Subject: Please publish draft-ietf-ldup-protocol-02.txt

From: [email-masked] (Gordon Good)
Date: Fri, 14 Jul 2000 12:01:44 -0700

Please publish the attached draft. It is an update to
draft-ietf-ldup-protocol-01.txt.

LDUP Replication Update Protocol
Internet-Draft
Intended Category: Standards Track
Expires: February 15, 2001

                                                            Ellen Stokes
                                                         IBM Corporation

                                                             Gordon Good
                                                          America Online

                  The LDUP Replication Update Protocol
               Filename: draft-ietf-ldup-protocol-02.txt

Table of Contents 

1.    Status of this Memo.............................................2
2.    Abstract........................................................2
3.    Overview of Protocol............................................2
4.    High-level Description of Protocol Flow.........................3
4.1   Supplier-initiated replication protocol.........................3
4.2.     Consumer-initiated replication protocol......................4
5.    Replication protocol element definitions........................5
5.1   StartReplicationRequest Extended Operation......................5
5.2   StartReplicationResponse Extended Operation.....................6
5.3   ReplicationUpdate Extended Operation............................7
5.3.1    UniqueIdentifier.............................................8
5.3.2    ReplicationPrimitive.........................................8
5.3.2.1     AddEntryPrimitive.........................................8
5.3.2.2     MoveEntryPrimitive........................................9
5.3.2.3     RenameEntryPrimitive......................................9
5.3.2.4     RemoveEntryPrimitive......................................9
5.3.2.5     AddAttributeValuePrimitive................................10
5.3.2.6     RemoveAttributeValuePrimitive.............................10
5.3.2.7     RemoveAttributePrimitive..................................10
5.4   EndReplicationRequest Extended Operation........................11
5.5   EndReplicationResponse Extended Operation.......................12
6.    Semantics of Full and Incremental Update protocols..............13
7.    Summary of response codes.......................................13
8.    Implications for log-based and state-based servers..............14
9.    Replication of access control and schema information............14
10.   Security Considerations.........................................14
11.   Glossary of Terms...............................................14
12.   Acknowledgments.................................................14
13.   References......................................................14
14.   Author's Addresses..............................................15

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1. Status of this Memo

   This document is an Internet-Draft and is in full conformance with
   all provisions of Section 10 of RFC2026.

   Internet-Drafts are working documents of the Internet Engineering
   Task Force (IETF), its areas, and its working groups. Note that other
   groups may also distribute working documents as Internet-Drafts.

   Internet-Drafts are draft documents valid for a maximum of six months
   and may be updated, replaced, or obsoleted by other documents at any
   time.  It is inappropriate to use Internet- Drafts as reference
   material or to cite them other than as "work in progress."

   To view the list Internet-Draft Shadow Directories, see
   http://www.ietf.org/shadow.html.

   This Internet Draft expires February 15, 2001.

2. Abstract

   The protocol described in this document is designed to allow one LDAP
   server to replicate its directory content to another LDAP server. The
   protocol is designed to be used in a replication configuration where
   multiple updatable servers are present. Provisions are made in the
   protocol to carry information that allows the server receiving
   updates to apply a total ordering to all updates in the replicated
   system. This total ordering allows all replicas to correctly resolve
   conflicts that arise when LDAP clients submit changes to different
   servers that later replicate to one another.

   All protocol elements described here are LDAP Version 3 extended
   operations. LDAP Version 3 is described in RFC 2251 [LDAPv3].

   Certain terms used in this document are defined in the document "LDAP
   Replication Architecture" [ARCHITECTURE].

   The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
   "SHOULD", "SHOULD NOT", "RECOMMENDED", and "MAY" in this document are
   to be interpreted as described in RFC 2119 [KEYWORDS].

3. Overview of Protocol

   The LDAP Replication Architecture [ARCHITECTURE] describes the
   overall approach used in ensuring consistency of multiple updatable
   replicas of directory content. The protocol described in this
   document implements the approach desribed in that document.

