--- title: OpenID Continuous Access Evaluation Profile 1.0 abbrev: CAEP-Spec docname: openid-caep-spec-1_0 date: 2021-05-22 ipr: none cat: std wg: Shared Signals and Events coding: us-ascii pi: toc: yes sortrefs: yes symrefs: yes author: - ins: T. Cappalli name: Tim Cappalli org: Microsoft email: tim.cappalli@microsoft.com - ins: A. Tulshibagwale name: Atul Tulshibagwale org: Google email: atultulshi@google.com normative: RFC2119: SSE-FRAMEWORK: target: http://openid.net/specs/openid-sse-framework-1_0.html title: OpenID Shared Signals and Events Framework Specification 1.0 author: - ins: A. Tulshibagwale name: Atul Tulshibagwale org: Google - ins: T. Cappalli name: Tim Cappalli org: Microsoft - ins: M. Scurtescu name: Marius Scurtescu org: Coinbase - ins: A. Backman name: Annabelle Backman org: Amazon - ins: John Bradley name: John Bradley org: Yubico date: 2021-05 RFC8174: RFC5280: RFC5646: SP800-63R3: target: https://pages.nist.gov/800-63-3/sp800-63-3.html title: "NIST Special Publication 800-63: Digital Identity Guidelines" author: - ins: P. Grassi name: Paul Grassi - ins: M. Garcia name: Michael Garcia - ins: J. Fenton name: James Fenton date: 2017-06 WebAuthn: target: https://www.w3.org/TR/webauthn/ title: "Web Authentication: An API for accessing Public Key Credentials Level 1" author: - ins: D. Balfanz name: Dirk Balfanz org: Google --- abstract This document defines the Continuous Access Evaluation Profile (CAEP) of the Shared Signals and Events Framework {{SSE-FRAMEWORK}}. It specifies a set of event types conforming to the SSE Framework. These event types are intended to be used between cooperating Transmitters and Receivers such that Transmitters may send continuous updates using which Receivers can attenuate access to shared human or robotic users, devices, sessions and applications. --- middle # Introduction {#introduction} CAEP is the application of the Shared Signals and Events Profile of IETF Security Events 1.0 {{SSE-FRAMEWORK}} (SSE Profile) to ensure access security in a network of cooperating providers. CAEP specifies a set of event-types that conform to the SSE Profile. This document specifies the event-types required to achieve this goal. ## Notational Considerations The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "NOT RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in BCP 14 {{RFC2119}} {{RFC8174}} when, and only when, they appear in all capitals, as shown here. # Optional Event Claims {#optional-event-claims} The following claims are optional unless otherwise specified in the event definition. event_timestamp : OPTIONAL, JSON number: the time at which the event described by this SET occurred. Its value is a JSON number representing the number of seconds from 1970-01-01T0:0:0Z as measured in UTC until the date/time. initiating_entity : OPTIONAL, JSON string: describes the entity that invoked the event. : This MUST be one of the following strings: - `admin`: an administrative action triggered the event - `user`: an end-user action triggered the event - `policy`: a policy evaluation triggered the event - `system`: a system or platform assertion triggered the event reason_admin : OPTIONAL, JSON object: a localizable administrative message intended for logging and auditing. The object MUST contain one or more key/value pairs, with a BCP47 {{RFC5646}} language tag as the key and the locale-specific administrative message as the value. ~~~ json { "reason_admin": { "en": "Landspeed Policy Violation: C076E82F", "de": "Landspeed-Richtlinienverstoß: C076E82F", "es-410": "Violación de la política de landspeed: C076E82F" } } ~~~ {: #optional-claims-reason-admin-example title="Example: Administrative reason information with multiple languages"} reason_user : OPTIONAL, JSON object: a localizable user-friendly message for display to an end-user. The object MUST contain one or more key/value pairs, with a BCP47 {{RFC5646}} language tag as the key and the locale-specific end-user message as the value. ~~~ json { "reason_user": { "en": "Access attempt from multiple regions.", "de": "Zugriffsversuch aus mehreren Regionen.", "es-410": "Intento de acceso desde varias regiones." } } ~~~ {: #optional-claims-reason-user-example title="Example: End user reason information with multiple languages"} # Event Types {#event-types} The base URI for CAEP event types is: `https://schemas.openid.net/secevent/caep/event-type/` ## Session Revoked {#session-revoked} Event Type URI: `https://schemas.openid.net/secevent/caep/event-type/session-revoked` Session Revoked signals that the