RFC1919

From RFC-Wiki

Network Working Group M. Chatel Request for Comments: 1919 Consultant Category: Informational March 1996

            Classical versus Transparent IP Proxies

Status of this Memo

This memo provides information for the Internet community. This memo does not specify an Internet standard of any kind. Distribution of this memo is unlimited.

Abstract

Many modern IP security systems (also called "firewalls" in the trade) make use of proxy technology to achieve access control. This document explains "classical" and "transparent" proxy techniques and attempts to provide rules to help determine when each proxy system may be used without causing problems.

3.2. Characteristics of classical proxy configurations . . . 12

3.2.5. Impact of a classical proxy on packet filtering . . . 15

4.2. Characteristics of transparent proxy configurations . . 26

4.2.5. Impact of a transparent proxy on packet filtering . . 30

5. Comparison chart of classical and transparent proxies . . 31

Background

An increasing number of organizations use IP security systems to provide specific access control when crossing network security perimeters. These systems are often deployed at the network boundary between two organizations (which may be part of the same "official" entity), or between an organization's network and a large public internetwork such as the Internet.

Some people believe that IP firewalls will become commodity products. Others believe that the introduction of IPv6 and of its improved security capabilities will gradually make firewalls look like stopgap solutions, and therefore irrelevant to the computer networking scene. In any case, it is currently important to examine the impact of inserting (and removing) a firewall at a network boundary, and to verify whether specific types of firewall technologies may have different effects on typical small and large IP networks.

Current firewall designs usually rely on packet filtering, proxy technology, or a combination of both. Packet filtering (although hard to configure correctly in a security sense) is now a well documented technology whose strengths and weaknesses are reasonably understood. Proxy technology, on the other hand, has been deployed a lot but studied little. Furthermore, many recent firewall products support a capability called "transparent proxying". This type of feature has been subject to much more marketing attention than actual technical analysis by the networking community.

It must be remembered that the Internet's growth and success is strongly related to its "open" nature. An Internet which would have been segmented from the start with firewalls, packet filters, and proxies may not have become what it is today. This type of discussion is, however, outside the scope of this document, which just attempts to provide an understandable description of what are network proxies, and of what are the differences, strengths, and weaknesses of "classical" and "transparent" network proxies. Within the context of this document, a "classical" proxy is the older (some would say old- fashioned) type of proxy of the two.

Also note that in this document, the word "connection" is used for an application session that uses TCP, while the word "session" refers to an application dialog that may use UDP or TCP.

Direct communication (without a proxy)

In the "normal" Internet world, systems do not use proxies and simply use normal TCP/IP to communicate with each other. It is important (for readers who may not be familiar with this) to take a quick look at the operations involved, in order to better understand what is the exact use of a proxy.

2.1 Direct connection example

  Let's take a familiar network session and describe some details of
  its operation. We will look at what happens when a user on a
  client system "c.dmn1.com" sets up an FTP connection to the server
  system "s.dmn2.com". The client system's IP address is
  c1.c2.c3.c4, the server's IP address is s1.s2.s3.s4.
   +---------------+      +----------+      +---------------+
   |               |     /    IP      \     |               |
   |  c.dmn1.com   |----+  network(s)  +----|  s.dmn2.com   |
   | (c1.c2.c3.c4) |     \            /     | (s1.s2.s3.s4) |
   +---------------+      +----------+      +---------------+
  The user starts an instance of an FTP client program on the client
  system "c.dmn1.com", and specifies that the target system is
  "s.dmn2.com". On command-line systems, the user typically types:
      ftp s.dmn2.com
  The client system needs to convert the server's name to an IP
  address (if the user directly specified the server by address,
  this step is not needed).
  Converting the server name to an IP address requires work to be
  performed which ranges between two extremes:
   a) the client system has this name in its hosts file, or has
      local DNS caching capability and successfully retrieves the
      name of the server system in its cache. No network activity
      is performed to convert the name to an IP address.
   b) the client system, in combination with DNS name servers,
      generate DNS queries that eventually propagate close to the
      root of the DNS tree and back down the server's DNS branch.
      Eventually, a DNS server which is authoritative for the
      server system's domain is queried and returns the IP
      address associated with "s.dmn2.com" (depending on the case,
      it may return this to the client system directly or to an
      intermediate name server). Ultimately, the client system
      obtains a valid IP address for s.dmn2.com. For simplicity,
      we assume the server has only one IP address.
   +---------------+     +--------+     +---------------+
   |               |    /   IP     \    |               |
   |  c.dmn1.com   |---+ network(s) +---|  s.dmn2.com   |
   | (c1.c2.c3.c4) |    \          /    | (s1.s2.s3.s4) |
   +---------------+     +--------+     +---------------+
      A  |                /          \
      |  | address for   /            \
      |  | s.dmn2.com?  /              \
      |  |             /                \
      |  |            /                  \
      |  |     +--------+ s.dmn2.com?  +--------+
      |  +---->|  DNS   |------------->|  DNS   |
      |        | server |              | server |
      +--------|   X    |<-------------|   Y    |
   s1.s2.s3.s4 +--------+  s1.s2.s3.s4 +--------+
  Once the client system knows the IP address of the server system,
  it attempts to establish a connection to the standard FTP
  "control" TCP port on the server (port 21). For this to work, the
  client system must have a valid route to the server's IP address,
  and the server system must have a valid route to the client's IP
  address. All intermediate devices that behave like IP gateways
  must have valid routes for both the client and the server. If
  these devices perform packet filtering, they must ALL allow the
  specific type of traffic required between C and S for this
  specific application.
   +---------------+                    +---------------+
   |  c.dmn1.com   |                    |  s.dmn2.com   |
   | (c1.c2.c3.c4) |                    | (s1.s2.s3.s4) |
   +---------------+                    +---------------+
     | |                                    |   |
     | | route to S              route to C |   |
     | V                                    V   |
     |                                          |
     | A                                        | A
     | | route to C                             | | route to S
     | |                                        | |
     | |      C          S                 C    | |
   +----+    <-- +----+ -->    +----+     <-- +----+
   | G1 |--------| Gx |--------| Gy |---------| Gn |
   +----+ -->    +----+    <-- +----+ -->     +----+
           S                C          S
  The actual application work for the FTP session between the client
  and server is done with a bidirectional flow of TCP packets
  between the client's and server's IP addresses.
  The FTP protocol uses a slightly complex protocol and TCP
  connection model which is, luckily, not important to the present
  discussion. This allows slightly shortening this document...

2.2 Requirements of direct communication

  Based on the preceding discussion, it is possible to say that the
  following is required for a direct session between a client and
  server to be successful:
   a) If the client uses the NAME of the server to reference it,
      the client must either have a hardcoded name-to-address
      binding for the server, or it must be able to resolve the
      server name (typically using DNS). In the case of DNS, this
      implies that the client and server must be part of the same
      DNS architecture or tree.
   b) The client and server must be part of the same internetwork:
      the client must have a valid IP route towards the server,
      the server must have a valid IP route towards the client,
      and all intermediate IP gateways must have valid routes
      towards the client and server ("IP gateway" is the RFC
      standard terminology; people often use the term "IP router"
      in computer rooms).
   c) If there are devices on the path between the client and
      server that perform packet filtering, all these devices must
      permit the forwarding of packets between the IP address of
      the client and the IP address of the server, at least for
      packets that fit the protocol model of the FTP application
      (TCP ports used, etc.).