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   LDAP Version 3 extended operations are used to carry replicated
   content from one server to another. The extended operations defined
   in this document are used to initiate and end a replication session,
   and to exchange updates. These updates carry with them information
   that allows the receiving server to apply a total ordering to all of
   the updates in a replicated system. All servers that receive
   replication updates apply a consistent set of update resolution
   policies, described in [URP]. Consistent application of the update
   resolution policies ensures that all replicas eventually converge and
   contain the same directory data.

   The protocol is intended to meet the requirements set forth in [REQ].

4. High-level Description of Protocol Flow

   The following section provides a high-level overview of the
   replication protocol. Throughout this section, the supplier server is
   indicated by the letter "S" and the consumer server by the letter
   "C". The construct "S -> C" indicates that the supplier is sending an
   LDAPv3 extended operation to the consumer, and "C -> S" indicates
   that the consumer is sending an LDAPv3 extended operation to the
   supplier.

4.1 Supplier-initiated replication protocol

      S -> C: LDAP bind operation (identity and credentials
             used are implementation-defined)

      C -> S: Bind response

      S -> C: StartReplicationRequest LDAPv3 extended
              operation. The parameters are:

                1) Root of replicated area (unambiguously
                   identifies the replicated area)
                2) Supplier's replicaID
                3) OID of replication protocol to be used
                   (this document defines IETF-LDUP incremental
                   and IETF-LDUP total update protocols)
                4) The protocol initiation type - Supplier-Initiated
                   in this case.

      C -> S: StartReplicationResponse LDAPv3 extended operation. The
              parameters are:

                1) A response code (see section 7)
                2) An optional update vector that is included
                   if and only if the response code is REPL_SUCCESS.

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      S -> C: The supplier may send zero or more ReplicationUpdate LDAPv3
              extended operations. The parameters are:

                1) The UUID of the entry being updated
                2) One or more Replication Primitives (The supplier
                   may send as many of these as required to bring
                   the consumer up to date)

      C -> S: At any time, the consumer may send an unsolicited
              ReplicationUpdateResponse LDAPv3 extended operation. The
              parameters are:

                1) An optional update vector.  If sent, this indicates that
                   the consumer has committed all updates whose CSNs are
                   covered by the transmitted update vector [see glossary
                   for a definition of "covered by"].
                2) An optional AbortUpdate boolean flag.  If a supplier
                   receives a ReplicationUpdateResponse from a consumer with
                   the AbortUpdate flag set to true, the supplier server MUST
                   immediately cease sending updates and terminate its
                   connection to the consumer.

      S -> C: After all required updates have been sent to the consumer, the
              supplier sends an EndReplicationRequest LDAPv3 extended operation

      C -> S: The consumer responds by sending an EndReplicationRequest LDAPv3
              extended operation, and then closes the connection.

4.2. Consumer-initiated replication protocol

   C -> S: LDAP bind operation (identity and credentials
          used are implementation-defined)

   S -> C: Bind response

   C -> S: StartReplicationRequest LDAPv3 extended
           operation. The parameters are:

             1) Root of replicated area (unambiguously
                identifies the replicated area)
             2) Consumer's replicaID
             3) OID of replication protocol to be used
                (this document defines IETF-LDUP incremental
                and IETF-LDUP total update protocols)
             4) The protocol initiation type - Consumer-Initiated
                in this case

   S -> C: StartReplicationResponse LDAPv3 extended operation. The

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           parameters are:

             1) A response code (see section 7)

   S -> C: The supplier server disconnects from the consumer server,
           and then connects to the consumer, beginning a Supplier-
           Initiated protocol session (see section 4.1).

5. Replication protocol element definitions

5.1 StartReplicationRequest Extended Operation

   The StartReplicationRequest extended operation is sent by a replication
   initiator to a server to indicate that a replication session should
   commence. For supplier-initiated replication, the supplier sends this
   extended operation to the replication consumer to indicate that a
   replication session should commence. For consumer-initiated
   replication, the consumer sends this extended operation to the
   replication supplier to indicate that the supplier should initiate a
   replication session to the consumer as soon as possible.

   The StartReplicationRequest extended operation is defined as follows:
      StartReplicationRequest ::= [APPLICATION  23] SEQUENCE {
          requestName  [0] LDAPOID,
          requestValue [1] OCTET STRING
      }

   The requestName of the StartReplicationRequest must be [OID to be
   assigned].