session identified by the subject has been revoked. The explicit session identifier may be directly referenced in the subject or other properties of the session may be included to allow the receiver to identify applicable sessions. When a Complex Claim is used as the subject, the revocation event applies to any session derived from matching those combined claims. The actual reason why the session was revoked might be specified with the nested `reason_admin` and/or `reason_user` claims described in {{optional-event-claims}}. ### Event-Specific Claims {#session-revoked-claims} There are no event-specific claims for this event type. When `event_timestamp` is included, its value MUST represent the time at which the session revocation occurred. ### Examples {#session-revoked-examples} NOTE: The event type URI is wrapped, the backslash is the continuation character. ~~~ json { "iss": "https://idp.example.com/123456789/", "jti": "24c63fb56e5a2d77a6b512616ca9fa24", "iat": 1615305159, "aud": "https://sp.example.com/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ session-revoked": { "subject": { "format": "opaque", "id": "dMTlD|1600802906337.16|16008.16" }, "event_timestamp": 1615304991643 } } } ~~~ {: #session-revoked-example-session-id-req title="Example: Session Revoked - Required claims + Simple Subject"} ~~~ json { "iss": "https://idp.example.com/123456789/", "jti": "24c63fb56e5a2d77a6b512616ca9fa24", "iat": 1615305159, "aud": "https://sp.example.com/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ session-revoked": { "subject": { "session": { "format": "opaque", "id": "dMTlD|1600802906337.16|16008.16" }, "user": { "format": "iss_sub", "iss": "https://idp.example.com/123456789/", "sub": "99beb27c-c1c2-4955-882a-e0dc4996fcbc" }, "tenant": { "format": "opaque", "id": "123456789" } }, "initiating_entity": "policy", "reason_admin": { "en": "Landspeed Policy Violation: C076E82F" }, "reason_user": { "en": "Access attempt from multiple regions.", "es-410": "Intento de acceso desde varias regiones." }, "event_timestamp": 1615304991643 } } } ~~~ {: #session-revoked-example-session-id title="Example: Session Revoked - Complex Subject describing user + session ID + device (includes optional claims)"} ~~~ json { "iss": "https://idp.example.com/123456789/", "jti": "24c63fb56e5a2d77a6b512616ca9fa24", "iat": 1615305159, "aud": "https://sp.example.com/caep", "sub": "jane.smith@example.com", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ session-revoked": { "initiating_entity": "policy", "reason_admin": { "en": "Landspeed Policy Violation: C076E82F" }, "reason_user": { "en": "Access attempt from multiple regions.", "es-410": "Intento de acceso desde varias regiones." }, "event_timestamp": 1615304991643 } } } ~~~ {: #session-revoked-example-user-sub title="Example: Session Revoked - subject as `sub` claim (includes optional claims)"} ~~~ json { "iss": "https://idp.example.com/123456789/", "jti": "24c63fb56e5a2d77a6b512616ca9fa24", "iat": 1615305159, "aud": "https://sp.example.com/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ session-revoked": { "subject": { "user": { "format": "iss_sub", "iss": "https://idp.example.com/123456789/", "sub": "jane.smith@example.com" }, "device": { "format": "iss_sub", "iss": "https://idp.example.com/123456789/", "sub": "e9297990-14d2-42ec-a4a9-4036db86509a" }, "tenant": { "format": "opaque", "id": "123456789" } }, "initiating_entity": "policy", "reason_admin": { "en": "Policy Violation: C076E822" }, "reason_user": { "en": "This device is no longer compliant.", "it": "Questo dispositivo non è più conforme." }, "event_timestamp": 1615304991643 } } } ~~~ {: #session-revoked-example-user-device title="Example: Session Revoked - Complex Subject describing user + device + tenant (includes optional claims)"} ## Token Claims Change {#token-claims-change} Event Type URI: `https://schemas.openid.net/secevent/caep/event-type/token-claims-change` Token Claims Change signals that a claim in a token, identified by the subject claim, has changed. The actual reason why the claims change occurred might be specified with the nested `reason_admin` and/or `reason_user` claims made in {{optional-event-claims}}. ### Event-Specific Claims {#token-claims-change-claims} claims : REQUIRED, JSON object: one or more claims with their new value(s) When `event_timestamp` is included, its value MUST represent the time at which the claim value(s) changed. ### Examples {#token-claims-change-examples} NOTE: The event type URI is wrapped, the backslash is the continuation character. ~~~ json { "iss": "https://idp.example.com/987654321/", "jti": "9afce1e4e642b165fcaacdd0e7aa4903", "iat": 1615305159, "aud": "https://sp.example2.net/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ token-claims-change": { "subject": { "format": "jwt_id", "iss": "https://idp.example.com/987654321/", "jti": "f61t6e20zdo3px56gepu8rzlsp4c1dpc0fx7" }, "event_timestamp": 1615304991643, "claims": { "role": "ro-admin" } } } } ~~~ {: #token-claims-change-example-oidc title="Example: OIDC ID Token Claims Change - Required claims only"} ~~~ json { "iss": "https://idp.example.com/987654321/", "jti": "9afce1e4e642b165fcaacdd0e7aa4903", "iat": 1615305159, "aud": "https://sp.example2.net/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ token-claims-change": { "subject": { "format": "jwt_id", "iss": "https://idp.example.com/987654321/", "jti": "f61t6e20zdo3px56gepu8rzlsp4c1dpc0fx7" }, "event_timestamp": 1615304991643, "initiating_entity": "policy", "reason_admin": { "en": "User left trusted network: CorpNet3" }, "reason_user": { "en": "You're no longer connected to a trusted network.", "it": "Non sei più connesso a una rete attendibile." }, "claims": { "trusted_network": "false" } } } } ~~~ {: #token-claims-change-example-oidc-optional title="Example: OIDC ID Token Claims Change - Optional claims"} ~~~json { "iss": "https://idp.example.com/987654321/", "jti": "dae94fed5f459881efa38b65c6772ddc", "iat": 1615305159, "aud": "https://sp.example2.net/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ token-claims-change": { "subject": { "format": "saml_assertion_id", "issuer": "https://idp.example.com/987654321/", "assertion_id": "_a75adf55-01d7-dbd8372ebdfc" }, "event_timestamp": 1615304991643, "claims": { "http://schemas.xmlsoap.org/ws/2005/05/identity/\ claims/role": "ro-admin" } } } } ~~~ {: #token-claims-change-example-saml title="Example: SAML Assertion Claims Change - Required claims only"} ## Credential Change {#credential-change} Event Type URI: `https://schemas.openid.net/secevent/caep/event-type/credential-change` The Credential Change event signals that a credential was created, changed, revoked or deleted. Credential Change scenarios include: - password/PIN change/reset - certificate enrollment, renewal, revocation and deletion - second factor / passwordless credential enrollment or deletion (U2F, FIDO2, OTP, app-based) The actual reason why the credential change occurred might be specified with the nested `reason_admin` and/or `reason_user` claims made in {{optional-event-claims}}. ### Event-Specific Claims {#credential-change-claims} credential_type : REQUIRED, JSON string: This MUST be one of the following strings, or any other credential type supported mutually by the Transmitter and the Receiver. - `password` - `pin` - `x509` - `fido2-platform` - `fido2-roaming` - `fido-u2f` - `verifiable-credential` - `phone-voice` - `phone-sms` - `app` change_type : REQUIRED, JSON string: This MUST be one of the following strings: - `create` - `revoke` - `update` - `delete` friendly_name : OPTIONAL, JSON string: credential friendly name x509_issuer : OPTIONAL, JSON string: issuer of the X.509 certificate as defined in {{RFC5280}} x509_serial : OPTIONAL, JSON string: serial number of the X.509 certificate as defined in {{RFC5280}} fido2_aaguid : OPTIONAL, JSON string: FIDO2 Authenticator Attestation GUID as defined in {{WebAuthn}} When `event_timestamp` is included, its value MUST represent the time at which the credential change occurred. ### Examples {#credential-change-examples} NOTE: The event type URI is wrapped, the backslash is the continuation character. ~~~json { "iss": "https://idp.example.com/3456789/", "jti": "07efd930f0977e4fcc1149a733ce7f78", "iat": 1615305159, "aud": "https://sp.example2.net/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ credential-change": { "subject": { "format": "iss_sub", "iss": "https://idp.example.com/3456789/", "sub": "jane.smith@example.com" }, "credential_type": "fido2-roaming", "change_type": "create", "fido2_aaguid": "accced6a-63f5-490a-9eea-e59bc1896cfc", "friendly_name": "Jane's USB authenticator", "initiating_entity": "user", "reason_admin": { "en": "User self-enrollment" }, "event_timestamp": 1615304991643 } } } ~~~ {: #credential-change-example-fido2 title="Example: Provisioning a new FIDO2 authenticator - Simple Subject + optional claims"} ## Assurance Level Change {#assurance-level-change} Event Type URI: `https://schemas.openid.net/secevent/caep/event-type/assurance-level-change` The Assurance Level Change event signals that there has