means for the different solutions.¶
Bootstrapping:¶
configuration:¶
discovery:¶
enrollment:¶
provisioning:¶
intialization:¶
registration:¶
onboarding:¶
commissioning:¶
imprint:¶
In this section we classify the different players.¶
Human User: user¶
Device that intends to securely join a network: pledge, device, client, peer, persona, enrollee, candidate¶
Entity that makes the device: Manufacturer¶
Entity that owns the device: owner, manager¶
Entity with which the device establishes a connection: IoT platform, Rendezvous Server, Server,¶
Entity that aids in the process: Join Proxy, Bootstrap Server, Onboarding Server, Border Router¶
Person that manages a deployment or system: Administrator¶
Entity that steers the process for the IoT device to securely join the network: Configurator, Bootstrap Server, Rendezvous Server, JRC, Onboarding/Redirect Server, Commissioner.¶
External or third-party entity that intervenes in the process: Registrar, MASA¶
The IoT devices may have different initial beliefs depending on the credentials pre-installed, during the manufacturing process or prior to being turned on. There are cases where the initial credentials that need to be shared to establish basic trust, or they are exchanged during one of the procedures after the device is turned on, not installed during manufacturing.¶
EAP-NOOB does not require initial configuration of credentials to establish trust, since its done using the out-of-band process.¶
The OCF device starts as unowned. It has to perform an ownership transfer, to establish basic trust to perform onboarding and provisioning. Depending on the Owener Transfer Mode (OTM) it can be considered to have not initial trust based on the credentials installed.¶
Bluetooth devices start as unprovisioned. Initial trust is established as a consequence of exchanging public keys and performing the authentication. If the public keys are ephemeral, there is no initial credential establishment.¶
These credentials may very from the time of installing, and the entity to which it related. In this sense, they could be from the manufacturer, owner or other entity.¶
FIDO devices have installed during the manufacturing process a set of ownership credentials (i.e., ownership voucher) and additional information to determine the current owner of the device. Hence, there is an initial trust from the IoT device and the owner. With this basic setup, and and the cooperation among device, owner and rendezvous server, the onboarding process can take place.¶
EST devices are configured with the needed information to perform mutual authentication and for authorization between the EST client and server.¶
BRSKI have manufacturer-installed certificates as starting point to establish trust.¶
SZTP have pre-configured initial state which provides the basis for trust.¶
LPWAN specifics depends on the technology, but they all have in common some pre-installed credentials that allows the establishment of trust and to secure the communications.¶
Thread devices, share credentials as well to establish trust.¶
OMA devices can have all the necessary information to start working on the network where they are deployed, if they have the factory bootstrap, hence all needed credentials to establish trust. There need to be installed some basic credentials to establish trust with the bootstrap server and perform the bootstrapping.¶
DPP initial trust is established during the bootstrapping where the public key is transmitted.¶
Analyzing the different terms used over the different solutions reviewed in this document, we can identify several processes. These are named differently in some cases, and not every technologies considers them all as part of their the following common concepts:¶
Even though the devices might start from a different place, in terms of initial credentials as basis for trust, when they finish their processes, they become trusted parties within the domain they are deployed or at least have a trust relation with a specific entity. The difference may strive in the number of trust relations are stablished during the process, as they may have not only established a trust relation with local entities where they perform their operation, but other external entities as well.¶
In FIDO, once the onboarding process has taken place, the IoT device is mutually authenticated with the current owner, and the needed secrets and configuration data is installed into the device, which as a result is able to connect and interact securely with the target IoT platform.¶
In EAP-NOOB, once the bootstrapping is completed, the IoT device not only has a trust relation with the EAP server, but the EAP authenticator can be established as well, based on the shared credentials that are derived during the authentication process.¶
In Bluetooth the trust is expanded to the local network as there is key material shared among the different entities of the network.¶
In Thread once the joiner has successfully completed the process, it can communicate directly with all Thread devices in the network.¶
LPWAN has a more limited scope and they usually have specific keys for applications and network communications.¶
EST provides the devices with the enrollment information such as certificates and symmetric keys that can be used to establish trust with different peers.¶
BRSKI after running it is able to verify that the communicating entities are who they claim to be, and obtain domain specific certificates to act as trustworhty entities within the domain.¶
SZTP after running, the device has obtained onboarding information and is equipped to establish secure connections with other systems.¶
This draft does not take any posture on the security properties of the different bootstrapping protocols discussed. Specific security considerations of bootstrapping protocols are present in the respective specifications.¶
Nonetheless, we briefly discuss some important security aspects which are not fully explored in various specifications.¶
Firstly, an IoT system may deal with authorization for resources and services separately from initial security setup in terms of timing as well as protocols. As an example, two resource-constrained devices A and B may perform mutual authentication using credentials provided by an offline third-party X before device A obtains authorization for running a particular application on device B from an online third-party Y. In some cases, authentication and authorization maybe tightly coupled, e.g., successful authentication also means successful authorization.¶
Secondly, initial security setup of IoT devices may be necessary several times during the device lifecycle since keys have limited lifetimes and devices may be lost or resold. Protocols and systems must have adequate provisions for revocation and fresh security setup. A rerun of the security setup mechanism must be as secure as the initial security setup regardless of whether it is done manually or automatically over the network.¶
Lastly, some IoT networks use a common group key for multicast and broadcast traffic. As the number of devices in a network increase over time, a common group key may not be scalable and the same network may need to be split into separate groups with different keys. Bootstrapping and provisioning protocols may need appropriate mechanisms for identifying and distributing keys to the current member devices of each group.¶
There are no IANA considerations for this document.¶
We would like to thank Tuomas Aura, Hannes Tschofenig, and Michael Richardson for providing extensive feedback as well as Rafa Marin-Lopez for his support.¶