Classical application proxies

A classical application proxy is a special program that knows one (or more) specific application protocols. Most application protocols are not symetric; one end is considered to be a "client", one end is a "server".

A classical application proxy implements both the "client" and "server" parts of an application protocol. In practice, it only needs to implement enough of the client and server protocols to accomplish the following:

a) accept client sessions and appear to them as a server;

b) receive from a client the name or address of the final target

  server (this needs to be passed over the "client-proxy" session
  in a way that is application-specific);

c) setup a session to the final server and appear to be a client

  from the server's point of view;

d) relay requests, responses, and data between the client and

  server;

e) perform access controls according to the proxy's design

  criteria (the main goal of the proxy, after all).

The functional goal of the proxy is to relay application data between clients and servers that may not have direct IP connectivity. The security goal of the proxy is to do checks and types of access controls that typical client and server software do not support or implement.

The following information will make it clear that classical proxies can offer many hidden benefits to the security-conscious network designer, at the cost of deploying client software with proxy capabilities or of educating the users on proxy use.

Client software issues are now easier to handle, given the increasing number of popular client applications (for Web, FTP, etc.) that offer proxy support. Designers developing new protocols are also more likely to plan proxy capability from the outset, to ensure their protocols can cross the many existing large corporate firewalls that are based at least in part on classical proxy technology.

3.1 Classical proxy session example

  We will repeat our little analysis of an FTP session. This time,
  the FTP session is passing through a "classical" application proxy
  system. As is often the case (although not required), we will
  assume that the proxy system has two IP addresses, two network
  interfaces, and two DNS names.
  The proxy system is running a special program which knows how to
  behave like an FTP client on one side, and like an FTP server on
  the other side. This program is what people call the "proxy". We
  will assume that the proxy program is listening to incoming
  requests on the standard FTP control port (21/tcp), although this
  is not always the case in practice.
   +---------------+      +----------+
   |               |     /    IP      \
   |  c.dmn1.com   |----+  network(s)  +----------+
   | (c1.c2.c3.c4) |     \            /           |
   +---------------+      +----------+    +-----------------+
                                          | (p1.p2.p3.p4)   |
                                          | proxy1.dmn3.com |
                                          |                 |
                                          | proxy2.dmn4.com |
                                          | (p5.p6.p7.p8)   |
   +---------------+      +----------+    +-----------------+
   |               |     /    IP      \           |
   |  s.dmn2.com   |----+  network(s)  +----------+
   | (s1.s2.s3.s4) |     \            /
   +---------------+      +----------+
  The user starts an instance of an FTP client program on the client
  system "c.dmn1.com", and MUST specify that the target system is
  "proxy1.dmn3.com". On command-line systems, the user typically
  types:
      ftp proxy1.dmn3.com
  The client system needs to convert the proxy's name to an IP
  address (if the user directly specified the proxy by address, this
  step is not needed).
  Converting the proxy name to an IP address requires work to be
  performed which ranges between two extremes:
   a) the client system has this name in its hosts file, or has
      local DNS caching capability and successfully retrieves the
      name of the proxy system in its cache. No network activity
      is performed to convert the name to an IP address.
   b) the client system, in combination with DNS name servers,
      generate DNS queries that eventually propagate close to the
      root of the DNS tree and back down the proxy's DNS branch.
      Eventually, a DNS server which is authoritative for the
      proxy system's domain is queried and returns the IP
      address associated with "proxy1.dmn3.com" (depending on the
      case, it may return this to the client system directly or
      to an intermediate name server). Ultimately, the client
      system obtains a valid IP address for proxy1.dmn3.com.
   +---------------+          +--------+
   |               |         /   IP     \
   |  c.dmn1.com   |--------+ network(s) +------------+
   | (c1.c2.c3.c4) |         \          /             |
   +---------------+          +--------+      +-----------------+
    A  |                     /          \     | (p1.p2.p3.p4)   |
    |  | address for        /            \    | proxy1.dmn3.com |
    |  | proxy1.dmn3.com?  /              \   |    ...          |
    |  |                  /                \  +-----------------+
    |  |                 /                  \
    |  |                /                    \
    |  |         +--------+ proxy1.dmn3.com?  +--------+
    |  +-------->|  DNS   |------------------>|  DNS   |
    |            | server |                   | server |
    +------------|   X    |<------------------|   Y    |
     p1.p2.p3.p4 +--------+    p1.p2.p3.p4    +--------+
  Once the client system knows the IP address of the proxy system,
  it attempts to establish a connection to the standard FTP
  "control" TCP port on the proxy (port 21). For this to work, the
  client system must have a valid route to the proxy's IP address,
  and the proxy system must have a valid route to the client's IP
  address. All intermediate devices that behave like IP gateways
  must have valid routes to both the client and the proxy. If these
  devices perform packet filtering, they must ALL allow the specific
  type of traffic required between C and P1 for this specific
  application (FTP).
  Finally, the proxy system must accept this incoming connection,
  based on the client's IP address (the purpose of the proxy is
  generally to do access control, after all).
   +---------------+                   |      ...        |
   |  c.dmn1.com   |                   | proxy1.dmn3.com |
   | (c1.c2.c3.c4) |                   |  (p1.p2.p3.p4)  |
   +---------------+                   +-----------------+
     | |                                    |   |
     | | route to P1             route to C |   |
     | V                                    V   |
     |                                          |
     | A                                        | A
     | | route to C                             | | route to P1
     | |                                        | |
     | |      C          P1                C    | |
   +----+    <-- +----+ -->    +----+     <-- +----+
   | G1 |--------| Gx |--------| Gy |---------| Gn |
   +----+ -->    +----+    <-- +----+ -->     +----+
           P1               C          P1
  The actual application work for the FTP session between the client