   The requestValue of the StartReplicationRequest must be set to the
   BER-encoding of the following:

      requestValue ::= SEQUENCE {
           replicaRoot            LDAPDN,
           replicaID              LDAPString,
           replicationProtocolOID LDAPOID,
           replicationInitiator   ENUMERATED
           {
               supplier (0),
               consumer (1)
           }
      }

   The parameters in the requestValue of the StartReplicationRequest
   are:

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      - replicaRoot: the distinguished name of the entry at the
      top of the replicated area, and uniquely identifies the unit of
      replication.

      - replicaID: the replica identifier of the replication
      initiator. Each replica of a given replicated area is identified
      by a unique identifier, described in [ARCHITECTURE].

      - replicationProtocolOID: the type of replication
      protocol that should be used to transfer the updates.  This document
      describes two protocols; ietf-ldup-full-update and
      ietf-ldup-incremental-update.  See section 7 for information on the
      semantic behavior of these update protocols.  Implementations MUST
      support the two update protocols defined in this document.

      - replicationInitiator: used to differentiate between a supplier-
      initiated session and a consumer-initiated session.  If the
      replicationInitiator contains the enumerated value <supplier>, then the
      initiator is the supplier, and the receiver of this operation should
      prepare to receive a set of replication updates (or should reject the
      operation is replication updates are not permitted for some reasonm,
      perhaps due to access control restrictions).  If the
      replicationInitiator contains the enumerated value <consumer>, then the
      receiver should prepare to establish a supplier-initiated replication
      session with the consumer as soon as possible, updating the replicated
      are given by replicaRoot and using the update protocol given by
      replicationProtocolOID.

5.2 StartReplicationResponse Extended Operation

   The StartReplicationResponse extended operation is sent in response to
   a StartReplicationRequest extended operation.

   For a supplier-initiated session, the StartReplicationResponse extended
   operation indicates that the consumer is or is not prepared to accept a
   set of updates. If the consumer is prepared to accept updates, it sends
   a StartReplicationResponse extended operation containing a success code
   and the consumer's replica update vector. If the consumer is unwilling
   or unable to accept updates, it sends a StartReplicationResponse extended
   operation containing an error code.

   For a consumer-initiated session, the StartReplicationResponse extended
   operation indicates that the supplier is or is not prepared to send a
   set of updates to the consumer. If the supplier is prepared to send updates
   to the consumer, it sends a StartReplicationResponse extended operation
   with a success code. If the supplier is unwilling or unable to send
   updates to the consumer, it sends a StartReplicationResponse extended
   operation containing an error code. In both cases, the supplier

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   disconnects from the consumer. If the supplier sent a success code to the
   consumer, it opens a connection to the consumer as soon as possible and
   initiates a supplier-initiated replication session.

   The StartReplicationResponse extended operation is defined as follows:

      StartReplicationResponse ::= [APPLICATION  23] SEQUENCE {
          requestName     [0] LDAPOID,
          requestValue    [1] OCTET STRING
      }

   The requestName of the StartReplicationResponse must be [OID to be
   assigned].

   The requestValue of the StartReplicationResponse must be set to the
   BER-encoding of the following:

      requestValue ::= SEQUENCE {
          responseCode          LDUPResponseCode,
          replicaUpdateVector   Attribute,
      }

   LDUPResponseCodes are defined in section 8.

   The replicaUpdateVector contains a replica update vector, as defined in
   [INFOMOD]. The update vector is encoded as a normal LDAP attribute,
   defined in [LDAPv3].

5.3 ReplicationUpdate Extended Operation

The ReplicationUpdate extended operation carries a set of replication
primitives that represent the desired final state of a single entry.

The ReplicationUpdate extended operation is defined as follows:

An LDAPv3 Extended Request is defined in [LDAPv3] as follows:

   ReplicationUpdate ::= [APPLICATION  23] SEQUENCE {
       requestName    [0] LDAPOID,
       requestValue   [1] OCTET STRING
   }

The requestName of the ReplicationUpdate must be [OID to be assigned].