been a change in authentication method since the initial user login. This change can be from a weak authentication method to a strong authentication method, or vice versa. In the first scenario, Assurance Level Change will an increase, while in the second scenario it will be a decrease. For example, a user can start a session with Service Provider A using single factor authentication (such as a password). The user can then open another session with Service Provider B using two-factor authentication (such as OTP). In this scenario an increase Assurance Level Change event will signal to Service Provider A that user has authenticated with a stronger authentication method. The actual reason why the assurance level changed might be specified with the nested `reason_admin` and/or `reason_user` claims made in {{optional-event-claims}}. ### Event-Specific Claims {#assurance-level-change-claims} current_level : REQUIRED, JSON string: the current NIST Authenticator Assurance Level (AAL) as defined in {{SP800-63R3}} : This string MUST be one of the following strings: - `nist-aal1` - `nist-aal2` - `nist-aal3` previous_level : REQUIRED, JSON string: the previous NIST Authenticator Assurance Level (AAL) as defined in {{SP800-63R3}} : This MUST be one of the following strings: - `nist-aal1` - `nist-aal2` - `nist-aal3` change_direction : REQUIRED, JSON string: the Authenticator Assurance Level increased or decreased : This MUST be one of the following strings: - `increase` - `decrease` When `event_timestamp` is included, its value MUST represent the time at which the assurance level changed. ### Examples {#assurance-level-change-examples} NOTE: The event type URI is wrapped, the backslash is the continuation character. ~~~json { "iss": "https://idp.example.com/3456789/", "jti": "07efd930f0977e4fcc1149a733ce7f78", "iat": 1615305159, "aud": "https://sp.example2.net/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ assurance-level-change": { "subject": { "format": "iss_sub", "iss": "https://idp.example.com/3456789/", "sub": "jane.smith@example.com" }, "current_level": "nist-aal2", "previous_level": "nist-aal1", "change_direction": "increase", "initiating_entity": "user", "event_timestamp": 1615304991643 } } } ~~~ {: #assurance-level-change-examples-al-increase title="Example: Assurance Level Increase - Simple Subject + optional claims"} ## Device Compliance Change {#device-compliance-change} Event Type URI: `https://schemas.openid.net/secevent/caep/event-type/device-compliance-change` Device Compliance Change signals that a device's compliance status has changed. The actual reason why the status change occurred might be specified with the nested `reason_admin` and/or `reason_user` claims made in {{optional-event-claims}}. ### Event-Specific Claims {#device-compliance-change-claims} previous_status : REQUIRED, JSON string: the compliance status prior to the change that triggered the event : This MUST be one of the following strings: - `compliant` - `not-compliant` current_status : REQUIRED, JSON string: the current status that triggered the event : This MUST be one of the following strings: - `compliant` - `not-compliant` When `event_timestamp` is included, its value MUST represent the time at which the device compliance status changed. ### Examples {#device-compliance-change-examples} NOTE: The event type URI is wrapped, the backslash is the continuation character. ~~~json { "iss": "https://idp.example.com/123456789/", "jti": "24c63fb56e5a2d77a6b512616ca9fa24", "iat": 1615305159, "aud": "https://sp.example.com/caep", "events": { "https://schemas.openid.net/secevent/caep/event-type/\ device-compliance-change": { "subject": { "device": { "format": "iss_sub", "iss": "https://idp.example.com/123456789/", "sub": "e9297990-14d2-42ec-a4a9-4036db86509a" }, "tenant": { "format": "opaque", "id": "123456789" } }, "current_status": "not-compliant", "previous_status": "compliant", "initiating_entity": "policy", "reason_admin": { "en": "Location Policy Violation: C076E8A3" }, "reason_user": { "en": "Device is no longer in a trusted location." }, "event_timestamp": 1615304991643 } } } ~~~ {: #device-compliance-change-examples-out-of-compliance title="Example: Device No Longer Compliant - Complex Subject + optional claims"} --- back # Acknowledgements The authors wish to thank all members of the OpenID Foundation Shared Signals and Events Working Group who contributed to the development of this specification. # Notices Copyright (c) 2017 The OpenID Foundation. 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