  and proxy is done with a bidirectional flow of TCP packets between
  the client's and proxy's IP addresses.
  For this to work, the proxy FTP application MUST fully support the
  FTP protocol and look identical to an FTP server from the client's
  point of view.
  Once the client<->proxy session is established, the final target
  server name must be passed to the proxy, since, when using a
  "classical" application proxy, a way MUST be defined for the proxy
  to determine the final target system. This can be achieved in
  three ways:
   a) The client system supplies the name or address of the final
      target system to the proxy in a method that is compatible
      with the specific application protocol being used (in our
      example, FTP). This is generally considered to be the main
      problem with classical proxies, since for each application
      being proxied, a method must be defined for passing the
      name or address of the final target system. This method
      must be compatible with every variant of client application
      that implements the protocol (i.e. the target-passing
      method must fit within the MINIMUM functionalities required
      by the specific application protocol).
      For the FTP protocol, the generally popular method for
      passing the final server name to the proxy is as follows:
      When the proxy prompts the FTP client for a username, the
      client specifies a string of the form:
            target_username@target_system_name
            or
            target_username@target_ip_address
      The proxy will then know what is the final target system.
      The target_username (and the password supplied by the
      client) will be forwarded "as is" by the proxy to the final
      target system.
      A well-known example of an FTP proxy that behaves in this way
      is the "ftp-gw" program which is part of the Trusted
      Information System's firewall toolkit, available by anonymous
      FTP at ftp.tis.com. Several commercial firewalls also support
      this de-facto standard.
   b) If there is only one possible final destination, the proxy
      may be configured to know this destination in advance.
      Since the IP address of the client system is known when the
      proxy must make this decision, the proxy can (if required)
      select a different destination based on the IP address of
      the client.
   c) The client software may also support capabilities that allow
      it to present to the user the illusion of a direct session
      (the user just specifies the final target system, and the
      client software automatically handles the problem of
      reaching to the proxy system and passing the name or address
      of the final target system in whatever mutually-acceptable
      form).
      A well-known example of a system that provides modified
      client software, proxy software, and that provides the
      illusion of transparency is NEC's SOCKS system, available by
      anonymous FTP at ftp.nec.com.
      Alternatively, several FTP client applications support the
      "username@destination_host" de-facto standard implemented
      (for example) by the "ftp-gw" proxy application.
  Once the FTP proxy application knows the name or IP address of the
  target system, it can choose to do two things:
   a) Setup a session to the final target system, the more
      frequent case.
   b) Decide (based on some internal configuration data) that it
      cannot reach the final target system directly, but must go
      through another proxy. This is rare today, but may become
      temporarily common due to the current shortage of IP
      network numbers which encourages organizations to deploy
      "hidden" network numbers which are already assigned
      elsewhere. Sessions between systems which have the same
      IP network number but which belong to different actual
      networks may require going through two proxy systems.
      This is discussed in more detail in section 3.2.6,
      "Interconnection of conflicting IP networks".
  If the FTP proxy decides to connect directly to the target system,
  and what it has is the target system name, it will need to convert
  the target system name into an IP address. If this process
  involves DNS resolution, something like the following will happen:
   +-----------------+
   | proxy1.dmn3.com |
   |  (p1.p2.p3.p4)  |          +--------+
   |                 |         /   IP     \
   | proxy2.dmn4.com |--------+ network(s) +------------+
   |  (p5.p6.p7.p8)  |         \          /             |
   +-----------------+          +--------+      +---------------+
    A  |                     /          \       | (s1.s2.s3.s4) |
    |  | address for        /            \      | s.dmn2.com    |
    |  | s.dmn2.com?       /              \     |               |
    |  |                  /                \    +---------------+
    |  |                 /                  \
    |  |                /                    \
    |  |         +--------+   s.dmn2.com?     +--------+
    |  +-------->|  DNS   |------------------>|  DNS   |
    |            | server |                   | server |
    +------------|   X    |<------------------|   Y    |
     s1.s2.s3.s4 +--------+    s1.s2.s3.s4    +--------+
  Once the proxy system knows the IP address of the server system,
  it attempts to establish a connection to the standard FTP
  "control" TCP port on the server (port 21). For this to work, the
  proxy system must have a valid route to the server's IP address,
  and the server system must have a valid route to at least one of
  the proxy's IP address. All intermediate devices that behave like
  IP gateways must have valid routes to both the proxy and the
  server. If these devices perform packet filtering, they must ALL
  allow the specific type of traffic required between the proxy and
  S for this specific application.
   +-----------------+
   | proxy1.dmn3.com |
   |  (p1.p2.p3.p4)  |
   |                 |                 +----------------+
   | proxy2.dmn4.com |                 |  s.dmn2.com    |
   |  (p5.p6.p7.p8)  |                 | (s1.s2.s3.s4)  |
   +-----------------+                 +----------------+
     | |                                    |   |
     | | route to S             route to P2 |   |
     | V                                    V   |
     |                                          |
     | A                                        | A
     | | route to P2                            | | route to S
     | |                                        | |
     | |      P2         S                 P2   | |
   +----+    <-- +----+ -->    +----+     <-- +----+
   | G1 |--------| Gx |--------| Gy |---------| Gn |
   +----+ -->    +----+    <-- +----+ -->     +----+
           S                P2         S
  The actual FTP application work between the proxy and server is
  done with a bidirectional flow of TCP packets between the proxy's
  and server's IP addresses.
  What actually happens BETWEEN THE CLIENT AND SERVER?  They both
  send replies and responses to the proxy, which forwards data to
  the "other" end. When one party opens a data connection and sends
  a PORT command to the proxy, the proxy allocates its own data
  connection and sends its PORT command to the "other" end. The
  proxy also copies data across the connections created in this way.