The requestValue of the ReplicationUpdate must be set to the BER-
encoding of the following:

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   requestValue ::= SEQUENCE {
       uniqueID  UniqueIdentifier,
       updates   SET OF ReplicationPrimitive
   }

5.3.1 UniqueIdentifier

   The Distinguished Name of an entry may be changed (by renaming the
   entry), or the entry may not have a distinguished name (if it was
   deleted).  The Unique Identifier provides an immutable name,
   independent of the current name or deletion status, for an entry. All
   replicated operations address entries by their Unique Identifiers.

      UniqueIdentifier ::= LDAPString

5.3.2 ReplicationPrimitive

   A ReplicationPrimitive carries a single assertion about the the final
   state of an entry, attribute, or attribute value. There are seven
   types of primitives.

      ReplicationPrimitive ::= CHOICE {
          addEntryPrimitive              AddEntryPrimitive,
          moveEntryPrimitive             MoveEntryPrimitive,
          renameEntryPrimitive           RenameEntryPrimitive,
          removeEntryPrimitive           RemoveEntryPrimitive,
          addAttributeValuePrimitive     AddAttributeValuePrimitive,
          removeAttributeValuePrimitive  RemoveAttributeValuePrimitive,
          removeAttributePrimitive       RemoveAttributePrimitive
      }

   Each primitive applies to the entry referred to by the
   uniqueIdentifier in the enclosing ReplicationUpdate extended
   operation.

   Each primitive carries an lLDAPChangeSequenceNumber that is used by
   the consumer server to correctly resolve update conflicts. [URP]
   describes the update reconciliation procedures.

5.3.2.1 AddEntryPrimitive

   The AddEntryPrimitive is used to add a new entry.

      AddEntryPrimitive ::= [APPLICATION 0] SEQUENCE {
          csn         lDAPChangeSequenceNumber,
          superior    UniqueIdentifier,
          rdn         RelativeLDAPDN

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      }

   Parameters of the AddEntryPrimitive are:

      - csn: The change sequence number of the primitive.

      - superior: The unique identifier of the superior (parent) entry.

      - rdn: The relative distinguished name of the new entry.

5.3.2.2 MoveEntryPrimitive

   The MoveEntryPrimitive is used to move an entry to a new location in
   the DIT.

      MoveEntryPrimitive ::= [APPLICATION 1] SEQUENCE {
          csn       lDAPChangeSequenceNumber,
          superior  UniqueIdentifier
      }

   Parameters of the MoveEntryPrimitive are:

      - csn: The change sequence number of the primitive.

      - superior: The unique identifier of the new superior (parent)
      entry.

5.3.2.3 RenameEntryPrimitive

   The RenameEntryPrimitive is used to change the RDN of an entry.

      RenameEntryPrimitive ::= [APPLICATION 2] SEQUENCE {
          csn   lDAPChangeSequenceNumber,
          rdn   RelativeLDAPDN
      }

   Parameters of the RenameEntryPrimitive are:

      - csn: The change sequence number of the primitive.

      - rdn: The new relative distinguished name of the entry.

5.3.2.4 RemoveEntryPrimitive

   The RemoveEntryPrimitive is used to delete an entry from the DIT.

      RemoveEntryPrimitive ::= [APPLICATION 3] SEQUENCE {
          csn  lDAPChangeSequenceNumber

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      }

   Parameters of the RemoveEntryPrimitive are:

      - csn: The change sequence number of the primitive.

5.3.2.5 AddAttributeValuePrimitive

   The AddAttributeValuePrimitive is use to add a new attribute value to
   an entry.

      AddAttributeValuePrimitive ::= [APPLICATION 4] SEQUENCE {
          csn     lDAPChangeSequenceNumber,
          type    AttributeDescription,
          value   AttributeValue
      }

   Parameters of the AddAttributeValuePrimitive are:

      - csn: The change sequence number of the primitive.

      - type: The type of the attribute being added.

      - value: The value being added. Multiple values are not permitted.

5.3.2.6 RemoveAttributeValuePrimitive

   The RemoveAttributeValuePrimitive is used to remove a particular
   attribute value from an entry.

