This is a technical deep dive into the authentication process — a necessary first step before addressing the authorization decisions that are at the core of Elasticsearch security. The following will be a very detailed explanation of the inner workings of a key part of the authentication process: realms. If you'd prefer to start with a broader view of authentication (and authorization) in Elasticsearch, you may want to check out <a href="/blog/demystifying-authentication-and-authorization-in-elasticsearch">Demystifying authentication and authorization in Elasticsearch</a>.
This post is for those curious about how things work behind the scenes in Elasticsearch. Curious readers are encouraged to <a href="https://github.com/elastic/elasticsearch">browse </a>and even <a href="https://github.com/elastic/elasticsearch/issues?q=is%3Aissue+is%3Aopen+label%3A%22help+wanted%22">contribute</a> code.
<h2>Overview of authentication</h2>The authentication process is centered around <a href="/guide/en/elasticsearch/reference/7.4/realms.html#realms">realms that validate credentials of clients</a>. There is a slew of options for realms because each one works for users administered in a different way. The means of credential validation distinguish realms by type. The authentication process happens for each request on the <a href="/guide/en/elasticsearch/reference/7.4/modules-node.html#coordinating-node">coordinating node</a>, which is the Elasticsearch node that receives the client request. Upon successful authentication, a username is assigned to the security context of the request. All subsequent authorization decisions for the request are performed under this security context.
Strictly speaking, authentication is considered complete when a request is assigned a username (aka principal, since username implies an interactive human) and it does not cover assigning privileges. Privileges are assigned during authorization. However, role names are part of the user metadata, and some realms do assign role names as part of authentication — conceptually crossing the boundary into authorization a little. Nevertheless, in this post we’ll focus on the process of assigning the username to the security context of the request. If you want to learn more about assigning roles to usernames, take a look at the <a href="/guide/en/elasticsearch/reference/7.4/mapping-roles.html#mapping-roles">mapping roles reference docs</a>.
This post does not cover authentication by means of <a href="/guide/en/elasticsearch/reference/7.4/security-api-get-token.html#security-api-get-token">tokens</a> or <a href="/guide/en/elasticsearch/reference/7.4/security-api-create-api-key.html#security-api-create-api-key">API keys</a>. These forms of credentials are intrinsic to Elasticsearch — they are not managed by an outside service, and are generally used when other services that need to communicate with Elasticsearch don’t want to deal with the credentials of a user from a realm.
When a request requires coordination among multiple nodes, authentication is performed only on the coordinating node that handles the original request from the client. The participating data nodes trust the authentication of the coordinating node because there is a <a href="/guide/en/elasticsearch/reference/7.4/configuring-tls.html#tls-transport">mutually authenticated TLS connection</a> established between the nodes. The security context of a successful authentication is hence preserved across every thread on every node as it handles that particular authenticated request.
<h2>Types of realms supported in Elasticsearch</h2><ul>
	<li><a href="/guide/en/elasticsearch/reference/7.4/built-in-users.html#built-in-users">Reserved</a></li>
	<li><a href="/guide/en/elasticsearch/reference/7.4/native-realm.html">Native</a></li>
	<li><a href="/guide/en/elasticsearch/reference/7.4/file-realm.html">File</a></li>
	<li><a href="/guide/en/elasticsearch/reference/7.4/ldap-realm.html">LDAP</a></li>
	<li><a href="/guide/en/elasticsearch/reference/7.4/active-directory-realm.html">Active Directory</a></li>
	<li><a href="/guide/en/elasticsearch/reference/7.4/pki-realm.html">PKI</a></li>
	<li><a href="/guide/en/elasticsearch/reference/7.4/kerberos-realm.html">Kerberos</a></li>
	<li><a href="/guide/en/elasticsearch/reference/7.4/saml-realm.html">SAML</a></li>
	<li><a href="/guide/en/elasticsearch/reference/7.4/oidc-guide-authentication.html#oidc-create-realm">OpenID Connect</a></li>
</ul>It’s also possible to implement and plug in a <a href="/guide/en/elasticsearch/reference/7.4/custom-realms.html">custom realm</a>, which allows you to code any form of credential validation not natively supported, i.e. not in the previous list.