3.2 Characteristics of classical proxy configurations

  Several IP internetworks may be linked using only classical proxy
  technology. It is currently popular to link two specific IP
  internetworks in this way: the Internet and some organization's
  "private" IP network. Such a proxy-based link is often the key
  component of a firewall.
  When this is done, several benefits and problems are introduced
  for network administrators and users.
  3.2.1 IP addressing and routing requirements.
     The proxy system must be able to address all client and server
     systems to which it may provide service. It must also know
     valid IP routes to all these client and server systems.
     Client and server systems must be able to address the proxy
     system, and must know a valid IP route to the proxy system. If
     the proxy system has several IP addresses (and often, several
     physical network interfaces), the client and server systems
     need only to be able to access ONE of the proxy system's IP
     addresses.
     Note that client and server systems that use the proxy for
     communication DO NOT NEED valid IP addressing or routing
     information for systems that they reach through the proxy.
     In this sense, it can be said that systems separated by a
     classical proxy are isolated from each other in an IP
     addressing sense and in an IP routing sense.
     On the other hand, the classical proxy system (if running a
     standard TCP/IP software stack) needs to have a single coherent
     view of IP addressing and routing. If such a proxy system
     interconnects two IP networks and two systems use the same IP
     network/subnetwork number (one system on each network), the
     proxy will only be able to address one of the systems.
     This restriction can be removed by chaining classical proxies
     (this is described later in section 3.2.6, "Interconnection of
     conflicting IP networks").
     Using a classical proxy for interconnection of IP
     internetworks, it is also possible, with care, to achieve a
     desirable "fail-safe" feature: no valid routing entries need to
     exist for an internetwork which should be reached only through
     the proxy (routing updates that could add such entries shout be
     BLOCKED). If the proxy suddenly starts to behave like an IP
     router, only one-way attacks become possible.
     In other words, assume an attacker has control of the remote
     internetwork and has found a way to cause the proxy to route IP
     packets, or has found a way to physically bypass the proxy.
     The attacker may inject packets, but the attacked internal
     systems will be unable to reply to those packets. This
     certainly does not make attacks infeasible (as exemplified by
     certain holiday-period events in recent years), but it still
     makes attacks more difficult.
  3.2.2 IP address hiding
     Application "sessions" that go through a classical proxy are
     actually made of two complete sessions:
         a) a session between the client and the proxy
         b) a session between the proxy and the server
     A device on the path sees only the client<->proxy traffic or
     the proxy<->server traffic, depending where it is located. If
     the two sessions actually pass through the same physical
     network, a device on that network may see both traffics, but
     may have difficulty establishing the relationship between the
     two sessions (depending on the specific application and
     activity level of the network).
     A by-product of a classical proxy's behavior is commonly known
     as "address hiding". Equipments on some side of a classical
     proxy cannot easily determine what are the IP addresses used on
     another side of the proxy.
     Address hiding is generally viewed as a Good Thing, since one
     of the purposes of deploying proxies is to disclose as little
     information about an internetwork as possible.
     People who are in charge of gathering network statistics, and
     who do not have access to the proxy system's reports (if any)
     may consider address hiding to be a Bad Thing, since the proxy
     obscures the actual client/server relationships where the proxy
     was inserted.  All IP activity originates and terminates on the
     proxy itself (or appears to do so).
     In the same way, server software that accepts connections that
     have gone through a classical proxy do not see the IP address
     of the incoming client, unless this information is included in
     the application protocol (and even if it is, in many cases, the
     proxy will replace this information with its own address for
     the protocol to be consistent). This makes server access
     control unusable if it is based on client IP address checks.
  3.2.3 DNS requirements
     In most classical-proxy configurations, client systems pass the
     desired server name (or address) to the proxy system WITHOUT
     INTERPRETING IT. Because of this, the client system DOES NOT
     REQUIRE to be able to resolve the name of the server system in
     order to access it through a classical proxy. It only needs to
     be able to resolve the name of the proxy (if referencing the
     proxy system by name).
     Because of this, it can be said that a classical proxy system
     can offer DNS isolation. If two IP internetworks use completely
     separate DNS trees (each with their own DNS root servers),
     client software in one IP internetwork may still reference a
     server name in the other IP internetwork by passing its name to
     the classical proxy.
     The classical proxy itself will not be able alone to resolve
     DNS names in both environments (if running standard DNS
     resolution software), since it will need to point to one or the
     other of the two DNS "universes".
     A well-known technique called "split-brain DNS" can be used to
     relax this restriction somewhat, but such a technique
     ultimately involves prioritizing one DNS environment over
     another. If a DNS query can return a valid answer in both
     environments, only one of the answers will be found by the
     proxy.
  3.2.4 Software requirements
     A classical proxy application is a fairly simple piece of
     software, often simpler than either a real client
     implementation or a real server implementation.  Such a program
     may run on any system that supports normal TCP/IP connections,
     and often does not require "system" or "superuser" privilege.
     Classical proxy connections have no impact on normal server
     software; the proxy looks like a normal client in most respects
     except for its IP address and its "group" nature. All
     connections from the network on the other side of the proxy
     appear to come from the proxy, which poses problems if access
     control by client system is desired.
     Normal client software may access a classical proxy if the user
     is willing or able to go through the extra steps necessary to
     indicate the final server to the proxy (whatever they are).
     Alternatively, modified (or newer) client software may be used
     that knows how to negotiate transparently with the proxy.
  3.2.5 Impact of a classical proxy on packet filtering
     If packet filtering is needed around a classical proxy, the
     packet filtering rules tend to be simplified, since the only
     traffic needed and allowed will originate from or terminate on
     the proxy (in an IP sense).
     If the proxy starts behaving like an IP router, or if it is
     physically bypassed, such filtering rules, if deployed
     generally within an IP internetwork, will tend to prevent any
     direct traffic flow between the "internal" internetwork and
     "external" internetworks that are supposed to be only reachable
     through the application proxy.
  3.2.6 Interconnection of conflicting IP networks
     By chaining classical proxies, it is possible to achieve some
     interconnection of IP networks that have a high level of
     conflict. In practice, this type of setup resolves IP
     addressing conflicts much better than DNS conflicts. But DNS
     conflicts are currently less of a problem because the DNS
     "address space" is almost infinitely large (has anybody
     calculated the possible DNS address space based on the RFC-
     standard maximum host name length?).
     Even though RFC 1597 was never more than an informational RFC,
     many organizations have been quietly following its suggestions,
     for lack of an easier solution. Now assume two organizations
     each use class A network number 10 on their network. Suddenly,
     they need to interconnect.  What can they do?
     First possibility: one side changes network number (not as hard
     as people think if properly planned, but this still represents
     some work)
     Second possibility: they merge the two numbers by renumbering
     partially on each side to remove conflicts (actually harder to
     do, but has the political advantage that both sides have to do
     some work)
     Third possibility: they communicate through chained classical
     proxies:
        +--------+     +--------+   +--------+     +--------+
       /  Org. 1  \    | Proxy  |   | Proxy  |    /  Org. 2  \
      +  dmn1.com  +---+ system +---+ system +---+  dmn2.com  +
       \  net 10  /    |    1   |   |   2    |    \  net 10  /
        +--------+     +--------+   +--------+     +--------+
     Both proxy 1 and 2 are standard systems running normal TCP/IP
     software stacks. Their configuration is not typical, however:
         a) The link between proxy 1 and proxy 2 may use any IP
            network number that is not used (or not needed) on
            either side. Nothing on Org.1 and Org.2's networks
            need to have an IP route to this network.
         b) Proxy 1 has an IP route for network 10 that points to
            Organization 1's network, and does DNS resolution
            (if required) using dmn1.com's name servers.
         c) Proxy 2 has an IP route for network 10 that points to
            Organization 2's network, and does DNS resolution
            (if required) using dmn2.com's name servers.
         d) Proxy 1 and proxy 2 only require a host IP route to
            each other for communication.
         e) For this to be convenient, the classical proxy
            applications must support the automatic selection of
            a destination based on the client IP address.
         f) On proxy system 1, the proxy software treats incoming
            sessions from proxy system 2 in the normal way: the
            "client" (proxy system 2) will be prompted in an
            application-specific way for the final destination.
            However, incoming sessions from Org.1 addresses are
            immediately and automatically forwarded to proxy
            system 2.
            Proxy system 2 is configured similarly (that is,
            connections coming from proxy 1 are prompted for a
            target server name, connections from Org.2 addresses
            are immediately and automatically forwarded to
            proxy 1.
     From a user's point of view, the behavior of such a chained
     proxy system is not very different from a single classical
     application proxy:
         a) A user on a client system with address 10.1.2.3
            on Org.1's network wishes to do an anonymous FTP to
            "server.dmn2.com".
         b) The user starts an FTP towards proxy 1. Proxy 1 sees
            an incoming connection from an address in network 10,
            so it immediately relays the connection to proxy 2.
         c) Proxy 2 sees a connection coming from proxy 1, so it
            prompts the client. The user sees the username prompt
            and types (assuming FTP proxies that behave like TIS's
            ftp-gw):
                 [email protected]
            This will be resolved IN THE CONTEXT OF Org. 2'S
            NETWORK. The user can then complete the dialog and
            use the FTP connection.
         d) Note that this setup will work even if the client and
            server have the EXACT SAME IP ADDRESS (10.1.2.3 in
            our example).
         If the proxy applications support selecting another
         proxy based on the destination supplied by the client,
         and if DNS domains are unique, more than two conflicting
         IP networks can be linked in this way! Here is an
         example configuration:
         a) Four IP networks that all use network 10 are linked
            by four proxy systems. The four proxy systems share a
            common, private IP network number and physical link
            (LAN or WAN).
         b) A user on organization 1's network wishes to access
            a server on network 3. The user connects to its local
            proxy (proxy 1) and supplies that target system name.
         c) Proxy 1 determines, based on a configuration rule,
            that the target system name is reachable by using
            proxy 3. So it connects to proxy 3 and passes the
            target system name.
         d) Proxy 3 determines that the target system name is
            local (to itself) and connects to it directly.
         Security Implications of chained proxies
         Obviously, when such "chained" configurations are built,
         access control rules and logging based on a
         final-client/final-server combination are difficult to
         enforce, since the first proxy in the chain sees a
         final-client/proxy relationship and the last proxy in
         the chain sees a proxy/final-server relationship.
         Doing better than this requires that the proxies be
         capable of passing the "original-client" and
         "final-destination" information back and forth in the
         proxy chain for access control and/or logging purposes.
         This requires the proxies to trust each other, and
         requires the network path to be trusted (forging this
         information becomes an excellent attack).
         Even if these problems were to be solved reliably, the
         original goal of the proxy chains was to solve an IP
         and possibly a DNS conflict. The "original-client" and
         "final-destination" values may not have the same
         meaning everywhere in the overall setup. Tagging the
         information with a "universe-name" may help, assuming
         it is possible to define unique universe names in the
         first place. Obviously this topic requires more study.