      RemoveAttributeValuePrimitive ::= [APPLICATION 5] SEQUENCE {
          csn      lDAPChangeSequenceNumber,
          type     AttributeDescription,
          value    AttributeValue
      }

   Parameters of the RemoveAttributeValuePrimitive are:

      - csn: The change sequence number of the primitive.

      - type: The type of the attribute being removed.

      - value: The value being removed. Multiple values are not
      permitted.

5.3.2.7 RemoveAttributePrimitive

   The RemoveAttributePrimitive is used to remove an attribute and all

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   its values from an entry.

      RemoveAttributePrimitive ::= [APPLICATION 6] SEQUENCE {
          csn    lDAPChangeSequenceNumber,
          type   AttributeDescription
      }

   Parameters of the RemoveAttributePrimitive are:

      - csn: The change sequence number of the primitive.

      - type: The type of the attribute being removed.

5.4 EndReplicationRequest Extended Operation

   The EndReplicationRequest extended operation is sent from the
   replication supplier to the replication consumer to indicate the end
   of the sequence of replication updates. In the event that the
   supplier is sending a total update, the EndReplicationRequest
   extended operation contains a replica update vector. The consumer
   server must replace its replica update vector, if present, with the
   one provided by the suplier. In the event that the supplier is
   sending an incremental update, the replica update vector is absent.

   The EndReplicationRequest extended operation is defined as follows:

      EndReplicationRequest ::= [APPLICATION  23] SEQUENCE {
          requestName    [0] LDAPOID,
          requestValue   [1] OCTET STRING
      }

   The requestName of the EndReplicationRequest must be [OID to be
   assigned].

   The requestValue of the EndReplicationRequest must be set to the
   BER-encoding of the following:

      requestValue ::= SEQUENCE {
          replicaUpdateVector        Attribute OPTIONAL,
          returnConsumerUpdateVector BOOLEAN
      }

   If returnConsumerUpdateVector is TRUE, the consumer server must
   return its current update vector to the supplier in the
   EndReplicationResponse extended operation. Typically, the supplier
   will request the consumer's update vector for read-only replicas,
   since the read-only replica will never initiate a replication

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   session, and will therefore never have the opportunity to provide its
   update vector to other servers.

5.5 EndReplicationResponse Extended Operation

   The EndReplicationResponse extended operation is sent by a consumer
   to a supplier in response to an EndReplicationRequest extended
   operation.

   The EndReplicationResponse extended operation is defined as follows:

      EndReplicationResponse ::= [APPLICATION  23] SEQUENCE {
          requestName    [0] LDAPOID,
          requestValue   [1] OCTET STRING
      }

   The requestName of the EndReplicationResponse must be [OID to be
   assigned].

   The requestValue of the EndReplicationResponse must be set to the
   BER-encoding of the following:

      requestValue ::= SEQUENCE {
          replicaUpdateVector    Attribute OPTIONAL }

   The replicaUpdateVector contains the consumer's current replica
   update vector, and is optional. The consumer server should only send
   the replicaUpdateVector if requested by the supplier server in the
   EndReplicationRequest extended operation.

   5.6 ReplicationUpdateResponse Extended Operation

   The ReplicationUpdateResponse extended operation is sent,
   unsolicited, by a consumer to a supplier when the consumer wishes the
   supplier to stop sending updates.

   An LDAPv3 extended response is defined in [LDAPv3] as follows:

      ExtendedResponse ::= [APPLICATION 24] SEQUENCE {
          COMPONENTS of LDAPResult,
          responseName  [10] LDAPOID OPTIONAL,
          response      [11] OCTET STRING OPTIONAL
      }

   The responseName of the ReplicationUpdateResponse must be the OID
   [OID to be assigned].