<h2>Kinds of credentials</h2><ul>
	<li>Reserved, Native, File, LDAP, and Active Directory realms extract the client’s credentials from the HTTP request’s Authorization header. More specifically, the client must employ the HTTP basic access authentication method.</li>
</ul><ul>
	<li>PKI relies on the <a href="/guide/en/elasticsearch/reference/7.4/configuring-tls.html#tls-http">mutual TLS authentication</a> on the node’s network layer. The credentials are the client’s private key and certificate chain.</li>
</ul><ul>
	<li>Kerberos also extracts the credentials from the HTTP request’s Authorization header. The credentials are not the encoded password, but an encrypted identity assertion from an external authentication server. Kerberos is a form of SSO.</li>
</ul><ul>
	<li>SAML and OpenID Connect are also SSO realm types, so they consume identity assertions, signed and optionally encrypted from an Identity Provider (aka authentication server). Unlike Kerberos, the assertions are not passed directly from the client in an HTTP header, but are passed by <a href="/guide/en/elasticsearch/reference/7.4/security-api-oidc-authenticate.html">a dedicated API</a> called through a facilitating proxy, like Kibana, on behalf of the client. This is done because the flow to obtain these assertions assume browser interaction on the client’s part (HTML and 302 redirects).</li>
</ul><h2>Realm credential validation</h2><ul>
	<li>Reserved is an “internal” type of realm used to authenticate a predefined, fixed set of <a href="/guide/en/elasticsearch/reference/7.4/built-in-users.html#built-in-users">built-in users</a> — assigned to other Stack components, such as Beats and Kibana. It is “always” enabled and works similarly to the Native realm. You can change the password of built-in users but not their roles. These users, as well as the native ones, can be individually disabled so that you don’t have to change the password to a random value.</li>
	<li>Native stores usernames and their corresponding password <a href="/guide/en/elasticsearch/reference/7.4/security-settings.html#hashing-settings">hashes</a> in the .security-7 index. The authentication validates that, for a given username, the hashed password from the request header is identical with the one stored in the index.</li>
	<li>File also works like Native, but the hashes from which it is compared against are stored inside a <a href="/guide/en/elasticsearch/reference/7.4/security-files.html#security-files">file</a> (ES_PATH_CONF/users) on the local node.</li>
	<li>LDAP and Active Directory validate the user’s password, which is extracted from the usual Authorization: Basic HTTP header, by contacting an external directory service. The network protocol (LDAP) to communicate with the service is session-based and has a bind operation that authenticates the session. These realms try to bind with the password of the client.</li> 
	<li>PKI is the simplest in terms of validation, because the credentials are validated by the network layer as part of the mutual TLS (between the client and the coordinating node). However, the realm has options to <a href="/guide/en/elasticsearch/reference/7.4/security-settings.html#ref-pki-settings">further restrict the set of such authenticated users</a> by validating the client’s cert chain against different trusted roots and by applying a regex on the end entity’s Subject DN.</li> 
	<li>Kerberos, SAML, and OpenID Connect all work in a similar fashion. Clients are not authenticated directly by Elasticsearch or Kibana, but by an external Authentication Service like an Identity Provider. These realms then authenticate the client by validating the assertion. They are configured with a secret key (keytab file) or a public key (metadata file), which is obtained from the external service during an initial Service Provider registration phase. The process for each differs, but the essence is that the ES admin must go to the Identity Provider and ask it to authenticate users for a particular Kibana/ES deployment, and as a result it obtains a piece of configuration that must be used when configuring these SSO realms.</li>
</ul><h2>Configuration of authentication realms</h2>The realms are configured in the <a href="/guide/en/elasticsearch/reference/7.4/security-settings.html#realm-settings">elasticsearch.yml configuration file</a> under the xpack.security.authc.realms.&lt;type&gt;.&lt;name&gt; settings namespace, where &lt;type&gt; is one of the following: native, file, ldap, active_directory, pki, kerberos, saml, oidc. Configurations are local to each node, and currently any configuration change requires a node restart. &lt;name&gt; is a unique identifier, as there can be multiple realms with the same type (native, file, and kerberos do not allow for several realms with that type).