Transparent application proxies

The most visible problem of classical application proxies is the need for proxy-capable client programs and/or user education so that users know how to use the proxies.

When somebody thought of modifying proxies in such a way that normal user procedures and normal client applications would still be able to take advantage of the proxies, the transparent proxy was born.

A transparent application proxy is often described as a system that appears like a packet filter to clients, and like a classical proxy to servers. Apart from this important concept, transparent and classical proxies can do similar access control checks and can offer an equivalent level of security/robustness/performance, at least as far as the proxy itself is concerned.

The following information will make it clear that small organizations that wish to use proxy technology for protection, that wish to rely entirely on one proxy system for network perimeter security, that want a minimal (or zero) impact on user procedures, and that do not wish to bother with proxy-capable clients will tend to prefer transparent proxy technology.

Organizations with one or more of the following characteristics may prefer deploying classical proxy technology:

a) own a substantial internal IP router network, and wish to

  avoid adding "external" routes on the network

b) wish to deploy "defence in depth", such as internal firewalls,

  packet filtering on the internal network

c) wish to keep their DNS environment fully isolated from the

  "other side" of their proxy system, or that fear that their
  internal DNS servers may be vulnerable to data-driven attacks

d) use some IP networks that are in conflict with the "other side"

  of their proxy system

e) wish to use proxy applications that are easily portable

  to different operating system types and/or versions

f) wish to deploy multiple proxy systems interconnecting them

  to the SAME remote network without introducing dynamic
  routing for external routes on the internal network