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   The response field of the ReplicationUpdateResponse must be set to
   the BER-encoding of the following:

      response ::= SEQUENCE {
          replicaUpdateVector  Attribute OPTIONAL
          abortUpdate          BOOLEAN
      }

   The parameters of the ReplicationUpdateResponse are:

   - An optional update vector.  If sent, this indicates that the
   consumer has committed all updates whose CSNs are covered by the
   transmitted update vector [see glossary for a definition of "covered
   by"].  - An optional AbortUpdate boolean flag.  If a supplier
   receives a ReplicationUpdateResponse from a consumer with the
   AbortUpdate flag set to true, the supplier server MUST immediately
   cease sending updates and terminate its connection to the consumer.

6. Semantics of Full and Incremental Update protocols

[To be written]

7. Summary of response codes

The following list describes the response codes that may be included in
the StartReplicationResponse, EndReplicationResponse, and
ReplicationUpdateResponse extended operations.

   LDUPResponseCode  ::= SEQUENCE {
       resultCode  ENUMERATED {
           success                   (0),
           operationsError           (1),
           protocolError             (2),
           insufficientAccessRights (50),
           busy                     (51),
           excessiveCSNSkew        (200),

           other              (80)
       },
       errorMessage LDAPString
   }

The meanings of the response codes are as follows:

   success..................... As defined in [LDAPv3].
   operationsError............. As defined in [LDAPv3].
   protocolError............... As defined in [LDAPv3].
   insufficientAccessRights.... Access denied. The identity that the

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                                initiator provided in the bind request does
                                not have sufficient privileges to perform
                                the operation.
   busy........................ The replica is temporarily unable to accept
                                updates.
   excessiveCSNSkew............ The consumer server has detected that the
                                CSNs being generated by the supplier are
                                too small (perhaps because the supplier's
                                clock was set back). Updates from the
                                supplier will not be applied.
   other....................... Some other error occurred.

8. Implications for log-based and state-based servers

[To be written, or possibly incorporated into [ARCHITECTURE].]

9. Replication of access control and schema information

[To be written, or possibly incorporated into [ARCHITECTURE]]

10. Security Considerations

[To be written]

11. Glossary of Terms

   Covered by: We say that a CSN is "covered by" an update vector if and
   only if the CSN is less than or equal to the component of the update
   vector corresponding to the replica ID in the CSN. In other words,
   given a CSN with components <t,S,r,s> and an update vector with CSNs
   <t0,S0,r0,s0>,<t1,S1,r1,s1>...<tn,Sn,Rn,sn>, then the CSN is covered
   by the RUV if and only if one of the following holds for some value
   i:
      a) r = ri and t < ti
      b) r = ri and t = ti and S < Si
      c) r = ri and t = ti and S = Si and s < si

12. Acknowledgments

[To be written]

13. References

[KEYWORDS]
     S. Bradner, "Key Words for use in RFCs to Indicate Requirement Lev-
     els", Harvard University, RFC 2119, March 1997.

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[ARCHITECTURE]
     J. Merrells, E. Reed, U. Srinivasan, "LDAP Replication Architec-
     ture", Internet-Draft, draft-ietf-ldup-model-00.txt, April 1999.

[LDAPv3]
     M. Wahl, S. Kille, T. Howes, "Lightweight Directory Access Protocol
     (v3)", RFC 2251, December 1997.

[URP]S. Legg, "LDUP Update Reconciliation Procedures", Internet-Draft,
     draft-legg-ldup-urp-00.txt, February 1999.

[INFOMOD]
     E. Reed, "LDAP Replication Information Model", Internet-Draft,
     draft-reed-ldup-infomod-00.txt, November 1998.

[REQ]R. Weiser, E. Stokes, "LDAP V3 Replication Requirements",
     Internet-Draft, draft-ietf-ldup-replica-req-00.txt, February 1999.

14. Author's Addresses

   Ellen Stokes
   Tivoli Systems
   6300 Bridgepoint Parkway
   Austin, TX 78731
   USA
   Email: [email-masked]
   phone: +1 512 436 9098
   fax:   +1 512 436 1199

   Gordon Good
   America Online
   150 Network Circle
   Mailstop USCA17-201
   Santa Clara, CA 95054
   USA
   EMail:  [email-masked]
   phone: +1 408 276 4351

   This Internet Draft expires February 15, 2001.

   Appendix A - Complete ASN.1 Definition

   XXXggood - to be provided.

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