All realms have a configuration key named order that allows you to define what is commonly referred to as a <a href="/guide/en/elasticsearch/reference/7.4/realm-chains.html">realm chain</a>. When realms, be it of the same type or not, consume the same type of credentials (for example, they extract credentials from HTTP’s Authorization: Basic header), the credentials are attempted for validation by consulting realms in the increasing order index (i.e. realm with order “1” is attempted before realm with order “2”). Because of this, it is not recommended to have multiple realms configured where clients use the same authentication method and are finally authenticated by realms closer to the tail of the realm chain.
The simplest realm configuration is to not configure any realm at all. In this case, the File and Native (and Reserved) are enabled implicitly. If any realm is configured, then File and Native are no longer enabled.
<h2>Caching</h2>The Native, File, LDAP, Active Directory, Kerberos, and PKI realms <a href="/guide/en/elasticsearch/reference/7.4/controlling-user-cache.html#controlling-user-cache">cache positive authentication results</a>. The cache for each realm can be individually configured. For example, an LDAP realm will not reach to the directory service for each Elasticsearch request (because each request requires authentication) and will instead cache successful authentication results. Negative authentication results are not cached because that would expose Elasticsearch to password change propagation issues.
Moreover, because LDAP and Active Directory realms need to connect to external systems, they create some surface for a short burst of requests before the first request returns to populate the cache. For this matter, there is some more finesse required in the caching logic, which forestalls authentication requests for the same principal until the first in-flight request has returned.
When there are multiple realms configured that consume the same type of credentials, there is always the risk of having clients frequently authenticating using realms at the tail of the realm chain. In this case, the client would be denied authentication by all the realms before the one that authenticates successfully. To counter the performance impact of this iteration, there is a smart trick to remember the last realm that authenticated every principal and move that realm to the head of the chain when an authentication request for that same principal comes in.
<h2>Tips and tricks</h2><ul>
	<li>Because realms are configured only from the elasticsearch.yml file, there is no privilege high enough in Elasticsearch that would allow altering this configuration. Hence, changing authentication methods requires system administrator privileges on the host running the node and not Elasticsearch privileges.</li> 
	<li>File realm may be looking antiquated, but has a nice practical use case. In the event of a borked .security-7 index, or that the external authentication service of the SSO realms becomes unavailable, all users, including the most privileged ones, will be denied access. In this case, the File realm comes to the rescue! The system administrator is able to enable and add users to this realm so that Elasticsearch admins are permitted access no matter the cluster state.</li>
	<li>It is supported and sometimes useful to not have homogeneous realm configuration across coordinating nodes. For example, data-only nodes might only enable the File realm without any users added. Users could later be added during a manual intervention from the system admin on the respective data node; the users-file is monitored for changes so a node restart is not necessary!</li>
	<li>For realms that do not require browser interaction on the client’s part (all realms except SAML and OpenID Connect), there is the option of a debug API — namely _authenticate, which conducts the authentication process as usual and returns the User metadata as it would be normally attached to the security context of threads working on the request.</li>
	<li>Realms such as Native, File, and possibly (depending on configuration) LDAP and Active Directory can be used in the authorization context as well. These realms have the option to internally retrieve user metadata without requiring the user’s secret password. They are used to implement the <a href="/guide/en/elasticsearch/reference/7.4/run-as-privilege.html#run-as-privilege">run_as functionality</a> (submitting requests on behalf of other users) and the <a href="/guide/en/elasticsearch/reference/7.4/realm-chains.html#authorization_realms">authorization_realm</a> use case, where one realm does authentication but another one assigns the roles.</li>
</ul><h2>Conclusion</h2>While the details in full can certainly be intimidating, the fact is that in any real-world deployment, very few authentication realm types are used. It all depends on what user management method is favored by your organization. Elasticsearch security alone gives you the flexibility here. Moreover, these details only become relevant when something is not quite working as expected. When that happens, and you don’t wish to deal with it alone, there’s a crowd over at <a href="https://discuss.elastic.co/tags/c/elasticsearch/stack-security">discuss.elastic.co</a> that can help you sort it out. And if you wish to get a practical knowledge of all of this, be sure to check out the <a href="/training/specializations/elastic-stack-management/fundamentals-of-securing-elasticsearch">Fundamentals of Securing Elasticsearch training</a>.