4.1 Transparent proxy connection example

  Let us go through an FTP sesssion again, through a "transparent"
  proxy this time. We assume that the proxy system has two IP
  addresses, two network interfaces, and two DNS names.
  The proxy system is running a special program which knows how to
  behave like an FTP client on one side, and like an FTP server on
  the other side. This program is what people call the "proxy". This
  program, being a transparent proxy, also has a very special
  relationship with the TCP/IP implementation of the proxy system.
  This relationship may be built in several ways, we will describe
  only one such possible way.
  We will assume that the proxy program is listening to incoming
  requests on the standard FTP control port (21/tcp), although this
  is not always the case in practice.
   +---------------+      +----------+
   |               |     /    IP      \
   |  c.dmn1.com   |----+  network(s)  +----------+
   | (c1.c2.c3.c4) |     \            /           |
   +---------------+      +----------+    +-----------------+
                                          | (p1.p2.p3.p4)   |
                                          | proxy1.dmn3.com |
                                          |                 |
                                          | proxy2.dmn4.com |
                                          | (p5.p6.p7.p8)   |
   +---------------+      +----------+    +-----------------+
   |               |     /    IP      \           |
   |  s.dmn2.com   |----+  network(s)  +----------+
   | (s1.s2.s3.s4) |     \            /
   +---------------+      +----------+
  The user starts an instance of an FTP client program on the client
  system "c.dmn1.com", and specifies a destination of "s.dmn2.com",
  just like if it was reachable directly.  On command-line systems,
  the user typically types:
      ftp s.dmn2.com
  The client system needs to convert the server's name to an IP
  address (if the user directly specified the server by address,
  this step is not needed).
  Converting the server name to an IP address requires work to be
  performed which ranges between two extremes:
   a) the client system has this name in its hosts file, or has
      local DNS caching capability and successfully retrieves the
      name of the proxy system in its cache. No network activity
      is performed to convert the name to an IP address.
   b) the client system, in combination with DNS name servers,
      generate DNS queries that eventually propagate close to the
      root of the DNS tree and back down the server's DNS branch.
      Eventually, a DNS server which is authoritative for the
      server system's domain is queried and returns the IP
      address associated with "s.dmn2.com" (depending on the
      case, it may return this to the client system directly or
      to an intermediate name server). Ultimately, the client
      system obtains a valid IP address for s.dmn2.com.
   +---------------+          +--------+
   |               |         /   IP     \
   |  c.dmn1.com   |--------+ network(s) +------------+
   | (c1.c2.c3.c4) |         \          /             |
   +---------------+          +--------+      +-----------------+
    A  |                     /                | (p1.p2.p3.p4)   |
    |  | address for        /      +-----+    | proxy system    |
    |  | s.dmn2.com?       /      /       \   | (p5.p6.p7.p8)   |
    |  |                  /      /         \  +-----------------+
    |  |                 /      /           \         |
    |  |                /      / s.dmn2.com? |        |
    |  |         +--------+   /              |   +--------+
    |  +-------->|  DNS   |--+   +-------+   |  /   IP     \
    |            | server |     /         \  | + network(s) +
    +------------|   X    |<---+           + |  \          /
     s1.s2.s3.s4 +--------+     s1.s2.s3.s4| |   +--------+
                                           | |        |
                                           | +        |
                                           |  \   +--------+
                                           +   +->|  DNS   |
                                            \     | server |
                                             +----|   Y    |
                                                  +--------+
   NOTE: In practice, DNS servers that are authoritative for
         s.dmn2.com are highly likely to be located on the OTHER
         side of the proxy system. This means that DNS queries
         from the inside to the outside MUST be able to cross the
         proxy system. If the proxy system wishes to provide
         "address hiding", it must make these DNS queries
         (originating from the inside) appear to come from the
         proxy itself. This can be achieved by using a BIND-based
         DNS server (which has some proxy capabilities) or some
         simpler DNS proxy program.  For full RFC compliance,
         the proxy system must be able to relay TCP-based queries
         just like UDP-based queries, since some client systems
         are rumored to ONLY use TCP for DNS queries.
         The proxy system must be able to detect and block several
         classes of attacks based on DNS which (if nothing else)
         may cause denial of service:
         a) attempts from the outside to return corrupt cache
            entries to an internal DNS server
         b) attempts to return DNS bindings which have no
            relationship to the actual DNS query (some DNS
            servers are vulnerable to this). The attacker's goal
            may be to prime the cache of internal DNS servers with
            interesting entries, including entries for internal
            DNS names that point to external IP addresses...
         c) data-driven stuff similar in style to the "syslog
            buffer overrun" type attacks.
  Once the client system knows the IP address of the server system,
  it attempts to establish a connection to the standard FTP
  "control" TCP port on the server (port 21). For this to work, the
  client system must have a valid route for the server's IP address
  THAT LEADS TO THE PROXY SYSTEM, and the proxy system must have a
  valid route for the client's IP address and the server's IP
  address. All intermediate devices that behave like IP gateways
  must have valid routes for the client, the server, and usually the
  proxy. If these devices perform packet filtering, they must ALL
  allow the specific type of traffic required between C and S for
  this specific application.
                                            A
                                route to S  |
                                            |
                                       +-----------------+
   +---------------+                   |  (p5.p6.p7.p8)  |
   |  c.dmn1.com   |                   | proxy system    |
   | (c1.c2.c3.c4) |                   |  (p1.p2.p3.p4)  |
   +---------------+                   +-----------------+
     | |                                    |   |
     | | route to S             route to C  |   |
     | V                                    V   |
     |                                          |
     | A                                        | A
     | | route to C                             | | route to S
     | |                                        | |
     | |      C          S                 C    | |
   +----+    <-- +----+ -->    +----+     <-- +----+
   | G1 |--------| Gx |--------| Gy |---------| Gn |
   +----+ -->    +----+    <-- +----+ -->     +----+
           S                C          S
  At the start of the FTP session, a TCP packet with a source
  address of C and a destination address of S travels to the proxy
  system, expecting to cross it just like a normal IP gateway.
  This is when the transparent proxy shows its magic:
  The proxy's TCP/IP software stack sees this incoming packets (and
  subsequent ones) for a destination address that is NOT one of its
  own addresses. Based on some criteria (a configuration file, for
  example), it decides NOT to forward or drop the packet (which are
  the only two choices an RFC-standard TCP/IP implementation would
  have). The proxy system accepts the packet as if it was directed
  to one of its own IP addresses.
  In our example, the incoming packet is a TCP packet. Since
  standard TCP/IP stacks store both a LOCAL and REMOTE IP address
  field for each TCP connection, the transparent proxy may set the
  LOCAL IP address field to the IP address that the client wants to
  reach (s1.s2.s3.s4 in our example). The standard TCP/IP stack
  probably needs to be modified to do this. UDP examples, although
  not connection-based, could be handled in similar ways.
  Once this is done, the actual FTP proxy application is invoked
  since an incoming connection to TCP port 21 has occurred. It can
  determine what is the final target destination instantly, since
  the LOCAL IP address field of the connection contains the target
  server's IP address.  There is no need for the proxy application
  to ask the client what is the final target system.
  Since the FTP proxy application knows the IP address of the target
  system, it can choose to do two things:
   a) Setup a session to the final target system, the more
      frequent case.
   b) Decide (based on some internal configuration data) that it
      cannot reach the final target system directly, but must go
      through a "classical" proxy. This seems technically
      feasible, although no real transparent proxy system is
      known to offer this capability. The actual value of such
      a feature (if available) would need to be studied.
  If the FTP proxy decides to connect directly to the target system,
  it has the target system's IP address. It may choose to do a
  reverse lookup on the target IP address to obtain a target system
  name (possibly needed for access control). If this process
  involves DNS resolution, something like the following will happen:
   +-----------------+
   | proxy1.dmn3.com |
   |  (p1.p2.p3.p4)  |          +--------+
   |                 |         /   IP     \
   | proxy2.dmn4.com |--------+ network(s) +------------+
   |  (p5.p6.p7.p8)  |         \          /             |
   +-----------------+          +--------+      +---------------+
    A  |                     /          \       | (s1.s2.s3.s4) |
    |  | name for           /            \      | s.dmn2.com    |
    |  | s1.s2.s3.s4?      /              \     |               |
    |  |                  /                \    +---------------+
    |  |                 /                  \
    |  |                /                    \
    |  |         +--------+   s1.s2.s3.s4?    +--------+
    |  +-------->|  DNS   |------------------>|  DNS   |
    |            | server |                   | server |
    +------------|   X    |<------------------|   Y    |
     s.dmn2.com  +--------+    s.dmn2.com     +--------+
  Once this is done and if the connection is allowed, the proxy
  attempts to establish a connection to the standard FTP "control"
  TCP port on the target server (port 21), using a technique
  identical to a "classical" proxy. For this to work, the proxy
  system must have a valid route to the server's IP address, and the
  server system must have a valid route to at least one of the
  proxy's IP address. All intermediate devices that behave like IP
  gateways must have valid routes to both the proxy and the server.
  If these devices perform packet filtering, they must ALL allow the
  specific type of traffic required between the proxy and S for this
  specific application.
   +-----------------+
   | proxy1.dmn3.com |
   |  (p1.p2.p3.p4)  |
   |                 |                 +----------------+
   | proxy2.dmn4.com |                 |  s.dmn2.com    |
   |  (p5.p6.p7.p8)  |                 | (s1.s2.s3.s4)  |
   +-----------------+                 +----------------+
     | |                                    |   |
     | | route to S             route to P2 |   |
     | V                                    V   |
     |                                          |
     | A                                        | A
     | | route to P2                            | | route to S
     | |                                        | |
     | |      P2         S                 P2   | |
   +----+    <-- +----+ -->    +----+     <-- +----+
   | G1 |--------| Gx |--------| Gy |---------| Gn |
   +----+ -->    +----+    <-- +----+ -->     +----+
           S                P2         S
  The rest of the transparent proxy's operation is very similar to
  what would happen with a classical proxy.