To get a better perspective on authentication within Elasticsearch, and more of its security features, you can read the following posts:
<ul>
	<li><a href="/blog/getting-started-with-elasticsearch-security">Getting started with Elasticsearch Security</a></li>
	<li><a href="/blog/demystifying-authentication-and-authorization-in-elasticsearch">Demystifying authentication and authorization in Elasticsearch</a></li>
	<li><a href="/blog/tips-to-secure-elasticsearch-clusters-for-free-with-encryption-users-and-more">Tips to secure Elasticsearch clusters for free with encryption, users, and more</a>.</li>
</ul>Or for more detail on specific authentication methods from an administrator point of view, you can check out these posts:
<ul>
	<li><a href="/blog/elasticsearch-security-configure-tls-ssl-pki-authentication">Elasticsearch Security: Configure TLS/SSL and PKI authentication</a></li>
	<li><a href="/blog/how-to-enable-saml-authentication-in-kibana-and-elasticsearch">SAML authentication and the Elastic Stack</a></li>
</ul>

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A deep dive into Elasticsearch authentication realms

When <a href="https://www.elastic.co/products/stack/security">security features</a> are enabled in Elasticsearch, it is possible to enable an audit log as well. This log contains events that occur in the Elasticsearch node that might be interesting from a security perspective. To analyze these events easily, they can be indexed back into Elasticsearch, preferably into a separate cluster from the one that's generating the events. This blog post explains how this indexing feature has changed in recent times.
Until version 6.7.0 of Elasticsearch, the recommended way of indexing audit logs back into Elasticsearch for easy analysis was to use the <code>index</code> output type when configuring the audit log settings. This output type was deprecated in version 6.7.0. In the same version, we introduced the <code>audit</code> fileset of the <code>elasticsearch</code> module in <a href="https://www.elastic.co/products/filebeat">Filebeat</a>, which performs the same role as the <code>index</code> output type of the Elasticsearch audit log.
In version 7.0.0 of Elasticsearch, we removed the <code>index</code> output of the Elasticsearch audit log completely. Configuring Filebeat is henceforth the only alternative for easy analysis of the audit log.
<h2>Why has the <code>index</code> output type been retired?</h2>Although using the <code>index</code> output type was convenient from a configuration standpoint, there are strong technical reasons why this option is not suitable in production environments and so it has been retired. The main drawback is that the audit event throughput is related to the node’s request load. Nodes with higher traffic generate more audit events. The indexing throughput, however, is limited by the destination cluster’s capacity. If the destination cluster can’t keep up with the volume, then we eventually need to drop some of the audit events or selectively drop client requests. Moreover, the queueing buffer for audit events was in-memory with no disk persistence, because disk persistence was assured by the other dedicated logging output type <code>logfile</code>. All this can lead to audit data loss in a multitude of complex failure scenarios.
In short, this functionality was hard to maintain and provided little gains. Instead, by “outsourcing” the indexing task to Filebeat, Elasticsearch’s audit trail only has to focus on one task: storing events on the persistent storage and with no queueing. The audit capacity eats at a resource (disk I/O) that the administrators already have to plan for. Filebeat, being a separate process that runs alongside the Elasticsearch node, can take the indexing load off the Elasticsearch node's shoulders. And since Filebeat works off the audit log files generated by the Elasticsearch node, these files act as a natural queue. If the Elasticsearch cluster receiving the audit log documents for indexing is under load, Filebeat will wait until the load lessens and then continue indexing from the last entry it ingested from the audit log file.
Finally, using Filebeat provides you with additional options that weren’t available with the old <code>index</code> output, such as event filter (see examples below) or sending events to Logstash for enrichment or to Kafka for queueing before further routing.
<h2>Using Filebeat to ingest Elasticsearch audit logs</h2>Let's see what steps are involved in using Filebeat to ingest Elasticsearch audit logs into an Elasticsearch cluster.
On every node in your Elasticsearch cluster, do the following:
<ol>
	<li>Enable the audit log for that node by setting <code>xpack.security.audit.enabled: true</code> inside the <code>elasticsearch.yml</code> config file. See <a href="https://www.elastic.co/guide/en/elastic-stack-overview/7.0/auditing.html">Auditing Security Events</a> for more details.</li>
	<li>Start the Elasticsearch node.</li>
	<li><a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/filebeat-installation.html">Install Filebeat</a> alongside the Elasticsearch node. This could mean installing Filebeat on the same host or VM as the Elasticsearch node or in a sidecar container.</li>
	<li>Filebeat ships with a variety of modules, each catering to a well-known source of log files. In this case, we want to use the Elasticsearch module, so <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/filebeat-module-elasticsearch.html#running-elasticsearch-modules">enable it.</a></li>
	<li>Once the Elasticsearch Filebeat module is enabled, it will look in well-known paths for Elasticsearch log files and it will naturally follow them as they are rotated. If you want to customize these paths, edit the <code>elasticsearch.yml</code> file under the <code>modules.d</code> folder and make the necessary configuration changes. The <code>modules.d</code> folder is located in the same folder that contains <code>filebeat.yml</code>, which is the main Filebeat configuration file.</li>
	<li>To specify which Elasticsearch cluster you want to index your audit log events into, as well as other settings related to the Elasticsearch output (e.g., authentication settings), <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/elasticsearch-output.html">edit the <code>output.elasticsearch</code> section</a> in <code>filebeat.yml</code>.</li>
	<li>Finally, <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/filebeat-module-elasticsearch.html#running-elasticsearch-modules">start Filebeat</a>. Your Elasticsearch audit logs will be indexed into <code>filebeat-*</code> indices (by default) on the Elasticsearch cluster you configured in the previous step.</li>
</ol><h2>Common considerations</h2><h3>Indexing a subset of audit log events</h3>By default every event that appears in the audit log file will be picked up by Filebeat and indexed into Elasticsearch. However, you may want to index only certain audit log events. This can be achieved by using Filebeat's <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/drop-event.html"><code>drop_event</code> processor</a> with the appropriate <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/defining-processors.html#conditions">conditions</a>.
For instance, you may want to only index audit log events involving the <code>elastic</code> user. To achieve this, edit the <code>modules.d/elasticsearch.yml</code> file and under the <code>audit</code> fileset section, add the following:
<pre class="prettyprint">input:
 processors:
 - decode_json_fields:
 fields: [ "message" ]
 target: temp
 - drop_event:
 when:
 not:
 contains:
 temp.user.name: elastic
 - drop_fields:
 fields: [ "temp" ]
</pre>You can view the list of available <a href="https://www.elastic.co/guide/en/elastic-stack-overview/7.0/audit-event-types.html#audit-event-attributes">audit event fields</a> in the documentation.
<h3>Indexing audit log events in multiple Elasticsearch clusters</h3>A single Filebeat instance can only send events to a single Elasticsearch cluster. This means that if you would like to send your audit log events to multiple Elasticsearch clusters that you have a couple of options:
<ol>
	<li>Run multiple Filebeat instances. Configure the <code>output.elasticsearch</code> section, particularly the <code>hosts</code> setting, of each instance to send to a different Elasticsearch cluster. <img src="https://images.contentstack.io/v3/assets/bltefdd0b53724fa2ce/blt2c69bcf91c87d84e/5cd3b32126b60d975bc8bb1f/audit-logs-filebeat-1.png" data-sys-asset-uid="blt2c69bcf91c87d84e" alt="Run multiple Filebeat instances" style="display: block; margin: auto;"></li>
	<li>Run a single Filebeat instance and send your audit logs to Logstash by configuring the <code>output.logstash</code> section in your <code>filebeat.yml</code>. Then configure your Logstash pipeline to with multiple <a href="https://www.elastic.co/guide/en/logstash/7.0/plugins-outputs-elasticsearch.html"><code>elasticsearch</code> outputs</a> to send to multiple Elasticsearch clusters. <img src="https://images.contentstack.io/v3/assets/bltefdd0b53724fa2ce/blt150a8864c4e92de5/5cd3b338a2ceb62a594890f4/audit-logs-filebeat-2.png" data-sys-asset-uid="blt150a8864c4e92de5" alt="Run a single Filebeat instance and send your audit logs to Logstash" style="display: block; margin: auto;"></li>
	<li>Run a single Filebeat instance and send your audit logs to one Elasticsearch cluster. Then use <a href="https://www.elastic.co/guide/en/elastic-stack-overview/current/xpack-ccr.html">cross-cluster replication</a> to replicate the audit logs index over to another Elasticsearch cluster. <img src="https://images.contentstack.io/v3/assets/bltefdd0b53724fa2ce/blt3cc9f3bd5b4c4b9b/5cd3b35008e4032f59d1a656/audit-logs-filebeat-3.png" data-sys-asset-uid="blt3cc9f3bd5b4c4b9b" alt="Run a single Filebeat instance and send your audit logs to one Elasticsearch cluster" style="display: block; margin: auto;"></li>
</ol><h2>Analyzing audit logs in Elasticsearch</h2>Once your audit logs have been indexed into <code>filebeat-*</code> indices, you can start running queries against them and creating visualizations in Kibana.