4.2 Characteristics of transparent proxy configurations

  Transparent proxy technology can be used to build the key
  component of a "firewall", in a way quite similar to the way
  classical proxy technology may be used. Several important details
  of the architecture must be different, however.
  4.2.1 IP addressing and routing requirements
     The transparent proxy system must be able to address all client
     and server systems to which it may provide service. It must
     also know valid IP routes to all these client and server
     systems.
     Server systems must be able to address the proxy system, and
     must know a valid IP route to the proxy system. If the proxy
     system has several IP addresses (and often, several physical
     network interfaces), the server systems need only to be able to
     access ONE of the proxy system's IP addresses.
     Client systems MUST HAVE valid IP addressing and routing
     information for systems that they reach through the proxy. For
     example, in the common case where a transparent proxy is being
     used to interconnect a private network and the Internet, the
     private network will effectively need to use a default route
     that points to the transparent proxy system. This is a specific
     need of transparent proxy configurations.
     Interconnecting two internetworks with multiple transparent
     proxies (for load sharing or fail-over) can be accomplished by
     using different techniques from what would be done for
     classical proxies:
         a) with multiple classical proxies to the same remote
            network, clients can be configured to access different
            proxies manually, or DNS-based techniques, such as
            DNS load-balancing may be used to make clients
            access a different proxy at different times.
         b) with multiple transparent proxies to the same remote
            network, the internal network must be able to provide
            dynamic routing towards the proxies (routing updates
            may need to be supplied by the proxies themselves).
            Client systems (depending on topology) may not need
            to see the route changes, but internal backbone
            routers probably do.
     It is clear that internetworks linked by a transparent proxy
     cannot be fully isolated from each other in an IP addressing
     and routing sense. The network on which client systems are
     located must have effective valid routing entries to the remote
     internetwork; these routing entries must point to the proxy.
     The transparent proxy system (if running a vaguely standard
     TCP/IP software stack) needs to have a single coherent view of
     IP addressing and routing. If a proxy system interconnects two
     IP networks and two systems use the same IP network/subnetwork
     number (one system on each internetwork), the proxy will only
     be able to address one of the systems. Even if the proxy is
     able to manage multiple conflicting IP universes (if, for
     example, one instance of a complete TCP/IP stack and its data
     structures is bound to each of the proxy network interfaces),
     the client systems will still have a problem: Why should it
     send packets with this network number to the proxy since this
     network number exists also on the internal internetwork?
     Chaining transparent proxies does not seem at first glance to
     solve IP conflicts like it does for classical proxies.
     From a "security" fail-safe point of view, the transparent
     proxy has an undesirable characteristic: the network being
     protected must have valid routing entries to the remote
     network(s). If the proxy fails (starts behaving like a non-
     filtering IP router) or is physically bypassed, it is likely
     that the internal network will be immediately able to reply to
     "attacker" packets. The attacker does not need to modify
     routing tables or to spoof internal IP addresses.
     This is important for organizations that do not wish to place
     ALL their confidence and protection into a proxy system (for
     whatever reason).
  4.2.2 IP address hiding
     Application "sessions" that go through a transparent proxy are
     actually made of two complete sessions:
         a) a session between the client and the address of the
            server, the session being "intercepted" by the proxy
         b) a session between the proxy and the server
     A device on the path sees either the client<->server traffic or
     the proxy<->server traffic, depending where it is located. The
     client<-"server" traffic is actually generated by the
     transparent proxy. The two sessions SHOULD NEVER pass through
     the same physical network, since in that case (due to the
     routing requirements) a total bypass of the proxy at the IP
     routing level may easily occur without being detectable.
     Like classical proxies, transparent proxies accomplish a form
     of IP address hiding. Client IP addresses are hidden from the
     servers, since the servers see a session being initiated by the
     proxy. Server IP addresses are NOT hidden from the clients
     however, so that the illusion of transparency may be
     maintained.
     This difference implies that internal (client-side) network
     statistics at the IP level will accurately reflect what outside
     destinations are being accessed.  This can be useful for
     analyzing traffic patterns.
  4.2.3 DNS requirements
     In transparent proxy configurations, client systems MUST be
     able to resolve server names belonging to remote networks. This
     is critical since the proxy will determine the target server
     from the destination IP address of the packets arriving from
     the client. Because of this, the "client" internetwork needs to
     have some form of DNS interconnection to the remote network. If
     internal client and name server IP addresses must be hidden
     from the outside, these DNS queries must also be proxied.
     Of course, remote host name/address relationships may be stored
     locally on the client systems, but it is well known that such
     an approach does not scale...
     Because of this, it can be said that a transparent proxy system
     cannot offer DNS isolation. If two IP internetworks use
     completely separate DNS trees (each with their own DNS root
     servers), client software in one IP internetwork will not have
     a way of finding name/address relationships in the "other" DNS
     tree, and this information must be obtained in order to pass
     the desired address to the transparent proxy.
     The classical proxy itself (if running standard DNS resolution
     software) will not be able alone to resolve DNS names in both
     environments, since it will need to point to one or the other
     of the two DNS "universes".  Running multiple instances of DNS
     resolution software can allow the proxy to do this, however.
     Because of the requirement placed on some form of DNS
     communication through the proxy, it is critical for the proxy
     to be able to protect ITSELF, internal clients, and internal
     name servers from data-driven attacks at the DNS level.
  4.2.4 Software requirements
     The big advantage of transparent proxies is that normal client
     software may access remote servers with no modifications and no
     changes to user procedures.
     The transparent proxy application itself may not need to be
     more complicated than a classical proxy application.
     However, the proxy TCP/IP software stack cannot be a fully-
     standard (well, today's standard at least) TCP/IP stack, and
     requires specific extensions:
         a) the ability to specify ranges of IP addresses that
            do not belong to the proxy itself, but for which
            "intercept" processing will occur: if packets arrive
            at the proxy with a destination IP address in those
            ranges, the IP stack will not forward or drop the
            packets; it will pass them up to application layers.
         b) This mechanism requires that applications may obtain
            both the IP address from which the packets come, and
            the address to which the packets were going. Typical
            IP stacks should already have the fields available
            to store the info; it is a matter of updating them
            properly for these "intercepted" packets.
         c) In the case of "intercepted" TCP packets, the TCP
            stack must support establishing TCP connections
            where the "local" IP address is not one of the
            proxy's IP address.
     Any TCP/IP software implementation should be modifiable to
     perform these tasks. If a standard API becomes widely available
     to drive these extensions, and if this API is generally
     implemented, transparent proxies may become "portable"
     applications.
     Until this occurs, it must be assumed that implementors have
     chosen different ways of accomplishing these functions, so that
     today's transparent proxy applications cannot be fully
     portable. It also remains to be seen how much work is needed to
     propagate these "extensions" to IPV6 software stacks.
  4.2.5 Impact of a transparent proxy on packet filtering
     The nature of a transparent proxy's functionality makes it
     difficult to deploy good packet filtering on the "inside" (or
     client-side) of the proxy. The proxy will "masquerade" as all
     the external systems. Because of this, internal packet filters
     WILL TYPICALLY NEED TO ALLOW IP traffic between internal and
     external IP addresses.
     Depending on the actual security policy of the network, it may
     be possible to do filtering based on protocol type and/or on
     TCP bits (to filter based on connection setup direction), but
     filtering that blocks external IP addresses CANNOT be deployed.
     If the proxy starts behaving like an IP router, or if
     physically bypassed, the practical limitations imposed on
     internal packet filtering imply that a lot of direct traffic
     between the inside and outside network will be allowed to flow.
     Furthermore, as we have seen previously, the internal network
     will have valid routing entries for external network numbers
     that point to the proxy.  If multiple proxies have been
     deployed, the internal network may even HAVE TO TRUST routing
     updates generated by the proxy.
     In general, if an internal network wishes to communicate with
     an external network through a transparent proxy, it MUST BE
     FUNDAMENTALLY DESIGNED TO COMMUNICATE DIRECTLY with that
     external network. This is true at the IP addressing level, at
     the IP routing level, and at the DNS level.  A proxy security
     failure in this type of environment is likely to result in
     immediate, total, and undetected accessibility of the internal
     network by the external network.
  4.2.6 Interconnection of conflicting IP networks
     Unlike classical proxies, transparent proxies do not readily
     seem useful in solving IP addressing conflicts.
     If two internetworks use the same network number(s), systems
     and routers in each internetwork will have valid routes to
     these network numbers. If these routes are changed to point to
     a transparent proxy, traffic that is meant to stay within the
     same internetwork would start to flow towards the proxy. The
     proxy will not be able to distinguish reliably between traffic
     between systems of the same internetwork, and traffic which is
     meant to cross the proxy.
     A possible solution to this problem is described in section 6
     of this document, "Improving transparent proxies".

Comparison chart of classical and transparent proxies

For those who do not like longish discussions of technical details, here is a one-page summary of the strengths/weaknesses/differences of classical and transparent proxies:

-----------------------------------------------------------------

| Issue | Classical Proxy | Transparent Proxy | |-------------------+---------------------+----------------------| | IP addressing | systems/gateways on | systems/gateways on | | | each network need | the "client" network | | | to address the proxy| need to address the | | | | remote networks | | | | | | IP routing | systems/gateways on | systems/gateways on | | | each network need a | the "client" network | | | valid routing entry | also need routing | | | for the proxy | entries for remote | | | | entries | | | | | | IP address hiding | systems on each side| systems on the | | | of the proxy are | "client" side are | | | hidden from each | hidden from the | | | other | other sides | | | | |

| DNS | full isolation | resolution of outside| | | possible | names by inside | | | | systems is required | | | | | | Proxy software | runs on standard | requires special | | requirements | TCP/IP stack; | TCP/IP stack; | | | can be portable | not 100% portable | | | | | | Client software | requires proxy- | nothing more than for| | requirements | capable software | a direct connection | | | or user education | | | | | | | User requirements | must use proxy- | nothing more than for| | | capable software or | a direct connection | | | know how to use the | | | | proxy | | | | | | | Packet filtering | can filter out | cannot filter out | | | "external" addresses| "external" addresses | | | | | | IP address | can be done with | no obvious way to | | conflict | chained proxies that| get this to work | | resolution | support auto-connect| |

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Improving transparent proxies

The main issues with transparent proxies seem to revolve around the need to force "client" systems to directly access external addresses. To some people, this characteristic makes a transparent proxy look too much like a complicated packet filter. Can this problem be solved?

The first possibility that comes to mind is to use the flexibility of the DNS protocol to build new tricks. If we restrict the "internal" clients so that they MUST ALWAYS use DNS to resolve external host names AND THAT THEY MUST NEVER store permanent copies of external host addresses, the following technique would become theoretically possible (this is a very painful restriction, by the way):

a) arrange for all internal queries for external DNS names to

  go to the transparent proxy system (this can be done in a
  number of ways).

b) arrange for a routing entry to exist for a class A network

  number that is not used on the internal network. This IMPLIES
  that the internal network may not be part of the Internet. This
  routing entry will point to the transparent proxy system. For
  the purpose of our discussion, this special network number will
  be X.0.0.0.

c) when an internal system generates a query for an external

  address, the query (if no answer is cached on the internal
  network) will reach the proxy system. Assuming the query is to
  obtain the IP address corresponding to a domain name, the proxy
  will go through the following algorithm:
  - try to find a valid binding for this external domain name in
    its local cache
  - if not found, it will ITSELF launch an external DNS query
    for the domain name. When (and if) it receives a valid reply,
    it creates a local cache entry containing:
        Time To Live of the reply
        Expiry Time of the cache entry (based on the current time)
        External domain name
        External IP address
        Dynamically allocated IP address of the form X.x1.x2.x3.
    and returns to the client the dynamically allocated IP address
    in the range X.0.0.0, NOT THE REAL ONE.
  - the client may (or may not) store the IP address returned in
    its cache, and will then attempt to connect to the
    dynamically allocated IP address. This traffic will arrive at
    the proxy because of the routing setup.
  - The transparent proxy intercepts the traffic and can identify
    the actual desired target it should connect to based on the
    dynamically allocated IP address supplied by the client.

Such an approach, if workable, could improve many characteristics of transparent proxies and may even make transparent proxies capable of handling IP network number conflicts.

However, the algorithm above leaves many difficult questions unsolved. Here is a list (by no means exhaustive) of these questions:

a) What is the percentage of client DNS resolver and DNS server

  implementations that conform to the RFC specifications in their
  handling of the Time-To-Live field?

b) How should the proxy handle other types of DNS queries for

  external domain names (inverse queries, queries for other
  resource record types)?

c) A client program may perform a DNS query once for an external

  name and then use the response for a long time (a large file
  transfer, or a permanent management session, for example).
  Should the proxy update the Expiry Time of cache entries based
  on the passing IP traffic, and if so, using what algorithm?

d) What new types of attacks would such a system introduce or

  make possible?

e) What data structures and resources (memory, disk) would be

  needed for an efficient implementation if the proxy must sustain
  a high rate of DNS queries for external names, and where a large
  number of different external names are referenced? The class A
  network number is used basically to reference cache entries.
  Would a 24-bit address space be sufficient for practical use?

f) What happens with the cache (and the functionality) if the proxy

  crashes or reboots?

Such a system would probably exhibit two types of intermittent failures:

a) a client system is still using the result of an external name

  query (some X.x1.x2.x3 address dynamically allocated by the
  proxy), but this binding no longer exists in the proxy's cache.
  The client attempts a connection to this address, which fails.

b) a client's name cache contains a binding for X.x1.x2.x3, but the

  proxy has already reused this address for a different external
  host name. The client attempts a connection to this address,
  sees no obvious errors, but reaches a different system from the
  expected one.

If somebody has ever implemented such a scheme, information and live experience in deploying it would be useful to the IP networking community.

Security Considerations

Most of this document is concerned with security implications of classical and transparent proxy technology.

Acknowledgements

I could not have written this document without the support of Digital Equipment Corporation for whom I work as a consultant.

References

[1] Cheswick, W., Bellovin, S., "Firewalls and Internet Security:

   Repelling the Wily Hacker", Addison-Wesley, 1994.

[2] Chapman, B., Zwicky, E., "Building Internet Firewalls",

   O'Reilly and Associates, Inc., September 1995.

[3] Comer, D., "Internetworking with TCP/IP volume 1: Principles,

   Protocols, and Architecture", Prentice-Hall, 1991.

[4] Comer, D., Stevens, D., "Internetworking with TCP/IP volume 2:

   "Design, Implementation, and Internals", Prentice-Hall, 1991.

[5] Postel, J., and J. Reynolds, "File Transfer Protocol (FTP)",

   STD 9, RFC 959, USC/Information Sciences Institute, October
   1985.

[6] Huitema, C., "An experiment in DNS Based IP Routing", RFC 1383,

   INRIA, December 1992.

[7] Rekhter Y., Moskowitz B., Karrenberg D., de Groot, G.,

   "Address Allocation for Private Internets", RFC 1597,
   IBM Corp., Chrysler Corp, RIPE NCC, March 1994.

[8] The TIS firewall toolkit's documentation, available on

   Trusted Information System's anonymous FTP site, ftp.tis.com.

[9] Many discussions in the last 18 months on the firewalls-digest

   mailing list maintained by Great Circle Associates. The
   archives of the list are maintained at ftp.greatcircle.com.

Author's Address

Marc Chatel 9, avenue Jean Monnet 74940 ANNECY-LE-VIEUX FRANCE

EMail: [email protected] or at Digital Equipment: [email protected]