For instance, here's a sample query to count the different types of Elasticsearch transport-level actions that were performed every hour:
<pre class="prettyprint">POST filebeat-*/_search
{
 "size": 0, 
 "query": {
 "bool": {
 "filter": {
 "term": {
 "event.dataset": "elasticsearch.audit"
 }
 }
 }
 },
 "aggs": {
 "by_hour": {
 "date_histogram": {
 "field": "@timestamp",
 "interval": "1h"
 },
 "aggs": {
 "by_event_type": {
 "terms": {
 "field": "elasticsearch.audit.action"
 }
 }
 }
 }
 }
}
</pre><h2>But wait, there's more!</h2>Not only can Filebeat ingest Elasticsearch audit logs but it can also ingest other types of Elasticsearch logs —&nbsp;the <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/filebeat-module-elasticsearch.html#_literal_server_literal_log_fileset_settings">main server log</a>, <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/filebeat-module-elasticsearch.html#_literal_gc_literal_log_fileset_settings">GC log</a>, <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/filebeat-module-elasticsearch.html#_literal_slowlog_literal_log_fileset_settings">slow log</a> and <a href="https://www.elastic.co/guide/en/beats/filebeat/7.0/filebeat-module-elasticsearch.html#_literal_deprecation_literal_log_fileset_settings">deprecation log</a>. Think of all the amazing correlation and other analysis you could do in Kibana about the all the events happening in your Elasticsearch cluster!
And if you're looking for an Elasticsearch cluster to send your audit — and other — logs to try taking our <a href="https://cloud.elastic.co/">Elasticsearch Service</a> for a 14-day free trial!
As always, questions are welcome (and encouraged) on our <a href="https://discuss.elastic.co/">Discuss forums</a>.

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Indexing Elasticsearch Audit Logs with Filebeat

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Elasticsearch Audit Trail and Log File Filter Policies Explained

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Plugins Alongside the X-Pack Security Plugin for Elasticsearch

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By submitting you acknowledge that you've read and agree to our <a href="/legal/terms-of-use" target="_blank">Terms of Service</a>, and that Elastic may <a href="/legal/privacy-statement#how-we-use-the-information" target="_blank">contact you</a> about our related products and services, using the details you provide above. See <a href="/legal/privacy-statement/" target="_blank">Elastic’s Privacy Statement</a> for more details or to opt-out at any time.

Newsletter GDPR Text

提交即表示您确认您已阅读并同意我们的<a href="/cn/legal/terms-of-use" target="_self">服务条款</a>，并且 Elastic 可以使用您提供的上述详细信息与您联系，以向您介绍我们相关的<a href="/cn/legal/privacy-statement#how-we-use-the-information" target="_self">产品和服务</a>。如需了解更多信息，或想随时取消订阅，请参阅 <a href="/cn/legal/privacy-statement/" target="_self">Elastic 的隐私声明</a>。

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